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Copyright © International Chamber of Commerce (ICC). All rights reserved. ( Source of the document: ICC Digital Library )
A. The Contracting State and the New York Convention
1. Name of Contracting State (also specify jurisdiction(s), if relevant)
Sweden.
2. Date of entry into force of the New York Convention
27 April 1972.
(Source: Ratification of the Convention on 28 Jan. 1972.)
3. Has any reservation been made under Art. I(3) of the New York Convention regarding:
(a) reciprocity
No.
(b) commercial relationships
4. In addition to arbitral awards made in the territory of another State, the New York Convention (Art. I(1)) also applies to arbitral awards not considered as domestic awards in the State where recognition and enforcement are sought. Are there any awards rendered in your country that are not considered as domestic awards such that the New York Convention and the answers to this Questionnaire are applicable to them?
No. Under Swedish law, an award is considered to be either foreign or domestic based solely on territoriality. Neither the nationality of the parties, the applicable law or any other factor has any importance. An award is deemed to have been made in the country in which the place of the arbitration is situated. If the place of the arbitration is in Sweden, the award is Swedish, i.e. domestic. If the place of the arbitration is in another State, the award is foreign.
(Source: Swedish Arbitration Law, s. 52.)
B. National sources of law
5. What specific sources of law are applicable to recognition and enforcement of foreign awards (e.g. statutes, regulations, codes, directives, other legal instruments)?
Principal source: 1999 Swedish Arbitration Law (lagen om skiljeförfarande SFS 1999:116) ss. 52-60, which incorporates the New York Convention ('SAL').
Additional sources: (i) Code of Judicial Procedure (SFS 1942:740); (ii) Enforcement Code (SFS 1981:774); (iii) Secrecy Law (SFS 1980:100); (iv) case law.
C. Limitation periods (time limits)
6.
(a) Is there a limitation period (time limit) applicable to the commencement of legal proceedings for recognition and enforcement of foreign awards?
(b) If yes, what is the applicable limitation period (time limit) and when does it start running?
Not applicable.
D. National courts and court proceedings
7. What authority or court has jurisdiction over recognition and enforcement of foreign awards?
An application for enforcement and recognition of a foreign arbitral award shall be made to the Svea Court of Appeal (Svea hovrätt) in Stockholm.
(Source: SAL, ss. 56 and 59.)
8. What requirements, if any, must be met for the authority or court to accept jurisdiction over recognition and enforcement of foreign awards (e.g. domicile or assets of respondent in the jurisdiction, etc.)?
There are no jurisdictional requirements.
9. Is the first decision granting or denying recognition and enforcement obtained through ex parte or inter partes proceedings?
The decision is obtained through inter partes proceedings. An application for enforcement may not be granted unless the other party has been afforded an opportunity to express its opinion on the application.
(Source: SAL, s. 57)
10.
(a) Is the first decision granting or denying recognition and enforcement subject to any form of appeal or recourse?
Yes., decisions of the Svea Court of Appeal may be appealed to the Supreme Court. An appeal shall be made within 4 weeks.
(Sources: SAL, s. 59; Code of Judicial Procedure, Ch. 54 s. 3 and Ch. 56 s. 1.)
(b) How many levels of appeal or recourse are available against this decision?
One.
11. What is the earliest stage in legal proceedings for enforcement of foreign arbitral awards at which a party can obtain execution against assets (i.e. party actually obtains possession of assets as opposed to simply freezing assets)?
If the Svea Court of Appeal grants an application for recognition and enforcement of a foreign award, the award is immediately enforceable as a final Swedish court judgement, unless the Supreme Court on appeal orders a stay of execution.
On the basis of the judgment, the winning party may file an application for execution with the enforcement authority (Kronofogdemyndigheten), provided the other party has assets in Sweden.
(Sources: SAL, s. 59; Enforcement Code, Ch. 3 s. 3.)
E. Evidence required
12.
(a) What evidence must be supplied for recognition and enforcement of foreign awards (e.g. arbitral award, contract containing arbitration clause, affidavits, witness statements, etc.)?
The arbitral award must be supplied. If the opposing party denies the existence of an arbitration agreement, the applicant must also provide the arbitration agreement or otherwise prove that an arbitration agreement has been entered into. In this context it should be noted that oral arbitration agreements are recognized in Sweden.
(Source: SAL, ss. 56, 58.)
(b) Is it necessary to provide the entire document or only certain parts (e.g. entire contract or only arbitration clause)?
The entire arbitration award must be provided. The same applies to a written arbitration agreement, where such a document exists and is required to be provided.
(Source: SAL, s. 56.)
(c) Are originals or duly certified copies required?
Either originals or duly certified copies are required.
(d) How many originals or duly certified copies are required?
One original or one duly certified copy of the document(s) in question is required.
(e) Does the authority or court keep the originals that are filed?
Yes. However, upon request, the court will return originals to the parties that filed them.
13.
(a) Is it necessary to provide a translation of the documents supplied?
Yes, unless the court decides otherwise. As a matter of practice, documents in Danish, Norwegian and English are rarely required to be translated.
(b) If yes, into what language?
Where translations are required, documents shall be translated into Swedish.
(c) Is it necessary for the translations to be certified and, if yes, by whom (official or sworn translator, diplomatic or consular agent (of which country?) or some other person)?
Yes, translations must be certified.
The SAL does not mention any requirements as to who shall certify the relevant documents. In practice, the court requires the translation to be performed and certified by an authorized translator.
(d) Is it necessary to provide a full translation of the documents or only a translation of certain parts (e.g. entire award or only part setting forth the decisions; entire contract or only arbitration clause)?
Full translations of the award, and, if applicable, the arbitration agreement, must be provided.
It is not necessary to provide a translation of the entire contract containing the arbitration agreement.
F. Stay of enforcement
14.
(a) Can the authority or court stay legal proceedings for recognition and enforcement pending the outcome of an application to set aside or suspend the foreign award before the competent authority referred to in Art. V(1)(e) of the New York Convention?
Yes, the court may stay the proceedings if the other party objects that a petition to set aside the award has been lodged or a motion for a stay of execution has been made.
(Source: SAL, s. 58.)
The Supreme Court has dealt with this issue in two cases and has adopted a rather restrictive approach concerning the granting of a stay of execution of a foreign arbitral award.
(Sources: Götaverken Arendal Aktiebolag v. General National Maritime Transport Company (NJA 1979 p. 527); Fornedo Cresco Finans A.S. v. Datema AB (NJA 1992 p. 733).)
(b) On what other grounds, if any, can the authority or court stay legal proceedings for recognition and enforcement (e.g. forum non conveniens)?
The SAL does not provide any other grounds for a stay of the proceedings.
(c) Is the granting of a stay of legal proceedings for recognition and enforcement conditional on the provision of security?
No. However, the court may, at the applicant's request, order the opposing party to provide reasonable security, in default of which enforcement might otherwise be ordered.
(Source: SAL, s. 58(2).)
G. Confidentiality
15.
(a) Do the documents filed in legal proceedings for recognition and enforcement form part of the public record? If yes, can any steps be taken to preserve the confidentiality of such documents?
Yes. However, certain information contained in the documents filed may be subject to publicity restrictions imposed by the Swedish Secrecy Law (e.g. information about a party's business or management conditions shall remain secret if it can be assumed that disclosure would result in considerable loss for that party).
(Source: Secrecy Law, Ch. 8, s. 17.)
(b) If there are hearings on recognition and enforcement, are such hearings confidential? If not, can steps be taken to maintain the confidentiality of the legal proceedings?
Normally, there are no hearings on recognition and enforcement, whether at first instance or on appeal.
Should a hearing take place, general Swedish rules on judicial procedure apply. The primary rule is that court hearings are open to the public. However, a party may request closed hearings. The court may accept such request if a party demonstrates that information to which secrecy applies under the Swedish Secrecy Law will be presented and that it is of utmost importance to avoid public disclosure of such information.
(Sources: Code of Judicial Procedure, Ch. 5, s. 1; Secrecy Law, Ch. 8, s. 17.)
(c) Are judgments on recognition and enforcement published? If yes, can steps be taken to remove the names of the parties or avoid publication of confidential information (such as business or State secrets)?
Judgments on recognition and enforcement are published. In order to protect confidential information in the judgment, a party can request the court to remove the names of the parties and/or confidential information. In practice, however, courts rarely grant such orders, unless the information concerned is subject to the disclosure restrictions set out in the Secrecy Law.
(Source: Secrecy Law.)
H. Other issues
16. When, if ever, can a party obtain recognition and enforcement of interim or partial foreign awards?
The SAL does not contain any provisions specifically addressing the recognition and enforcement of interim or partial awards. All that is required for an award to be recognized and enforced is that the award must be binding on the parties. There is no requirement that the award be final, and both partial and interim awards may thus be recognized and enforced.
(Source: SAL, s. 54.)
17. When, if ever, can a party obtain recognition and enforcement of non-monetary relief in foreign arbitral awards (e.g. order requiring a party to deliver up share certificates or other property)?
It is entirely possible for the court to recognize and declare enforceable an award granting non-monetary relief.
18. When, if ever, can a party obtain recognition and enforcement of only part of the relief granted in foreign awards?
If an award contains decisions that are determined to be beyond the scope of the arbitration agreement as well as decisions that fall within the scope of the arbitration agreement, and provided they can be separated, it is possible to obtain recognition and enforcement of only the part of the award considered by the court to be valid.
19. When, if ever, can a party obtain recognition and enforcement of foreign awards which have been set aside by the competent authority referred to in Art. V(1)(e) of the New York Convention?
A foreign arbitral award which has been set aside by a court in the country where it was rendered may not be enforced in Sweden.
20. Are there any other procedural or practical requirements relating to recognition and enforcement of foreign awards which are worth mentioning (e.g. unusually high court costs, filing fees, stamp duties, obligation to post security as a condition for seeking recognition and enforcement, obligation to identify the assets that will be the object of enforcement, etc.)?
Country Rapporteur: Karl Johan Dhunér.
Other contributors: Cecilia Möller, Mattias Rosengren.