Jurisdiction, Recognition and Enforcement of Judgments under EC Law

1
Jurisdiction, Recognition and Enforcement of
Judgments under EC Law

• Brussels I Regulationand Enforcement Order for
  Uncontested Claims

• Prof Dr Thomas Rauscher
• Leipzig (D)

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Learning Materials (in German)relevant
EU-materials are found on www.europe.eu

• Text Brüssel-I-VO
• Text anderer EG-VO zum Prozessrecht
• Brüssel I-Ü // VO
• Leitsätze des EuGH zu Brüssel I (ÜVO)
• Lernbuch
• Kommentar

• www.euzpr.eu- Studienmaterialien-
  EU-Materialien - EU-Dokumente
• - Synopse EuGVÜ und
• - EuGH Leitsatzkartei
• Rauscher, IPR 2. Aufl, 2002, C.F.Müller, Hdbg
• Rauscher, EuZPR2, 2006Sellier EuLP München

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Reg Nr 44/2001 of 22.12.2000 Brussels I

• Subjects
• Applicability

• Jurisdiction (intl)
• Recognition of Judgments
• Enforcement of Judgments
• Art 66 (1)
• Proceeding instituted after 1.3.2002 (vv after
  joining the EU)
• Art 66 (2)
• Recognition including Judgments given after
  1.3.2002, if
• - action under Brussels or Lugano Conventions
  or
• - rules of jurisdiction in accordance with
  Brussels I

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Material Scope of Application (Art 1)

• EU-autonomous interpretation
• Nature of court irrelevant (civil action in penal
  court)
• Not, if administrative body acting by
  subordination
• Not Revenue and Customs
• Civil Status, Succession, Matrimonial Property
• Bankruptcy proceedings
• Social Security
• Arbitration

• Art 1 (1)
• Civil and Commercial Matters
• Art 1 (2)
• particular exceptions

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Territorial Scope of Application

• Jurisdiction
• Art 3
• Art 4 I
• Art 4 II
• Art 5, 22, 23
• domicile
• Art 59
• Art 60
• Recognition, Enforcement
• Art 33, 57
• Art 38

• Defendant domicile in any Member State
• (EU without Denmark Art 2 (3))
• Otherwise lex fori including equal treatment of
  EU-domiciliries (for the purpose of annex 1
  jurisdictions)
• Particular prerequisites
• Natural person Definition according to the law
  of the state of domicile
• Companies/legal person Statutory seat,
  administration, branch
• Judgments and enforceable authentic instruments
  from Member States

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Jurisdictional System (JJurisdiction)

• General J(Art 2)
• Particular J(Art 5-7)
• Exclusive J(Art 22)
• J Agreement(Art 23, 24)
• Protective Js(Art 8-14, 15-17,18-21)

• Domicile of defendant for all purposes (except
  exclusive Js)
• Certain causes of action, choice of plaintiff
  (except exclusive Js)
• Certain causes of action, no choice takes
  preference over other Js
• Agreement or Appearance(except exclusive Js)
• Closed systems apply to
• Insurance cases
• Consumer contracts
• Individual contracts of employment

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Particular Jurisdiction (Place of Performance)

• Defendants domicile in one, proceeding in other
  Member State
• Contract Claim arising out of contractual
  relationship
• No annex J for tort claims
• Relevant Obligation Primary obligation in
  question
• Place of Performance According to the law as
  applicable under the conflict rules of the forum
• Except Agreement as to place of performance
• Except Sale of goods
• Except provison of services
• unique place of perf. as defined.

• General PrerequisiteArt 5 S 1
• Contract casesArt 5 Nr 1)
• Art 5 Nr 1 a
• Art 5 Nr 1 b

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Particular Jurisdictions (Tort)

• J in Tort Cases(ART 5 Nr 3)

• Tort (delict, quasi-del) Responsibility for
  damages without contract
• No annex J for contract claims
• Place where the tort occured
• Distance tortsCreditor may choose between
  places of tortious action and tort. success
• Torts with multiple pl. of success (press,
  environment!)Choice damages restricted to
  country of the court
• Preventive claims (may occur) Where tort
  threatens to occur

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Particular Jurisdictions (Art 5 Nrs 2-7)

• Maintenance(Art 5 Nr 2)
• Adhesion(Art 5 Nr 4)
• Agency
• (Art 5 Nr 5)
• Trust (Nr 6)
• Salvage of cargo
• (Art 5 Nr 7)

• Maintenance in family relation Forum actoris at
  plaintiffs domicile/ habitual residence
• Civil damages in Criminal Court if competent
  Exception Art 61 Rights of defense
• Permanent Branch, own management, under
  supervisiononly for claims arising out of the
  branchs operation
• Action as settlor, trustee, beneficiary of a
  trust Domicile of the trust
• Zuständigkeit am Arrest-Ort
• J at the place where cargo has been/could have
  been arrested

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Particular Jurisdictions Several Parties (Art 6)

• Prerequisite
• Several Defendants(Art 6 Nr 1)
• InterventionWarranty (Art 6 Nr 2)
• Counterclaim(Art 6 Nr 3)
• Rights in rem
• (Art 6 Nr 4)

• (additional) defendant domiciled in a Member
  State
• 1st Defendant domicile in court state
• Close connection between claims(as under Art 28
  (3))
• Concerning warranty, guarantee, other third part
  proceeding
• Not if sole intention to remove from other
  jurisdiction
• Not applicable in A und D (Art 65)
• Same contract or cause of action
• Compensation Means of defense, no J necessary
• Personal action combined with real property
  action

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Exclusive Jurisdictions(Art 22)

• Scope of application
• examples
• Real rights, rent(Art 22 Nr 1)
• Holiday Flats

• regardless of domicile
• Applies only to Member States
• Immovable property rights against everybody no
  personal claims
• Tenancies right of use against payment (aut.
  def.)
• immovables lex fori
• Private tenancies, not to exceed 6 months
• Both parties domiciled in same Member state
• additional J of courts of domicile

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J Agreements/ Scope of Application

• Material Scope
• Territorial Scope
• Applicability (temporal)

• Admissibility, parties, form, gen.cond
• Particular relationship
• A court or courts of a Member state
• Material validity?
• Domicile of one party in Member State
• Courts of a Member State
• No mere national case (unwritten)
• Art 66 Applies also to agreements made before
  1.3.2001
• Excpt Protection of trust, if agreement was
  valid!

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J Agreements / form

• In WritingArt 23 (1) lit a/1
• Evidenced in WritingArt 23(1) lit a/2
• PracticesArt 23 (1)lit b
• Usage in intl TradeArt 23 i lit c

• Written consent of both parties gives proof of
  agreement
• Incl letters, e-mail (Art 23 (2))
• Gen. Cond. Prior knowledge necessary
• Agreement necessary Not if confirmation by one
  side only
• Out of earlier relationship
• Example Gen. Cond. in transport paper
• International Trade
• Widely know/regularly observed in this type of
  trade
• Both parties aware/ought to be aware

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Consumer Contracts (Art 15-17) / Scope

• Meaning
• Art 15 (1)
• Material scope of applicationArt 15 (1)
• lit a
• lit b
• lit c
• Territorial scope of apllication

• Preference over all other Js
• Exception Art 5 (5) applies only if other party
  domiciled in a Member State with branch in other
  M.S.
• Consumer v. Entrepreneur?
• Type of contract
• Sale of goods on instalments
• Any contract to finance s.of goods
• Pursuing commercial or professional activity in
  Member State of consumers domicile
• Art 4 applies, Art 15 ss only if other party
  domiciled in Member State
• Exception Art 15 (2) agency in Member State
  sufficient

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Consumer Contracts (Art 15-17) / Jurisdiction

• Consumer as plaintiff (Art 16 (1))
• Consumer as DefendantArt 16 (2)
• Agreements on JurisdictionArt 17

• Courts in the state of consumers or other
  partys domicile
• If agency Art 5 Nr 5 Courts in the state of
  agencys domicile
• Only courts of M.S. of consumers domicile
• Counterclaim remains possible
• Art 17 takes preference over Art 23
• Agreement after dispute arises
• In favor of the customer
• Conferring J to the courts of the M.S. where both
  parties habitual resident when entering into the
  agreement

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Examination as to Jurisdiction

• Exclusive J of other court
• Own Jurisdiction

• Court declares on its own motion that it has no J
  (Art 25)
• Exception Priority prevails if both courts have
  exclusive J (Art 29)
• No examination if defendant enters an appearance
  (Art 26 (1) due to Art 24)
• If defendant does not enter an appExamination
  ex officio
• Stay of the proceeding until proof of service
  (Art 26 (2)-(4))
• Art 19 EC Reg on service (Art 26 (3)
• Art 15 Hague Conv on service (Art 26 (4)

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Lis pendens/Related proceedings

• Same cause of action (Art 27)Art 27 (1)Art 27
  (2)
• Related Actions(Art 28)
• Art 28 (1)
• Art 28 (2)
• When court seized (Art 30)

• Identity as to the central problem of the action
  (even if not same c.of.a. under the lex fori)
• Same parties
• Stay of proc. in court 2nd seized
• Declines J if J of court 1st seized has been
  established
• If decision in different court could lead to a
  Art 34 (3) situation
• Court 2nd seized may stay proceedg
• May also decline jurisdiction
• Writ of action lodged with the courtif plaintiff
  takes all subsequent steps

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Recognition of Judgements

• JudgmentArt 32
• RecognitionArt 33 (2), (3)
• Recognition as Rule Art 33 (2)
• Impediments to Recognition

• Decision as to the merits
• Not procedural decisions
• No particular proceeding (incidenter)
• Application for formal decision admissible
• No révision au fond (Art 36)
• No examination of p.i.l. (Art 36)
• No examination of J (Art 37)
• Art 34 (next slide)
• Conflict with certain J rules (Art 35)
• Consumer, Insurance, Exclusive
• Not contract for employment

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Impediments against recognition (Art 34)

• Public policy(Nr 1)
• Service of Action(Nr 2)
• Irreconcilability
• Nr 3
• Nr 4

• Material or procedural
• Only if manifestly contrary to p.p.
• Service not timely (for defense)
• Formal mistakes relevant only if related to
  preparation of defense)
• No appearance
• Exception Challenge of judgment in Member State
  of origin
• Conflicting issues between same parties
• J from M.S. of recognition prevails
• J from other M.S. or third state prevails only if
  earlier

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Enforcement (System only)

• Subject
• Proceeding
• Prerequisite

• Judgment (Art 38)
• Authentic instruments (Art 57)
• Only from Member States
• No automatic enforcement
• Declaration of enforceability (Exequatur)
  necessary (Art 38-)
• Recognition of Judgment
• Enforceability in State of Origin(Art 38 I)

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Reg (EC) Nr 805/2004 (Eu-Enforcement Order)

• Brussels I
• Jurisdiction
• Recognition and Impediments to Recognition
• Enforcement after Declaration of Enforceability
• Service under existing Rules
• Consumer Protection by particular J system

• Eu Enforcement Order
• J under Brussels I
• Recognition implied, no possibility to reject
• Eu-enforcement order by certification in M.S of
  origin
• Minimum Standards Information about claim
• Consumer Only Judgment from M.S. of domicile

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Prerequisites Eu Enforcement Order

• Civil and Commercial Matters (Art 2)
• Uncontested claim (Art 3)
• Minimum Standards
• Art 13, 14, 15Art 16Art 17Art 18Art 19

• as under Art 1 Brussels I
• Expressly (admission or settlement or instrument)
• Never objected (default!)
• -type of service-content of action-information
  concerning steps to be taken -Cure if service ok
  and full review of judgment possible-restitution
  in certain cases

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Proceeding for Eu Enforcement Order

• State of origin
• Remedies against the judgment itself
• Confirmation as Enforcement order(Art 9, form
  annex 1)
• Rectification (errors)
• Withdrawal (clearly wrongly granted)(Art 10)
• No appeal against confirmation(Art 11)

• State of execution
• No declaration of enforceabilty(Art 5)
• No examination as to impediments of recognition
• No public policy
• No appeal against enforcement
• Denial if concurring judgment (Art 21)
• Stay or limitaion (Art 23)including appeal ECHR

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• Thank you very much for your kind attendance

• Ill be happy to answer your questions
• www.euzpr.eu
• mail_at_euzpr.eu
• mail_at_thomas-rauscher.eu

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