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- Preliminary Material
- Foreword
- Preface
- Table of Contents
- Table of Cases
- Table of Legislation
- List of Abbreviations
- List of Contributors
- Introduction: The International Practitioner’s Perception of Arbitration in Brazil
- Main Text
- Part 1 Fundaments of Arbitration in Brazil
- 1 The Rise of Arbitration in Brazil
- Preliminary Material
- 1.1 The Long Resistance to Arbitration
- 1.2 The Brazilian Arbitration Law of 1996
- 1.3 Ratification of the New York Convention (NYC)
- 1.4 Reasons for the Arbitration Boom
- 1.5 The Promoters of Arbitration in Brazil
- 2 Comments of the Brazilian Arbitration Law
- Preliminary Material
- 2.1 Structure and Translation of the BAL
- 2.2 Chapter I of the BAL: General Provisions
- 2.2.1 Article 1
- 2.2.2 Article 2
- 2.3 Chapter II of the BAL: The Arbitration Agreement and its Effects
- 2.3.1 Article 3
- 2.3.2 Article 4
- 2.3.2.1 Wording
- 2.3.2.2 Comments
- 2.3.2.2.1 Identification of the parties
- 2.3.2.2.2 Identification of the dispute
- 2.3.2.2.3 Consent to arbitrate
- 2.3.2.2.4 Connection to a legal system
- 2.3.2.2.5 In writing
- 2.3.2.2.6 Integrated arbitration clause
- 2.3.2.2.7 Separate arbitration clause
- 2.3.2.2.8 Interconnected contracts (‘contratos coligados’)
- 2.3.2.2.9 Extension of arbitration clauses to non-signatories
- 2.3.2.2.10 Cessio legis—especially in the case of insurances
- 2.3.2.2.11 Adhesion or standard term contract
- 2.3.2.2.12 Use of the technical term arbitration not mandatory
- 2.3.2.2.13 Limited judicial control
- 2.3.3 Article 5
- 2.3.4 Article 6
- 2.3.5 Article 7
- 2.3.6 Article 8
- 2.3.6.1 Wording
- 2.3.6.2 Comments
- 2.3.6.2.1 Two central pillars for efficient arbitration
- 2.3.6.2.2 Legal autonomy or separability
- 2.3.6.2.3 The arbitrator’s Kompetenz-Kompetenz
- 2.3.6.2.4 Safeguards for the Kompetenz-Kompetenz principle in the CPC
- 2.3.6.2.5 Systematic position of article 8 BAL and scope of application
- 2.3.6.2.6 Competence conflicts
- 2.3.7 Article 9
- 2.3.8 Article 10
- 2.3.9 Article 11
- 2.3.10 Article 12
- 2.4 Chapter III of the BAL: About the Arbitrators
- 2.4.1 Article 13
- 2.4.1.1 Wording
- 2.4.1.2 Comments
- 2.4.1.2.1 Arbitrator
- 2.4.1.2.2 Any person trusted by the parties
- 2.4.1.2.3 Legal capacity
- 2.4.1.2.4 Appointment by parties and multi-party arbitration
- 2.4.1.2.5 Arbitrator lists established by institutions and opt-out
- 2.4.1.2.6 Impartiality and independence
- 2.4.1.2.7 Competence and diligence
- 2.4.1.2.8 Acting discreetly
- 2.4.2 Article 14
- 2.4.3 Article 15
- 2.4.4 Article 16
- 2.4.5 Article 17
- 2.4.6 Article 18
- 2.4.1 Article 13
- 2.5 Chapter IV of the BAL: Arbitral Proceedings
- 2.5.1 Article 19
- 2.5.2 Article 20
- 2.5.3 Article 21
- 2.5.3.1 Wording
- 2.5.3.2 Comments
- 2.5.3.2.1 Competence to determine rules for proceedings
- 2.5.3.2.2 Residual competence
- 2.5.3.2.3 Due process guarantee
- 2.5.3.2.3.1 General remarks
- 2.5.3.2.3.2 Right to be heard in adversarial proceedings
- 2.5.3.2.3.3 Principle of equal treatment of parties
- 2.5.3.2.3.4 Impartiality of arbitrators
- 2.5.3.2.3.5 Arbitrators’ opinion-forming freedom versus court precedents
- 2.5.3.2.3.6 Representation of parties by counsel—foreign lawyers?
- 2.5.3.2.3.7 Conciliation or settlement before the arbitral tribunal
- 2.5.4 Article 22
- 2.5.4.1 Wording
- 2.5.4.2 Comments
- 2.5.4.2.1 Freedom to define evidence production
- 2.5.4.2.2 Decisive role of the arbitral tribunal
- 2.5.4.2.3 Consideration of evidence
- 2.5.4.2.4 Records of the hearing
- 2.5.4.2.5 Expert report—legal opinions (‘parecere’)—expert witness
- 2.5.4.2.6 Party fails to follow citation
- 2.5.4.2.7 Defaulting or refractory witness
- 2.5.4.2.8 Default of party
- 2.5.4.2.9 Arbitrator replacement and repetition of evidence production
- 2.6 Chapter IV–A of the BAL: Interim and Urgent Measures
- 2.6.1 Article 22–A
- 2.6.2 Article 22–B
- 2.7 Chapter IV–B of the BAL: The Arbitration Letter (Article 22–C)
- 2.8 Chapter V of the BAL: The Arbitral Award
- 2.8.1 Article 23
- 2.8.2 Article 24
- 2.8.3 Article 25
- 2.8.4 Article 26
- 2.8.5 Article 27
- 2.8.6 Article 28
- 2.8.7 Article 29
- 2.8.8 Article 30
- 2.8.8.1 Wording
- 2.8.8.2 Comments
- 2.8.9 Article 31
- 2.8.10 Article 32
- 2.8.10.1 Wording
- 2.8.10.2 Comments
- 2.8.10.2.1 Null and void or setting aside—lost in translation?
- 2.8.10.2.2 Numerus clausus and mandatory nature of annulment grounds
- 2.8.10.2.3 Invalidity of the arbitration clause or agreement
- 2.8.10.2.4 Defect in the composition of arbitral tribunal
- 2.8.10.2.5 Awards not complying with minimum requirements
- 2.8.10.2.6 Awards on matters outside the scope of the arbitration agreement
- 2.8.10.2.7 Awards procured by bribery or corruption
- 2.8.10.2.8 Delayed awards
- 2.8.10.2.9 Violations of due process guarantee
- 2.8.10.2.10 Violation of public policy
- 2.8.11 Article 33
- 2.8.11.1 Wording
- 2.8.11.2 Comments
- 2.8.11.2.1 Annulment suit as exclusive mode to set awards aside
- 2.8.11.2.2 Mandatory nature of article 33 BAL
- 2.8.11.2.3 No suspensive effect
- 2.8.11.2.4 Applicable procedural law and consequences
- 2.8.11.2.5 Annulment suits filed by a third party?
- 2.8.11.2.6 Court order to render new or complementary awards
- 2.8.11.2.7 Combination of annulment suit and defence against enforcement
- 2.8.11.2.8 Procedural issues
- 2.9 Chapter VI of the BAL: The Recognition and Enforcement of Foreign Arbitral Awards
- 2.9.1 Article 34
- 2.9.2 Article 35
- 2.9.3 Article 36
- 2.9.4 Article 37 BAL
- 2.9.5 Article 38
- 2.9.5.1 Wording
- 2.9.5.2 Comments
- 2.9.5.2.1 Legal nature
- 2.9.5.2.2 Incapacity
- 2.9.5.2.3 Invalidity of arbitration convention
- 2.9.5.2.4 Improper notice of defendant and violation of due process
- 2.9.5.2.5 Awards extra compromissum and ultra compromissum
- 2.9.5.2.6 Defects in the constitution of the arbitral tribunal
- 2.9.5.2.7 Non-binding awards
- 2.9.6 Article 39
- 2.9.7 Article 40
- 1 The Rise of Arbitration in Brazil
- Part 2 Specific Issues of Arbitration in Brazil
- 3 Consolidation of Arbitration by the Brazilian Courts: STF and STJ
- Preliminary Material
- 3.1 Introduction
- 3.2 The Case Law of the STJ before the Enactment of the BAL
- 3.3 The Case Law of the STJ after the Enactment of the BAL
- 3.4 The Case Law of the STJ after the Enactment of Constitutional Amendment Number 45/2004
- 3.5 Major Topics Concerning International Arbitration in the Case Law of the STJ
- 3.6 Final Remarks
- 4 Settlement Agreements and the Role of the Arbitral Tribunal
- Preliminary Material
- 4.1 Introduction
- 4.2 The Involvement of the Arbitrators in the Parties’ Settlement Efforts: Unravelling Article 21 §4 BAL
- 4.05
- 4.06
- 4.2.1 Do arbitrators have an obligatory duty to try to reconcile the parties according to the BAL?
- 4.2.2 Must the attempt of the arbitrators to reconcile the parties occur only at the start of the proceeding?
- 4.2.3 What are the limits of the role of the arbitrators in attempting to reconcile the parties?
- 4.3 Settlement Agreements and the Outcome of the Arbitration
- 4.4 Conclusion
- 5 Characteristics of Brazilian Arbitration Practice
- Preliminary Material
- 5.1 The Self-concept and Image of Brazilian Arbitrators
- 5.2 Interaction between Brazilian Courts and Arbitration
- 5.33
- 5.34
- 5.35
- 5.36
- 5.2.1 Recognition and consolidation of the Kompetenz-Kompetenz principle
- 5.2.2 Recognition of the autonomy of the arbitration agreement
- 5.2.3 Competence of the arbitral tribunal in contracts with forum choice clauses
- 5.2.4 Interim measures
- 5.2.5 Annulment of awards
- 5.2.6 Recognition of foreign awards
- 5.2.7 Interaction between Brazilian courts and other national courts
- 5.3 The Brazilian Arbitration Market
- 5.4 Current Challenges and the Future of Arbitration in Brazil
- 6 Conservatory and Interim Measures
- Preliminary Material
- 6.1 Introduction
- 6.2 The BAL Overview: before the BAL, the BAL of 1996, and Its 2015 Revision
- 6.3 Pre-Arbitral Conservatory and Urgent Measures Ordered by Brazilian Courts
- 6.4 Conservatory and Urgent Measures Ordered by Arbitral Tribunals
- 6.5 Cooperation between Arbitral Tribunals and the Courts
- 6.6 Emergency Arbitrators
- 6.7 Conclusions
- 7 Non-signatories
- Preliminary Material
- 7.1 Outline of the Topic
- 7.2 Brazilian Legal System Outlook
- 7.3 Brazil’s Stance in Relation to Arbitration Involving Non-signatories
- 7.3.1 The jurisprudence of the STJ
- 7.3.2 Implied consent by participating in the arbitral procedure
- 7.3.3 Incorporation
- 7.3.4 Implied consent by claiming under a contract or by cross-references
- 7.3.5 Implied consent by submitting counterclaims on behalf of the subsidiary company
- 7.3.6 Implied consent by playing a role in the negotiation of the contract
- 7.3.7 Piercing the corporate veil
- 7.3.8 Succession
- 7.3.9 Condominium agreements
- 7.3.10 Insurance subrogation
- 7.4 The Way Forward in the Jurisprudence of the STJ
- 7.5 Concluding Comments
- 8 The Brazilian Arbitration Institutions
- 9 International versus National Awards
- Preliminary Material
- 9.1 Introduction
- 9.2 Main Arbitration Concepts
- 9.3 STJ and the Recognition of Foreign Arbitral Awards
- 9.07
- 9.08
- 9.09
- 9.3.1 Impossibility to review the merits of foreign arbitral awards
- 9.3.2 Needlessness of rogatory letter to notify Brazilian parties
- 9.3.3 No lis pendens between concurrent actions abroad and in Brazil
- 9.3.4 Public policy and fundamental values
- 9.3.5 Award annulled at the seat of arbitration
- 9.3.6 Basic requirements on the reasoning of foreign awards
- 9.4 Conclusion
- 10 Arbitration in the Portuguese-speaking World
- 11 Project Finance, PPP, and Concession Agreements
- Preliminary Material
- 11.1 Investment Arbitration: Characteristic Features and Legal Basis
- 11.2 Project Finance
- 11.2.1 Definition, involved parties, and economic rational
- 11.2.2 Take-or-pay contracts and cross-default clauses
- 11.2.3 Impact of project finance structure on arbitration (clauses)
- 11.2.4 Critical issues and advantages of choosing arbitration in project finance
- 11.2.5 Take-or-pay contracts and contractual penalties
- 11.2.6 Piercing the corporate veil of the project company
- 11.3 Conclusions
- 12 Evidence Production and the Role of the Arbitrators
- Preliminary Material
- 12.1 Introduction
- 12.2 Preliminary Remarks
- 12.3 Documentary Evidence
- 12.4 Fact Witnesses
- 12.5 Expert Reports and Testimonies
- 12.6 Legal Expert Reports and Testimonies
- 12.7 Conclusion
- 13 Agreements between Shareholders and General Corporate Matters
- Preliminary Material
- 13.1 Introduction
- 13.2 Arbitration in Companies
- 13.3 The Extension of the Arbitration Clause to Non-signatories in a Group of Companies
- 13.4 Arbitration and Shareholders’ Agreement
- 14 Stock Corporation Arbitration
- Preliminary Material
- 14.1 Introduction
- 14.2 The Erga Omnes or Extra Partes Effect and the Foundation of Commercial Arbitration
- 14.3 Article 136–A of the Brazilian Corporation Law and Its Limits
- 14.4 Insights from Other Legal Systems
- 14.5 Attempts to Establish Shareholder Class Arbitration
- 14.6 Conclusions
- 15 Post M&A Arbitration
- Preliminary Material
- 15.1 Introduction
- 15.2 The Context of International M&A Disputes in Brazil: Tensions between Different Legal Backgrounds and between Statutory and Contractual Provisions
- 15.3 The Post-M&A Stage and Common Substantive Law Controversies under Brazilian Law
- 15.19
- 15.20
- 15.21
- 15.22
- 15.3.1 Representations and warranties
- 15.3.2 Due diligence
- 15.3.3 Knowledge qualifiers, sandbagging, and liability limitation clauses: their effects on litigation
- 15.3.4 Remedies for breach of representations and warranties
- 15.3.5 Extracontractual claims
- 15.4 Purchase Price Adjustment (PPA) Disputes
- 15.5 Non-compete Provisions
- 15.6 Procedural Issues Concerning M&A Disputes in Brazilian Arbitrations
- 15.7 Conclusion
- 16 Commercial Contracts
- Preliminary Material
- 16.1 Introduction
- 16.2 Definition of Commercial Contracts
- 16.3 Arbitral Aspects Related to Commercial Contracts
- 16.4 Arbitral Aspects Related to Two Specific Types of Commercial Contracts
- 16.5 Substantial Aspects Related to Commercial Contracts
- 16.6 Conclusions
- 17 Construction Contracts between Private Parties
- 18 Construction Contracts Involving the Public Administration
- Preliminary Material
- 18.1 Introduction
- 18.2 Structural Similarities
- 18.12
- 18.2.1 FIDIC Red Book
- 18.13
- 18.2.1.1 Risks related to foreseeable conditions lie with the contractor
- 18.2.2 Brazilian public works contracts under Law 8,666/1993
- 18.3 Different Substantial Standard
- 18.62
- 18.63
- 18.3.1 The notion of unforeseeability under the FIDIC Red Book
- 18.3.2 The notion of unforeseeability under Law 8,666 of 1993
- 18.4 Conclusion
- 19 Insolvency and Arbitration
- 20 Labour Law Arbitration
- 21 Oil and Gas Arbitration
- Preliminary Material
- 21.1 Introduction
- 21.2 The Legal Framework of the Industry and the Use of Arbitration
- 21.3 Some Cases about Arbitrability and Kompetenz-Kompetenz
- 21.4 Construction Claims
- 21.5 Corruption
- 21.6 Collective or Class Arbitration by Minority Shareholders
- 21.7 Bankruptcy and Judicial Reorganization
- 21.8 Partial Awards and Setting-aside Proceedings
- 21.9 Mediation
- 21.10 Final Remarks
- 22 Electric Energy Arbitration
- Preliminary Material
- 22.1 Introduction
- 22.2 Overview of the Brazilian Energy Market
- 22.2.1 Historical evolution and changes in the market
- 22.2.2 The 1980s and the enactment of the Brazilian Federal Constitution
- 22.2.3 The laws of 1995: the unbundling of the electric energy sector for more competitiveness and efficiency
- 22.2.4 The 21st century and the new laws
- 22.2.5 Overview of the sector’s activities based on the current Brazilian legal system
- 22.3 Arbitration in the Electric Energy Sector
- 22.47
- 22.48
- 22.49
- 22.50
- 22.51
- 22.52
- 22.3.1 The relevance of the use of arbitration in agreements involving the public administration
- 22.3.1.1 Main advantages of arbitration
- 22.3.1.2 Enactment of the Brazilian Arbitration Law—Federal Law No 9,307/96 of 23 September 1996, as amended in 2015 (BAL)
- 22.3.1.3 Issues regarding the use of arbitration in disputes involving public entities
- 22.3.2 Arbitration in the power generation and distribution sectors
- 22.85
- 22.3.2.1 Arbitration and the disputes related to the generation of energy
- 22.3.2.2 Arbitration and the energy transmission and distribution sectors
- 22.3.2.3 Arbitration and other public contracts contemplated under Law 8,666/1993 and Law 12,462/2011
- 22.3.2.4 Arbitration and the auction systems in the generation and distribution sectors of electric energy
- 22.3.2.5 Necessary adaptations to the flexibility of the arbitration procedure where public entities and administrative contracts are involved
- 22.3.3 Arbitration and the trading sector of electric energy
- 22.112
- 22.3.3.1 Legal provisions introducing specific arbitration rules in the trading sector
- 22.3.3.2 The activities of the CCEE’s Agents in the trading sector
- 22.3.3.3 The choice of the FGV Mediation and Arbitration Chamber
- 22.3.3.4 The ‘med-arb’ clause required in the Trading Agreement
- 22.3.3.5 Restrictions to the flexibility of the arbitral procedure in the trading sector, were necessary in light of the involvement of a public entity
- 22.4 Conclusion
- 3 Consolidation of Arbitration by the Brazilian Courts: STF and STJ
- Part 1 Fundaments of Arbitration in Brazil
- Further Material
- Appendix Translation of the Brazilian Arbitration Law of 1996 as Amended in 2015
- Chapter 1 of the BAL: General Provisions
- Chapter 2 of the BAL: The Arbitration Agreement and Its Effects
- Chapter III: About the Arbitrators
- Chapter IV: Arbitral Proceedings
- Chapter IV–A: Interim and Urgent Measures
- Chapter IV–B: The Arbitration Letter
- Chapter V: The Arbitral Award
- Chapter VI: The Recognition and Enforcement of Foreign Arbitral Awards
- Bibliography
- Index
- Appendix Translation of the Brazilian Arbitration Law of 1996 as Amended in 2015
- [3.80.4.147]
- 3.80.4.147
