63 Recognition and execution of foreign arbitral awards Abstract This thesis deals with the issue of recognition and performance of foreign arbitral awards in the field of private international law. The aim of the thesis is to clarify the distinction between recognition and performance and to focus on the issue of enforceability in judicial and enforcement proceedings. The thesis is divided into four chapters describing individual elements of arbitration and recognition and enforcement of arbitral awards. In the first chapter I deal with the arbitration, which is a prerequisite for the arbitral award. The second chapter defines the arbitral award itself, its particulars, types, and the procedure for its abolition. In the third chapter I dealt with the most important sources in the field of foreign arbitral awards and the last chapter is the most comprehensive. It contains a process of recognition and execution, including denial under the New York Convention, the current issue of the decision-making practice of the Supreme court of the Czech Republic, as well as recognition and enforcement in the territory of Switzerland. At the end of the thesis the Swiss and Czech legal regulations of the arbitration proceedings are compared, the amendment of the rules of arbitration of the International Chamber of...

Diferentemente do que ocorre na área pública, na qual tanto a Corte Internacional de Justiça (CIJ) quanto a Dispute Solution Board (DSB) da OMC estão aptas a solucionar os conflitos internacionais públicos, na área jurídica privada não é viável, no mundo contemporâneo, imaginar a existência de um modelo supranacional e global para a solução de litígios privados internacionais que se guiasse por normas processuais próprias e aplicasse normas materiais unificadas internacionalmente. Assim, cada país estabelece seu poder jurisdicional dentro de seu próprio território e nos limites postos pelo direito internacional, de modo que, atualmente, exceto nos casos em que se convencionar a solução do conflito pela via da arbitragem, será sempre um tribunal nacional que decidirá o litígio de caráter internacional. Haverá, evidentemente, casos em que as decisões proferidas em tribunais nacionais não apresentarão aptidão para garantir a efetivação dos interesses tutelados, fazendo-se necessário que parte ou a totalidade dos efeitos práticos da sentença sejam produzidos em outros sistemas jurídicos, ocasião em que, salvo convenções e tratados internacionais, haverá a necessidade de seu reconhecimento, por meio do processo de homologação, para que possa ser executada. Busca este trabalho demonstrar que nem todos os efeitos da sentença dependem do procedimento de homologação para que se manifestem. Por outro lado, a Lei de Arbitragem, ao equiparar em efeitos laudos arbitrais a sentenças estatais, consequentemente impõe ao laudo arbitral estrangeiro o seu reconhecimento por meio do processo de homologação pelo Superior Tribunal de Justiça, para que, só então, possa ser executado. Tal medida legislativa parece desconsiderar a distinção entre sentença judicial e laudo arbitral, este de natureza privada, que não decorre da prestação jurisdicional de um Estado, mas sim proferido por pessoas despidas de qualquer autoridade pública, cujo poder jurisdicional provém de convenção privada das partes. Em resposta a essa situação, propõe-se este trabalho demonstrar a diferença entre laudo e sentença, no intuito de eliminar a exigência legal da homologação dos laudos arbitrais estrangeiros pelo Superior Tribunal de Justiça, sem contudo retirar-lhes os efeitos, o que se daria pela limitação das matérias de defesa no processo de execução de títulos executivos extrajudiciais / Differently of what it happens in the public area, in the which both the International Court of Justice (CIJ) and the Dispute Solution Board (DSB) of OMC are capable to solve the public international conflicts, in the private juridical area it is not viable, in the contemporary world, to imagine the existence of a supranational and global model for the solution of private international litigations guided by own procedural norms and applied material norms internationally unified. Thus, each country establishes its jurisdictional power inside its own territory and into the limits put by the international law, so that, now, except in the cases that the solution of the conflict is stipulated by the means of arbitration, it will always be a national court that will decide the international litigations. There will be, evidently, cases in which the pronounced decisions by national courts wil not present aptitude to guarantee the efectiveness of the tutored interests, being necessary that part or the totality of the practical effects of the sentence are produced in other juridical systems, occasion in that, except for conventions and international agreements, there will be the need of its recognition, through the approval process, so that it can be executed. This work aims to demonstrate that not all the effects of the sentence depend on the approval procedure to be shown. On the other hand, the Law of Arbitration, when matching in effects arbitral awards to public sentences, consequently imposes to the foreign arbitral award its recognition by the means of the approval process by the Superior Tribunal of Justice, so that, only then, it can be executed. Such a legislative measure seems to disrespect the distinction between judicial sentence and arbitral award, this of private nature, that doesnt elapse from the jurisditional rendering of a State, but is pronounced by people without any public authority, whose jurisdictional power comes from the private convention of the parts. In response to that situation, this work intends to demonstrate the difference between arbitral award and sentence, in the intention to eliminate the legal demand of the approval of the foreign arbitral awards by the Superior Tribunal of Justice, without however removing their effects, what would de done by the limitation of the defense matters in the process of execution of extrajudicial executive titles.

The topic of this diploma thesis is domestic arbitration proceedings in the Czech Republic with a focus on the court setting aside an arbitral award. Following a short introduction to the history and presence of the arbitration proceedings in Bohemia in the Chapter 1, the thesis focuses mainly on court setting aside an arbitral award as regulated in Article 30 of Act. No. 216/1994 Coll., about arbitration proceedings and enforcement of arbitral awards, as amended, with respect to the order of the provision. The aim of the thesis is to analyze the reasons for setting aside an arbitral award on the basis of analysis of legal literature and judicial decisions. Because certain reasons for setting aside an arbitral award by the court reveal questions that are controversial, such controversial questions are introduced. The solutions and authoresses distinctive views to such questions are presented. After a brief introduction of court setting aside an arbitral award in the Chapter 2, attention is paid to the lack of arbitrability as a reason for setting aside an arbitral award. The distinction between objective and subjective arbitrability is made. The objective arbitrability, which shows the scope of subject matters that can be solved in arbitration proceedings, is discussed in a separate subchapter. The...

The thesis deals with the area of questions regarding the law and practice of arbitration in the USA and the Czech Republic. The author aims to reflect the most significant differences between both legal systems that lead to the fundamentally different approaches to the arbitration in both countries. The paper is divided in seven chapters. The first two chapters describe the principles and law of arbitration both in the USA and Czech Republic. Third chapter deals with the problem of arbitrability of the dispute. The arbitration agreements and their essentials are considered in the fourth chapter. The fifth chapter has been dedicated to the arbitration proceedings and its particular stages with the aim to provide the reader with the complex overview of the course of the dispute. In the sixth chapter, the author analyzes revision, vacation and enforcement of the arbitral awards, whereas chapter seven is dedicated to the special issues such as interim measures, the application of the res iudicata principle, waiver of right to arbitrate and arbitrability of disputes arising of employment and consumer contracts.

This study is concerned with the recognition and enforcement of foreign arbitral awards under the relevant regimes in the GCC states, both local law and international conventions. The easy enforceability of arbitral awards is considered one of the main factors in the success of international commercial arbitration. Thus this thesis not only attempts a comprehensive analysis of the requirements of and procedures for recognition and enforcement of foreign awards in the GCC States, but also evaluates whether the GCC’s laws and practices comply with best international practice standards, especially as embodied in the 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards. The thesis comprises of seven chapters. The first chapter examines the legal framework of the GCC States, and provides a brief history of the rules governing arbitration and the recognition and enforcement of foreign arbitral awards. Chapter two looks at general principles regarding recognition and enforcement of foreign arbitral awards. Chapter three covers jurisdictional elements in the recognition and enforcement of arbitral awards in the GCC States. Chapter four examines the procedural steps demanded by each state for the enforcement of an award, looking particularly at the impact of relevant international conventions on these issues. Chapter five deals with the evidence which must be tendered and the conditions that must be satisfied in order to obtain the recognition and enforcement of foreign arbitral awards in the GCC States. Chapter six examines the grounds on which a respondent may apply to dismiss an application for recognition and enforcement of a foreign arbitral award. Chapter seven then deals with the grounds on which a foreign arbitral award must be refused enforcement. The concluding chapter summarises the problems thrown up by the study, and suggests a common way forward for the legal systems of the states of the Arabian Gulf in dealing with these issues.

Conforme a Lei n.º 9.307, de 23 de setembro de 1996, as sentenças arbitrais nacionais produzem os mesmos efeitos das sentenças judiciais, independentemente de homologação. A despeito disso, elas se encontram sujeitas ao controle do Poder Judiciário. A Lei de Arbitragem disciplina os limites e meios para a impugnação judicial das sentenças arbitrais nacionais basicamente em dois dispositivos, os arts. 32 e 33. Optou-se por um regramento bastante sucinto, mas que é suficiente para resolver as situações práticas que podem se verificar quando uma sentença arbitral é impugnada. Compreendido que a arbitragem é processo de origem convencional (privada) e que por força daquelas e outras regras, como os arts. 17, 18, 20, § 2º, e 31 ela se insere no círculo da teoria geral do processo (aplicando-se-lhe, por conseguinte, os respectivos princípios e conceitos) e se sujeita aos ditames essenciais do devido processo legal, torna-se possível, a partir das técnicas interpretativas existentes, chegar a soluções para as diversas questões envolvendo o controle judicial das sentenças arbitrais nacionais das quais a Lei n.º 9.307 não tratou expressamente ou de que tratou de forma imprecisa. / According to Law n.o 9.307, which came into effect in September 23rd, 1996, domestic arbitral awards have the same effect on the parties as a ruling by a State Court, without the need for judicial confirmation. The Brazilian Arbitration Act regulates the limits and means for the judicial challenge of domestic arbitral awards in, essentialy, two articles, art. 32 and 33. The Act opted for brief rules on the issue, but they are sufficient to resolve the practical situations that may arise when an arbitral award is challenged. Understanding that arbitration is a process of conventional origin (private) and that due to those as well as other rules, such as articles 17, 18, 20, paragraph 2, and 31 it is contained in the field of general procedural theory (so that, consequently, the same principles and concepts are applicable) and is subject to the essential dictates of due legal process, it becomes possible, due to existing techniques of interpretation, to develop solutions to the many issues involving the judicial control of domestic arbitral awards that Law n.o 9.307 either did not expressly regulate or regulated imprecisely.

A presente tese versa sobre a aplicação errônea, pelo árbitro, do Direito Brasileiro ao mérito do litígio. Tendo em vista o ineditismo, em nosso País, do estudo das consequências advindas à sentença arbitral prolatada mediante uma aplicação equivocada do Direito que rege o mérito da controvérsia, revelou-se fundamental uma análise de Direito Comparado. Assim, consultou-se o Direito dos Estados Unidos da América, do Reino Unido, da Alemanha, da Itália, da Áustria, da Suíça e da França, a fim de se constatar se é admissível, nos referidos Países, alguma medida judicial contra tal situação. Primeiramente, empreendeu-se um exame das consequências que podem advir, nos 7 (sete) Países citados, a uma sentença arbitral doméstica, assim definida conforme a legislação de cada País. Como a medida habitual para se afastar uma sentença arbitral doméstica é a ação de anulação, buscou-se examinar as hipóteses que ensejam seu ajuizamento em cada País estudado, a fim de se constatar se dentre elas insere-se a aplicação errônea do Direito que rege o fundo da disputa. Ou, em caso negativo, se a violação à ordem pública inclui-se nas hipóteses de anulação. E, por último, se a ofensa à ordem pública compreende a aplicação errônea, pelo árbitro, do Direito de cada País sub examine. Em segundo lugar, examinaram-se as consequências que advêm para uma sentença arbitral estrangeira em que se aplicou erroneamente o Direito que rege o mérito da controvérsia. Como todos os sete Países examinados são Estados-membros da Convenção de Nova Iorque de 10 de junho de 1958 sobre o Reconhecimento e a Execução de Sentenças Arbitrais Estrangeiras, que prevê em seu artigo V, n 2, alínea b, a violação à ordem pública como óbice à homologação da sentença arbitra alienígena, a aplicação do referido dispositivo em cada Estado foi analisado. Tentou-se averiguar se a ofensa à ordem pública consubstanciada na referida Convenção poderia abranger a aplicação errônea do Direito material pelo árbitro. Em seguida, examinou-se a legislação e a doutrina brasileiras tanto no que tange à ação anulatória de laudos arbitrais brasileiros, quanto à homologação dos laudos estrangeiros , a fim de se proporem soluções para esta questão em nosso ordenamento jurídico. Por fim, analisou-se se é possível, no Brasil, homologar uma sentença arbitral estrangeira que tenha sido anulada no País em que foi prolatada com base no argumento da aplicação errônea do Direito do referido Estado ao mérito da arbitragem. / This thesis concerns the erroneous application, by the arbitrator, of Brazilian Law to the merits of the case. Due to the originality in our country of the study of the consequences that arise to the arbitral award issued through an erroneous application of the Law that governs the merits of the dispute, the analysis of Comparative Law was fundamental. Therefore, the Laws of United States of America, United Kingdom, Germany, Italy, Austria, Switzerland and France were analysed, in order to discover whether any legal remedy is available against such situation. First, we examined the consequences that can arise to a domestic arbitral award as defined in the legislation of each country in the seven (7) countries examined. Since the habitual measure to set aside a domestic arbitral award consists in its annulment, we tried to analyse the grounds to set aside such award in each country, so that we could find out whether the erroneous application of the governing law is included therein. Otherwise, we tried to find out whether the violation of public policy constitutes a ground for annulment. Last, we tried to analyse whether the violation of public policy encompasses the erroneous application of the national Law in each country examined. Second, we examined the consequences that arise to a foreign arbitral award in which the governing law was wrongly applied. Once all seven countries are members of New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards dated June 10, 1958, (which stipulates in Article 5, no. 2, b, that the violation of public policy is an obstacle for the recognition of the foreign arbitral award), the application of the latter in each of the seven countries was examined. We tried to find out whether the violation of public policy set forth in the Convention could encompass the erroneous application by the arbitrator of material Law. Afterwards, Brazilian Law and doctrine was examined not only in what relates to the action to set aside Brazilian arbitral awards, but also the recognition of foreign awards in order to suggest solutions to this question in our legal system. Finally, we analysed whether it is possible to recognize in Brazil a foreign arbitral award that has been set aside in the country in which it was rendered due to the erroneous application of the Law of the relevant State to the merits of the dispute.

A presente tese versa sobre a aplicação errônea, pelo árbitro, do Direito Brasileiro ao mérito do litígio. Tendo em vista o ineditismo, em nosso País, do estudo das consequências advindas à sentença arbitral prolatada mediante uma aplicação equivocada do Direito que rege o mérito da controvérsia, revelou-se fundamental uma análise de Direito Comparado. Assim, consultou-se o Direito dos Estados Unidos da América, do Reino Unido, da Alemanha, da Itália, da Áustria, da Suíça e da França, a fim de se constatar se é admissível, nos referidos Países, alguma medida judicial contra tal situação. Primeiramente, empreendeu-se um exame das consequências que podem advir, nos 7 (sete) Países citados, a uma sentença arbitral doméstica, assim definida conforme a legislação de cada País. Como a medida habitual para se afastar uma sentença arbitral doméstica é a ação de anulação, buscou-se examinar as hipóteses que ensejam seu ajuizamento em cada País estudado, a fim de se constatar se dentre elas insere-se a aplicação errônea do Direito que rege o fundo da disputa. Ou, em caso negativo, se a violação à ordem pública inclui-se nas hipóteses de anulação. E, por último, se a ofensa à ordem pública compreende a aplicação errônea, pelo árbitro, do Direito de cada País sub examine. Em segundo lugar, examinaram-se as consequências que advêm para uma sentença arbitral estrangeira em que se aplicou erroneamente o Direito que rege o mérito da controvérsia. Como todos os sete Países examinados são Estados-membros da Convenção de Nova Iorque de 10 de junho de 1958 sobre o Reconhecimento e a Execução de Sentenças Arbitrais Estrangeiras, que prevê em seu artigo V, n 2, alínea b, a violação à ordem pública como óbice à homologação da sentença arbitra alienígena, a aplicação do referido dispositivo em cada Estado foi analisado. Tentou-se averiguar se a ofensa à ordem pública consubstanciada na referida Convenção poderia abranger a aplicação errônea do Direito material pelo árbitro. Em seguida, examinou-se a legislação e a doutrina brasileiras tanto no que tange à ação anulatória de laudos arbitrais brasileiros, quanto à homologação dos laudos estrangeiros , a fim de se proporem soluções para esta questão em nosso ordenamento jurídico. Por fim, analisou-se se é possível, no Brasil, homologar uma sentença arbitral estrangeira que tenha sido anulada no País em que foi prolatada com base no argumento da aplicação errônea do Direito do referido Estado ao mérito da arbitragem. / This thesis concerns the erroneous application, by the arbitrator, of Brazilian Law to the merits of the case. Due to the originality in our country of the study of the consequences that arise to the arbitral award issued through an erroneous application of the Law that governs the merits of the dispute, the analysis of Comparative Law was fundamental. Therefore, the Laws of United States of America, United Kingdom, Germany, Italy, Austria, Switzerland and France were analysed, in order to discover whether any legal remedy is available against such situation. First, we examined the consequences that can arise to a domestic arbitral award as defined in the legislation of each country in the seven (7) countries examined. Since the habitual measure to set aside a domestic arbitral award consists in its annulment, we tried to analyse the grounds to set aside such award in each country, so that we could find out whether the erroneous application of the governing law is included therein. Otherwise, we tried to find out whether the violation of public policy constitutes a ground for annulment. Last, we tried to analyse whether the violation of public policy encompasses the erroneous application of the national Law in each country examined. Second, we examined the consequences that arise to a foreign arbitral award in which the governing law was wrongly applied. Once all seven countries are members of New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards dated June 10, 1958, (which stipulates in Article 5, no. 2, b, that the violation of public policy is an obstacle for the recognition of the foreign arbitral award), the application of the latter in each of the seven countries was examined. We tried to find out whether the violation of public policy set forth in the Convention could encompass the erroneous application by the arbitrator of material Law. Afterwards, Brazilian Law and doctrine was examined not only in what relates to the action to set aside Brazilian arbitral awards, but also the recognition of foreign awards in order to suggest solutions to this question in our legal system. Finally, we analysed whether it is possible to recognize in Brazil a foreign arbitral award that has been set aside in the country in which it was rendered due to the erroneous application of the Law of the relevant State to the merits of the dispute.

Conforme a Lei n.º 9.307, de 23 de setembro de 1996, as sentenças arbitrais nacionais produzem os mesmos efeitos das sentenças judiciais, independentemente de homologação. A despeito disso, elas se encontram sujeitas ao controle do Poder Judiciário. A Lei de Arbitragem disciplina os limites e meios para a impugnação judicial das sentenças arbitrais nacionais basicamente em dois dispositivos, os arts. 32 e 33. Optou-se por um regramento bastante sucinto, mas que é suficiente para resolver as situações práticas que podem se verificar quando uma sentença arbitral é impugnada. Compreendido que a arbitragem é processo de origem convencional (privada) e que por força daquelas e outras regras, como os arts. 17, 18, 20, § 2º, e 31 ela se insere no círculo da teoria geral do processo (aplicando-se-lhe, por conseguinte, os respectivos princípios e conceitos) e se sujeita aos ditames essenciais do devido processo legal, torna-se possível, a partir das técnicas interpretativas existentes, chegar a soluções para as diversas questões envolvendo o controle judicial das sentenças arbitrais nacionais das quais a Lei n.º 9.307 não tratou expressamente ou de que tratou de forma imprecisa. / According to Law n.o 9.307, which came into effect in September 23rd, 1996, domestic arbitral awards have the same effect on the parties as a ruling by a State Court, without the need for judicial confirmation. The Brazilian Arbitration Act regulates the limits and means for the judicial challenge of domestic arbitral awards in, essentialy, two articles, art. 32 and 33. The Act opted for brief rules on the issue, but they are sufficient to resolve the practical situations that may arise when an arbitral award is challenged. Understanding that arbitration is a process of conventional origin (private) and that due to those as well as other rules, such as articles 17, 18, 20, paragraph 2, and 31 it is contained in the field of general procedural theory (so that, consequently, the same principles and concepts are applicable) and is subject to the essential dictates of due legal process, it becomes possible, due to existing techniques of interpretation, to develop solutions to the many issues involving the judicial control of domestic arbitral awards that Law n.o 9.307 either did not expressly regulate or regulated imprecisely.

The theses includes an analysis of the institute of setting aside an arbitral award by court. It is focused on summary of present theoretical findings which are drawn mainly from commentary literature. However, the key focus of the theses is an analysis of relevant judicial decisions related to the investigated institute. It uses decisions of the Supreme Court of the Czech Republic and the Constitutional Court of the Czech Republic in particular. The theses is divided into introduction, four parts and conclusion. The first part contains a brief explanation of historical development of setting aside an arbitral award. Then it is focused on theoretical doctrines and judicial decisions related to the nature of arbitration and arbitral award and on the role of the courts in arbitration. The following part deals with the setting aside an arbitral award as a civil proceeding. It focuses on material juristiction of courts to the proceeding and possibility of setting aside a resolution issued by arbitrator as both of these matters are new to the proceeding. The fundamental part of the theses is the analysis of the various reasons for setting aside an arbitral award. All seven reasons are covered in the order in which they appear in the law. Priority is given to the reasons consisting in lack of...