1 Introduction
1.1 Background
Do exame das legislações mais modernas versando sobre arbitragem, pode-se notar também uma tendência em mitigar as exigências formais da cláusula compromissória em prol da sua adequação às novas tecnologias e necessidades do comércio internacional. Foram escolhidas 11 legislações tratando dessa matéria editadas posteriormente a 2010 (com exceção da legislação inglesa, que, por sua importância no contexto da arbitragem comercial internacional, também faz parte da pesquisa).
Destaco, inicialmente, a reforma de 2011 do Código de Processo de Civil francês na parte que trata dos requisitos de forma da cláusula compromissória inserida nos contratos comerciais internacionais. O art. 1507 do diploma processual dispõe que o acordo de arbitragem não está sujeito a nenhum requisito de forma114, bastando que seja possível concluir que as partes concordaram arbitrar seus litígios.
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Selecionei 11 (onze) legislações para discutir os aspectos formais da cláusula compromissória: Inglaterra, Espanha, Suíça, singapura, Irlanda Austrália, Hong Kong, Escócia e Bélgica. Com exceção da Inglaterra e da Espanha, que foram escolhidas por serem centros importantes na arbitragem commercial internacional, todas as demais legislações foram editadas posteriormente à 2010.
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FRANÇA. Code de procedure civile. Disponível em: <www.kluwerarbitration.com>. Acesso em: 16 jan. 2014.
Destaco depois a Lei Inglesa de 1996115. Apesar de antiga (do mesmo ano que a LA), reputa-se como sendo das mais liberais. Há tantas exceções à exigência de que a convenção de arbitragem esteja por escrito que a lei praticamente aboliu-se este requerimento. Desde que esteja registrado por qualquer forma que permita o acesso posterior, o acordo de arbitragem não está sujeito a nenhum requisito de forma adicional. Além disto, admite-se a cláusula compromissória incorporada por referência e a cláusula compromissória tácita. A Lei de Arbitragem Singapura de 2012116 contém definição muito parecida com a da Lei Inglesa, inovando apenas no que faz menção explícita à aceitação dos meios de comunicação eletrônicos.
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“5. Agreements to be in writing.(1)The provisions of this Part apply only where the arbitration agreement is in writing, and any other agreement between the parties as to any matter is effective for the purposes of this Part only if in writing.
The expressions “agreement”, “agree” and “agreed” shall be construed accordingly. (2)There is an agreement in writing—
(a)if the agreement is made in writing (whether or not it is signed by the parties), (b)if the agreement is made by exchange of communications in writing, or (c)if the agreement is evidenced in writing.
(3)Where parties agree otherwise than in writing by reference to terms which are in writing, they make an agreement in writing.
(4)An agreement is evidenced in writing if an agreement made otherwise than in writing is recorded by one of the parties, or by a third party, with the authority of the parties to the agreement.
(5)An exchange of written submissions in arbitral or legal proceedings in which the existence of an agreement otherwise than in writing is alleged by one party against another party and not denied by the other party in his response constitutes as between those parties an agreement in writing to the effect alleged.
(6)References in this Part to anything being written or in writing include its being recorded by any means.” INGLATERRA. Arbitration Act 1996. Disponível em: <www.kluwerarbitration.com>. Acesso em: 16 jan. 2014.
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“Definition and form of arbitration agreement
(1) In this Act, “arbitration agreement” means an agreement by the parties to submit to arbitration all or certain disputes which have arisen or which may arise between them in respect of a defined legal relationship, whether contractual or not.
(2) An arbitration agreement may be in the form of an arbitration clause in a contract or in the form of a separate agreement.
(3) An arbitration agreement shall be in writing.
(4) An arbitration agreement is in writing if its content is recorded in any form, whether or not the arbitration agreement or contract has been concluded orally, by conduct or by other means.
(5) The requirement that an arbitration agreement shall be in writing is satisfied by an electronic communication if the information contained therein is accessible so as to be useable for subsequent reference.
(6) Where in any arbitral or legal proceedings, a party asserts the existence of an arbitration agreement in a pleading, statement of case or any other document in circumstances in which the assertion calls for a reply and the assertion is not denied, there shall be deemed to be an effective arbitration agreement as between the parties to the proceedings.
(7) A reference in a contract to any document containing an arbitration clause shall constitute an arbitration agreement in writing if the reference is such as to make that clause part of the contract. (8) A reference in a bill of lading to a charterparty or other document containing an arbitration clause shall constitute an arbitration agreement in writing if the reference is such as to make that clause part of the bill of lading.
(9) Article 7 of the Model Law shall not apply to this section. (10) In this section
Destaco também as legislações Espanhola de 2003117, e Suíça de 1987 (com modificações de 2013118), que prescrevem que a cláusula compromissória será reputada válida se estiver de acordo com a lei eleita pelas partes, com a lei de fundo do contrato ou ainda com a lei espanhola/suíça. Trata-se de expressão do princípio favor validatis.
As Leis de Arbitragem da Irlanda de 2011119, Austrália de 2011120 e Hong Kong de 2011121 seguiram a orientação contida na Opção 1 da Lei Modelo de Arbitragem
“data message” means information generated, sent, received or stored by electronic, magnetic, optical or similar means, including, but not limited to, electronic data interchange (EDI), electronic mail, telegram, telex or telecopy;
“electronic communication” means any communication that the parties make by means of data messages.” SINGAPURA. International Arbitration Act. Disponível em: <www.kluwerarbitration.com>. Acesso em: 16 jan. 2014.
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“Artículo 9. Forma y contenido del convenio arbitral.
1. El convenio arbitral, que podrá adoptar la forma de cláusula incorporada a un contrato o de acuerdo independiente, deberá expresar la voluntad de las partes de someter a arbitraje todas o algunas de las controvérsias que hayan surgido o puedan surgir respecto de una determinada relación jurídica, contractual o no contractual.
2. Si el convenio arbitral está contenido en un contrato de adhesión, la validez de dicho convenio y su interpretación se regirán por lo dispuesto en las normas aplicables a ese tipo de contrato.
3. El convenio arbitral deberá constar por escrito, en un documento firmado por las partes o en un intercambio de cartas, telegramas, télex, fax u otros médios de telecomunicación que dejen constancia del acuerdo. Se considerará cumplido este requisito cuando el convenio arbitral conste y sea accesible para su ulterior consulta en soporte electrónico, óptico o de otro tipo.
4. Se considerará incorporado al acuerdo entre las partes el convenio arbitral que conste en un documento al que éstas se hayan remitido en cualquiera de las formas establecidas en el apartado anterior.
5. Se considerará que hay convenio arbitral cuando en un intercambio de escritos de demanda y contestación su existencia sea afirmada por una parte y no negada por la otra.
6. Cuando el arbitraje fuere internacional, el convenio arbitral será válido y la controversia será susceptible de arbitraje si cumplen los requisitos estabelecidos por las normas jurídicas elegidas por las partes para regir el convenio arbitral, o por las normas jurídicas aplicables al fondo de la controversia, o por el derecho español.” ESPANHA. Ley 60/2003 de 23 de diciembre, de Arbitraje. Disponível em: <www.kluwerarbitration.com>. Acesso em: 16 jan. 2014.
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“1. As regards its form, the arbitration agreement shall be valid if made in writing, by telegram, telex, telecopier or any other means of communication which permits it to be evidenced by a text. 2. As regards its substance, the arbitration agreement shall be valid if it conforms either to the law chosen by the parties, or to the law governing the subject-matter of the dispute, in particular the law governing the main contract, or if it conforms to Swiss law.
3. The validity of an arbitration agreement cannot be contested on the ground that the main contract is not valid or that the arbitration agreement concerns a dispute which has not yet arisen.” SUÍÇA. Federal Statute on Private International Law. Disponível em: <www.kluwerarbitration.com>. Acesso em: 16 jan. 2014.
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“6. Subject to this Act, the Model Law shall have the force of law in the State and shall apply to arbitrations under arbitration agreements concerning:
(a) international commercial arbitrations, or
(b) arbitrations which are not international commercial arbitrations. IRLANDA. Arbitration Act 2010. Disponível em: <www.kluwerarbitration.com>. Acesso em: 16 jan. 2014.
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“Division 2—Model Law 16 Model Law to have force of law
da UNCITRAL. Isso quer dizer que estas respectivas legislações ainda mantém a exigência de que a cláusula compromissória esteja por escrito, mas alargam o seu campo de aplicação vastamente. Em posição parecida com a da Lei Inglesa, desde que esteja registrado por qualquer forma que permita o acesso posterior, o acordo de arbitragem não está sujeito a nenhum requisito de forma adicional, admitindo-se também a cláusula compromissória incorporada por referência e a cláusula compromissória tácita.
Por fim, cito ainda as Leis de Arbitragem da Escócia de 2010122 e Bélgica de 2013123, que aboliram por completo a exigência de que a cláusula compromissória
(1) Subject to this Part, the Model Law has the force of law in Australia. (2) In the Model Law:
arbitration agreement has the meaning given in Option 1 of Article 7 of the Model Law. State means Australia (including the external Territories) and any foreign country.
this State means Australia (including the external Territories).” AUSTRÁLIA. International Arbitration Act 1974, as amended in 2011. Disponível em: <www.kluwerarbitration.com>. Acesso em: 16 jan. 2014.
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(1) Option I of Article 7 of the UNCITRAL Model Law, the text of which is set out below, has effect Option I
Article 7. Definition and form of arbitration agreement
(1) “Arbitration agreement”is an agreement by the parties to submit to arbitration all or certain disputes which have arisen or which may arise betweenthem in respect of a defined legal relationship, whether contractual or not. An arbitration agreement may be in the form of an arbitration clause in a contract or in the form of a separate agreement.
(2) The arbitration agreement shall be in writing.
(3) An arbitration agreement is in writing if its content is recorded in any form, whether or not the arbitration agreement or contract has been concluded orally, by conduct, or by other means.
(4) The requirement that an arbitration agreement be in writing is met by an electronic communication if the information contained therein is accessible so as to be useable for subsequent reference;
“electronic communication”means any communication that the parties make by means of data messages;
“data message”means information generated, sent, received or stored by electronic, magnetic, optical or similar means, including, but not limited to, electronic data interchange (EDI), electronic mail, telegram, telex or telecopy.
(5) Furthermore, an arbitration agreement is in writing if it is contained in an exchange of statements of claim and defence in which the existence of an agreement is alleged by one party and not denied by the other.
(6) The reference in a contract to any documentcontaining an arbitration clause constitutes an arbitration agreement in writing, provided that the reference is such as to make that clause part of the contract.”
(2) Without affecting subsection (1), an arbitration agreement is in writing if
(a) the agreement is in a document, whether or not the document is signed by the parties to the agreement; or
(b) the agreement, although made otherwise than in writing, is recorded by one of the parties to the agreement, or by a third party, with the authority of each of the parties to the agreement.
(3) A reference in an agreement to a written form of arbitration clause constitutes an arbitration agreement if the reference is such as to make that clause part of the agreement.” HONG KONG. Ordinance nº 609/2011. Disponível em: <www.kluwerarbitration.com>. Acesso em: 16 jan. 2014. 122
deve estar por escrito. Alegadamente, nestes países vale até a cláusula compromissória oral.
3.4. Debates sobre os Aspectos Formais da Cláusula Compromissória na