
General Principles of European Private International Law
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This collection of essays by twenty noted scholars in the field sheds clear light on the pivotal issues of whether a set of overarching rules (a 'general part') is required, whether an EU regulation is the adequate legal instrument for such a purpose, which general questions such an instrument should address, and what solutions such an instrument should provide. In analysing the possible emergence of general principles in European private international law over the past years, the contributors discuss such issues and factors as the following:
- - the relationship between conflict of laws and recognition;
- - the room for party autonomy;
- - the concept of habitual residence;
- - adaptation when interplay between different laws leads to deadlock;
- - public policy exceptions;
- - the desirability of a general escape clause;
- - the classic topics of characterisation, incidental question, and renvoi; and
- - right to appeal in case of errors in the application of foreign law.
Practitioners dealing with these notoriously difficult cases will welcome this in-depth treatment of the issues, as will interested policymakers throughout the EU Member States and at the EU level itself. Scholars will discover an incomparable comparative analysis leading to expert recommendations in European private international law, opening the way to an effective European framework in this area.
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Inhalt
- Intro
- Halftitle Page
- European Monograph Series
- Title Page
- Copyright Page
- Dedication
- Editor and Contributors
- Summary of Contents
- Table of Contents
- Preface
- List of Abbreviations
- CHAPTER 1 Introduction
- §1.01 The Need for Coherence in European PIL
- §1.02 The Adequate Legal Instrument
- §1.03 Scope of a 'General Part'
- §1.04 Contents of a 'General Part'
- PART I Conceptual Issues
- CHAPTER 2 Recognition as a Substitute for Conflict of Laws?
- §2.01 What Is Recognition? Some Clarifications
- [A] Recognition As Opposed to Choice of Law and Enforcement
- [B] The Trigger of Recognition
- [C] The Object of Recognition
- [D] The Effect of Recognition
- [E] The Actors Involved
- [F] Recognition Procedure
- [G] Conditions of Recognition
- [H] Exceptions to Recognition
- §2.02 The Promises of Recognition
- [A] Reducing Bureaucracy
- [B] Avoiding Limping Relationships
- [C] Enhancing Legal Certainty
- [D] Improving Mobility
- [E] Managing Diversity
- [F] Avoiding Complex Choice-of-Law Method
- [G] Increasing Decisional Harmony
- [H] Fighting Discrimination
- §2.03 Automatic Recognition of Legal Situations: A Viable Solution?
- [A] Obligations under EU Primary Law
- [B] From Full Faith and Credit to Vested Rights
- [C] The Vagaries of Recognition of Legal Situations
- §2.04 Towards a General Duty of Recognition Triggered by Public Documents and Entries into Public Registers
- [A] Recognition as a Trojan Horse to Member State Law?
- [B] Danger of Abuse
- [C] Lack of Procedural Safeguards
- [D] Different Value of Foreign and Domestic Public Acts
- [E] Less Bureaucracy or a Tyranny of Documents?
- [F] Possibility of Conflicting Documents
- [G] Is Recognition Choice of Law by Another Name?
- [H] Recognition Does Not Cover All Cases
- [I] A Split Conflicts System
- [J] Lack of EU Competence?
- [K] Possible Interference with International Harmonisation?
- §2.05 Conclusion
- CHAPTER 3 The Role of Economic Efficiency in European Private International Law
- §3.01 Introduction
- §3.02 The Concept of Economic Efficiency
- [A] Pareto Criterion
- [B] Kaldor-Hicks Criterion
- §3.03 The Requirements of European Primary Law
- [A] Obligation to Pursue Economic Objectives
- [B] Obligation to Pursue Other Objectives
- §3.04 The Implementation in European Secondary Law
- [A] Rome I Regulation
- [B] Rome II Regulation
- [C] Rome III Regulation
- [D] Succession Regulation
- §3.05 The Case for (More) Economic Efficiency
- [A] Pareto Criterion
- [B] Kaldor-Hicks Criterion
- [1] Arguments against Its Application in European Private International Law
- [2] Arguments for Its Application in European Private International Law
- §3.06 Conclusions
- CHAPTER 4 A 'Rome 0' Regulation from a Political Point of View
- §4.01 Introduction
- §4.02 Legal Policy and Judicial Cooperation in General
- [A] Reform Impetus
- [B] Complicating the Decision-Making Process
- [C] Counter-Trends
- [1] Unification of Substantive Law
- [2] Principle of Recognition
- [3] Court Decisions
- §4.03 Requirements of a Rome 0 Regulation
- [A] Planned Contents of a Rome 0 Regulation
- [B] Advantages of a Rome 0 Regulation
- [C] Hindrances and Hurdles
- [D] Feasibility and Added Value
- §4.04 Realisation and Drafting Methodology
- [A] Overview of the Special Part
- [1] Acquis Communautaire
- [a] Contractual and Non-contractual Obligations
- [b] Divorce Law
- [c] Law of Succession
- [d] Maintenance Law
- [2] A Look towards the Future
- [a] Planned Legal Instruments with Rules on Applicable Law
- [b] Filling in the Gaps
- [B] Consequences for Work on a Rome 0 Regulation
- [1] Diverse Sources of Law for the Special Part
- [2] Legislative Procedure
- [a] General
- [b] Option 1: A Rome 0 Regulation with Its Own Definition of Scope
- [c] Option 2: A Rome 0 Regulation with an Open Scope
- [3] Special Position of Denmark, the United Kingdom and Ireland
- [a] Denmark
- [b] United Kingdom and Ireland
- [c] Different Numbers of Member States
- §4.05 Substantive Implementation
- [A] A Look at the Domestic Law of the Member States
- [B] Rome 0 Regulation and Its Relationship with the General Part of Domestic Rules on Applicable Law
- [C] Contents of a Rome 0 Regulation
- [1] Preliminary Remark
- [2] Rome 0 Regulation on the Basis of the Acquis Communautaire
- [a] Overview
- [b] Provisions of Identical Substance in All Four Regulations
- [c] Provisions in All Four Regulations with Differences in Substance
- [d] Provisions Not Contained in All of the Regulations
- [3] An Approach Going beyond the Acquis Communautaire
- [4] Interim Conclusion
- §4.06 Overall Conclusion
- PART II The Subject Matter
- CHAPTER 5 Classification: A Subject Matter for a Rome 0 Regulation?
- §5.01 Arguments in Favour of a Rome 0 Regulation and Their Role in the Process of Classification
- [A] Legislative Coherence and Efficiency
- [B] Securing Uniform Application
- §5.02 Guaranteeing Coherent Classification by Incorporating a Rule into Rome 0
- [A] Overview of the Status Quo in the Regulations
- [1] Broad Understanding of Characterisation
- [2] Relevant Rules in the Regulations
- [B] The ECJ's Role, in Particular with Regard to Article 267 TFEU
- §5.03 Comparative Law Considerations
- [A] Virtual Absence of National Model Provisions
- [B] A Common 'Characterisation Spirit' in National Court Practice
- [1] Object of Characterisation
- [2] Proper Law of Characterisation
- [3] Characterisation by National Courts
- §5.04 Conclusion
- CHAPTER 6 Preliminary Question
- §6.01 Introduction
- §6.02 The Dogmatic Point of View: The Preliminary Question and the Structure of European PIL
- §6.03 Policy Arguments for a European Rule on Preliminary Questions
- [A] The Respect for the Foreign Jurisdiction Governing the Main Question
- [B] Closer Connection of the Jurisdiction Governing the Main Question to the Preliminary Question
- [C] Cross-Border Consistency of Court Decisions
- [D] The Strive for Equitable and Just Results
- [1] Legal Consequences of a Limping Marriage
- [2] The Limping Name
- §6.04 Arguments against a Special Treatment of the Preliminary Question
- [A] Unclear Contours of the Term 'Preliminary Question'
- [B] Unclear Distinction of "Independently" and "Dependently" Answered Preliminary Questions
- [C] The Curse of the Evil Deed: The Procedural Preliminary Question
- §6.05 Theses
- [A] The Legal Concept Is Too Complicated
- [B] The Contours Are Too Vague
- [C] The Legal Concept Is Superfluous
- §6.06 Conclusion
- CHAPTER 7 Overriding Mandatory Provisions
- §7.01 Preliminary Remarks
- §7.02 The Nature of Overriding Mandatory Provisions
- [A] Public or Common Interests as the Main Feature
- [B] Provisions Only about Private Interests as Overriding Mandatory Provisions?
- §7.03 The Effect of Foreign Overriding Mandatory Provisions
- [A] 'Taking into Account' versus Application
- [B] A Duty to Apply Foreign Provisions?
- §7.04 Conclusion
- PART III The Connecting Factor
- CHAPTER 8 Party Autonomy, Legal Doctrine on Choice of Law, and the General Section of the European Conflict of Laws
- §8.01 Introduction
- [A] General Section as Subject Matter
- [B] The Choice of Law in Regulations
- [C] Outline of the Research
- §8.02 Primary Law: Facultative or Compulsory Choice of Law Provisions
- §8.03 Examples of Provisions: National Codifications, EU-Regulations,Codification Proposals
- [A] 'Miscellaneous Provisions' or 'Common Provisions' of the Regulations und Draft Regulations as Nucleus of a General Section
- [B] Party Autonomy in the General Sections of National Codifications
- [1] Chinese Codification of Private International Law
- [2] Dutch Private International Law
- [3] Polish Private International Law Act
- §8.04 Survey: Choice of Law in the European Field of Regulations
- [A] Rome I Regulation
- [B] Rome II Regulation
- [C] Rome III Regulation
- [D] The Maintenance Regulation and the Hague Maintenance Protocol
- [E] Succession Regulation
- [F] Proposal on the Matrimonial Property Regimes
- [G] Legitimation of the Party Autonomy
- §8.05 Coherence and Efficiency through a General Auxiliary Rule ('Hilfsnorm')
- [A] Statutory Approval and Limitation
- [B] Free or Bound Choice of Law: Selection and Statehood of the Laws
- [C] References to the Lex Fori or Internal (European) Market: Limitations to the Field of Application
- [D] Time Limits of the Choice of Law and Retroactive Effects
- [E] Choice of Law Statute
- [F] Choice of Law Rule of Interpretation: Expressness, Declaration Awareness
- [G] Sub-question of Legal Capacity and Representation
- [H] Control of the Agreement's Conclusion and Content
- [I] Partial Choice of Law and Connected Choice of Law
- [J] Form
- §8.06 The Choice of Law as Subjective Escape Clause for the Guarantee of the Fundamental Freedoms?
- §8.07 Conclusion
- CHAPTER 9 'Habitual Residence': A Plea for 'Settled Intention'
- §9.01 Introduction
- [A] A Plea for an Intentional Understanding
- [B] Defining Habitual Residence?
- §9.02 Habitual Residence: A Story of Success
- §9.03 Habitual Residence in European Private International Law
- [A] Status Quo of EU Regulations
- [B] Shifting to Habitual Residence in the Brussels I Regulation
- [C] Habitual Residence and COMI in Insolvency Proceedings
- §9.04 Guidelines for Determining Habitual Residence
- [A] Secondary EU Law
- [B] Comparative Law
- [C] Jurisprudence of the ECJ
- [1] ECJ, 02/04/2009: C-523/07 - A. v. Perusturvalautakunta
- [2] ECJ, 22/12/2010 - C-J049/10 - Barbara Mercredi/Richard Chaffe
- §9.05 Guidelines for Determining Habitual Residence in a Rome 0 Regulation
- [A] Unitary or Pluralistic Understanding of Habitual Residence?
- [1] Pluralistic Concepts of Habitual Residence
- [2] Two Pillars of a Unitarian Concept of Habitual Residence
- [B] Arguments in Favour of an Intentional Understanding of Habitual Residence
- [1] International Jurisdiction and Applicable Law Should Be Identical
- [2] Mobility Outplays Stability
- [3] Changing Parameters of Habitual Residence: From Nationality to Party Autonomy
- §9.06 Conclusion
- CHAPTER 10 Dual and Multiple Nationals, Stateless Persons, and Refugees
- §10.01 Nationality as Connecting Factor in European PIL
- [A] Brussels II bis Regulation
- [B] Maintenance Regulation and Hague Maintenance Protocol
- [C] Rome III Regulation
- [1] Party Autonomy under Article 5(1)(c) Rome III Regulation
- [2] Article 8(c) Rome III Regulation
- [D] Succession Regulation
- [E] Rome I and Rome II Regulations
- §10.02 Nationality as a Discriminating Connecting Factor?
- §10.03 Establishing Nationality
- §10.04 Single Nationals as the Rule, Other Cases as Exceptions, and the Need for Supplemental Rules
- §10.05 Dual and Multiple Nationals
- [A] Existing European PIL
- [1] Recital (22) Rome III Regulation
- [2] Article 22(1) Subparagraph 2 Succession Regulation
- [B] Equal Weight or Principle of Effectiveness
- [C] Differentiation between Parties' Choice of Law and Objective Connection?
- [D] Precedence of Primary Law
- [E] Against a Bias Favouring the Nationality of the Forum State
- [F] Differentiation between Nationalities of Member States and of Non-member States?
- [G] Choice of the Person Concerned?
- [H] Equivalence of Nationalities and Specific Favor of the Conflicts Rule at Stake
- §10.06 Stateless Persons
- [A] Prerogative of International Law: Article 12(1) UN Stateless Persons Convention
- [B] Domicile in Article 12(1) UN Stateless Persons Convention
- [C] Stateless Persons and Party Autonomy Using Nationality as Connecting Factor
- §10.07 Refugees
- §10.08 The GEDIP Proposal
- §10.09 Recommendation
- [A] Express Codification
- [B] Dual or Multiple Nationality
- [C] Stateless Persons
- CHAPTER 11 Closest Connection and Escape Clauses
- §11.01 EuPIL, Savigny and the European Integration
- [A] Evolution, Not Revolution in EuPIL
- [B] General Part for Which Special Part?
- §11.02 Closest Connection - Myth, Guiding Principle in the Background or Principal Rule?
- [A] Guiding Principle or Myth?
- [1] Guiding Principle and Challenges
- [2] Exceptions
- [3] More Guiding Star than Road Map
- [B] Background or Main Rule
- [C] Fallback Provisions
- §11.03 Escape Clause
- [A] Problems and Proposal by Lagarde
- [B] General Questions on the Escape Clause
- [1] Definition and Distinction
- [2] Relation to Choice of Law
- [3] Drafting
- [4] Legal Consequence
- [5] Special or General Character
- [C] Inventory as to Frequency of Occurrence in EuPIL
- [1] Legislation
- [2] Case Law
- [D] Evaluation
- §11.04 Conclusion
- PART IV The Applicable Law
- CHAPTER 12 Renvoi in European Private International Law
- §12.01 Introduction
- §12.02 Pros and Cons of Renvoi in General
- [A] Sovereignty and State Interests
- [B] Logic and Illogicality of Renvoi
- [C] Flexibility and Pursuit of the Better Law
- [D] International Harmony of Decisions
- [E] Increased Application of the Lex Fori
- [F] Result of II
- §12.03 Differentiating Solutions
- [A] Distinction According to the Purpose of the Conflicts Rule
- [B] Distinction between Different Connecting Factors
- [1] Connecting Factors Amenable or Hostile to Renvoi
- [2] Party Autonomy
- [3] Alternative Connecting Factors
- [4] Default Clauses and Escape Clauses
- [5] Accessory Connections
- [6] Habitual Residence and Nationality
- [7] Result of B
- [C] Distinction between Different Areas of Law
- [D] Distinction between Autonomous and Internationally Uniform PIL
- [E] Result of §12.03
- §12.04 The Present Situation in European PIL
- [A] Law of Obligations
- [1] Rome II Regulation
- [2] Rome I Regulation
- [B] International Family and Succession Law
- [1] Rome III Regulation
- [2] European Maintenance Regulation in Conjunction with the Hague Protocol
- [3] Succession Regulation
- [a] Limited Admission of Renvoi
- [b] Relation to the Principle of Universal Applicability
- [c] Connecting Factors Hostile to Renvoi
- [d] Relation to the Principle of the Unity of Succession
- [e] Evaluation
- [4] Drafts concerning Matrimonial Property Law
- [a] Exclusion of Renvoi in the Current Drafts
- [b] Matrimonial Property Law
- [c] Property Law of Registered Partnerships
- [5] The PIL of Names and the Principle of Recognition
- [C] International Company Law
- [D] Substantive Validity of Choice-of-Court Agreements
- [E] Result of IV
- §12.05 Impact on the Domestic PIL of the Member States
- §12.06 Perspectives of a European Codification of Renvoi
- §12.07 Summary and Outlook
- CHAPTER 13 References to Non-unified Legal Systems
- §13.01 Phenomenon and Terminology
- §13.02 Rules on Inter-local Conflicts of Laws
- [A] Challenges for a General Rule on (Foreign) Inter-local Conflicts
- [1] Structural Challenges
- [a] The Side of the Multi-unit State
- [b] The Side of the Forum
- [c] Conclusion
- [2] Interests
- [3] Synchronism of International and Inter-local References?
- [a] Systematic Considerations
- [b] Teleological Considerations
- [i] A Renvoi Does Not Require a Comprehensive Reference on the Inter-local Level .
- [ii] . but Exclusion of Renvoi Needs to Be Paralleled by a Direct Reference for Inter-local Conflicts
- [4] The Aspect of European Unification of the Laws
- [5] References to the Lex Patriae
- [a] Uniform Inter-local Choice of Law
- [b] Absence of Uniform Inter-local Conflict Rules
- [c] Conclusion
- [6] Choice-of-Law Agreements
- [7] Conclusion: Challenges for a Rule on (Foreign) Inter-local Conflicts
- [B] Acquis
- [1] Rome I/II Regulation
- [a] Content of Article 22 Rome I and Article 25 Rome II Regulation
- [b] Critique
- [2] Rome III Regulation
- [a] Article 14(a)
- [b] Article 14(b)
- [c] Article 14(c)
- [d] Proposal for Amending Article 14(c) Rome III Regulation
- [3] Hague Maintenance Protocol
- [a] Content of Article 16 Hague Maintenance Protocol
- [b] Critique
- [4] Succession Regulation
- [a] Content of Articles 36, 38
- [b] Critique
- [c] Article 36(3)
- [5] Matrimonial and Patrimonial Property Draft Regulations
- [C] Commonalities and Differences within the EU Acquis: Proposal for a Rome 0-Provision
- [1] Requirements of the Rome I/II/III Regulations
- [2] Requirements of the Hague Maintenance Protocol and the Succession Regulation
- §13.03 Rules on Inter-personal Conflicts of Laws
- [A] Challenges for a General Rule in a 'Rome 0-Regulation'
- [B] Acquis
- §13.04 Conclusion
- CHAPTER 14 Ordre Public (Public Policy)
- §14.01 Introduction
- §14.02 Necessity of Public Policy Control
- [A] Third States
- [B] Intra-EU Cases
- [1] Abolition of the Ordre Public?
- [2] Soft Application?
- [3] Application Only at the Request of a Party?
- [C] Summary
- §14.03 Foundations of the Public Policy Reservation
- [A] Negative and Positive Function of the Ordre Public?
- [B] National or European Ordre Public?
- [1] The Lex Lata
- [2] 'Rome 0 Regulation'
- [C] Abstract Review versus Control of Results
- [1] Lex Lata
- [2] 'Rome 0 Regulation'
- [D] Connection with the Forum
- [1] Lex Lata
- [2] 'Rome 0 Regulation'
- §14.04 Selected Issues
- [A] Shaping the Content of Public Policy
- [1] Reference to European Fundamental Rights
- [2] Special Reservation Clauses and Exception Rules
- [B] Specifying the Effects of the Public Policy Reservation
- §14.05 Summary
- CHAPTER 15 Adaptation
- §15.01 The Setting
- §15.02 Succession Regulation
- [A] Provisions and Recitals
- [B] Textbook Cases under the Succession Regulation
- [C] Adaptation under Article 31
- §15.03 Room for Future Codification?
- [A] Starting Point One: The Unintended Result
- [B] Starting Point Two: Fragmentation of Applicable Law
- [C] Carte Blanche for Courts?
- [D] Priority to Interpretation and to Other Instruments of PIL
- [E] Connection to Human Rights and the Rule of Law, in Particular the Right to Equal Treatment
- [F] How to Adapt Which Rules
- [G] Suggestion for a Rule on Adaptation
- PART V Further General Issues
- CHAPTER 16 The Law of Agency
- §16.01 The Wide Spectrum of Opinion and Attempts at Codification
- §16.02 The Private International Law of Agency as a Part of a General Section of the European Private International Law
- §16.03 The Present State of the Law
- [A] The Substantive Law Influence over the Private International Law
- [1] The Doctrinal Mile Stone of the Nineteenth Century and the International Reception of the Legal Theories Put Forward by the Pandectists
- [2] Reasons as to Why the Treatment of Agency in Material Law Leads to an Independent Treatment in Private International Law
- [B] An Overview of the Current Rules of Private International Law in Relation to the Law of Agency
- [1] Fundamental Connecting Factors of the Law of Agency in Europe
- [2] The Reach of the Law Applicable to the Agency
- [3] Apparent Authority
- [4] The Liability of the Falsus Procurator
- §16.04 Prospects of a Codification of the Private International Law of Agency
- [A] The Justification for a Codification in the European Context
- [B] The Possible Structure of a Rule
- CHAPTER 17 Ascertaining and Applying Foreign Law
- §17.01 Introduction
- §17.02 The Steps towards Application of Foreign Law and the Influence of Party Autonomy
- [A] Identifying Relevant International Elements in Case Facts
- [B] Mandatory or Discretionary Conflict of Laws
- [C] Retroactive Choice of Law
- [D] Ascertaining Foreign Law
- §17.03 Consequences of European Private International Law Unification De Lege Lata
- [A] Ascertaining the Facts and Applicable Law
- [B] Choice of Law
- [C] Discretionary or Ex Officio Application of Conflict-of-Law Rules
- §17.04 Perspectives for a Rome 0 Regulation
- [A] Scope of Application
- [B] Rome 0 Regulation or a Separate Instrument?
- [C] Content
- [1] Ascertaining the Facts
- [2] Freedom of Choice of Law
- [3] Mandatory or Discretionary Application of Conflict of Laws?
- [a] The Interests of the Parties upon an Application of the Lex Fori and Its Correlation to the Organisation of Conflict-of-Law Rules
- [b] A Balanced Suggestion
- [4] Ascertaining Foreign Law
- [5] Practical Questions
- [6] Small-Claims Boundary
- [7] Reviewability
- §17.05 Conclusion
- European Monograph Series
- Back Cover
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