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758Unif

758Unif.L.Rev.2004-4

ALI/UNIDROITPrinciplesofTransnationalCivilProcedure*

ScopeandImplementation

ThesePrinciplesarestandardsforadjudicationoftransnationalcommercialdisputes.

ThesePrinciplesmaybeequallyappropriatefortheresolutionofmostotherkindsofcivil

disputesandmaybethebasisforfutureinitiativesinreformingcivilprocedure.

Comment:

P-AAnationalsystemseekingtoimplementthesePrinciplescoulddosobyasuitable

legalmeasure,suchasastatuteorsetofrules,oraninternationaltreaty.Forumlawmay

excludecategoriesofmattersfromapplicationofthesePrinciplesandmayextendtheir

applicationtoothercivilmatters.CourtsmayadapttheirpracticetothesePrinciples,especially

withtheconsentofthepartiestolitigation.ThesePrinciplesalsoestablishstandardsfor

determiningwhetherrecognitionshouldbegiventoaforeignjudgment.SeePrinciple30.The

procedurallawoftheforumappliesinmattersnotaddressedinthesePrinciples.

P-BTheadoptivedocumentmayincludeamorespecificdefinitionof“commercial”

and“transnational.”Thattaskwillnecessarilyinvolvecarefulreflectiononlocallegaltradition

andconnotationoflegallanguage.Transnationalcommercialtransactionsmayinclude

commercialcontractsbetweennationalsofdifferentstatesandcommercialtransactionsina

statebyanationalofanotherstate.Commercialtransactionsmayincludesale,lease,loan,

investment,acquisition,banking,security,property（includingintellectualproperty）,andother

businessorfinancialtransactions,butdonotnecessarilyincludeclaimsprovidedbytypical

consumer-protectionstatutes.

P-CTransnationaldisputes,ingeneral,donotarisewhollywithinastateandinvolve

disputingpartieswhoarefromthesamestate.ForpurposesofthesePrinciples,anindividualis

consideredanationalbothofastateoftheperson’scitizenshipandthestateoftheperson’s

habitualresidence.Ajuralentity（corporation,unincorporatedassociation,partnership,orother

organizationalentity）isconsideredtobefromboththestatefromwhichithasreceivedits

charteroforganizationandthestateinwhichithasitsprincipalplaceofbusiness.

P-DIncasesinvolvingmultiplepartiesormultipleclaims,amongwhichareonesnot

withinthescopeofthesePrinciples,thesePrinciplesshouldapplywhenthecourtdetermines

thattheprincipalmattersincontroversyarewithinthescopeofapplicationofthesePrinciples.

However,thesePrinciplesarenotapplicable,withoutmodification,togrouplitigation,suchas

class,representative,orcollectiveactions.

*ThetextofthePrinciplesandtheaccompanyingcommentarywereadoptedbytheAmerican

LawInstitute（ALI）inMay2004andbytheInternationalInstitutefortheUnificationofPrivateLaw

（UNIDROIT）inApril2004.

ALI/UNIDROITPrinciplesofTransnationalCivilProcedure

760Unif.L.Rev.2004-4

P-EThesePrinciplesareequallyapplicabletointernationalarbitration,excepttothe

extentofbeingincompatiblewitharbitrationproceedings,forexample,thePrinciplesrelatedto

jurisdiction,publicityofproceedings,andappeal.

1.Independence,Impartiality,andQualificationsoftheCourtandItsJudges

1.1Thecourtandthejudgesshouldhavejudicialindependencetodecidethedispute

accordingtothefactsandthelaw,includingfreedomfromimproperinternaland

externalinfluence.

1.2Judgesshouldhavereasonabletenureinoffice.Nonprofessionalmembersofthecourt

shouldbedesignatedbyaprocedureassuringtheirindependencefromtheparties,the

dispute,andotherpersonsinterestedintheresolution.

1.3Thecourtshouldbeimpartial.Ajudgeorotherpersonhavingdecisionalauthoritymust

notparticipateifthereisreasonablegroundtodoubtsuchperson’simpartiality.There

shouldbeafairandeffectiveprocedureforaddressingcontentionsofjudicialbias.

1.4Neitherthecourtnorthejudgeshouldacceptcommunicationsaboutthecasefroma

partyintheabsenceofotherparties,exceptforcommunicationsconcerning

proceedingswithoutnoticeandforroutineproceduraladministration.When

communicationbetweenthecourtandapartyoccursintheabsenceofanotherparty,

thatpartyshouldbepromptlyadvisedofthecontentofthecommunication.

1.5Thecourtshouldhavesubstantiallegalknowledgeandexperience.

Comment:

P-1AIndependencecanbeconsideredamoreobjectivecharacteristicandimpartialitya

moresubjectiveone,buttheseattributesarecloselyconnected.

P-1BExternalinfluencesmayemanatefrommembersoftheexecutiveorlegislative

branch,prosecutors,orpersonswitheconomicinterests,etc.Internalinfluencecouldemanate

fromotherofficialsofthejudicialsystem.

P-1CThisPrinciplerecognizesthattypicallyjudgesserveforanextensiveperiodof

time,usuallytheirentirecareers.However,insomesystemsmostjudgesassumethebench

onlyaftercareersaslawyersandsomejudicialofficialsaredesignatedforshortperiods.An

objectiveofthisPrincipleistoavoidthecreationofadhoccourts.Theterm“judge”includes

anyjudicialorquasi-judicialofficialunderthelawoftheforum.

P-1DAprocedureforaddressingquestionsofjudicialbiasisnecessaryonlyinunusual

circumstances,butavailabilityoftheprocedureisareassurancetolitigants,especiallynationals

ofothercountries.However,theprocedureshouldnotinviteabusethroughinsubstantialclaims

ofbias.

P-1EProceedingswithoutnotice（exparteproceedings）maybeproper,forexamplein

initiallyapplyingforaprovisionalremedy.SeePrinciples5.8and8.Proceedingsafterdefault

aregovernedbyPrinciple15.Routineproceduraladministrationincludes,forexample,

specificationofdatesforsubmissionofproposedevidence.

P-1FPrinciple1.5requiresonlythatjudgesfortransnationallitigationbefamiliarwith

thelaw.Itdoesnotrequirethejudgetohavespecialknowledgeofcommercialorfinanciallaw,

butfamiliaritywithsuchmatterswouldbedesirable.

ALI/UNIDROITPrinciplesofTransnationalCivilProcedure

762Unif.L.Rev.2004-4

2.JurisdictionOverParties

2.1Jurisdictionoverapartymaybeexercised:

2.1.1Byconsentofthepartiestosubmitthedisputetothetribunal;

2.1.2Whenthereisasubstantialconnectionbetweentheforumstateandthepartyor

thetransactionoroccurrenceindispute.Asubstantialconnectionexistswhena

significantpartofthetransactionoroccurrenceoccurredintheforumstate,

whenanindividualdefendantisahabitualresidentoftheforumstateorajural

entityhasreceiveditscharteroforganizationorhasitsprincipalplaceof

businesstherein,orwhenpropertytowhichthedisputerelatesislocatedinthe

forumstate.

2.2Jurisdictionmayalsobeexercised,whennootherforumisreasonablyavailable,onthe

basisof:

2.2.1Presenceornationalityofthedefendantintheforumstate;or

2.2.2Presenceintheforumstateofthedefendant’sproperty,whetherornotthe

disputerelatestotheproperty,butthecourt’sauthorityshouldbelimitedtothe

propertyoritsvalue.

2.3Acourtmaygrantprovisionalmeasureswithrespecttoapersonortopropertyinthe

territoryoftheforumstate,evenifthecourtdoesnothavejurisdictionoverthe

controversy.

2.4Exerciseofjurisdictionmustordinarilybedeclinedwhenthepartieshavepreviously

agreedthatsomeothertribunalhasexclusivejurisdiction.

2.5Jurisdictionmaybedeclinedortheproceedingsuspendedwhenthecourtismanifestly

inappropriaterelativetoanothermoreappropriatecourtthatcouldexercise

jurisdiction.

2.6Thecourtshoulddeclinejurisdictionorsuspendtheproceeding,whenthedisputeis

previouslypendinginanothercourtcompetenttoexercisejurisdiction,unlessitappears

thatthedisputewillnotbefairly,effectively,andexpeditiouslyresolvedinthatforum.

Comment:

P-2ASubjecttorestrictionsonthecourt’sjurisdictionunderthelawoftheforumand

subjecttorestrictionsofinternationalconventions,ordinarilyacourtmayexercisejurisdiction

upontheparties’consent.Acourtshouldnotexercisejurisdictiononthebasisofimplied

consentwithoutgivingthepartiesafairopportunitytochallengejurisdiction.Intheabsenceof

theparties’consent,andsubjecttotheparties’agreementthatsomeothertribunalorforumhas

exclusivejurisdiction,ordinarilyacourtmayexercisejurisdictiononlyifthedisputeis

connectedtotheforum,asprovidedinPrinciple2.1.2.

P-2BThestandardof“substantialconnection”hasbeengenerallyacceptedfor

internationallegaldisputes.Administrationofthisstandardnecessarilyinvolveselementsof

practicaljudgmentandself-restraint.Thatstandardexcludesmerephysicalpresence,which

withintheUnitedStatesiscolloquiallycalled“tagjurisdiction.”Merephysicalpresenceasa

basisofjurisdictionwithintheAmericanfederationhashistoricaljustificationthatisinapposite

inmoderninternationaldisputes.Theconceptof“substantialconnection”maybespecifiedand

ALI/UNIDROITPrinciplesofTransnationalCivilProcedure

764Unif.L.Rev.2004-4

elaboratedininternationalconventionsandinnationallaws.Thescopeofthisexpressionmight

notbethesameinallsystems.However,theconceptdoesnotsupportgeneraljurisdictionon

thebasisof“doingbusiness”notrelatedtothetransactionoroccurrenceindispute.

P-2CPrinciple2.2coverstheconceptof“forumnecessitatis”—theforumofnecessity

wherebyacourtmayproperlyexercisejurisdictionwhennootherforumisreasonablyavailable.

P-2DPrinciple2.3recognizesthatastatemayexercisejurisdictionbysequestrationor

attachmentoflocallysituate