The impact of public policy on commercial arbitration in vietnam

MINISTRY OF EDUCATION AND TRAINING FOREIGN TRADE UNIVERSITY MASTER THE THE IMPACT COMMERCIAL OF PUBLIC POLICY ON ARBITRATION IN VIETNAM Major: International Economics Specialisation: International Trade Policy and Law Code: 821111 Full name: Cao Hong Tam Supervisor: Dr Ha Cong Anh Bao Hanoi, 2023 STATEMENT OF ORIGINAL AUTHORSHIP Thereby declare that this master’s thesis was exclusively conducted on my own and that all data indicated in the thesis is clear, accurate, and collected from reliable sources of information In addition, hereby assure that all of the supports in the process of implementation cited in the master’s thesis have been rightfully specified as sources Author Cao Hong Tam ii ACKNOWLEGEMENTS I would like to express my sincere gratitude to Dr Ha Cong Anh Bao, supervisor, for his invaluable guidance and expertise throughout this research insightful feedback and constructive criticism have been instrumental in shaping direction and quality of this thesis I would also like to thank my mother, whose love, encouragement, unwavering belief in my abilities have been a constant source of motivation strength my His the and and Iam indebted to my family and friends for their continuous encouragement Their support has been a constant source of motivation I would like to express my thankfulness to the Foreign Trade University and the Faculty of Graduate Studies for providing a conducive academic environment and resources for my research Lastly, I extend my appreciation to the authors, researchers, and scholars whose works have contributed to the field of international commercial arbitration and public policy Their dedication to research and their insightful contributions have served as inspiration and a valuable resource for this thesis Thank you all for your contributions and support iii TABLE OF CONTENTS STATEMENT OF ORIGINAL AUTHORSHIP ACKNOWLEGEMENTS LIST OF ABBREVIATIONS ABSTRACT SUMMARY CHAPTER 11 OF THESIS RESULTS 1: INTRODUCTIO! Research rationale 1.2 Literature review 13 Research objectives 1.4 Subject matter and scope of research 15 Methodology 1.6 Research disposition CHAPTER 2: THEORETICAL FRAMEWORK 2.1 Overview of commercial arbitration 2.11 Definitions 2.1.2 Characteristics 2.13 Arbitral awards, types of arbitral awards, their recognition and enforcement 12 2.2 Overview of public policy 15 2.2.1 Concepts 15 2.2.2 Types of public policy 17 2.3 The link between commercial arbitration and public policy 18 CHAPTER 3: IMPACT OF PUBLIC POLICY ON COMMCERCIAL ARBITRATION ON AN INTERNATIONAL LEVEL 3.1 Overview of the legal framework in international conventions on the recognition and enforcement of foreign arbitral awards 21 3.1.1 History 21 3.1.2 Public policy under the New York Convention 25 3.2 Impact of public policy on commercial arbitration in the common law system 27 3.21 The United States 27 iv 3.22 The United Kingdom 3.23 30 India 33 3.3 Impact of public policy on commercial arbitration in the civil law system 36 3.3.1 Germany 36 3.32 France 39 3.4 Evaluation of public policy’s impact on commercial arbitration on an international level 42 CHAPTER 4: ARBITRATION IMPACT OF PUBLIC IN VIETNAM POLICY ON COMMERCIAL 45 4.1 Overview of the legal framework of public policy on the recognition and enforcement of foreign arbitral awards in Vietnam 45 4.1.1 History 45 4.1.2 Public policy as a refusal ground of the recognition and enforcement of foreign arbitration awards 47 4.2 Practical application of public policy on commercial arbitration in Vietnam 59 4.2.1 Statistics 61 4.2.2 Notable cases 63 4.3 Evaluation of public policy’s impact on commercial arbitration in Vietnam 74 CHAPTER 5: LESSONS AND RECOMMENDATIONS FOR VIETNAM ON COMMERCIAL ARBITRATION WITH PUBLIC POLICY IMPLICATION +78 5.1 Lessons from other countries 78 5.2 Recommendations for Vietnam 82 CONCLUSIO! LIST OF REFERENCES 86 LIST OF ABBREVIATIONS CPC 2004 CPC 2015 IFC ILA LCA 2010 MOI Ordinance 1995 Ordinance 2003 Resolution No 01/2014/NQHDTP SPC The Database The Report UK UN UNCITRAL Model Law US VLA Code No 24/2004/QH11 dated June 15, 2004, of Civil Procedure Code No 92/2015/QH13 dated November 25, 2015, of Civil Procedure International Finance Corporation International Law Association Vietnam’s Law on Commercial Arbitration 2010 Vietnam’s Ministry of Justice Vietnam’s Ordinance No 42-L/CTN dated September 14, 1995, on the Recognition and Enforcement of foreign arbitral awards in Vietnam Vietnam’s Ordinance No 08/2003/PL-UBTVQH dated February 25, 2003, on Commercial Arbitration Vietnam’s Resolution No 01/2014/NQ-HDTP, dated March 20, 2014 guiding the implementation of the Law on Commercial Arbitration 2010 Vietnam’s Supreme People’s Court ‘The Database on the Recognition and Enforcement of foreign court judgments and decisions and arbitral awards in Vietnam from January 2012 to 30 September 2019 The Report on Evaluation and Comparison of Vietnamese Legal Regulations on Accreditation and Enforcement of Arbitral Awards with the UNCITRAL Model Law on International Commercial Arbitration, suggesting the Applicability of the Model Law in Vietnam 2019 ‘The United Kingdom ‘The United Nations UNCITRAL Model Law on Intemational Commercial Arbitration (1985), with amendments as adopted in 2006 ‘The United States Vietnam Lawyers Association vi ABSTRACT This thesis critically examines the role of public policy on commercial arbitration in Vietnam, with a specific focus on the recognition and enforcement of foreign arbitral awards within the jurisdiction By examining international practices and Vietnamese legal texts, it sheds light on Vietnam’s approach to this important aspect of international commercial arbitration An analysis of noteworthy court decisions elucidates the application of public policy in refusing enforcement The research findings reveal that Vietnam is aligning itself with the prevailing pro-arbitration trend and adopting a more delimited scope for the application of public policy Additionally, this thesis identifies both areas of convergence and divergence in comparison to intemational standards and provides tailored recommendations for Vietnam The findings contribute to the ongoing discourse on public policy in arbitration and offer valuable insights for practitioners and policymakers alike vii SUMMARY OF THESIS RESULTS This thesis explores the impact of public policy on commercial arbitration in Vietnam, focusing on its role in shaping the recognition and enforcement regime of foreign arbitral awards The research findings provide valuable insights into the interplay of public policy in the context of enforcing foreign arbitral awards in Vietnam The study commences with an in-depth overview of commercial arbitration, providing a foundation for understanding the context in which the recognition and enforcement of foreign arbitral awards operate It explores the fundamental principles and key concepts that underpin commercial arbitration, setting the stage for a more focused analysis of the role of public policy Building upon this foundation, the thesis delves into the international understandings and applications of public policy, examining different countries’ viewpoints and approaches to public policy as a ground for refusing enforcement Through an examination of relevant case studies from diverse jurisdictions, the complexities and challenges associated with public policy in enforcing foreign arbitral awards are elucidated It seems that leading jurisdictions of both common and civil law systems are heading towards a pro-arbitration approach and a limited scope of application of public policy on the recognition and enforcement of foreign arbitral awards Moving to the Vietnamese legal context, the analysis of Vietnamese legal texts reveals the understanding and interpretation of public policy within the Vietnamese legal framework By incorporating academic perspectives, the study further explores the implications of public policy for the recognition and enforcement of foreign arbitral awards in Vietnam It finds that the definition of public policy in Vietnam is still a debated subject ‘The research also investigates recent legal developments and reforms in Vietnam, providing an overview of the Vietnamese legal system’s adherence to intemational standards Noteworthy changes in legislation and evolving judicial practices are examined to understand their impact on the enforcement regime Resolution No 01/2014/NQ-HDTP issued by the Council of Judges of the Supreme People’s Court serves as a significant reference point, offering guidance on the basic principles of Vietnam’s law concerning the enforcement of foreign arbitral awards Furthermore, the study delves into Vietnam’s approach to the recognition and enforcement of foreign arbitral awards, examining historical perspectives and court decisions that highlight the application of public policy in refusing enforcement Notably, the thesis provides a compelling case study of six different decisions viii throughout the years, illustrating the complexities and implications of public policy in the enforcement landscape Through a comparative analysis of intemational standards and practices, the thesis identifies areas of convergence and divergence between Vietnam’s approach and global norms The research findings have implications not only for Vietnam but also for the broader international arbitration community, highlighting the importance of understanding the role of public policy in the recognition and enforcement of foreign arbitral awards In conclusion, this thesis contributes to the existing body of knowledge by providing a comprehensive analysis of the recognition and enforcement of foreign arbitral awards in Vietnam, with a specific focus on the role of public policy The research findings enhance our understanding of the complexities surrounding this area of law and provide valuable insights for practitioners, scholars, and policymakers in Vietnam and beyond CHAPTER 1: INTRODUCTION 1.1 Research rationale The thesis on the impact of public policy on commercial arbitration, with a particular emphasis on the recognition and enforcement of foreign arbitral awards in Vietnam, is crucial for a number of compelling reasons First, this research is important because it contributes to the development and improvement of the legal framework that governs international commercial arbitration in Vietnam This study fills an important void by shedding light on the complexities and challenges associated with the application of public policy in the jurisdiction, thereby contributing to the refinement of the legal framework and its alignment with intemational standards Examining the role of public policy in the recognition and enforcement of foreign arbitral awards, this study addresses a crucial aspect of the enforcement regime that has far-reaching implications for domestic and intemational parties A robust and effective legal mechanism for enforcing arbitral awards is essential as Vietnam continues to position itself as an attractive location for international investments and cross-border transactions In addition, the evolving nature of commercial arbitration in a global context necessitates this thesis The recognition and enforcement of foreign arbitral awards is, a topic of significant global interest and importance, as it has a direct bearing on the enforceability and efficacy of arbitration as the preferred method of dispute resolution in international commercial transactions By examining international understandings and applications of public policy, this study provides valuable insights into the various approaches adopted by various jurisdictions This comparative analysis enriches the academic discourse surrounding public policy and contributes to a broader understanding of the challenges and best practices associated with enforcing foreign arbitral awards internationally Vietnam’s ever-changing legal landscape also highlights the importance of this research As the nation continues to undergo legal reforms and align its legal system with international standards, the regime for enforcing foreign arbitral awards requires careful analysis and evaluation This research captures the current state of the enforcement framework in Vietnam and explores its implications for the recognition and enforcement of foreign arbitral awards by analysing recent legal developments and reforms This analysis would be a vital resource for policymakers, practitioners, and scholars involved in formulating and implementing legal reforms in Vietnam, facilitating informed decision-making, and advancing the legal system 88 expand the scope of the analysis to include the arbitration process itself, consider the changing legal landscape, conduct a comparative analysis, and investigate the specific obstacles and challenges associated with implementing reforms in Vietnam Future research can contribute to a more comprehensive understanding and effective management of public policy considerations in commercial arbitration by addressing these limitations By fostering dialogue, encouraging collaboration, and nurturing a shared vision, the trajectory of arbitration in Vietnam and its global impact can be shaped and enhanced ix LIST OF REFERENCES Literature in English Adams, J E., ‘40 Years of the New York Convention’ Amicus Curiae, 2000, pp 12-14 journals.sas.ac.uk, https://doi.org/10.14296/ac.v2000i25.1429 Akoto, Akosua Serwaah ‘Public Policy: An Amorphous Concept In The Enforcement Of Arbitral Awards’ Journal of Liberty and International Affairs, Institute for Research and European Studies - Bitola, vol 7, no 1, 2021, pp 51-69 DOLorg (Crossref), https://doi.org/10.47305/ILIA21170051sa Amro, Ihab Abdel Salam, Recognition and Enforcement of Foreign Arbitral Awards in Theory and in Practice: A Comparative Study in Common Law and Civil Law Countries Cambridge Scholars Publishing, 2014 ProQuest Ebook Central, http://ebookcentral proquest.com/lib/swin/detail.action?docID=1661268 Bang, Vu Le, ‘Vietnam: Statistics on Enforcement of Foreign Court Judgements and Decisions and Arbitral Awards in Vietnam | N&A Newsletters | Knowledge’ Nishimura & Asahi, 2021, https:/www nishimura,com/en/knowledge/newsletters/20211108-34746 — Bao, Nguyen Quoc ‘Recognition and Enforcement of Foreign Arbitral Awards in Vietnam: Brief Case Study and Commentary’ Kien Thuc Phap Ly, 2020, https:/ckienthuephaply.com/wp-content/uploads/2020/03/NQB_Kien-Thuc-PhapLy Thuc-trang-cong-nhan-va-cho-thi-hanh.pdf, Benson, Bruce L ‘An Exploration of the Impact of Modern Arbitration Statutes on the Development of Arbitration in the United States’ Journal of Law, Economics, & Organization, vol 11, no 2, 1995, pp 479-S01 Berger, Klaus Peter ‘Institutional Arbitration: Harmony, Disharmony and the “Party 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State Practice Springer Singapore, 2021 DOL.org (Crossref), https://doi.org/10.1007/978-981-16-2634-0, Literature in Vietnamese | 101 Bộ Tư pháp (Minisuy of Justice), 'Báo cáo tinh hình huỷ phán trọng tải nước, không công nhận định tai nước Việt Nam’ Ministry of Justice, no 305/BC-BTP, 2013 102 Đặng Thị Thơm, ‘Van Dé Thực Thi Phán Quyết Của Trung Tâm Trọng Tài Thương Mại Quốc Tế - Những Vướng Mắc Kiến Nghị" 7apchiroaan Ứn, Nov 2022, htlps⁄/tapchitoaan.vn/van-de-thuc-thi-phan-quyet-cua-truns-tam-trong-taithuong-mai-quoc-te-nhung-vuong-mac-va-kien-nghi7437.htm] 103 Đỗ Văn Đại, and Trần Hoàng Hải.: Tuyển Tập Các Bản An, Quyết Định Của Tòa Án Việt Nam Trọng Tài Thương Mại, NXB Lao Động), 2010, p 207-212 Labour Publishing House, 2010 xix 104 Thái Văn Đoàn 'Nâng Cao Hiệu Quả Giải Quyết Tranh Chấp Kinh Doanh, Thương Mại Có Yếu Tố Nước Ngồi Tại Tịa Án Việt Nam" Tạp Chí Cộng Sản, Mar 2023, https:/Avww.tapchicongsan.org.vn/web/guest/thue-tien-kinh-nghiem|//2018/827129/nang-cao-hieu-qua-giai-quyet-tranh-chap-kinh-doanh%2C-thuongmai-co-yeu-to-nuoc-ngoai-tai-toa-an-o-viet-nam aspx 105 Hội Luật Gia Việt Nam, Tờ Dự án Luật Trọng tài thương mại số 10/TTr-HLGVN | Sept 2009 106 Hùng, Nguyễn 'Chủ Tịch Quốc Hội Dương Đình Huệ: Bước Tiến Dài Trong Bao vé Loi Ích Của Nhà Nước, Quyền Lợi Ích Hợp Pháp Của Tổ Chức, Cá Nhân." 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https://sachluatvn vn/phap-luat-ve-trong-tai-thuong-mai/ Dân Sự Việt Nam Master's Thesis, Hanoi Law University, Hanoi in 2015 Tapchitoaan.Vn, 2018, https:/apchitoaan.vn/mot-so-van-de-ve-xem-xet-huy-phanquyet-trong-tai 118 Văn phòng Bộ Tư pháp, 'Điểm tin báo chí ngày 06/10 sáng ngày 07/10/2014”, Ministry of Justice, 2014, https://moj.gov.vn/qt/thongtinbaochi/Pages/diem-tin-bao-chi.aspx?ItemID=1638 119 Vietnam Coordinate Council of Law Popularisation and Education Acknowledgement ‘Dic San Tuyén Truyén Phap Luật Ministry of Justice, no 07/2013, 2013 120 Vietnam Lawyers Association #ội Thảo Góp ý Dự Thảo Báo Cáo Nghiên Cứu, Rà Soát Luật Trọng Tài Thương Mại 2023, hup:/lhoiluatgiavn.org.vn:8080/hoithao-gop-y-du-thao-bao-cao-nghien-cuu-ra-soat-luat-trong-tai-thuong-maid3194.htmL 121 Vietnam Ministry of Justice 'Công Nhận va Cho Thi Hanh Ban Án, Quyết Định Của Tịa Án Nước Ngồi, Phán Quyết Của Trọng Tài Nước Ngoài" Online Portal, 2020, https://moj.gov.vivtttp/Pages/dlen-va-th-tai-VietNam.aspx2fbclid=lwA RIwTsvb5SI_61pjUiNMLqyP3XoWsNIzAi_GsZCsp1D44t Oa8RISeF4pqAM 122 Va Dite Long, et al., Béo Cáo Đánh Giá, so Sánh Quy Định Pháp Luật Việt Nam Công Nhận Cho Thi Hanh Phén Quyết Trọng Tài Với Luật Mẫu UNCITRAL Trọng Tài Thương Mại Quốc Tế, Đè Xuất Khả Năng Ap Dụng Luật Mẫu Tại Việt Nam doi.aspx?ItemID=61 Legal 123 (New 124 2021, https//moj.sov.vn/tttp(tintuc/Pages/nghien-cuu-trao- documents Convention on the Recognition and Enforcement of Foreign Arbitral Awards York, 1958), Geneva Protocol on Arbitration Clause in Commercial Matters, 1923 125 Indian Arbitration Act of 1996 126 Indian’ Conultation Paper, Proposed Amendments to the Arbitration & Conciliation Act, 1996 in 2010 127 The UK’s Arbitration Act of 1996 128 The US.’ Federal Arbitration Act 129 UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006 130 Vietnam’s Civil Procedure Code 2004 131 Vietnam’s Civil Procedure Code 2015 132 Vietnam’s Conclusion No 92-KL/TW dated March 12, 2014 of the Ministry of Politics on continuing to implement Resolution 49-NQ/TW on Judicial Reform Strategy to 2020 issued by the Ministry of Politics 133 Vietnam’s Law on Commercial Arbitration 2010 134 Vietnam’s Ordinance No 08/2003/PL-UBTVQH dated February 25, 2003, on Commercial Arbitration 135 Vietnam's Ordinance No 42-L/CTN dated September 14, 1995, on the Recognition and Enforcement of foreign arbitral awards in Vietnam 136 Vietnam’s Resolution No 01/2014/NQ-HDTP, dated March 20, 2014 guiding the implementation of the Law on Commercial Arbitration 2010 137 Vietnam’s Resolution No 49-NQ/TW dated June 2, 2005 of the Ministry of Politics on the Judicial Reform Strategy up to 2020 Database and Reports 138 The Database on the Recognition and Enforcement of foreign court judgments and decisions and arbitral awards in Vietnam from | January 2012 to 30 September 2019 139 The Report on Evaluation and Comparison of Vietnamese 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the Appellate Court in Hanoi: Toepfer Ltd (Singapore) v Sao Mai Ltd (Vietnam), Decision no 08/2015/QDPT-KDTM dated 12/08/2015 of the High Court in Hanoi: STT 260 Architects v Sudico (Vietnam) Cassation decision no 14/2021/KDTM-GDT dated 21/9/2021 of Judicial Council of the Supreme People’s Court: C (Switzerland) v P (Vietnam) Decision no 29/2022/QD-PT dated 14/6/2022 of the High Court in Hanoi: AG Processing Inc (the United States) v Thai Duong Animal Feed Co., Ltd (Vietnam)