Owusu, Lis Pedens and the Recent Recast of the Brussels I Regulation

AuthorIvan Ovchinnikov
PositionSenior Sophister LLB Candidate, Trinity College Dublin
Pages40-70
© 2016 Ivan Ovchinnikov and Dublin University Law Society
OWUSU,LIS PENDENS AND THE RECENT
RECAST OF THE BRUSSELS IREGULATION
IVAN OVCHINNIKOV*
Introduction
In1968,theBrusselsConventionwasconcludedinordertofacilitatethe
reciprocalrecognitionandenforcementofjudgmentsofcourtsortribunals
amongcontractingstates.1ItwaslaterreplacedbytheBrusselsRegulation2
which,whilemakingcertainadjustments,replicatedthebulkofthe
Convention’sprovisions3andmadethesedirectlyapplicableinandbinding
onallEUMemberStates.4Likeitspredecessor,theRegulationaimedto
implementmeasuresrelatingtojudicialcooperationincivilmatters,which
werenecessaryforthesoundoperationoftheinternalmarket.5Specifically,
itsoughttoaddressthedifferencesinthenationalrulesgoverning
jurisdictionandtherecognitionofjudgments,whichimpededthefree
movementofjudgmentsbetweenMemberStates.6Therefore,the
Regulation’sobjectivewastounifythelawsrelatingtoconflictsof
jurisdictionincivilandcommercialmatters,inordertoestablish a rapidand
simplesystemfortherecognitionandenforcementofjudgmentsamongthe
MemberStates.7
However,itssomewhatmyopicfocusonMemberStatesalone
resultedin alacunaconcerningaffairsinvolvingstateswhicharenot
*Senior Sophister LLB Candidate, Trinity College Dublin. The author would like to dedicate
this article to his parents, Tatiana and Eduward Gendelman. The author would also like to thank
Dr Liz Heffernan and Tara Smyth for their helpful comments and suggestions on an earlier
draft of this article.
1 Convention of 27 September 1968 on Jurisdiction and the Enforcement of Judgments in Civil
and Commercial Matters [hereinafter the Convention].
2 Council Regulation (EC) No44/2001/EC of 22 December 2000 on jurisdiction and the
recognition and enforcement of judgments incivil and commercial matters, OJ L12/1
[hereinafter the Regulation].
3Please note that while a lot of the caselaw discussed in this work was decided under the terms
of the Convention, when addressing the provisions of the Convention this work refers tothe
corresponding provisions of the Regulation instead, for the sake of convenience.
4 Although Denmark initially opted out of the Regulation, it opted inat a later stage.
5 Recital (1) of the Regulation.
6 Recital (2) of the Regulation.
7Ibid.
2016] Owusu, Lis Pendens and the Recent Recast of the Brussels I Regulation!
41
membersoftheEuropeanUnion.ItisthislacunaoftheBrusselsRegime,
aswellastherecent“BrusselsRecast”seekingtoremedyit,thatisthefocus
ofthisarticle.Thelacunais aconsequenceandby-productofthe
Regulation’sprincipalobjectiveofensuringcertaintyinthesphereof
PrivateInternationalLaw.Thisaimofcertaintycanonlybeachievedvia
highlypredictablerules.8Therefore,theRegulationestablished ageneral
ruleofjurisdictionunderarticle 2 statingthat“subjecttothisRegulation,
personsdomiciledin aMemberStateshall,whatevertheirnationality,be
suedinthecourtsofthatMemberState”.InthecaseofOwusu v Jackson,9
theECJemphasisedthisarticle 2 asbeingmandatoryinnatureandthatno
derogationcouldbemadefrom theprincipleitlaysdown,exceptin
situationsexpresslyprovidedforelsewhereintheRegulation.10Itwasheld
thatthegoalsofuniformityandpredictabilityrequiredthisgeneralruleof
jurisdictioninarticle 2tobeappliedstrictlyandinflexibly.Themyopic
focusoftheRegulation’sprovisionsonMemberStates,togetherwiththis
inflexibilityofsaidprovisionswhichpreventsaninterpretativeextension
beyondtheirstrictconfines,causesparticularunfairnessincasesoflis
pendensinnon-MemberStatecourts.
Lispendensis asituationwherebythedisputebefore aforumis
alreadythesubjectofproceedingspendingbefore a courtofanotherState.
WhiletheRegulationestablishesanexpressexceptiontoarticle 2 whenthe
courtof aMemberStateisfacedwithlispendensinthecourtofanother
MemberState,itdoesnotcontainanyprovisionstodealwithsuch a lis
pendensin anon-MemberStatecourt.Article27statesthatwhere
proceedingsbetweenthesamepartiesandinvolvingthesamecauseof
actionarebroughtindifferentMemberStates,anycourtotherthanthecourt
firstseisedmuststayproceedings.Article28in a similarveinprovidesthat
whenconcurrentproceedingsinMemberStatecourtsarerelated(as
opposedtoidentical),11 anycourtotherthanthecourtfirstseisedmaystay
proceedings.Therefore,whiletheBrusselsRegulationenablescourtsto
effectivelydealwith a lispendensinanotherMemberState,itdoesnotdo
8 Recital (11) of the Regulation.
9 Case 281/02 [2005]ECR I – 1383 [hereinafter Owusu].
10 Case 281/02 [2005]ECR I – 1383, at 37. These exceptions are outlined in Chapter II of the
Regulation, and include the rules of exclusive jurisdiction under Article 22, choice-of-court
agreements under Article 23 and lis pendens under Articles 27-28.
11 Article 28(3) defines related actions asactions that are “so closely connected that itis
expedient to hear and determine them together to avoid the risk of irreconcilable judgments
resulting from separate proceedings.”

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