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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)
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 Article I(3) of the New York Convention regarding:
(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 is 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. An award made abroad is considered foreign. An award is deemed to have been made in the country in which the agreed place of the arbitration is situated. By analogy, an award is Swedish and domestic only if it is made in Sweden. Hence, the division between foreign and Swedish awards is based on territoriality.
(Source: Swedish Arbitration Act, 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)?
(i) Swedish Arbitration Act of 1999 (lagen om skiljeförfarande SFS 1999:116), ss. 52(60, which incorporates the New York Convention (SAA).
Additional Swedish sources of general relevance to procedure and enforcement:
(ii) Code of Judicial Procedure (SFS 1942:740);
(iii) Enforcement Code (SFS 1981:774);
(iv) Secrecy Act (SFS 1980:100);
(vi) court decisions.
C. Limitation periods (time limits)
(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?
D. National courts and court proceedings
7. What authority or court has jurisdiction over recognition and enforcement of foreign awards?
1. An application for recognition and enforcement of a foreign arbitral award shall be made to the Svea Court of Appeal (Svea hovrätt) in Stockholm.
(Source: SAA, ss. 56, 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 the 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 opposing party has been afforded an opportunity to express its opinion on the application.
(Source: SAA, s. 57.)
(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, within four weeks, to the Supreme Court (Högsta domstolen).
(Sources: SAA, s. 59; Code of Judicial Procedure, ch. 54 s. 3, ch. 56 s. 1.)
(b) How many levels of appeal or recourse are available against this decision?
11. What is the earliest stage in legal proceedings for enforcement of foreign arbitral awards at which a party can obtain execution against 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 judgment, unless the Supreme Court orders a stay of execution. The judgment is a title of execution and the winning party may file an application for execution with the Enforcement Authority (Kronofogdemyndigheten), provided the other party has assets in Sweden.
(Sources: SAA, s. 59; Enforcement Code, ch. 3 s. 3.)
E. Evidence required
(a) What evidence must be supplied for recognition and enforcement of foreign awards (e.g. the arbitral award, the contract containing the 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 regard it should be noted that oral arbitration agreements are recognized in Sweden.
(Source: SAA, ss. 56, 58.)
(b) Is it necessary to provide the entire document or only certain parts (e.g. the entire contract or only the arbitration clause)?
The entire arbitration award must be provided.
(Source: SAA, s. 56.)
(c) Are originals or duly certified copies required?
The original award or a certified copy is required and, if need be (see above), the original or a certified copy of the arbitration agreement.
(d) How many originals or duly certified copies are required?
One original or one certified copy of the arbitral award is required and, if need be (see above), one original or one certified copy of the arbitration agreement.
(e) Does the authority or court keep the originals that are filed?
Yes. Upon request, the court will return the original to the party that filed it.
(a) Is it necessary to provide a translation of the documents supplied?
Unless the court decides otherwise, a certified translation of the required documents shall be appended to the application. As a matter of practice, translations of documents in Danish, Norwegian and English are rarely required.
(b) If yes, into what language?
The Svea Court of Appeal is also the court with which applications for enforcements of foreign judgments under the Brussels I Regulation are filed and which are subject to similar translation requirements. In 2011, the Swedish Supreme Court upheld a decision of the Svea Court of Appeal refusing enforcement of an Austrian judgment written in German, which the applicant left untranslated despite being ordered by the court to provide a translation. Similar treatment can be expected for foreign arbitral awards.
(Source: Pamer GmbH/GWBCase Ö 5970-09 9, 9 June 2011.)
(c) Is it necessary for the translations to be certified and, if yes, by whom (by an official or sworn translator or by a diplomatic or consular agent (of which country?) or by some other person)?
Yes. The translation must be certified.
The SAA does not set forth any requirements for certification. In practice, the court requires the translation to be done 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. the entire award or only the part setting forth the decisions; the entire contract or only the arbitration clause)?
A translation of the entire award and, if need be (see above), the arbitration agreement must be provided. There is no need for the applicant to provide a translation of the entire contract containing the arbitration agreement.
F. Stay of enforcement
(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 opposing 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: SAA, s. 58.)
The Supreme Court has ruled on this issue in two cases and has adopted a rather restrictive approach to granting 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)?
(c) Is the granting of a stay of legal proceedings for recognition and enforcement conditional on the provision of security?
No. However, at the applicant's request, the court may order the other party to provide reasonable security, failing which enforcement might otherwise be ordered.
(Source: SAA, s. 58(2).)
(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 in the documents filed may be subject to limitations on publicity imposed by the Swedish Secrecy Act. For example, information about a party's business or management conditions will be kept secret if it can be assumed that its disclosure would cause that party considerable loss.
(Source: Secrecy Act, 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.
If a hearing does take place, general Swedish rules on judicial procedure would apply. As a rule, court hearings are open to the public. However, a party may request closed hearings. The court may accede to such a request if information qualifying for protection under the Swedish Secrecy Act will be presented and it is very important to the requesting party that such information should not be disclosed.
(Sources: Code of Judicial Procedure, ch. 5 s.1; Secrecy Act, 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 secrets or State secrets)?
Judgments on recognition and enforcement are public documents. To protect confidential information in the judgment, a party can request the court to remove the names of the parties or not to publish confidential information. In practice, courts rarely accede to such requests, unless the information is subject to the disclosure limitations set out in the Secrecy Act.
(Source: Secrecy Act.)
H. Other issues
16. When, if ever, can a party obtain recognition and enforcement of interim or partial foreign awards?
The SAA does not contain any provisions specifically dealing with the recognition and enforcement of interim or partial awards. As regards the status of the award, it is merely stated that the foreign award must be binding on the parties.
(Source: SAA, s. 54.)
17. When, if ever, can a party obtain recognition and enforcement of non-monetary relief in foreign arbitral awards (e.g. an order requiring a party to deliver up share certificates or other property)?
It is possible for the court to recognize and declare enforceable an award relating to 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 the award contains both decisions beyond the scope of the arbitration agreement and a decision which falls within the scope of the arbitration agreement, and provided the decision falling within the mandate can be separated, that part of the award may be recognized and enforced.
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.)?
Karl Johan Dhunér