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 Project National Rapporteurs: Mr Peter Beaton (Scotland); Professor Alegría Borrás (Spain); Mr Andrew Dickinson (England and Wales); Mr Javier Areste Gonzalez (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: Elina Konstantinidou and Daniel Vasbeck 1 QUESTIONNAIRE The Effect in the European Community of Judgments in Civil and Commercial Matters: Recognition, Res Judicata and Abuse of Process Instructions to National Rapporteurs Please use the following questions to describe the current position in the country for which you have been appointed as National Rapporteur. Please respond to the following questions as fully as possible, with appropriate reference to, and quotation of, supporting authority (e.g. case law and, where appropriate, the views of legal writers). Please give full citations to supporting authority using the Oxford Standard for Citation of Legal Authorities (OSCOLA) guidelines, a copy of which will be provided by the Institute. Please begin your typed responses directly below each question. Please indicate the name of your country and your official title(s) at the top of the answer sheet under “Questionnaire”. It is recommended that you read through the entire questionnaire and its accompanying guidelines before you begin to draft your responses. This applies equally when you start answering a question that is part of a specific section. Please quote and translate into English the rules of the civil procedure code (and a summary of any travaux préparatoires) that deal with judgments and which you refer to for the purpose of your answer, as well as indicate and translate the legal terminology used to describe the elements of judgments. Timetable The National Rapporteurs have a period of two months to produce a first full draft of their respective national reports (a consultancy and copy right licensing agreement will be sent to the rapporteurs separately). At the meeting of 4 and 5 October it was agreed that the National Rapporteurs will submit their national reports in due time before the second meeting of the rapporteurs that will take place in London on 17 and 18 January (dates to be confirmed). All rapporteurs further agreed to submit draft answers on the first part of the questionnaire one month after the questionnaire has been sent out to allow for discussion and feedback through the project extranet and email. 2 I. Judgments............................................................................................................5 A. The concept, form, structure and terminology of judgments.............................................. 8 B. The final determination and findings on issues of fact and law ....................................... 10 C. The binding character of a judgment ................................................................................ 12 D. Judgments that are capable of having preclusive effects.................................................. 15 II. Preclusive effects...........................................................................................16 A. Claim preclusion............................................................................................................... 16 1. Existence and nature of claim preclusive effects......................................................................................29 2. Policies underlying claim preclusive effects ............................................................................................29 3. Conditions for claim preclusive effects ....................................................................................................29 4. Invoking claim preclusive effects.............................................................................................................29 5. Exceptions to claim preclusive effects......................................................................................................29 6. Claimant and Defendant ...........................................................................................................................30 7. Other participants .....................................................................................................................................30 8. Represented persons .................................................................................................................................30 9. Persons connected to the Claimant, Defendant, and other participants ....................................................30 10. Strangers ..............................................................................................................................................30 B. Issue preclusion................................................................................................................. 30 1. The existence and nature of issue preclusive effects ................................................................................30 2. Policies underlying issue preclusive effects .............................................................................................30 3. Conditions for issue preclusive effects .....................................................................................................30 4. Invoking issue preclusive effects..............................................................................................................30 5. Exceptions to issue preclusive effects ......................................................................................................30 6. Claimant and Defendant ...........................................................................................................................31 7. Other participants .....................................................................................................................................31 8. Represented persons .................................................................................................................................31 9. Persons connected to the Claimant, Defendant, and other participants ....................................................31 10. Strangers ..............................................................................................................................................31 C. Wider preclusive effects ................................................................................................... 31 1. The existence and nature of wider preclusive effects ...............................................................................31 2. Policies underlying wider preclusive effects ............................................................................................31 3. Conditions for wider preclusive effects....................................................................................................31 4. Invoking wider preclusive effects.............................................................................................................32 5. Exceptions to wider preclusive effects .....................................................................................................32 6. Claimant and Defendant ...........................................................................................................................32 7. Other participants .....................................................................................................................................32 8. Represented persons .................................................................................................................................32 9. Persons connected to the Claimant, Defendant, and other participants ....................................................32 10. Strangers ..............................................................................................................................................32 III. Preclusive effects of judgments within the Brussels/Lugano Regime ..........33 A. Recognition....................................................................................................................... 33 1. Judgments recognised...............................................................................................................................33 2. Procedural aspects of recognition.............................................................................................................33 3. Exceptions to the rule (grounds for non-recognition)...............................................................................33