-CITE-

9 USC CHAPTER 1 - GENERAL PROVISIONS 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

.

-HEAD-

CHAPTER 1 - GENERAL PROVISIONS

-MISC1-

Sec.

1. ''Maritime transactions'' and ''commerce'' defined; exceptions

to operation of title.

2. Validity, irrevocability, and enforcement of agreements to

arbitrate.

3. Stay of proceedings where issue therein referable to

arbitration.

4. Failure to arbitrate under agreement; petition to United States

court having jurisdiction for order to compel arbitration; notice

and service thereof; hearing and determination.

5. Appointment of arbitrators or umpire.

6. Application heard as motion.

7. Witnesses before arbitrators; fees; compelling attendance.

8. Proceedings begun by libel in admiralty and seizure of vessel or

property.

9. Award of arbitrators; confirmation; jurisdiction; procedure.

10. Same; vacation; grounds; rehearing.

11. Same; modification or correction; grounds; order.

12. Notice of motions to vacate or modify; service; stay of

proceedings.

13. Papers filed with order on motions; judgment; docketing; force

and effect; enforcement.

14. Contracts not affected.

15. Inapplicability of the Act of State doctrine.

16. Appeals.

AMENDMENTS

1990 - Pub. L. 101-650, title III, Sec. 325(a)(2), Dec. 1, 1990,

104 Stat. 5120, added item 15 ''Inapplicability of the Act of State

doctrine'' and redesignated former item 15 ''Appeals'' as 16.

1988 - Pub. L. 100-702, title X, Sec. 1019(b), Nov. 19, 1988, 102

Stat. 4671, added item 15 relating to appeals.

1970 - Pub. L. 91-368, Sec. 3, July 31, 1970, 84 Stat. 693,

designated existing sections 1 through 14 as ''Chapter 1'' and

added heading for Chapter 1.

-SECREF-

CHAPTER REFERRED TO IN OTHER SECTIONS

This chapter is referred to in sections 205, 208, 307 of this

title; title 7 section 255; title 25 section 416a.

-CITE-

9 USC Sec. 1 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 1. ''Maritime transactions'' and ''commerce'' defined;

exceptions to operation of title

-STATUTE-

''Maritime transactions'', as herein defined, means charter

parties, bills of lading of water carriers, agreements relating to

wharfage, supplies furnished vessels or repairs to vessels,

collisions, or any other matters in foreign commerce which, if the

subject of controversy, would be embraced within admiralty

jurisdiction; ''commerce'', as herein defined, means commerce among

the several States or with foreign nations, or in any Territory of

the United States or in the District of Columbia, or between any

such Territory and another, or between any such Territory and any

State or foreign nation, or between the District of Columbia and

any State or Territory or foreign nation, but nothing herein

contained shall apply to contracts of employment of seamen,

railroad employees, or any other class of workers engaged in

foreign or interstate commerce.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 670.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 1, 43 Stat. 883.

-CITE-

9 USC Sec. 2 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 2. Validity, irrevocability, and enforcement of agreements to

arbitrate

-STATUTE-

A written provision in any maritime transaction or a contract

evidencing a transaction involving commerce to settle by

arbitration a controversy thereafter arising out of such contract

or transaction, or the refusal to perform the whole or any part

thereof, or an agreement in writing to submit to arbitration an

existing controversy arising out of such a contract, transaction,

or refusal, shall be valid, irrevocable, and enforceable, save upon

such grounds as exist at law or in equity for the revocation of any

contract.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 670.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 2, 43 Stat. 883.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 202 of this title.

-CITE-

9 USC Sec. 3 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 3. Stay of proceedings where issue therein referable to

arbitration

-STATUTE-

If any suit or proceeding be brought in any of the courts of the

United States upon any issue referable to arbitration under an

agreement in writing for such arbitration, the court in which such

suit is pending, upon being satisfied that the issue involved in

such suit or proceeding is referable to arbitration under such an

agreement, shall on application of one of the parties stay the

trial of the action until such arbitration has been had in

accordance with the terms of the agreement, providing the applicant

for the stay is not in default in proceeding with such arbitration.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 670.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 3, 43 Stat. 883.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 15 of this title.

-CITE-

9 USC Sec. 4 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 4. Failure to arbitrate under agreement; petition to United

States court having jurisdiction for order to compel

arbitration; notice and service thereof; hearing and

determination

-STATUTE-

A party aggrieved by the alleged failure, neglect, or refusal of

another to arbitrate under a written agreement for arbitration may

petition any United States district court which, save for such

agreement, would have jurisdiction under title 28, in a civil

action or in admiralty of the subject matter of a suit arising out

of the controversy between the parties, for an order directing that

such arbitration proceed in the manner provided for in such

agreement. Five days' notice in writing of such application shall

be served upon the party in default. Service thereof shall be made

in the manner provided by the Federal Rules of Civil Procedure. The

court shall hear the parties, and upon being satisfied that the

making of the agreement for arbitration or the failure to comply

therewith is not in issue, the court shall make an order directing

the parties to proceed to arbitration in accordance with the terms

of the agreement. The hearing and proceedings, under such

agreement, shall be within the district in which the petition for

an order directing such arbitration is filed. If the making of the

arbitration agreement or the failure, neglect, or refusal to

perform the same be in issue, the court shall proceed summarily to

the trial thereof. If no jury trial be demanded by the party

alleged to be in default, or if the matter in dispute is within

admiralty jurisdiction, the court shall hear and determine such

issue. Where such an issue is raised, the party alleged to be in

default may, except in cases of admiralty, on or before the return

day of the notice of application, demand a jury trial of such

issue, and upon such demand the court shall make an order referring

the issue or issues to a jury in the manner provided by the Federal

Rules of Civil Procedure, or may specially call a jury for that

purpose. If the jury find that no agreement in writing for

arbitration was made or that there is no default in proceeding

thereunder, the proceeding shall be dismissed. If the jury find

that an agreement for arbitration was made in writing and that

there is a default in proceeding thereunder, the court shall make

an order summarily directing the parties to proceed with the

arbitration in accordance with the terms thereof.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 671; Sept. 3, 1954, ch. 1263,

Sec. 19, 68 Stat. 1233.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 4, 43 Stat. 883.

-REFTEXT-

REFERENCES IN TEXT

Federal Rules of Civil Procedure, referred to in text, are set

out in Appendix to Title 28, Judiciary and Judicial Procedure.

-MISC2-

AMENDMENTS

1954 - Act Sept. 3, 1954, brought section into conformity with

present terms and practice.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 15 of this title; title 5

section 576.

-CITE-

9 USC Sec. 5 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 5. Appointment of arbitrators or umpire

-STATUTE-

If in the agreement provision be made for a method of naming or

appointing an arbitrator or arbitrators or an umpire, such method

shall be followed; but if no method be provided therein, or if a

method be provided and any party thereto shall fail to avail

himself of such method, or if for any other reason there shall be a

lapse in the naming of an arbitrator or arbitrators or umpire, or

in filling a vacancy, then upon the application of either party to

the controversy the court shall designate and appoint an arbitrator

or arbitrators or umpire, as the case may require, who shall act

under the said agreement with the same force and effect as if he or

they had been specifically named therein; and unless otherwise

provided in the agreement the arbitration shall be by a single

arbitrator.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 671.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 5, 43 Stat. 884.

-CITE-

9 USC Sec. 6 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 6. Application heard as motion

-STATUTE-

Any application to the court hereunder shall be made and heard in

the manner provided by law for the making and hearing of motions,

except as otherwise herein expressly provided.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 671.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 6, 43 Stat. 884.

-CITE-

9 USC Sec. 7 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 7. Witnesses before arbitrators; fees; compelling attendance

-STATUTE-

The arbitrators selected either as prescribed in this title or

otherwise, or a majority of them, may summon in writing any person

to attend before them or any of them as a witness and in a proper

case to bring with him or them any book, record, document, or paper

which may be deemed material as evidence in the case. The fees for

such attendance shall be the same as the fees of witnesses before

masters of the United States courts. Said summons shall issue in

the name of the arbitrator or arbitrators, or a majority of them,

and shall be signed by the arbitrators, or a majority of them, and

shall be directed to the said person and shall be served in the

same manner as subpoenas to appear and testify before the court; if

any person or persons so summoned to testify shall refuse or

neglect to obey said summons, upon petition the United States

district court for the district in which such arbitrators, or a

majority of them, are sitting may compel the attendance of such

person or persons before said arbitrator or arbitrators, or punish

said person or persons for contempt in the same manner provided by

law for securing the attendance of witnesses or their punishment

for neglect or refusal to attend in the courts of the United

States.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 672; Oct. 31, 1951, ch. 655, Sec.

14, 65 Stat. 715.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 7, 43 Stat. 884.

AMENDMENTS

1951 - Act Oct. 31, 1951, substituted ''United States district

court for'' for ''United States court in and for'', and ''by law

for'' for ''on February 12, 1925, for''.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 5 section 578.

-CITE-

9 USC Sec. 8 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 8. Proceedings begun by libel in admiralty and seizure of

vessel or property

-STATUTE-

If the basis of jurisdiction be a cause of action otherwise

justiciable in admiralty, then, notwithstanding anything herein to

the contrary, the party claiming to be aggrieved may begin his

proceeding hereunder by libel and seizure of the vessel or other

property of the other party according to the usual course of

admiralty proceedings, and the court shall then have jurisdiction

to direct the parties to proceed with the arbitration and shall

retain jurisdiction to enter its decree upon the award.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 672.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 8, 43 Stat 884.

-CITE-

9 USC Sec. 9 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 9. Award of arbitrators; confirmation; jurisdiction; procedure

-STATUTE-

If the parties in their agreement have agreed that a judgment of

the court shall be entered upon the award made pursuant to the

arbitration, and shall specify the court, then at any time within

one year after the award is made any party to the arbitration may

apply to the court so specified for an order confirming the award,

and thereupon the court must grant such an order unless the award

is vacated, modified, or corrected as prescribed in sections 10 and

11 of this title. If no court is specified in the agreement of the

parties, then such application may be made to the United States

court in and for the district within which such award was made.

Notice of the application shall be served upon the adverse party,

and thereupon the court shall have jurisdiction of such party as

though he had appeared generally in the proceeding. If the adverse

party is a resident of the district within which the award was

made, such service shall be made upon the adverse party or his

attorney as prescribed by law for service of notice of motion in an

action in the same court. If the adverse party shall be a

nonresident, then the notice of the application shall be served by

the marshal of any district within which the adverse party may be

found in like manner as other process of the court.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 672.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 9, 43 Stat. 885.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 5 sections 580, 581; title

41 section 607.

-CITE-

9 USC Sec. 10 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 10. Same; vacation; grounds; rehearing

-STATUTE-

(a) In any of the following cases the United States court in and

for the district wherein the award was made may make an order

vacating the award upon the application of any party to the

arbitration -

(1) where the award was procured by corruption, fraud, or undue

means;

(2) where there was evident partiality or corruption in the

arbitrators, or either of them;

(3) where the arbitrators were guilty of misconduct in refusing

to postpone the hearing, upon sufficient cause shown, or in

refusing to hear evidence pertinent and material to the

controversy; or of any other misbehavior by which the rights of

any party have been prejudiced; or

(4) where the arbitrators exceeded their powers, or so

imperfectly executed them that a mutual, final, and definite

award upon the subject matter submitted was not made.

(b) If an award is vacated and the time within which the

agreement required the award to be made has not expired, the court

may, in its discretion, direct a rehearing by the arbitrators.

(c) The United States district court for the district wherein an

award was made that was issued pursuant to section 580 of title 5

may make an order vacating the award upon the application of a

person, other than a party to the arbitration, who is adversely

affected or aggrieved by the award, if the use of arbitration or

the award is clearly inconsistent with the factors set forth in

section 572 of title 5.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 672; Pub. L. 101-552, Sec. 5,

Nov. 15, 1990, 104 Stat. 2745; Pub. L. 102-354, Sec. 5(b)(4), Aug.

26, 1992, 106 Stat. 946; Pub. L. 107-169, Sec. 1, May 7, 2002, 116

Stat. 132.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 10, 43 Stat. 885.

AMENDMENTS

2002 - Subsec. (a)(1) to (4). Pub. L. 107-169, Sec. 1(1)-(3),

substituted ''where'' for ''Where'' and realigned margins in pars.

(1) to (4), and substituted a semicolon for period at end in pars.

(1) and (2) and ''; or'' for the period at end in par. (3).

Subsec. (a)(5). Pub. L. 107-169, Sec. 1(5), substituted ''If an

award'' for ''Where an award'', inserted a comma after ''expired'',

and redesignated par. (5) as subsec. (b).

Subsec. (b). Pub. L. 107-169, Sec. 1(4), (5), redesignated

subsec. (a)(5) as (b). Former subsec. (b) redesignated (c).

Subsec. (c). Pub. L. 107-169, Sec. 1(4), redesignated subsec. (b)

as (c).

1992 - Subsec. (b). Pub. L. 102-354 substituted ''section 580''

for ''section 590'' and ''section 572'' for ''section 582''.

1990 - Pub. L. 101-552 designated existing provisions as subsec.

(a), in introductory provisions substituted ''In any'' for ''In

either'', redesignated former subsecs. (a) to (e) as pars. (1) to

(5), respectively, and added subsec. (b) which read as follows:

''The United States district court for the district wherein an

award was made that was issued pursuant to section 580 of title 5

may make an order vacating the award upon the application of a

person, other than a party to the arbitration, who is adversely

affected or aggrieved by the award, if the use of arbitration or

the award is clearly inconsistent with the factors set forth in

section 572 of title 5.''

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 9 of this title; title 5

sections 580, 581; title 8 section 1182; title 41 section 607.

-CITE-

9 USC Sec. 11 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 11. Same; modification or correction; grounds; order

-STATUTE-

In either of the following cases the United States court in and

for the district wherein the award was made may make an order

modifying or correcting the award upon the application of any party

to the arbitration -

(a) Where there was an evident material miscalculation of figures

or an evident material mistake in the description of any person,

thing, or property referred to in the award.

(b) Where the arbitrators have awarded upon a matter not

submitted to them, unless it is a matter not affecting the merits

of the decision upon the matter submitted.

(c) Where the award is imperfect in matter of form not affecting

the merits of the controversy.

The order may modify and correct the award, so as to effect the

intent thereof and promote justice between the parties.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 673.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 11, 43 Stat. 885.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 9 of this title; title 5

sections 580, 581; title 8 section 1182; title 41 section 607.

-CITE-

9 USC Sec. 12 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 12. Notice of motions to vacate or modify; service; stay of

proceedings

-STATUTE-

Notice of a motion to vacate, modify, or correct an award must be

served upon the adverse party or his attorney within three months

after the award is filed or delivered. If the adverse party is a

resident of the district within which the award was made, such

service shall be made upon the adverse party or his attorney as

prescribed by law for service of notice of motion in an action in

the same court. If the adverse party shall be a nonresident then

the notice of the application shall be served by the marshal of any

district within which the adverse party may be found in like manner

as other process of the court. For the purposes of the motion any

judge who might make an order to stay the proceedings in an action

brought in the same court may make an order, to be served with the

notice of motion, staying the proceedings of the adverse party to

enforce the award.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 673.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 12, 43 Stat. 885.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 5 sections 580, 581; title

41 section 607.

-CITE-

9 USC Sec. 13 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 13. Papers filed with order on motions; judgment; docketing;

force and effect; enforcement

-STATUTE-

The party moving for an order confirming, modifying, or

correcting an award shall, at the time such order is filed with the

clerk for the entry of judgment thereon, also file the following

papers with the clerk:

(a) The agreement; the selection or appointment, if any, of an

additional arbitrator or umpire; and each written extension of the

time, if any, within which to make the award.

(b) The award.

(c) Each notice, affidavit, or other paper used upon an

application to confirm, modify, or correct the award, and a copy of

each order of the court upon such an application.

The judgment shall be docketed as if it was rendered in an

action.

The judgment so entered shall have the same force and effect, in

all respects, as, and be subject to all the provisions of law

relating to, a judgment in an action; and it may be enforced as if

it had been rendered in an action in the court in which it is

entered.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 673.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 13, 43 Stat. 886.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 5 sections 580, 581; title

41 section 607.

-CITE-

9 USC Sec. 14 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 14. Contracts not affected

-STATUTE-

This title shall not apply to contracts made prior to January 1,

1926.

-SOURCE-

(July 30, 1947, ch. 392, 61 Stat. 674.)

-MISC1-

DERIVATION

Act Feb. 12, 1925, ch. 213, Sec. 15, 43 Stat. 886.

PRIOR PROVISIONS

Act Feb. 12, 1925, ch. 213, Sec. 14, 43 Stat. 886, former

provisions of section 14 of this title relating to ''short title''

is not now covered.

-CITE-

9 USC Sec. 15 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 15. Inapplicability of the Act of State doctrine

-STATUTE-

Enforcement of arbitral agreements, confirmation of arbitral

awards, and execution upon judgments based on orders confirming

such awards shall not be refused on the basis of the Act of State

doctrine.

-SOURCE-

(Added Pub. L. 100-669, Sec. 1, Nov. 16, 1988, 102 Stat. 3969.)

-COD-

CODIFICATION

Another section 15 of this title was renumbered section 16 of

this title.

-CITE-

9 USC Sec. 16 01/06/03

-EXPCITE-

TITLE 9 - ARBITRATION

CHAPTER 1 - GENERAL PROVISIONS

-HEAD-

Sec. 16. Appeals

-STATUTE-

(a) An appeal may be taken from -

(1) an order -

(A) refusing a stay of any action under section 3 of this

title,

(B) denying a petition under section 4 of this title to order

arbitration to proceed,

(C) denying an application under section 206 of this title to

compel arbitration,

(D) confirming or denying confirmation of an award or partial

award, or

(E) modifying, correcting, or vacating an award;

(2) an interlocutory order granting, continuing, or modifying

an injunction against an arbitration that is subject to this

title; or

(3) a final decision with respect to an arbitration that is

subject to this title.

(b) Except as otherwise provided in section 1292(b) of title 28,

an appeal may not be taken from an interlocutory order -

(1) granting a stay of any action under section 3 of this

title;

(2) directing arbitration to proceed under section 4 of this

title;

(3) compelling arbitration under section 206 of this title; or

(4) refusing to enjoin an arbitration that is subject to this

title.

-SOURCE-

(Added Pub. L. 100-702, title X, Sec. 1019(a), Nov. 19, 1988, 102

Stat. 4670, Sec. 15; renumbered Sec. 16, Pub. L. 101-650, title

III, Sec. 325(a)(1), Dec. 1, 1990, 104 Stat. 5120.)

-MISC1-

AMENDMENTS

1990 - Pub. L. 101-650 renumbered the second section 15 of this

title as this section.

-CITE-