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Recognition—A Story of How Two Worlds Meet

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Blurry Boundaries of Public and Private International Law
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Abstract

Recognition as a legal category has been a traditional instrument in both private and public international law. In the former, concerning judicial decisions and arbitral awards; in the latter, concerning the recognition of States and governments. However, the multiple new uses of this doctrine over the last few decades have shown that it has immense potential for framing and operationalising other public and private international law situations. Recognition of foreign decisions and acts and recognition of foreign legal situations have demonstrated the growing intersectionality between public international law and private international law. This combined with the fluidity of the boundaries between both disciplines, the rise of extraterritoriality and the demands of pluralism, raises recognition to the status of a proper transversal legal instrument.

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Notes

  1. 1.

    Axel (2004), pp. 133–136.

  2. 2.

    Menzel (2011), pp. 810–811 and 827–829.

  3. 3.

    See Neumeyer (1911), p. 6.

  4. 4.

    Two simple examples: (i) international surrogacy is seen in some countries as an issue to be legislated against and even criminalised; in others, it is seen as a contractual issue; (ii) some professions are reserved in some countries to holders of a specific diploma; in others, they are only subject to the market.

  5. 5.

    Bureau and Watt (2017), p. 279.

  6. 6.

    As already highlighted by Frankenstein (1926), pp. 328 and 443.

  7. 7.

    Vicente (2009), p. 808.

  8. 8.

    On this particular discussion, see Burbaum (2003), p. 27, Wojtyczek (2009), p. 115 and Wenander (2011), p. 756.

  9. 9.

    Luzzatto (1972), p. 247.

  10. 10.

    Schmidt-Aßmann (2012), pp. 292–293.

  11. 11.

    Bermann (2008), pp. 23–30.

  12. 12.

    Delbrück et al. (2012), pp. 3–16.

  13. 13.

    Even in these cases, de iure mutual trust is not always followed by de facto mutual trust, in cases for instance of systemic breach of recognition requirements. See Cambien (2017), p. 101.

  14. 14.

    For a summing up, see Wiegant (2017), pp. 1488–1492.

  15. 15.

    Voet (1715), p. 140, Huberi (1976), p. 25, Story (1834), pp. 33–37. This ground has not been forgotten and is evidenced, among others, by Maier (1996), pp. 70–73, Paul (2008), pp. 21–37, Collins (2002), p. 109, Childress (2010), pp. 59–61 and Briggs (2012), pp. 88–91. The OECD has even adopted, within its competition commission, Reports on Positive Comity 1999, https://www.oecd.org/daf/competition/prosecutionandlawenforcement/2752161.pdf. Accessed 10 July 2021.

  16. 16.

    Vareilles-Sommières (1900), pp. 16–28. A binary theory (Michaels (2004), pp. 67–70) and Roque (2014), p. 1202 emphasises that recognition may be based either on foreign interests or grounds inherent to the interests of the State of recognition.

  17. 17.

    This legal obligation theory is quite heterogeneous and can be seen both as an obligation to recognise founded on the idea of justice or humanity (for instance, Maridakis (1963), p. 475); or on the need to withdraw effects from obligations incurred abroad by the parties (for instance, Kessedjian (1987), p. 207). Schwarz (1935), pp. 49–58, however, believed that there is no international obligation to give effect to foreign acts, but only a natural obligation of a public-legal nature.

  18. 18.

    Although Morris (1971), p. 523 concluded that “the vested rights theory is dead”, it seems to be still alive and kicking as demonstrated, among others, by Correia (1982), pp. 59–104, Ramos (1974), p. 216; Vicente (2017), pp. 263–276, Jayme and Kohler (2004), p. 484, Pataut (2009), p. 78 and Michaels (2006), pp. 42–43.

  19. 19.

    Basedow (2017), p. 1818.

  20. 20.

    Lagarde (2014), pp. 26–30 and Möstl (2010), p. 410.

  21. 21.

    Guillaumé (20122013), pp. 522–523, 526–530, and Wallnöfer (2010), p. 691.

  22. 22.

    We refer only two of the most recent pronouncements of the ECHR: Advisory Opinion concerning the recognition in domestic law of a legal parent–child relationship between a child born through a gestational surrogacy arrangement abroad and the intended mother, 10 April 2019, request no. P16-2018–001; and Judgement Valdís Fjölnisdóttir and Others v. Iceland, 18 May 2021, application no. 71552/17. The Hague Conference is also taking a closer look at surrogacy and attempting to reach a Protocol on legal parentage established as a result of international surrogacy arrangements (https://www.hcch.net/en/projects/legislative-projects/parentage-surrogacy).

  23. 23.

    ECHR decision, Pellegrini v. Italy, 20 July 2001, case 30,882/96.

  24. 24.

    Accentuating the relevance of the balancing of interests as the fundamental basis for recognition, see Weiler (2005), p. 47, Kinsch (2010), p. 269, Janssens (2013), p. 263, Pamboukis (2008), p. 530, and Basedow (1980), p. 204.

  25. 25.

    For instance in the public field, the Convention on the Recognition of Qualifications concerning Higher Education in the European Region 1997, Lisbon, 11 April 1997, https://www.coe.int/en/web/higher-education-and-research/lisbon-recognition-convention; the Global Convention on the Recognition of Qualifications concerning Higher Education 2019, Paris, 25 November 2019, http://portal.unesco.org/en/ev.php-URL_ID=49557&URL_DO=DO_TOPIC&URL_SECTION=201.html; and in the private field, the Hague Convention of 1 February 1971 on the Recognition and Enforcement of Foreign Judgments in Civil and Commercial Matters (https://www.hcch.net/en/instruments/conventions/full-text/?cid=78) and the Hague Convention of 2 July 2019 on the Recognition and Enforcement of Foreign Judgments in Civil or Commercial Matters (https://www.hcch.net/en/instruments/conventions/full-text/?cid=137). Accessed 10 July 2021.

  26. 26.

    See Baumgartner (2008), pp. 181–183.

  27. 27.

    Baratta (1993), pp. 775–778. See also Niehof (1989), pp. 11–13 and Weatherhill (2017), p. 5.

  28. 28.

    Against, Hatzopoulos (2010), pp. 68–70.

  29. 29.

    CJEU decision, Rewe-Zentral v Bundesmonopolverwaltung für Branntwein, 20 February 1979, case 120/78.

  30. 30.

    Janssens (2013), p. 77.

  31. 31.

    Tichý (2011), p. 23. For other listings of relevant interests, see Mehren and Trautman (1968), pp. 1603–1604 and Casad (1984), p. 61.

  32. 32.

    Watt (2017), pp. 134–139.

  33. 33.

    Lopes (2018a), pp. 121–145.

  34. 34.

    Lopes (2018b), pp. 529–579.

  35. 35.

    See Bernel (1996), pp. 133–136.

  36. 36.

    These several forms of ascertaining equivalence show that there are different ways of coordinating plurality as discussed by Marty (2006), pp. 37–129.

  37. 37.

    See Biscottini (1961), pp. 658–670.

  38. 38.

    Berentelg (2010), pp. 265–273 includes in the public order notion the following dimensions: (i) fundamental rights; (ii) violation of international public law; (iii) the need for a connection with the recognising State; (iv) procedural public order and (v) and external policy interests.

  39. 39.

    Fallon (2004), pp. 73–76, Burbaum (2003), pp. 56–59.

  40. 40.

    Among others, see Mansel (2006), pp. 681–682 and p. 716, Coester-Waltjen (2006), p. 392, Kohler (2013–2014), p. 20 and Lehmann (2016), pp. 28–38.

  41. 41.

    Lagarde (2014), pp. 38–40, Mayer (2005), p. 563 and Fulchiron (2014), pp. 359–381.

  42. 42.

    For instance, in article 31(2) of the Portuguese Civil Code and in article 10(9) of the Netherlands Civil Code.

  43. 43.

    United Nations Convention on International Settlement Agreements Resulting from Mediation, 2019, available at: https://uncitral.un.org/sites/uncitral.un.org/files/singapore_convention_eng.pdf. Accessed 14 July 2021.

  44. 44.

    However, from a terminological point of view, other concepts have started to pave their way into law, such as “acceptance” of authentic instruments (article 59 of Regulation (EU) No 650/2012 of the European Parliament and of the Council of 4 July 2012 on jurisdiction, applicable law, recognition and enforcement of decisions and acceptance and enforcement of authentic instruments in matters of succession and on the creation of a European Certificate of Succession) and “reliance” or granting “relied” under articles 4 and 5 of the Singapore Convention. In this latter case, Esplugues Mota (2020), p. 78, takes the view that it is incomprehensible and technically reprehensible that the Convention does not mention recognition instead.

  45. 45.

    Nicolaidis and Shaffer (2005), p. 267.

  46. 46.

    Armstrong (2002), p. 230, Pelkmans (2005), pp. 103–104.

  47. 47.

    Davies (2006), pp. 273–275.

  48. 48.

    Sinopoli (2010), pp. 369–379.

  49. 49.

    Röhl (2011), p. 214 and Götz (1998), p. 778.

  50. 50.

    Fedozzi (1929), p. 183 and Meng (1992), p. 51.

  51. 51.

    Schmidt-Aßman (2006), p. 260.

  52. 52.

    Giuseppe Biscottini (1964), pp. 118–120 and Vogel (1965), pp. 323–337.

  53. 53.

    Weiß (1932), p. 56.

  54. 54.

    Pamboukis (1993), p. 151 and Niboyet (1949), p. 671.

  55. 55.

    Mansel (2006), pp. 681–682.

  56. 56.

    Also, among others, Patrão (2017), pp. 433–449.

  57. 57.

    Neumeyer (1936), p. 319, Coester-Waltjen (2004), pp. 125–126 and Wenander (2011), p. 779.

  58. 58.

    Coester-Waltjen (2006), p. 392 and Lehmann (2016), pp. 18–19.

  59. 59.

    Kment (2010), pp. 463–465. Harder (2013), pp. 441–443 discusses a maximum-effect approach and a minimum-effect approach.

  60. 60.

    Lagarde (2004), p. 234.

  61. 61.

    Möstl (2010), p. 409.

  62. 62.

    This is, for instance, the case European Union Council Directive 2001/40/EC of 28 May 2001 on the mutual recognition of decisions on the expulsion of third-country nationals, and of Council Framework Decision 2005/214/JHA of 24 February 2005 on the application of the principle of mutual recognition to financial penalties.

  63. 63.

    Bureau and Watt (2017), p. 277.

  64. 64.

    Brownlie (1982), p. 197.

  65. 65.

    Mayer (2005), p. 549.

  66. 66.

    Avoiding, therefore, recognition being used as an argument to justify legal ruptures or conundrums, such as Brexit. On this, see Nicolaidis (2017), pp. 227–266.

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Lopes, D. (2022). Recognition—A Story of How Two Worlds Meet. In: Sooksripaisarnkit, P., Prasad, D. (eds) Blurry Boundaries of Public and Private International Law. Springer, Singapore. https://doi.org/10.1007/978-981-16-8480-7_3

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