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CURTEA DE ARBITRAJ COMERCIAL INTERNATIONAL

c.c.I.R.

REVISTAROMANA DEARBITRA.I

f,7 nnxrRoP & srRAToN 'Ü


REVISTAROMÁNÁ DE ARBITRAJ Fondatori

AdrianSeverin, OctavianCápátáná VictorBabiuc, lonBácanu,

ConsiliulStiintific

ViorelMihaiCiobanu,lon Deleanu,Grigore StanciuD. Cárpenaru, DragogAlexandru Florescu,LiviuPop,ViorelRog,loanSabáu-Pop, Sitaru,Bránduga$tefánescu,MarinVoicu

Colaboratoriprincipali

Sergiu Ruxandra Chiru,MihaelaCozmanciuc, $erbanBeligrádeanu, Lucian Mihai, Deleanu, Dumitrulvanciu, SilviuJecu,CrengutaLeaua, Roxana Munteanu,lon l. Nestor, Dan Andrei Popescu,Titus Prescure,Ana Savin,loan Schiau,VictorTánásescu,MariaVeriotti, CálinAndreiZamfirescu

Redactor-sef Secretarde redactie

Bobei Radu-Bogdan BazilOolindá

Materialelepentru publtcare,pt ecuntsr corespondentavor fi trimtsepe adresa: Cufteade ArbitralComerciallnternationalde pe lángáCamerade ComertSi lndustnea Romániet, Bdul OctavianGogartr. 2, sector2, Bucure5tl Tel,;+40213/ 9,0/ , | 3; Fax;+40213/ 9,01,26 r,ro E-mall; arbttratton@cct publicárli Románede Arbitraj"nu impuneobligativitatea materialelorcátre redactia,,Revrtstel Transmiterea acestora,Matenalelenepublicatenu se rest,tu'e, editatáde: Publicatietrimestrialá RBNTROP & STRATON I S S N :1 8 4 2 - 6 8 5 9 ManagerCentrude Profit Marinalstvan(marinai@rs.ro) DanaSegárceanu Tehnoredactare ElviraPanaitescu Corecturá Pre[: abonamentpe 12 luni (4 numere)196,2lei/abon.* g¡ Pentru detalii comenz¡ accesati site-urile:www.revistadearbitrai.rogi/sau www,rs,ro Serviciul Clienti va prelua cu plácere solicitárile dvs.! sau sunati la tel. 021/209.45.45. Clientitel.:(021)209.45.45;fax:(021)205.57.30;e-mail:revistadearbitraj@rs.ro Serviciul O RENTROP & STRATON Toate drepturilerezervate.Nic o parte din aceastálucrare nu poate fi reprodusá,arhivatásau transmisásub , e c a n i c es a u e l e c t r o n i c ef,o t o c o p i e r ei,n r e g i s t r a r ea u d j os a u v i d e o ,f á r á p e r m i s i u n e ian s c r i s n i c i of o r m á 9 i p r i n n i c i u nf e l d e m r j l o a c em d i n p a r t e ae d i t o r u l u iA. u t o r i is a u e d i t o r i in u s u n t r e s p o n s a b i lpi e n t r un i c i o p i e r d e r eo c a z i o n a t áv r e u n e ip e r s o a n ef i z i c es a u . i u r i d i c ce a r e actioneazásau se abline de la ac{iuni ca urmare a citirii materialelorpublicatein aceastá lucrare. Puteti consufta gi celelalte lucrári editate de RENTROP & STRATON la adresa: www,rs,ro * Prel in vigoarepáná la 15 septembrie2008.

{ís !-

'RENTROP & STRATON (irup de [dittlra ri Consultantáin Afaccri

5,Bucuregti BdulNatiunile nr.4,Gemenii Center, sector Unite (021 Tel./Fax: ) 317.25.88 Pregedinte-Director General Director Executiv Editorial Director DirectorCreatie-Productie Director Economic DirectorComercial

GeorgeStraton(gstraton@rs.ro) Tánase(ciprianat@rs.ro) Cipriana (florinc@rs.ro) FlorinCámpeanu (cristinastraton@rs.ro) Straton Cristina Mariana Neloiu(marianan@rs.ro) Valentin Tánase(vali@rs.ro)


Cuprins I. STUDII, ARTICOLE, COMENTARII The New Chilean Law on International Commercial Arbitration - Juan Eduardo FigueroaValdes Interpretári al convenliei arbitrale in jurisprudenga románá gi elvegianá(I) - dr. Radu Bogdan Bobei

18

Autonomia convenliei arbitrale in interdependenlá cu principiul Kompetenz-Kompetenz lect. univ. drd. Cristina Florescu

26

M o n i s m s a u d u a l i s m i n a r b i t r a j u cl o m e r c i a(l I I I ) - p r o f . u n i v .d r . V i c t o r B a b i u c L a N o v i t l n e l l e r e c e n t ir i f o r m e i t a l i a n ei n m a t e r i e d i a r b i t r a t o - G i o r g i oM e o

.... '..37 ........42

t I . J U R I S P R UD E N T A A R B I T R A L A Competengá - accepgiunea arbitmjului sintagmei,,locul Stabilireaechivocáa compcrenfeiinstan¡cide arbitraj instituqionalizat ¿rrbitralá clauzácompromisorieidenticácu clauza-tip uaf la Bucure;ti"- utilizarealimbii englezein procedr-rra de arbitraj recomandatáde Curtea Inrernationaláde Arbitraj de pe lángá Camera de Comer¡ Interna¡ionalcu ."57 sediullaParis. investireainstangeisraralecu solu¡ionareaunui litigiu decurgánddin sau in legáturácu un contract conginánd cu putere de lucru judecat a instanqeistatale- consecinte o clauzácompromisorievalidá qi operantá- dezinvestirea - obliga¡iatribunaluluiarbitralde a procedala verificarea proprieicompetentede solutionarea litigiului - inlocuirea . . . i8 de RPA-CA in temeiul art. 5 din acestereguli procedurii somagieide plata de proceduraprer,áz.utá Neindicareain con¡inutul clauzeicompromisorii a numelui arbitrilor sau a modalitágiide numire a lor - indi.....60 p ie r m a n e n t de e a r b i t r a cj á r e i ai s e a t r i b u i e s o l u g i o n a r e a l i t i g i u l u i - c o n s e c i n ¡ e careainstitulie unui clauzecompromisoriiin conginutulunui clauzeicompromisoriiin conrractullitigios- existenga Inexistenga a celor douá contracte- consecinqe. .61 de-sine-státátoare pár¡i existenqá alt conrracrincheiat intre aceleaEi Accep¡iuneasintagmei,,litigii patrimoniale"- caracterarbitrabil al ac¡iunii in evacuare- consecinge. . ' . .62 - consecinle cu prioritate,a instantei.statale ClauzácomDromisoriealternativá- sesizarea, judecátoreascá saupentru arbitraj- libertateade a incheia,de a nu Opgiuneaexclusiváa pár¡ilor penrru in.stan¡a ' . .65 disensus incheia 5i de a desfiin¡a convenfia arbitralá mutuus clnsensus-mutuus Procedurá arbitralá pronun!árii hotáráriiin termen de trei Decesulunei pár¡i litigantein cadrul proceduriiarbitrale- obligativitatea pasivetransmisiuniilegalea calitilii procesuale luni de la constituirearribunaluluiarbitral nerealizarea consecinte

67

Lipsa caracteruluiformal a incercáriide solu¡ionarepe cale amiabiláa litigiului comercial- aplicareaprevederilor art. 720' C.pr.civilain condigiileconvenitede pár¡i - excepIiainaplicabilitaliiproceduriiconcilieriipreala. . . 68 bile - strictainterpretareEi aplicarea excepqici Hotáráre arbitralá Cererede indreptare,lámurire gi completarea sentinfeiarbitrale* inadmisibilitate- specificulproceduriiarbi... '..69 trale-consecinte

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Cuprins Efectelehotárárii arbitrale- autoritatede lucru iudecat- consecinte

72

Cheltuieli arbitrale - caracterul comercial al contractului Achitarea integralá a debitului reclamatpáná la prima zi de inFáqi;are litigios* punereain intárzierede drept cu privire la plata cheltuielilorde arbitrareinainte de introducereacererii 76 de arbitrare Prescriplia dreptului material la acliune de cátreposesorulCEC-ului a dreptului de regresimpotriva giranRefuzulde platá a filei CEC girate- neexercitarea tului, trágátorului Ei celorlal¡i obligagi in tcrmenul dc prescripgiede 6 luni - consecinge- dublarea raportului fi-rndamentalde un raport derivat din girareaunor filc CEC in scopul stingeriidebitului principal- conintre ac¡iunilederivatedin transmisiuneaunui CEC qi acÍiunea cavzaJá. . .77 secin¡eleraportului de accesorialirate Stingereaobligafilor comerciale Inexistentacaracteruluicert, lichid 9i exigibil al obliga¡ieibanegti- consecin¡e Novaqie p r i n s c h i m b a r e d ed e b i t o r - p r i n c i p i i d e i n t e r p r e t a r e . .

. , ,79 .... '. ' 81

Contract de asigurare Neexecutareculpabilá de cátre asigurátora obliga¡iei de a anexacontractului de asiguraredocumentelereferitoare la expedigia,transportul, recepgiamárfurilo¡ asigurate- consecinge- lipsa sávár¡irii de cátre asigurat,cu inten¡ie ,"'-r áit-,culpá, a unor acre de naturá sá impiedice subrogareaasigurátorului in drepturile sale- pasivitateatotalá a asigurátorului- obliga¡ia contractualáa asigurátoruluide a plati indemnizalia de asigurare- inexistenga vreunei men¡iuni pe documentele de transport cr-rprivire la avariereamárfii asigurate- momentul anterio¡ . . .84 predariispretransporta márfii asigurate- consecinqe Contract de leasing Execurarea pargialaqi cu intárzierede cátreutilizator a obliga¡ieide platá a ratelorde leasinggi a primelor de asi'....87 gurare-reziliereconventionalá-consecin¡e - consecin¡e Neconresrarea de cátreutilizarora neplátiisumeide bani datoratecu titlu de penalitá¡i;i comisioane ta-xáde reziliere- calificare- finalitate- inexistenraunui dezechilibrusemnificativintre drepturilegi obligaEiile - stipulareaunor sancliuni párgilor- consecinre- lipsa emiterii facrurii fiscaleaferentet¿rei de reziliere- nerelevangá sancgiuniirezilieriiin temeiulur.ruipact pla¡ii ratelorde leasing aplicarea alternativepenrru intárzierea conrracruale . . . 89 comisoriuexpresde gradulIV

III. VARIA A. Congrese,conferinte, ateliere ,,Conuen¡iade la New Yorle- 50 de ani", 1 februarie 2008, New York

. . . .93

B. Recenzii B.l. Arbitration International, 4, 2007, 241 pagini

. . , . . 93

B.2. Austrian Arbitration Yearbook2008, Editura C.H. Beck, Stampfli, Manz, Viena, 2008, 532 pagini . . .93

Reüsta Románá de Arbitraj


Content

I. STUDIES, ARTICLES, COMMENTARIES

The New Chilean Law on International Commercial Arbitration (I) - Juan Eduardo FigueroaValdes . . . . I Approachesof arbitration agreement in Romanian and Swiss caselaw- Radu Bogdan Bobei, Ph.D.

. . . l8

Separability of arbitration agreement and its relation with Kompetenz - Kompetenz principle - PHD candi..,.....26 d a i e C r i s t i n a F l o r e slceuc,t u r e r

37

Victor Babiuc,Ph.D. Monism or dualism in commercial arbitration (III) - Profcs.sor L a N o v i t ) n e l l e r e c e n t ir i f o r m e i t a l i a n ei n m a t e r i ed i a r b i t r a t o - G i o r g i oM e o

'.......42

II. ARBITRAL IURISPRUDENCE Competence Ambiguous assignationof the competenceof an arbitral tribunal constituted under institutionalisedRules of arbitration-meaningof words ,,t/¡euenueof arbitration shall beBucharest"- using English languagein arbitral procedure - arbitral clause id.ntical with standard clause recommended by International Court of Arbitration ' ' ' ' ' ' 57 attachedto the InternationalChamber of Commercefrom Paris Submitting starecourr with settlinga disputearisingout of or in connectionwith the contractcontaininga valid and operati,rearbitral agreemenr- reject by statecourt with power of resjudicata of submitting with settling that - task of arbitral tribunal to proceedwith veri$'ing its own competenceto settlethe disdispuie- consequen.es of pal,ment noticc rvith the procedure provided by Rules of procedureissuedby the procedure replacing pure . . .. . 58 R o m a n i a nC o u r t o f A r b i t r a t i o n u n d e r a ¡ t . 5 o f t h c s cR u l e s. Lack of making referencero rhe namesof arbitr:rtorsor to the n-rerhodof appointrnentof arbitratorsprovidedby arbitration.g.."-.n,- making referenceto permanentarbitralinstitution for settlingof the disputeis referred """60 consequences Lack of arbitration agreemenrin disputed conrract- arbitration agreementcontained in an another contract ' ' 6l c o n c l u d e d b y t h e s a mpea r r i e s - s e l f - c o n t a i n e dx i s t e n coef t h o s er w o c o n t r a c t s - c o n s e q u e n c.e's. . . . . c tf i o nf o r e v i c t i o n - c o n s e q u e n c e.s. yo Meningofwords,,properrydisputes"-arbitrabilita an g r e e m e n t - p r i o rm a k i n g r e f e r e n c e t o s t a t e c o u r t s - c o n s e q u e n. c. .e. s Alternativearbitratio

.....62 ...64

Exclusiveoprion of parties to submit the requestto state court or to arbitration - option for concluding, not . . .65 dissensus concluding or for annulling the arbitral agreement- mt¿tuusclnsensus-mutuus Arbitral Proceedings Death of litigating party during the arbitral proceedings-compulsorinessof renderingthe award within three month From constitution of arbitral tribunal - lack of accomplishinglegal transmissionof passiveius standi conseouences . . Lack of formal atrempr ro settle amicablecommercialdispute- applianceof an. 720' Civil ProceduralCode of prior conciliation procedure- strict interpreunder consentmentof parties- exceprionof impracticableness ... '..68 t a t i o n a n d a p p l i a n c eeoxf c e p t i o n

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III


Content

Arbitral Award Request for correction, clarification or completion of arbitral award - inadmissibility - distinctive feature of '.......69 arbitralproceedings-consequences... P o w e r o fa r b i t r a al w a r d- r e s i u d i c a t a - c o n s e q u e n c e s .

'......72

Arbitral Expenses Full paymentof claimeddebt prior to the first day of hearings- commercialnatureof disputedcontract- notice ....76 d ej u r e o f d e l a yo f p a y m e n ta r b i t r a le x p e n s ebse f o r es u b m i s s i o no f r e q u e s ft o r a r b i t r a t i o n . . . . Limitation of substantive right to act Payment refusal of vouched CEC sheet - lack of exercisingthe right to throw-back against the guarantor' - doubling the fundamental drawerand other obligedpersonswithin the limitation periodof 6 month - consequences of relationwith a relationderiving from guaranteeingsomeCEC sheetsfor paying off the main debt - consequences . . . . . 77 relationbenveenactionsderiving from transmissionof a CEC sheetand causalaction accessory Extinguishment of commercial obligations Lack of existenceof certain, liquid and claimable nature of pecuniary obligation - consequences. . . ' . . . . 79 N o v a t i o n b y c h a n g i n g d e b t o r -p r i n c i p l e os f i n t e r p r e t a t i o n . .

....81

Insurance contract l.ack of faLrlryexecutionof the insurer'sobligation to annexto insurancecontract documentsrelatedto expedi- insurant'slack of accomplishing,with intention or tion, transport,receivingof insuredgoods- consequcnces its rights - full passivityof insurer- contractualobliinsr-rrcr in of srop substitution by far"rlt,of actsin order ro gation of insureยก ro pay the premium lack of existenceof any mention on the transPortdocumentsreferring ..... '84 t o i n j u r i e s s u f f e r e d b y i n s u r e d g o o d s - c o n s e q u e. .n. c. e s Leasing contract Partialand with delay executionby user of payment obligation of leasinginstallmentsand insurancepremium . '. '87 - c o n v e n t i o n a la n n u l m e n t - c o n s e q u e n c e s . Lack of contestingby userof not paying the amount of money due aspenaltiesand commissions- consequences - annulment fee - interpretation- main pLrrpose- lack of existenceof significantdissymmetrybetweencontractual rights and obligarions - consequences- lack of issuing the fiscal invoice for annulment fee - lack of relevance- stipulation alternative contractual sanctionsfor delay in payment of leasing instalments- applying ' . . . . 89 the annulment sanctionbasedon a explicit resolutiveclauseof IVth degree

III. MISCELLANEOUS workshops conferences, A. Congresses, ,,NewYorkConuention- 50 years",I February2008, NeutYorh . .

93

B. Reviews 8.1. Arbitration International, 4, 2007, 241 pagcs .

. . . . . 93

Stampfli,Manz,Vienna,2008,532pages 9 3 2008,C.H. BeckPublisher, B.2.AustrianArbitrationYearbook

TV

Revista Romรกnรก de Aยกbitrai


Sommaire

I. ÉTUOPS, ARTICLES, COMMENTAIRES The New Chilian Law on InternationalCommercialArbitration - JuanEduardoFigueroaValdes Interprétationsde la conventionarbitraledansla jurisprudenceroumaineet suisse(I) dr. RaduBogdanBobei Lautonomie de la clause d'arbitrage et son interdépendanceavec le principe Kompetenz-Kompetenz drd. Cristina Florescu,chargéde cours

l8 zt)

Monisme ou dualisme de I'arbitragecommercial (lll) - prof. univ. dr. Victor Babiuc La Noüti nelle recenti riforme italiane in materie di arbitrato - Giorgio Meo

42

II. JURISPRUDENCE ARBITRALE Compétence Détermination équivoquede la compétencede la jurisdiction d'arbitrageinstitutionnalisé acceptiondu synarbitrale - la la procédure dans ragme,,le lieu de'I'arbitrageserai Bicaresr" utilisation de la langue anglaise Internationale .liur. .ornpromissoire id.ntiqu. á la clause-type d'arbitrage recommandée par la Cour ' ' ' 57 de la Chambre de Commerce Internationalsiégeantá Paris d'Arbitrage "up.é, Saisrrla jurisdiction étatiqr:ede la solution d'un litige contenantune clausecompromissoirevalideet opérante arbitral de Tiibunal du d. chosejugée de la jurisdiction étatique conséquences obligation désaisirá. pn,..uoir. de solution du litige - substitution de la procédure procéder ) la vérification á.*la propre con-rpétence ......58 u e l ' a r t . 5d e c e s r t g l e s i ' i n ¡ o n c t i o . , d c p a y e r p a r l a p r o c é dpur réev u ep a r R P A - C A c n v e r t d Défaur d'indication dans le contenu de la claLrsccompromissoiredu nom des arbitresou de la modalité de nominationde ceux-ci- i¡dicarion de I'insritutionpermanenred'arbitragechargéede la solution du litige con""""60 séquences Inexistencede la clausecompromissoiredans le contrat litigicux - existenced'une clausecompromissoiredans le contenu d'un autre contrat conclu entre les mémesparties- existenceindépendantedesdeux contrats con" " '61 séquences arbitrablede I'action en évacuation- conséquences. . . 62 patrimoniaux- caract¿re Acceptiondu syntagme,,litige.s C l a u s e c o m p r o m i s s o i r e a l t e r n a t i v e - s a i s ienne ,p r i o r i t é ,d e l a j u r i s d i c t i o né t a t i q u e - c o n s é q u e n c e s. ' . . . . 6 4 Option exclusivedes parties pour la jurisdiction étatique ou pour I'arbitrage liberté de conclure, de ne pascon' ' ' ' 65 dissensus clr.r.".t d'annuler l" .o.r,r.r,tlon arbitrale mutuus clnsensus-mutuus Procédure arbitrale Décésd'une partie litigieusependant la procédurearbitrale- obligativitédu prononcé le jugement á partir de trois mois depuis la constitution du Tiibunal arbitral - non réalisationde la transmissionlégalede la qualité o/ passive- conséquences processuelle Ddfaut du caractéreformal de la tentativede solution ) I'amiablcdu litige commercial applicationdesdispositions - exception de de I'art. 720' du Code de procédure civile dans les conditions établies par les parties . . 68 I'exception áe la conciliationpréalable interprétationet applicationstrictede l'inapplicabilitéde la procédr"rre Sentencearbitrale Demandede correction,explicationet complétementdu jugement arbitral - inadmissibilité spécifiquede la 69 procédurearbitrale conséquences

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72

Efectsde la décision arbitrale - autorité de chosejugée - conséquences Frais de I'arbitrage

Paiementintegral du débit réclaméjusqu'au premier jour de comparution - caract¿recommercialdu contrat litigieux - miie en retard de droit concernantle paiement des frais de l'arbitrageavant l'introduction de la " "76 deÁande d'arbitrage Prescription du droit matériel á I'action Refusde paiemenrde la feuille de chéquegaranrie- défautd'exercicepar le titulairedu chéquedu droit de regréscon- doublagedu rapport de 6 mois - conséquences tre le gérant,le tireur et lesautresobligésdansle délaide prescriptior.r fondÁ.ntal par un rapporr découléde la garantiedcs feuilleschéquedansle but d'éteindrele débit principal corlclela transmissiond'un chéqueet l'action causale. .77 enrrelesactionsdécoulécs du rapporrd'accessorialité séquences Extinction des obligations commerciales Inexistencedu caractérecert, liquide et exigiblede I'obligationpécuniaire- conséquences . Novation par changementdu débiteur- principesd'interprétation

. . . . .79

8t

Contrat d'assurance des documentsrelatifsá Non exécutioncoupablepar I'assureurde I'obligationde joindre au contrat d'assurance de commissionpar défaut assurées conséquences I'expédition,au rransporr,á la réceptiondes marchandises I'assuré,avec dol oll par faute, des actesdestiné.sá empécherla subrogationde I'assureurdans sesdroits passivitétotale de I'assureur- obligation contractuellede I'assureurde payer I'indemnisationd'assurance sur l'avariede la marchandiseassurée moment inexistenced'une mention sur les documents de trar-rsport .......84 a s s urée-conséquences m a r c h a n d i s e a n r é r i e u r á l rae m i s e p o u r l et r a n s p o r t d e l a Contrat de leasing Exécution partielleer en retard par l'utilisateurde l'obligation de paiement des mensualitésde leasinget des ' " " " '87 p r i m e s d ' a s s u r a n c e - r é s i l i a t i ocno n v e n t i o n n e l l-ec o n s é q u e n c e s Manque de conresterpar l'urilisateurdu montant dü á titre de pénalitéset commissions- conséquencestaxede résiliarion -qualification - fin.lit¿ - inexistenced'un déséquilibresignificatifentre les droits et lesobligationsdesParties - défaut d'émission de la facture fiscalerelativeá la taxe de résiliation - irrélévance- stipulation des - conséquences sanctioni conrracruellesalternativespour le rerarddu paiement desmensualitésde leasing application de la sa¡rction ' ' ' ' ' ' 89 de la résiliation en vertu d'un pacte commissoireexprésde IV-éme degré III. VARIA A. Congrés, conférences,ateliers ,,Conuentionde New York- 50 années",I février 2008, New York B. Compte rendus

4, 2007, 241 pages. . . . B.1.ArbitrationInternational,

93

8.2. Austrian fubitration Yearbook2008, Maison d'Édition C.H. Beck, Stampfli, Manz, Vienne, 2008, 5??

\.I

neoes

93

Reüsta Románá de Arbitrai


Studii.articole,comentarii

The New ChileanLaw on CommercialArbitration* lnternational

Noualegechilianácu privirela arbitrajulcomercialinternational* Juan Eduardo FigueroaValdés

Juan Eduardo FigueroaValdés

Abstract The new Chilean International Commercir¿lAr' bitration Law JV 19.971 integratesChile with rhe countries tbat haue adopted in its international organizatiott, the LTNCITRAL International Arbitration Law of 19r95, to the modern tendencyto the harmonizttrion as a resPTnse of the international commercia/ arbi*ation rules, prouiding a flexible regulation, bdsedon the principle oJ'auro' nomy of will of the parties. It contibutes to clnuey dn and reliability to the countr! within image of seriousness and judicial communi4,, which business the international carriesjudicial securi4tfor inuestorsand foreign clunterparts. It creltes a juridical systemfor the resolution of international controuersiesamong priuate people in the settingof the AssociationAgreementbetuteenChile and the Eurl?ean community and the United Statesof America.

Rezumat lrloua lege chilian,i a arbitrajului comercial internlt' tiondl determinti alinierea statului Chile ín rándul ¡arilor ce au adoptat in sistemul reglementdrii interna¡ionale Regulile UNCITRAL referitoare la arbitrajul comercial itlrernatilnal, ca un rdspunsla tendin¡a modernd de ar' monizare d regulilor arbitmjului comercial interna¡ional, flexibil,i íntemeiatape fiind astfelfurnizatti 0 reglementare Aceastdnoud pdr¡ilor. a principiul autonomiei de uoin¡d reg/ementareconnibuie la creareaunei imagini de serio' zitate ti de íncrederea statului Chile tn cadrul comunit,i¡ii interna¡ionalejuridice ¡i economice,asPectcecontribuie la securitateajuridic,i a inuestitorilor ¡i a partenerilor acesto' ra. Este creltt un sistemjuridic de solu¡ionarea litigiilor intern/ltilna/e dintre entita¡i priuate prin tncheiereaunor dcorduri de asociereintre Cbile, Comu-nitatea Europeand si SrnrcleL/nite ale Americii.

scenario Chilein the new international Chile in noul cadru international 'l'he

introduction of Chile in the Intcrnational Commerceand in the globalEconomvhasstronglvdcvelopedin recentyears.In the lastFcwvearsChile hassigned s i r h C a n a d ,irn l q 9 - , r v i t l rM e x i c or r r F r e eT r a d cT r e a t i ew 1 9 9 8 , w i t h t h c E u r o p e a nC o m m u n i t ¡ C o r e a a n d t h c U.S. in 2003 and has also ratified and subscribedagrccrvirh30 ments,promotionsand protectionof investments frorn the countries countries, European 5 countries;19 in the Both Asian Pacificand 14 American countries.' FreeTradeTieatiesand in the Promotion and Protection of Investments(BITs) a conflict resolutionsystemis introduced,in which, aftera ,,coolingolt{t'period for negotiat i o n a n d / o r l i m i t e d L o c a l C o u r t s i n t e r v e n t i o n .t h e

Afirmarea Republicii Chile in comergulinternalional ;i in economiaglobalas-adezvoltatputernicin ultima perioadá.in ultimii ani, Chile a semnatacorduride liber schimb cu Canadain 1997, cu Mexic in 1998, cu ComunitateaEuropeaná,cu republicaCoreea9i Statele Unite in 2003 gi, de asemenea,a ratificat' a aderat la acorduri de promovare ;i protec¡ie a investi¡iilor cu 30 de state, 19 din Europa, 5 gari din Asia 9i 14 ¡ari din continentul american'.Atát in continutul acordurilor de liber schimb, cát gi in conEinutultratatelorde proteBIT-uri), jare gi promovarea investigiilor(aqa-numitele este introdusá o modalitate de solugionarea litigiilor -

a d i t i o n a l l v , B m o r e a g r e e m e n t sw i t h n e g o t i a t i o n s i n p r o g r e s s S e c

a fost premiatá cle ]nteramerican Bar Association, I*r., Confirinta XL.l, BuenosAires, Argentina, iulic, 2005. intr-o primá fbrnri, studiul a fost publicat in Revistabraz"ilianáde arbitraj qi mediere n r 6 / 2 0 0 5 , p . 3 4 3 - 3 6 0 ( n o t a r e d a c t o r u l u i - 9 edfr . R a d u B o g d a nB o b e i ) . Friráa lua in cotrsiderarealte 14 acorduri de promovare¡i protejare a investitiilor,acorduri ce nu au fost incá rarificategi, in plus, alte 8 acor-

www.direcon.cl.

duri ce sc aflá in etapade negociere.A se vedeawww.direcon.cl

- ft.^a

by Interamerican B¿r Association. (lonference XI-I,

B u e n o sA i r e s , A r g e n t i n a , J u l ¡ 2 0 0 1 . ' N o r w i t h s t a n d i n g o t h e r 14 s u b s c r i b e da g r e e n l e n t so f p r o m o t i o n and protection of instrument that have not been r:rtifiedvet' ancl'

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investormay directlvbcgin an arbitralprocedureagainst the State.Most BITs statethat this arbitrationis promoted under the rulesand regulationsof the International Centerfor Resolutionof Investments(ICSID), when the signingStatesarc part of the ,,Convcntionon ResolLrtion and Differencesrelatedto InvestmentsbetweenStatesand Natiorrsfrom other States"1965 - Vashington Convention. Otherwise,anotherrypeof intitutional arbirrationis likc the International asan alternative, usuallyestablishcd (ICC) or the ad hoc arbitration Chamberof Commerce under the regulationof the United Nations Commirtee for the International Commercial Law; finall¡ some allow the investorto go to rhe jurreatiesor agreements risdictionof the Local Courts where the investmentwas done,asan alternativefor internationalarbitratior.r.' The tendencyset by BITs has extendedto the multil a t er a l t r e a t i etsh e yp a r t i c i p a t ien , o r s o m el a t i n A n r c r i c a n countriesmight potentiallyparticipatesuch as NAF'fA ( c h a p t e r1 1 ) , o r l i k e t h e P r o t o c o l eo n P r o m o t i o na n d Protectionof Investmerltfrom countries that do ntlt belongto MERCOSUR, amongthe countriesthat belong to rhe Asunción Tieary better knor.vnas MERCOSLIR (Argentina,Brazil,Paraguayand Umguay) that consider internationalarbitrationas a meansto resolvecontroversy among thesestatesand investorscomir-rgfrom coulttries that do not belong to MERCOSUR, but have investedin them.'Wecan concludc,then, that not only in Chile, but alsoin Latin America in generalthere is a tendency to favor ir.rternationalcon'rmercialarbitration in rs1'arimatterssuchasthe resolutionoFcontrove essential rcccithe countt'y sing berweenthe foreigninvestorand in order to restrictlocaljurisdiction ving the investments influencein areasthat were traditionallyunder the State juri.sdiction, and to rely the resolutionolt controversl' on in somecasesoLltoltStatecontrolto arbitrationinstances, the extentof questioningif this showsa deeperch.rng.in the basisof InternationalLalv in the matter, the wa.vthey had been traditionallyheld in Latin Americatrcountries that accordingto the Calvo doctrine,which establi,shed the disputcsrelativeto investmentsin r statecould onh' ofsuch State.' be resolvedby the judicial organizations

' Blackby Nigel, //le arbitr¿tion according n Bildrer¿l Treariesof' inuertmelrt ttnd F-rtellinde treatiesin [,atin Anterica, articlc publislred in rhe Itúcrnatit¡n,tl Magazine ou Arbitration, N I June - Dic 2001, |)ogoti Colombi¿,Legit Editorial, page l7 and follorving. 'Grigera Naon, Horacio, Latin Anuic,tn Countrias as lnton¡ttion't/ Conterci¿lArbitnttion places, arriclc publishcd in Spacial Supplarntnt ot'' httarn¿tion¿lArbitr¡tion Court Bulletin 1C'(-',pages47 on, 1{)9i.

2

potrivit cáreia,dupá o perioadáde ,,acalmie"in carese desfá¡oaránegocieri sau/9i sunt incidente intervenlii limitate ale instangelorlocale,investitoriipot inigia,in mod direct, procedura arbitralá impotriva statului. Cele mai multe BIT-uri stabilesccá proceduraarbitraláeste emisede Centrul guvernatá de regulilegi reglementárile Internagionalpentru reglementareadiferendelorrelative la investi¡ii (ICSID), dacá statelesemnataresunt párgi la Convengiapentru reglementareadiferendelorrelative la investigiiintre state;i persoaneale altor state,1965, Convengiade la'W'ashington.Ca modalitate alternativá, alte BIT-uri stabilesc,de obicei, un alt tip de arbitraj institu¡ionalizat de exemplu arbitrajul organizat sub (lCC) sau Camereide ComergInternagionala ar-rspiciile Naegida Comisiei sub un arbitraj ad hoc desfá9urat tiLrnilorUnite pentru Dreptul ComercialInternaqional; in slir¡it, unele tratategi acorduri permit investitorilor sá apelezela jurisdicgiainstangelorstatului pe teritoriul c:iruias-a realizatinvestitia,ca modalitatealternativála a r b i t r aui l i n t e r n a t i o n a l . ' Tendinla promovatá de BIT-uri s-a extins la tratatele multilateralela careau participat sau la careunele gári din America Latiná ar plrtea participa, cum ar fi, de exemplu,NAFTA (capitolul 1l) sau Protocolulcu privire la promovarea;i protejareainvestigiilor din gári ce nu aparfin MERCOSUR, sau la ¡árile care,fiind pá4i aleTlatatului Asunción cunoscutsub numele de MERCOSUR (Argentina, Brazllia, Paraguay qi Uruguay), considerá cá arbitrajul comercial este o modalitate de solutionarea litigiilor dintre acestestate gi investitori care provin din gári ce nu aparlin MERCOSUR, dar care au efectuat investigii pe teritoriul acestora. Astfel, putem concluzionacá in Chile, dar Ei in America Latin:i, existá,in general, un curent de favorizarea arbitrajr-rh,ricomercial internagionalcu privire la aspectele litigiilor dintre investicum ar fi solugionarea esenqiale, rorii stráini qi ¡ara pe teritoriul cáreia se efectueazá investigiile,in scopul restric¡ionáriiinfluengelorjurisdictiilor locale in domenii aflate, in mod tradigional, sub jurisdic¡iastatalá,precum gi in scopulsupuneriisolugionáriiacestorade cátre instanlearbitrale.Faptul cá in unele cazurisentingelearbitralenu erau supusecontrolului de regularitateexercitat de instangelestatalene determinásá ne intrebám dacánu a intervenito modificarede substanláa fundamentului dreptului internagional cu privire la concepgiatradi¡ionaládin statele ' nf""tUy Nigel, Thearbitrationaccordingto BilateralTieaties of inuestment and lree Trade treaties in Latin America, articol publicat in lnternational Magazine on Arbitration, 1, iunie-decembrie 2004, B o g o r áC o l o m b i ¿ , E d i r u r a L e g i s ,p . 1 7 $ i u r m á r o a r e l e .

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The Harmonization of International Trade Arbitration Law: The new chilean law about arbitration In the Chilean Juridical organization,international trade arbitrationwas not regulateduntil the recentLaw number 19.971'was published in the official newspaper on September29rh 2004. The existingregulatior.rs should be applied to the domestic arbitration as well, which were evidently inadequate for international conflicts when the arbitration was held in Chile.'The new Chilean International Commercial Arbitration Law integratesChile with the countriesthat haveadoptedin its internationalorganization,the UNCITRAL International Arbitration Law of 1985 as a responseto the modern tendencyto the harmonizationof the ]nternational CommercialArbitration l.aw. For the establishmentof thc InternationalCommercial fubiuation Model law, the United NadonsCommission for InternationalCommercial Larv UNCITRAL issuecl a report about the possibieasPectscontained in this law. The preparation of the project was given to tts work team on International Contract Practice.The p r o fe c t w a s a p p r o v e d w i t h c o m m e n t s o f t h e Governmentsand International Organiz.ationsir-rthe annual session1985.uThe tool chosenby UNCITRAL for the harmonizationof the national lawson commercial arbitration was a model law and not an InternationalConvention becauseof the flexibiliry of model laws to be incorporated in the internal law of each country and becausethey also can be adopted in part or totall¡ the original or with modificatiorrs. However keeping its inspiration principles intact so :rs to achivea betteruniry of the law in the matter.On the other hand, when thesetools adopt the juridical form ofr International Conventions they do not have thc same flexibility becausethey are subscribed,and later to the nationallegislation,and ratifiedwith reservations for this reasonthe purposeof unity is not achivecl.ln Comparative law, UNCITRAL has been a rnodel for new International Commercial Arbitration l-aws in

Americii Latine consacratáde doctrina Calvo, doctriná potrir,it careialitigiile referitoarela investiliileefectuate pe teritoriul unui anumit stat pot fi solu¡ionatenumai de entitá1ilejustiliei stataleale acestuiadin urmá'. Armonizarea legislafiei din domeniul arbitrajului comercialinternafional: noua lege chilianá a a¡bitrajului in sistemuljudiciar chilian,arbitra.iulcomercialinternafional nu a fost reglementat páná la publicarearecentei [,egi nr. 19.9710in JurnalulOficial din 29 septembrie 2004. Reglementárileexistente se aplicau, in egalá másurá,qi arbitrajului intern, ceeace era, evident,nedacáarbitrajulse despotrivit in litigiile internagionale, in Chrle'. Noua reglementarechilianá cu privire la fágr-rra arbitrajul comercial internagionalaliniazástatul Chile internagionale tárilor ce au adoptatin cadrulorganizagiei in anul 1985 LegeaUNCITRAL cu privire la arbitrajul internationalca ráspunsla tendin¡a modernáde armonizarea legislalieiarbitrajuluicomercialinternaEional. (lu ocazia elaborárii Legii-Model referitoarela arbit r a j u l c o m e r c i a l i n t e r n a g i o n a l ,C o m i s i a N a ¡ i u n i l o r Unite pentru Dreptul Comergului Internalional (UNCITRAL) a emis un raport cu privire la aspectele propuse a fi stipulate in conginutul acesteia.Elaborarea proiectului a fost incredingatá grupului de lucru din cadrul Departamentului de Practicácontractualáinternationalá. Proiectul a fost aprobat cu amendamentele guvernelorqi organizagiilorinternagionalela Sesiunea anualá din 1985'. Instrumentul ales de UNCITRAL pentrLl armonizarea reglementárilor na¡ionale referitoare la arbitrajul comercial a fost o Lege-Model, nu o c o n v e n t i e i n t e r n a g i o n a l áa t á t d a t o r i t á f l e x i b i l i t á g i i includerii Legilor-Model in legisla¡iileinterne ale fiepot fi adopcáreigári,cát gi datoritá faptului cá acestea inigialásau varianta in totalá, sau pargialá tate in formá cu modificári.

' Grigera Naon, Horacio, I'atin American Counnies as Intentationa/ComercialArbitrationplaces,articol publicat in suplimentul specialal Buletinului Cur¡ii de Arbitraj de pe lángáCCI' ' For the content of the new larv, see *'rvw.bcn.cl p. 47 si urmátoarele, 1995. ' Pentrucon¡inutul noii legi, a sevedeawwwbcn.cl t Recognized by the President of the countrv in his messageat 'Aspect recunoscutde preEedintele ¡árii in punctul sáude vedere rhe beginning of the project of law on International Comercial ini¡iere a proiectuluide legecu de procedurii la debutul exprimat A¡bitration, Bulletin No 325-10. n'I-he general meeting of rhe Ur-rited Nations, resolurion 40-72, privire Ia arbitrajulcomercialinterna¡ional,BuletinulM 325-10 " AdunareaGeneraláa NaqiunilorUnite, prin Rezolu¡ia40-72, Dic. 11 i985, recommended ,,That all Statesgiue due consideration Dic. 11-1985,a recomandat,,Ca toatestatelasd acordeimportan¡a to the Model Lata International Commercia/ Arbitration upon desi/eLegii-Modelcupriuire la arbitrajul comercialinterna¡ionalin necesrlrd rable uniry of tbe latu on Arbitr¿l proceedings and tbe need fitr ". doritei uniformizdri a reglementdrilor referitoare la rert/izrlrii scopul P ra c ti ces Ar ti o n bi tra I n tern ation a I C omm erciaI "' procedurilearbitrale, precum ¡i ín scopulasigurdrii unor practici ín Sandoval López, Ricardo , ,,El Arbitrale Conerci¿l Intarn¿ciott¿/ dr.,nt eni uI ar bi trajului comercial interna¡ional"' Reuist¿de Darecho Llniuersidad de Chile, page 101 attd.fitrther, 2000.

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German¡ Australia, Bahrein, Bermuda, Bulgaria,Canada, Cyprus, Egypt, The United States(California, Connecticut, Oregon and Texas), Cuatemala, Hong Kong, Hungar¡ India, Iran, Ireland, Kenya,Lithuania, Macao, Malta, Mexico, New Zealand,Nigeria, Oman, Peru,The United Kingdom (Scotland),Russia,Singapore, Sri Lanka, Tunisia, Ucrania, Zimbabwe, and recently Spain.s/' The reasons for adopting the Model Law on International Commercial Arbitration are, in a wa¡ the insuffencyof the nationallaws on arbitration to resolve International Commercial con f'lict.s,and the differences from country to country. At least one of the partics shall be foreign to the countrv rvherethe arbirretiorlis held; even the arbitrator may be a foreigner and as a result, the parties and the arbitrator will be faced to rules and regulations that are unknown to them."' About the history of the Chilean Law or-rInternational CommercialArbitration, it is clear that the multiplication of transactionswith an arbitral clausewas one of the main factors.The incentivefor a trial in Chile, spccially relevantfor small and medium sizedcompanres, which find very expresiveto litigate abroad, and the objective of making Chile an arbitration center, especiallyin Latin America." The most important advantagesto adopt the Model Law by the Chilean legislationare the following: a) that it contributes to and reliabiliry to the convey an image of seriousness country within the international businessand judicial communit¡ which carriesjudicial securitvfor lnvestors forcign inve.stb) that Foste¡s and foreign coLrnterparts; ments; c) that createsa juridical systemfor the resolution of internationalcontroversiesamong privatc ¡tcople in the settingof the AssociationAgreementbetween Chile and the European community and the United Statesof America;d) that createsan atmosphereof trust for Chile to become the place for international commercial arbitrations overcoming former deficiencies;e) that contributesto the developmentand perfection of the International Commercial Arbitration servicesoffered by the chilean arbitration entities, and f) allows small and medium sized Chilean companies ' For the neq'model law see mvw.uncirral.org ' For the New Arbitration Law in Spain,seeCordón Moreno, Faustino, ,,El arbitaje de Derechopriuado". Brief Studyof l-au, 602003, on Arbitration. Editorial Aranzadi SA. Spain,2005. "'Sandoval,Rica¡do,page109. " Reportlrom the foreignallairscommitteeSession58, I!'l¿v18, 2004.

4

Cu toate acestea,este de dorit pástrareaintactá a principiilor de redactarein scopul realizáriiunei uniformizári a reglementáriidin aceastámaterie. Pe de altá parte, in ipoteza in care acestemijloace adoptá forma juridicá a conven(iilor internalionale,respectivaformá nu are aceeagiflexibilitate deoarecesunt semnate$i, ulterior, ratificate, cu rezervefa¡á de legislagiana[ionalá, scopul uniformizárii nefiind atinsT. in dreptul comparat, Legea-ModelUNCITRAL a rePrezentatun reper pentru ultimele reglementári referitoare la arbitrajul comercial interna¡ional din Germania, Australia, Bahrain, Bermude, Bulgaria, Canada, Cipru, Egipt, Statele Unite (California, Connecticut, Oregon gi 'Iexas), Guatemala,Hong Kong, Ungaria, India, Iran, Irlanda, Kenya, Lituania, Macao, Malta, Mexic, Noua Zeelandá,Nigeria, Oman, Peru, RegatulUnit (Scotia), Rusia, Singapore, Sri Lanka, Tunisia, Ucraina, Zimbabwe,;i, recent, Spania."" Ratiunile elaboráriiLegii-Model cu privire la arbitrajul comercial internagional au fost determinate, intr-un fel, de caracterul lacunar al reglementárilor na¡ionalereferitoarela procedurilearbitraleutilizatein precum solu¡ionarealitigiilor comercialeinternagionale, qi de diferenlele dintre respectivelereglementári. Cel putin una dintre párgi va avea calitatea de ,,stráin" in tara unde se va desfáquraarbitrajul; chiar arbitrul poate fi stráin, drept urmare párgile ;i arbitrul vor avea de-a face cu reguli gi reglementári necunoscute''.Cu privire la istoricul reglementáriichiliene referitoarela arbitrajul comercialinternalional,esteevidentcá inmul¡ireatranzactiilorcontinánd o clauzáarbitraláa fost unul dintre principalii factori ce a determinat elaborareaacesteia. 'lbtodatá, un alt factor este reprezentatatát de incurajareapár¡ilor de a se arbitra in Chile, in specialincurajarea companiilor mici gi medii ce consideráca fiind pcrtinentásolu¡ionarealitigiilor in stráinátate,cát gi de obiectivulde a facedin Chile un centru al arbitrajului, in specialin America Latiná". Cele mai importantebeneficii obginuteca urmarea adoptáriiprincipiilor LegiiModel UNCITRAL de cátrelegisla¡iachilianásunt urmátoarele: a) contribuie la crearea unei imagini de -

SandovalLópez, Ricardo, El ArbitrQe ComercialInternacional, Reuita de DerechoLlniuersidadde Chik, p. l0I ¡i urm.' 2000. t Pentrunoua l,ege-Model,a sevedeawww.uncitral.org " Pentru noua lege a arbitrajului spaniol, a se vedeaCordón Moreno, Faustino, El arbitmje de Derechopriuado, ScurtdAnalizd a Legii arbitrajului 60-2003, Editura Aranzadi SA' Spania,2005' "' Sandoval,fucardo,p. 109. ' Raportal Comitetului AfacerilorExterne,Sesiunea 58, 8 mai 2004.

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(PYMES) celebratingcontracts with foreign countcrparts to make use of International Arbitratiott in Chile.'' The new Chilean Law on InternationalCommercial Arbitration, accordingto the objectiveof International Unity in arbitration regulation, does not differ in general from the Model Law UNCITRAL aswe are goirrg to see.''The countriesunder the ,,Common Law" were the first ones to adopt the Model Larv but today both the countries under the .,Common Law" and undcr thc ,,Civil Law", haveequally adopted the Model Law, whiclr appearsto be a remarkablefact, iF we considerthat thc Model Law containsseveralprinciplesthat correspond more [o the ,,Civil Law" arbitral systemrathcr than thc one adoptedby the Common Law. For example,when et bono'n' reFeringto tl'rearbitratorsas the ,,//equo Main aspects in the New Chilean Law on

Arbitration lnternational Commercial We are going to analizethe specialsystem for international commercialarbitration in Chile, applications in terms of territory principles,the autonomy of will ol: the parties,the arbitrationagreement,the compositiotr of the Arbitral Court, the competenceof the arbitral court, limited jLrdicializationin relation to judicial interferenceand arbitrator'spowers,the applicablelaw in the annulment rethe arbitration,precausionmeasures, source,and recoqnitionand executionof arbitralaward.

seriozitateqi de increderea gárii in contextul mediului internagionalde afaceri¡i al comunitágiijuridice, aspect ce conferá sigurangájuridicá investitorilor gi partenerilor stráini;b) incurajeazáinvestigiilestráine;c) creeazá un sistem judiciar pentru solugionareaneinlelegerilor internagionaledintre entitálii private prin mecanismul stabilirii Acordului de Asocieredintre Chile, Comunitatea Europeanáqi StateleUnite ale Americii; d) creeazá un climat de increderepentru ca Chile sá devináun loc al arbitrajului comercial interna¡ional, depá9indu-se gi perastfelvechilelacune;e) contribuie la dezvoltarea internafec¡ionarea serviciilor de arbitraj comercial tional fi-rrnizatede instituqiilearbitraledin Chile, 9i f) permitecompaniilor mici qi mijlocii ce au incheiatcontracte cu entitágistráinesá stipulezeclauzecompromisorii stabilindlocul arbitrajuluiinternagionalin Chile''. Noua lege chilianá cu privire la arbitrajul comercial international, in concordan¡á cu obiectivul unitágii interna¡ionalea reglementárilorarbitrale,nu diferá, in general,de Legea-ModelUNICTRAL, astfelcum vom vedeain cele ce urmeazá'r.Tárile din sistemulcommon /aw au fost primele care au adoptat Legea-Model,dar astáziatát tárile din sistemul czmmzn kw, cát 9i garile din sistemul ciuil law au adoptat-o, in egalá másurá, fapt remarcabil dacá avem in vedere cá Legea-Model con[ine cátevaprincipii ce corespund,mai degrabá,sistemului arbitral caracteristicsistemului ciuil law decit sistemuluicommonlaw. De exemPlu,principiul referiet bzno"ta. tor la prerogativaarbitrilor de a statua,,aequo P r i n c i p a l e l ea s p e c t e d i n n o u a l e g e c h i l i a n á

international comercial la arbitrajul referitoare The new Chilean Law 19.971 applies only to InternationalCommercial Arbitration, and it does not affect any of the international treatiesin force, either bilateral or multilateral. The new Chilean Larv on '' Urrejola Monckeberg, Sergio ,,Chile debe contar con una /e1'de Arbitmje Internacional", article published in rhe Juridical Bullatin No 6, Justice Ministrl, Sept. 2004, pages 109 and following. 'r In mosr Latin American countries the Model Law has been adopted practically in a block. That is the caseo[Bolivia, Costa Rica, Guatemala, Honduras, Mexico, Panama, Paraguay, Peru ¿nd Venezuel¿r,to name a few. However, in the caseof Brazil, Colombia and llcuador, the law has not been completely adopted. 'o Sanders Pieter, ,,Llnity and Diuersiry, in rhe Aloption of' the model /¿u", article published in Arbitretion International, r'oiume 1 1 # 1 L C I A 1 9 9 1 . F o r i n f o r m a t i o n a b o r - r tl e g i s l a t i v eh i s t o r - vo f r h e Model l,aw and its articles, see ,,A guide ro tl¡e UNCITRAL Modtl Lau on Internation¿l Commercia/Arbitration'\ Kluwer 1989, authors Holtzmann and Neuh¿rus.

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Vom analiza reglementareachilian¿ a arbitrajului comercialinternalional,in specialaspectelereferitoare la aplicareaprincipiilor teritoriale,autonomia voin¡ei pargilor,convenlia arbitralá, compunereaTiibunalului arbitral,competen[ainstanqeiarbitrale,limitelejudicia" Urr.;ol" Monckeberg,Sergio,Chiledebecontarconunalry dt arricolpublicatin Buletinul ArbitrajeInternacional, JuridicNo 6,Mip. 109qi urmátoarele. sept.2004, nisterulJusti¡iei, '' in rnajoritatéa a fost gárilordin AmericaLatiná,Legea-Model practic,in bloc.EstevorbadespreBolivia,Costafuca, adoptatá, Honduras,Mexic, Panama,Paragua¡Peruqi Venezuela, Ciuatemala, penrru a nominalita doar cáteva.Totugi, in cazul Braziliei, Columbieigi Ecuadorului,legeanu a fost adoptatáin integralirate. '' SandersPieter, Unity and Diuersi7,in theAdopion of theModel Lau arricol oublicat i¡ Arbitration International, uol. 11 #1 LCIA inclusiv cu privirela istoriculLegii-Model, 1995.PentruinformaEii al ar¡icolelorsale,a se vedeaA guide to the UNCITRAL Mod¿l Law ort lnternational Commercial Arbitration, Kluwer 1989, tutori Holtzmann si Neuhaus.


comentarii Studii,articole,

Arbitration, as well as the Colombian Law differ from other arbitration laws that also foilow the modcl of UNCITRAL. It applies not only to local arbitration, but also to internationalarbitration, which is called a Mor-roconception.It is included, among others,in the arbitration legislations of Germany't Mexico'n and Spain.'tThe conceptsof ,,international"and ,,commercial" are essentialto understand the UNCITRAL ModelLaw. According to article 1 No 3 in the Chilean Law, an arbitration is internationalif: a) The partiesto an arbitration agreementhave, at the time of the conclusion of that agreement,their placesof busilressin diffcrent States;or b) One of the following pl:rccsis situatedoutsidethe Statein which the partieshavetheir placesof business:(i) The place of arbitration if deterrnined in, or pursuantto, the arbitration agreement;(ii) Any placewhere a substancialpart of the obligationsof the commercialrelationshipis to be performed or the place with which the subject-matterof the dispute is most closelyconnected;or c) The partieshaveexpressly agreedthat the subjectmatter of the arbitration agreement relatesto more than one country. If a parry has more than one place of business,tl're placeof businessis that which has the closestrelationship to the arbitration agreement;and if a party does not havea placeof business,reference is to be made to his habitual residence.(article 1 No 4). In relation to the conceptof ,,commercial"the Chilean Law statesin its Article 2, g:The term ,,commercial"should be givcn a wide interpretationso as to cover mattersarisingfiont a l l r e l a t i o n s h i posf a c o m m e r c i a ln a t u r e ,w h e t h e rc o n tractual or not. Relationshipsof commercial natr¡re include, but are not limited to, the following transactions: any t¡ade transactionfor the supply or exchange of goods or services;distribution agreement;commer-

'' The German Arbitral Law can bc applied not only to Internarional Commercial Arbitration; but also to local arbitration end n o n c o m r n e r c i a lm a t t e r s i n G e r m a n y . F o r n r o r c i n f o r n t l t i o l t , s c c a r úcle The hdrmonization of the lau, in International Commercial Arbitration kw by professor Miguel Checa Martínez, Reuist¿ dc la Corte Esp,itola de Arbitntje, 1998, pages 353 and follorvrng. "' Arbitration Law 1993. Article by Rodríguez Diaz, Manuel. ,,É7 desarrollo del Arbitraje Comercial en las últimas décadas en Mlxito" Reuistalbero,tmericana de Arbitraje, Ma1, 2001. ' Rule Number 60-2003, December 2003, applicd to local ancj i n t e r n a t i o n a lA r b i t r a t i o n . F o r c o m p a r i . s o n bs c r w e e nt h c S p l n i s h L l * ' and thc Chilean Law, seeBiggs, Gonzalo, ,,Breakthrough.fórlnrernario' n¡tl Contrncrcial Arbit¿tiott in Cl¡ih" publishccl in Disputt Rsolutior¡ (r5 and fbllowing. Journal, uolume59 # t, Feb.-April 200'1, ptges

r)

re ale controlului exercitat de instangastatalá,prerogativele arbitrului, legeaaplicabilaarbitrajului, másurile asigurátorii,motivelede anularea sentin{eiarbitrale,reunei sentingearbitrale. cunoa$terea Ei executarea 1. - Arbitraiul Comercial Internafional in Chile Noua legechilianánr. 19.971seaplicánumai arbitraaplicarea jului comercialinternagional, 9i nu prejudiciazá in multilateral sau bilateral niciunui tratat international fel ca legea vigoare.Noua legechilianáa arbitrajului,la colunrbianá,con(inereglementáridiferitefa¡áde alte reglcmentáriarbitralcinspiratede modelul UNCITRAf. Aceastase aplicánu numai litigiilor arbitraleinterne,cát si litigiilor arbitrale interna¡ionale,ceea ce inseamná adoptareaur.reiconcepliimoniste.AceastáconcepIieeste printre care,de exemplu,de adoptatáde diverselegislagii, lcgisla¡iaarbitraládin Germania'5,Mexic'ugi Spania''. (lonceptele ,,interna¡ional" gi ,,comercial" sunt esenfialepentru a ingelegeLegea-ModelUNCITRAL. Potrivit art. 1 paragrafulal treilea din legeachilianá,un arbitrajesteinternalionaldacá:a) párgilela o convengie arbitraláau, in momentul incheierii conven¡iei,sediul principal pe teritoriul unor state diferite; sau b) unul din urmátoarelelocuri estesituat in afarastatului pe teritoriul cáruia pá4ile gi-au stabilit sediul principal: (i) locul arbitrajului,astfeldeterminat, sau determinatin conformitate cu prevederileconvengieiarbitrale; (ii) orice loc in care urmeazá sá fie executate,in proporqie substan¡ialá,obliga¡iile contractualesau locul cu care obiectul litigiului prezintá legáturilecele mai stránse; sau c) párgileau convenit, in mod expres'cá obiectul conventieiarbitraleprezintálegáturicu mai multe ¡ári. I)acá o parte are mai multe sedii principale,se ia in consideraresediul care are cea mai stránsálegáturá cu convenfiaarbitralá,iar dacáo Partenu are niciun sediu rrrincipal,se ia in consideraresediul secundar(art. 1 paragraful4). in ceeace privegteconceptul,,comercial", -' sepoateaplicanu numaiarbitrajului germaná kg., arbitralá comerci:rlinterna¡ional, dar 5i arbitrajului intern, respectiv Pentru mai multe detalii, a se vedeaartiaspectelornecomerciale. 'l'he harmonization of the kw in International Commercial colul Arbitration law, scrisde profesorul Miguel Checa Marrí¡ez, Reuista dc Lt CorteEspanoladeArbitraje, 1998, p.353 ¡i urmátoarele. "' Arbitration Law 1993. A sevedeaRodríguezDiaz, Manuel, '6l desarrol/odel Arbitmje Comercialen las tútimas década en México, in ReuistalbcroamericanadeArbitaje, maí 200L. Regulanr. 60-2003, decembrie2003 aplicabili arbitrajului qi legea intre legeaspaniolá Penrrucompara¡ii irrtern¡i international. chilianá,a se vedeaBiggs,Gonzalo, Breakthrough for Internarional Contrterci¿l Arbirration in Chile, in Dispure ResolurionJournal' vol. i9 # 1, feb.-apr.2004,p.65 qi urmátoarele'

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cial representationor agency; factoring; leasing;construction of works; consulting; engineering;Iicensing; investment;financing;banking; insurance;exploatation joint venture and other forms agreementor concession; ofindustrial or businessco-operationrcarriagcofgoods by air, sea,rail or road."'oAs the above or passengers articlemake.sclear,the word ,,commercial"u.sedby the law is much broader than the term ,,commerce"in Article 3'd from the Chilean CommerciaiCodc. 2. - Scope of application: Tbrritorial principle

legeachilianá prevedein articolul 2litera g urmátoarele: acest termen se impune a fi interpretat flexibil, astfel incát sá-i fie subsumateaspecteledecurgánddin raporturile juridice comerciale, indiferent de caracterulcontractual sau necontractual. Contractele comerciale includ, dar nu se limiteazá la urmátoareletranzaclii: orice tranzactie comercialá avánd ca obiect furnizarea sau schimbul de bunuri $i servicii;acorduri de distribu¡ie; mandat comercial sau agenfie comercialá; factoring; leasing;contractede antreprizá;consultan!á;asisten¡á tehnicá;licenge;investi¡ii; finangári;activitáfi bancare; asigurári;acorduri sau concesiunide exploatare;joint

The Chilean Law on International Clommercial can be appliedonlv Arbitration, with some exceptior.rs, ift the place of arbitration is in the natior-ralterrit,rrt' ( a r t i c l e1 N o 2 ) . ' " ' f h e t e r r i t o r i a lp r i n c i p l eh a sb e c n i r r the Chilean law for a long time. The Civil Law states that the law is binding for all the inhabitants of the State,including foreigners(article 14). Article 16 savs that the goods located in Chile are subject to the Chilean Law' evenwhen their owners are foreignersand

\¡enturesau alte forme de cooperareindustrialásau de afaceri;transportulde bunuri sau pasageripe caleaaerulr-ri,apei, cái fe¡atesau gosele"'t.Astfel cum stabile;te articolul de mai sus,cuvántul ,,comercial"utilizat de lege are o sferáde aplicare mult mai largá decát termenul ,,comert"utilizat de 3 C.comercialchilian.

do not residein Chile.

Legeachilianá referitoarela arbitrajul comercialinternalional,cu unele excepgii,poate fi aplicatánumai dacá locul arbitrajului estesituat pe teritoriul nagional a existatin legis(art. 1 N" 2)''. Principiul teritorialitáEii latia Chile de rnultá vreme. Potrivit sistemululuirizil ldw, legeaesteobligatorie pentru toEi locuitorii statului, cá buinclusivpentru stráini (art. 14). Art. 16 stipuleazá nurile situatepe teritoriul statului Chile sunt guvernate de legeachilianá chiar dacá proprietarii acestorasunt cetátenistráini 5i nu $i-austabilit regedinlain Chile.

3. - Autonom)' of will of the parties The Chilean Law on lnternational Commercial Arbitration takesthe principleof autonomyof will of the partiesin terms of either the applicablelaw or the procedure larv. In Fact,there are few regulations that are binding so rhe partiescar.rahvayscstablishrulesthat are differentfrom the Law.The arbitraltribunal shalldccidc the disputein accordancewith such rules of law as are of chosenby the partiesas applicableto the sub.stance the dispute.(article28 No 1). In the proceduralaspect, the parties are free to agree on the proccdure to be followedby the Arbitral Ti'ibunal (article 19 Nu1). Thc partiescan even createthe regulationsand rules of the procedure,but this is not very common. The usualway is that the oarties include a number of rules for the

2. - Domeniu de aplicare: principiul teritorialitálii

3. - Autonomia voinfei PárÍilor Legeachilianácu privire la arbitrajulcomercialinternalional aplicá principiul autonomiei voingei párgilor atát cu privire la determinarealegii aplicabile fondului iitigiului, cát ;i cu privire la determinarealegii aplicabile procedurii arbitrale. De fapt, existá doar cáteva regle-

Law, have incorporated this nore in the text, as in the Province of British Columbia in Canada, in Cyprus, Egypt, Nigeria; Scotlancl,

''' Aceastáenumerare este cuprinsá intr-o notá de subsol a primului articol din Legea-Model. La data adoptárii Legii-Model multe tirri au incorporat aceastá notá in text, astfel cum se observá la Provincia Colr.rmbia Britanicá din Canada, Cipru, [,gipt, Nigeria'

Ucrania,etc..

Scotia. Ucrair-raetc.

" The exceptions to the territorial :rpplication ofrhe law are stated in Articles 8 ¡nd 9 relering to rhe recognirion of arbitr¿rlar.vards not withstanding tl-re arbitrarion place, the larv th¿t the arvirrcl is b a s e do n o r t h e a r b i t r a l a g r e e m e n t .A r t i c l e 3 5 a n d 3 6 a b o u t r e c o g n i t i o n a n d e n l o r c e m e n r o f a w a r d s a r e a p p l i e d , i r r e s p e c t i v eo f t h e

" ' B x c e p ¡ i i l ea p l i c á r i i t e r i t o r i a l e a l e l e g i i s u n t s t a b i l i t ed e a r t . 8 q i 9 referiroare l:r recunoaqtereasenrin¡elor arbirrale Fáráa ¡tne seama cle locul arbirrajului, astfel cá legea statueazá asupra faptului cá senrinta se fundamenteaz.ápe conven¡ia arbitralá. Art' 35 9i 36 refe' a i e x e c u t a r e as e n t i n g e l o ra r b i t r a l es u n t a p l i r i t o ¡ r c l a r e c u n o a $ t e r eq

Counrry in wich it rvas made.

c a b i l ei n d i f e r e n t d e ¡ a r a i n c a r e a u l o s t p r o n u n g a r e .

'''l'his long transcription is contained in a page foot ltrom article first of the Model Law. Many countries, when adopting the Model

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arbitration, like UNCITRAL, either in ad hoc Arbitration or in Institutional arbitration. They can also complementthe unity ruleswith other rulesthat havea wider scopeor that may adapt better to the specific to circumstances. Most procedural legislations in Latin America, exceptin few caseswhere the proceduralpublic legislation of the placedoesnot allow it, authorizethe parties to disrcgardsome procedural ways or to replace them for others.''As for the applicationof UNCITRAL resttlationson arbitration,they were adoptedby tl-reUrrited Nations Committee for lt-rternationalCommerce Larv in April \976, wirh the purposcof providing a modern set of contract rules applicableto arbitration ad-hoc. The basicprinciplesof theseregulationsare: a) The prevailingof proceedingregulations.No State would be willing to acceptthe result of an arbitratiolr proccssheld in its territory or undcr its l.aws,if the arbitratorsviolatethe regulationsof the proceedings.t' b) The optionality of the tribunal in the proccedings, given that the parties are equally treated, and having the opportuniry to state their caseat any time during the process.'l The regulations of UNCITRAL can be freely modified by the parties,expressedin Anicle l If the parties have not selecteda set of rules ft¡r the arbitration, the UNCITRAL Model Law contains elementalrules that are nor binding, thus applied in silenceof the litigators,which cover from the beginning, to the proceedings,until the arbitralaward.The Arbitral Tribun:rl ma¡ subjectto the provisionof theserule.s,conduct the arbitration in such manner as it considersappropiate' determiningthe admissibiliry relevance,and materiality and weight of any evidencc(article 19 Nn2 of the Chilean Law). The latter enablesthe Arbitral liibunal to conduct the arbitration in an independentmanner from the local rules that regulatedomesticarbitration. This wa¡ the arbitrators and the parties can adopt the characteristicsof the proceedingsthat are familiar with or at leastwere acceptablefor them. For example,when '" Sandoval, Ricardo, op. cit., page II2. '' Grigera Naon, Horacio, op. cit., page 52. " 1'his principle is in Article 1 of the Regulation:theseregul:rt i o n s w i l l r u l e t h e a r b i t r a t i o n se x c e p t w h e n a n v o f t h e s er e g u l a t i o n s s r r u g g l ew i t h t h e r e g r . r l a t i o ntsh a t c a n n o t b e a n n u l l e c l .I n t h i s c e s c s , t h e r e g r . r l a t i o ntsh a t c e n n o t b e a n n u l l e d w i l l p r e v a i l ' " The principle of oprionalitv of rhe tribunal has a prncticrrl v a l u e i n I n r e r n a t i o r - r aCl o m m e r c i a l A r b i t r a t i o n , w h e r c o n e o r b o r h parties may not be f:rmiliar with the l-erv of the place of erbitrrrtion (kxfor) avoiding a deeper stud¡ some times wrirten in a languagc that is unknown for the litigators.

8

mcntári obligatorii,astfelcá pár¡ile pot stabili in multe cazuri reguli derogatorii de la acestea.Tlibunalul arbit¡al va solutiona litigiul in conformitate cu regulile de drept determinate de pár1i ca fiind aplicabile fondului litigiului (an.28 paragrafull). Cu privire la procedura aplicabila, párgile sunt libere sá stabileascáregulile de proceduráce urmeazáa fi aplicatede Tlibunalul arbitral (art. l9 paragraful 1). Pá4ile pot stabili chiar reglementári Ei reguli de procedurá,dar acestlucru esterar intálnit. Practica este in sensul cá párgile stabilesc intr-un arbitrai ad-hoc sau institugionalizataplicabilitateaunui setde reguli procedurale,cum ar fi, de exemplr-r,regulile UNCITRAL. Totodatá, pár1ile Pot completa acestedin urmá reguli cu alte reguli ce au un mai domeniu de aplicaremai mare saucareseadapteazá bine circumstantelorspecifice2.. Majoritateareglementárilorproceduraledin America Latiná, cu excep{iaa cátorvasitua¡ii in careregulile de procedurá locale nu permit acest lucru' permit pár¡ilor sá nu liná seamade anumite mijloaceprocedurale sau sá le inlocuiascá cu altele.'' Cu privire la aplicarea reglementárilor arbitrale UNCITRAL, amintim cá acesteaau fost adoptatede Comisia Naqiunilor Unite pentru Dreptul Comer¡ului Internagionalin aprilie 1976 in scopulfurnizárii unui setde reguli contractuale moderneaplicabilearbitrajului ad hoc. Principiilefundamentaleale acestorreglementárisunt: a) are prioritate aplicareareglementárilorprocedurale. Niciun stat nu este dispus sá confere eficacitate iuridicá unei sentingearbitralepronuntate pe teritoriul sáusauin conformitatecu legilesaledacáinstangaarbitralá a incálcat regulile procedurale"; b) posibilitateatribunalului arbitral de a determina legeaaplicabiláprocedurii arbitralein contextulin care pár1ile,tratate in mod egal, igi pot susfinepunctul de vederein orice fazáa litigiului arbitral". Regulile UNCITRAL pot fi, in mod liber, modificate de párgi, astfel cum stipuleazá art. l. Dacá pár¡ile nu au determinat legea aplicabilá procedurii arbitrale, '" S"r,dot.l,Ricardo,op.cit.,p. 112. '' GrigeraNaon,Horacio,op.cit.,p. 52. UNCITML: estestabilitdearticolulI din Regulile " Principiul accstereguli se aplicá arbitrajului in alará de cazul in care acesteanu s u n t i n c o n c o r d a n t ác u r e g l c r n e n t á r i l ed e l a c a r e n u s e p o a t e d e r o g a . i n r . . r t c s i t u a t i i , a u p r i o r i t a r e a c e s t e ad i n u r m á . ' A c e a s r áp o s i b i l i t a r e p e c a r e o a r e T i i b u n a l u l a r b i t r a l a r e o i n r p o r t a n ¡ áp r a c t i c i ii n a r l r i t r a j u lc o u e r c i a l i n t e r n a ¡ i o n a ld a c áo p a r t e s,ru ambelc pár¡i evitá efectuareaunei analize detaliate, nefiind familer¡ (fámiliare) cu principiul lexfori, uneori consecin¡eleacesteiadin urmá fiind redactateintr-un lirnbai necunoscut pár¡ilor litigante.

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both partiescome from a ,,common Law" judicial s,vsrem, the arbitral tribunal will be able to ask for sworn statementsand order prior interrogation before the view in a major way than in a casein which the parties werefrom Roman tradition, and, for example,the judicial acts could be more inquisitory than contradictory. This optionaliryin the proceedingsis aimed to facilitate the international commercial arbitration, while being forced to apply the Law of the country where the arbifor tration is held would be an important disadvantage the parties, not accustomedto the system, possiblv peculia¡ and to the proceedingand sr-rbmittinsof evidence.t'' There are some restrictionsto the autonomv of the -liil¡unal irr partiesand the optionality of the Arbitral to Article l8 of the terms of the proceedingaccordir-rg Chilean Law on InternationalCommercialArbitration; the equaliryprinciple of the parties,that is, equal treatment and the full opportunity to make their rights prevail. Other proceduralnorms that restrictthe optional faculty of the Arbitral Tiibunal in oral hearingsand presentationof evidence;the right of each party to be given sufficient advanced notice of any hearing and of any meeting of the Arbitral Tiibunal; the right of each party to receiveall statements,documents or other information supplied by the Arbitral Tiibunal and the right of the partiesto receiveany exPertrePort or evrdentiary documents on which thc A¡bitral TribLrnal m a y r e l y i n m a k i n g i t s d e c i s i o n ,b e i n g u n a b l e t o b c m o d i f i e db v t h e a u t o n o m y o f t h e p a r t i e s ,n o r t h e d i s cretionalpower of the Arbitral Tiibunal." 4. - Arbitration Agreement

Legea-Model UNCITRAL stabileqtereguli minimale facultativeaplicabile in lipsa unei astfelde determinári, reguli ce se aplicá procedurii arbitrale in integralitarea sa. Potrivit reglementárilor UNCITRAL, Tlibunalul arbitral este indreptágit sá solugionezelitigiul aplicánd reguli de procedurá consideratea fi pertinente, avánd prerogativade a aprecia asuPraadmisibilitá1ii,pertinentei,concludengei 9i utilitáqiifiecáruimijloc de proba (art. 19 paragraful 2 din legea chilianá). Aceastapermite Tlibunalului a¡bitral sá solugionezelitigiul indearbitra¡rendent de regulile de procedurá ce guverneaT.á jul intern. Drept urmare, arbitrii ;i párgilepot adopta regr-rlileprocedurale cu ale cáror caracteristicisunt familiarizali sau, cel pugin, par a fi acceptabile.De cxemplu,in ipotezain careambelepár¡i provin din sistemul de common law, Tribunalul arbitral va fi in másurásá soliciteluareaunor declara¡iisub prestarede jurámánt Eisá soliciteadministrareaprobei cu interogatorilr anterior analizeigeneralea spegei,spre deosebire de ipoteza in care párgile provin dintr-un sistem de tradi¡ie romaná, actele de procedurá avánd, mai degrabá,un caracterinchizitorial decát un caractersPeAceastáposibilicific principiului contradictorialitá1ii. tate de a alegeregulile de procedurá arbitralá are scopul de a promova arbitrajul comercial internaqional,spre deosebirede obligativitateaaplicáriilegii statului pe teritoriul cáruia se desfágoaráprocedura arbitralá ce ar constitui un importan t dezavantajpentru párgileneacomodate cLl acestsistem,intr-o oarecaremásuráciudat, precum gi cu procedurilegi administrareaprobelor'.. Irxistácátevalimit¿ri ale libertá1iide voingáa párgilor de a determinaregulilede proceduráaplicabilece sunt stabilitede art. 18 din legeachilianácu privire la arbitrajul comercial interna¡ionalcum ar fi' de exemplu, principiul egalitágiipárgilor,ceeace inseamnáegalitatea de t¡atament, precum qi principiul generosal disponibilitá¡ii. Pe de altá parte, existálimitári ale posibilitegii T'ribunalului arbitral de a determina regulile de procedurá aplicabile cu referire specialála fazadezbaterilor9i administráriiprobatoriului,la dreptul fiecáreipár¡i de a fi citatá pentru termenul dezbaterilorin fond gi pentru orice alt termen, la dreptul fiecáreipár1i de a solicita sá i secomunicetoateinscrisurilesau orice altá informalie deginutáde fiibunalul arbitral, Precum gi dreptul de a primi orice raport de expeftizásau inscrisuri considerate a fi utile de Tiibunalul arbitral in etapa redactárii

In Chapter II of the Chilean InternationalCommercial Arbitration Law, arricle 7 and following, the arbirration agreement is treated, considering what the Model Law stipulates,basedon tha Convention of New York, 1958, with some innovations in order to elimian natesomeflaws.The Model Law not only recognizes but agreementin relation to an existing controvers¡ also in relation to any future controversy.At the same time, it recognizesan arbitration agreementindependent from adopting an arbitration clauseincludeclin a contractor in an independentagreement.The Chilearl an Law, basedon UNCITRAL Model Law, recognize.s -' Nou, o, the Model L¿u LJNCIT'RAI,,tJnitcl ,\'¿riottt Commixeefor International Commercia/Ldw Yearbook,uolwtc XV|, 1 9 8 5p, . 1 3 1a n d f o l l o w i n g . " Sandoval,Ricardo,op.cit, p. I12.

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Legii-ModelUNCITRAL,a se " ('u privirela comentariile NatiunilorL/nitepentruDrepnl Comer¡ului vetlett Anuaru/Comisiei uo/.WI, 1985,p. 131$i urmátoarele. lntcrn¿tional,


comentarii Studii.articole,

sentin$ei,toate acesteaneputand fi modificate prin liarbitration agreementif the existing or future controbertateade voingáa pár¡ilor saude putereadiscregionará versy refersto a ,,specificjuridical relation, contractual a tibunalului arbitral ". has ample an This expression non contractual". or non contractual interpretation, to cover all commercial 4. - Convenfia arbitralá business(for example,a third parry interfering in contractual relations;the violation of a brand or other in Capitolul II din legeachilianá referitoarela arbiforms of disloyalcompetition)."' that the arbitratiorr trajul comercialinternagional,convengiaarbitraláare o The ChileanLaw alsoestablishes avándin vedereprevederileLegii-Model, not only a rvrirtet.t reglementare, but in writing, agreementshall be de la New York, 1958,dar cu unele pe Conven¡ia bazatá of anv exchangc documentsigncdby the parties,but als<,1 menite sá inláture anumite deficienqe. imbunátátiri letters,telex, telegramsor other meansof com[lunlcilLegea-Model reglementeazá atát convenfia arbitralá detion rvhich provide a record of the agreententor ill ¡tt existentá,cát conven¡ia cr,rrgánddintr-o neingelegere exchangeof statementsof clairn and defensein n'hich n e i n g e l e g e r ev i i t o a ¡ e . d i n t r o d e c u r g á n d a r b i t r a l á is by one parrl'and alleged agrcement of an the cxistence '[btodatá, convengiaarbireglementeazá Legea-Model (article As for rhe proNo 2). 7 not deniedby the other in contract stipulatá este aceasta dacá indiferent tralá form in article7, accordingto article vision For,,r.vritten" din inspiratá chilianá, Legea separat. acord 3 of Law 19.799referingto electronicdocuments,elec- sau intr-un conven¡ia reglementeazá I-egea-Model UNCITRAL, tronic signatureand servicefor certificationof sLrchsigarbitralá dacá o nein¡elegereexistentá sau viitoare denature, it should be understood that this provision is curge ,,dintr-un raport concret contractual sau neconelectronic in an is contained agreement fullfilled if the tractual". Aceastásintagmá este susceptibil¿de o interworld.tt of the document,as it is done in other places pretare generoasá,in sensul cá se referá la toate raporFinall¡ the referencein a contract or document contai(de exemning an arbitralclauscconstttutesagreementto arbitra- turile comerciale,inclusivcelenecontractuale contracraPort intr-un plu, ipotezaterlului ce intervine tion, provided that the contract is in written form and forme de tual; incálcareadrepturilor la marcá sau alte impliesthat this clauseis a part oFthe conrhe reference tt'. concurentá neloialá) referenccis tlot netract. This meansthat an expres,scd lcgeachilianástabileqteforma scrisáa t)e asemenea, in it. Thc cessaryto thc arbitration clausecontaincd inEelegánd arbitrale,prin aceasta convenliei a unfullfilling of the requirementof recordingthe arbitra- conventiei schimb de ci orice nr.rnumai ur.rinscrissemnatde pár9i, tion agreementin writing, may be validatedif the parw submits to the arbitral acts, thus participatesr't'ithout scrisori,rnesajetelex,telegramesauoricealte mijloacede comunicare ce consemneazáin¡elegereapárgilor sau or non validiry of rhc raisingthe defenceof inexister-rce reciprocáa acgiuniiarbitrale;i intámpinárii transmiterea arbitrationagreement.r" in continutul cárora invocareade cátre o parte a existenqeiconvetr¡ieiarbitralenu estecontestatáde cealaltá 5. - Comoosition of the Arbitral Tiibunal p a r t e( a r t . 7 N o 2 ) . C u p r i v i r el a c e r i n ¡ a , , f o r m esic r i s e " stabilitá de art.7, potrivit art. 3 din Legea19.799cu priCommercial Intcrnational Law on The Chilcan electronice,semnáturaelectronicá;i la vire documentele that the fubitration, accordingto the Model Law, states a acestei semnáturi, se certificare de Failing procedura partiesarefreeto appointthe numberof arbitrators. ceringá este indeplinitá dacá poate aprecia cá aceastá such determination, the number of arbitrators shall be respectivaconvenfie este cuprinsá intr-un document three.This numberwasadoptedasin UNCITRAL (Articlc deqi acestaeste realizatin orice alt loc din electronic, in International number it is the most common 5) because lume.'- in sfárqit,menliunea dintr-un contractsau document ce contineo clauzáarbitraláconstituiecotlvenlie '" Notes on the UAICITR{L Mod¿:l Ldw Ycarbook oJ' U'trircrl Nations Cortiteefor Internationdl Conterci¿lLau,, uohtne XVI' 1985' p. l28. t'See articlc bv this same author,,Arbitration on lin¿ in Intenmtiona/ Commerce",published in Gateta Juridic¡ nttmber 288, 2004, p. 20 and i:ollowing. www.camsantiago.cl. " Notes o¡ LTNCII-RAL Model Lau Yearl¡ook o;f tlte United Nations Committee on International Commercia/ Latu, uolume X\4, 1985

lo

'' Sandoval, Ricardo, op. cit, p. 112. '' A se vedea comentariile releritoare la Legea-Model UNCI-l-RAT., in Anuarul Comisiei Na¡iunilor [Jnite pentru Drepnl Comer¡ului Intcrna¡ional, uol. WI, 1985, p. 128 ' r\ sc vedea articolul aceluia;i autor Arbittation on line in Intt'rnation¿l Commerce,publicat in GacetaJuridica nr. 288, 2004, ¡r, J0 si urmitoar('lc.www.camsantiago.cl.

Reüsta Románá de Arbitrai


comentarii Studii.articole,

CommercialArbitration, but also a sole arbitr¿roris a '" commonpractice,speciallyin lesscomplexcases On the appointmentof the arbitrators,article 11 of the Chilean Law stipulatesthat, unlessotherwiseagreed by the parties,no personshall be precluded,bv reasons of his nationaliry from acting as an arbitrator.On this matter, a double doubt arisesin the caseof a I-aw arbirratior.r,this is, when the arbitratorsmust be lawl'crs. According to article 526 fron the Organic Code of' can be a larvvct' ChilcanTiibunals,only a ChileanPcr.son in Chile, which would mean that lawversfrom other nationalitiescould not be arbitratorsin Ctrile. In our opinion, this conclusionshould be wrong, givenrhat the rcgulationson InternationalCclmmercialArbitration do not statcany requiremcntsto be appointeclas an arbiment of the parties.The samc trator,prevailingthe agree conclusioncan be inferred if we look at the history of Law 19.971on InternationalCommercialArbitration in Chile, sincethe partiesdecidethe qualiry of the arbitrators, being applicablein this casethe principle of autonomy of will of the parties.'" Article 11 of the Chilean Law alsostatesthat the parties are free to agreeon a procedure of appointing thc arbitrato¡ or arbitrators.Failing such agreement,each parry shall appoint one arbitrator, and the rwo arbirratorsthus appointedshallap¡rointthe third arbitrator; if a party fails to appoint the arbitrator within thirt¡' da1'5n¡the receiptof a requestto do so from the orhcr parry)or if the rwo arbitratorsfail to agreeon thc third arbitratorwithin thirry days of their appointment, thc appointment shall be made, upon requestof a partl', by the Presidentof the competentCourt of Appealsof the olace of arbitration, whose resolutions shall bc unappealing.As for the grounds for challenge,in order to ensurethe principles of impartialiry and independence of the Arbitral Tiibunal, and ethical rules, the ground for challengeand the procedureareestablished'r' t" ]n other arbitration legislations, as for cxarlple in the recellt Spanish Law, if the parties are unable to agree, a sole arbitrato¡ is appointed(Anicle 12). )" Zehda Pérez, Mauricio, ,,\'ro.yectode /eJ de Arbintje Comerci¡l Internacional", Boletin Juridico lel Ministerio rla .fusticin dc (ll'ílt', Number (>,Seprcmber2004, p. 101 and follorving, :rs:r legisl:rtivecotr sultant for the Justice Ministery savs:fbreign lervvcr.sare not :tcting ls I a w ¡ ¡ e r b. su t : r s a r b i t r a t o r sw h o s e c o n t ¡ r e t e n c ch a s b e e n q u a l i f i e db v t l l c p a r t i e sb y t h e t i m e o f t h e a p p o i n t r r e n t , t h u s i t c ¿ n n o t b c o b j c c t e d tl-ratthc lawyer arbitrators have a diffcrent nationality than chilcans. t' See ,,The ethicsin the internationttl commercialarbitrrttton",6y this same author, published at www.camsantiago.cl.

Nr. 3 (7)/lulie-Septembrie2OO8

arbitralá dacá contractul are forma scrisá 9i dacá menliunea sugereazácá aceaclauzá este parte a acelui áu s e i n s e a m n ác á o m e n ¡ i u n ee x p r e s n c o n t r a c tA . ceasta o con[ine. ce refcrá,in mod necesar,la clauzaarbitralá Neindeplinireaceringeiformei scrisea conven¡ieiarbitrale poate fi acoperitá dacá o Parte redacteazáactede litigiului fáráa inprocedurá,participándla solugionarea arbitrale.tt convenfiei nevaliditatea sau vocainexistenta 5. - Constituirea Tiibunalului arbitral Legea chilianá referitoare la arbitrajul comercial international,inspirándu-sedin Legea-Model,stipuleanumárul arbitrilor' zá cá pártilesunt liberesá stabileascá in lipsaunei astfelde determinári,numárul arbitrilorva fi de trei. Acest numár de arbitri a fost stabilit de Regulile UNCITRAL (art. 5) pentru considerentulcá estecel mai potrivit numár de arbitri in arbitrajul comercial internalional,institugiaarbitrului unic fiind o practicácomuná in specialin cazurilemai pu¡in complicate.'nCu privirile la condiliile de a fi arbitru, art. I I din legeachilianá stipuleazácá, in afara cazului in care pár¡ile au convenit altfel, niciunei persoanenu i se poate interzice de a fi arbitru pentru considerentede na¡ionalitate.in aceastáproblemá, este incidentá o dubl¿ dificultate in cazul unei reglementáriarbitrale, in conformitatecu anume in ipotezaarbitrilor-avocagi. art.526 din l.egeaorganizáriijudiciarechiliene,numai un cetáteanchilian poate avea calitateade avocat in Chile, ceeace inseamnácá avocagiide altá nagionalitate n u p o t f i a r b i t r i i n C h i l e . i n o p i n i a n o a s t r áa, c e a s tcáo n cluzie estegregitá,avánd in vederecá reglementárilecu privire la arbitrajul comercialinternaEionalnu stabilesc nicio condilie pentru numirea unui arbitru, ceea ce prevaleazáfiind in¡elegereapárgilor. Se poate ajunge la concluzie dacá avem in vedereistoria elaborárii aceea.si Legii 19.971 cu privire la arbitrajul comercial international, datá de la care párgilenumesc arbitrul in funcgie sa,fiind aplicabilprincipiul autonomiei de specialitatea voin¡ei pár¡ilor.3o De asemenea,art. 1l din legeachilianá prevedecá irt Anuarul "A sc vedea Comentdriile Legii-Model UNCITML, Comi siei N¿tiun i lor {Jnite p entru Dreptul Comer¡ului Interna¡iona l, uo/. XVI, 198l. '' Ín ;rlte legislatii arbitrale, de exemplu in recent:r reglementare s p a n i o l áa a r b i r r a j u l u i ,d a c á p i r ¡ i l e n u s t a b i l e s ca l t f e l , e s t en u m r t u n r r r b i t r uu n i c ( A r t . 1 2 ) . " Zelada Pérez, Mauricio, ,,Proyectode ley de Arbitmje Comercial Intern¿úondl", Boletin Juridico del Ministerio de Justicia de Cltik' Nr, 6, septcmbrie2004, p. 101 qi urmátoarele, in calitate de consilier j u r i d i c i n c a d r u l M i n i s t e r u l u i J u s t i g i e si u s l i n e u r m á t o a r e l e :a v o c a ¡ i i

n


6. - Competenceof Arbitral Tribunal in Chapter IV of the Chilean Law on International Commercial Arbitration, Article 16 states that the Arbitral Tiibunal may rule on its own jurisdiction, including any objectionswith respectto the existencc or validiry of the arbitration agreement.For that purpose,an a¡bitration clausewhich forms part of a contract shallbe treatedas an agreementindependentfrom any other termsof saidcontract.This wa¡ a decisionbv the Arbitral Tribunal that the contract is null and void shall not enrailipsojure the validity of the arbitration clause.Therefore the Arbitral tibunal shall not loose competenceto decideon the invalidiry of the contract unlessit concludesthat the effect causedby said rnvalidiry alsoaffectsthe arbitration clauseitself.TI-reprinthe natureof ciple of separationis applicableregardless the defect,in contrastto some national legislationsthat distinguish berween initial defects and subseqr-rent grounds for anullment.' A plea that rhe Arbitral Thibunaldoes not have jurisdiction shall be raisednot later than the submissionof the statementof defence , unlessthe Arbitral Thibunaladmits a later plea if it considersthe delay justified (Article 16 No 2). The Tiibunal may rule on a plea either as a preliminary questionor in the awardon the merits.If it rulesas a preliminaryquestionthat it hasjurisdiction,any part)¡ may request,rvithin thirty days after receivingnoticc of said ruling, to the Presidentof the Court of Appealstcr decide the matter, which will be subject of no appeal. While suchrequestis pending,the Arbitral Tiibunal may continuethe arbitralproceedingsand make an alvard." 7. * RestrictedJudicalization: Extent of Court Intervention and oowers of the Arbitrator The restrictionof Court interventionduring arbitration constitutesa basicprinciple in the developmentof InternationalCommercialArbitration. It is one of the essenrialelements to understand the UNCITRAL Model Law,Article 5, and taker.rby the Chilean l.aw in the same terms: ,,ln matters governedby this law no Court shall interveneexceptwhere so providcd in this

párfle sunt libere sá stabileascáprocedura de numire a arbitrului sau arbitrilor. Ín lipsa unui astfel de acord, fiecareparte va numi un arbitru, iar cei doi arbitri, astfel numigi, il vor alegepe cel de-al treilea; dacá o parte nu nume$tearbitrul in termen de 30 de zile de la solicitareaceleilaltepárgide a faceacestlucru sau dacácei doi arbitri nu se ingelegcu privire la cel de-al treileaarbitru in termen de 30 de zile de la numirea lor, numireacelui de-al treilea arbitru va fi fácutá, la cerereaunei párgi,de Pre¡edinteleCurgii de Apel competentede la locul arbitrajului printr-o hotárárenesupusániciunei cái de atac. i'.' c.e" ce privegteinstitugiarecuzá¡ii,in scopulgarantárii respectáriiprincipiilor impargialitá¡ii ;i independen¡eiTribunalului arbitral qi a regulilo¡ sunt stabilite motivelede recuzaregi procedurarecuzárii3'. 6. - Competenfa tibunalului

arbitral

Art. l6 din capitolul IV din legeachilianácu privire la arbitrajul comercial internalional stabilegtecá Tiib u n a l u l a r b i t r a l p o a t e s t a t u aa s u p r ap r o p r i e i c o m p e tenge,inclusivcu privire la oriceobiecgiunireferitoarela existenta sau validitatea conventiei arbitrale. Pentru acesteconsiderente,o clauzá arbitralá, comPonentá a unui contract, va fi analizatáca un contract indepenfel, decizia clentde celelalteclauzecontractuale.i.t ".ert Tribunalului a¡bit¡al de constatarea nulitagiiunui contract nu afeueazáipsojure validitatea clauzei arbitrale. Prin urmare,Tiibunalul arbitral nu va fi necompetent sá statuezeasuprainvaliditagiicontractului in afaráde cazul in care se a.iungela concluzia cá aceastáinvalidirare se rásfrángeEi asupra clauzeiarbitrale.Principiul separirriiclauzeiarbitralede contractesteaplicabilindiferent de motivului acgiuniiin anulare,spre deosebire de unele legislagiice opereazádistinc¡ia intre motive inigiale de anulare gi motive subsecventede anulare a sentin{ei arbitrale3'. Exceplia necompetenfei Tiibunalului arbitral trebuie invocatápáná in momentul depunerii intámpinárii, in afara cazului in care Ti'ibunalul arbitral apreciazáca justificatá invocareaexcep{ieiulterior acestuimoment (art. l6 paragraful2).

" This solution rvas adopted, as it records the Model Lau', in o r d e r r o a v o i d d i l a t o r y t ¿ r c t i c s : r n dt h e a b u s e o f : r n , vr i g h t t o a p p c a l

str:lini nu ac¡ioneazáca avoca¡i, ci ca arbitri, iar competen¡a profes i o n a t : ia a c e s t o r aa f o s t a p r e c i a t ád e p á r t i i n m o m e n t u l ¡ l u m i r i i , a s t fcl cri nu sc poate obiecta cá arbitrii avocali au o altá nalionalitate hrlianá. J , . , r t n ¡ ri o n ¿ l i r . r t ec ¿ " A se vedea studiul aceluiasi autor, The ethicsin the internationdl rornnterci¿larbi tr¿tion, studiupublicat pe site-ul www.camsantiago.cl. ': Pentru comentarii cu privire la Legea-Model, a se vedea (Jnite pentru Drepr Comercial Anuaru/ Comisiei Na¡iunilor

inmediatel¡ op. cit, p. 130.

lnternarion¿\, uol. WI,

i' Noteson thc Model Law Yearbook oJ'United Nations Comirac.for htternational Comercial [.¿w, uolume XVI, ]985, p. 128.

t2

./985, p. 128.

Revista Románá de Arbitrai


comentarii Studii.articole,

law". The intervention casesestablishedby the new Chilean Law are the following: appointment of arbitrators when failing an agreement, challenge and withdrawal of the arbitrator, decision of the Arbitral tribunal to rule competence,and anullment of award.Theseinterventionsimply the exclusionof all generalor residual that is power givento the Tiibunals in a narionalsystcn.r for is especiallv goocl Law.'l'his in the Model not listecl as the international commercial arbitration, because, historl'of the Model Law says,the interventionrecourse of the tribunalsduring arbitral actswere often uscd a.sa dilatory tactic and most of thc times wcre an abuscof the arbitralactsmore than a protection againstabuse." Orr the other hand, the extent of Court interventtott on the arbitrationis not compatiblervith judicial assistance by national Courts, accordingto articlc 6 of the Chilean l,aw, giving some attributions to the President of the Court of Appealsin matterslike the appoinrment of arbitrators when failing an agreement between the parties,origin ofa challengepresentedto the arbitrator, the appointmentof a substitutearbitratorwhen the arbitrator fails to act, the determination as Court of Appelson a resolutionby the Arbitral Tiibunal that rejects an incompetenccdefence.The Chilcan Constitr.ltionalTribunal establishedin the constitutionaliw examination,that the rule of ¿rrticle5 agreedwith the Chilean Constitutior.rin terms of granting the Sr-r¡rrcme Court the directive,correctionaland economicalSuperintendencyover thc tribunals nation wide, as the competencein all jurisdictionalactionsestablishedaffected in the Constitution for all who may seeaFfectedtheir basicconstitutionalrights in the aplicationof saidLaw'." We haveto bearin mind that Article 5 acccptsthe intervention of the Court in other mattersthat arenot under the Model Law, such as the ef|ect of State immuniry contractualrelationsberweenparties and the arbitrarors or the arbitralinstitution, rights and cxpensesetc."' 8. - Aoolicable Law in arbitration The Chilean Law on International Commercial that the Arbitral Tribunal shall Arbitration establishes decidethe litigation accordingto the ¡ules and regtrl'rtions agreedupon by the parties.If they do not indic¿rte uolunt XVI' " LJnitedNationsContitéfor Conrcrci¿lLaw Yearbook, 1985,p. 11 andfollowing. Tiibunal,August25,2004. " Awardby theChileanConstitutional '" Notes on the Mode/ Law, United Nations Coniter fr.rr [nternationalCommercialLaw Warbook,uolumeXVI, /9BÍ, p. I 18.

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2OO8

'lribunalul

se pronun!á asupra excep¡ieiinvocate fie in etapa procesualáa solugionárii aspectelorprealabile, fie odatá cu pronunlarea solugiei pe fond' Dacá Tiibunalul stabilegtein cadrul chestiunilor preliminare litigiul, oricaredintre cá estecompetent sá solugioneze pár¡i poatesolicita,in termen de 30 de zile de la comuhotárári,pre;edinteluiCur¡ii de Apel nicarearespectivei sii se pronunfe asupraacestuiaspect,hotáráreaacestuia din urmá nefiind supusániciunei cái de atac.In perioada de solu¡ionarea acesteicereri,proceduraarbitralánu sc suspendá,Tiibunalul arbitral nefiind impiedicat sá pronunte o sentingáarbitralá". 7. - Intervenfia restránsáa justiliei statale:Extinderea intervenfiei iustiÍiei statalegi prerogativelearbitrului Limitarea intervengieijusti¡iei statalein derularea procedurii arbitralereprezintáun principiu de bazáin dezvoltareaarbitraiului comercial internagional.Acesta esteunul din elementele-cheiein demersulde in¡elegere a art. 5 din Legea-Model UNCITRAL, dispoziEiepreluatá de legea chilianá in urmátoarea redactar.' ,,i.t materiile reglementatede aceastálege nicio instan¡á statalá nu poate interveni afará de situaliile in care prezentalege stipuleazáakfel". Cazurile de interven¡ie alc justi¡iei statalereglementatede legeachilianá sunt numirea arbitrilor de cátreinstan¡astatalá rurmátoarele: cererii de dacá pár¡ile nu i-au desemnat,soluEionarea cáii recuz.are saude ab¡inerea unui arbitru' solugionarea de atac impotriva hotárárii Tiibunalului arbitral de a statuaasuprapropriei competente,precum ¡i cerereade anularea sentinteiarbitrale.Acestecazuride intervengie a justiliei statale determiná eliminarea prerogativelor generalesau particulare conferite tibunalelor arbitrale de reglementárilenagionale,aspectce nu este prevázut de Legea-Model.Aceastáabordareestebeneficáarbitrajului comercial internagionalpentru considerentulcá, astfelcum reEineistoria redactáriiLegii-Model, metoda recurgerii la intervenlia justigiei statale in procedurile arbitrale era utilizatá pentru a tergiversasolugionarea litigiului gi, de cele mai multe ori, respectivametodá proceduriiarbitraledecátprotec¡ia generanerespectarea impotriva abuzurilorto. " Aceastásoluqiea fost adopratá,astlel cum re¡in prevederile a l-egii-Model,pentru a evita incidenEametodelorde tergiversare de atac, gi a cáilor abuzivá exercitarea precum solu¡ionáriilitigiului, op.cir., p. \30. " A se vedeaAnuarul Comisici Na¡iunilor Unite pentru Drept uol.XVI, 1985,p. 11 ¡i urmátoarele. Comercitt/,

13


comentarii Studii.articole,

the applicable laws, the Arbitral Thibunal must apply the Law determinedby the applicablerules of solution of conflict between laws considering the provisions of the contractand commercialuse.According to this regulation,the Law allowsthe partiesto choosethe applicablenorms, which meansthat thay could apply norms from more than one judicial systemand to international levcl."That is, that the partiesshallbe ableto chooscthe UNIDROIT as applicableLaw to the controversv.'' In other InternationalCommercialArl¡itration Law, when partieshavenot chosenthe applicableLar'vto the merit of the conflict, the arbitrator hasbeengiven a discretionalrangein the arbitral Law concreteapplication. that the arbiFor example,the German Law establishes Law accordinqto trator may determine the applicable the closestrelation.'nOn the other hand, the Spanish legislation establishesthat when the parties do not choosethe applicableLaw, the arbitrator shali decide.'n 9. - Interim Measures The Arbitral Tiibunal ma¡ r,rnlessotherwise agreed by the parties,order any party to take such interim measureof protection in respectto the subject-matter of the dispute.The Arbitral Tiibunal may require an1' party to provideappropiatesecrtriti'itt conuectionq'ith such measure(Article 17 Chilean Law). Interim Provisional measuresto avoid and mitigate lossescan be ample, with restrictionsin referenceto the su[..iectmatter of the dispute.t'This measuredoes not provide the Arbitral Tribunal with the faculty to executeresoltttions, nor can foreseethe judicial execution of the orders of the Arbitral Thibunal."

r;

Notes on the Model Ldtu. United Nations Committ¿e Jor Intern,ttional CommercittlL¿w. \'earbook,uolunteXVI, 1985, p. 140. '^ -l'he Intcrnational Institute for the Unitv of Private l-au' (UNIDROI'|) is an intcrgovernmentalagency that published in 1994 a serof regulation.sin order to offér a generitl ilnd hotnogct.tcotts r e g u l , r r i o no f I n t e r n a t i o n a l C o n t r a c t u a l L a w f o r r h e i n t e r n a t i o n a l c o m m e r c i a l c o n t r a c t s .N o r v a d : r y s t, h e p r i n c i p l e so f U N I D R O I T a r c usually used by the arbitrators to base their arv:rrdsitt an iltternrrtional commercial arl¡itracion context. See u.u"ri'.unidrt i t. o rg. '' Checa, Martinez, Miguel, op. cit. p. 356. " ' A r t i c l e 3 4 N o 2 o f L a r v ( 1 0 - 2 0 0 3o n S p a n i s hA r b i r r e t i o n . l r o r ' o t h c r c r i t e r i at o d c t c n n i n c t h c a p p l i c a b l c[ - a r l , i n o t h c r l c g i s l r r t i o r tssc c S a n d e r sP i e t e r s ,a p . t i r . p . 1 7 . '' Nores on rhc Model Lau,. Iinirud Narions (.ontntitttt fir lnternatiott¿/ C'ann¡toti¿l Lau,. lTarbook, uolunte WI, 19,9í, p. I 3 I . ,. See,,'l-heICO Arbitration Rttlesand the UNC17'RAL Mo¿L,lL¿u," bl' Schwartz, Eric. Published by Arbitration /ntern¿tionttl, uolutttt 9 N" 3 LCIA, 1993, p.239 and follorving.

T4

Pe de altá parte, extinderea intervengiei justiliei judistatalenu estecompatibilá cu sistemulasistengei ciare organizat d€ aceasta,astfel cum stipuleazá an. 6 din legeachilianá,conferindu-sepre$edinteluiCurgii de Apel atribugii cu privire la numirea arbitrilor dacá pár¡ile nu au stabilit acestlucru, la solu¡ionareacererii de recuzarea unui arbitru, numirea unui arbitru supleantcánd arbitrul titular esteindisponibil,solulionarea cailor de atac declarateimpotriva hotárárii Tiibunalul arbitral de respingerea excep[ieide necompeten¡á.Tribunalul constitulionalchilian a stabilitin contextul examináriiconstitugionale,cá regulainstituitáde ¿rrt. 5 nu este neconstitu[ional prin raportare la Constitugia statului Chile in sensul conferirii Cur¡ii Supremea prerogativeide control judiciar qi economic a tutu¡or instan¡elornafionale,din moment ce comPetenta solulionárii acgiunilorjudiciare, astfelreglementatá de Constitugie,are implicagii cu privire la toli cei ce Ei-ar putea vedea drepturile fundamentale nesocotite prin aplicarea acelei legit'. tebuie sá avem in vedere laptul cá art. 5 admite incidengajustigiei statale in materii nereglementatede Legea-Model,precum ar fi efectulimunitá¡ii statale,raporturiledintre pár¡i ;i arbitrii saudintre párgigi institugiaarbitralá,drepturileproceduralesi cheltuielilearbitraleetc"'. 8. - Legea aplicabilá in litigiul arbitral Legea chilianá cu privire la arbitrajul comercial interna¡ional solugioneazálitigiul in conformitate cu regulile Ei reglementárileconvenite de pá4i. in lipsa unei astfel de determinári, Tiibunalul arbitral aplica legeadeterminatápotrivit normelor conflictualepertinente prin luareain considerarea prevederilorcontractuale gi a uzangelorcomerciale. Potrivit acesteireglementári, párgilor le estepermis sá aleagálegeaaplicabila litigiului arbitral,ceeace inseamnácá pot sá aleagálegi din mai multe sistemede drept intr-un litigiu internaqionalr;. Astfel, pár¡ile pot determina aplicarea UNIDROIT fondului litigiului". in alte reglementári chilianpronunratá ,\ sc vede¿senrin¡aTribunaluluiConstitutional 2004. Ja25 august a sevedeaAnudrul "' I)entrucomentariicu privirela Legea-Model, (.ornisieiNatiunilor Unite pentru Dreptul Comer¡uluiInterna¡ional' t'ol.X\I, | 985,p. 1lB. '- Pcntrucomentariireferitoare la Legea-Model, a sevedeaAnuatul uol.WI, Interna¡ional, Ct¡misie i N¿tiunilor[Jnitepentu DreptComerprlui | 9tt5,p. 14(\. '' Institutul Interna¡ionalpentru UnificareaDreptului Privat cea publicatin 1994 (UNIDROIT) esteo agen¡ie interguvernamentalá

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10. - Anullment Reeourseagarnsll¡¡¡ard of restrictionsin judicial intervenAs a consequence tion in arbitration, the UNCITRAL Model Law establishesthat the only way that the arbitral award mav be set aside is by the anullment recourseagainstan'ard, basedon the taxativegrounds establishedin Article 34, which are basicallythe same establishedby thc Neu' Y o r k C o n v e n t i o ni n 1 9 5 8 .T h e g r o u n d sf o r a n u l l m e n t are the following: a) the incapaciryof a parry in the arbitration agreement; b) the agreementis not valid under the law to which the partieshavesubjectedit; c) the parry making the application was not given proper noticeof the appointment of an arbitratoror of the arbitral proceedingsor was otherwise unable to presenthis case; the award dealswith a dispute not contemplated by or not falling within the terms of the submissionto arbitration,or containsdecisionsor matters beyond the scopeof the submissionto arbitration; d) the composition of the Arbitral Tiibunal or the arbitral procedure was not in accordancewith the agreementby the parties,unlesssuch agreementwas ln conflict with a provision of this Law from which the partiescan not derogate , or, failing such agreement,was with this Law; not in accordance e) the Court finds that the subject-matteroFthe dispute is not capableof settlementby arbitration under the Chilean Law, or the award is in conflict with thc p u b l i c p o l i c yo f C h i l e . The petition for settingasidemay not be made after three months haveelapsedfrom the date on which the parry making the petition had receivedthe award. The competentCourt of Appealswill place the petitions of nullity immediately in the Court Board and they will enjoy preferencefor their view and the Court ruling. Once the anullment recourseagainst the award has been ruled, the question ariseswhether the resolution can be reviewed by the Supreme Court by means of a Disciplinary Recourse,taking into account parragraph 7 above. In respect of the restriction of national Ordinary Tiibunals intervention during arbitration' ser forth in the new Law of International Commcrcial Arbitration, it shall be understood,in accordancen'ith what was said by the Chilean Constitutional Tiibr-rnal, not withstanding the directive, correctionaland economical Superintendencyolt the Supreme Court over the tribunals nation wide. It is our opinion that the

referitoarela arbitra.iulcomercial internagional,in cazul in care párgile nu au ales legeaaplicabil¿ fondului litigiului, determinarea acesteiarevine instangeiarbitrale. De exemplu, legeagermaná stabile;te cá arbitrul poate determina aplicarealegii ce prezintá cele mai stránse legáturicu litigiulr'. Pe de altá parte, legisla¡iaspaniolá cá, in cazulin carepártile nu determinálegea stabileqte aplicabili fondului litigiului, aceastava fi determinatá de instantaarbitralá.". 9. - Másuri asigurátorii Dacá pár1ilenu au convenit altfel, Tribunalul arbitral poate dispuneluareaunor másuri asigurátoriipentru conservareac{repturilorlitigioase.Tiibunalul arbitral poatesolicitaoricáreiadintre párgide a lua másurile necesarecompatibile cu dispunereamásurilor asigurátorii (art. 17 din legeachilianá).Másurile asigurátorii dispusein scopul evitárii qi limitárii pagubelorpot avea un domeniu larg de aplicare, singurele restricEiifiind impusede naturalitigiului''. Dispunereaacestormásuri asigrrrátoriide cátre Tribunalul arbitral nu le conferá 9i r executoriu,nefiind reglementatáinstituEiaexecaracte cutárii silite a másurilordispusede Tiibunalul arbitralo'. 10. - Acfiunea in anularea sentinfei arbitrale Ca o consecin¡áa incidenleiintervengieijustigieistatale in derularea procedurii arbitrale, Legea-Model cá singuramodalitatede desfiinUNCITRAL stabilegte tare a unei sentinfe arbitrale este acfiuneain anulare, motivele acliunii in anulare reglementate de art. 34 fiind aproximatividentice cu cele stabilitede Conventia de la New York, 1958. Motivele de acgiuniin anulare sunt urmátoarele: un set de reguli pentru a oferi o reglementaregeneraláqi omogenáreglementárii contractualeinternagionale,cu referire specialála contractele c o m e r c i a l ien t e r n a E i o u a lien. z i l e l en o a s t r ep, r i n c i p i i l eU N I D R O I T s u n t , d e o b i c e i , u t i l i z a t ed e i n s t a n ¡ e l ea ¡ b i t r a l ei n s c o p u l m o t i v á r i i s e n r i n q e i p r o u r ¡ n t a t ei n t r - u n l i t i g i u i n t e r n a t i o n a lA. s ev e d e aw w w . u n i d r o i t . o r g . ''' Checa, Martinez, Miguel, op.cit. p' 356. -" Art. 14 paragraful 2 din Legea 60-2003 referitoarela arbitrajul s p a n i o l .P e n t r u a l t e c r i t e r i i d e d c t e r m i n a r ca l e g i i a p l i c a b i l ef o n d u l u i litigiuiui st:rbilite de alte legislalii, a se vedea Sanders Pieters, op cit p 17 t' Pentru conrentarii referitoarela Legea-Model,t se v edeaAnua tu I Contisiei Na¡iunilor [Jn;te pentrt4 Dreptul comertuhti Internationdl, uol. WI, 1985, p. 131. '" A se vcdea The ICC Arbitration Rules and the UNCITML Model Law, Shwartz, Eric, in Arbitration International' uol. 9 I( 3 LCIA, 199-1,p. 239 ;i urmátoarele'

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Disciplinary Recousecan not be applied in this case, due to the extraordinary character of said recourseand considering the character of ,,lex specialis"of Chilean Law on International Commercial Arbitration which provides that in case of conflict, its dispositionsorr international commercial arbitration prevail over the generaldispositionsof arbitration.t' I l. - Recosnition and enforcement of awards This matter is regulatedin Articles35 and 36 of the Chilean Law on InternationalCommercialArbitration. They adopt almost literallythe Convention on recognition and enforcementof awardsof New York, 1958.The scopeof applicationof the UNCITRAL Model Law is different from the range of the New York Convention. The Model Law is applied to all awardsin connectton with internationalcommercialarbitration,including the awardsin the State where the rccognition and enforcement is sought. On the contrarv, the Nerv York Convention appliesonly to foreign arbitrai awards,that is, thosethat havenot been made by the tribunal oF rhe Statewherethe recognitionand enforcemenris sotLght. Any arbitral award, irrespectiveof the colttttrv itt which it was made,shall be recognizedas binding, and shall be enforcedsubjectto the provisionof Article 35 of the Chilean Law on lnternational (lommercial Arbitration. The grounds for ¡efusing recognition or enforcementof an arbitral award are set forth in Article 36 oFthe Law and shall be proved in order to rejectthe recognition and enforcement of the arbitral award.

a uneiadintre deplinede exerciEiu a) lipsacapacitágii pártile convenli€i arbitrale; b) conven¡iaarbitralá nu indeplineqtecondigiilede vaiiditatestabilitede legeadeterminatáde pá4i; c) partea care a formulat cerereade arbitrare nu a fost inqtiingatácu privire la posibilitateade a numi un arbitru, nu a fost citatá cu privire la desf$urareaprocedrrrii arbitrale Ei nu a i s-a dat posibilitateade a-;i suslinepunctul de vedere; d) sentintaarbitraláse referáIa aspectece nu s-ausolicitat sau nu se referála ceeace s-asolicitatsause referá la aspectece depá¡esclimitele cererii de arbitrare; e) constituireaTribunalului arbitral sau procedura pá4ilor, cu ingelegerea arbitralánu sunt in concordangá in afaráde cazul in careo asfel de ingelegerenu resPectá o dispozigielegalade la care párgilenu pot derogasau, in lipsa unei astFelde in¡elegeri,acesteanu sunt in concordangácu reglementárilelegale; e) litigiul nu estearbitrabil potrivit legii chilienesau sentinla nu respectáordinea publicá de drept inter-

na[ionalprivat. Cerereade anulare a sentinlei arbitrale poate fi formulatá in te¡men de trei luni de la data comunicárii accsteia.in cadrul Colegiului, Curgile de Apel competente vor solu¡iona cu prioritate cererilede anularea sentintelorarbitrale.Odatá ce acliuneain anularea fost solu¡ionatá prin hotárárea pronuntatá de Curtea de Apel, se pune problema dacá respectivahotárárepoate Ft analizatáde Curtea Supremáca urmare a declaráriirecursului pentru neregularitágiformale, dacáavem in vedereparagrafulT de mai sus.Va trebui sá se gináseama de limitarea intervenqiei instan¡elor statale in desprocedurii arbitrale, astfel cum a fost reglefáEr,rrarea CONCLUSIONS mentatá de noua lege a arbitrajului comercial interAs we can see,the new Chilean Law on International national, acestaspectfiind in depliná concordanlá cu deciziaTiibunalului Constitugionalal statului Chile ce CommercialArbitrationembracesthe internationalunity prerogativeide control judia statllatasupraexistengei principlc in arbitrationregulation,basedon the UNCIasuprainstangelorstatalenaqi exercitatá I'RAL Model Law 1985, providing a flexibleregulation, ciar economic basedon the principleof autonomyof will of the parties. ¡ionale.in opinia noastrá,caleade atac a recursuluinu se poate aplica in aceastáipotezádin cauzacaracterului and It is importantto point out that Chile hassubscribed exraordinar al acesteia,dar gi din cauzacaracteruluide rccognitior.r on Nations Convention the United ratified legespecialáa reglementáriichilienecu privire la arbiand enforcementof foreign arbitral awards, New York C o n v e n t i o no n I t r t e r n a - trajul comercial interna¡ionalce stabilegtecá in cazul 1958, and the Interamerican unei neconcordangeintre reglementárilegeneralegi spet i o n a l C o m m e r c i a lA r b i t r a t i o n , P a n a m a I 9 7 5 , u ' h i c h helpsthe efficiencyofthc internationalarbitrationsvstcm cialeau prioritatede aplicareacesteadin urmáo'.

-r'

is taken6y |NCI'\'RAL Molel 11.r.principleol lexspecialis

Law and the Chilaanlau UnitedNations Commixeefor International Lau. Yearbook, uolumeXV 1985, p.9 and lollowing. Commercial

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" Principiul lex specialisestepreluat de Legea-ModeltINCITRAL 5i de legeachi/i.¿n¿.A se vedeaAnuarul ComitetuluiNatiunilor IJnite Interna¡ional,uol.XV 1985,p.9 ¡i urm. pentru Drept Comercia/

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resrrictior:t in Chile. At the sametime, the inquestionable in judicialinterventionof Ordinary Tiibunalsensuresthe well fi,rnctioningof the internationalarbitral svstcmin Chile. In our opinion, the new Chilean Law on InternationalCommercialArbitration hashelpedChile to becomean attractivearbitral place for investorsand foin Latin Amcricancontext. especially reigncounterparts,

1 1. - Recunoagtereagi executareasentinfelor arbitrale Materia recunoagteriigi incuviinEáriiexecutáriisilite a sentin[elorarbitraleestereglementatáde art. 35 ;i 36 din legea chilianá referitoare la arbitrajul comercial Aceste dispozitii legaleadoptá, aproape interr.rational. litcral, Convenlia cu privire la recunoa;tereaqi incuviintarea executáriisilite a sentinlelor arbitrale,New York, 1958. l)omeniul de aplicarea Legii-Model UNCITRAL este diferit de domeniul de aplicare a Convengici de la New York. Legea-Modelse aplicá tr-lturorsentinfelor Pronungatein arbitrajul comercial intcrnational,inclusivsentinlelorarbitraledin statul pe gi incuviinlarea teritoriul cáruiasesolicitárecunoa$terea cxecutáriisilite a acestora.Dimpotrivá, Convengiade la New York se aplicá numai sentingelorarbitralestráine, adicá acelor sentingearbitrale ce nu au fost pronun¡ate de instangelestatului pe teritoriul cáruia se solicitá qi incuviinlareaexecutáriisilite a acestora. recunoaqterea Orice sentin¡áarbitralá,indiferent de garape teritoriul cáreias-a pronunlat, esteconsideratáca obligatorie qi va fi executatásilit conform prevederiloratt.35 din la arbitrajulcomercialinternalegeachilianáreFeritoare tional. Motivele refuzului recunoagteriigi incuviinqárii execlltáriisilite a sentingeiarbitrale sunt reglementate de art. 36 din legeachilianá,trebuind a fi doveditepentru a respingecerereaavánd un astfel de obiect.

CONCLUZII Asa cum se poate observa,noua legechilianáreferitoare la arbitrajul comercialinternaEionalimbrágiqeazá a reglementáriiarbiprincipiul unitá¡ii internaEionale trale,avánddrept sursáLegea-ModelUNCITRAL 1985, furnizándu-seo reglementareflexibilági fundamentatápe principiul autonomieivoin¡ei párgilor.Esteimportant sá subliniem cá Chile a semnat qi ratificat ConvenEia gi executarea Naliunilor Unite cu privire la recunoagterea senrintelorarbitralestráine,New York 1958, Conven¡ia Interamericanácu privire la arbitrajul comercialinternalional, Panama 1975, fa1 ce ajutá la eficientizarea arbitraleintcrnalionaledin Chile' in acelaqi rcglementárii a interven¡ieijusti¡ieistatale rimp, evidentarestric¡ionare in bune condigiia sistemuluiarbitral asiguráfuncEionarea din Chite. in opinia noastrá,noua regleir.rterna¡ional mentarechilianáreferitoarela arbitrajulcomercialinterna¡ional a ajutat statul Chile sá deviná un loc atractiv de arbitraj pentru investitori gi entitá¡i stráine,in special DcntruAmericaLatiná in ansamblulsáu.

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Arbitraje. Revista Romana de Arbitraje  

The new international commercial arbitration law Nº 19.971