Einde inhoudsopgave
Sturen met proceskosten (BPP nr. XII) 2011/6.7.3
6.7.3 Categorieën van buitenlandse scherpe normen
mr. P. Sluijter, datum 31-10-2011
- Datum
31-10-2011
- Auteur
mr. P. Sluijter
- JCDI
JCDI:ADS594402:1
- Vakgebied(en)
Burgerlijk procesrecht (V)
Voetnoten
Voetnoten
Uit het General Report van Reimann in het kader van de Washingtonse rechtsvergelijking komt naar voren dat ook Oostenrijk, Finland, IJsland, Japan, Macau en Servië deze regel kennen.
Landenrapport (Oxford; practitioners; Sirlestow) Bulgarije, p. 15.
Landenrapport (Oxford; academic; Wopera & Nagy) Hongarije, p. 7.
Landenrapport (Oxford; practitioners; Hellesylt) Noorwegen, p. 5-6.
Landenrapport (Oxford; practitioners; Pietkiewicz) Polen, p. 13
Landenrapport (Oxford; academic; Sousa) Portugal, p. 4
Landenrapport (Oxford; Shen & Chen) Taiwan, p. 17
Landenrapport (Oxford; practitioners; Matejovska & Rouckova) Tsjechië, p. 6
Landenrapport (Oxford; practitioners; Hammarskiöld & Englund) Zweden, bijlage: Translated legal source material.
Landenrapport (Oxford; academic; Wopera & Nagy) Hongarije, p. 8.
Bij de Nieuw-Zeelandse scherpe normen is in alle tabellen steeds gekozen voor de bepalingen die leiden tot verhoogde kostenveroordelingen. Dezelfde normen worden echter herhaald in Rule 14.7 High Court Rules, maar dan in het kader van verlaagde kostenveroordelingen als de winnaar zich aan de betreffende gedragingen heeft schuldig gemaakt.
In Rule 16 FRCP staat een vergelijkbare regel, maar dan met betrekking op pre-trial conferences in plaats van op discovery.
Landenrapport (Oxford; practitioners; Hammarskiöld & Englund) Zweden, bijlage: Translated legal source material.
Landenrapport (Oxford; academic; Sousa) Portugal, p. 4.
Landenrapport (Oxford; Shen & Chen) Taiwan, p. 17.
Landenrapport (Oxford; practitioners; Glueck) China, p. 6-7.
Landenrapport (Oxford; Shen & Chen) Taiwan, p. 17.
Landenrapport (Oxford; practitioners; Pietkiewicz) Polen, p. 13.
Landenrapport (Oxford; practitioners; Zubarev & Kantyrev) Rusland, p. 24.
Landenrapport (Oxford; practitioners; Hammarskiöld & Englund) Zweden, bijlage: Translated legal source material.
Zie § 6.3.
Enkele bepalingen in deze algemene tabel kwamen al in de voorgaande tabellen aan bod en worden hier (deels) herhaald. Deze bevatten namelijk een aantal concrete verstorende gedragingen als niet-limitatieve opsomming en vervolgens een restcategorie van overig onbehoorlijk of vertragend gedrag. Het Zweedse art. 18-6 Code of Judicial Procedure is daar een voorbeeld van.
Landenrapport (Oxford; academic; 0rgaard) Denemarken, p. 2.
Landenrapport (Oxford; academic; Wopera & Nagy) Hongarije, p. 8.
Landenrapport (Oxford; practitioners; Opilio & Ghezzi) Italië, p. 4-5.
Landenrapport (Oxford; practitioners; Pietkiewicz) Polen, p. 13.
Landenrapport (Oxford; practitioners; Zubarev & Kantyrev) Rusland, p. 24.
Landenrapport (Oxford; practitioners; Hammarskiöld & Englund) Zweden, bijlage: Translated legal source material.
Wat ten eerste opviel was de frequentie van de vrij specifieke norm dat de winnende eiser toch in de kosten wordt (of kan worden) veroordeeld bij een prematuur proces. Het ligt overigens voor de hand dat deze regels in de Oost-Europese landen dezelfde oorsprong hebben.1
Prematuur proces
Land
Regel
Vindplaats
Bulgarije
f the respondent has not provided an occasion for institution of the case by his behaviour or if the respondent admits the demand, the costs shall be awarded against the plaintiff.
art. 78 Civil Procedure Code2
Duitsland
Hat der Beklagte nicht durch sein Verhalten zur Erhebung der Klage Veranlassung gegeben, so fallen dem Klager die Prozesskosten zur Last, wenn der Beklagte den Anspruch sofort anerkennt.
§ 93 ZPO
Hongarije
If a defendant did not give cause for the litigation and he admits the whole claim immediately at the first trial, the judge shall order the plaintiffto bear the costs ofthe defendant.
§ 80(1) Act 1952 -III on Civil Procedure3
Noorwegen
A party may be awarded legal costs in whole or in part irrespective ofthe outcome ofthe case, ifthe action has been brought without good reason and the party accepts the claim at the earliest opportunity.
art. 20-4 Act of 17 June 2005 no. 90 relating to media-tion and procedure in civil disputes4
Polen
The defendant is entitled to a reimbursement ifhe did not provide a reason for initiating the proceedings and admitted the other party 's claim when undertaking its first action in the proceedings.
art. 101 Code of Civil Procedure5
Portugal
When the defendant has not given rise to the action and does not contest it, the costs are paid by the claimant.
art. 449 Código de Processo Civil6
Taiwan
When a defendant had forthwith admitted to a claim presented by a plaintiff and established that the litigation action was unnecessary, the plaintiff shall bear the litigation expenses.
art. 80 CCP7
Tsjechië
The losing party is entitled to the reimbursement ofcosts, if this party did not cause the necessity to file the petition.
art. 143 Act 1963 -99 on the Civil Procedure Code8
Zweden
If the winning party is found to have initiated the action without the opposing party having given cause for it, (..), the winning party shall reimburse the opposing party for the latter s litigation costs, or, ifthe circumstances so justify, each party shall bear his own costs.
art. 18-3 Code of Judicial Proce-dure9
Eveneens veelvuldig aangetroffen bepalingen zijn die waarin kostenconsequenties worden gekoppeld aan het overtreden van processuele voorschriften, protocollen of rechterlijke instructies. In die landen is dus niet gekozen voor een open geformuleerd instrument als de geraden gevolgtrekking in Nederland, maar is de mogelijkheid van kostenconsequenties expliciet vastgelegd.
Overtreding van processueel voorschrift of rechterlijke instructie
Land
Regel
Vindplaats
Duitsland
Die Partei, die einen Termin oder eine Frist versaumt oder die Verlegung eines Termins, die Vertagung einer Verhand-lung, die Anberaumung eines Termins zur Fortsetzung der Verhandlung oder die Verlangerung einer Frist durch ihr Verschulden veranlasst, hat die dadurch verursachten Kosten zu tragen.
§ 95 ZPO
Engeland & Wales
(1) (..) where - (a) a party or his legal representative, in connection with a summary or detailed assessment, fails to comply with a rule, practice direction or court order; (..) (2) Where paragraph (1) applies, the court may - (a) disallow all or part of the costs which are being assessed; or (b) order the party at fault or his legal representative to pay costs which he has caused any other party to incur.
Rule 44.14 CPR 1998
Engeland & Wales
In deciding what order (if any) to make about costs, the court must have regard to all the circumstances, in-cluding the conduct of all the parties. The conduct of the parties includes conduct before, as well as during, the proceedings and in particular the extent to which the parties followed the Practice Direction (Pre-Action Conduct) or any relevant pre-action protocol.
Rule 44.3 (4)(a) & (5)(a) CPR 1998
Hongarije
If a party fails to carry out orders of courts, (..),
§ 80(2) Act 1952-III on Civil Procedure10
this party shall bear those costs regardless of his success.
Nieuw-Zeeland
The court may order a party to pay increased costs if the party opposing costs has contributed unnecessarily to the time or expense of the proceeding or step in it by failing to comply with these rules or with a direction of the court
Rule 14.6 (3)(b)(i) High Court Rules11
Nieuw-Zeeland
The court may order a party to pay increased costs if the party opposing costs has contributed unnecessarily to the time or expense of the proceeding or step in it by failing, without reasonable justification, to comply with an order for disco-very, a notice for further particulars, a notice for interroga-tories, or other similar requirement under these rules
Rule 14.6 (3)(b)(iv) High Court Rules
Nieuw-Zeeland
The court may order a party to pay indemnity costs if the party has ignored or disobeyed an order or direction of the court or breached an undertaking given to the court or another party
Rule 14.6 (4)(b) High Court Rules
Verenigde Staten (fed.)
Failure to Comply with a Court Order (..) Payment of Expenses. Instead of or in addition to the orders above, the court must order the disobedient party, the attorney advising that party, or both to pay the reasonable expenses, including attorney's fees, caused by the failure, unless the failure was substantially justified or other circumstances make an award of expenses unjust.
Rule 37 (b)
FRCP12
Zweden
If a party 's failure to appear or to comply with a court order, (..) has occasioned adjournment of the case or has otherwise caused costs for the opposing party, he must reimburse the opposing party for such costs, regardless ofhow litigation costs in general are to be borne.
art. 18-6 Code of Judicial Procedure13
Ook overbodige processuele verrichtingen waren voor een aantal wetgevers het codificeren van een kostenconsequentie waard.
Overbodige processuele verrichtingen
Land
Regel
Vindplaats
Canada (Ontario)
The court may fix and order payment of the costs of a motion for summary judgment by a party on a substantial indemnity basis if, (a) the party acted unreasonably by making or responding to the motion; or (b) the party acted in bad faith for the purpose of delay.
Rule 20.06 Rules of Civil Procedure
Canada (Ontario)
In exercising its discretion (.. ) the court may consider: whether any step in the proceeding was: (i) improper, vexa-tious or unnecessary, or (ii) taken through negligence, mistake or excessive caution.
Rule 57.01 (f) Rules of Civil Procedure
Duitsland
Die Kosten eines ohne Erfolg gebliebenen Angriffs- oder Ver-teidigungsmittels können der Partei auferlegt werden, die es geltend gemacht hat, auch wenn sie in der Hauptsache obsiegt.
§ 96 ZPO
Nieuw-Zeeland
The court may order a party to pay increased costs if the party opposing costs has contributed unnecessarily to the time or expense of the proceeding or step in it by taking or pursuing an unnecessary step or an argument that lacks merit.
Rule 14.6 (3)(b) (ii) High Court Rules
Portugal
The responsibility of the defeated party regarding costs does not cover superfluous acts and incidents. Acts and incidents which are unnecessary for the declaration or defence of the right shall be considered superfluous. The costs ofthese acts shall be borne by whosoever requested them.
art. 448 Código de Processo Civil14
Taiwan
The court may, in its discretion, order the prevailing party to bear the litigation expenses incurred in full or in part for the following: 1. An act performed by the prevailing party which is unnecessary for asserting or defending its rights; 2. An act performed by the defeated party which is necessary for asserting or defending its rights in accordance with the phase ofthe proceedings reached at the time.
art. 81 CCP15
Waar veel landen een bepaling hebben die overbodige processuele verrichtingen moet afschrikken, heeft alleen Canada (Ontario) twee bepalingen die zien op de proceseconomie bij de start van de procedure.
Overbodig proces: proceseconomie
Land
Regel
Vindplaats
Canada (Ontario)
In exercising its discretion (.. ) the court may consider: whether it is appropriate to award any costs or more than one set of costs where a party commenced separate proceedings for claims that should have been made in one proceeding
Rule 57.01 (h)(i) Rules of Civil Procedure
Canada (Ontario)
In exercising its discretion (.. ) the court may consider: whether it is appropriate to award any costs or more than one set of costs where a party in defending a proceeding separated unnecessarily from another party in the same interest or defended by a different lawyer
Rule 57.01 (h)(ii) Rules of Civil Procedure
De late stellingen, feiten en bewijsstukken kwamen in de interviews onder Nederlandse rechters als het meest verstorend naar boven. Hieraan gemeten is het opvallend dat er maar in weinig landen voor is gekozen om daar specifiek een kostenconsequentie tegen te richten.
Late stellingen, feiten en bewijsstukken
Land
Regel
Vindplaats
China
Where aparty concerned fails to provide evidence within the time limit due to any reason attributable to himself, and provides new evidence during the second instance or the postOfnal retrial, thus causing the litigation costs to increase, the increased litigation costs shall be borne by the party concerned.
art. 40 Measures for the Payment of Litigation Costs16
Duitsland
Die Kosten des Rechtsmittelverfahrens sind der obsiegen-den Partei ganz oder teilweise aufzuerlegen, wenn sie auf Grund eines neuen Vorbringens obsiegt, das sie in einem früheren Rechtszug geltend zu machen imstande war.
§ 97(2) ZPO
Taiwan
Where a party has failed timely to present means of attack or defense, or to meet a specified date or period, or otherwise delayed the proceeding by reason of wha-tever cause imputable to such party, the court may order such party to bear the litigation expenses incurred from the delay, in full or in part, irrespective ofhis/her victory.
art. 82 CCP17
Een aantal landen verbindt kostenconsequenties aan de norm dat bepaalde vorderingen, stellingen of verweren in redelijkheid niet volgehouden mogen worden, omdat ze in strijd zijn met de waarheid of omdat ze evident geen enkele kans van slagen hebben. Het betreft hier dus bepalingen die vooral zien op de inhoud van wat partijen naar voren brengen. De verstorende gedragingen 'Liegen, bedriegen of simuleren', 'Evident kansloos proces' en 'Kansloze stellingen en verweren' vallen hier onder
Evident kansloos en/of onwaar
(Liegen, bedriegen of simuleren/Evident kansloos proces/Kansloze stellingen en verweren)
Land
Regel
Vindplaats
Canada (Ontario)
In exercising its discretion (.. ) the court may consider: a party's denial of or refusal to admit anything that should have been admitted.
Rule 57.01 (g) Rules of Civil Procedure
Engeland & Wales (en vrijwel identiek: Hong Kong)
In deciding what order (if any) to make about costs, the court must have regard to all the circumstances, including the conduct of all the parties. The conduct of the parties includes whether it was reasonable for a party to raise, pursue or contest a particular allegation or issue.
Rule 44.3 (4)(a) & (5)(b) CPR 1998
Nieuw-Zeeland
The court may order a party to pay increased costs if the party opposing costs has contributed unnecessarily to the time or expense of the proceeding or step in it by failing, without reasonable justification, to admit facts, evidence, documents, or accept a legal argument.
Rule 14.6 (3)(b) (iii) High Court Rules
Polen
Regardless of the outcome of the case, the court may decide a party or intervener has to pay the costs, caused by negligent or improper conduct Theprovision (..) concerns inparticular the costs incurred as a result of avoiding to provide explan-ations, false explanations, concealment or delayed establishment ofthe evidence, and unjustified refusal to submit to mediation, to which the party previously consented.
art. 103 Code of Civil Proce-
dure18
Rusland
Recovery of Compensation for Lost Time: The court may decide to collect in favour ofthe other partycompensation for the actual loss oftime from the party which has instituted in badfaith a groundless claim or groundless objections against claim,(..) The amount of compensation shall be determined by the court within reasonable limits and taking account of the particular circumstances.
art. 99 Russian Ci-vil Procedural
Code19
Verenigde
Staten (fed.)
By presenting to the court a pleading, written motion, or other paper - whether by signing, filing, submitting, or later advocating it - an attorney or unrepresented party certifies that to the best of the person's knowledge, information, and belief, formed after an inquiry reasonable under the circumstances: (2) the claims, defenses, and other legal contentions are warranted by existing law or by a nonfrivolous argument for extending, modifying, or reversing existing law or for esta-blishing new law; (3) the factual contentions have evidentiary support or, if specifically so identified, will likely have evi-dentiary support after a reasonable opportunity for further investigation or discovery; (4) the denials offactual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on belief or a lack of information. <otherwise: sanctions possible, among which a costs sanction>.
Rule 11 FRCP
Verenigde
Staten (fed.)
If a court of appeals determines that an appeal is frivolous, it may, after a separately filed motion or notice from the court and reasonable opportunity to respond, award just damages and single or double costs to the appellee.
Rule 38 FRAP
Zweden
If aparty's (..)presentation of a claim or defence that he knew or should have known to be without merit, (..) has occasioned adjournment of the case or has otherwise caused costs for the opposing party, he must reimburse the opposing party for such costs, regardless ofhow litigation costs in general are to be borne.
art. 18-6 Code of Judicial Procedure20
Engeland en Nieuw-Zeeland hebben, naast hun systeem van offers to settle,21kostenbepalingen die partijen afstraffen die te hoog insteken of die weigeren in te gaan op een redelijk schikkingsaanbod.
Te hoog inzetten of doorgaan
Land
Regel
Vindplaats
Nieuw-Zeeland
The court may order a party to pay increased costs if the party opposing costs has contributed unnecessarily to the time or expense of the proceeding or step in it by failing, without reasonable justification, to accept an offer of settlement whether in the form of an offer under rule 14.10 or some other offer to settle or dispose of the proceeding.
Rule 14.6 (3)(b) (v) High Court Rules
Engeland & Wales (en vrijwel identiek: Hong Kong)
In deciding what order (if any) to make about costs, the court must have regard to all the circumstances, including the conduct of all the parties. The conduct of the parties includes whether a claimant who has succeeded in his claim, in whole or in part, exaggerated his claim.
Rule 44.3 (4)(a) & (5)(d) CPR 1998
Tot slot kennen veel landen bepalingen die semi-open genoemd kunnen worden. Deze zijn weliswaar concreter geformuleerd dan eerdergenoemde Nederlandse, Franse en Belgische open normen, maar ze bevatten een lange opsomming van verschillende verstorende gedragingen of ze zijn feitelijk op veel verstorende gedragingen van toepassing. Deze bepalingen straffen veelal onbehoorlijkheid of nodeloze vertragingen in algemene zin af.22
Semi-open normen: algemeen onbehoorlijk en/of vertragend
Land
Regel
Vindplaats
Canada (Ontario)
In exercising its discretion (.. ) the court may consider: the conduct of any party that tended to shorten or to lengthen unnecessarily the duration of the proceeding.
Rule 57.01 (e) Rules of Civil Procedure
Denemarken
The party, who has irresponsibly brought about wasted meetings, unnecessary delays, futile production of evidence or other unnecessary procedural steps, also ifthe party wins the case, must compensate the counterparty for the costs in this respect.
Art. 318 Admini-stration of Justice Act23
Engeland & Wales (en vrijwel identiek: Hong Kong)
In deciding what order (if any) to make about costs, the court must have regard to all the circumstances, including the conduct of all the parties. The conduct of the parties includes the manner in which a party has pursued or defended his case or a particular allegation or issue.
Rule 44.3 (4)(a) & (5)(c) CPR 1998
Hongarije
If aparty (..), behaves unreasonably, (..), or otherwise causes unnecessary costs, thisparty shall bear those costs regardless ofhis success.
§ 80(2) Act 1952 - III on Civil
Procedure24
Italië
Ifit appears that the unsuccessful party has acted or resisted in court with bad faith or gross negligence, the court, upon application by the other party, can convict the other party, in addition to costs, to pay damages.
Art. 96 Codice di
procedure ci-vile25
Nieuw-Zeeland
The court may order a party to pay indemnity costs if the party has acted vexatiously, frivolously, improperly, or un-necessarily in commencing, continuing, or defending a pro-ceeding or a step in a proceeding.
Rule 14.6 (4)(a) High Court Rules
Polen
Regardless ofthe outcome ofthe case, the court may decide a party or intervener has to pay the costs, caused by negligent or improper conduct. (..)
art. 103 Code of Civil Proce-
dure26
Rusland
Recovery ofCompensation for Lost Time: The court may decide to collect in favour ofthe other partycompensation for the actual loss of time from the party (..) which has syste-matically impede the correct and timely consideration and resolution ofthe case. The amount ofcompensation shall be determined by the court within reasonable limits and taking account ofthe particular circumstances.
art. 99 Russian Civil Procedural
Code27
Verenigde
Staten (fed.)
By presenting to the court a pleading, written motion, or other paper - whether by signing, filing, submitting, or later advocating it - an attorney or unrepresented party certifies that to the best of the person's knowledge, information, and belief, formed after an inquiry reasonable under the circum-stances: (1) it is not being presented for any improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation; <otherwise: sanc-tions possible, among which a costs sanction>.
Rule 11 FRCP
Zweden
If a party's (..) carelessness or oversight in other respects has occasioned adjournment ofthe case or has otherwise caused costs for the opposing party, he must reimburse the opposing party for such costs, regardless ofhow litigation costs in general are to be borne.
art. 18-6 Code of Judicial Procedure28
Bovenstaande tabellen bevatten 49 items, maar sommige daarvan komen uit dezelfde bepaling. Van de 34 bekeken landen zijn uiteindelijk bij 17 landen scherpe normen gevonden die in de tabellen zijn opgenomen. De wereld lijkt op dit punt nogal verdeeld, waarbij het snijvlak allesbehalve overeenkomt met de grens tussen common law en civil law. Het enige wat op dat punt opvalt, is dat de common law-landen eerder consequenties verbinden aan onfatsoen: 'improper conduct', 'harassing',en 'vexatious'. Op het Europese, door civil law gedomineerde, continent komen juist consequenties ten aanzien van premature processen meer voor, afgaande op de inhoud van de wetteksten.
Het bleek lastig om de normen precies in te delen in categorieën, omdat veel bepalingen meerdere gedragingen noemden en/of breed definieerden. Ook was het niet mogelijk om de tabellen precies in te delen volgens de lijst van verstorende gedragingen zoals die in hoofdstuk 3 en in de interviewstudie is gehanteerd, omdat bijvoorbeeld de ' refusal to admit anything that should have been admitted' zowel kan slaan op leugens als op een kansloos verweer.
Ook inhoudelijk is er weinig samenhang te ontdekken tussen de uitkomsten van de interviews betreffende de meest overlastgevende gedragingen enerzijds en de frequentie waarmee specifieke verstorende gedragingen door buitenlandse scherpe normen worden gereguleerd anderzijds. Zo zijn er niet veel normen die specifiek gaan over late stellingen, feiten en bewijsstukken, terwijl die gedragingen volgens de geïnterviewde Nederlandse rechters tot de meeste overlast leiden. Andersom kwam het premature proces niet als een groot probleem naar voren in de interviews, terwijl daar in het buitenland wel gecodificeerde kostenconsequenties voor bestaan. Alleen de kansloze stellingen en verweren en de overbodige processuele verrichtingen hebben zowel een hoge positie in het lijstje van overlastgevende gedragingen in Nederland als een hoge frequentie in de tabellen met internationale scherpe normen.