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British Institute of International and Comparative Law BRITISH INSTITUTE OF INTERNATIONAL AND COMPARATIVE LAW PROJECT REFERENCE: JLS/2006/FPC/21 – 30-CE-00914760055 THE EFFECT IN THE EUROPEAN COMMUNITY OF JUDGMENTS IN CIVIL AND COMMERCIAL MATTERS: RECOGNITION, RES JUDICATA AND ABUSE OF PROCESS Project Advisory Board: The Rt Hon Sir Francis Jacobs KCMG QC (chair); Lord Mance; Mr David Anderson QC; Dr Peter Barnett; Mr Peter Beaton; Professor Adrian Briggs; Professor Burkhard Hess; Mr Adam Johnson; Mr Alex Layton QC; Professor Paul Oberhammer; Professor Rolf Stürner; Ms Mona Vaswani; Professor Rhonda Wasserman; Professor Mathijs ten Wolde Project National Rapporteurs: Professor Alegría Borrás (Spain); Mr Andrew Dickinson (England and Wales); Ms Esther Rivera (Spain – Assistant Rapporteur); Mr Christian Heinze (Germany); Professor Lars Heuman (Sweden); Mr Urs Hoffmann-Nowotny (Switzerland – Assistant Rapporteur); Professor Emmanuel Jeuland (France); Professor Paul Oberhammer (Switzerland); Mr Jonas Olsson (Sweden – Assistant Rapporteur); Mr Mikael Pauli (Sweden – Assistant Rapporteur); Dr Norel Rosner (Romania); Ms Justine Stefanelli (United States); Mr Jacob van de Velden (Netherlands) Project Director: Jacob van de Velden Project Research Fellow: Justine Stefanelli Project Consultant: Andrew Dickinson Project Research Assistants: Edward Ho Aniket Mandevia Floor Rombach Daniel Vasbeck 1 REPORT The Effect in the European Community of Judgments in Civil and Commercial Matters: Recognition, Res Judicata and Abuse of Process Sweden Professor Lars Heuman (National Rapporteur) Mr Jonas Olsson (Assistant Rapporteur) Mr Mikael Pauli (Assistant Rapporteur) Stockholm University School of Law S 106 91 Stockholm Sweden 2 I. Judgments............................................................................................................5 A. The concept, form, structure and terminology of judgments.............................................. 5 B. The final determination and findings on issues of fact and law ......................................... 6 C. The binding character of a judgment .................................................................................. 7 D. Judgments that are capable of having preclusive effects.................................................... 8 II. Preclusive effects...........................................................................................14 A. Claim preclusion............................................................................................................... 14 1. Existence and nature of claim preclusive effects......................................................................................14 2. Policies underlying claim preclusive effects ............................................................................................16 3. Conditions for claim preclusive effects ....................................................................................................17 4. Invoking claim preclusive effects.............................................................................................................21 5. Exceptions to claim preclusive effects......................................................................................................22 6. Claimant and Defendant ...........................................................................................................................27 7. Other participants .....................................................................................................................................29 8. Represented persons .................................................................................................................................32 9. Persons connected to the Claimant, Defendant, and other participants ....................................................35 10. Strangers ..............................................................................................................................................37 B. Issue preclusion................................................................................................................. 37 1. The existence and nature of issue preclusive effects ................................................................................37 2. Policies underlying issue preclusive effects .............................................................................................37 3. Conditions for issue preclusive effects .....................................................................................................37 4. Invoking issue preclusive effects..............................................................................................................37 5. Exceptions to issue preclusive effects ......................................................................................................37 6. Claimant and Defendant ...........................................................................................................................38 7. Other participants .....................................................................................................................................38 8. Represented persons .................................................................................................................................38 9. Persons connected to the Claimant, Defendant, and other participants ....................................................38 10. Strangers ..............................................................................................................................................38 C. Wider preclusive effects ................................................................................................... 38 1. The existence and nature of wider preclusive effects ...............................................................................38 2. Policies underlying wider preclusive effects ............................................................................................38 3. Conditions for wider preclusive effects....................................................................................................38 4. Invoking wider preclusive effects.............................................................................................................39 5. Exceptions to wider preclusive effects .....................................................................................................39 6. Claimant and Defendant ...........................................................................................................................39 7. Other participants .....................................................................................................................................39 8. Represented persons .................................................................................................................................39 9. Persons connected to the Claimant, Defendant, and other participants ....................................................39 10. Strangers ..............................................................................................................................................39 III. Preclusive effects of judgments within the Brussels/Lugano Regime ..........40 A. Recognition....................................................................................................................... 40 1. Judgments recognised...............................................................................................................................40 2. Procedural aspects of recognition.............................................................................................................41 3. Exceptions to the rule (grounds for non-recognition)...............................................................................41 4. Effects of recognition ...............................................................................................................................44 3 B. Claim preclusion within the Brussels/Lugano Regime..................................................... 45 1. Existence and nature of claim preclusive effects......................................................................................45 2. Policies underlying claim preclusive effects ............................................................................................45 3. Law applicable to claim preclusive effects...............................................................................................45 4. Conditions for claim preclusive effects ....................................................................................................45 5. The identity of claims in the Brussels/Lugano Regime ............................................................................45 6. The identity of parties in the Brussels/Lugano Regime............................................................................45 7. Invoking claim preclusive effects under the Brussels/Lugano Regime....................................................45 8. Exceptions to claim preclusive effects under the Brussels/Lugano Regime.............................................47 9. Persons affected by claim preclusive effects ............................................................................................47 C. Issue preclusion................................................................................................................. 47 1. Existence and nature of issue preclusive effects.......................................................................................47
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