CURTEA DE ARBITRAJ COMERCIALINTERNATIONAL

c.c.I.R.

REVISTA ROMANADEARBITRA.I

f,7 nnxrRoP & srRAToN' Ü / r - , , - , l - F , I i r , , ' ; c i l - n n c r r l t a n l i i n A f ¡ ¡ p r i

Fondatori

Consil iul Sti int i f ic

Colaboratori principa l i

Redactor-sefSecretar de redactie

REVISTA ROMÁNÁ DE ARBITRAJ

Victor Babiuc, lon Bácanu, Adrian Severin,Octavian Cápátáná

Stanciu D. Cárpenaru, Viorel Mihai Ciobanu, lon Deleanu, GrigoreFlorescu, Liv iu Pop, Viorel Rog, loan Sabáu-Pop, Dragog AlexandruSitaru, Bránduga $tefánescu, Marin Voicu

$erban Bel igrádeanu, Ruxandra Chiru, Mihaela Cozmanciuc, SergiuDeleanu, Dumitru lvanciu, Si lv iu Jecu, Crenguta Leaua, Lucian Mihai,Roxana Munteanu, lon l . Nestor, Dan Andrei Popescu, Ti tusPrescure, Ana Savin, loan Schiau, Victor Tánásescu, Maria Veriotti,Cál in Andrei Zamfirescu

Radu-Bogdan BobeiBazi l Ool indá

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Cuprins

I. STUDII, ARTICOLE, COMENTARII

The New Chilean Law on International Commercial Arbitration - Juan Eduardo Figueroa Valdes

Interpretári al convenliei arbitrale in jurisprudenga románá gi elvegianá (I) - dr. Radu Bogdan Bobei

Autonomia convenliei arbitrale in interdependenlá cu principiul Kompetenz-Kompetenz -

lect. univ. drd. Cristina Florescu

Mon ismsaudua l i sm ina rb i t r a j u l comerc ia l ( I I I ) - p ro f . un i v . d r . V i c to rBab iuc . . . . ' . . 37

LaNov i t l ne l l e recen t i r i f o rme i t a l i ane i nma te r i ed i a rb i t r a to -G io rg io Meo . . . . . . . . 42

t I . JURISPRU DENTA ARBITRALA

Competengá

Stabil irea echivocá a compcrenfei instan¡ci de arbitraj instituqionalizat - accepgiunea sintagmei,,locul arbitmjului

uaf la Bucure;ti" - uti l izarea l imbii engleze in procedr-rra ¿rrbitralá - clauzá compromisorie identicá cu clauza-tip

de arbitraj recomandatá de Curtea Inrernationalá de Arbitraj de pe lángá Camera de Comer¡ Interna¡ional cu

s e d i u l l a P a r i s . . " 5 7

investirea instangei srarale cu solu¡ionarea unui litigiu decurgánd din sau in legáturá cu un contract conginánd

o clauzá compromisorie validá qi operantá - dezinvestirea cu putere de lucru judecat a instanqei statale - consecinte- obliga¡ia tribunalului arbitral de a proceda la verif icarea propriei competente de solutionare a l it igiului - inlocuirea

procedurii somagiei de plata de procedura prer,áz.utá de RPA-CA in temeiul art. 5 din aceste reguli . . . i8

Neindicarea in con¡inutul clauzei compromisorii a numelui arbitri lor sau a modalitágii de numire a lor - indi-

ca rea ins t i t u l i e i pe rmanen te de a rb i t r a j cá re ia i se a t r i bu ieso lug iona rea l i t i g i u l u i - consec in ¡e . . . . . 60

Inexistenga clauzei compromisorii in conrractul l i t igios - existenga unui clauze compromisorii in conginutul unui

alt conrracr incheiat intre aceleaEi pár¡i - existenqá de-sine-státátoare a celor douá contracte - consecinqe . .61

Accep¡iunea sintagmei ,, l i t igi i patrimoniale" - caracter arbitrabil al ac¡iunii in evacuare - consecinge . . ' . .62

Clauzá comDromisorie alternativá - sesizarea, cu prioritate, a instantei .statale - consecinle

Opgiunea exclusivá a pár¡i lor penrru in.stan¡a judecátoreascá sau pentru arbitraj - l ibertatea de a incheia, de a nu

incheia 5i de a desfiin¡a convenfia arbitralá - mutuus clnsensus-mutuus disensus ' . .65

Procedurá arbitralá

Decesul unei pár¡i l i t igante in cadrul procedurii arbitrale - obligativitatea pronun!árii hotárárii in termen de trei

luni de la constituirea rribunalului arbitral - nerealizarea transmisiunii legale a calit i l i i procesuale pasive -

consecinte

Lipsa caracterului formal a incercárii de solu¡ionare pe cale amiabilá a l it igiului comercial - aplicarea prevede-

ri lor art. 720' C.pr.civila in condigii le convenite de pár¡i - excepIia inaplicabil itali i procedurii concil ieri i preala-

bile - stricta interpretare Ei aplicare a excepqici . . . 68

Hotáráre arbitralá

Cerere de indreptare, lámurire gi completare a sentinfei arbitrale * inadmisibil i tate - specificul procedurii arbi-

t r a l e - c o n s e c i n t e . . . ' . . 6 9

Nr. 3 (7)/Iulie-Septembrie 2OO8

1 8

26

67

Cupr ins

Efectele hotárárii arbitrale - autoritate de lucru iudecat - consecinte

Cheltuieli arbitrale

72

Achitarea integralálit igios * punerea in

a debitului reclamat páná la prima zi de inFáqi;are

intárziere de drept cu privire la plata cheltuieli lor de

- caracterul comercial al contractului

arbitrare inainte de introducerea cererii

de arbitrare 76

Prescriplia dreptului material la acliune

Refuzul de platá a filei CEC girate - neexercitarea de cátre posesorul CEC-ului a dreptului de regres impotriva giran-

tului, trágátorului Ei celorlal¡i obligagi in tcrmenul dc prescripgie de 6 luni - consecinge - dublarea

raportului fi-rndamental de un raport derivat din girarea unor filc CEC in scopul stingerii debitului principal - con-

secin¡ele raportului de accesorialirate intre ac¡iunile derivate din transmisiunea unui CEC qi acÍiunea cavzaJá . . .77

Stingerea obligafilor comerciale

Inexistenta caracterului cert, l ichid 9i exigibil al obliga¡iei banegti - consecin¡e . , ,79

Novaq ie p r i nsch imbarede deb i t o r -p r i nc ip i i de i n te rp re ta re . . . . . . ' . ' 81

Contract de asigurare

Neexecutare culpabilá de cátre asigurátor a obliga¡iei de a anexa contractului de asigurare documentele referitoare

la expedigia, transportul, recepgia márfurilo¡ asigurate - consecinge - lipsa sávár¡irii de cátre asigurat, cu inten¡ie

,"'-r áit-, culpá, a unor acre de naturá sá impiedice subrogarea asigurátorului in drepturile sale - pasivitatea totalá

a asigurátorului - obliga¡ia contractualá a asigurátorului de a plati indemnizalia de asigurare - inexistenga

vreunei men¡iuni pe documentele de transport cr-r privire la avarierea márfi i asigurate - momentul anterio¡

predarii spre transport a márfi i asigurate - consecinqe . . .84

Contract de leasing

Execurarea pargiala qi cu intárziere de cátre uti l izator a obliga¡iei de platá a ratelor de leasing gi a primelor de asi-

gu ra re - rez i l i e reconven t i ona lá -consec in ¡e ' . . . . 87

Neconresrarea de cátre uti l izaror a nepláti i sumei de bani datorate cu tit lu de penalitá¡i ; i comisioane - consecin¡e -

ta-xá de rezil iere - calif icare - f inalitate - inexistenra unui dezechil ibru semnificativ intre drepturile gi obligaEii le

párgilor - consecinre - lipsa emiterii facrurii fiscale aferente t¿rei de reziliere - nerelevangá - stipularea unor sancliuni

conrracruale alternative penrru intárzierea pla¡i i ratelor de leasing - aplicarea sancgiunii rezil ieri i in temeiul ur.rui pact

comisoriu expres de gradul IV . . . 89

III. VARIA

A. Congrese, conferinte, ateliere

,,Conuen¡ia de la New Yorle - 50 de ani", 1 februarie 2008, New York . . . .93

B. Recenzii

B.l. Arbitration Internati onal, 4, 2007 , 241 pagini . . , . . 93

B.2. Austrian Arbitration Yearbook 2008, 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 Figueroa Valdes . . . . I

Approaches of arbitration agreement in Romanian and Swiss case law- Radu Bogdan Bobei, Ph.D. . . . l8

Separability of arbitration agreement and its relation with Kompetenz - Kompetenz principle - PHD candi-

d a i e C r i s t i n a F l o r e s c u , l e c t u r e r . . , . . . . . 2 6

Monism or dualism in commercial arbitration (III) - Profcs.sor Victor Babiuc, Ph.D.

LaNov i t ) ne l l e recen t i r i f o rme i t a l i ane i n ma te r i e d i a rb i t r a to -G io rg io Meo ' . . . . . . . 42

II. ARBITRAL IURISPRUDENCE

Competence

Ambiguous assignation of the competence of an arbitral tribunal constituted under institutionalised Rules of

arbitration-meaning of words ,,t/¡e uenue of arbitration shall be Bucharest" - using English language in arbitral pro-

cedure - arbitral clause id.ntical with standard clause recommended by International Court of Arbitration

attached to the International Chamber of Commerce from Paris ' ' ' ' ' ' 57

Submitting stare courr with settl ing a dispute arising out of or in connection with the contract containing a valid

and operati,re arbitral agreemenr - reject by state court with power of res judicata of submitting with settling that

dispuie - consequen.es - task of arbitral tribunal to proceed with veri$'ing its own competence to settle the dis-

pure - replacing the procedure of pal,ment noticc rvith the procedure provided by Rules of procedure issued by

Romanian Court of Arb i t rat ion under a¡ t . 5 of thcsc Rules . . . . . . 58

Lack of making reference ro rhe names of arbitr:rtors or to the n-rerhod of appointrnent of arbitrators provided by

arbitration .g.."-.n,- making reference to permanent arbitral institution for settl ing of the dispute is referred -

c o n s e q u e n c e s " " " 6 0

Lack of arbitration agreemenr in disputed conrract - arbitration agreement contained in an another contract

conc ludedby thesame pa r r i es -se l f - con ta ined ex i s tence o f t hose rwo con t rac t s - consequences . ' . . . . . ' ' 6 l

Men ingo f wo rds , ,p rope r r yd i spu tes " -a rb i t r ab i l i t yo f ac t i on f o rev i c t i on -consequences . . . . . . . 62

A l te rna t i vea rb i t r a t i on ag reemen t -p r i o r mak ing re fe rence tos ta tecou r t s - consequences . . . . . . . 64

Exclusive oprion of parties to submit the request to state court or to arbitration - option for concluding, not

concluding or for annulling the arbitral agreement - mt¿tuus clnsensus-mutuus dissensus . . .65

Arbitral Proceedings

proceedings- compulsoriness of rendering the award within three- lack of accomplishing legal transmission of passive ius standi -

Lack of formal atrempr ro settle amicable commercial dispute - appliance of an. 720' Civil Procedural Code

under consentment of parties - exceprion of impracticableness of prior concil iation procedure - strict interpre-

t a t i o n a n d a p p l i a n c e o f e x c e p t i o n . . . ' . . 6 8

37

Death of l i t igating party during the arbitral

month From constitution of arbitral tribunal

conseouences . .

Nr. 3 (7)/lulie-Septembrie 2O08 I I I

Content

Arbitral Award

Request for correction, clarification or completion of arbitral award - inadmissibility - distinctive feature of

a r b i t r a l p r o c e e d i n g s - c o n s e q u e n c e s . . . ' . . . . . . . 6 9

Powero f a rb i t r a l award - res iud i ca ta -consequences . ' . . . . . . 72

Arbitral Expenses

Full payment of claimed debt prior to the first day of he arings - commercial nature of disputed contract - notice

de jure of delay of payment arb i t ra l expenses before submiss ion of request for arb i t rat ion . . . . . . . .76

Limitation of substantive right to act

Payment refusal of vouched CEC sheet - lack of exercising the right to throw-back against the guarantor'

drawer and other obliged persons within the limitation period of 6 month - consequences - doubling the fundamental

relation with a relation deriving from guaranteeing some CEC sheets for paying off the main debt - consequences of

accessory relation benveen actions deriving from transmission of a CEC sheet and causal action . . . . . 77

Extinguishment of commercial obligations

Lack of existence of certain, liquid and claimable nature of pecuniary obligation - consequences . . . ' . . . . 79

Nova t i onbychang ingdeb to r - p r i nc ip les o f i n te rp re ta t i on . . . . . . 81

Insurance contract

l.ack of faLrlry execution of the insurer's obligation to annex to insurance contract documents related to expedi-

tion, transport, receiving of insured goods - consequcnces - insurant's lack of accomplishing, with intention or

by far"rlt, of acts in order ro srop substitution of insr-rrcr in its rights - full passivity of insurer - contractual obli-

gation of insure¡ ro pay the premium - lack of existence of any mention on the transPort documents referring

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 . . . . . . . . . ' 8 4

Leasing contract

Partial and with delay execution by user of payment obligation of leasing installments and insurance premium-convent ional annulment-consequences . . ' . '87

Lack of contesting by user of not paying the amount of money due as penalties and commissions - consequences- annulment fee - interpretation - main pLrrpose - lack of existence of significant dissymmetry between con-

tractual rights and obligarions - consequences - lack of issuing the fiscal invoice for annulment fee - lack of

relevance - stipulation alternative contractual sanctions for delay in payment of leasing instalments - applying

the annulment sanction based on a explicit resolutive clause of IVth degree ' . . . . 89

III. MISCELLANEOUS

A. Congresses, conferences, workshops

,,New York Conuention - 50 years", I February 2008, Neut Yorh . .

B. Reviews

8.1. Arbitration Internati onal, 4, 2007, 241 pagcs . . . . . . 93

B.2. Austrian Arbitration Yearbook 2008, C.H. Beck Publisher, Stampfli, Manz, Vienna, 2008,532 pages 93

93

TV Revista Románá de A¡bitrai

Sommaire

I. ÉTUOPS, ARTICLES, COMMENTAIRES

The New Chilian Law on International Commercial Arbitration - Juan Eduardo Figueroa Valdes

Interprétations de la convention arbitrale dans la jurisprudence roumaine et suisse (I) -

dr. Radu Bogdan Bobei

Lautonomie de la clause d'arbitrage et son interdépendance avec le principe Kompetenz-Kompetenz -

drd. Cristina Florescu, chargé de cours

Monisme ou dualisme de I 'arbitrage commercial (l l l) - prof. univ. dr. Victor Babiuc

La Noüti nelle recenti riforme italiane in materie di arbitrato - Giorgio Meo

II. JURISPRUDENCE ARBITRALE

Compétence

Détermination équivoque de la compétence de la jurisdiction d'arbitrage institutionnalisé - acception du syn-

ragme ,,le lieu de'I'arbitrage sera i Bicaresr" - utilisation de la langue anglaise dans la procédure arbitrale - la

.liur. .ornpromissoire id.ntiqu. á la clause-type d'arbitrage recommandée par la Cour Internationale

d'Arbitrage "up.é,

de la Chambre de Commerce International siégeant á Paris ' ' ' 57

Saisrr la jurisdiction étatiqr:e de la solution d'un l it ige contenant une clause compromissoire valide et opérante -

désaisir á. pn,..uoir. d. chose jugée de la jurisdiction étatique - conséquences - obligation du Tiibunal arbitral de

procéder ) la vérif ication á.*la propre con-rpétence de solution du l it ige - substitution de la procédure

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 d u r e p r é v u e p a r R P A - C A c n v e r t u d e l ' a r t . 5 d e c e s r t g l e s . . . . . . 5 8

Défaur d'indication dans le contenu de la claLrsc compromissoire du nom des arbitres ou de la modalité de

nomination de ceux-ci - i¡dicarion de I ' insritution permanenre d'arbitrage chargée de la solution du l it ige - con-

s é q u e n c e s " " " " 6 0

Inexistence de la clause compromissoire dans le contrat l i t igicux - existence d'une clause compromissoire dans

le contenu d'un autre contrat conclu entre les mémes parties - existence indépendante des deux contrats - con-

séquences " " '61

Acception du syntagme ,,litige.s patrimoniaux - caract¿re arbitrable de I'action en évacuation - conséquences . . . 62

Clausecompromissoi real ternat ive-sais ine, en pr ior i té , dela jur isd ic t ion état ique-conséquences . ' . . . .64

Option exclusive des parties pour la jurisdiction étatique ou pour I'arbitrage - liberté de conclure, de ne pas con-

clr.r." .t d'annuler l" .o.r,r.r,tlon arbitrale - mutuus clnsensus-mutuus dissensus ' ' ' ' 65

Procédure arbitrale

l 8

zt)

42

Décés d'une partie l i t igieuse pendant la procédure arbitrale - obligativité du

trois mois depuis la constitution du Tiibunal arbitral - non réalisation de laprononcé le jugement á partir de

transmission légale de la qualité

processuelle passive - conséquences o /

Ddfaut du caractére formal de la tentative de solution ) I'amiablc du litige commercial - application des dispositions

de I'art. 720' du Code de procédure civile dans les conditions établies par les parties - exception de

l'inapplicabilité de la procédr"rre áe la conciliation préalable - interprétation et application stricte de I'exception . . 68

Sentence arbitrale

Demande de correction, explication et complétement du jugement arbitral - inadmissibil i té - spécifique de la

procédure arbitrale - conséquences

Nr. 3 (7)/Iulie-Septembrie 2008

69

Sommaire

Efects de la décision arbitrale - autorité de chose jugée - conséquences

Frais de I'arbitrage

Paiement integral du débit réclamé jusqu'au premier jour de comparution - caract¿re commercial du contrat

l it igieux - miie en retard de droit concernant le paiement des frais de l 'arbitrage avant l ' introduction de la

deÁande d'arbitrage " "76

Prescription du droit matériel á I'action

Refus de paiemenr de la feuille de chéque garanrie - défaut d'exercice par le titulaire du chéque du droit de regrés con-

tre le gérant, le tireur et les autres obligés dans le délai de prescriptior.r de 6 mois - conséquences - doublage du rapport

fondÁ.ntal par un rapporr découlé de la garantie dcs feuilles chéque dans le but d'éteindre le débit principal - corl-

séquences du rapporr d'accessorialité enrre les actions découlécs cle la transmission d'un chéque et l'action causale . .77

Extinction des obligations commerciales

Inexistence du caractére cert, l iquide et exigible de I 'obligation pécuniaire - conséquences . . . . . .79

Novation par changement du débiteur - principes d'interprétation

Contrat d'assurance

Non exécution coupable par I 'assureur de I 'obligation de joindre au contrat d'assurance des documents relatifs á

I'expédition, au rransporr, á la réception des marchandises assurées - conséquences - défaut de commission par

I'assuré, avec dol oll par faute, des actes destiné.s á empécher la subrogation de I 'assureur dans ses droits -

passivité totale de I 'assureur - obligation contractuelle de I 'assureur de payer I ' indemnisation d'assurance -

inexistence d'une mention sur les documents de trar-rsport sur l 'avarie de la marchandise assurée - moment

a n r é r i e u r á l a r e m i s e p o u r l e t r a n s p o r t d e l a m a r c h a n d i s e a s s u r é e - c o n s é q u e n c e s . . . . . . . 8 4

Contrat de leasing

Exécution partielle er en retard par l 'uti l isateur de l 'obligation de paiement des mensualités de leasing et des

pr imesd'assurance-rés i l ia t ion convent ionnel le -conséquences ' " " " '87

Manque de conrester par l'urilisateur du montant dü á titre de pénalités et commissions - conséquences - taxe de résili-

arion -qualification - fin.lit¿ - inexistence d'un déséquilibre significatif entre les droits et les obligations des Parties- conséquences - défaut d'émission de la facture fiscale relative á la taxe de résiliation - irrélévance - stipulation des

sanctioni conrracruelles alternatives pour le rerard du paiement des mensualités de leasing - application de la sa¡rction

de la résiliation en vertu d'un pacte commissoire exprés de IV-éme degré ' ' ' ' ' ' 89

72

8 t

III. VARIA

A. Congrés, conférences, ateliers

,,Conuention de New York - 50 années", I février 2008, New York

B. Compte rendus

B.1. Arbitration International, 4, 2007 , 241 pages . . . .

8.2. Austrian fubitration Yearbook 2008, Maison d'Édition C.H. Beck, Stampfli, Manz, Vienne,2008,93

93

\.I

5?? neoes

Reüsta Románá de Arbitrai

Studi i . art icole, comentar i i

The New Chilean Law onlnternational Commercial Arbitration*

Juan Eduardo Figueroa Valdés

Abstract

The new Chilean International Commercir¿l Ar'

bitration Law JV 19.971 integrates Chile with rhe coun-

tries tbat haue adopted in its international organizatiott,

the LTNCITRAL International Arbitration Law of 19r95,

as a resPTnse to the modern tendency to the harmonizttrion

of the international commercia/ arbi*ation rules, proui-

ding a flexible regulation, bdsed on the principle oJ'auro'

nomy of will of the parties. It contibutes to clnuey dn

image of seriousness and reliability to the countr! within

the international business and judicial communi4,, which

carries judicial securi4t for inuestors and foreign clunter-

parts. It creltes a juridical system for the resolution of

international controuersies among priuate people in the

setting of the Association Agreement betuteen Chile and the

Eurl?ean community and the United States of America.

Chile in the new international scenario

' l 'he in t roduct ion of Chi le in the Intcrnat ional

Commerce and in the global Economv has stronglv dcve-

loped in recent years. In the last Fcw vears Chile has signed

Free Tradc Treat ies wirh Canad,r in lq9- , rv i t l r Mexico r r r

1998, wi th thc European Communi t ¡ Corea and thc

U.S. in 2003 and has also ratif ied and subscribed agrcc-

me nts, promotions and protection of investments rvirh 30

countries; 19 European countries, 5 countries frorn the

Asian Pacific and 14 American countries.' Both in the

Free Trade Tieaties and in the Promotion and Protection

of Investments (BITs) a conflict resolution system is intro-

duced, in which, after a ,,cooling olt{t ' period for negotia-

t ion and/or l imi ted Local Courts in tervent ion. the

- f t .^a by Interamerican B¿r Associat ion. ( lonference XI- I ,

Buenos Aires, Argent ina, Jul¡ 2001.' Norwi thstanding other 1 4 subscr ibed agreenlents of promot ion

and protect ion of instrument that have not been r : r t i f ied vet ' ancl '

adi t ional lv , B more agreements wi th negot iat ions in progress Sec

www.direcon.cl.

Nr. 3 (7)/lulie-Septembrie 2008

Juan Eduardo Figueroa Valdés

Rezumat

lrloua lege chilian,i a arbitrajului comercial internlt'

tiondl determinti alinierea statului Chile ín rándul ¡arilorce au adoptat in sistemul reglementdrii interna¡ionale

Regulile UNCITRAL referitoare la arbitrajul comercial

itlrernatilnal, ca un rdspuns la tendin¡a modernd de ar'

monizare d regulilor arbitmjului comercial interna¡ional,

fiind astfelfurnizatti 0 reglementare flexibil,i íntemeiata pe

principiul autonomiei de uoin¡d a pdr¡ilor. Aceastd noud

reg/ementare connibuie la crearea unei imagini de serio'

zitate ti de íncredere a statului Chile tn cadrul comunit,i¡ii

interna¡ionale juridice ¡i economice, asPect ce contribuie la

securitatea juridic,i a inuestitorilor ¡i a partenerilor acesto'

ra. Este creltt un sistem juridic de solu¡ionare a litigiilor

intern/ltilna/e dintre entita¡i priuate prin tncheierea unor

dcorduri de asociere intre Cbile, Comu-nitatea Europeand

si Srnrcle L/nite ale Americii.

Chi le in noul cadru in ternat ional

Afirmarea Republicii Chile in comergul internalio-

nal ; i in economia globala s-a dezvoltat puternic in ult i-

ma perioadá. in ult imii ani, Chile a semnat acorduri de

liber schimb cu Canada in 1997, cu Mexic in 1998, cu

Comunitatea Europeaná, cu republica Coreea 9i Statele

Unite in 2003 gi, de asemenea, a ratif icat' 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 l iber schimb, cát gi in conEinutul tratatelor de prote-

jare gi promovare a investigii lor (aqa-numitele BIT-uri),

este introdusá o modalitate de solugionare a l it igii lor

- I*r., a fost premiatá cle ]nteramerican Bar Association,

Conf i r inta XL. l , Buenos Aires, Argent ina, iu l ic , 2005. int r -o pr imá

fbrnri, studiul a fost publicat in Revista braz"ilianá de arbitraj qi mediere

nr 6/2005, p. 343-360 (nota redactorulu i -9ef dr . Radu Bogdan Bobei) .

Frirá a lua in cotrsiderare alte 14 acorduri de promovare ¡i protejare

a investitiilor, acorduri ce nu au fost incá rarificate gi, in plus, alte 8 acor-

duri ce sc aflá in etapa de negociere. A se vedea www.direcon.cl

Noua lege chil ianá

arbitrajul comercial

cu privire la

international*

Studii . art icole, comentari i

investor may directlv bcgin an arbitral procedure against

the State. Most BITs state that this arbitration is promo-

ted under the rules and regulations of the International

Center for Resolution of Investments (ICSID), when the

signing States arc part of the ,,Convcntion on ResolLrtion

and Differences related to Investments between States and

Natiorrs from other States" 1965 - Vashington Conven-

tion. Otherwise, another rype of intitutional arbirration is

usually establishcd as an alternative, l ikc the International

Chamber of Commerce (ICC) or the ad hoc arbitration

under the regulation of the United Nations Commirtee

for the International Commercial Law; finall¡ some

rreaties or agreements allow the investor to go to rhe ju-

risdiction of the Local Courts where the investment was

done, as an alternative for international arbitratior.r. 'The tendency set by BITs has extended to the multi-

la te ra l t reat ies they par t ic ipate in , or some lat in Anrcr ican

countries might potentially participate such as NAF'fA(chapter 11) , or l ike the Protocole on Promot ion and

Protection of Investmerlt from countries that do ntlt

belong to MERCOSUR, among the countries that belong

to rhe Asunción Tieary better knor.vn as MERCOSLIR(Argentina, Brazil, Paraguay and Umguay) that consider

international arbitration as a means to resolve controver-

sy among these states and investors comir-rg from coult-

tries that do not belong to MERCOSUR, but have

invested in them.'We can concludc, then, that not only in

Chile, but also in Latin America in general there is a ten-

dency to favor ir.rternational con'rmercial arbitration in

essential matters such as the resolution oFcontrove rs1' ari-

sing berween the foreign investor and the countt'y rccci-

ving the investments in order to restrict local jurisdiction

influence in areas that were traditionally under the Statejuri.sdiction, and to rely the resolution olt controve rsl ' on

arbitration instances, in some cases oLlt olt State control to

the extent of questioning if this shows a deeper ch.rng. in

the basis of International Lalv in the matter, the wa.v they

had been traditionally held in Latin Americatr countries

according to the Calvo doctrine, which establi,shed that

the disputcs relative to investments in r state could onh'

be resolved by the judicial organizations ofsuch State.'

' Blackby Nigel, //le arbitr¿tion according n Bildrer¿l Trearies of'

inuertmelrt ttnd F-rte llinde treaties in [,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¿l Arbitnttion places, arriclc publishcd in Spacial Supplarntnt ot''

httarn¿tion¿l Arbitr¡tion Court Bulletin 1C'(-', pages 47 on, 1{)9i.

2

potrivit cáreia, dupá o perioadá de ,,acalmie" in care se

desfá¡oará negocieri sau/9i sunt incidente intervenli i

l imitate ale instangelor locale, investitori i pot inigia, in

mod direct, procedura arbitralá impotriva statului. Cele

mai multe BIT-uri stabilesc cá procedura arbitralá este

guve rnatá de reguli le gi reglementárile emise de Centrul

Internagional pentru reglementarea diferendelor relative

la investi¡i i (ICSID), dacá statele semnatare sunt párgi

la Convengia pentru reglementarea diferendelor relative

la investigii intre state ;i persoane ale altor state, 1965,

Convengia de la'W'ashington. Ca modalitate alternativá,

alte BIT-uri stabilesc, de obicei, un alt t ip de arbitraj

institu¡ionalizat de exemplu arbitrajul organizat sub

ar-rspicii le Camerei de Comerg Internagionala (lCC) sau

un arbitraj ad hoc desfá9urat sub egida Comisiei Na-

tiLrnilor Unite pentru Dreptul Comercial Internaqional;

in slir¡it, unele tratate gi acorduri permit investitori lor

sá apeleze la jurisdicgia instangelor statului pe teritoriul

c:iruia s-a realizat investit ia, ca modalitate alternativá la

arb i t ra i u l in ternat ional . 'Tendinla promovatá de BIT-uri s-a extins la tratatele

multi laterale la care au participat sau la care unele gári

din America Latiná ar plrtea participa, cum ar fi, de

exemplu, NAFTA (capitolul 1l) sau Protocolul cu pri-

vire la promovarea ;i protejarea investigiilor din gári ce

nu aparfin MERCOSUR, sau la ¡ári le care, f i ind pá4i

ale Tlatatului Asunción cunoscut sub numele de MER-

COSUR (Argentina, Brazllia, Paraguay qi Uruguay),

considerá cá arbitrajul comercial este o modalitate de

solutionare a l it igii lor dintre aceste state gi investitori

care provin din gári ce nu aparlin MERCOSUR, dar

care au efectuat investigii pe teritoriul acestora. Astfel,

putem concluziona cá in Chile, dar Ei in America Lati-

n:i, existá, in general, un curent de favorizare a arbitra-jr-rh,ri comercial internagional cu privire la aspectele

esenqiale, cum ar fi solugionarea lit igii lor dintre investi-

rori i stráini qi ¡ara pe teritoriul cáreia se efectueazá

investigii le, in scopul restric¡ionárii influengelor juris-

dicti i lor locale in domenii aflate, in mod tradigional,

sub jurisdic¡ia statalá, precum gi in scopul supunerii so-

lugionárii acestora de cátre instanle arbitrale. Faptul cá

in unele cazuri sentingele arbitrale nu erau supuse con-

trolului de regularitate exercitat de instangele statale ne

determiná sá ne intrebám dacá nu a intervenit o modi-

ficare de substanlá a fundamentului dreptului interna-

gional cu privire la concepgia tradi¡ionalá din statele' nf""tUy Nigel, The arbitration according to Bilateral Tieaties of

inuestment and lree Trade treaties in Latin America, articol publicat

in lnternational Magazine on Arbitration, 1, iunie-decembrie 2004,

Bogo rá Co lomb i¿ , Ed i r u ra Leg i s , p . 17 $ i u rmároa re l e .

Revista Románá de Arbitrai

Studii . art icole, comentari i

The Harmonization of International Trade

Arbitration Law: The new chilean law about arbitration

In the Chilean Juridical organization, international

trade arbitration was not regulated unti l the recent Law

number 19.971'was published in the official newspa-

per on September 29rh 2004. The existing regulatior.rs

should be applied to the domestic arbitration as well,

which were evidently inadequate for international con-

fl icts when the arbitration was held in Chile.'The new

Chilean International Commercial Arbitration Law

integrates Chile with the countries that have adopted in

its international organization, the UNCITRAL Inter-

national Arbitration Law of 1985 as a response to the

modern tendency to the harmonization of the ]nterna-

tional Commercial Arbitration l.aw.

For the establishment of thc International Comme r-

cial fubiuation Model law, the United Nadons Commission

for International Commercial Larv UNCITRAL issuecl

a report about the possibie asPects contained in this

law. The preparation of the project was given to tts

work team on International Contract Practice. The

prof ect was approved wi th comments of the

Governments and International Organiz.ations ir-r the

annual session 1985.u The tool chosen by UNCITRAL

for the harmonization of the national laws on commer-

cial arbitration was a model law and not an

International Convention because of the flexibil iry of

model laws to be incorporated in the internal law of

each country and because they also can be adopted in

part or totall¡ the original or with modificatiorrs.

However keeping its inspiration principles intact so :rs

to achive a better uniry of the law in the matter. On the

other hand, when these tools adopt the juridical form

ofr International Conventions they do not have thc

same flexibil i ty because they are subscribed, and later

ratif ied with reservations to the national legislation, and

for this reason the purpose of unity is not achivecl. ln

Comparative law, UNCITRAL has been a rnodel for

new International Commercial Arbitration l-aws in

' For the content of the new larv, see *'rvw.bcn.clt Recognized by the President of the countrv in his message at

rhe beginning of the project of law on International Comercial

A¡bitration, Bulletin No 325-10.n'I-he general meeting of rhe Ur-rited Nations, resolurion 40-72,

Dic. 11 i985, recommended ,,That all States giue due consideration

to the Model Lata International Commercia/ Arbitration upon desi/e-

rable uniry of tbe latu on Arbitr¿l proceedings and tbe need fitrI n tern ation a I C omm ercia I Ar bi tra ti o n P ra c ti ces ".

- Sandoval López, Ricardo , ,,El Arbitrale Conerci¿l Intarn¿ciott¿/ "'

Reuist¿ de Darecho Llniuersidad de Chile, page 101 attd.fitrther, 2000.

Nr. 3 (7)/lulie-Septembrie 2008

Americii Latine consacratá de doctrina Calvo, doctriná

potrir, it careia l it igi i le referitoare la investi l i i le efectuate

pe teritoriul unui anumit stat pot f i solu¡ionate numai

de entitá1ile justi l iei statale ale acestuia din urmá'.

Armonizarea legislafiei din domeniul arbitrajului

comercial internafional: noua lege chilianá a a¡bitrajului

in sistemul judiciar chil ian, arbitra.iul comercial inter-

nafional nu a fost reglementat páná la publicarea recen-

tei [,egi nr. 19.9710 in Jurnalul Oficial din 29 septembrie

2004. Reglementárile existente se aplicau, in egalá

másurá, qi arbitrajului intern, ceea ce era, evident, ne-

potrivit in l i t igi i le internagionale, dacá arbitrajul se des-

fágr-rra in Chrle'. Noua reglementare chilianá cu privire la

arbitrajul comercial internagional aliniazá statul Chile

tári lor ce au adoptat in cadrul organizagiei internagionale

in anul 1985 Legea UNCITRAL cu privire la arbitrajul

international ca ráspuns la tendin¡a moderná de armo-

nizare a legislaliei arbitrajului comercial internaEional.(lu ocazia elaborárii Legii-Model referitoare la arbi-

t ra ju l comerc ia l in ternagional , Comis ia Na¡ iuni lor

Uni te pentru Dreptu l Comergulu i In ternal ional

(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 Practicá contractualá inter-

nationalá. Proiectul a fost aprobat cu amendamentele

guvernelor qi organizagii lor internagionale la Sesiunea

anualá din 1985'. Instrumentul ales de UNCITRAL

pentrLl armonizarea reglementárilor na¡ionale referi-

toare la arbitrajul comercial a fost o Lege-Model, nu o

convent ie in ternagionalá atát dator i tá f lex ib i l i tág i i

includerii Legilor-Model in legisla¡i i le interne ale fie-

cárei gári, cát gi datoritá faptului cá acestea pot f i adop-

tate in formá pargialá sau totalá, in varianta inigialá sau

cu modificári.

' Grigera Naon, Horacio, I'atin American Counnies as

Intentationa/ Comercial Arbitration places, articol publicat in supli-

mentul special al Buletinului Cur¡ii de Arbitraj de pe lángá CCI'

p. 47 si urmátoarele, 1995.' Pentru con¡inutul noii legi, a se vedea wwwbcn.cl'Aspect recunoscut de preEedintele ¡árii in punctul sáu de vedere

exprimat la debutul procedurii de ini¡iere a proiectului de lege cu

privire Ia arbitrajul comercial interna¡ional, Buletinul M 325-10

" Adunarea Generalá a Naqiunilor Unite, prin Rezolu¡ia 40-72,

Dic. 11-1985, a recomandat ,,Ca toate statela sd acorde importan¡a

necesrlrd Legii-Model cu priuire la arbitrajul comercial interna¡ional in

scopul rert/izrlrii doritei uniformizdri a reglementdrilor referitoare la

procedurile arbitrale, precum ¡i ín scopul asigurdrii unor practici ín

dr.,nt e n i u I a r b i traj u lui c om erc ial inter na¡io na l"'

Studii , art icole, comentari i

German¡ Australia, Bahrein, Bermuda, Bulgaria, Ca-

nada, 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, Singa-

pore, Sri Lanka, Tunisia, Ucrania, Zimbabwe, and re-

cently Spain.s/'

The reasons for adopting the Model Law on

International Commercial Arbitration are, in a wa¡ the

insuffency of the national laws on arbitration to resolve

International Commercial co n f'lict.s, and the differences

from country to country. At least one of the partics

shall be foreign to the countrv rvhere the arbirretiorl is

held; even the arbitrator may be a foreigner and as a

result, the parties and the arbitrator wil l be faced to

rules and regulations that are unknown to them. "'

About the history of the Chilean Law or-r International

Commercial Arbitration, it is clear that the multiplica-

tion of transactions with an arbitral clause was one of

the main factors. The incentive for a trial in Chile, spc-

cially relevant for small and medium sized companres,

which find very expresive to litigate abroad, and the

objective of making Chile an arbitration center,

especially in Latin America." The most important

advantages to adopt the Model Law by the Chilean

legislation are the following: a) that it contributes to

convey an image of seriousness and reliabil iry to the

country within the international business and judicial

communit¡ which carries judicial securitv for lnvestors

and foreign coLrnterparts; b) that Foste¡s forcign inve.st-

ments; c) that creates a juridical system for the resolu-

tion of international controversies among privatc ¡tco-ple in the setting of the Association Agreement between

Chile and the European community and the United

States of America; d) that creates an atmosphere of trust

for Chi le to become the p lace for in ternat ional

commercial arbitrations overcoming former deficien-

cies; e) that contributes to the development and perfec-

tion of the International Commercial Arbitration

services offered 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, see Cordón Moreno,

Faustino, ,,El arbitaje de Derecho priuado". Brief Study of l-au, 60-2003, on Arbitration. Editorial Aranzadi SA. Spain,2005.

"'Sandoval, Rica¡do, page 109.

" Report lrom the foreign allairs committee Session 58, I!'l¿v 18,

2004.

4

Cu toate acestea, este de dorit pástrarea intactá a

principii lor de redactare in scopul realizárii unei uni-

formizári a reglementárii din aceastá materie. Pe de altá

parte, in ipoteza in care aceste mijloace adoptá forma

juridicá a conven(ii lor internalionale, respectiva formá

nu are aceeagi f lexibil i tate deoarece sunt semnate $i,ulterior, ratificate, cu rezerve fa¡á de legislagia na[ionalá,

scopul uniformizárii nefiind atinsT. in dreptul com-

parat, Legea-Model UNCITRAL a rePrezentat un reper

pentru ultimele reglementári referitoare la arbitrajul

comerc ia l in terna¡ ional d in Germania, Austra l ia ,

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, Regatul Unit (Scotia),

Rusia, Singapore, Sr i Lanka, Tunis ia, Ucra ina,

Zimbabwe, ;i, recent, Spania.""

Ratiunile elaborárii Legii-Model cu privire la arbi-

trajul comercial internagional au fost determinate,

intr-un fel, de caracterul lacunar al reglementárilor

na¡ionale referitoare la procedurile arbitrale uti l izate in

solu¡ionarea lit igii lor comerciale internagionale, precum

qi de diferenlele dintre respectivele reglementári. Cel

putin una dintre párgi va avea calitatea de ,,stráin" in

tara unde se va desfáqura arbitrajul; chiar arbitrul poate

fi stráin, drept urmare párgile ;i arbitrul vor avea de-a

face cu reguli gi reglementári necunoscute''. Cu privire

la istoricul reglementárii chiliene referitoare la arbitrajul

comercial internalional, este evident cá inmul¡irea tran-

zacti i lor continánd o clauzá arbitralá a fost unul dintre

principali i factori ce a determinat elaborarea acesteia.'lbtodatá,

un alt factor este reprezentat atát de incura-

jarea pár¡i lor de a se arbitra in Chile, in special incura-

jarea companii lor mici gi medii ce considerá ca fi ind

pcrtinentá solu¡ionarea lit igii lor in stráinátate, cát gi de

obiectivul de a face din Chile un centru al arbitrajului,

in special in America Latiná". Cele mai importante be-

neficii obginute ca urmare a adoptárii principii lor Legii-

Model UNCITRAL de cátre legisla¡ia chil ianá sunt ur-

mátoarele: a) contribuie la crearea unei imagini de

- Sandoval López, Ricardo, El ArbitrQe Comercial Internacional,

Reuita de Derecho Llniuersidad de Chik, p. l0I ¡i urm.' 2000.t Pentru noua l,ege-Model, a se vedea www.uncitral.org

" Pentru noua lege a arbitrajului spaniol, a se vedea Cordón

Moreno, Faustino, El arbitmje de Derecho priuado, Scurtd Analizd a

Legii arbitrajului 60-2003, Editura Aranzadi SA' Spania, 2005'

"' Sandoval, fucardo, p. 109.' Raport al Comitetului Afacerilor Externe, Sesiunea 58, 8 mai

2004.

Revista Románá de Arbitrai

Studii , art icole, comentari i

(PYMES) celebrating contracts with foreign countcr-

parts to make use of International Arbitratiott in

Chi le . ' 'The new Chilean Law on International Commercial

Arbitration, according to the objective of International

Unity in arbitration regulation, does not differ in gene-

ral from the Model Law UNCITRAL as we are goirrg to

see.' ' The countries under 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", have equally adopted the Model Law, whiclr

appears to be a remarkable fact, iF we consider that thc

Model Law contains several principles that correspond

more [o the ,,Civil Law" arbitral system rathcr than thc

one adopted by the Common Law. For example, when

reFering to tl 're arbitrators as the ,,//equo et bono'n'

Main aspects in the New Chi lean Law on

lnternational Commercial Arbitrat ion

We are going to analize the special system for inter-

national commercial arbitration in Chile, applications

in terms of territory principles, the autonomy of wil l ol:

the parties, the arbitration agreement, the compositiotr

of the Arbitral Court, the competence of the arbitral

court, l imited jLrdicialization in relation to judicial in-

terference and arbitrator's powers, the applicable law in

the arbitration, precausion measures, the annulment re-

source, and recoqnition and execution of arbitral award.

The new Chilean Law 19.971 applies only to

International Commercial Arbitration, and it does not

affect any of the international treaties in force, either

bilateral or multi lateral. 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 case o[Bolivia, Costa Rica,

Guatemala, Honduras, Mexico, Panama, Paraguay, Peru ¿nd

Venezuel¿r, to name a few. However, in the case of Brazil, Colombia

and llcuador, the law has not been completely adopted.'o Sanders Pieter, ,,Llnity and Diuersiry, in rhe Aloption of' the

model /¿u", ar t ic le publ ished in Arbi t ret ion Internat ional , r 'o iume

11 #1 LCIA 1991. For informat ion abor-r t legis lat ive histor-v of rhe

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.

Nr. 3 (7)/Iulie-Septembrie 2OO8

seriozitate qi de incredere a gárii in contextul mediului

internagional de afaceri ¡i al comunitágii juridice, aspect

ce conferá sigurangá juridicá investitori lor gi partene-

ri lor stráini; b) incurajeazá investigii le stráine; c) creeazá

un sistem judiciar pentru solugionarea neinlelegerilor

internagionale dintre entitáli i private prin mecanismul

stabil ir i i Acordului de Asociere dintre Chile, Comuni-

tatea Europeaná qi Statele Unite ale Americii; d) creeazá

un climat de incredere pentru ca Chile sá deviná un loc

al arbitrajului comercial interna¡ional, depá9indu-se

astfel vechile lacune; e) contribuie la dezvoltarea gi per-

fe c¡ionarea servicii lor de arbitraj comercial interna-

tional f i-rrnizate de instituqii le arbitrale din Chile, 9i f)

permite companii lor mici qi mij locii ce au incheiat con-

tracte cu entitági stráine sá stipuleze clauze compromi-

sorii stabil ind locul arbitrajului internagional in Chile' ' .

Noua lege chil ianá cu privire la arbitrajul comercial

international, in concordan¡á cu obiectivul unitágii

interna¡ionale a reglementárilor arbitrale, nu diferá, in

general, de Legea-Model UNICTRAL, astfel cum vom

vedea in cele ce urmeazá'r. Tárile din sistemul common

/aw au fost primele care au adoptat Legea-Model, dar

astázi atát 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 cáteva principii ce corespund, mai degrabá, sis-

temului arbitral caracteristic sistemului ciuil law decit

sistemului common law. De exemPlu, principiul referi-

tor la prerogativa arbitri lor de a statua ,,aequo et bzno"ta.

Pr inc ipale le aspecte d in noua lege chi l ianá

referitoare la arbitrajul comercial international

Vom analiza reglementarea chilian¿ a arbitrajului

comercial internalional, in special aspectele referitoare

la aplicarea principii lor teritoriale, autonomia voin¡ei

pargilor, convenlia arbitralá, compunerea Tiibunalului

arbitral, competen[a instanqei arbitrale, l imitele judicia-

" Urr.;ol" Monckeberg, Sergio, Chile debe contar con una lry dtArbitraje Internacional, arricol publicat in Buletinul Juridic No 6, Mi-nisterulJusti¡iei, sept.2004, p. 109 qi urmátoarele.

'' in rnajoritatéa gárilor din America Latiná, Legea-Model a fostadoptatá, practic, in bloc. Este vorba despre Bolivia, Costa fuca,Ciuatemala, Honduras, Mexic, Panama, Paragua¡ Peru qi Venezuela,penrru a nominal i ta doar cáteva. Totugi, in cazul Brazi l iei ,Columbiei gi Ecuadorului, legea nu a fost adoptatá in integralirate.

'' Sanders Pieter, Unity and Diuersi7, in the Adopion of the ModelLau arricol oublicat i¡ Arbitration International, uol. 11 #1 LCIA1995. Pentru informaEii cu privire la istoricul Legi i-Model, inclusival ar¡icolelor sale, a se vedea A guide to the UNCITRAL Mod¿l Lawort lnternational Commercial Arbitration, Kluwer 1989, tutoriHoltzmann si Neuhaus.

Studii , art icole, comentari i

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 international arbitration, which is called a

Mor-ro conception. It is included, among others, in the

arbitration legislations of Germany't Mexico'n and

Spain.'t The concepts of ,, international" and ,,commer-cial" are essential to understand the UNCITRAL

ModelLaw. According to article 1 No 3 in the Chilean

Law, an arbitration is international if: a) The parties to

an arbitration agreement have, at the time of the con-

clusion of that agreement, their places of busilress in

diffcrent States; or b) One of the following pl:rccs is

situated outside the State in which the parties have their

places of business: (i) The place of arbitration if deter-

rnined in, or pursuant to, the arbitration agreement; (i i)

Any place where a substancial part of the obligations of

the commercial relationship is to be performed or the

place with which the subject-matter of the dispute is

most closely connected; or c) The parties have expressly

agreed that the subject matter of the arbitration agree-

ment relates to more than one country.

If a parry has more than one place of business, tl're

place of business is that which has the closest relation-

ship to the arbitration agreement; and if a party does

not have a place of business, refere nce is to be made to

his habitual residence. (article 1 No 4). In relation to

the concept of ,,commercial" the Chilean Law states in

its Article 2, g:The term ,,commercial" should be givcn

a wide interpretation so as to cover matters arising fiont

a l l re lat ionships of a commercia l nature, whether con-

tractual or not. Relationships of commercial natr¡re

include, but are not l imited to, the following transac-

tions: any t¡ade transaction for the supply or exchange

of goods or services; distribution agreement; comme r-

' ' The German Arbi t ra l Law can bc appl ied not only to Inter-

nar ional Commercia l Arbi t rat ion; but a lso to local arbi t rat ion end

non comrnercia l matters in Germany. For nrorc infornt l t io l t , scc ar-

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"

Reuista lbero,tmericana de Arbitraje, Ma1, 2001.' Rule Number 60-2003, December 2003, appl icd to local ancj

internat ional Arbi t rat ion. For compar i .sons bcrween thc Splnish Ll* '

and thc Chilean Law, see Biggs, Gonzalo, ,,Breakthrough.fór lnrernario'

n¡tl Contrncrcial Arbit¿tiott in Cl¡ih" publishccl in Disputt Rsolutior¡

Journal, uolume 59 # t, Feb.-April 200'1, ptges (r5 and fbllowing.

r)

re ale controlului exercitat de instanga statalá, preroga-

tivele arbitrului, legea aplicabila arbitrajului, másurile

asigurátorii, motivele de anulare a sentin{ei arbitrale, re-

cunoa$terea Ei executarea unei sentinge arbitrale.

1. - Arbitraiul Comercial Internafional in Chile

Noua lege chil ianá nr. 19.971se aplicá numai arbitra-

jului comercial internagional, 9i nu prejudiciazá aplicarea

niciunui tratat international bilateral sau multilateral in

vigoare. Noua lege chil ianá a arbitrajului, la fel ca legea

colunrbianá, con(ine reglementári diferite fa¡á de alte re-

glcmentári arbitralc inspirate de modelul UNCITRAf.

Aceasta se aplicá nu numai l i t igi i lor arbitrale interne, cát

si l i t igi i lor arbitrale interna¡ionale, ceea ce inseamná

adoptarea ur.rei concepli i moniste. Aceastá concepIie este

adoptatá de diverse legislagii, printre care, de exemplu, de

lcgisla¡ia arbitralá din Germania'5, Mexic'u gi Spania' '.( lonce ptele ,, interna¡ional" gi ,,comercial" sunt

esenfiale pentru a ingelege Legea-Model UNCITRAL.

Potrivit art. 1 paragraful al treilea din legea chil ianá, un

arbitraj este internalional dacá: a) párgile la o convengie

arbitralá au, in momentul incheieri i conven¡iei, sediul

principal pe teritoriul unor state diferite; sau b) unul

din urmátoarele locuri este situat in afara statului pe te-

ritoriul cáruia pá4ile gi-au stabil it sediul principal: (i)

locul arbitrajului, astfel determinat, sau determinat in

conformitate cu prevederile convengiei arbitrale; (i i)

orice loc in care urmeazá sá fie executate, in proporqie

substan¡ialá, obliga¡ii le contractuale sau locul cu care

obiectul l i t igiului prezintá legáturile cele mai stránse;

sau c) párgile au convenit, in mod expres' cá obiectul

conventiei arbitrale prezintá legáturi cu mai multe ¡ári.I)acá o parte are mai multe sedii principale, se ia in

considerare sediul care are cea mai stránsá legáturá cu

convenfia arbitralá, iar dacá o Parte nu are niciun sediu

rrrincipal, se ia in considerare sediul secundar (art. 1

paragraful 4). in ceea ce privegte conceptul ,,comercial",-'

kg., arbitralá germaná se poate aplica nu numai arbitrajuluicomerci:r l interna¡ional, dar 5i arbitrajului intern, respectivaspectelor necomerciale. Pentru mai multe detalii, a se vedea arti-

colul 'l'he

harmonization of the kw in International Commercial

Arbitration law, scris de profesorul Miguel Checa Marrí¡ez, Reuista

dc Lt Corte Espanola de Arbitraje, 1998, p.353 ¡i urmátoarele.

"' Arbitration Law 1993. A se vedea Rodríguez Diaz, Manuel, '6l

desarrol/o del Arbitmje Comercial en las tútimas década en México, inReuista lbcroamericana de Arbitaje, maí 200L.

- Regula nr. 60-2003, decembrie 2003 aplicabili arbitrajului

irr tern ¡ i international. Penrru compara¡i i intre legea spaniolá qi legea

chilianá, a se vedea Biggs, Gonzalo, Breakthrough for InternarionalContrterci¿l Arbirration in Chile, in Dispure Resolurion Journal'vol. i9 # 1, feb.-apr. 2004, p.65 qi urmátoarele'

Revista Románá de Arbitrai

Studi i , art icole, comentanl

cial representation or agency; factoring; leasing; con-

struction of works; consulting; engineering; I icensing;

investment; f inancing; banking; insurance; exploatation

agreement or concession; joint venture and other forms

ofindustrial or business co-operationr carriagc ofgoods

or passengers by air, sea, rail or road."'o As the above

article make.s clear, the word ,,commercial" u.sed by the

law is much broader than the term ,,commerce" in

Article 3'd from the Chilean Commerciai Codc.

2. - Scope of application: Tbrritorial principle

The Chilean Law on International Clommercial

Arbitration, with some exceptior.rs, can be applied onlv

ift the place of arbitration is in the natior-ral territ,rrt '(ar t ic le 1 No 2) . ' " ' fhe terr i tor ia l pr inc ip le has becn 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' even when their owners are foreigners and

do not reside in Chile.

3. - Autonom)' of wil l of the parties

The Chi lean Law on lnternat ional Commercia l

Arbitration takes the principle of autonomy of wil l of the

parties in terms of either the applicable law or the pro-

cedure larv. In Fact, there are few regulations that are

binding so rhe parties car.r ahvays cstablish rules that are

different from the Law. The arbitral tribunal shall dccidc

the dispute in accordance with such rules of law as are

chosen by the parties as applicable to the sub.stance of

the dispute. (article 28 No 1). In the procedural aspect,

the parties are free to agree on the proccdure to be

followed by the Arbitral Ti ' ibunal (article 19 Nu1). Thc

parties can even create the regulations and rules of the

procedure, but this is not very common. The usual way

is that the oarties include a number of rules for the

' ' ' l 'his long transcription is contained in a page foot ltrom article

first of the Model Law. Many countries, when adopting the Model

Law, have incorporated this nore in the text, as in the Province of

Br i t ish Columbia in Canada, in Cyprus, Egypt , Niger ia; Scot lancl ,

Ucrania, etc. .

" The exceptions to the territorial :rpplication ofrhe law are sta-

ted in Articles 8 ¡nd 9 relering to rhe recognirion of arbitr¿rl ar.vards

not withstanding tl-re arbitrarion place, the larv th¿t the arvirrcl is

based on or the arbi t ra l agreement. Art ic le 35 and 36 about recog-

ni t ion and enlorcemenr of awards are appl ied, i r respect ive of the

Counrry in wich it rvas made.

Nr. 3 (7)/lulie-Septembrie 2008

legea chilianá prevede in articolul 2litera g urmátoarele:

acest termen se impune a fi interpretat flexibil, astfel

incát sá-i fie subsumate aspectele decurgánd din rapor-

turile juridice comerciale, indiferent de caracterul con-

tractual sau necontractual. Contractele comerciale in-

clud, dar nu se limiteazá la urmátoarele tranzaclii: orice

tranzactie comercialá avánd ca obiect furnizarea sau

schimbul de bunuri $i servicii; acorduri de distribu¡ie;

mandat comercial sau agenfie comercialá; factoring;

leasing; contracte de antreprizá; consultan!á; asisten¡á

tehnicá; l icenge; investi¡i i ; f inangári; activitáfi bancare;

asigurári; acorduri sau concesiuni de exploatare; joint

\¡enture sau alte forme de cooperare industrialá sau de

afaceri; transportul de bunuri sau pasageri pe calea ae-

rulr-ri, apei, cái fe¡ate sau gosele"'t. Astfel cum stabile;te

articolul de mai sus, cuvántul ,,comercial" uti l izat de le-

ge are o sferá de aplicare mult mai largá decát termenul

,,comert" uti l izat de 3 C.comercial chil ian.

2. - Domeniu de aplicare: principiul teritorialitálii

Legea chil ianá referitoare la arbitrajul comercial in-

ternalional, cu unele excepgii, poate fi aplicatá numai

dacá locul arbitrajului este situat pe teritoriul nagional

(art. 1 N" 2)' ' . Principiul teritorialitáEii a existat in legis-

latia Chile de rnultá vreme. Potrivit sistemulului rizi l

ldw, legea este obligatorie pentru toEi locuitorii statului,

inclusiv pentru stráini (art. 14). Art. 16 stipuleazá cá bu-

nurile situate pe teritoriul statului Chile sunt guvernate

de legea chil ianá chiar dacá proprietari i acestora sunt

cetáteni stráini 5i nu $i-au stabil it regedinla in Chile.

3. - Autonomia voinfei PárÍilor

Legea chil ianá cu privire la arbitrajul comercial inter-

nalional aplicá principiul autonomiei voingei párgilor

atát cu privire la determinarea legii aplicabile fondului

i i t igiului, cát ; i cu privire la determinarea legii aplicabile

procedurii arbitrale. De fapt, existá doar cáteva regle-

' ' ' Aceastá enumerare este cuprinsá intr-o notá de subsol a primu-

lui 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'

Scotia. Ucrair-ra etc.

" ' Bxcep¡ i i le apl icár i i ter i tor ia le a le legi i sunt stabi l i te de ar t . 8 q i

9 referiroare l:r recunoaqterea senrin¡elor arbirrale Fárá a ¡tne seama

cle locul arbirrajului, astfel cá legea statueazá asupra faptului cá

senrinta se fundamenteaz.á pe conven¡ia arbitralá. Art' 35 9i 36 refe'

r i to¡rc la recunoa$terea qi executarea sent ingelor arbi t ra le sunt apl i -

cabi le indi ferent de ¡ara in care au lost pronungare.

Studii . art icole, comentari i

arbitration, l ike UNCITRAL, either in ad hoc Arbi-

tration or in Institutional arbitration. They can also

complement the unity rules with other rules that have a

wider scope or that may adapt better to the specific

circumstances. to

Most procedural legislations in Latin America,

except in few cases where the procedural public legisla-

tion of the place does not allow it, authorize the parties

to disrcgard some procedural ways or to replace them

for others.' ' As for the application of UNCITRAL restt-

lations on arbitration, they were adopted by tl-re Urrited

Nations Committee for lt-rternational Commerce Larv

in April \976, wirh the purposc of providing a mode rn

set of contract rules applicable to arbitration ad-hoc.

The basic principles of these regulations are:

a) The prevail ing of proceeding regulations. No State

would be wil l ing to accept the result of an arbitratiolr

proccss held in its territory or undcr its l.aws, if the arbi-

trators violate the regulations of the proceedings.t '

b) The optionality of the tribunal in the procce-

dings, given that the parties are equally treated, and

having the opportuniry to state their case at any time

during the process.' lThe regulations of UNCITRAL can be freely mo-

dified by the parties, expressed in Anicle l If the par-

ties have not selected a set of rules ft¡r the arbitration,

the UNCITRAL Model Law contains elemental rules

that are nor binding, thus applied in silence of the l it i-

gators, which cover from the beginning, to the pro-

ceedings, unti l the arbitral award. The Arbitral Tribun:rl

ma¡ subject to the provision of these rule.s, conduct the

arbitration in such manner as it considers appropiate'

determining the admissibil iry relevance, and materiali-

ty and weight of any evidencc (article 19 Nn2 of the

Chilean Law). The latter enables the Arbitral l i ibunal

to conduct the arbitration in an independent manner

from the local rules that regulate domestic arbitration.

This wa¡ the arbitrators and the parties can adopt the

characteristics of the proceedings that are familiar with

or at least were acceptable for them. For example, when

'" Sandoval, Ricardo, op. cit., page II2.'' Grigera Naon, Horacio, op. cit., page 52.

" 1 'h is pr incip le is in Art ic le 1 of the Regulat ion: these regul : r -

t ions wi l l ru le the arbi t rat ions except when anv of these regulat ions

srruggle wi th the regr. r lat ions that can not be annul lecl . In th is cescs,

the regr. r lat ions that cen not be annul led wi l l prevai l '

" The pr incip le of opr ional i tv of rhe t r ibunal has a prnct icrr l

value in Inrernat ior-ra l Commercia l Arbi t rat ion, wherc one or borh

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, astfel cá pár¡i le pot stabil i in multe

cazuri reguli derogatorii de la acestea. Tlibunalul arbi-

t¡al va solutiona litigiul in conformitate cu regulile de

drept determinate de pár1i ca fiind aplicabile fondului

l i t igiului (an.28 paragraful l). Cu privire la procedura

aplicabila, párgile sunt libere sá stabileascá regulile de

procedurá ce urmeazá a fi aplicate de Tlibunalul arbitral

(art. l9 paragraful 1). Pá4ile pot stabil i chiar regle-

mentári Ei reguli de procedurá, dar acest lucru este rar

intálnit. Practica este in sensul cá párgile stabilesc

intr-un arbitrai ad-hoc sau institugionalizat aplicabil i-

tatea unui set de reguli procedurale, cum ar fi, de exem-

plr-r, regulile UNCITRAL. Totodatá, pár1ile Pot com-

pleta aceste din urmá reguli cu alte reguli ce au un

domeniu de aplicare mai mare sau care se adapteazá mai

bine circumstantelor specifice2..Majoritatea reglementárilor procedurale din Ameri-

ca Latiná, cu excep{ia a cátorva situa¡ii in care reguli le

de procedurá locale nu permit acest lucru' permit

pár¡i lor sá nu l iná seama de anumite mijloace procedu-

rale sau sá le inlocuiascá cu altele.'' Cu privire la apli-

carea reglementárilor arbitrale UNCITRAL, amintim

cá acestea au fost adoptate de Comisia Naqiunilor Unite

pentru Dreptul Comer¡ului Internagional in april ie

1976 in scopul furnizárii unui set de reguli contractuale

moderne aplicabile arbitrajului ad hoc. Principii le fun-

damentale ale acestor reglementári sunt:

a) are prioritate aplicarea reglementárilor procedu-

rale. Niciun stat nu este dispus sá confere eficacitate

iuridicá unei sentinge arbitrale pronuntate pe teritoriul

sáu sau in conformitate cu legile sale dacá instanga arbi-

tralá a incálcat regulile procedurale";

b) posibil i tatea tribunalului arbitral de a determina

legea aplicabilá procedurii arbitrale in contextul in care

pár1ile, tratate in mod egal, igi pot susfine punctul de

vedere in orice fazá a l it igiului arbitral".

Regulile UNCITRAL pot fi, in mod liber, modifi-

cate 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.'' Grigera Naon, Horacio, op. cit., p. 52." Principiul este stabilit de articolul I din Regulile UNCITML:

accste reguli se aplicá arbitrajului in alará de cazul in care acestea nu

sunt in concordantá cu reglcrnentár i le de la care nu se poate deroga.

in r . . r tc s i tuat i i , au pr ior i tare acestea din urmá.'

Aceasrá posib i l i tare pe care o are Ti ibunalul arbi t ra l are o

inrportan¡á pract ic i i in ar l r i t ra ju l couercia l interna¡ ional dacá o parte

s,ru ambelc pár¡i evitá efectuarea unei analize detaliate, nefiind fami-

ler¡ (fámiliare) cu principiul lex fori, uneori consecin¡ele acesteia din

urmá fiind redactate intr-un lirnbai necunoscut pár¡ilor litigante.

Reüsta Románá de A¡bitrai

Studii . art icole, comentari i

both parties come from a ,,common Law" judicial s,vs-

rem, the arbitral tribunal wil l be able to ask for sworn

statements and order prior interrogation before the

view in a major way than in a case in which the parties

were from Roman tradition, and, for example, the judi-

cial acts could be more inquisitory than contradictory.

This optionaliry in the proceedings is aimed to facil i tate

the international commercial arbitration, while being

forced to apply the Law of the country where the arbi-

tration is held would be an important disadvantage for

the parties, not accustomed to the system, possiblv

peculia¡ and to the proceeding and sr-rbmittins of evi-

dence.t ' 'There are some restrictions to the autonomv of the

parties and the optionality of the Arbitral -l i i l¡unal

irr

terms of the proceeding accordir-rg to Article l8 of the

Chilean Law on International Commercial Arbitration;

the equaliry principle of the parties, that is, equal treat-

ment and the full opportunity to make the ir rights pre-

vail. Other procedural norms that restrict the optional

faculty of the Arbitral Tiibunal in oral hearings and

presentation of 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 receive all statements, documents or other

information supplied by the Arbitral Tiibunal and the

right of the parties to receive any exPert rePort or evr-

dentiary documents on which thc A¡bitral TribLrnal

may re ly in making i ts decis ion, being unable to bc

modi f ied bv the autonomy of the par t ies, nor the d is-

cretional power of the Arbitral Tiibunal."

4. - Arbitration Agreement

In Chapter II of the Chilean International Commer-

cial Arbitration Law, arricle 7 and following, the arbi-

rration agreement is treated, considering what the

Model Law stipulates, based on tha Convention of New

York, 1958, with some innovations in order to elimi-

nate some flaws. The Model Law not only recognizes an

agreement in relation to an existing controvers¡ but

also in relation to any future controversy. At the same

time, it recognizes an arbitration agreement indepen-

dent from adopting an arbitration clause includecl in a

contract or in an independent agreement. The Chilearl

Law, based on UNCITRAL Model Law, recognize.s an-'

Nou, o, the Model L¿u LJNCIT'RAI,, tJnitcl ,\'¿riotttCommixee for International Commercia/ Ldw Yearbook, uolwtc XV|,

1985, p . 131 and fo l low ing .

" Sandoval, Ricardo, op. cit, p. I12.

Nr. 3 (7)/Iulie-Septembrie 2008

Legea-Model UNCITRAL stabileqte reguli minimale

facultative aplicabile in lipsa unei astfel de determinári,

reguli ce se aplicá procedurii arbitrale in integralitarea

sa. Potrivit reglementárilor UNCITRAL, Tlibunalul

arbitral este indreptágit sá solugioneze litigiul aplicánd

reguli de procedurá considerate a fi pertinente, avánd

prerogativa de a aprecia asuPra admisibil i tá1ii, perti-

nentei, concludengei 9i uti l i táqii f iecárui mij loc de proba

(art. 19 paragraful 2 din legea chilianá). Aceasta per-

mite Tlibunalului a¡bitral sá solugioneze lit igiul inde-

¡rende nt de regulile de procedurá ce guverneaT.á arbitra-

jul intern. Drept urmare, arbitri i ; i párgile pot adopta

regr-rl i le procedurale cu ale cáror caracteristici sunt

familiarizali sau, cel pugin, par a fi acceptabile. De

cxemplu, in ipoteza in care ambele pár¡i provin din sis-

temul de common law, Tribunalul arbitral va fi in

másurá sá solicite luarea unor declara¡ii sub prestare de

jurámánt Ei sá solicite administrarea probei cu interoga-

torilr anterior analizei generale a spegei, spre deosebire

de ipoteza in care párgile provin dintr-un sistem de

tradi¡ie romaná, actele de procedurá avánd, mai

degrabá, un caracter inchizitorial decát un caracter sPe-

cific principiului contradictorialitá1ii. Aceastá posibil i-

tate de a alege regulile de procedurá arbitralá are scopul

de a promova arbitrajul comercial internaqional, spre

deosebire de obligativitatea aplicárii legii statului pe te-

ritoriul cáruia se desfágoará procedura arbitralá ce ar

constitui un importan t dezavantaj pentru párgile neaco-

modate cLl acest sistem, intr-o oarecare másurá ciudat,

precum gi cu procedurile gi administrarea probelor'..

Irxistá cáteva l imit¿ri ale l ibertá1ii de voingá a párgilor

de a determina reguli le de procedurá aplicabile ce sunt

stabil ite de art. 18 din legea chil ianá cu privire la arbi-

trajul comercial interna¡ional cum ar fi ' de exemplu,

principiul egalitágii párgilor, ceea ce inseamná egalitatea

de t¡atament, precum qi principiul generos al disponi-

bil i tá¡i i. Pe de altá parte, existá l imitári ale posibil i tegii

T'ribunalului arbitral de a determina regulile de proce-

durá aplicabile cu referire specialá la faza dezbaterilor 9iadministrári i probatoriului, la dreptul f iecárei pár¡i de a

fi citatá pentru termenul dezbaterilor in fond gi pentru

orice alt termen, la dreptul fiecárei pár1i de a solicita sá

i se comunice toate inscrisurile sau orice altá informalie

deginutá de fi ibunalul arbitral, Precum gi dreptul de a

primi orice raport de expeftizá sau inscrisuri conside-

rate a fi utile de Tiibunalul arbitral in etapa redactárii

- " ('u privire la comentariile Legii-Model UNCITRAL, a se

vetlett Anuaru/ Comisiei Natiunilor L/nite pentru Drepnl Comer¡uluilntcrn¿tional, uo/. WI, 1985, p. 131 $i urmátoarele.

Studii . art icole, comentari i

arbitration agreement if the existing or future contro-

versy refers to a ,,specific juridical relation, contractual

or non contractual". This expression has an ample

interpretation, to cover all commercial non contractual

business (for example, a third parry interfering in con-

tractual relations; the violation of a brand or other

forms of disloyal competit ion)."'The Chilean Law also establishes that the arbitratiorr

agreement shall be in writ ing, but not only a rvrirtet.t

document signcd by the parties, but als<,1 anv exchangc of

letters, telex, telegrams or other means of com[lunlcil-

t ion rvhich provide a record of the agreentent or i l l ¡tt

exchange of statements of clairn and defense in n'hich

the cxistence of an agrcement is alleged by one parrl 'and

not denied by the other (article 7 No 2). As for rhe pro-

vision For ,,r.vritten" form in article 7, according to article

3 of Law 19.799 refering to electronic documents, elec-

tronic signature and service for certif ication of sLrch sig-

nature, it should be understood that this provision is

fullfilled if the agreement is contained in an electronic

document, as it is done in other places of the world.tt

Finall¡ the reference in a contract or document contai-

ning an arbitral clausc constttutes agreement to arbitra-

tion, provided that the contract is in written form and

rhe reference implies that this clause is a part oFthe con-

tract. This means that an expres,scd referencc is t lot ne-

cessary to thc arbitration clause containcd in it. Thc

unfullf i l l ing of the requirement of recording the arbitra-

tion agreement in writ ing, may be validated if the parw

submits to the arbitral acts, thus participates r't ' i thout

raising the defence of inexister-rce or non validiry of rhc

arbitration agreement.r"

5. - Comoosition of the Arbitral Tiibunal

The Chilcan Law on Intcrnational Commercial

fubitration, according to the Model Law, states that the

parties are free to appoint the number of arbitrators. Fail ing

such determination, the number of arbitrators shall be

three. This number was adopted as in UNCITRAL (Articlc

5) because it is the most common number in International

'" Notes on the UAICITR{L Mod¿:l Ldw Ycarbook oJ' U'trircrl

Nations Cortiteefor Internationdl Conterci¿l Lau,, uohtne XVI' 1985'

p . l 2 8 .t 'See a r t i c l c bv t h i s same au tho r , ,A rb i t r a t i on on l i n¿ i n

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 Na-

tions Committee on International Commercia/ Latu, uolume X\4, 1985

l o

sentin$ei, toate acestea neputand fi modificate prin li-

bertatea de voingá a pár¡ilor sau de puterea discregionará

a tibunalului arbitral ".

4. - Convenfia arbitralá

in Capitolul II din legea chil ianá referitoare la arbi-

trajul comercial internagional, convengia arbitralá are o

reglementare, avánd in vedere prevederile Legii-Model,

bazatá pe Conven¡ia de la New York, 1958, dar cu unele

imbunátátiri menite sá inláture anumite deficienqe.

Legea-Model regleme nteazá atát convenfia arbitralá de-

cr,rrgánd dintr-o neingelegere existentá, cát conven¡ia

arb i t ra lá decurgánd d int r -o neingelegere v i i toa¡e.'[btodatá,

Legea-Model reglementeazá convengia arbi-

tralá indiferent dacá aceasta este stipulatá in contract

sau intr-un acord separat. Legea chil ianá, inspiratá din

I-egea-Model UNCITRAL, reglementeazá conven¡ia

arbitralá dacá o nein¡elegere existentá sau viitoare de-

curge ,,dintr-un raport concret contractual sau necon-

tractual". Aceastá sintagmá este susceptibil¿ de o inter-

pretare generoasá, in sensul cá se referá la toate rapor-

turi le comerciale, inclusiv cele necontractuale (de exem-

plu, ipoteza terlului ce intervine intr-un raPort contrac-

tual; incálcarea drepturilor la marcá sau alte forme de

co ncu ren tá neloialá) tt ' .

t)e asemenea, lcgea chil ianá stabileqte forma scrisá a

conventiei a convenliei arbitrale, prin aceasta inEelegánd

nr.r numai ur.r inscris semnat de pár9i, ci orice schimb de

scrisori, rnesaje telex, telegrame sau orice alte mijloace de

comunicare ce consemneazá in¡elegerea párgilor sau

transmiterea reciprocá a acgiunii arbitrale ;i intámpinárii

in continutul cárora invocarea de cátre o parte a exis-

tenqei convetr¡iei arbitrale nu este contestatá de cealaltá

par te (ar t .7 No 2) . Cu pr iv i re la cer in¡a, , formei scr ise"

stabil itá de art.7 , potrivit art. 3 din Legea 19.799 cu pri-

vire la documentele electronice, semnátura electronicá ;iprocedura de certif icare a acestei semnáturi, se

poate aprecia cá aceastá ceringá este indeplinitá dacá

respectiva convenfie este cuprinsá intr-un document

electronic, deqi acesta este realizat in orice alt loc din

lume.'- in sfárqit, menliunea dintr-un contract sau do-

cume nt ce contine o clauzá arbitralá constituie cotlvenlie

' ' 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 Gaceta Juridica nr. 288, 2004,

¡r , J0 s i urmitoar( ' lc . www.camsant iago.c l .

Reüsta Románá de Arbitrai

Studii . art icole, comentari i

Commercial Arbitration, but also a sole arbitr¿ror is a

common practice, specially in less complex cases '"

On the appointment of the arbitrators, article 11 of

the Chilean Law stipulates that, unless otherwise agreed

by the parties, no person shall be precluded, bv reasons

of his nationaliry from acting as an arbitrator. On this

matter, a double doubt arises in the case of a I-aw arbi-

rratior.r, this is, when the arbitrators must be lawl'crs.

According to article 526 fron the Organic Code of'

Chilcan Tiibunals, only a Chilean Pcr.son can be a larvvct'

in Chile, which would mean that lawvers from other

nationalit ies could not be arbitrators in Ctri le. In our

opinion, this conclusion should be wrong, given rhat the

rcgulations on International Cclmmercial Arbitration do

not statc any requiremcnts to be appointecl as an arbi-

trator, prevail ing the agree ment of the parties. The samc

conclusion can be inferred if we look at the history of

Law 19.971 on International Commercial Arbitration in

Chile, since the parties decide the qualiry of the arbitra-

tors, being applicable in this case the principle of auto-

nomy of wil l of the parties.'"

Article 11 of the Chilean Law also states that the par-

ties are free to agree on a procedure of appointing thc

arbitrato¡ or arbitrators. Fail ing such agreement, each

parry shall appoint one arbitrator, and the rwo arbi-

rrators thus appointed shall ap¡roint the third arbitrator;

if a party fails to appoint the arbitrator within thirt¡ '

da1'5 n¡the receipt of a request to do so from the orhcr

parry) or if the rwo arbitrators fail to agree on thc third

arbitrator within thirry days of their appointment, thc

appointment shall be made, upon request of a partl', by

the President of the competent Court of Appeals of the

olace of arb i t rat ion, whose resolut ions shal l bc

unappealing. As for the grounds for challenge, in order

to ensure the principles of impartialiry and indepen-

dence of the Arbitral Tiibunal, and ethical rules, the

ground for challenge and the procedure are established'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 (Anic le 12).)" Zehda Pérez, Mauricio, ,,\'ro.yecto de /eJ de Arbintje Comerci¡l

Internacional", Boletin Juridico lel Ministerio rla .fusticin dc (ll'ílt',

Number (>, Seprcmber 2004, p. 101 and follorving, :rs :r legisl:rtive cotr

sultant for the Justice Ministery savs: fbreign lervvcr.s are not :tcting ls

Iaw¡¡er .s but : rs arbi t rators whose cont¡retencc has been qual i f ied bv t l lc

part ies by the t ime of the appointrrent , thus i t c¿n not bc objccted

tl-rat thc lawyer arbitrators have a diffcrent nationality than chilcans.t' See ,,The ethics in the internationttl commercial arbitrrttton",6y

this same author, published at www.camsantiago.cl.

Nr. 3 (7)/lulie-Septembrie 2OO8

arbitralá dacá contractul are forma scrisá 9i dacá

menliunea sugereazá cá acea clauzá este parte a acelui

contract . Aceasta inseamná cá o men¡ iune expresá nu se

refcrá, in mod necesar, la clauza arbitralá ce o con[ine.

Neindeplinirea ceringei formei scrise a conven¡iei arbi-

trale poate fi acoperitá dacá o Parte redacteazá acte de

procedurá, participánd la solugionarea lit igiului fárá a in-

voca inexistenta sau nevaliditatea convenfiei arbitrale.tt

5. - Constituirea Tiibunalului arbitral

Legea chil ianá referitoare la arbitrajul comercial

international, inspirándu-se din Legea-Model, stipulea-

zá cá párti le sunt l ibere sá stabileascá numárul arbitri lor'

in l ipsa unei astfel de determinári, numárul arbitri lor va

fi de trei. Acest numár de arbitri a fost stabilit de

Reguli le UNCITRAL (art. 5) pentru considerentul cá

este cel mai potrivit numár de arbitri in arbitrajul co-

mercial internalional, institugia arbitrului unic fi ind o

practicá comuná in special in cazurile mai pu¡in com-

plicate.'n Cu privirile la condiliile de a fi arbitru, art. I I

din legea chilianá stipuleazá cá, in afara cazului in care

pár¡i le au convenit altfel, niciunei persoane nu i se

poate interzice de a fi arbitru pentru considerente de

na¡ionalitate. in aceastá problemá, este incidentá o

dubl¿ dificultate in cazul unei reglementári arbitrale,

anume in ipoteza arbitri lor-avocagi. in conformitate cu

art.526 din l.egea organizárii judiciare chil iene, numai

un cetátean chil ian poate avea calitatea de avocat in

Chile, ceea ce inseamná cá avocagii de altá nagionalitate

nu pot f i arb i t r i in Chi le . in opin ia noastrá, aceastá con-

cluzie este gregitá, avánd in vedere cá reglementárile cu

privire la arbitrajul comercial internaEional nu stabilesc

nicio condil ie pentru numirea unui arbitru, ceea ce

prevaleazá fiind in¡elegerea párgilor. Se poate ajunge la

aceea.si concluzie dacá avem in vedere istoria elaborárii

Legii 19.971 cu privire la arbitrajul comercial interna-

tional, datá de la care párgile numesc arbitrul in funcgie

de specialitatea sa, f i ind aplicabil principiul autonomiei

voin¡ei pár¡i lor.3oDe asemenea, art. 1l din legea chil ianá prevede cá

"A sc vedea Comentdriile Legii-Model UNCITML, irt Anuarul

Comi si e i 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

spaniolá a arbi r ra ju lu i , dacá pi r ¡ i le nu stabi lesc al t fe l , este numrt un

r r r b i t r u un i c (A r t . 12 ) .

" Zelada Pérez, Mauricio, ,,Proyecto de ley de Arbitmje Comercial

Intern¿úondl", Boletin Juridico del Ministerio de Justicia de Cltik'

Nr, 6, septcmbrie 2004, p. 101 qi urmátoarele, in calitate de consilier

jur id ic in cadrul Ministerulu i Just ig ie i susl ine urmátoarele: avoca¡ i i

n

6. - Competence of 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 objections with respect to the existencc

or validiry of the arbitration agreement. For that pur-

pose, an a¡bitration clause which forms part of a con-

tract shall be treated as an agreement independent from

any other terms of said contract. This wa¡ a decision bv

the Arbitral Tribunal that the contract is null and void

shall not enrail ipso jure the validity of the arbitration

clause. Therefore the Arbitral t ibunal shall not loose

competence to decide on the invalidiry of the contract

unless it concludes that the effect caused by said rnva-

lidiry also affects the arbitration clause itself. TI-re prin-

ciple of separation is applicable regardless the nature of

the defect, in contrast to some national legislations that

distinguish berween init ial defects and subseqr-rent

grounds for anullment.' A plea that rhe Arbitral

Thibunal does not have jurisdiction shall be raised not

later than the submission of the statement of defence ,unless the Arbitral Thibunal admits a later ple a if i t con-

siders the delay justif ied (Article 16 No 2).

The Tiibunal may rule on a plea either as a prelimi-

nary question or in the award on the merits. If i t rules as

a preliminary question that it has jurisdiction, any part)¡

may request, rvithin thirty days after receiving noticc of

said ruling, to the President of the Court of Appeals tcr

decide the matter, which wil l be subject of no appeal.

While such request is pending, the Arbitral Tiibunal may

continue the arbitral proceedings and make an alvard."

7. * Restricted Judicalization: Extent of Court

Intervention and oowers of the Arbitrator

The restriction of Court intervention during arbitra-

tion constitutes a basic principle in the development of

International Commercial Arbitration. It is one of the

essenrial elements to understand the UNCITRAL

Model Law, Article 5, and taker.r by the Chilean l.aw in

the same terms: ,, ln matters governed by this law no

Court shall intervene except where so providcd in this

i' Notes on thc Model Law Yearbook oJ'United Nations Comirac.for

htternational Comercial [.¿w, uolume XVI, ]985, p. 128.

" This solution rvas adopted, as it records the Model Lau', in

order ro avoid d i latory t¿rct ics:rnd the abuse of : rn,v r ight to appcal

inmediatel¡ op. cit, p. 130.

t 2

párfle sunt libere sá stabileascá procedura de numire a

arbitrului sau arbitrilor. Ín lipsa unui astfel de acord,

fiecare parte va numi un arbitru, iar cei doi arbitri, ast-

fel numigi, il vor alege pe cel de-al treilea; dacá o parte

nu nume$te arbitrul in termen de 30 de zile de la solici-

tarea celeilalte párgi de a face acest lucru sau dacá cei doi

arbitri nu se ingeleg cu privire la cel de-al treilea arbitru

in termen de 30 de zile de la numirea lor, numirea celui

de-al treilea arbitru va fi fácutá, la cererea unei párgi, de

Pre¡edintele Curgii de Apel competente de la locul arbi-

trajului printr-o hotáráre nesupusá niciunei cái de atac.

i ' . ' c.e" ce privegte institugia recuzá¡ii, in scopul garantá-

ri i respectárii principii lor impargialitá¡i i ; i indepen-

den¡ei Tribunalului arbitral qi a reguli lo¡ sunt stabil ite

motivele de recuzare gi procedura recuzárii3'.

6. - Competenfa tibunalului arbitral

Art. l6 din capitolul IV din legea chil ianá cu privire

la arbitrajul comercial internalional stabilegte cá Tii-

bunalu l arb i t ra l poate statua asupra propr ie i compe-

tenge, inclusiv cu privire la orice obiecgiuni referitoare la

existenta sau validitatea conventiei arbitrale. Pentru

aceste considerente, o clauzá arbitralá, comPonentá a

unui contract, va fi analizatá ca un contract indepen-

clent de celelalte clauze contractuale. i.t ".ert

fel, decizia

Tribunalului a¡bit¡al de constatare a nulitagii unui con-

tract nu afeueazá ipso jure validitatea clauzei arbitrale.

Prin urmare, Tiibunalul arbitral nu va fi necompetent

sá statueze asupra invaliditagii contractului in afará de

cazul in care se a.iunge la concluzia cá aceastá invalidi-

rare se rásfránge Ei asupra clauzei arbitrale. Principiul

separirri i clauzei arbitrale de contract este aplicabil indi-

ferent de motivului acgiunii in anulare, spre deosebire

de unele legislagii ce opereazá distinc¡ia intre motive

inigiale de anulare gi motive subsecvente de anulare a

sentin{ei arbitrale3'. Exceplia necompetenfei Tiibuna-

lului arbitral trebuie invocatá páná in momentul depu-

nerii intámpinárii, in afara cazului in care Ti'ibunalul

arbitral apreciazá ca justificatá invocarea excep{iei ulte-

rior acestui moment (art. l6 paragraful 2).

str:lini nu ac¡ioneazá ca avoca¡i, ci ca arbitri, iar competen¡a profe-

s ionat : i a acestora a fost apreciatá de párt i in momentul ¡ lumir i i , ast-

fcl cri nu sc poate obiecta cá arbitrii avocali au o altá nalionalitate

J , . , r t n ¡ r i o n ¿ l i r . r t e ¿ c h r l i a n á .

" A se vedea studiul aceluiasi autor, The ethics in the internationdl

rorn nterci¿l arbi tr¿tion, studiupublicat pe site-ul www.camsantiago.cl.': Pentru comentarii cu privire la Legea-Model, a se vedea

Anuaru/ Comisiei Na¡iunilor (Jnite pentru Drepr Comercial

lnternarion¿\, uol. WI, ./985, p. 128.

Revista Románá de Arbitrai

Studii . art icole, comentari i

law". The intervention cases established by the new

Chilean Law are the following: appointment of arbitra-

tors when failing an agreement, challenge and with-

drawal of the arbitrator, decision of the Arbitral tribunal

to rule competence, and anullment of award. These in-

terventions imply the exclusion of all general or residual

power given to the Tiibunals in a narional systcn.r that is

not l istecl in the Model Law.'l 'his is especiallv goocl for

international commercial arbitration, because, as the

historl 'of the Model Law says, the intervention recourse

of the tribunals during arbitral acts were often uscd a.s a

dilatory tactic and most of thc times wcre an abusc of

the arbitral acts more than a protection against abuse ."

Orr the other hand, the extent of Court interventtott

on the arbitration is not compatible rvith judicial assis-

tance by national Courts, according to articlc 6 of the

Chilean l,aw, giving some attributions to the President

of the Court of Appeals in matters l ike the appoinrment

of arbitrators when failing an agreement between the

parties, origin ofa challenge presented to the arbitrator,

the appointment of a substitute arbitrator when the ar-

bitrator fails to act, the determination as Court of

Appels on a resolution by the Arbitral Tiibunal that re-

jects an incompetencc defence. The Chilcan Consti-

tr. lt ional Tribunal established in the constitutionaliw

examination, that the rule of ¿rrticle 5 agreed with the

Chilean Constitutior.r in terms of granting the Sr-r¡rrcme

Court the directive, correctional and economical Supe r-

intendency over thc tribunals nation wide, as the com-

petence in all jurisdictional actions established affected

in the Constitution for all who may see aFfected their

basic constitutional rights in the aplication of said Law'."

We have to bear in mind that Article 5 acccpts the inter-

vention of the Court in other matters that are not under

the Model Law, such as the ef|ect of State immuniry

contractual relations berween parties and the arbitrarors

or the arbitral institution, rights and cxpenses etc."'

8. - Aoolicable Law in arbitration

The Chilean Law on International Commercial

Arbitration establishes that the Arbitral Tribunal shall

decide the l it igation according to the ¡ules and regtrl 'r-

t ions agreed upon by the parties. If they do not indic¿rte

" LJnited Nations Contité for Conrcrci¿l Law Yearbook, uolunt XVI'

1985, p. 11 and fol lowing.

" Award by the Chilean Consti tut ional Ti ibunal, August 25,2004.'" Notes on the Mode/ Law, United Nations Coniter fr.rr

[nternational Commercial Law Warbook, uolume XVI, /9BÍ, p. I 18.

Nr. 3 (7)/ lul ie-Septembrie 2OO8

'lribunalul se pronun!á asupra excep¡iei invocate fie

in etapa procesualá a solugionárii aspectelor prealabile,

fie odatá cu pronunlarea solugiei pe fond' Dacá

Tiibunalul stabilegte in cadrul chestiunilor preliminare

cá este competent sá solugioneze lit igiul, oricare dintre

pár¡i poate solicita, in termen de 30 de zile de la comu-

nicarea respectivei hotárári, pre;edintelui Cur¡i i de Apel

sii se pronunfe asupra acestui aspect, hotárárea acestuia

din urmá nefiind supusá niciunei cái de atac. In perioa-

da de solu¡ionare a acestei cereri, procedura arbitralá nu

sc suspendá, Tiibunalul arbitral nefi ind impiedicat sá

pronunte o sentingá arbitralá".

7. - Intervenfia restránsá a justiliei statale: Extinderea

intervenfiei iustiÍiei statale gi prerogativele arbitrului

Limitarea intervengiei justi¡iei statale in derularea

procedurii arbitrale reprezintá un principiu de bazá in

dezvoltarea arbitraiului comercial internagional. Acesta

este unul din elementele-cheie in demersul de in¡elegere

a art. 5 din Legea-Model UNCITRAL, dispoziEie pre-

luatá de legea chilianá in urmátoarea redactar.' ,,i.t

materii le reglementate de aceastá lege nicio instan¡á

statalá nu poate interveni afará de situali i le in care

prezenta lege stipuleazá akfel". Cazurile de interven¡ie

alc justi¡iei statale reglementate de legea chil ianá sunt

rurmátoarele: numirea arbitri lor de cátre instan¡a statalá

dacá pár¡i le nu i-au desemnat, soluEionarea cererii de

recuz.are sau de ab¡inere a unui arbitru' solugionarea cáii

de atac impotriva hotárárii Tiibunalului arbitral de a

statua asupra propriei competente, precum ¡i cererea de

anulare a sentintei arbitrale. Aceste cazuri de intervengie

a justi l iei statale determiná eliminarea prerogativelor

generale sau particulare conferite tibunalelor arbitrale

de reglementárile nagionale, aspect ce nu este prevázut

de Legea-Model. Aceastá abordare este beneficá arbitra-jului comercial internagional pentru considerentul cá,

astfel cum reEine istoria redactárii Legii-Model, metoda

recurgerii la intervenlia justigiei statale in procedurile

arbitrale era uti l izatá pentru a tergiversa solugionarea

lit igiului gi, de cele mai multe ori, respectiva metodá

genera nerespectarea procedurii arbitrale decát protec¡ia

impotriva abuzurilorto.

" Aceastá soluqie a fost adopratá, astlel cum re¡in prevederile

l-egii-Model, pentru a evita incidenEa metodelor de tergiversare a

solu¡ionárii litigiului, precum gi exercitarea abuzivá a cáilor de atac,

op.cir. , p. \30.

" A se vedea Anuarul Comisici Na¡iunilor Unite pentru Drept

Comercitt/, uol. XVI, 1985, p. 11 ¡i urmátoarele.

1 3

Studii . art icole, comentari i

the applicable laws, the Arbitral Thibunal must apply

the Law determined by the applicable rules of solution

of conflict between laws considering the provisions of

the contract and commercial use. According to this re-

gulation, the Law allows the parties to choose the appli-

cable norms, which means that thay could apply norms

from more than one judicial system and to international

levcl."That is, that the parties shall be able to choosc the

UNIDROIT as applicable Law to the controversv.' '

In other International Commercial Arl¡itration Law,

when parties have not chosen the applicable Lar'v to the

merit of the conflict, the arbitrator has been given a dis-

cretional range in the arbitral Law concrete application.

For example, the German Law establishes that the arbi-

trator may determine the applicable Law accordinq to

the closest relation.'n On the other hand, the Spanish

legislation establishes that when the parties do not

choose the applicable Law, the arbitrator shali decide.'n

9. - Interim Measures

The Arbitral Tiibunal ma¡ r,rnless otherwise agreed

by the parties, order any party to take such interim

measure of protection in respect to the subject-matter

of the dispute. The Arbitral Tiibunal may require an1'

party to provide appropiate secrtrit i ' i tt conuection q'ith

such measure (Article 17 Chilean Law). Interim Provi-

sional measures to avoid and mitigate losses can be

ample, with restrictions in reference to the su[.. iect-

matter of the dispute.t ' This measure does not provide

the Arbitral Tribunal with the faculty to execute resoltt-

t ions, nor can foresee the judicial execution of the

orders of the Arbitral Thibunal."

r; Notes on the Model Ldtu. United Nations Committ¿e JorIntern,ttional Commercittl L¿w. \'earbook, uolunte XVI, 1985, p. 140.

'^ -l'he Intcrnational Institute for the Unitv of Private l-au'

(UNIDROI' | ) is an intcrgovernmental agency that publ ished in

1994 a ser of regulation.s in order to offér a generitl ilnd hotnogct.tcotts

regul , r r ion of Internat ional Contractual Law for rhe internat ional

commercia l contracts. Norvad:rys, the pr incip les of UNIDROIT arc

usually used by the arbitrators to base their arv:rrds itt an iltternrrtional

commercial arl¡ itracion context. See u.u"ri'. unidrt i t. o rg.'' Checa, Martinez, Miguel, op. cit. p. 356.

" ' Ar t ic le 34 No 2 of Larv (10-2003 on Spanish Arbir ret ion. l ror '

othcr cr i ter ia to dctcnninc thc appl icablc [ -ar l , in othcr lcgis l r r t ior ts scc

Sanders Pieters, ap. t i r . p. 17.'' Nores on rhc Model Lau,. Iinirud Narions (.ontntitttt fir

lnternatiott¿/ C'ann¡toti¿l Lau,. lTarbook, uolunte WI, 19,9 í, p. I 3 I .,. See ,,'l-he ICO Arbitration Rttles and the UNC17'RAL Mo¿L,l L¿u,"

bl' Schwartz, Eric. Published by Arbitration /ntern¿tionttl, uolutttt 9

N" 3 LCIA, 1993, p.239 and follorving.

T 4

Pe de altá parte, extinderea intervengiei justiliei

statale nu este compatibilá cu sistemul asistengei judi-

ciare organizat d€ aceasta, astfel cum stipuleazá an. 6

din legea chil ianá, conferindu-se pre$edintelui Curgii de

Apel atribugii cu privire la numirea arbitri lor dacá

pár¡i le nu au stabil it acest lucru, la solu¡ionarea cererii

de recuzare a unui arbitru, numirea unui arbitru su-

pleant cánd arbitrul t itular este indisponibil, soluliona-

rea cailor de atac declarate impotriva hotárárii Tiibu-

nalul arbitral de respingere a excep[iei de necompe-

ten¡á. Tribunalul constitulional chil ian a stabil it in con-

textul examinárii constitugionale, cá regula instituitá de

¿rrt. 5 nu este neconstitu[ional prin raportare la

Constitugia statului Chile in sensul conferiri i Cur¡i i

Supreme a prerogativei de control judiciar qi economic

a tutu¡or instan¡elor nafionale, din moment ce comPe-

tenta solulionárii acgiunilor judiciare, astfel reglemen-

tatá 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 incidenga justigiei statale in

materii nereglementate de Legea-Model, precum ar fi

efectul imunitá¡i i statale, raporturi le dintre pár¡i ; i arbi-

tri i sau dintre párgi gi institugia arbitralá, drepturile pro-

cedurale si cheltuieli le arbitrale etc"'.

8. - Legea aplicabilá in litigiul arbitral

Legea chil ianá cu privire la arbitrajul comercial

interna¡ional solugioneazá lit igiul in conformitate cu

reguli le Ei reglementárile convenite de pá4i. in l ipsa

unei astfel de determinári, Tiibunalul arbitral aplica

legea determinatá potrivit normelor confl ictuale perti-

nente prin luarea in considerare a prevederilor contrac-

tuale gi a uzangelor comerciale. Potrivit acestei regle-

mentári, párgilor le este permis sá aleagá legea aplicabila

lit igiului arbitral, ceea ce inseamná cá pot sá aleagá legi

din mai multe sisteme de drept intr-un l it igiu inter-

naqionalr;. Astfel, pár¡i le pot determina aplicarea

UNIDROIT fondului l i t igiului". in alte reglementári

,\ sc vede¿ senrin¡a Tribunalului Constitutional chilian pronunratá

Ja 25 august 2004."' I)entru comentarii cu privire la Legea-Model, a se vedea Anudrul

(.ornisiei Natiunilor Unite pentru Dreptul Comer¡ului Interna¡ional'

t'ol. X\I, | 985, p. 1lB.'- Pcntru comentarii referitoare la Legea-Model, a se vedea Anuatul

Ct¡misie i N¿tiunilor [Jnite pentu Drept Comerprlui Interna¡ional, uol. WI,| 9tt5, p. 14(\.

' ' Inst i tutul Interna¡ional pentru Unif icarea Dreptului Privat(UNIDROIT) este o agen¡ie interguvernamentalá ce a publicat in 1994

Revista Románá de Arbitrai

Studii , art icole, comentari i

10. - Anullment Reeourse agarnsll¡¡¡ard

As a consequence of restrictions in judicial interven-

tion in arbitration, the UNCITRAL Model Law esta-

blishes that the only way that the arbitral award mav be

set aside is by the anullment recourse against an'ard,

based on the taxative grounds established in Article 34,

which are basically the same established by thc Neu'

York Convent ion in 1958. The grounds for anul lment

are the following:a) the incapaciry of a parry in the arbitration agree-

ment;b) the agreement is not valid under the law to which

the parties have subjected it;

c) the parry making the application was not given

proper notice of the appointment of an arbitrator or of

the arbitral proceedings or was otherwise unable to

present his case ; the award deals with a dispute not con-

templated by or not falling within the terms of the sub-

mission to arbitration, or contains decisions or matters

beyond the scope of the submission to arbitration;

d) the composition of the Arbitral Tiibunal or the

arbitral procedure was not in accordance with the

agreement by the parties, unless such agreement was ln

conflict with a provision of this Law from which the

parties can not derogate , or, fail ing such agreement, was

not in accordance with this Law;

e) the Court f inds that the subject-matter oF the dis-

pute is not capable of settlement by arbitration under

the Chilean Law, or the award is in confl ict with thc

publ ic pol icy of Chi le .

The petit ion for setting aside may not be made after

three months have elapsed from the date on which the

parry making the petition had received the award. The

competent Court of Appeals wil l place the petit ions of

nullity immediately in the Court Board and they will

enjoy preference for their view and the Court ruling.

Once the anullment recourse against the award has

been ruled, the question arises whether 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 accordance n'ith

what was said by the Chilean Constitutional Tiibr-rnal,

not withstanding the directive, correctional and eco-

nomical Superintendency olt the Supreme Court over

the tribunals nation wide. It is our opinion that the

Nr. 3 (7)/lulie-Septembrie 2008

referitoare la arbitra.iul comercial internagional, in cazul

in care párgile nu au ales legea aplicabil¿ fondului liti-

giului, determinarea acesteia revine instangei arbitrale.

De exemplu, legea germaná stabile;te cá arbitrul poate

determina aplicarea legii ce prezintá cele mai stránse

legáturi cu l it igiulr '. Pe de altá parte, legisla¡ia spaniolá

stabileqte cá, in cazul in care párti le nu determiná legea

aplicabil i fondului l i t igiului, aceasta va fi determinatá

de instanta arbitralá.".

9. - Másuri asigurátorii

Dacá pár1ile nu au convenit altfel, Tribunalul arbi-

tral poate dispune luarea unor másuri asigurátorii pen-

tru conservarea c{repturilor l i t igioase. Tiibunalul arbi-

tral poate solicita oricáreia dintre párgi de a lua másurile

necesare compatibile cu dispunerea másurilor asigurá-

tori i (art. 17 din legea chil ianá). Másurile asigurátorii

dispuse in scopul evitárii qi limitárii pagubelor pot avea

un domeniu larg de aplicare, singurele restricEii fiind

impuse de natura l it igiului ' ' . Dispunerea acestor másuri

asigrrrátorii de cátre Tribunalul arbitral nu le conferá 9icaracte r executoriu, nefi ind reglementatá instituEia exe-

cutárii si l i te a másurilor dispuse de Tiibunalul arbitralo'.

10. - Acfiunea in anularea sentinfei arbitrale

Ca o consecin¡á a incidenlei intervengiei justigiei sta-

tale in derularea procedurii arbitrale, Legea-Model

UNCITRAL stabilegte cá singura modalitate de desfi in-

tare a unei sentinfe arbitrale este acfiunea in anulare,

motivele acliunii in anulare reglementate de art. 34

fi ind aproximativ identice cu cele stabil ite de Conven-

tia de la New York, 1958. Motivele de acgiuni in anu-

lare sunt urmátoarele:

un set de reguli pentru a oferi o reglementare generalá qi omogená regle-

mentárii contractuale internagionale, cu referire specialá la contractele

comercia le internaEiouale. in z i le le noastre, pr incip i i le UNIDROIT sunt ,

de obicei , ut i l izate de instan¡ele a¡bi t ra le in scopul mot ivár i i senr inqei

prour¡ntate int r -un l i t ig iu internat ional . A se vedea www.unidroi t .org.'' ' Checa, Martinez, Miguel, op.cit. p' 356.-" Art. 14 paragraful 2 din Legea 60-2003 referitoare la arbitrajul

spaniol . Pentru a l te cr i ter i i de dcterminarc a legi i apl icabi le fondului

litigiuiui st:rbilite de alte legislalii, a se vedea Sanders Pieters, op cit

p 1 7t' Pentru conren tarii referitoare la Legea-Model, t se v edea Anua 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'

l 5

Studii . art icole. comentari i

Disciplinary Recouse can not be applied in this case,

due to the extraordinary character of said recourse and

considering the character of ,,lex specialis" of Chilean

Law on International Commercial Arbitration which

provides that in case of confl ict, its dispositions orr

international commercial arbitration prevail over the

general dispositions of arbitration.t '

I l. - Recosnition and enforcement of awards

This matter is regulated in Articles 35 and 36 of the

Chilean Law on International Commercial Arbitration.

They adopt almost l i terally the Convention on recogni-

tion and enforcement of awards of New York, 1958. The

scope of application of the UNCITRAL Model Law is

different from the range of the New York Convention.

The Model Law is applied to all awards in connectton

with international commercial arbitration, including the

awards in the State where the rccognition and enforce-

ment is sought. On the contrarv, the Nerv York

Convention applies only to foreign arbitrai awards, that

is, those that have not bee n made by the tribunal oF rhe

State where the recognition and enforcemenr is sotLght.

Any arbitral award, irrespective of the colttttrv itt

which it was made, shall be recognized as binding, and

shall be enforced subject to the provision of Article 35

of the Chilean Law on lnternational (lommercial

Arbitration. The grounds for ¡efusing recognition or

enforcement of an arbitral award are set forth in Article

36 oFthe Law and shall be proved in order to reject the

recognition and enforcement of the arbitral award.

CONCLUSIONS

As we can see, the new Chilean Law on International

Commercial Arbitration embraces the international unity

principlc in arbitration regulation, based on the UNCI-

I 'RAL Model Law 1985, providing a flexible regulation,

based on the principle of autonomy of wil l of the parties.

It is important to point out that Chile has subscribed and

ratif ied the United Nations Convention on rccognitior.r

and enforcement of foreign arbitral awards, New York

1958, and the Interamer ican Convent ion on I t r terna-

t ional Commercia l Arb i t rat ion, Panama I975, u 'h ich

helps the efficiency ofthc international arbitration svstcm

-r' 11.r. principle ol lex specialis is taken 6y |NCI'\'RAL Molel

Law and the Chilaan lau United Nations Commixee for InternationalCommercial Lau. Yearbook, uolume XV 1985, p.9 and lollowing.

t 6

a) l ipsa capacitágii depline de exerciEiu a uneia dintre

párti le convenli€i arbitrale;

b) conven¡ia arbitralá nu indeplineqte condigii le de

vaiiditate stabil ite de legea determinatá de pá4i;

c) partea care a formulat cererea de arbitrare nu a

fost inqti ingatá cu privire la posibil i tatea de a numi un

arbitru, nu a fost citatá cu privire la desf$urarea proce-

drrri i arbitrale Ei nu a i s-a dat posibil i tatea de a-;i

susline punctul de vedere;

d) sentinta arbitralá se referá Ia aspecte ce nu s-au so-

licitat sau nu se referá la ceea ce s-a solicitat sau se referá

la aspecte ce depá¡esc limitele cererii de arbitrare;

e) constituirea Tribunalului arbitral sau procedura

arbitralá nu sunt in concordangá cu ingelegerea pá4ilor,

in afará de cazul in care o asfel de ingelegere nu resPectá

o dispozigie legala de la care párgile nu pot deroga sau,

in lipsa unei astFel de in¡elegeri, acestea nu sunt in con-

cordangá cu reglementárile legale;

e) l i t igiul nu este arbitrabil potrivit legii chil iene sau

sentinla nu respectá ordinea publicá de drept inter-

na[ional privat.Cererea de anulare a sentinlei arbitrale poate fi for-

mulatá in te¡men de trei luni de la data comunicárii

accsteia. in cadrul Colegiului, Curgile de Apel compe-

tente vor solu¡iona cu prioritate cererile de anulare a

sentintelor arbitrale. Odatá ce acliunea in anulare a fost

solu¡ionatá prin hotárárea pronuntatá de Curtea de

Apel, se pune problema dacá respectiva hotáráre poate

Ft analizatá de Curtea Supremá ca urmare a declarárii re-

cursului pentru neregularitági formale, dacá avem in ve-

dere paragrafulT de mai sus. Va trebui sá se giná seama

de limitarea intervenqiei instan¡elor statale in des-

fáEr,rrarea procedurii arbitrale, astfel cum a fost regle-

mentatá de noua lege a arbitrajului comercial inter-

national, acest aspect fiind in depliná concordanlá cu

decizia Tiibunalului Constitugional al statului Chile ce

a statl lat asupra existengei prerogativei de control judi-

ciar qi economic exercitatá asupra instangelor statale na-

¡ionale. in opinia noastrá, calea de atac a recursului nu

se poate aplica in aceastá ipotezá din cauza caracterului

exraordinar al acesteia, dar gi din cauza caracterului de

lege specialá a reglementárii chil iene cu privire la arbi-

trajul comercial interna¡ional ce stabilegte cá in cazul

unei neconcordange intre reglementárile generale gi spe-

ciale au prioritate de aplicare acestea din urmáo'.

" Principiul lex specialis este preluat de Legea-Model tINCITRAL

5i de legea chi/i.¿n¿. A se vedea Anuarul Comitetului Natiunilor IJnite

pentru Drept Comercia/ Interna¡ional, uol. XV 1985, p.9 ¡i urm.

Revista Románá de Arbitrai

Studii . art icole, comentari i

in Chile. At the same time, the inquestionable resrrictior:t

in judicial intervention of Ordinary Tiibunals ensures the

well f i ,rnctioning of the international arbitral svstcm in

Chi le . In our opin ion, the new Chi lean Law on

International Commercial Arbitration has helped Chile to

become an attractive arbitral place for investors and fo-

reign counterparts, especially in Latin Amcrican context.

1 1. - Recunoagterea gi executarea sentinfelor arbitrale

Materia recunoagterii gi incuviinEárii executárii si l i te

a sentin[elor arbitrale este reglementatá de art. 35 ;i 36

din legea chil ianá referitoare la arbitrajul comercial

interr.rational. Aceste dispoziti i legale adoptá, aproape

litcral, Convenlia cu privire la recunoa;terea qi incu-

viintarea executárii si l i te a sentinlelor arbitrale, New

York, 1958. l )omeniu l de apl icare a Legi i -Model

UNCITRAL este diferit de domeniul de aplicare a

Convengici de la New York. Legea-Model se aplicá

tr-lturor sentinfelor Pronungate in arbitrajul comercial

intcrnational, inclusiv sentinlelor arbitrale din statul pe

teritoriul cáruia se solicitá recunoa$terea gi incuviinlarea

cxecutárii si l i te a acestora. Dimpotrivá, Convengia de la

New York se aplicá numai sentingelor arbitrale stráine,

adicá acelor sentinge arbitrale ce nu au fost pronun¡ate

de instangele statului pe teritoriul cáruia se solicitá

recunoaqterea qi incuviinlarea executárii si l i te a acestora.

Orice sentin¡á arbitralá, indiferent de gara pe terito-

riul cáreia s-a pronunlat, este consideratá ca obligatorie

qi va fi executatá sil i t conform prevederilor att.35 din

legea chil ianá reFeritoare la arbitrajul comercial interna-

tional. Motivele refuzului recunoagterii gi incuviinqárii

execlltári i si l i te a sentingei arbitrale sunt reglementate

de art. 36 din legea chil ianá, trebuind a fi dovedite pen-

tru a respinge cererea avánd un astfel de obiect.

CONCLUZII

Asa cum se poate observa, noua lege chil ianá referi-

toare la arbitrajul comercial internaEional imbrágiqeazá

principiul unitá¡i i internaEionale a reglementárii arbi-

trale, avánd drept sursá Legea-Model UNCITRAL 1985,

furnizándu-se o reglementare flexibilá gi fundamentatá pe

principiul autonomiei voin¡ei párgilor. Este important sá

subliniem cá Chile a semnat qi ratif icat ConvenEia

Naliunilor Unite cu privire la recunoagterea gi executarea

senrintelor arbitrale stráine, New York 1958, Conven¡ia

Interamericaná cu privire la arbitrajul comercial inter-

nalional, Panama 1975, fa1 ce ajutá la eficientizarea

rcglementárii arbitrale intcrnalionale din Chile' in acelaqi

rimp, evidenta restric¡ionare a interven¡iei justi¡iei statale

asigurá funcEionarea in bune condigii a sistemului arbitral

ir.rterna¡ional din Chite. in opinia noastrá, noua regle-

mentare chil ianá referitoare la arbitrajul comercial inter-

na¡ional a ajutat statul Chile sá deviná un loc atractiv de

arbitraj pentru investitori gi entitá¡i stráine, in special

Dcntru America Latiná in ansamblul sáu.

Nr. 3 (7)/Iulie-Septembrie 2008 t a