In Brazil, Federal Law nº 9.307/96, recently reformed in 2015 through Law nº 13.129/15 (Brazilian Arbitration Law), and Federal Decree nº 10.025/19 are applied to arbitration. 

Brazil has ratified the New York Convention in 2002 without any reservations. 

Brazil is a party to the Geneva Protocol on Arbitration Clauses, the United Nations Convention on Contracts for the International Sale of Goods, the Inter-American Convention on International Commercial Arbitration, the Inter-American Convention on Extraterritorial Validity of Foreign Judgments and Arbitral Awards, and MERCOSUR Agreement on International Commercial Arbitration. 

Brazilian Arbitration Law [BAL] is inspired by the UNCITRAL Model Law. As for the differences between both laws, it is mentioned that: (i) the UNCITRAL Model Law is applied to all commercial and contractual relations, while BAL is applied to resolve conflicts regarding freely transferable property rights; (ii) Brazilian Arbitration Law does not regulate international arbitration, whereas the UNCITRAL Model Law regulates it; (iii) the UNCITRAL Model Law allows the parties, even during arbitration, to resort directly to state jurisdiction to obtain interim relief, whereas BAL only allows parties to resort to the judiciary to obtain interim relief before the establishment of arbitration, and (iv) differences regarding the validity requirements of the arbitral commitment. 

No.

There are many arbitral institutions in Brazil, among the most common are Centro de Arbitragem da Câmara de Coméricio Brasil Canadá [CAM/CCBC]; the Conciliation and Arbitration Chamber of Fundação Getúlio Vargas [FGV]; Câmara de Conciliação, Mediação e Arbitragem FIESP/CIESP; Câmara de Mediação e Arbitragem Empresarial [CAMARB], Centro de Arbitragem e Mediação AMCHAM [AMCHAM] and Brazil International Chamber of Commerce [ICC]. Their rules were last changed in 2012, 2016, 2013, 2019, and 2017 respectively. Changes in ICC rules are being considered. 

Yes, in the states of São Paulo and Rio de Janeiro. 

For an arbitration agreement to be valid in Brazil, arbitration must be used to resolve conflicts involving freely transferable property rights. The arbitration agreement must be in writing, signed by the parties, and contain the requirements of the BAL (article 10). 

Yes.

Yes. 

In Brazil, there is no legal provision regarding multi-party or multi-contract arbitration, but neither are there any obstacles to its institution. 

BAL does not provide specific rules regarding the effects of an arbitration agreement on third parties. Court decisions consider that third parties or non-signatories cannot be bound by an arbitration agreement, therefore they cannot be compelled to participate in an arbitration proceeding of which there is no consent. 

Disputes related to unavailable property rights are considered non-arbitrable. There was no evolution in recent years in this regard. 

No, the BAL (article 2) provides that the parties may agree that the arbitration shall be conducted under general principles of law, customs and the rules of international trade.  

Yes, the courts have applied the UNIDROIT or any other transnational principles as the substantive law in Brazil, when the parties agree that the arbitration shall be conducted under general principles of law, customs, and the rules of international trade. 

According to the BAL, arbitrator cannot be somehow linked to the parties or to the submitted dispute. 

Any individual with legal capacity, who is trusted by the parties, may serve as arbitrator. 

Yes, the BAL provides that if there is an arbitration clause and there is objection for the commencement of arbitration by the respondent, the local court can draw up the submission agreement and nominate sole arbitrator (article 7). Also, when the parties appoint an even number of arbitrators, local court can appoint an arbitrator (article 13).  

Yes, if the arbitrators somehow are linked to the parties or to the submitted dispute. According to BAL (article 13), the party who intends to challenge the arbitrator shall present a motion directly to the arbitrator or to the chairman of the arbitral tribunal. 

No.

According to BAL (article 16), in cases of a truncated tribunal, the alternate indicated in the arbitration agreement, if any, will assume their position. If no substitute has been appointed, the rules of the arbitral institution or specialized entity shall apply.  

No, according to article 17 of the BAL, by performing their service, or as a result thereof, the arbitrators shall be considered comparable to public officials for the purpose of criminal law.  

Yes.

According to BAL, the arbitrator has jurisdiction to decide issues concerning the effectiveness of the arbitration agreement. If one of the parties submitted a judicial suit in breach of the agreement, the arbitral rights are considered waived only if both parties agree. 

According to BAL, arbitral proceedings commence when the arbitrators accept their appointment (article 19).

Limitation periods and time bars are not established by the BAL and are regulated by the substantive law of the litigation matter. When the arbitral proceeding is commenced, statue of limitation is tolled and its effects retroact to the date of the filling of the request for arbitration.

Brazil is a party to the Convention on the Privileges and Immunities of the United Nations and, therefore, when a state consent to arbitration clauses it waives its immunity. Considering there is no specific legislation on jurisdictional immunity, except the convention mentioned, the matter is evaluated on a case-by-case basis. 

The BAL provides that the claimant can file a specific lawsuit to enforce the respondent to participate in the arbitration. If the resistance persists, the local court shall determine the contents of the submission agreement and appoint a sole arbitrator (article 7). In despite of that, the local court cannot compel the respondent to participate in arbitration. 

There is no specific law that regulates non signatory third parties joining arbitration proceedings, and the decision to allow the intervention is determined on a case-by-case basis by the arbitral tribunal. If all parties agree to the intervention, the tribunal is not bound by the agreement, but in most cases is declined to accept.

Due to the substantive law applied in each case, in certain circumstances non-signatories to the arbitration agreement can be bound by the arbitral award if there is consent.

No.

Local courts can issue interim measures related to urgent matters regarding the subject of the arbitration, according to BAL (article 22-A), except in cases on which the parties had previously agreed on using an emergency arbitrator relief. 

No.

The BAL estates that the arbitral tribunal can rule on the evidence production, either by parties’ request or ex officio (article 22). If there is resistance, arbitrators can ask local courts to compel the participation of the witnesses upon evidence of the existence of an arbitration agreement.

The Brazilian Bar Association has a code of ethics applicable to all the lawyers in the country, and it is applied to counsels conducting proceedings.  

Regarding arbitrators, the BAL establishes that the arbitrator shall proceed with impartiality, independence, competence, diligence, and discretion (article 13), and demands the disclosure of information that may affect those qualities (article 14). Most of the arbitral institutions provides ethical standards codes on which arbitrators must abide. 

There are no laws regarding the confidentiality of arbitration proceedings, although most of the proceedings are confidential. A great number of the arbitral institutions provide rules regarding confidentiality and are applicable unless the parties expressly agree on the contrary, or if one of the parties belongs to the public administration. 

Each arbitral institution estimates the costs allocated to the litigation. According to BAL, the arbitral award shall decide on the duties of the party in relation to the reimbursement of the costs and expenses of the arbitration. Regarding conflicts involving the public administration, there are specific laws that determine how costs are estimated. 

Yes, but it depends on the arbitration agreement and the applicable substantive law. 

According to BAL, the award must be in writing and contain: (a) a report including the names of the parties and a summary of the dispute; (b) the grounds of the decision; (c) the dispositive by which the arbitrators resolve the matter, and must establish a time limit for the compliance with the decision; (d) date and place where the award is rendered; and (e) the signature of the arbitrators.

In domestic arbitration, the award is automatically recognized and enforceable. In international arbitration, the timeframe for the homologation by the Superior Court of Justice is from 9 to 18 months.

The law does not regulate on the possibility of an ex parte request a motion for recognition and enforcement of an award.

Any foreign arbitral award is only recognised and enforced in Brazil if previously subjected to homologation by the Superior Court of Justice, differently than domestic awards, wich are automatically enforced and recognized. 

No.

Awards cannot be appealed or challenged in local courts, with exception to nullity cases, set by the following circumstances: if (a) the arbitration agreement is null; if the award (b) was granted by an individual who could not serve as an arbitrator; (c) did not comply with the legal requirements; (d) exceeded the limits of the arbitration agreement; (e) failed to resolve the dispute; (f) was granted through unfaithfulness, extortion or corruption; (g) was rendered after the expiration of the time limit; and (h) did not comply to article 21, paragraph 2 of the BAL.  

In Brazil is not permitted to appeal or challenge an award, except in cases of nullity, on which the parties cannot waive their rights to request a declaration of nullity.

In Brazil, enforcement immunity is deemed absolute. 

The arbitral award can only produce its effects to the parties of the dispute and, third parties cannot challenge the recognition of an award. 

Yes, party funding is used in arbitration proceedings in Brazil.  

It is available but depends on if the arbitral institutions rules allows it. It is not frequently used. 

Yes, such as ICC, AMCHAM and CAM-CCBC. It is not frequently used. 

Yes. Some arbitral institutions (CAM-CCBC and CCI) disclose information such as the names of the arbitrators and their nationality, the arbitrators role within a tribunal, how they were appointment, and if the proceeding is active or not. 

Not regularly. 

No.

Not that we are aware of.

No.

No.

No.

Arbitral institutions have suspended all physical protocols. Now, the filling of documents, request for arbitration and mediation proceedings are online (by email or other electronic tools, such as SharePoint). Also, hearings are remote. 

No.

No.

No.