Lugano
Convention 2007
Convention on Jurisdiction and the Recognition and Enforcement of Judgments in Civil and Commercial Matters
Done at Lugano on 30 October 2007
THE HIGH CONTRACTING PARTIES TO THIS CONVENTION, DETERMINED to strengthen in their territories the legal protection of persons therein established,
CONSIDERING that it is necessary for this purpose to determine the international jurisdiction of the courts, to facilitate recognition, and to introduce an expeditious procedure for securing the enforcement of judgments, authentic instruments and court settlements,
AWARE OF the links between them, which have been sanctioned in the economic field by the free trade agreements concluded between the European Community and certain States members of the European Free Trade Association,
TAKING INTO ACCOUNT:
– the Brussels Convention of 27 September 1968 on jurisdiction
and the enforcement of judgments in civil and commercial matters, as amended
by the Accession Conventions under the successive enlargements of the
European Union,
– the Lugano Convention of 16 September 1988 on jurisdiction and
the enforcement of judgments in civil and commercial matters, which extends
the application of the rules of the 1968 Brussels Convention to certain
States members of the European Free Trade Association,
– Council Regulation (EC) No 44/2001 of 22 December 2000 on jurisdiction
and the recognition and enforcement of judgments in civil and commercial
matters, which has replaced the above-mentioned Brussels Convention,
– the Agreement between the European Community and the Kingdom of
Denmark on jurisdiction and the recognition and enforcement of judgments
in civil and commercial matters, signed at Brussels on 19 October 2005,
PERSUADED that the extension of the principles laid down in Regulation (EC) No 44/2001 to the Contracting Parties to this instrument will strengthen legal and economic cooperation,
DESIRING to ensure as uniform an interpretation as possible of this instrument,
HAVE in this spirit
DECIDED to conclude this Convention, and
HAVE AGREED AS FOLLOWS:
Article 1 Material scope and parties subject to the
obligations imposed by the Convention
- 1. This Convention
shall apply in civil and commercial matters whatever the nature of the
court or tribunal. It shall not extend, in particular, to revenue, customs
or administrative matters.
- 2. The Convention
shall not apply to:
(a) the status or legal capacity of natural
persons, rights in property arising out of a matrimonial relationship,
wills and succession;
(b) bankruptcy, proceedings relating to the
winding-up of insolvent companies or other legal persons, judicial arrangements,
compositions and analogous proceedings;
(c) social security;
(d) arbitration.
- 3. In this Convention,
the term "State bound by this Convention" shall mean any State
that is a Contracting Party to this Convention or a Member State of the
European Community. It may also mean the European Community.
Section 1 (of Title II) General Provisions
Article 2 The general rule of jurisdiction
- 1. Subject to
the provisions of this Convention, persons domiciled in a State bound
by this Convention shall, whatever their nationality, be sued in the courts
of that State.
- 2. Persons who
are not nationals of the State bound by this Convention in which they
are domiciled shall be governed by the rules of jurisdiction applicable
to nationals of that State.
Article 3 The inapplicability of national rules on
jurisdiction
- 1. Persons domiciled
in a State bound by this Convention may be sued in the courts of another
State bound by this Convention only by virtue of the rules set out in
Sections 2 to 7 of this Title.
- 2. In particular
the rules of national jurisdiction set out in Annex I shall not be applicable
as against them.
Article 4 Defendant not domiciled in a State bound
by the Convention
- 1. If the defendant
is not domiciled in a State bound by this Convention, the jurisdiction
of the courts of each State bound by this Convention shall, subject to
the provisions of Articles 22 and 23, be determined by the law of that
State.
- 2. As against such a defendant, any person
domiciled in a State bound by this Convention may, whatever his nationality,
avail himself in that State of the rules of jurisdiction there in force,
and in particular those specified in Annex I, in the same way as the nationals
of that State.
Section 2 (of Title II) Special Jurisdiction
Article 5 Contracts, maintenance obligations, tort,
delict and quasi-delict, actions arising out of a crime, company branch
offices
A person domiciled in a State bound by this Convention may, in another
State bound by this Convention, be sued:
(1) (a) in matters
relating to a contract, in the courts for the place of performance of
the obligation in question;
(b) for the purpose of this provision and unless
otherwise agreed, the place of performance of the obligation in question
shall be:
– in the case of the sale of goods, the place in a State bound by
this Convention where, under the contract, the goods were delivered or
should have been delivered,
– in the case of the provision of services, the place in a State
bound by this Convention where, under the contract, the services were
provided or should have been provided;
(c) if subparagraph (b) does not apply then
subparagraph (a) applies;
(2) in matters relating to maintenance,
(a) in the courts for the place where the maintenance
creditor is domiciled or habitually resident; or
(b) in the court which, according to its own
law, has jurisdiction to entertain proceedings concerning the status of
a person if the matter relating to maintenance is ancillary to those proceedings,
unless that jurisdiction is based solely on the nationality of one of
the parties; or
(c) in the court which, according to its own
law, has jurisdiction to entertain proceedings concerning parental responsibility,
if the matter relating to maintenance is ancillary to those proceedings,
unless that jurisdiction is based solely on the nationality of one of
the parties;
(3) in matters
relating to tort, delict or quasi-delict, in the courts for the place
where the harmful event occurred or may occur;
(4) as regards
a civil claim for damages or restitution which is based on an act giving
rise to criminal proceedings, in the court seised of those proceedings,
to the extent that that court has jurisdiction under its own law to entertain
civil proceedings;
(5) as regards
a dispute arising out of the operations of a branch, agency or other establishment,
in the courts for the place in which the branch, agency or other establishment
is situated;
(6) as settlor, trustee or beneficiary of
a trust created by the operation of a statute, or by a written instrument,
or created orally and evidenced in writing, in the courts of the State
bound by this Convention in which the trust is domiciled;
(7) as regards a dispute concerning the payment
of remuneration claimed in respect of the salvage of a cargo or freight,
in the court under the authority of which the cargo or freight in question:
(a) has been arrested to secure such payment,
or
(b) could have been so arrested, but bail or
other security has been given, provided that this provision shall apply
only if it is claimed that the defendant has an interest in the cargo
or freight or had such an interest at the time of salvage.
Article 6 More than one defendant and action on a
warranty or guarantee
A person domiciled in a State bound by this Convention may also be sued:
(1) where he is one of a number of defendants,
in the courts for the place where any one of them is domiciled, provided
the claims are so closely connected that it is expedient to hear and determine
them together to avoid the risk of irreconcilable judgments resulting
from separate proceedings;
(2) as a third party in an action on a warranty
or guarantee or in any other third party proceedings, in the court seised
of the original proceedings, unless these were instituted solely with
the object of removing him from the jurisdiction of the court which would
be competent in his case;
(3) on a counter-claim arising from the same
contract or facts on which the original claim was based, in the court
in which the original claim is pending;
(4) in matters
relating to a contract, if the action may be combined with an action against
the same defendant in matters relating to rights in rem in immovable property,
in the court of the State bound by this Convention in which the property
is situated.
Article 7 Jurisdiction on liability from the use or
operation of a ship and claims for limitation of such liability
Where by virtue of this Convention a court of a State bound by this Convention
has jurisdiction in actions relating to liability from the use or operation
of a ship, that court, or any other court substituted for this purpose
by the internal law of that State, shall also have jurisdiction over claims
for limitation of such liability.
Section 3 (of Title II) Jurisdiction in matters
relating to insurance
Article 8 Section 3 decisive for jurisdiction in matters
relating to insurance
In matters relating to insurance, jurisdiction shall be determined by
this Section, without prejudice to Articles 4 and 5(5).
Article 9 Jurisdiction relating to legal actions against
the insurer
- 1. An insurer domiciled in a State bound
by this Convention may be sued:
(a) in the courts of the State where he is
domiciled, or
(b) in another State bound by this Convention,
in the case of actions brought by the policyholder, the insured or a beneficiary,
in the courts for the place where the plaintiff is domiciled, or
(c) if he is a co-insurer, in the courts of
a State bound by this Convention in which proceedings are brought against
the leading insurer.
- 2. An insurer who is not domiciled in a
State bound by this Convention but has a branch, agency or other establishment
in one of the States bound by this Convention shall, in disputes arising
out of the operations of the branch, agency or establishment, be deemed
to be domiciled in that State.
Article 10 Additional jurisdiction in respect of liability
insurance or insurance of immovable property
In respect of liability insurance or insurance of immovable property,
the insurer may in addition be sued in the courts for the place where
the harmful event occurred. The same applies if movable and immovable
property are covered by the same insurance policy and both are adversely
affected by the same contingency.
Article 11 Liability insurance: insurer joining in
proceedings of the injured party against the insured person
- 1. In respect of liability insurance, the
insurer may also, if the law of the court permits it, be joined in proceedings
which the injured party has brought against the insured.
- 2. Articles 8, 9 and 10 shall apply to actions
brought by the injured party directly against the insurer, where such
direct actions are permitted.
- 3. If the law governing such direct actions
provides that the policyholder or the insured may be joined as a party
to the action, the same court shall have jurisdiction over them.
Article 12 Jurisdiction relating to legal actions
of an insurer against another person (defendant) and counter claims
- 1. Without prejudice to Article 11(3), an
insurer may bring proceedings only in the courts of the State bound by
this Convention in which the defendant is domiciled, irrespective of whether
he is the policyholder, the insured or a beneficiary.
- 2. The provisions of this Section shall
not affect the right to bring a counter-claim in the court in which, in
accordance with this Section, the original claim is pending.
Article 13 Derogation from the provisions of Section
3
The provisions of this Section may be departed from only by an agreement:
(1) which is entered into after the dispute
has arisen, or
(2) which allows the policyholder, the insured
or a beneficiary to bring proceedings in courts other than those indicated
in this Section, or
(3) which is concluded between a policyholder
and an insurer, both of whom are at the time of conclusion of the contract
domiciled or habitually resident in the same State bound by this Convention,
and which has the effect of conferring jurisdiction on the courts of that
State even if the harmful event were to occur abroad, provided that such
an agreement is not contrary to the law of that State, or
(4) which is concluded
with a policyholder who is not domiciled in a State bound by this Convention,
except insofar as the insurance is compulsory or relates to immovable
property in a State bound by this Convention, or
(5) which relates
to a contract of insurance insofar as it covers one or more of the risks
set out in Article 14.
Article 14 Risks referred to in Article 13(5)
The following are the risks referred to in Article 13(5):
(1) any loss of or damage to:
(a) seagoing ships, installations situated
offshore or on the high seas, or aircraft, arising from perils which relate
to their use for commercial purposes;
(b) goods in transit, other than passengers'
baggage, where the transit consists of or includes carriage by such ships
or aircraft;
(2) any liability, other than for bodily injury
to passengers or loss of or damage to their baggage:
(a) arising out of the use or operation of
ships, installations or aircraft as referred to in point 1(a) insofar
as, in respect of the latter, the law of the State bound by this Convention
in which such aircraft are registered does not prohibit agreements on
jurisdiction regarding insurance of such risks;
(b) for loss or damage caused by goods in transit
as described in point 1(b);
(3) any financial loss connected with the
use or operation of ships, installations or aircraft as referred to in
point 1(a), in particular loss of freight or charter-hire;
(4) any risk or interest connected with any
of those referred to in points 1 to 3;
(5) notwithstanding points 1 to 4, all large
risks.
Section 4 (of Title II) Jurisdiction over consumer
contracts
Article 15 Section 4 decisive for jurisdiction in
matters relating to agreements with consumers
- 1. In matters relating to a contract concluded
by a person, the consumer, for a purpose which can be regarded as being
outside his trade or profession, jurisdiction shall be determined by this
Section, without prejudice to Articles 4 and 5(5), if:
(a) it is a contract for the sale of goods
on instalment credit terms, or
(b) it is a contract for a loan repayable by
instalments, or for any other form of credit, made to finance the sale
of goods, or
(c) in all other cases, the contract has been
concluded with a person who pursues commercial or professional activities
in the State bound by this Convention of the consumer's domicile or, by
any means, directs such activities to that State or to several States
including that State, and the contract falls within the scope of such
activities.
- 2. Where a consumer enters into a contract
with a party who is not domiciled in the State bound by this Convention
but has a branch, agency or other establishment in one of the States bound
by this Convention, that party shall, in disputes arising out of the operations
of the branch, agency or establishment, be deemed to be domiciled in that
State.
- 3. This section shall not apply to a contract
of transport other than a contract which, for an inclusive price, provides
for a combination of travel and accommodation.
Article 16 Consumer may choose between the courts
of the State of his domicile or that of the domicile of the other party
- 1. A consumer may bring proceedings against
the other party to a contract either in the courts of the State bound
by this Convention in which that party is domiciled or in the courts for
the place where the consumer is domiciled.
- 2. Proceedings may be brought against a
consumer by the other party to the contract only in the courts of the
State bound by this Convention in which the consumer is domiciled.
- 3. This Article shall not affect the right
to bring a counter-claim in the court in which, in accordance with this
Section, the original claim is pending.
Article 17 Derogation from the provisions of Section
4
The provisions of this Section may be departed from only by an agreement:
(1) which is entered into after the dispute
has arisen; or
(2) which allows the consumer to bring proceedings
in courts other than those indicated in this Section; or
(3) which is entered into by the consumer
and the other party to the contract, both of whom are at the time of conclusion
of the contract domiciled or habitually resident in the same State bound
by this Convention, and which confers jurisdiction on the courts of that
State, provided that such an agreement is not contrary to the law of that
State.
Section 5 (of Title II) Jurisdiction over individual
contracts of employment
Article 18 Section 5 decisive for jurisdiction in
matters relating to employment agreements
- 1. In matters relating to individual contracts
of employment, jurisdiction shall be determined by this Section, without
prejudice to Articles 4 and 5(5).
- 2. Where an employee enters into an individual
contract of employment with an employer who is not domiciled in a State
bound by this Convention but has a branch, agency or other establishment
in one of the States bound by this Convention, the employer shall, in
disputes arising out of the operations of the branch, agency or establishment,
be deemed to be domiciled in that State.
Article 19 Jurisdiction for proceedings to be started
against an employer
An employer domiciled in a State bound by this Convention may be sued:
(1) in the courts of the State where he is
domiciled; or
(2) in another State bound by this Convention:
(a) in the courts for the place where the employee
habitually carries out his work or in the courts for the last place where
he did so; or
(b) if the employee does not or did not habitually
carry out his work in any one country, in the courts for the place where
the business which engaged the employee is or was situated.
Article 20 Jurisdiction for proceedings to be started
by the employer
- 1. An employer may bring proceedings only
in the courts of the State bound by this Convention in which the employee
is domiciled.
- 2. The provisions of this Section shall
not affect the right to bring a counter-claim in the court in which, in
accordance with this Section, the original claim is pending.
Article 21 Derogation from the provisions of Section
5
The provisions of this Section may be departed from only by an agreement
on jurisdiction:
(1) which is entered into after the dispute
has arisen; or
(2) which allows the employee to bring proceedings
in courts other than those indicated in this Section.
Section 6 (of Title II) Exclusive jurisdiction
Article 22 Immovable property, validity of companies
and other legal persons, validity of entries in public registers, registration
of intellectual property rights and the enforcement of judgments
The following courts shall have exclusive jurisdiction, regardless of
domicile:
(1) in proceedings which have as their object
rights in rem in immovable property or tenancies of immovable property,
the courts of the State bound by this Convention in which the property
is situated. However, in proceedings which have as their object tenancies
of immovable property concluded for temporary private use for a maximum
period of six consecutive months, the courts of the State bound by this
Convention in which the defendant is domiciled shall also have jurisdiction,
provided that the tenant is a natural person and that the landlord and
the tenant are domiciled in the same State bound by this Convention;
(2) in proceedings which have as their object
the validity of the constitution, the nullity or the dissolution of companies
or other legal persons or associations of natural or legal persons, or
of the validity of the decisions of their organs, the courts of the State
bound by this Convention in which the company, legal person or association
has its seat. In order to determine that seat, the court shall apply its
rules of private international law;
(3) in proceedings which have as their object
the validity of entries in public registers, the courts of the State bound
by this Convention in which the register is kept;
(4) in proceedings concerned with the registration
or validity of patents, trade marks, designs, or other similar rights
required to be deposited or registered, irrespective of whether the issue
is raised by way of an action or as a defence, the courts of the State
bound by this Convention in which the deposit or registration has been
applied for, has taken place or is, under the terms of a Community instrument
or an international convention, deemed to have taken place. Without prejudice
to the jurisdiction of the European Patent Office under the Convention
on the grant of European patents, signed at Munich on 5 October 1973,
the courts of each State bound by this Convention shall have exclusive
jurisdiction, regardless of domicile, in proceedings concerned with the
registration or validity of any European patent granted for that State
irrespective of whether the issue is raised by way of an action or as
a defence;
(5) in proceedings concerned with the enforcement
of judgments, the courts of the State bound by this Convention in which
the judgment has been or is to be enforced.
Section 7 (of Title II) Prorogation of Jurisdiction
Article 23 Prorogation clause
- 1. If the parties, one or more of whom is
domiciled in a State bound by this Convention, have agreed that a court
or the courts of a State bound by this Convention are to have jurisdiction
to settle any disputes which have arisen or which may arise in connection
with a particular legal relationship, that court or those courts shall
have jurisdiction. Such jurisdiction shall be exclusive unless the parties
have agreed otherwise. Such an agreement conferring jurisdiction shall
be either:
(a) in writing or evidenced in writing, or
(b) in a form which accords with practices
which the parties have established between themselves, or
(c) in international trade or commerce, in
a form which accords with a usage of which the parties are or ought to
have been aware and which in such trade or commerce is widely known to,
and regularly observed by, parties to contracts of the type involved in
the particular trade or commerce concerned.
- 2. Any communication by electronic means
which provides a durable record of the agreement shall be equivalent to
"writing".
- 3. Where such an agreement is concluded
by parties, none of whom is domiciled in a State bound by this Convention,
the courts of other States bound by this Convention shall have no jurisdiction
over their disputes unless the court or courts chosen have declined jurisdiction.
- 4. The court or courts of a State bound
by this Convention on which a trust instrument has conferred jurisdiction
shall have exclusive jurisdiction in any proceedings brought against a
settlor, trustee or beneficiary, if relations between these persons or
their rights or obligations under the trust are involved.
- 5. Agreements or provisions of a trust instrument
conferring jurisdiction shall have no legal force if they are contrary
to the provisions of Articles 13, 17 or 21, or if the courts whose jurisdiction
they purport to exclude have exclusive jurisdiction by virtue of Article
22.
Article 24 Implied prorogation of jurisdiction
Apart from jurisdiction derived from other provisions of this Convention,
a court of a State bound by this Convention before which a defendant enters
an appearance shall have jurisdiction. This rule shall not apply where
appearance was entered to contest the jurisdiction, or where another court
has exclusive jurisdiction by virtue of Article 22.
Section 8 (of Title II) Examination as to Jurisdiction and Admissibility
Article 25 Exclusive jurisdiction of another court
Where a court of a State bound by this Convention is seised of a claim
which is principally concerned with a matter over which the courts of
another State bound by this Convention have exclusive jurisdiction by
virtue of Article 22, it shall declare of its own motion that it has no
jurisdiction.
Article 26 Defendant does not appear
- 1. Where a defendant domiciled in one State
bound by this Convention is sued in a court of another State bound by
this Convention and does not enter an appearance, the court shall declare
of its own motion that it has no jurisdiction unless its jurisdiction
is derived from the provisions of this Convention.
- 2. The court shall stay the proceedings
so long as it is not shown that the defendant has been able to receive
the document instituting the proceedings or an equivalent document in
sufficient time to enable him to arrange for his defence, or that all
necessary steps have been taken to this end.
- 3. Instead of the provisions of paragraph
2, Article 15 of the Hague Convention of 15 November 1965 on the Service
Abroad of Judicial and Extrajudicial Documents in Civil and Commercial
matters shall apply if the document instituting the proceedings or an
equivalent document had to be transmitted pursuant to that Convention.
- 4. Member States of the European Community
bound by Council Regulation (EC) No 1348/2000 of 29 May 2000 or by the
Agreement between the European Community and the Kingdom of Denmark on
the service of judicial and extrajudicial documents in civil or commercial
matters, signed at Brussels on 19 October 2005, shall apply in their mutual
relations the provision in Article 19 of that Regulation if the document
instituting the proceedings or an equivalent document had to be transmitted
pursuant to that Regulation or that Agreement.
Section 9 (of Title II) Lis Pendens – Related Actions
Article 27 Lis Pendens (stay of proceedings when the
same cause of action between the same parties is brought before courts
of different States)
- 1. Where proceedings involving the same
cause of action and between the same parties are brought in the courts
of different States bound by this Convention, any court other than the
court first seised shall of its own motion stay its proceedings until
such time as the jurisdiction of the court first seised is established.
- 2. Where the jurisdiction of the court first
seised is established, any court other than the court first seised shall
decline jurisdiction in favour of that court.
Article 28 Related actions
- 1. Where related actions are pending in
the courts of different States bound by this Convention, any court other
than the court first seised may stay its proceedings.
- 2. Where these actions are pending at first
instance, any court other than the court first seised may also, on the
application of one of the parties, decline jurisdiction if the court first
seised has jurisdiction over the actions in question and its law permits
the consolidation thereof.
- 3. For the purposes of this Article , actions
are deemed to be related where they are so closely connected that it is
expedient to hear and determine them together to avoid the risk of irreconcilable
judgments resulting from separate proceedings.
Article 29 Decline jurisdiction
Where actions come within the exclusive jurisdiction of several courts,
any court other than the court first seised shall decline jurisdiction
in favour of that court.
Article 30 Moment on which a court is seised for the
purpose of Section 9
For the purposes of this Section, a court shall be deemed to be seised:
(1) at the time when the document instituting
the proceedings or an equivalent document is lodged with the court, provided
that the plaintiff has not subsequently failed to take the steps he was
required to take to have service effected on the defendant; or
(2) if the document has to be served before
being lodged with the court at the time when it is received by the authority
responsible for service, provided that the plaintiff has not subsequently
failed to take the steps he was required to take to have the document
lodged with the court.
Section 10 (of Title II) Provisional, including protective,
measures
Article 31 Jurisdiction for taking provisional and
protective measures
Application may be made to the courts of a State bound by this Convention
for such provisional, including protective, measures as may be available
under the law of that State, even if, under this Convention, the courts
of another State bound by this Convention have jurisdiction as to the
substance of the matter.
TITLE III - RECOGNITION AND ENFORCEMENT
Article 32 Definition of 'judgment'
For the purposes of this Convention, "judgment" means any judgment
given by a court or tribunal of a State bound by this Convention, whatever
the judgment may be called, including a decree, order, decision or writ
of execution, as well as the determination of costs or expenses by an
officer of the court.
Section 1 (of Title III) Recognition
Article 33 Recognition of judgments of a foreign court
- 1. A judgment given in a State bound by
this Convention shall be recognised in the other States bound by this
Convention without any special procedure being required.
- 2. Any interested party who raises the recognition
of a judgment as the principal issue in a dispute may, in accordance with
the procedures provided for in Sections 2 and 3 of this Title, apply for
a decision that the judgment be recognised.
- 3. If the outcome of proceedings in a court
of a State bound by this Convention depends on the determination of an
incidental question of recognition that court shall have jurisdiction
over that question.
Article 34 Grounds for non-recognition of judgments
of foreign courts
A judgment shall not be recognised:
(1) if such recognition is manifestly contrary
to public policy in the State in which recognition is sought;
(2) where it was given in default of appearance,
if the defendant was not served with the document which instituted the
proceedings or with an equivalent document in sufficient time and in such
a way as to enable him to arrange for his defence, unless the defendant
failed to commence proceedings to challenge the judgment when it was possible
for him to do so;
(3) if it is irreconcilable with a judgment
given in a dispute between the same parties in the State in which recognition
is sought;
(4) if it is irreconcilable with an earlier
judgment given in another State bound by this Convention or in a third
State involving the same cause of action and between the same parties,
provided that the earlier judgment fulfils the conditions necessary for
its recognition in the State addressed.
Article 35 Jurisdiction of the court of origin
- 1. Moreover, a judgment shall not be recognised
if it conflicts with Sections 3, 4 or 6 of Title II, or in a case provided
for in Article 68. A judgment may furthermore be refused recognition in
any case provided for in Article 64(3) or 67(4).
- 2. In its examination of the grounds of
jurisdiction referred to in the foregoing paragraph, the court or authority
applied to shall be bound by the findings of fact on which the court of
the State of origin based its jurisdiction.
- 3. Subject to the provisions of paragraph
1, the jurisdiction of the court of the State of origin may not be reviewed.
The test of public policy referred to in Article 34(1) may not be applied
to the rules relating to jurisdiction.
Article 36 Abolition of review of the law applied
by the court of origin
Under no circumstances may a foreign judgment be reviewed as to its substance.
Article 37 Appeal against the foreign decision for
which recognition is sought
- 1. A court of a State bound by this Convention
in which recognition is sought of a judgment given in another State bound
by this Convention may stay the proceedings if an ordinary appeal against
the judgment has been lodged.
- 2. A court of a State bound by this Convention
in which recognition is sought of a judgment given in Ireland or the United
Kingdom may stay the proceedings if enforcement is suspended in the State
of origin, by reason of an appeal.
Section 2 (of Title III) Enforcement
Article 38 Enforcement of judgments of a court of
another State
- 1. A judgment given in a State bound by
this Convention and enforceable in that State shall be enforced in another
State bound by this Convention when, on the application of any interested
party, it has been declared enforceable there.
- 2. However, in the United Kingdom, such
a judgment shall be enforced in England and Wales, in Scotland, or in
Northern Ireland when, on the application of any interested party, it
has been registered for enforcement in that part of the United Kingdom.
Article 39 Court or competent authority
- 1. The application shall be submitted to
the court or competent authority indicated in the list in Annex II.
- 2. The local jurisdiction shall be determined
by reference to the place of domicile of the party against whom enforcement
is sought, or to the place of enforcement.
Article 40 Procedure for an application to make a
judgment enforceable in another State
- 1. The procedure for making the application
shall be governed by the law of the State in which enforcement is sought.
- 2. The applicant must give an address for
service of process within the area of jurisdiction of the court applied
to. However, if the law of the State in which enforcement is sought does
not provide for the furnishing of such an address, the applicant shall
appoint a representative ad litem.
- 3. The documents referred to in Article
53 shall be attached to the application.
Article 41 Decision completing the first stage and
declaration of enforceability
The judgment shall be declared enforceable immediately on completion of
the formalities in Article 53 without any review under Articles 34 and
35. The party against whom enforcement is sought shall not at this stage
of the proceedings be entitled to make any submissions on the application.
Article 42 Notification of the applicant; declaration
of enforceability shall be served on other party
- 1. The decision on the application for a
declaration of enforceability shall forthwith be brought to the notice
of the applicant in accordance with the procedure laid down by the law
of the State in which enforcement is sought.
- 2. The declaration of enforceability shall
be served on the party against whom enforcement is sought, accompanied
by the judgment, if not already served on that party.
Article 43 Appeal against the decision on the declaration
of enforceability
- 1. The decision on the application for a
declaration of enforceability may be appealed against by either party.
- 2. The appeal is to be lodged with the court
indicated in the list in Annex III.
- 3. The appeal shall be dealt with in accordance
with the rules governing procedure in contradictory matters.
- 4. If the party against whom enforcement
is sought fails to appear before the appellate court in proceedings concerning
an appeal brought by the applicant, Article 26(2) to (4) shall apply even
where the party against whom enforcement is sought is not domiciled in
any of the States bound by this Convention.
- 5. An appeal against the declaration of
enforceability is to be lodged within one month of service thereof. If
the party against whom enforcement is sought is domiciled in a State bound
by this Convention other than that in which the declaration of enforceability
was given, the time for appealing shall be two months and shall run from
the date of service, either on him in person or at his residence. No extension
of time may be granted on account of distance.
Article 44 Appeal to the courts as mentioned in Annex
IV (further appeals)
The judgment given on the appeal may be contested only by the appeal referred
to in Annex IV.
Article 45 Scope of review on an appeal under Article
43
- 1. The court with which an appeal is lodged
under Article 43 or Article 44 shall refuse or revoke a declaration of
enforceability only on one of the grounds specified in Articles 34 and
35. It shall give its decision without delay.
- 2. Under no circumstances may the foreign
judgment be reviewed as to its substance.
Article 46 Appeal against the foreign judgment whose
enforcement is sought
- 1. The court with which an appeal is lodged
under Article 43 or Article 44 may, on the application of the party against
whom enforcement is sought, stay the proceedings if an ordinary appeal
has been lodged against the judgment in the State of origin or if the
time for such an appeal has not yet expired; in the latter case, the court
may specify the time within which such an appeal is to be lodged.
- 2. Where the judgment was given in Ireland
or the United Kingdom, any form of appeal available in the State of origin
shall be treated as an ordinary appeal for the purposes of paragraph 1.
- 3. The court may also make enforcement conditional
on the provision of such security as it shall determine.
Article 47 Provisional and protective measures
- 1. When a judgment must be recognised in
accordance with this Convention, nothing shall prevent the applicant from
availing himself of provisional, including protective, measures in accordance
with the law of the State requested without a declaration of enforceability
under Article 41 being required.
- 2. The declaration of enforceability shall
carry with it the power to proceed to any protective measures.
- 3. During the time specified for an appeal
pursuant to Article 43(5) against the declaration of enforceability and
until any such appeal has been determined, no measures of enforcement
may be taken other than protective measures against the property of the
party against whom enforcement is sought.
Article 48 Enforcement in respect of certain matters
only; partial enforcement
- 1. Where a foreign judgment has been given
in respect of several matters and the declaration of enforceability cannot
be given for all of them, the court or competent authority shall give
it for one or more of them.
- 2. An applicant may request a declaration
of enforceability limited to parts of a judgment.
Article 49 Judgments ordering periodic penalty payments
A foreign judgment which orders a periodic payment by way of a penalty
shall be enforceable in the State in which enforcement is sought only
if the amount of the payment has been finally determined by the courts
of the State of origin.
Article 50 Legal aid
- 1. An applicant who in the State of origin
has benefited from complete or partial legal aid or exemption from costs
or expenses shall be entitled, in the procedure provided for in this Section,
to benefit from the most favourable legal aid or the most extensive exemption
from costs or expenses provided for by the law of the State addressed.
- 2. However, an applicant who requests the
enforcement of a decision given by an administrative authority in Denmark,
in Iceland or in Norway in respect of maintenance may, in the State addressed,
claim the benefits referred to in paragraph 1 if he presents a statement
from the Danish, Icelandic, or Norwegian Ministry of Justice to the effect
that he fulfils the economic requirements to qualify for the grant of
complete or partial legal aid or exemption from costs or expenses.
Article 51 No security, bond or deposit
No security, bond or deposit, however described, shall be required of
a party who in one State bound by this Convention, applies for enforcement
of a judgment given in another State bound by this Convention on the ground
that he is a foreign national or that he is not domiciled or resident
in the State in which enforcement is sought.
Article 52 No charge, duty or fee
In proceedings for the issue of a declaration of enforceability, no charge,
duty or fee calculated by reference to the value of the matter at issue
may be levied in the State in which enforcement is sought.
Section 3 (of Title III) Common Provisions
Article 53 Documents to be produced when applying
for a declaration of enforceability
- 1. A party seeking recognition or applying
for a declaration of enforceability shall produce a copy of the judgment
which satisfies the conditions necessary to establish its authenticity.
- 2. A party applying for a declaration of
enforceability shall also produce the certificate referred to in Article
54, without prejudice to Article 55.
Article 54 Issuance of a certificate by the court
in accordance with standard forms
The court or competent authority of a State bound by this Convention where
a judgment was given shall issue, at the request of any interested party,
a certificate using the standard form in Annex V to this Convention.
Article 55 Granting additional time to produce the
necessary documents
- 1. If the certificate referred to in Article
54 is not produced, the court or competent authority may specify a time
for its production or accept an equivalent document or, if it considers
that it has sufficient information before it, dispense with its production.
- 2. If the court or competent authority so
requires, a translation of the documents shall be produced. The translation
shall be certified by a person qualified to do so in one of the States
bound by this Convention.
Article 56 No legalisation or similar formality required
No legalisation or other similar formality shall be required in respect
of the documents referred to in Article 53 or Article 55(2), or in respect
of a document appointing a representative ad litem.
TITLE IV - AUTHENTIC INSTRUMENTS AND COURT SETTLEMENTS
Article 57 Authentic instruments
- 1. A document which has been formally drawn
up or registered as an authentic instrument and is enforceable in one
State bound by this Convention shall, in another State bound by this Convention,
be declared enforceable there, on application made in accordance with
the procedures provided for in Article 38, et seq. The court with which
an appeal is lodged under Article 43 or Article 44 shall refuse or revoke
a declaration of enforceability only if enforcement of the instrument
is manifestly contrary to public policy in the State addressed.
- 2. Arrangements relating to maintenance
obligations concluded with administrative authorities or authenticated
by them shall also be regarded as authentic instruments within the meaning
of paragraph 1.
- 3. The instrument produced must satisfy
the conditions necessary to establish its authenticity in the State of
origin.
- 4. Section 3 of Title III shall apply as
appropriate. The competent authority of a State bound by this Convention
where an authentic instrument was drawn up or registered shall issue,
at the request of any interested party, a certificate using the standard
form in Annex VI to this Convention.
Article 58 Court settlements
A settlement which has been approved by a court in the course of proceedings
and is enforceable in the State bound by this Convention in which it was
concluded shall be enforceable in the State addressed under the same conditions
as authentic instruments. The court or competent authority of a State
bound by this Convention where a court settlement was approved shall issue,
at the request of any interested party, a certificate using the standard
form in Annex V to this Convention.
Article 59 Definition of the concept of domicile
- 1. In order to determine whether a party
is domiciled in the State bound by this Convention whose courts are seised
of a matter, the court shall apply its internal law.
- 2. If a party is not domiciled in the State
whose courts are seised of the matter, then, in order to determine whether
the party is domiciled in another State bound by this Convention, the
court shall apply the law of that State.
Article 60 Definition of the concept of domicile for
companies and other legal persons
- 1. For the purposes of this Convention,
a company or other legal person or association of natural or legal persons
is domiciled at the place where it has its:
(a) statutory seat; or
(b) central administration; or
(c) principal place of business.
- 2. For the purposes of the United Kingdom
and Ireland "statutory seat" means the registered office or,
where there is no such office anywhere, the place of incorporation or,
where there is no such place anywhere, the place under the law of which
the formation took place.
- 3. In order to determine whether a trust
is domiciled in the State bound by this Convention whose courts are seised
of the matter, the court shall apply its rules of private international
law.
Article 61 Unintentional offences in criminal courts
Without prejudice to any more favourable provisions of national laws,
persons domiciled in a State bound by this Convention who are being prosecuted
in the criminal courts of another State bound by this Convention of which
they are not nationals for an offence which was not intentionally committed
may be defended by persons qualified to do so, even if they do not appear
in person. However, the court seised of the matter may order appearance
in person; in the case of failure to appear, a judgment given in the civil
action without the person concerned having had the opportunity to arrange
for his defence need not be recognised or enforced in the other States
bound by this Convention.
Article 62 Definition of the term ‘court’
For the purposes of this Convention, the expression "court"
shall include any authorities designated by a State bound by this Convention
as having jurisdiction in the matters falling within the scope of this
Convention.
TITLE VI - TRANSITIONAL PROVISIONS
Article 63 Transitional provisions
- 1. This Convention shall apply only to legal
proceedings instituted and to documents formally drawn up or registered
as authentic instruments after its entry into force in the State of origin
and, where recognition or enforcement of a judgment or authentic instruments
is sought, in the State addressed.
- 2. However, if the proceedings in the State
of origin were instituted before the entry into force of this Convention,
judgments given after that date shall be recognised and enforced in accordance
with Title III:
(a) if the proceedings in the State of origin
were instituted after the entry into force of the Lugano Convention of
16 September 1988 both in the State of origin and in the State addressed;
(b) in all other cases, if jurisdiction was
founded upon rules which accorded with those provided for either in Title
II or in a convention concluded between the State of origin and the State
addressed which was in force when the proceedings were instituted.
TITLE VII - RELATIONSHIP TO COUNCIL REGULATION (EC)
No 44/2001 AND OTHER INSTRUMENTS
Article 64 Lugano Convention 2007 in relation to Brussels
I Regulation and the 1968 Brussels Convention covering the same matters
- 1. This Convention shall not prejudice the
application by the Member States of the European Community of the Council
Regulation (EC) No 44/2001 on jurisdiction and the recognition and enforcement
of judgments in civil and commercial matters, as well as any amendments
thereof, of the Convention on Jurisdiction and the Enforcement of Judgments
in Civil and Commercial Matters, signed at Brussels on 27 September 1968,
and of the Protocol on interpretation of that Convention by the Court
of Justice of the European Communities, signed at Luxembourg on 3 June
1971, as amended by the Conventions of Accession to the said Convention
and the said Protocol by the States acceding to the European Communities,
as well as of the Agreement between the European Community and the Kingdom
of Denmark on jurisdiction and the recognition and enforcement of judgments
in civil and commercial matters, signed at Brussels on 19 October 2005.
- 2. However, this Convention shall in any
event be applied:
(a) in matters of jurisdiction, where the defendant
is domiciled in the territory of a State where this Convention but not
an instrument referred to in paragraph 1 of this Article applies, or where Articles 22 or 23 of this Convention confer jurisdiction on the courts
of such a State;
(b) in relation to lis pendens or to related
actions as provided for in Articles 27 and 28, when proceedings are instituted
in a State where the Convention but not an instrument referred to in paragraph
1 of this Article applies and in a State where this Convention as well
as an instrument referred to in paragraph 1 of this Article apply;
(c) in matters of recognition and enforcement,
where either the State of origin or the State addressed is not applying
an instrument referred to in paragraph 1 of this Article .
- 3. In addition to the grounds provided for
in Title III, recognition or enforcement may be refused if the ground
of jurisdiction on which the judgment has been based differs from that
resulting from this Convention and recognition or enforcement is sought
against a party who is domiciled in a State where this Convention but
not an instrument referred to in paragraph 1 of this Article applies,
unless the judgment may otherwise be recognised or enforced under any
rule of law in the State addressed.
Article 65 Lugano Convention 2007 in relation to other
(multilateral or bilateral) Conventions between Contracting States on
the same matters
Subject to the provisions of Articles 63(2), 66 and 67, this Convention
shall, as between the States bound by this Convention, supersede the conventions
concluded between two or more of them that cover the same matters as those
to which this Convention applies. In particular, the conventions mentioned
in Annex VII shall be superseded.
Article 66 Lugano Convention 2007 in relation to other
Conventions between Contracting States on particular matters
- 1. The conventions referred to in Article
65 shall continue to have effect in relation to matters to which this
Convention does not apply.
- 2. They shall continue to have effect in
respect of judgments given and documents formally drawn up or registered
as authentic instruments before the entry into force of this Convention.
Article 67 Relation to other Conventions governing
jurisdiction or the recognition or enforcement of judgments inr egard
to particular matters
- 1. This Convention shall not affect any
conventions by which the Contracting Parties and/or the States bound by
this Convention are bound and which in relation to particular matters,
govern jurisdiction or the recognition or enforcement of judgments. Without
prejudice to obligations resulting from other agreements between certain
Contracting Parties, this Convention shall not prevent Contracting Parties
from entering into such conventions.
- 2. This Convention shall not prevent a court
of a State bound by this Convention and by a convention on a particular
matter from assuming jurisdiction in accordance with that convention,
even where the defendant is domiciled in another State bound by this Convention
which is not a party to that convention. The court hearing the action
shall, in any event, apply Article 26 of this Convention.
- 3. Judgments given in a State bound by this
Convention by a court in the exercise of jurisdiction provided for in
a convention on a particular matter shall be recognised and enforced in
the other States bound by this Convention in accordance with Title III
of this Convention.
- 4. In addition to the grounds provided for
in Title III, recognition or enforcement may be refused if the State addressed
is not bound by the convention on a particular matter and the person against
whom recognition or enforcement is sought is domiciled in that State,
or, if the State addressed is a Member State of the European Community
and in respect of conventions which would have to be concluded by the
European Community, in any of its Member States, unless the judgment may
otherwise be recognised or enforced under any rule of law in the State
addressed.
- 5. Where a convention on a particular matter
to which both the State of origin and the State addressed are parties
lays down conditions for the recognition or enforcement of judgments,
those conditions shall apply. In any event, the provisions of this Convention
which concern the procedures for recognition and enforcement of judgments
may be applied.
Article 68 Relation to other Conventions imposing
an obligation not to recognise judgments given in another State
- 1. This Convention shall not affect agreements
by which States bound by this Convention undertook, prior to the entry
into force of this Convention, not to recognise judgments given in other
States bound by this Convention against defendants domiciled or habitually
resident in a third State where, in cases provided for in Article 4, the
judgment could only be founded on a ground of jurisdiction as specified
in Article 3(2). Without prejudice to obligations resulting from other
agreements between certain Contracting Parties, this Convention shall
not prevent Contracting Parties from entering into such conventions.
- 2. However, a Contracting Party may not
assume an obligation towards a third State not to recognise a judgment
given in another State bound by this Convention by a court basing its
jurisdiction on the presence within that State of property belonging to
the defendant, or the seizure by the plaintiff of property situated there:
(a) if the action is brought to assert or declare
proprietary or possessory rights in that property, seeks to obtain authority
to dispose of it, or arises from another issue relating to such property,
or
(b) if the property constitutes the security
for a debt which is the subject-matter of the action.
Article 69 Signature, ratification and entry into
force
- 1. The Convention shall be open for signature
by the European Community, Denmark, and States which, at the time of the
opening for signature, are Members of the European Free Trade Association.
- 2. This Convention shall be subject to ratification
by the Signatories. The instruments of ratification shall be deposited
with the Swiss Federal Council, which shall act as Depositary of this
Convention.
- 3. At the time of the ratification, the
Contracting Parties may submit declarations in accordance with Articles I, II and III of Protocol 1.
- 4. The Convention shall enter into force
on the first day of the sixth month following the date on which the European
Community and a Member of the European Free Trade Association deposit
their instruments of ratification.
- 5. The Convention shall enter into force
in relation to any other Party on the first day of the third month following
the deposit of its instrument of ratification.
- 6. Without prejudice to Article 3(3) of Protocol
2, this Convention shall replace the Convention on jurisdiction and the
enforcement of judgments in civil and commercial matters done at Lugano
on 16 September 1988 as of the date of its entry into force in accordance
with paragraphs 4 and 5 above. Any reference to the 1988 Lugano Convention
in other instruments shall be understood as a reference to this Convention.
- 7. Insofar as the relations between the Member
States of the European Community and the non-European territories referred
to in Article 70(1)(b) are concerned, this Convention shall replace the
Convention on Jurisdiction and the Enforcement of Judgments in Civil and
Commercial Matters, signed at Brussels on 27 September 1968, and of the
Protocol on interpretation of that Convention by the Court of Justice
of the European Communities, signed at Luxembourg on 3 June 1971, as amended
by the Conventions of Accession to the said Convention and the said Protocol
by the States acceding to the European Communities, as of the date of
the entry into force of this Convention with respect to these territories
in accordance with Article 73(2).
Article 70 Accession by other States
- 1. After entering into force this Convention
shall be open for accession by:
(a) the States which, after the opening of
this Convention for signature, become Members of the European Free Trade
Association, under the conditions laid down in Article 71;
(b) Member States of the European Community
acting on behalf of certain non-European territories that are part of
the territory of that Member State or for whose external relations that
Member State is responsible, under the conditions laid down in Article
71;
(c) any other State, under the conditions laid
down in Article 72.
- 2. States referred to in paragraph 1, which
wish to become a Contracting Party to this Convention, shall address their
application to the Depositary. The application, including the information
referred to in Articles 71 and 72 shall be accompanied by a translation
into English and French.
Article 71 Information to be submitted by an applicant
State that wants to become a Contracting Party to the Convention
- 1. Any State referred to in Article 70(1)(a)
and (b) wishing to become a Contracting Party to this Convention:
(a) shall communicate the information required
for the application of this Convention;
(b) may submit declarations in accordance with
Articles I and III of Protocol 1.
- 2. The Depositary shall transmit any information
received pursuant to paragraph 1 to the other Contracting Parties prior
to the deposit of the instrument of accession by the State concerned.
Article 72 Formal requirements for an application
to become a new Contracting Party to the Convention
- 1. Any State referred to in Article 70(1)(c)
wishing to become a Contracting Party to this Convention:
(a) shall communicate the information required
for the application of this Convention;
(b) may submit declarations in accordance with Articles I and III of Protocol 1; and
(c) shall provide the Depositary with information
on, in particular:
(1) their judicial system, including information
on the appointment and independence of judges;
(2) their internal law concerning civil procedure
and enforcement of judgments; and
(3) their private international law relating
to civil procedure.
- 2. The Depositary shall transmit any information
received pursuant to paragraph 1 to the other Contracting Parties prior
to inviting the State concerned to accede in accordance with paragraph
3 of this Article.
- 3. Without prejudice to paragraph 4, the
Depositary shall invite the State concerned to accede only if it has obtained
the unanimous agreement of the Contracting Parties. The Contracting Parties
shall endeavour to give their consent at the latest within one year after
the invitation by the Depositary.
- 4. The Convention shall enter into force
only in relations between the acceding State and the Contracting Parties
which have not made any objections to the accession before the first day
of the third month following the deposit of the instrument of accession.
Article 73 Depositary of the instruments of accession;
entry into force of an accession
- 1. The instruments of accession shall be
deposited with the Depositary.
- 2. In respect of an acceding State referred
to in Article 70, the Convention shall enter into force on the first day
of the third month following the deposit of its instrument of accession.
As of that moment, the acceding State shall be considered a Contracting
Party to the Convention.
- 3. Any Contracting Party may submit to the
Depositary a text of this Convention in the language or languages of the
Contracting Party concerned, which shall be authentic if so agreed by
the Contracting Parties in accordance with Article 4 of Protocol 2.
Article 74 Duration and denunciation of the Convention
- 1. This Convention is concluded for an unlimited
period.
- 2. Any Contracting Party may, at any time,
denounce the Convention by sending a notification to the Depositary.
- 3. The denunciation shall take effect at
the end of the calendar year following the expiry of a period of six months
from the date of receipt by the Depositary of the notification of denunciation.
Article 75 Documents annexed to the Convention
The following are annexed to this Convention:
– a Protocol 1, on certain questions of jurisdiction, procedure
and enforcement,
– a Protocol 2, on the uniform interpretation of this Convention
and on the Standing Committee,
– a Protocol 3, on the application of Article 67 of this Convention,
– Annexes I through IV and Annex VII, with information related to
the application of this Convention,
– Annexes V and VI, containing the certificates referred to in Articles 54, 58 and 57 of this Convention,
– Annex VIII, containing the authentic languages referred to in
Article 79 of this Convention, and
– Annex IX, concerning the application of Article II of Protocol
1. These Protocols and Annexes shall form an integral part of this Convention.
Article 76 Revision of the Convention
Without prejudice to Article 77, any Contracting Party may request the
revision of this Convention. To that end, the Depositary shall convene
the Standing Committee as laid down in Article 4 of Protocol 2.
Article 77 Procedure for revision of the Annexes;
adaptation of amended Annexes
- 1. The Contracting Parties shall communicate
to the Depositary the text of any provisions of the laws which amend the
lists set out in Annexes I through IV as well as any deletions in or additions
to the list set out in Annex VII and the date of their entry into force.
Such communication shall be made within reasonable time before the entry
into force and be accompanied by a translation into English and French.
The Depositary shall adapt the Annexes concerned accordingly, after having
consulted the Standing Committee in accordance with Article 4 of Protocol
2. For that purpose, the Contracting Parties shall provide a translation
of the adaptations into their languages.
- 2. Any amendment of Annexes V through VI
and VIII through IX to this Convention shall be adopted by the Standing
Committee in accordance with Article 4 of Protocol 2.
Article 78 Information duty of the Depositary
- 1. The Depositary shall notify the Contracting
Parties of:
(a) the deposit of each instrument of ratification
or accession;
(b) the dates of entry into force of this Convention
in respect of the Contracting Parties;
(c) any declaration received pursuant to Articles I to IV of Protocol 1;
(d) any communication made pursuant to Article
74(2), Article 77(1) and paragraph 4 of Protocol 3.
- 2. The notifications will be accompanied
by translations into English and French.
Article 79 Deposit at the Swiss Federal Archives
This Convention, drawn up in a single original in the languages listed
in Annex VIII, all texts being equally authentic, shall be deposited in
the Swiss Federal Archives. The Swiss Federal Council shall transmit a
certified copy to each Contracting Party.
IN WITNESS WHEREOF, the undersigned Plenipotentiaries, have signed this Convention.
Done at Lugano 30 October 2007
PROTOCOLS
PROTOCOL 1
on certain questions of jurisdiction, procedure and enforcement the high
Contracting Parties have agreed as follows:
Article I
- 1. Judicial and extrajudicial documents
drawn up in one State bound by this Convention which have to be served
on persons in another State bound by this Convention shall be transmitted
in accordance with the procedures laid down in the conventions and agreements
applicable between these States.
- 2. Unless the Contracting Party on whose
territory service is to take place objects by declaration to the Depositary,
such documents may also be sent by the appropriate public officers of
the State in which the document has been drawn up directly to the appropriate
public officers of the State in which the addressee is to be found. In
this case the officer of the State of origin shall send a copy of the
document to the officer of the State applied to who is competent to forward
it to the addressee. The document shall be forwarded in the manner specified
by the law of the State applied to. The forwarding shall be recorded by
a certificate sent directly to the officer of the State of origin.
- 3. Member States of the European Community
bound by Council Regulation (EC) No 1348/2000 of 29 May 2000 or by the
Agreement between the European Community and the Kingdom of Denmark on
the service of judicial and extrajudicial documents in civil or commercial
matters, signed at Brussels on 19 October 2005, shall apply in their mutual
relations that Regulation and that Agreement.
Article II
- 1. The jurisdiction specified in Articles 6(2) and 11 in actions on a warranty or guarantee or in any other third
party proceedings may not be fully resorted to in the States bound by
this Convention referred to in Annex IX. Any person domiciled in another
State bound by this Convention may be sued in the courts of these States
pursuant to the rules referred to in Annex IX.
- 2. At the time of ratification the European
Community may declare that proceedings referred to in Articles 6(2) and
11 may not be resorted to in some other Member States and provide information
on the rules that shall apply.
- 3. Judgments given in the other States bound
by this Convention by virtue of Article 6(2) or Article 11 shall be recognised
and enforced in the States mentioned in paragraphs 1 and 2 in accordance
with Title III. Any effects which judgments given in these States may
have on third parties by application of the provisions in paragraphs 1
and 2 shall also be recognised in the other States bound by this Convention.
Article III
- 1. Switzerland reserves the right to declare
upon ratification that it will not apply the following part of the provision
in Article 34(2): "unless the defendant failed to commence proceedings
to challenge the judgment when it was possible for him to do so".
If Switzerland makes such declaration, the other Contracting Parties shall
apply the same reservation in respect of judgments rendered by the courts
of Switzerland.
- 2. Contracting Parties may, in respect of
judgments rendered in an acceding State referred to in Article 70(1)(c),
by declaration reserve: (a) the right mentioned in paragraph 1; and (b)
the right of an authority mentioned in Article 39, notwithstanding the
provisions of Article 41, to examine of its own motion whether any of
the grounds for refusal of recognition and enforcement of a judgment is
present or not.
- 3. If a Contracting Party has made such
a reservation towards an acceding State as referred to in paragraph 2,
this acceding State may by declaration reserve the same right in respect
of judgments rendered by the courts of that Contracting Party.
- 4. Except for the reservation mentioned
in paragraph 1, the declarations are valid for periods of five years and
are renewable at the end of such periods. The Contracting Party shall
notify a renewal of a declaration referred to under paragraph 2 not later
than six months prior to the end of such period. An acceding State may
only renew its declaration made under paragraph 3 after renewal of the
respective declaration under paragraph 2.
Article IV
The declarations referred to in this Protocol may be withdrawn at any
time by notification to the Depositary. The notification shall be accompanied
by a translation into English and French. The Contracting Parties provide
for translations into their languages. Any such withdrawal shall take
effect as of the first day of the third month following that notification.
PROTOCOL 2
on the uniform interpretation of the Convention and on the Standing Committee
THE HIGH CONTRACTING PARTIES,
HAVING REGARD to Article 75 of this Convention,
CONSIDERING the substantial link between this Convention, the 1988 Lugano Convention, and the instruments referred to in Article 64(1) of this Convention,
CONSIDERING that the Court of Justice of the European Communities has jurisdiction to give rulings on the interpretation of the provisions of the instruments referred to in Article 64(1) of this Convention,
CONSIDERING that this Convention becomes part of Community rules and that therefore the Court of Justice of the European Communities has jurisdiction to give rulings on the interpretation of the provisions of this Convention as regards the application by the courts of the Member States of the European Community,
BEING AWARE of the rulings delivered by the Court of Justice of the European Communities on the interpretation of the instruments referred to in Article 64(1) of this Convention up to the time of signature of this Convention, and of the rulings delivered by the courts of the Contracting Parties to the 1988 Lugano Convention on the latter Convention up to the time of signature of this Convention,
CONSIDERING that the parallel revision of both the 1988 Lugano and Brussels Conventions, which led to the conclusion of a revised text for these Conventions, was substantially based on the above mentioned rulings on the 1968 Brussels and the 1988 Lugano Conventions,
CONSIDERING that the revised text of the Brussels Convention has been incorporated, after the entry into force of the Amsterdam Treaty, into Regulation (EC) No 44/2001,
CONSIDERING that this revised text also constituted the basis for the text of this Convention,
DESIRING to prevent, in full deference to the independence of the courts, divergent interpretations and to arrive at an interpretation as uniform as possible of the provisions of this Convention and of those of the Regulation (EC) No 44/2001 which are substantially reproduced in this Convention and of other instruments referred to in Article 64(1) of this Convention,
HAVE AGREED AS FOLLOWS:
Article 1 Uniform interpretation of the Convention
(the obligation to have regard to precedent)
- 1. Any court applying and interpreting this
Convention shall pay due account to the principles laid down by any relevant
decision concerning the provision(s) concerned or any similar provision(s)
of the 1988 Lugano Convention and the instruments referred to in Article
64(1) of the Convention rendered by the courts of the States bound by
this Convention and by the Court of Justice of the European Communities.
- 2. For the courts of Member States of the
European Community, the obligation laid down in paragraph 1 shall apply
without prejudice to their obligations in relation to the Court of Justice
of the European Communities resulting from the Treaty establishing the
European Community or from the Agreement between the European Community
and the Kingdom of Denmark on jurisdiction and the recognition and enforcement
of judgments in civil and commercial matters, signed at Brussels on 19
October 2005.
Article 2 Contracting Party may submit statements
of case or written observations for preliminary rulings
Any State bound by this Convention and which is not a Member State of
the European Community is entitled to submit statements of case or written
observations, in accordance with Article 23 of the Protocol on the Statute
of the Court of Justice of the European Communities, where a court or
tribunal of a Member State of the European Community refers to the Court
of Justice for a preliminary ruling a question on the interpretation of
this Convention or of the instruments referred to in Article 64(1) of
this Convention.
Article 3 Exchange of information on national and
Community judgments
- 1. The Commission of the European Communities
shall set up a system of exchange of information concerning relevant judgments
delivered pursuant to this Convention as well as relevant judgments under
the 1988 Lugano Convention and the instruments referred to in Article
64(1) of this Convention. This system shall be accessible to the public
and contain judgments delivered by the courts of last instance and of
the Court of Justice of the European Communities as well as judgments
of particular importance which have become final and have been delivered
pursuant to this Convention, the 1988 Lugano Convention, and the instruments
referred to in Article 64(1) of this Convention. The judgments shall be
classified and provided with an abstract. The system shall comprise the
transmission to the Commission by the competent authorities of the States
bound by this Convention of judgments as referred to above delivered by
the courts of these States.
- 2. A selection of cases of particular interest
for the proper functioning of the Convention will be made by the Registrar
of the Court of Justice of the European Communities, who shall present
the selected case law at the meeting of experts in accordance with Article
5 of this Protocol.
- 3. Until the European Communities have set
up the system pursuant to paragraph 1, the Court of Justice of the European
Communities shall maintain the system for the exchange of information
established by Protocol 2 of the 1988 Lugano Convention for judgments
delivered under this Convention and the 1988 Lugano Convention.
Article 4 The Standing Committee of representatives
of the contracting parties
- 1. A Standing Committee shall be set up,
composed of the representatives of the Contracting Parties.
- 2. At the request of a Contracting Party,
the Depositary of the Convention shall convene meetings of the Committee
for the purpose of:
– a consultation on the relationship between this Convention and
other international instruments,
– a consultation on the application of Article 67, including intended
accessions to instruments on particular matters according to Article 67(1),
and proposed legislation according to Protocol 3,
– the consideration of the accession of new States. In particular,
the Committee may ask acceding States referred to in Article 70(1)(c)
questions about its judicial system and the implementation of the Convention.
The Committee may also consider possible adaptations to the Convention
necessary for its application in the acceding States,
– the acceptance of new authentic language versions pursuant to
Article 73(3) of this Convention and the necessary amendments to Annex
VIII,
– a consultation on a revision of the Convention pursuant to Article
76,
– a consultation on amendments to Annexes I through IV and Annex
VII pursuant to Article 77(1),
– the adoption of amendments to Annexes V and VI pursuant to Article
77(2),
– a withdrawal of the reservations and declarations made by the
Contracting Parties pursuant to Protocol 1 and necessary amendments to
Annex IX.
- 3. The Committee shall establish the procedural
rules concerning its functioning and decisionmaking. These rules shall
provide for the possibility to consult and decide by written procedure.
Article 5 Meetings of experts
- 1. The Depositary may convene, whenever
necessary, a meeting of experts to exchange views on the functioning of
the Convention, in particular on the development of the case-law and new
legislation that may influence the application of the Convention.
- 2. This meeting shall be composed of experts
of the Contracting Parties, of the States bound by this Convention, of
the Court of Justice of the European Communities, and of the European
Free Trade Association. It shall be open to any other experts whose presence
is deemed appropriate.
- 3. Any problems arising on the functioning
of the Convention may be referred to the Standing Committee referred to
in Article 4 of this Protocol for further action.
PROTOCOL 3
on the application of Article 67 of the Convention the high Contracting
Parties have agreed as follows:
1. For the purposes of the Convention, provisions which, in relation to particular matters, govern jurisdiction or the recognition or enforcement of judgments and which are or will be contained in acts of the institutions of the European Communities shall be treated in the same way as the conventions referred to in Article 67(1).
2. If one of the Contracting Parties is of the opinion that a provision contained in a proposed act of the institutions of the European Communities is incompatible with the Convention, the Contracting Parties shall promptly consider amending the Convention pursuant to Article 76, without prejudice to the procedure established by Protocol 2.
3. Where a Contracting Party or several Parties together incorporate some or all of the provisions contained in acts of the institutions of the European Community referred to in paragraph 1 into national law, then these provisions of national law shall be treated in the same way as the conventions referred to in Article 67(1).
4. The Contracting Parties shall communicate to the Depositary the text of the provisions mentioned in paragraph 3. Such communication shall be accompanied by a translation into English and French.
ANNEX I - IX
The rules of jurisdiction referred to in Article 3(2) and 4(2) of the
Convention are the following:
– in Belgium: Articles 5 through 14 of the Law of 16 July 2004
on private international law,
– in Bulgaria: Article 4(1) of the International Private Law Code,
– in the Czech Republic: Article 86 of Act No 99/1963 Coll., the
Code of Civil Procedure (obcanský soudní rád), as
amended,
– in Denmark: Article 246(2) and (3) of the Administration of Justice
Act (Lov om rettens pleje),
– in Germany: Article 23 of the code of civil procedure (Zivilprozeßordnung),
– in Estonia: Paragraph 86 of the Code of Civil Procedure (tsiviilkohtumenetluse
seadustik),
– in Greece: Article 40 of the code of civil procedure (??d??a?
????t???? ??????µ?a?),
– in France: Articles 14 and 15 of the civil code (Code civil),
– in Iceland: Article 32 paragraph 4 of the Civil Proceedings Act
(Lög um meðferð einkamála nr. 91/1991),
– in Ireland: the rules which enable jurisdiction to be founded
on the document instituting the proceedings having been served on the
defendant during his temporary presence in Ireland,
– in Italy: Articles 3 and 4 of Act 218 of 31 May 1995,
– in Cyprus: section 21(2) of the Courts of Justice Law No 14 of
1960, as amended,
– in Latvia: section 27 and paragraphs 3, 5, 6 and 9 of section
28 of the Civil Procedure Law (Civilprocesa likums),
– in Lithuania: Article 31 of the Code of Civil Procedure (Civilinio
proceso kodeksas),
– in Luxembourg: Articles 14 and 15 of the civil code (Code civil),
– in Hungary: Article 57 of Law Decree No. 13 of 1979 on International
Private Law (a nemzetközi magánjogról szóló
1979. évi 13. törvényereju rendelet),
– in Malta: Articles 742, 743 and 744 of the Code of Organisation
and Civil Procedure – Cap. 12 (Kodici ta' Organizzazzjoni u Procedura
Civili – Kap. 12) and Article 549 of the Commercial Code –
Cap. 13 (Kodici tal-kummerc - Kap. 13),
– in Norway: Section 4-3(2) second sentence of the Dispute Act (tvisteloven),
– in Austria: Article 99 of the Law on court Jurisdiction (Jurisdiktionsnorm),
– in Poland: Articles 1103 and 1110 of the Code of Civil Procedure
(Kodeks postepowania cywilnego), insofar as they establish jurisdiction
on the basis of the defendant’s residence in Poland, the possession
by the defendant of property in Poland or his entitlement to property
rights in Poland, the fact that the object of the dispute is located in
Poland and the fact that one of the parties is a Polish citizen,
– in Portugal: Article 65 and Article 65A of the code of civil procedure
(Código de Processo Civil) and Article 11 of the code of labour
procedure (Código de Processo de Trabalho),
– in Romania: Articles 148-157 of Law No. 105/1992 on Private International
Law Relations,
– in Slovenia: Article 48(2) of the Private International Law and
Procedure Act (Zakon o mednarodnem zasebnem pravu in postopku) in relation
to Article 47(2) of Civil Procedure Act (Zakon o pravdnem postopku) and
Article 58 of the Private International Law and Procedure Act (Zakon o
mednarodnem zasebnem pravu in postopku) in relation to Article 59 of Civil
Procedure Act (Zakon o pravdnem postopku),
– in Slovakia: Articles 37 to 37e of Act No 97/1963 on Private
International Law and the Rules of Procedure relating thereto,
– in Switzerland: le for du lieu du séquestre/Gerichtsstand
des Arrestortes/foro del luogo del sequestro within the meaning of Article
4 of the loi fédérale sur le droit international privé/Bundesgesetz
über das internationale Privatrecht/legge federale sul diritto internazionale
privato,
– in Finland: the second, third and fourth sentences of the first
paragraph of Section 1 of Chapter 10 of the Code of Judicial Procedure
(oikeudenkäymiskaari/rättegångsbalken), – in Sweden:
the first sentence of the first paragraph of Section 3 of Chapter 10 of
the Code of Judicial Procedure (rättegångsbalken),
– in the United Kingdom: the rules which enable jurisdiction to
be founded on:
(a) the document instituting the proceedings having been served on the
defendant during his temporary presence in the United Kingdom, or
(b) the presence within the United Kingdom of property belonging to the
defendant, or
(c) the seizure by the plaintiff of property situated in the United Kingdom.
The courts or competent authorities to which the application referred
to in Article 39 of the Convention may be submitted are the following:
– in Belgium: the "tribunal de première instance"
or "rechtbank van eerste aanleg" or "erstinstanzliches
Gericht",
– in Bulgaria: the "???????? ??????? ???",
– in the Czech Republic: the "okresní soud" or
"soudní exekutor",
– in Denmark: the "byret",
– in Germany:
(a) the presiding judge of a chamber of the "Landgericht";
(b) a notary in a procedure of declaration of enforceability of an authentic
instrument,
– in Estonia: the "maakohus" (county court),
– in Greece: the "????µe??? ???t?d??e??",
– in Spain: the "Juzgado de Primera Instancia",
– in France:
(a) the "greffier en chef du tribunal de grande instance";
(b) the "président de la chambre départementale des
notaires" in the case of application for a declaration of enforceability
of a notarial authentic instrument,
– in Ireland: the High Court,
– in Iceland:the "héraðsdómur",
– in Italy: the "corte d'appello",
– in Cyprus: the "?pa???a?? ???ast????" or in the case
of a maintenance judgment the "?????e?e?a?? ???ast????",
– in Latvia: the "rajona (pilsetas) tiesa",
– in Lithuania: the "Lietuvos apeliacinis teismas",
– in Luxembourg: the presiding judge of the "tribunal d'arrondissement",
– in Hungary: the "megyei bíróság székhelyén
muködo helyi bíróság", and in Budapest
the "Budai Központi Kerületi Bíróság",
– in Malta: the "Prim' Awla tal-Qorti Civili" or "Qorti
tal-Magistrati ta' Ghawdex filgurisdizzjoni superjuri taghha", or,
in the case of a maintenance judgment, the "Registratur tal-Qorti"
on transmission by the "Ministru responsabbli ghall-Gustizzja",
– in the Netherlands: the "voorzieningenrechter van de rechtbank",
– in Norway: the "tingrett",
– in Austria: the "Bezirksgericht",
– in Poland: the "sad okregowy",
– in Portugal: the "Tribunal de Comarca",
– in Romania: the "Tribunal",
– in Slovenia: the "okrožno sodišce",
– in Slovakia: the "okresný súd",
– in Switzerland:
(a) in respect of judgments ordering the payment of a sum of money, the
"juge de la mainlevée"/"Rechtsöffnungsrichter"/"giudice
competente a pronunciare sul rigetto dell'opposizione", within the
framework of the procedure governed by Articles 80 and 81 of the loi
fédérale sur la poursuite pour dettes et la faillite/Bundesgesetz
über Schuldbetreibung und Konkurs/legge federale sulla esecuzione
e sul fallimento;
(b) in respect of judgments ordering a performance other than the payment
of a sum of money, the "juge cantonal d'exequatur" compétent/zuständiger
"kantonaler Vollstreckungsrichter"/"giudice cantonale"
competente a pronunciare l'exequatur,
– in Finland: the "käräjäoikeus/tingsrätt",
– in Sweden: the "Svea hovrätt",
– in the United Kingdom:
(a) in England and Wales, the High Court of Justice, or in the case of
a maintenance judgment, the Magistrates' Court on transmission by the
Secretary of State;
(b) in Scotland, the Court of Session, or in the case of a maintenance
judgment, the Sheriff Court on transmission by the Secretary of State;
(c) in Northern Ireland, the High Court of Justice, or in the case of
a maintenance judgment, the Magistrates' Court on transmission by the
Secretary of State;
(d) in Gibraltar, the Supreme Court of Gibraltar, or in the case of a
maintenance judgment, the Magistrates' Court on transmission by the Attorney
General of Gibraltar.
The courts with which appeals referred to in Article 43(2) of the Convention
may be lodged are the following:
– in Belgium:
(a) as regards appeal by the defendant, the "tribunal de première
instance" or "rechtbank van eerste aanleg" or "erstinstanzliche
Gericht";
(b) as regards appeal by the applicant: the "cour d'appel" or
"hof van beroep",
– in Bulgaria: the "?????????? ??? - ?????",
– in the Czech Republic: the court of appeal through the district
court,
– in Denmark: the "landsret",
– in the Federal Republic of Germany: the "Oberlandesgericht",
– in Estonia: the "ringkonnakohus",
– in Greece: the "?fete??",
– in Spain: el "Juzgado de Primera Instancia" que dictó
la resolución recurrida para ser resuelto el recurso por la Audiencia
Provincial,
– in France:
(a) the "cour d'appel" on decisions allowing the application;
(b) the presiding judge of the "tribunal de grande instance",
on decisions rejecting the application,
– in Ireland: the High Court,
– in Iceland: the "héraðsdómur",
– in Italy: the "corte d'appello",
– in Cyprus: the "?pa???a?? ???ast????" or in the case
of a maintenance judgment the "?????e?e?a?? ???ast????",
– in Latvia: the "Apgabaltiesa" via the "rajona (pilsetas)
tiesa",
– in Lithuania: the "Lietuvos apeliacinis teismas",
– in Luxembourg: the "Cour supérieure de justice"
sitting as a court of civil appeal,
– in Hungary: the local court situated at the seat of the county
court (in Budapest, the Central District Court of Buda); the appeal is
adjudicated by the county court (in Budapest, the Capital Court),
– in Malta: the "Qorti ta' l-Appell" in accordance with
the procedure laid down for appeals in the Kodici ta' Organizzazzjoni
u Procedura Civili - Kap.12 or in the case of a maintenance judgment by
"citazzjoni" before the "Prim' Awla tal-Qorti ivili jew
il-Qorti tal-Magistrati ta' Ghawdex fil-gurisdizzjoni superjuri taghha'",
– in the Netherlands: the "rechtbank",
– in Norway: the "lagmannsrett",
– in Austria: the "Landesgericht" via the "Bezirksgericht",
– in Poland: the "sad apelacyjny" via the "sad okregowy",
– in Portugal: the "Tribunal da Relação"
is the competent court. The appeals are launched, in accordance with the
national law in force, by way of a request addressed to the court which
issued the contested decision,
– in Romania: the "Curte de Apel",
– in Slovenia: the "okrožno sodišce",
– in Slovakia: the court of appeal through the district court whose
decision is being appealed,
– in Switzerland: the "tribunal cantonal/Kantonsgericht/tribunale
cantonale",
– in Finland: the "hovioikeus/hovrätt",
– in Sweden: the "Svea hovrätt",
– in the United Kingdom:
(a) in England and Wales, the High Court of Justice, or in the case of
a maintenance judgment, the Magistrates' Court;
(b) in Scotland, the Court of Session, or in the case of a maintenance
judgment, the Sheriff Court;
(c) in Northern Ireland, the High Court of Justice, or in the case of
a maintenance judgment, the Magistrates' Court;
(d) in Gibraltar, the Supreme Court of Gibraltar, or in the case of a
maintenance judgment, the Magistrates' Court.
The appeals which may be lodged pursuant to Article 44 of the Convention
are the following:
– in Belgium: Greece, Spain, France, Italy, Luxembourg and in the
Netherlands, an appeal in cassation,
– in Bulgaria: "????????? ???? ????????? ?????????? ???",
– in the Czech Republic: a "dovolání" and
a "žaloba pro zmatecnost",
– in Denmark: an appeal to the "højesteret", with
the leave of the "Procesbevillingsnævnet",
– in the Federal Republic of Germany: a "Rechtsbeschwerde",
– in Estonia: a "kassatsioonikaebus",
– in Ireland: an appeal on a point of law to the Supreme Court,
– in Iceland: an appeal to the "Hæstiréttur",
– in Cyprus: an appeal to the Supreme Court,
– in Latvia: an appeal to the "Augstakas tiesas Senats"
via the "Apgabaltiesa",
– in Lithuania: an appeal to the "Lietuvos Aukšciausiasis
Teismas",
– in Hungary: "felülvizsgálati kérelem",
– in Malta: no further appeal lies to any other court; in the case
of a maintenance judgment the "Qorti ta' l-Appell" in accordance
with the procedure laid down for appeal in the "kodici ta' Organizzazzjoni
u Procedura Civili - Kap. 12",
– in Norway: an appeal to the "Høyesteretts Ankeutvalg"
or "Høyesterett",
– in Austria: a "Revisionsrekurs",
– in Poland: "skarga kasacyjna",
– in Portugal: an appeal on a point of law,
– in Romania: a "contestatie in anulare" or a "revizuire",
– in Slovenia: an appeal to the "Vrhovno sodišce Republike
Slovenije",
– in Slovakia: the "dovolanie",
– in Switzerland: a "recours devant le Tribunal fédéral"/"Beschwerde
beim Bundesgericht"/"ricorso davanti al Tribunale federale",
– in Finland: an appeal to the "korkein oikeus/högsta
domstolen",
– in Sweden: an appeal to the "Högsta domstolen",
– in the United Kingdom: a single further appeal on a point of law.
ANNEX V
Certificate on judgments and court settlements referred to in Articles 54 and 58 of the Convention on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters
1. State of origin
2. Court or competent authority issuing the certificate
2.1. Name
2.2. Address
2.3. Tel/Fax/E-mail
3. Court which delivered the judgment/approved the court settlement*
3.1. Type of court
3.2. Place of court
4. Judgment/court settlement*
4.1. Date
4.2. Reference number
4.3. The parties to the judgment/court settlement*
4.3.1. Name(s) of plaintiff(s)
4.3.2. Name(s) of defendant(s
4.3.3. Name(s) of other party(ies), if any
4.4. Date of service of the document instituting the proceedings where
judgment was given in default of appearance
4.5. Text of the judgment/court settlement* as annexed to this certificate
5. Names of parties to whom legal aid has been granted
The judgment/court settlement* is enforceable in the State of origin (Article 38/58 of the Convention) against:
Name :
Done at.........................., date....................
Signature and/or stamp ...............................
* Delete as appropriate
Certificate on authentic instruments referred to in Article 57(4) of the Convention on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters
1. State of origin
2. Court or competent authority issuing the certificate
2.1. Name
2.2. Address
2.3. Tel/Fax/E-mail
3. Authority which has given authenticity to the instrument
3.1. Authority involved in the drawing up of the authentic instrument
(if applicable)
3.1.1. Name and designation of authority
3.1.2. Place of authority
3.2. Authority which has registered the authentic instrument (if applicable)
3.2.1. Type of authority
3.2.2. Place of authority
4. Authentic instrument
4.1. Description of the instrument
4.2. Date
4.2.1. on which the instrument was drawn up
4.2.2. if different: on which the instrument was registered
4.3. Reference number
4.4. Parties to the instrument
4.4.1. Name of the creditor
4.4.2. Name of the debtor
5. Text of the enforceable obligation as annexed to this certificate.
The authentic instrument is enforceable against the debtor in the State of origin (Article 57(1) of the Convention).
Done at date
Signature and/or stamp
The conventions superseded pursuant to Article 65 of the Convention are,
in particular, the following:
– the Treaty between the Swiss Confederation and Spain on the mutual
enforcement of judgments in civil or commercial matters, signed at Madrid
on 19 November 1896,
– the Convention between the Czechoslovak Republic and the Swiss
Confederation on the recognition and enforcement of judgments with additional
protocol, signed at Bern on 21 December 1926,
– the Convention between the Swiss Confederation and the German
Reich on the recognition and enforcement of judgments and arbitration
awards, signed at Berne on 2 November 1929,
– the Convention between Denmark, Finland, Iceland, Norway and Sweden
on the recognition and enforcement of judgments, signed at Copenhagen
on 16 March 1932,
– the Convention between the Swiss Confederation and Italy on the
recognition and enforcement of judgments, signed at Rome on 3 January
1933,
– the Convention between Sweden and the Swiss Confederation on the
recognition and enforcement of judgments and arbitral awards signed at
Stockholm on 15 January 1936,
– the Convention between the Swiss Confederation and Belgium on
the recognition and enforcement of judgments and arbitration awards, signed
at Berne on 29 April 1959,
– the Convention between Austria and the Swiss Confederation on
the recognition and enforcement of judgments, signed at Berne on 16 December
1960,
– the Convention between Norway and the United Kingdom providing
for the reciprocal recognition and enforcement of judgments in civil matters,
signed at London on 12 June 1961,
– the Convention between Norway and the Federal Republic of Germany
on the recognition and enforcement of judgments and enforceable documents,
in civil and commercial matters, signed at Oslo on 17 June 1977,
– the Convention between Denmark, Finland, Iceland, Norway and Sweden
on the recognition and enforcement of judgments in civil matters, signed
at Copenhagen on 11 October 1977, and
– the Convention between Norway and Austria on the recognition and
enforcement of judgments in civil matters, signed at Vienna on 21 May
1984.
The languages referred to in Article 79 of the Convention are Bulgarian, Czech, Danish, Dutch, English, Estonian, Finnish, French, German, Greek, Hungarian, Icelandic, Irish, Italian, Latvian, Lithuanian, Maltese, Norwegian, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish and Swedish.
The States and the rules referred to in Article II of Protocol 1 are
the following:
– Germany: Articles 68, 72, 73 and 74 of the code of civil procedure
(Zivilprozeßordnung) concerning third-party notices,
– Austria: Article 21 of the code of civil procedure (Zivilprozeßordnung)
concerning third-party notices,
– Hungary: Articles 58 to 60 of the Code of Civil Procedure (Polgári
perrendtartás) concerning third-party notices,
– Switzerland, with respect to those cantons whose applicable code
of civil procedure does not provide for the jurisdiction referred to in Articles 6(2) and 11 of the Convention: the appropriate provisions concerning
third-party notices (litis denuntiatio) of the applicable code of civil
procedure.
Council Decision of 27 November 2008
concerning the conclusion of the Convention on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (2009/430/EC)
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular Article 61(c) thereof, in conjunction with the first subparagraph of Article 300(2) and the second subparagraph of Article 300(3) thereof,
Having regard to the proposal from the Commission,
Having regard to the assent of the European Parliament [1],
(1) On 16 September 1988, the Member States of the European Communities signed an international agreement with the Republic of Iceland, the Kingdom of Norway and the Swiss Confederation on jurisdiction and the enforcement of judgments in civil and commercial matters [2] (the Lugano Convention), thereby extending to Iceland, Norway, and Switzerland the application of the rules of the Convention of 27 September 1968 on the same subject matter [3] (the Brussels Convention).
(2) Negotiations concerning a revision of the Brussels Convention and the Lugano Convention were undertaken during the years 1998-1999 within the framework of an ad hoc Working Party enlarged with Iceland, Norway and Switzerland. These negotiations led to the adoption of a text of a draft convention prepared by the Working Party, which was confirmed by the Council at its meeting on 27 and 28 May 1999.
(3) Subsequent negotiations within the Council on the basis of this text led to the adoption of Council Regulation (EC) No 44/2001 of 22 December 2000 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters [4], which modernised the rules of the Brussels Convention and made the system of recognition and enforcement swifter and more efficient.
(4) In the light of the parallelism between the Brussels and the Lugano Convention regimes on jurisdiction and on recognition and enforcement of judgments in civil and commercial matters, the rules of the Lugano Convention should be aligned with the rules of Regulation (EC) No 44/2001 in order to achieve the same level of circulation of judgments between the EU Member States and the EFTA States concerned.
(5) In accordance with the Protocol on the position of Denmark, annexed to the Treaty on European Union and to the Treaty establishing the European Community, Denmark does not take part in the application of measures pursuant to Title IV of the Treaty establishing the European Community. In order for the rules of the Lugano Convention to apply to Denmark, Denmark should therefore participate as a Contracting Party to a new convention covering the same subject matter.
(6) By Decision of 27 September 2002, the Council authorised the Commission to negotiate with a view to the adoption of a new Lugano Convention on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters.
(7) The Commission negotiated such a convention, on behalf of the Community, with Iceland, Norway, Switzerland and Denmark. This Convention was signed, on behalf of the Community, on 30 October 2007 in accordance with Council Decision 2007/712/EC [5], subject to its conclusion at a later date.
(8) At the time of the adoption of Decision 2007/712/EC the Council agreed to examine in the framework of the discussions on the conclusion of the new Lugano Convention the possibility of making a declaration in accordance with Article II(2) of Protocol 1 to the Convention. The Community should make such a declaration at the time of conclusion of the Convention.
(9) During the negotiations of the Convention the Community committed itself to making a declaration, at the time of ratification of the Convention, to the effect that when amending Regulation (EC) No 44/2001 the Community would clarify the scope of Article 22(4) of the said Regulation with a view to taking into account the relevant case law of the Court of Justice of the European Communities with respect to proceedings concerned with the registration or validity of intellectual property rights, thereby ensuring its parallelism with Article 22(4) of the Convention. In this context, regard should be had to the results of the evaluation of the application of Regulation (EC) No 44/2001.
(10) In accordance with Article 3 of the Protocol on the position of the United Kingdom and Ireland, annexed to the Treaty on European Union and to the Treaty establishing the European Community, the United Kingdom and Ireland are taking part in the adoption and application of this Decision.
(11) In accordance with Articles 1 and 2 of the Protocol on the position of Denmark, Denmark does not take part in the adoption of this Decision and is not bound by it or subject to its application.
(12) The Convention should now be concluded,
HAS DECIDED AS FOLLOWS:
Article 1
The conclusion of the Convention on jurisdiction and the recognition and
enforcement of judgments in civil and commercial matters, which will replace
the Lugano Convention of 16 September 1988, is hereby approved on behalf
of the Community.
When depositing its instrument of ratification, the Community shall make
the declarations set out in Annexes I and II to this Decision.
The text of the Convention is attached to this Decision.
Article 2
The President of the Council is hereby authorised to designate the person(s)
empowered to deposit on behalf of the Community the instrument of ratification
in accordance with Article 69(2) of the Convention.
Done at Brussels, 27 November 2008.
For the Council
The President
M. Alliot-Marie
[1] Assent of 18 November 2008 (not yet published in the Official Journal).
[2] Convention on jurisdiction and the enforcement of judgments in civil and commercial matters (OJ L 319, 25.11.1988, p. 9).
[3] Brussels Convention on jurisdiction and the enforcement of judgments in civil and commercial matters (OJ L 299, 31.12.1972, p. 32). (Consolidated version in OJ C 27, 26.1.1998, p. 1).
[4] OJ L 12, 16.1.2001, p. 1.
[5] Council Decision 2007/712/EC of 15 October 2007 on the signing, on behalf of the Community, of the Convention on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (OJ L 339, 21.12.2007, p. 1).
DECLARATION BY THE EUROPEAN COMMUNITY
"The European Community hereby declares that, when amending Council Regulation (EC) No 44/2001 on jurisdiction, recognition and enforcement of judgments in civil and commercial matters, it intends to clarify the scope of Article 22(4) of the said Regulation with a view to taking into account the relevant case law of the Court of Justice of the European Communities with respect to proceedings concerned with the registration or validity of intellectual property rights, thereby ensuring its parallelism with Article 22(4) of the Convention while taking into account the results of the evaluation of the application of Regulation (EC) No 44/2001."
DECLARATION BY THE EUROPEAN COMMUNITY IN ACCORDANCE WITH ARTICLE II(2) OF PROTOCOL 1 TO THE CONVENTION
"The European Community declares that proceedings referred to in Articles 6(2) and 11 may not be resorted to in the following Member States: Estonia, Latvia, Lithuania, Poland and Slovenia in addition to the three already mentioned in Annex IX to the Convention.
In accordance with Article 77(2) of the Convention the Standing Committee set up by Article 4 of Protocol 2 to the Convention should therefore as soon as the Convention enters into force be requested to amend Annex IX to the Convention as follows:
"ANNEX IX
The States and the rules referred to in Article II of Protocol 1 are the following:
- Germany: Articles 68, 72, 73 and 74 of the code of civil procedure (Zivilprozessordnung) concerning third-party notices,
- Estonia: Article 214(3) and (4) and Article 216 of the Code of Civil Procedure (tsiviilkohtumenetluse seadustik) concerning third-party notices,
- Latvia: Articles 78, 79, 80 and 81 of the Civil Procedure Law (Civilprocesa likums) concerning third-party notices,
- Lithuania: Article 47 of the Code of Civil Procedure (Civilinio proceso kodeksas),
- Hungary: Articles 58 to 60 of the Code of Civil Procedure (Polgári perrendtartás) concerning third-party notices,
- Austria: Article 21 of the code of civil procedure (Zivilprozessordnung) concerning third-party notices,
- Poland: Articles 84 and 85 of the Code of Civil Procedure (Kodeks postepowania cywilnego) concerning third-party notices (przypozwanie),
- Slovenia: Article 204 of the Civil Procedure Act (Zakon o pravdnem postopku) concerning third-party notices,
- Switzerland, with respect to those cantons whose applicable code of civil procedure does not provide for the jurisdiction referred to in Articles 6(2) and 11 of the Convention: the appropriate provisions concerning third-party notices (litis denuntiatio) of the applicable code of civil procedure."