|
159
U.S.
113, *; 16 S. Ct. 139, **;
40 L. Ed. 95, ***;
1895
U.S.
LEXIS 2294
HILTON v. GUYOT.; HILTON
v. GUYOT.
Nos. 130, 34.
SUPREME COURT OF THE
UNITED STATES
159 U.S. 113; 16 S. Ct.
139; 40 L. Ed. 95; 1895 U.S. LEXIS 2294
Argued April 10,
1894.
June 3, 1895,
Decided
OPINION BY:
GRAY
OPINION:
[*162]
[**143]
[***108]
MR. JUSTICE GRAY, after stating the case, delivered the opinion of the court.
These two cases, the one at law and the other in equity, of Hilton v. Guyot, and
the case of Ritchie v. McMullen which has been under advisement at the same
time, present important questions relating to the force and effect of foreign
judgments, not hitherto adjudicated by this court, which have been argued [*163]
with great learning and ability, and which require for their satisfactory
determination a full consideration of the authorities. To avoid confusion in
indicating the parties, it will be convenient first to take the case at law of
Hilton v. Guyot.
International law, in its widest and most comprehensive sense -- including not
only questions of right between nations, governed by what has been appropriately
called the law of nations; but also questions arising under what is usually
called private international law, or the conflict of laws, and concerning the
rights of persons within the territory and dominion of one nation, by reason of
acts, private or public, done within the dominions of another nation -- is part
of our law, and must be ascertained and administered by the courts of justice,
as often as such questions are presented in litigation between man and man, duly
submitted to their determination.
HN1 The
most certain guide, no doubt, for the decision of such questions is a treaty or
a statute of this country. But when, as is the case here, there is no written
law upon the subject, the duty still rests upon the judicial tribunals of
ascertaining and declaring what the law is, whenever it becomes necessary to do
so, in order to determine the rights of parties to suits regularly brought
before them. In doing this, the courts must obtain such aid as they can from
judicial decisions, from the works of jurists and commentators, and from the
acts and usages of civilized nations.
Fremont v. United States,
17 How. 542, 557;
The Scotia, 14 Wall. 170,
188; Respublica v. De Longchamps, 1 Dall. 111, 116;
Moultrie v. Hunt, 23 N.Y.
394, 396.
No law has any effect, of its own force, beyond the limits of the sovereignty
from which its authority is derived. The extent to which the law of one nation,
as put in force within its territory, whether by executive order, by legislative
act, or by judicial decree, shall be allowed to operate within the dominion of
another nation, depends upon what our greatest jurists have been content to call
"the comity of nations." Although the phrase has been often criticized, no
satisfactory substitute has been suggested.
HN2 "Comity,"
in the legal sense, is neither a matter of absolute [*164]
obligation, on the one hand, nor of mere courtesy and good will, upon the other.
But it is the recognition which one nation allows within its territory to the
legislative, executive or judicial acts of another nation, having due regard
both to international duty and convenience, and to the rights of its own
citizens or of other persons who are under the protection of its laws.
Mr. Justice Story, in his Commentaries on the Conflict of Laws, treating of the
question in what department of the government of any State, in the absence of
any clear declaration of the sovereign will, resides the authority to determine
how far the laws of a foreign State shall have effect, and observing that this
differs in different States, according to the organization of the departments of
the government of each, says: "In England and America, the courts of justice
have hitherto exercised the same authority in the most ample manner: and the
legislatures have in no instance (it is believed) in either country interfered
to provide any positive regulations. The common law of both countries has been
expanded to meet the exigencies of the times as they have arisen; and so far as
the practice of nations, or the jus gentium privatum, has been supposed to
furnish any general principle, it has been followed out." Story's Conflict of
Laws, §§ 23, 24.
Afterwards, speaking of the difficulty of applying the positive rules laid down
by the Continental jurists, he says that "there is indeed great truth" in these
remarks of Mr. Justice Porter, speaking for the Supreme [**144]
Court of Louisiana: "They have attempted to go too far, to define and fix that
which cannot, in the nature of things, be defined and fixed. They seem to have
forgotten that they wrote on a [***109]
question which touched the comity of nations, and that that
HN3 comity
is, and ever must be, uncertain; that it must necessarily depend on a variety of
circumstances which cannot be reduced to any certain rule; that no nation will
suffer the laws of another to interfere with her own to the injury of her
citizens; that whether they do or not must depend on the condition of the
country in which the foreign law is sought to be enforced, the particular nature
of her legislation, her policy, and the character [*165]
of her institutions; that in the conflict of laws it must often be a matter of
doubt which should prevail; and that, whenever a doubt does exist, the court,
which decides, will prefer the laws of its own country to that of the stranger."
Story's Conflict of Laws, § 28;
Saul v. His Creditors,
(1827) 5 Martin (N.S.) 569, 596.
Again: Mr. Justice Story says: "It has been thought by some jurists that the
term comity is not sufficiently expressive of the obligation of nations to give
effect to foreign laws when they are not prejudicial to their own rights and
interests. And it has been suggested that the doctrine rests on a deeper
foundation; that it is not so much a matter of comity or courtesy, as a matter
of paramount moral duty. Now, assuming that such a moral duty does exist, it is
clearly one of imperfect obligation, like that of beneficence, humanity and
charity. Every nation must be the final judge for itself, not only of the nature
and extent of the duty, but of the occasions on which its exercise may be justly
demanded." And, after further discussion of the matter, he concludes: "There is
then not only no impropriety in the use of the phrase 'comity of nations,' but
it is the most appropriate phrase to express the true foundation and extent of
the obligation of the laws of one nation within the territories of another."
Story's Conflict of Laws, §§ 33-38.
Chief Justice Taney, likewise, speaking for this court while Mr. Justice Story
was a member of it, and largely adopting his words, said: "It is needless to
enumerate here the instances in which, by the general practice of civilized
countries, the laws of the one will, by the comity of nations, be recognized and
executed in another, where the rights of individuals are concerned."
HN4 "The
comity thus extended to other nations is no impeachment of sovereignty. It is
the voluntary act of the nation by which it is offered, and is inadmissible when
contrary to its policy, or prejudicial to its interests. But it contributes so
largely to promote justice between individuals, and to produce a friendly
intercourse between the sovereignties to which they belong, that courts of
justice have continually acted upon it, as a part of the voluntary lw of
nations." "It is not the comity of the courts, but the comity [*166]
of the nation, which is administered and ascertained in the same way, and guided
by the same reasoning, by which all other principles of municipal law are
ascertained and guided." Bank of
Augusta v. Earle, (1839)
13 Pet. 519, 589; Story's Conflict of Laws, § 38.
Mr. Wheaton says: "All the effect, which foreign laws can have in the territory
of a State, depends absolutely on the express or tacit consent of that State."
"The express consent of a State, to the application of foreign laws within its
territory, is given by acts passed by its legislative authority, or by treaties
concluded with other States. Its tacit consent is manifested by the decisions of
its judicial and administrative authorities, as well as by the writings of its
publicists. There is no obligation, recognized by legislators, public
authorities, and publicists, to regard foreign laws; but their application is
admitted, only from considerations of utility and the mutual convenience of
States -- ex comitate, ob reciprocam utilitatem." Wheaton's International Law,
(8th ed.) §§ 78, 79.
HN5 "No
sovereign is bound, unless by special compact, to execute within his dominions a
judgment rendered by the tribunals of another State; and if execution be sought
by suit upon the judgment, or otherwise, the tribunal in which the suit is
brought, or from which execution is sought, is, on principle, at liberty to
examine into the merits of such judgment, and to give effect to it or not, as
may be found just and equitable. The general comity, utility and convenience of
nations have, however, established a usage among most civilized States, by which
the final judgments of foreign courts of competent jurisdiction are reciprocally
carried into execution, under certain regulations and restrictions, which differ
in different countries." § 147.
Chancellor Kent says:
HN6 "The
effect to be given to foreign judgments is altogether a matter of comity, in
cases where it is not regulated by treaty." 2 Kent Com. (6th ed.) 120.
In order to appreciate the weight of the various authorities cited at the bar,
it is important to distinguish different kinds of judgments.
HN7 Every
foreign judgment, of whatever nature, in order to be entitled to any effect,
must have been rendered [*167]
by a court having jurisdiction of the cause, and upon regular proceedings and
due notice. In alluding to different kinds of judgments, therefore, such
jurisdiction, proceedings and notice will be assumed. It will also be assumed
that they are untainted by fraud, the effect of which will be considered later.
HN8 A
judgment in rem, adjudicating the title to a ship or other movable property
within the custody of the court, is treated as valid everywhere. As said by
Chief Justice Marshall: "The sentence of a competent court, proceeding in rem,
is conclusive with respect to the thing itself, and operates as an [**145]
absolute change of the property. By such sentence, the right of the former owner
is lost, and a complete title given to the person who claims under the decree.
No court of coordinate jurisdiction can examine the sentence. The question,
therefore, respecting its conformity to general or municipal law can never
arise, for no coordinate tribunal is capable of making the inquiry."
Williams v. Armroyd, 7
Cranch, 423, 432. The most common illustrations of this are decrees
of courts of admiralty and prize, which proceed upon principles of international
law.
Croudson v. Leonard, 4
Cranch, 434; Williams v. Armroyd, above cited;
Ludlow v. Dale, 1 Johns.
Cas. 16. But the same rule applies to judgments in rem under
municipal law.
HN9 Hudson
v. Guestier, 4 Cranch, 293;
Ennis v. Smith, 14 How.
400, 430;
Wisconsin v. Pelican Ins.
Co., 127 U.S. 265, 291; [***110]
Scott v. McNeal, 154 U.S.
34, 46; Castrique v. Imrie, L.R. 4 H.L. 414; Monroe v. Douglas, 4
Sandf. Ch. 126.
A judgment affecting the status of persons, such as a decree confirming or
dissolving a marriage, is recognized as valid in every country, unless contrary
to the policy of its own law. Cottington's case, 2 Swanston, 326; Roach v.
Garvan, 1 Ves. Sen. 157;
Harvey v. Farnie, 8 App.
Cas. 43;
Cheely v. Clayton, 110
U.S. 701. It was of a foreign sentence of divorce, that Lord
Chancellor Nottingham, in the House of Lords, in 1688, in Cottington's case,
above cited, said: "It is against the law of nations not to give credit to the
judgments and sentences of foreign countries, till they be reversed by the law,
[*168]
and according to the form, of those countries wherein they were given. For what
right hath one kingdom to reverse the judgment of another? And how can we refuse
to let a sentence take place till it be reversed? And what confusion would
follow in Christendom, if they should serve us so abroad, and give no credit to
our sentences."
HN10 Other
judgments, not strictly in rem, under which a person has been compelled to pay
money, are so far conclusive that the justice of the payment cannot be impeached
in another country, so as to compel him to pay it again. For instance, a
judgment in foreign attachment is conclusive, as between the parties, of the
right to the property or money attached. Story on Conflict of Laws, (2d ed.) §
592 a. And if, on the dissolution of a partnership, one partner promises to
indemnify the other against the debts of the partnership, a judgment for such a
debt, under which the latter has been compelled to pay it, is conclusive
evidence of the debt in a suit by him to recover the amount upon the promise of
indemnity. It was of such a judgment, and in such a suit, that Lord Nottingham
said: "Let the plaintiff receive back so much of the money brought into court as
may be adequate to the sum paid on the sentence for custom, the justice whereof
is not examinable here." Gold v. Canham, (1689) 2 Swanston, 325; S.C. 1 Cas. in
Ch. 311. See also
Tarleton v. Tarleton, 4
M. & S. 20;
Konitzky v. Meyer, 49
N.Y. 571.
Other foreign judgments which have been held conclusive of the matter adjudged
were judgments discharging obligations contracted in the foreign country between
citizens or residents thereof. Story's Conflict of Laws, §§ 330-341; May v.
Breed, 7 Cush.
15. Such was the case, cited at the bar, of Burroughs or Burrows v. Jamineau or
Jemino, Mosely, 1; S.C. 2 Stra. 733; 2 Eq. Cas. Ab. 525, pl. 7; 12 Vin. Ab. 87,
pl. 9; Sel. Cas. in Ch. 69; 1 Dickens, 48.
In that case, bills of exchange, drawn in London, were negotiated, indorsed and
accepted at Leghorn
in Italy, by the law of which an acceptance became void if the drawer failed
without leaving effects in the acceptor's hands. The acceptor, accordingly,
having received advices that the drawer had failed [*169]
before the acceptances, brought a suit at Leghorn against the last endorsees, to
be discharged of his acceptances, paid the money into court and obtained a
sentence there, by which the acceptances were vacated as against those endorsees
and all the endorsers and negotiators of the bills, and the money deposited was
returned to him. Being afterwards sued at law in England by subsequent holders
of the bills, he applied to the Court of Chancery and obtained a perpetual
injunction. Lord Chancellor King, as reported by Strange, "was clearly of
opinion that this cause was to be determined according to the local laws of the
place where the bill was negotiated, and the plaintiff's acceptance of the bill
having been vacated and declared void by a court of competent jurisdiction, he
thought that sentence was conclusive and bound the Court of Chancery here;" as
reported in Viner, that "the court at Leghorn had jurisdiction of the thing, and
of the persons;" and, as reported by Mosely, that, though "the last endorsees
had the sole property of the bills, and were therefore made the only parties to
the suit at Leghorn, yet the sentence made the acceptance void against the now
defendants and all others." It is doubtful, at the least, whether such a
sentence was entitled to the effect given to it by Lord Chancellor King. See
Novelli v. Rossi, 2 B. & Ad. 757; Castrique v. Imrie, L.R. 4 H.L. 414, 435; 2
Smith's Lead. Cas. (2d ed.) 450.
The remark of Lord Hardwicke, arguendo, as Chief Justice, in Boucher v. Lawson,
(1734) that "the reason gone upon by Lord Chancellor King, in the case of
Burroughs v. Jamineau, was certainly right, that were any court, whether foreign
or domestic, that has the proper jurisdiction of the case, makes a
determination, it is conclusive to all other courts," evidently had reference,
as the context shows, to judgments of a [**146]
court having jurisdiction of the thing; and did not touch the effect of an
exectory judgment for a debt. Cas. temp. Hardw. 85, 89; S.C. Cunningham, 144,
148.
In former times, foreign decrees in admiralty in personam were executed, even by
imprisonment of the defendant, by the Court of Admiralty in England, upon
letters rogatory from the foreign sovereign, without a new suit. Its right to [*170]
do so was recognized by the Court of King's Bench in 1607 in a case of habeas
corpus, cited by the plaintiffs, and reported as follows: "If a man of Frizeland
sues an Englishman in Frizeland before the Governor there, and there recovers
against him a certain sum; upon which the Englishman, not having sufficient to
satisfy it, comes into England, upon which the Governor sends his letters
missive into England, omnes magistratus infra regnum Angliae rogans, to make
execution of the said judgment. The Judge of the Admiralty may execute this
judgment by imprisonment of the party, and he shall not be delivered by the
common law; for this is by the law of nations, that the justice of one nation
should be aiding to the justice of another nation, and for one to execute the
judgment of the other; and the law of England takes notice of this law, and the
Judge of the Admiralty is the proper magistrate for this purpose; for he only
hath the execution of the civil law within the realm. Pasch. 5 Jac. B.R., Weir's
case, resolved upon an habeas corpus, and remanded." 1 Rol. Ab. 530, pl. 12; 6
Vin. Ab. 512, pl. 12. But the only question there raised or decided was of the
power of the English Court of Admiralty, and [***111]
not of the conclusiveness of the foreign sentence; and in later times the mode
of enforcing a foreign decree in admiralty is by a new libel. See The City of
Mecca, 5 P.D. 28, and 6 P.D. 106.
The extraterritorial effect of judgments in personam, at law or in equity, may
differ, according to the parties to the cause. A judgment of that kind between
two citizens or residents of the country, and thereby subject to the
jurisdiction, in which it is rendered, may be held conclusive as between them
everywhere. So, if a foreigner invokes the jurisdiction by bringing an action
against a citizen, both may be held bound by a judgment in favor of either. And
if a citizen sues a foreigner, and judgment is rendered in favor of the latter,
both may be held equally bound. Ricardo v. Garcias, 12 Cl. & Fin. 368; The
Griefswald, Swabey, 430, 435; Barber v. Lamb, 8 C.B.(N.S.) 95;
Lea v. Deakin, 11
Bissell, 23.
The effect to which a judgment, purely executory, rendered [*171]
in favor of a citizen or resident of the country, in a suit there brought by him
against a foreigner, may be entitled in an action thereon against the latter in
his own country -- as is the case now before us -- presents a more difficult
question, upon which there has been some diversity of opinion.
Early in the last century, it was settled in England that a foreign judgment on
a debt was considered not, like a judgment of a domestic court of record, as a
record or a specialty, a lawful consideration for which was conclusively
presumed; but as a simple contract only.
This clearly appears in Dupleix v. De Roven, (1706) where one of two merchants
in France recovered a judgment there against the other for a sum of money,
which, not being paid, he brought a suit in chancery in England for a discovery
of assets and satisfaction of the debt; and the defendant pleaded the statute of
limitations of six years, and prevailed, Lord Keeper Cowper saying: "Although
the plaintiff obtained a judgment or sentence in France, yet here the debt must
be considered as a debt by simple contract. The plaintiff can maintain no action
here, but an indebitatus assumpsit or an insimul computassent; so that the
statute of limitations is pleadable in this case." 2
Vernon,
540.
Several opinions of Lord Harfwicke define and illustrate the effect of foreign
judgments, when sued on or pleaded in England.
In Otway v. Ramsay, (1736) in the King's Bench, Lord Hardwicke treated it as
worthy of consideration, "what credit is to be given by one court to the courts
of another nation, proceeding both by the same rules of law," and said, "It is
very desirable, in such case, that the judgment given in one kingdom should be
considered as res judicata in another." But it was held that debt would not lie
in Ireland upon an English judgment, because "Ireland
must be considered as a provincial kingdom, part of the dominions of the Crown
of England, but no part of the realm," and an action of debt on a judgment was
local. 4 B. & C. 414-416, note; S.C. 14 Vin. Ab. 569, pl. 5; 2 Stra. 1090.
A decision of Lord Hardwicke as Chancellor was mentioned [*172]
in
Walker v. Witter, (1778)
1 Doug. 1, 6, by Lord Mansfield, who said: "He recollected a case of
a decree on the chancery side in one of the courts of great sessions in Wales,
from which there was an appeal to the House of Lords, and the decree affirmed
there; afterwards, a bill was filed in the Court of Chancery, on the foundation
of the decree so affirmed, and Lord Hardwicke thought himself entitled to
examine into the justice of the decision of the House of Lords, because the
original decree was in the court of Wales, whose decisions were clearly liable
to be examined." And in
Galbraith v. Neville,
(1789) 1 Doug. 6, note, Mr. Justice Buller said: "I have often heard
Lord Mansfield repeat what was said by Lord Hardwicke in the case alluded to
from Wales; and the ground of his lordship's opinion was this: when you call for
my assistance to carry into effect the decision of some other tribunal, you
shall not have it, if it appears that you are in the wrong; [**147]
and it was on that account, that he said, he would examine into the propriety of
the decree." The case before Lord Hardwicke, mentioned by Lord Mansfield, would
appear (notwithstanding the doubt of its authenticity expressed by Lord Kenyon
in Galbraith v. Neville) to have been a suit to recover a legacy, briefly
reported, with references to Lord Hardwicke's note book, and to the original
record, as Morgan v. Morgan, (1737-8) West. Ch. 181, 597; S.C. 1 Atk. 53, 408.
In Gage v. Bulkeley, (1744) briefly reported in 3 Atk. 215, cited by the
plaintiffs, a plea of a foreign sentence in a commissary court in France was
overruled by Lord Hardwicke, saying, "It is the most proper case to stand for an
answer, with liberty to except, that I ever met with." His reasons are fully
stated in two other reports of the case. According to one of them, at the
opening of the argument he said: "Can a sentence or judgment pronounced by a
foreign jurisdiction be pleaded in this kingdom to a demand for the same thing
in any court of justice here? I always thought it could not, because every
sentence, having its authority from the sovereign in whose dominions it is
given, cannot bind the jurisdiction of foreign courts, who own not the same
authority, [*173]
and have a different sovereign, and are only bound by judicial sentence given
under the same sovereign power by which they themselves act." "But though a
foreign sentence cannot be used by way of plea in the courts here, yet it may be
taken advantage of in the way of evidence." "You cannot in this kingdom maintain
debt upon judgment obtained for money in a foreign jurisdiction; but you may an
assumpsit in nature of debt upon a simple contract, and give the judgment in
evidence, and have a verdict. So that the distinction seems to be, where such
foreign sentence is used as a plea to bind the courts here as a judgment, and
when it is made use of in evidence as binding the justice of the case only." And
afterwards, in giving his decision, he said: "The first question is, Whether the
subject-matter of the plea is good? The second is, Whether it is well pleaded?
The first question depends upon this, Whether the sentence or judgment of a
foreign court can be used by way of plea in a court of justice in England? And
no authority, either at law or in equity, has been produced to show that it may
be pleaded: and therefore I shall be very cautious how I establish such a
precedent." "It is true, such sentence is an evidence, [***112]
which may affect the right of this demand, when the cause comes to be heard; but
if it is no plea in a court of law to bind their jurisdiction, I do not see why
it should be so here." Ridgeway temp. Hardw. 263, 264, 270, 273. A similar
report of his judgment is in 2 Ves. Sen. (Belt's Supplt.) 409, 410.
In Roach v. Garvan, (1748) where an infant ward of the Court of Chancery had
been married in France by her guardian to his son before a French court, and the
son "petitioned for a decree for cohabitation with his wife, and to have some
money out of the bank," Lord Hardwicke said, as to the validity of the marriage:
"I has been argued to be valid from being established by the sentence of a court
in France, having proper jurisdiction. And it is true, that if so, it is
conclusive, whether in a foreign court or not, from the law of nations in such
cases; otherwise the rights of mankind would be very precarious and uncertain.
But the question is, whether this is a proper sentence, in a proper cause, and
between proper [*174]
parties? Of which it is impossible to judge, without looking farther into the
proceedings; this being rather the execution of the sentence, than the sentence
itself." And after observing upon the competency of the French tribunal, and
pointing out that restitution of conjugal rights was within the jurisdiction of
the ecclesiastical court, and not of the Court of Chancery, he added, "Much less
will I order any money out of the bank to be given him." 1 Ves. Sen. 157, 159.
He thus clearly recognized the difference between admitting the effect of a
foreign judgment as adjudicating the status of persons, and executing a foreign
judgment by enforcing a claim for money.
These decisions of Lord Hardwicke demonstrate that in his opinion, whenever the
question was of giving effect to a foreign judgment for money, in a suit in
England between the parties, it did not have the weight of a domestic judgment,
and could not be considered as a bar, or as conclusive, but only as evidence of
the same weight as a simple contract, and the propriety and justice of the
judgment might be examined.
In Sinclair v. Fraser, (1771) the appellant, having as attorney in Jamaica made
large advances for his constituent in Scotland, and having been superseded in
office, brought an action before the Supreme Court of Jamaica, and, after
appearance, obtained judgment against him; and afterwards brought an action
against him in Scotland upon that judgment. The Court of Session determined that
the plaintiff was bound to prove before it the ground, nature and extent of the
demand on which the judgment in Jamaica was obtained; and therefore gave
judgment against him. But the House of Lords, (in which, as remarked by one
reporter, Lord Mansfield was then the presiding spirit, acting in concert with,
or for the Lord Chancellor, in disposing of the Scotch appeals,) "ordered and
declared that the judgment of the Supreme Court of Jamaica ought to be received
as evidence prima facie of the debt; and that it lies upon the defendant to
impeach the justice thereof, or to show the same to have been irregularly
obtained;" and therefore reversed the judgment of the Court of Session. 2 Paton,
ix, 253; S.C. Morison Dict. Dec. 4542;
1 Doug. 5,
note.
[*175]
Accordingly, in Crawford v. Witten, (1773) [**148]
a declaration in assumpsit, in an action in England upon a judgment recovered in
the Mayor's Court of Calcutta in Bengal, without showing the cause of action
there, was held good on demurrer. Lord Mansfield considered the case perfectly
clear. Mr. Justice Aston, according to one report, said, "The declaration is
sufficient; we are not to suppose it an unlawful debt;" and, according to
another report, "They admitted the assumpsit by their demurrer. When an action
comes properly before any court, it must be determined by the laws which govern
the country in which the action accrued." And Mr. Justice Ashurst said: "I have
often known assumpsit brought on judgments in foreign courts; the judgment is a
sufficient consideration to support the implied promise." Lofft, 154;
S.C. nom. Crawford v.
Whittal, 1 Doug. 4, note.
In Walker v. Witter, (1778) an action of debt was brought in England upon a
judgment recovered in Jamaica. The defendant pleaded nil debet, and nul tiel
record. Judgment was given for the plaintiff, Lord Mansfield saying: "The plea
of nul tiel record was improper. Though the plaintiffs had called the judgment a
record, yet by the additional words in the declaration, it was clear they did
not mean that sort of record to which implicit faith is given by the courts of
Westminster Hall. They had not misled the court nor the defendant, for they
spoke of it as a record of a court in Jamaica. The question was brought to a
narrow point; for it was admitted on the part of the defendant, that indebitatus
assumpsit would have lain; and on the part of the plaintiffs, that the judgment
was only prima facie evidence of the debt. That being so, the judgment was not a
specialty, but the debt only a simple contract debt; for assumpsit will not lie
on a specialty. The difficulty in the case had arisen from not fixing accurately
what a court of record is in the eye of the law. That description is confined
properly to certain courts in England, and their judgments cannot be
controverted. Foreign courts, and courts in England not of record, have not that
privilege, nor the courts in Wales, etc. But the doctrine in the case of
Sinclair v. Fraser was unquestionable. Foreign judgments are [*176]
a ground of action everywhere, but they are examinable." Justices Willes,
Ashurst and Buller concurred, the two latter saying that wherever indebitatus
assumpsit will lie, debt will also lie.
1 Doug. 1, 5, 6.
In Herbert v. Cook, (1782) again, in an action of debt upon a judgment of an
inferior English court, not a court of record, Lord Mansfield said that it was
"like a foreign judgment, and not conclusive evidence of the debt." Willes, 36,
note.
In Galbraith v. Neville, (1789) upon a motion for a new trial after verdict for
the plaintiff, in an action of debt on a judgment of the Supreme Court of
Jamaica, Lord Kenyon expressed "very serious doubts concerning the doctrine laid
down in Walker v. Witter, that foreign judgments are not binding on the parties
here." But Mr. Justice Buller said: "The doctrine which was laid down in
Sinclair v. Fraser has always been considered as the [***113]
true line ever since; namely, that
HN11 the
foreign judgment shall be prima facie evidence of the debt, and conclusive till
it be impeached by the other party." "As to actions of this sort, see how far
the court could go, if what was said in Walker v. Witter were departed from. It
was there held, that the foreign judgment was only to be taken to be right prima
facie; that is, we will allow the same force to a foreign judgment, that we do
to those of our own courts not of record. But if the matter were carried
farther, we should give them more credit; we should give them equal force with
those of courts of record here. Now a foreign judgment has never been considered
as a record. It cannot be declared on as such, and a plea of nul tiel record, in
such a case, is a mere nullity. How then can it have the same obligatory force?
In short, the result is this; that it is prima facie evidence of the justice of
the demand in an action of assumpsit, having no more credit than is given to
every species of written agreement, viz. that it shall be considered as good
till it is impeached."
1 Doug. 6,
note. And the court afterwards unanimously refused the new trial, because,
"without entering into the question how far a foreign judgment was impeachable,
it was at all events clear that it was prima facie evidence of the debt; and
they were of opinion [*177]
that no evidence had been adduced to impeach this." 5 East, 475, note.
In Messin v. Massareene, (1791) the plaintiff, having obtained a judgment
against the defendants in a French court, brought an action of assumpsit upon it
in England, and, the defendants having suffered a default, moved for a reference
to a master, and for a final judgment on his report, without executing a writ of
inquiry. The motion was denied, Lord Kenyon saying, "This is an attempt to carry
the rule farther than has yet been done, and as there is no instance of the kind
I am not disposed to make a precedent for it;" and Mr. Justice Buller saying,
"Though debt will lie here on a foreign judgment, the defendant may go into the
consideration of it." 4 T.R. 493.
In Bayley v. Edwards, (1792) the Judicial Committee of the Privy Council, upon
appeal from Jamaica, held that a suit in equity pending in England was not a
good plea in bar to a subsequent bill in Jamaica for the same matter; and Lord
Camden said: "In Gage v. Bulkeley," (evidently referred to the full report in
Ridgeway, above quoted, which had been cited by counsel,) "Lord Hardwicke's
reasons go a great way to show the true effect of foreign sentences in this
country. And [**149]
all the cases show that foreign sentences are not conclusive bars here, but only
evidence of the demand." 3 Swanston, 703, 708, 710.
In Phillips v. Hunter, (1795) the House of Lords, in accordance with the opinion
of the majority of the judges consulted, and against that of Chief Justice Eyre,
decided that a creditor of an English bankrupt, who had obtained payment of his
debt by foreign attachment in Pennsylvania, was liable to an action for the
money by the assignees in bankruptcy in England. But it was agreed, on all
hands, that the judgment in Pennsylvania and payment under it were conclusive as
between the garnishee and the plaintiff in that suit. And the distinction
between the effect of a foreign judgment which vests title, and of one which
only declares that a certain sum of money is due, was clearly stated by Chief
Justice Eyre, as follows:
[*178]
"This judgment against the garnishee in the court of Pennsylvania was recovered
properly or improperly. If, notwithstanding the bankruptcy, the debt remained
liable to an attachment according to the laws of that country, the judgment was
proper; if, according to the laws of that country, the property in the debt was
divested out of the bankrupt debtor, and vested in his assignees, the judgment
was improper. But this was a question to be decided, in the cause instituted in
Pennsylvania,
by the courts of that country and not by us. We cannot examine their judgment,
and if we could, we have not the means of doing it in this case. It is not
stated upon this record, nor can we take notice, what the law of Pennsylvania is
upon this subject. If we had the means, we could not examine a judgment of a
court in a foreign State, brought before us in this manner.
HN12 "It
is in one way only, that the sentence or judgment of a court of a foreign state
is examinable in our courts, and that is, when the party who claims the benefit
of it applies to our courts to enforce it. When it is thus voluntarily submitted
to our jurisdiction, we treat it, not as obligatory to the extent to which it
would be obligatory, perhaps, in the country in which it was pronounced, nor as
obligatory to the extent to which, by our law, sentences and judgments are
obligatory, not as conclusive, but as matter in pais, as consideration prima
facie sufficient to raise a promise. We examine it as we do all other
considerations or promises, and for that purpose we receive evidence of what the
law of the foreign State is, and whether the judgment is warranted by that law."
2 H. Bl. 402, 409, 410.
In Wright v. Simpson, (1802) Lord Chancellor Eldon said:
HN13 "Natural
law requires the courts of this country to give credit to those of another for
the inclination and power to do justice; but not, if that presumption is proved
to be ill founded in that transaction, which is the subject of it; and if it
appears in evidence, that persons suing under similar circumstances neither had
met, nor could meet, with justice, that fact cannot be immaterial as an answer
to the presumption." 6 Ves. 714, 730.
[*179]
Under Lord Ellenborough, the distinction between a suit on a foreign judgment in
favor of the plaintiff against the defendant, and a suit to recover money which
the plaintiff had been compelled to pay under a judgment abroad, was clearly
maintained.
In Buchanan v. Rucker, (1807) in assumpsit upon a judgment rendered in the
island of Tobago, the defendant pleaded non assumpsit, and prevailed, because it
appeared that he was not a resident of the island, and was neither personally
served with process nor came in to defend, and the only notice was, according to
the practice of the court, by nailing up a copy of the declaration at the
court-house door. It was argued that "the presumption was in favor of a foreign
judgment, as well as of a judgment obtained in one of the courts of this
country." To which Lord Ellenborough answered: " [***114]
That may be so, if the judgment appears, on the face of it, consistent with
reason and justice; but it is contrary to the first principles of reason and
justice, that, either in civil or criminal proceedings, a man should be
condemned before he is heard."
HN14 "There
might be such glaring injustice on the face of a foreign judgment, or it might
have a vice rendering it so ludicrous, that, it could not raise an assumpsit,
and, if submitted to the jurisdiction of the courts of this country, could not
be enforced." 1 Camp. 63, 66, 67. A motion for a new trial was denied. 9 East,
192. And see Sadler v. Robins, (1808) 1 Camp. 253, 256.
In Hall v. Odber, (1809) in assumpsit upon a judgment obtained in Canada, with
other counts on the original debt, Lord Ellenborough and Justices Grose, Le
Blanc and Bayley agreed that a foreign judgment was not to be considered as
having the same force as a domestic judgment, but only that of a simple contract
between the parties, and did not merge the original cause of action, but was
only evidence of the debt, and therefore assumpsit would lie, either upon the
judgment, or upon the original cause of action. 11 East, 118.
In Tarleton v. Tarleton, (1815) on the other hand, the action was brought upon a
covenant of indemnity in an agreement for dissolution of a partnership, to
recover a sum which the [*180]
plaintiff had been compelled to pay under a decision in a suit between the
parties in the island of Grenada. Such was the case, of which Lord Ellenborough,
affirming his own ruling at the trial, said: "I thought that I did not sit at
nisi prius to try a writ of error in this case upon the proceedings in the court
abroad. The defendant had notice of the proceedings, and should have appeared
and made his defence. [**150]
The plaintiff, by this neglect, has been obliged to pay the money in order to
avoid a sequestration." The distinction was clearly brought out by Mr. Justice
Bayley, who said: "As between the parties to the suit, the justice of it might
be again litigated; but as against a stranger it cannot."
4 M. & S. 20, 22, 23.
In Harris v. Saunders, (1825) Chief Justice Abbott (afterwards Lord Tenterden)
and his associates, upon the authority of Otway v. Ramsay, above cited, held
that, even since the Act of Union of 39 & 40 Geo. III, c. 67, assumpsit would
lie in England upon a judgment recovered in Ireland, because such a judgment
could not be considered a specialty debt in England.4 B. & C. 411; S.C. 6 D. &
R. 471.
The English cases, above referred to, have been stated with the more
particularity and detail, because they directly bear upon the question what was
the English law, being then our own law, before the Declaration of Independence.
They demonstrate that by that law, as generally understood, and as declared by
Hardwicke, Mansfield, Buller, Camden, Eyre and Ellenborough, and doubted by
Kenyon only, a judgment recovered in a foreign country for a sum of money, when
sued upon in England, was only prima facie evidence of the demand, and subject
to be examined and impeached. The law of England, since it has become to us a
foreign country, will be considered afterwards.
The law upon this subject, as understood in the United States, at the time of
their separation from the mother country, was clearly set forth by Chief Justice
Parsons, speaking for the
Supreme Judicial Court,
of Massachusetts, in 1813, and by Mr. Justice Story, in his Commentaries on the
Constitution of the United States, published in 1833. Both those [*181]
eminent jurists declared that by the law of England the general rule was that
foreign judgments were only prima facie evidence of the matter which they
purported to decide; and that by the common law, before the American Revolution,
all the courts of the several Colonies and States were deemed foreign to each
other, and consequently judgments rendered by any one of them were considered as
foreign judgments, and their merits reexaminable in another Colony, not only as
to the jurisdiction of the court which pronounced them, but also as to the
merits of the controversy, to the extent to which they were understood to be
reexaminable in England.And they noted that, in order to remove that
inconvenience, statutes had been passed in Massachusetts, and in some of the
other Colonies, by which judgments rendered by a court of competent jurisdiction
in a neighboring Colony could not be impeached.
Bissell v. Briggs, 9
Mass. 462, 464, 465; Mass. Stat. 1773-4, c. 16, 5 Prov. Laws, 323,
369; Story on the Constitution, (1st ed.) §§ 1301, 1302; (4th ed.) §§ 1306,
1307.
It was because of that condition of the law, as between the American Colonies
and States, that the United States, at the very beginning of their existence as
a nation, ordained that full faith and credit should be given to the judgments
of one of the States of the Union in the courts of another of those States.
By the Articles of Confederation of 1777, art. 4, § 3, "Full
HN15 faith
and credit shall be given, in each of these States, to the records, acts and
judicial proceedings of the courts and magistrates of every other State." 1
Stat. 4. By the Constitution of the United States, art. 4, § 1,
HN16 "Full
faith and credit shall be given in each State to the public acts, records and
judicial proceedings of every other State; and the Congress may by general laws
prescribe the manner in which such acts, records and proceedings shall be
proved, and the effect thereof." And the first Congress of the United States
under the Constitution, after prescribing the manner in which the records and
judicial proceedings of the courts of any State should be authenticated and
proved, enacted that "the said
HN17 records
and judicial proceedings, authenticated as aforesaid, shall have [*182]
such faith and credit given to them in every court within the United States, as
they have by law or usage in the courts of the State from whence the said
records are or shall be taken." Act of May 26, 1790, c. 11, 1 Stat. 122; Rev.
Stat. § 905.
The effect of these provisions of the Constitution and laws of the United States
was at first a subject of diverse opinions, not only in the courts of the
several States, but also in the Circuit Courts of the United States; Mr. Justice
Cushing, Mr. Justice Wilson and Mr. Justice Washington holding that judgments of
the courts of a State had the same effect throughout the Union as within that
State; but Chief [***115]
Justice Marshall (if accurately reported) being of opinion that they were not
entitled to conclusive effect, and that their consideration might be impeached.
Armstrong v. Carson, (1794) 2 Dall. 302; Green v. Sarmiento, (1811) 3 Wash. C.C.
17, 21; S.C. Pet. C.C. 74, 78; Peck v. Williamson, (reported as in November,
1813, apparently a mistake for 1812,) 1, Carolina Law Repository, 53.
The decisions of this court have clearly recognized that judgments of a foreign
state are prima facie evidence only, and that, but for those constitutional and
legislative provisions, judgments of a State of the Union, when sued upon in
another State, would have no greater effect.
In Croudson v. Leonard, (1808) in which this court held that the sentence of a
foreign court of admiralty in rem, condemning a vessel for breach of blockade,
was conclusive evidence of that fact in an action on a policy of insurance, Mr.
Justice Washington, after speaking of the conclusiveness of domestic [**151]
judgments generally, said: "The judgment of a foreign court is equally
conclusive, except in the single instance where the party claiming the benefit
of it applies to the courts in England to enforce it, in which case only the
judgment is prima facie evidence. But it is to be remarked, that in such a case,
the judgment is no more conclusive as to the right it establishes, than as to
the fact it decides."
4 Cranch, 434, 442.
In Mills v. Duryee, (1813) in which it was established that, by virtue of the
Constitution and laws of the United States, the judgment of a court of one of
the States was conclusive [*183]
evidence, in every court within the United States, of the matter adjudged; and
therefore nul tiel record, and not nil debet, was a proper plea to an action
brought in a court of the United States in the District of Columbia upon a
judgment recovered in a court of the State of New York; this court, speaking by
Mr. Justice Story, said: "The pleadings in an action are governed by the dignity
of the instrument on which it is founded. If it be a record, conclusive between
the parties, it cannot be denied but by the plea of nul tiel record; and when
Congress gave the effect of a record to the judgment, it gave all the collateral
consequences." "Were the construction contended for by the plaintiff in error to
prevail, that judgments of the state courts ought to be considered prima facie
evidence only, this clause in the Constitution would be utterly unimportant and
illusory. The common law would give such judgments precisely the same effect."
7 Cranch, 481, 484, 485.
In Hampton v. McConnel, (1818) the point decided in Mills v. Duryee was again
adjudged, without further discussion, in an opinion delivered by Chief Justice
Marshall.
3 Wheat. 234.
The obiter dictum of Mr. Justice Livingston in
Hopkins v. Lee, (1821) 6
Wheat. 109. 114, repeated by Mr. Justice Daniel in
Pennington v. Gibson,
(1853) 16 How. 65, 78, as to the general effect of foreign judgments,
has no important bearing upon the case before us.
In McElmoyle v. Cohen, (1839) Mr. Justice Wayne, discussing the effect of the
act of Congress of 1790, said, that "the adjudications of the English courts
have now established the rule to be, that foreign judgments are prima facie
evidence of the right and matter they purport to decide." 13 Pet. 312, 325.
In D'Arcy v. Ketchum, (1850) in which this court held that the provisions of the
Constitution and laws of the United States gave no effect in one State to
judgments rendered in another State by a court having no jurisdiction of the
cause or of the parties, Mr. Justice Catron said: "In construing the act of
1790, the law as it stood when the act was passed [*184]
must enter into that construction; so that the existing defect in the old law
may be seen, and its remedy by the act of Congress comprehended. Now it was most
reasonable, on general principles of comity and justice, that, among States and
their citizens united as ours are, judgments rendered in one should bind
citizens of other States, where defendants had been served with process, or
voluntarily made defence. As these judgments, however, were only prima facie
evidence, and subject to be inquired into by plea, when sued on in another
State, Congress saw proper to remedy the evil, and to provide that such inquiry
and double defence should not be allowed. To this extent, it is declared in the
case of Mills v. Duryee, Congress has gone in altering the old rule."
11 How. 165, 175, 176.
In Christmas v. Russell, (1866) in which this court decided that, because of the
Constitution and laws of the United States, a judgment of a court of one State
of the Union, when sued upon in a court of another, could not be shown to have
been procured by fraud, Mr. Justice Clifford, in delivering the opinion, after
stating that, under the rules of the common law, a domestic judgment, rendered
in a court of competent jurisdiction, could not be collaterally impeached or
called in question, said: "Common law rules placed foreign judgments upon a
different footing, and those rules remain, as a general remark, unchanged to the
present time. Under these rules, a foreign judgment was prima facie evidence of
the debt, and it was open to examination, not only to show that the court in
which it was rendered had no jurisdiction of the subject-matter, but also to
show that the judgment was fraudulently obtained."
5 Wall. 290, 304.
In Bischoff v. Wethered, (1869) in an action on an English judgment rendered
without notice to the defendant, other than by service on him in this country,
this court, speaking by Mr. Justice Bradley, held that the proceeding in England
"was wholly without jurisdiction of the person, and whatever validity it may
have in England, by virtue of statute law, against property of the defendant
there situate, it can have no validity here, even of a prima facie character."
9 Wall. 812, 814.
[*185]
In
Hanley v. Donoghue,
(1885) 116 U.S. 1, 4, and in
Wisconsin v. Pelican Ins.
Co., (1888) 127 U.S. 265, 292, it was said that judgments recovered
in one State of the Union, when proved in the courts of another, differed from
judgments recovered in a [***116]
foreign country in no other respect than in not being reexaminable on their
merits, nor impeachable for fraud in obtaining them, if rendered by a court
having jurisdiction of the cause and of the parties.
But neither in those cases, nor in any other, has this court hitherto been
called upon to determine how far foreign judgments may be reexamined upon their
merits, or be impeached for fraud in obtaining them.
In the courts of the several States, it was long recognized and assumed, as
undoubted and indisputable, that by our law, as by the law of England, foreign
judgments for debts were not conclusive, but only prima facie evidence [**152]
of the matter adjudged. Some of the cases are collected in the margin. n1
n1
Bartlet v. Knight, (1805)
1 Mass. 401, 405;
Buttrick v. Allen, (1811)
8 Mass. 273;
Bissell v. Briggs, (1813)
9 Mass. 462, 464; Hall v. Williams, (1828) 6 Pick. 232, 238; Gleason
v. Dodd, (1842) 4 Met. 333, 336; Wood v. Gamble, (1853) 11
Cush.
8; McKim v. Odom, (1835) 3 Fairf. 94, 96;
Middlesex Bank v. Butman,
(1848) 29 Maine, 19, 21; Bryant v. Ela, (1815)
Smith (N.H.) 396, 404;
Thurber v. Blackbourne,
(1818) 1 N.H. 242;
Robinson v. Prescott,
(1828) 4 N.H. 450; Taylor v. Barron, (1855) 10 Foster, 78, 95; King
v. Van Gilder, (1791) 1 D. Chip. 59;
Rathbone v. Terry, (1837)
1 Rhode Island, 73, 76;
Aldrich v. Kinney, (1822)
4 Connecticut, 380, 382; Hitchcock v. Aicken, (1803) 1 Caines, 460;
Smith v. Lewis, (1808) 3
Johns. 157, 159;
Taylor v. Bryden, (1811)
8 Johns. 173;
Andrews v. Montgomery,
(1821) 19 Johns. 162, 165;
Starbuck v. Murray,
(1830) 5 Wend. 148, 155; Benton v. Burgot, (1823) 10 S. & R. 240,
241, 242;
Barney v. Patterson,
(1824) 6 Har. & Johns. 182, 202, 203;
Taylor v. Phelps, (1827)
1 Har. & Gill, 492, 503; Rogers v. Coleman, (1808) Hardin, 413, 414;
Williams v. Preston, (1830) 3 J.J. Marsh. 600, 601.
In the leading case of Bissell v. Briggs, above cited, Chief Justice Parsons
said: "A foreign judgment may be produced here by a party to it, either to
justify himself by the execution of that judgment in the country in which it was
rendered, or to obtain the execution of it from our courts." "If the foreign
court rendering the judgment had jurisdiction of the cause, yet the courts here
will not execute the judgment, without first [*186]
allowing an inquiry into its merits. The judgment of a foreign court, therefore,
is by our laws considered only as presumptive evidence of a debt, or as prima
facie evidence of a sufficient consideration of a promise, where such court had
jurisdiction of the cause; and if an action of debt be sued on any such
judgment, nil debet is the general issue; or, if it be made the consideration of
a promise, the general issue is non assumpsit. On these issues, the defendant
may impeach the justice of the judgment, by evidence relative to that point. On
these issues, the defendant may also, by proper evidence, prove that the
judgment was rendered by a foreign court, which had no jurisdiction; and if his
evidence be sufficient for this purpose, he has no occasion to impeach the
justice of the judgment."
9 Mass. 463, 464.
In a less known case, decided in 1815, but not published until 1879, the reasons
for this view were forcibly stated by Chief Justice Jeremiah Smith, speaking for
the Supreme Court of New Hampshire, as follows:
"The respect which is due to judgments, sentences and decrees of courts in a
foreign State, by the law of nations, seems to be the same which is due to those
of our own courts. Hence the decree of an admiralty court abroad is equally
conclusive with decrees of our admiralty courts. Indeed, both courts proceed by
the same rule, are governed by the same law -- the maritime law of nations:
Coll. Jurid. 100; which is the universal law of nations, except where treaties
alter it.
"The same comity is not extended to judgments or decrees which may be founded on
the municipal laws of the State in which they are pronounced, Independent States
do not choose to adopt such decisions without examination. These laws and
regulations may be unjust, partial to citizens, and against foreigners; they may
operate injustice to our citizens, whom we are bound to protect; they may be,
and the decisions of courts founded on them, just cause of complaint against the
supreme power of the State where rendered. To adopt them is not merely saying
that the courts have decided correctly on the law, but it is approbating the law
itself.
HN18 Wherever,
then, the court may have proceeded on municipal [*187]
law, the rule is, that the judgments are not conclusive evidence of debt, but
prima facie evidence only. The proceedings have not the conclusive quality which
is annexed to the records or proceedings of our own courts, where we approve
both of the rule and of the judges who interpret and apply it. A foreign
judgment may be impeached; defendant may show that it is unjust, or that it was
irregularly or unduly obtained. Doug. 5, note."
Bryant v. Ela, Smith (N.H.)
396, 404.
From this review of the authorities, it clearly appears that, at the time of the
separation of this country from England,
HN19 the
general rule was fully established that foreign judgments in personam were prima
facie evidence only, and not conclusive of the merits of the controversy between
the parties. But the extent and limits of the application of that rule do not
appear to have been much discussed, or defined with any approach to exactness,
in England
or America, until the matter was taken up by Chancellor
Kent
and by Mr. Justice Story.
In Taylor v. Bryden, (1811) an action of assumpsit, brought in the Supreme Court
f the State of New York, on a judgment obtained in the State of Maryland against
the defendant as indorser of a bill of exchange, and which was treated as a
foreign judgment, so far as concerned its effect in New York, (the decision of
this court to the contrary in
Mills v. Duryee, 7 Cranch,
481, not having yet been made,) Chief Justice Kent said: "The
judgment in Maryland is presumptive evidence of a just demand; and it was
incumbent upon the defendant, if he would obstruct the execution of the judgment
here, to show, by positive proof, that it was irregularly or unduly obtained."
"To try over again, as of course, every matter of fact which had been duly
decided by a competent tribunal, would be disregarding the comity which we
justly owe to the courts of other States, and would be carrying the doctrine of
reexamination to an oppressive extent. It would be the same as granting a new
trial in every case, and upon every question of fact. Suppose a recovery in
another State, or in any foreign court, in an action [***117]
for a [*188]
tort, as for an assault and battery, false imprisonment, slander, etc., and the
defendant was duly summoned and appeared, and made his [**153]
defence, and the trial was conducted orderly and properly, according to the
rules of a civilized jurisprudence, is every such case to be tried again here on
the merits? I much doubt whether the rule can ever go to this length. The
general language of the books is that the defendant must impeach the judgment by
showing affirmatively that it was unjust by being irregularly or unfairly
procured." But the case was decided upon the ground that the defendant had done
no more than raise a doubt of the correctness of the judgment sued on.
8 Johns. 173, 177, 178.
Chancellor Kent, afterwards, treating of the same subject in the first edition
of his Commentaries, (1827) put the right to impeach a foreign judgment somewhat
more broadly, saying: "No sovereign is obliged to execute, within his dominion,
a sentence rendered out of it; and if execution be sought by a suit upon the
judgment, or otherwise, he is at liberty, in his courts of justice, to examine
into the merits of such judgment [for the effect to be given to foreign
judgments is altogether a matter of comity, in cases where it is not regulated
by treaty]. In the former case, [HN20 of
a suit to enforce a foreign judgment,] the rule is, that the foreign judgment is
to be received, in the first instance, as prima facie evidence of the debt; and
it lies on the defendant to impeach the justice of it, or to show that it was
irregularly and unduly obtained. This was the principle declared and settled by
the House of Lords, in 1771, in the case of Sinclair v. Fraser, upon an appeal
from the Court of Session in Scotland." In the second edition, (1832) he
inserted the passages above printed in brackets; and in a note to the fourth
edition, (1840) after citing recent conflicting opinions in Great Britain, and
referring to Mr. Justice Story's reasoning in his Commentaries on the Conflict
of Laws, § 607, in favor of the conclusiveness of foreign judgments, he added,
"and that is certainly the more convenient and the safest rule, and the most
consistent with sound principle, except in cases in which the court which
pronounced the judgment has not due jurisdiction of the case, or of the [*189]
defendant, or the proceeding was in fraud, or founded in palpable mistake or
irregularity, or bad by the law of the rei judicate; and in all such cases the
justice of the judgment ought to be impeached." 2 Kent Com. (1st ed.) 102;
(later eds.) 120.
Mr. Justice Story, in his Commentaries on the Conflict of Laws, first published
in 1834, after reviewing many English authorities, said, "The present
inclination of the English courts seems to be to sustain the conclusiveness of
foreign judgments" -- to which, in the second edition in 1841, he added,
"although certainly there yet remains no inconsiderable diversity of opinion
among the learned judges of the different tribunals." § 606.
He then proceeded to state his own view of the subject, on principle, saying:
"It is, indeed, very difficult to perceive what could be done, if a different
doctrine were maintainable to the full extent of opening all the evidence and
merits of the cause anew on a suit upon the foreign judgment. Some of the
witnesses may be since dead; some of the vouchers may be lost or destroyed. The
merits of the cause, as formerly before the court upon the whole evidence, may
have been decidedly in favor of the judgment; upon a partial possession of the
original evidence, they may now appear otherwise. Suppose a case purely sounding
in damages, such as an action for an assault, for slander, for conversion of
property, for a malicious prosecution, or for a criminal conversation; is the
defendant to be at liberty to retry the whole merits, and to make out, if he
can, a new case upon new evidence? Or is the court to review the former
decision, like a court of appeal, upon the old evidence? In a case of covenant,
or of debt or of a breach of contract, are all the circumstances to be
reexamined anew? If they are, by what laws and rules of evidence and principles
of justice is the validity of the original judgment to be tried? Is the court to
open the judgment, and to proceed ex aequo et bono? Or is it to administer
strict law, and stand to the doctrines of the local administration of justice?
Is it to act upon the rules of evidence acknowledged in its own jurisprudence,
or upon those of the foreign jurisprudence? These and many more questions might
be put to [*190]
show the intrinsic difficulties of the subject. Indeed, the rule that the
judgment is to be prima facie evidence for the plaintiff would be a mere
delusion, if the defendant might still question it by opening all or any of the
original merits on his side; for under such circumstances it would be equivalent
to granting a new trial. It is easy to understand that the defendant may be at
liberty to impeach the original justice of the judgment by showing that the
court had no jurisdiction, or that he never had any notice of the suit; or that
it was procured by fraud; or that upon its face it is founded in mistake; or
that it is irregular and bad by the local law, fori rei judicatoe. To such an
extent the doctrine is intelligible and practicable. Beyond this, the right to
impugn the judgment is in legal effect the right to retry the merits of the
original cause at large, and to put the defendant upon proving those merits." §
607.
He then observed: "The general doctrine maintained in the American courts in
relation to foreign judgments certainly is that they are prima facie evidence,
but that they are impeachable. But how far and to what extent this doctrine is
to be carried does not seem to be definitely settled. It has been declared that
the jurisdiction of the court, and its power over the parties and the things in
controversy, may be inquired into; and that the judgment may be impeached for [**154]
fraud. Beyond this no definite lines have as yet been drawn." § 608.
After stating the effect of the Constitution of the United States, and referring
to the opinions of some foreign jurists, and to the law of France, which allows
the merits of foreign judgments to be examined, Mr. Justice Story concluded his
treatment of the subject as follows: "It is difficult to ascertain what the
prevailing rule is in regard to foreign judgments in some of the other nations
of continental Europe; whether they are deemed conclusive evidence, or only
prima facie evidence. [***118]
Holland seems at all times, upon the general principle of reciprocity, to have
given great weight to foreign judgments, and in many cases, if not in all cases,
to have given to them a weight equal to that given to domestic judgments,
wherever the like rule of reciprocity with regard to Dutch [*191]
judgments has been adopted by the foreign country whose judgment is brought
under review. This is certainly a very reasonable rule, and may perhaps
hereafter work itself firmly into the structure of international jurisprudence."
§ 618.
In Bradstreet v. Neptune Ins. Co., (1839) in the Circuit Court of the United
States for the District of Massachusetts, Mr. Justice Story said: "If a
civilized nation seeks to have the sentences of its own courts held of any
validity elsewhere, they ought to have a just regard to the rights and usages of
other civilized nations, and the principles of public and national law in the
administration of justice."
3 Sumner, 600, 608, 609.
In Burnham v. Webster, (1845) in an action of assumpsit upon a promissory note,
brought in the Circuit Court of the United States for the District of Maine, the
defendant pleaded a former judgment in the Province of New Brunswick in his
favor in an action there brought by the plaintiff; the plaintiff replied that
the note was withdrawn from that suit, by consent of parties and leave of the
court, before verdict and judgment; and the defendant demurred to the
replication. Judge Ware, in overruling the demurrer, said: "Whatever difference
of opinion there may be as to the binding force of foreign judgments, all agree
that they are not entitled to the same authority as the judgments of domestic
courts of general jurisdiction. They are but evidence of what they purport to
decide, and liable to be controlled by counter evidence, and do not, like
domestic judgments, import absolute verity and remain incontrovertible and
conclusive until reversed." And he added that, if the question stood entirely
clear from authority, he should be of opinion that the plaintiff could not be
allowed to deny the validity of the proceedings of a court whose authority he
had invoked.
2 Ware, 236, 239, 241.
At a subsequent trial of that case before a jury, (1846) 1 Woodb. & Min. 172,
the defendant proved the judgment in New Brunswick. The plaintiff then offered
to prove the facts stated in his replication, and that any entry on the record
of the judgment in
New Brunswick
concerning this note was therefore by mistake or inadvertence. This evidence was
[*192]
excluded, and a verdict taken for the plaintiff, subject to the opinion of the
court. Mr. Justice Woodbury, in granting a new trial, delivered a thoughtful and
discriminating opinion upon the effect of foreign judgments, from which the
following passages are taken:
"They do, like domestic ones, operate conclusively, ex proprio vigore, within
the governments in which they are rendered, but not elsewhere. When offered and
considered elsewhere, they are, ex comitate, treated with respect, according to
the nature of the judgment, and the character of the tribunal which rendered it,
and the reciprocal mode, if any, in which that government treats our judgments,
and according to the party offering it, whether having sought or assented to it
voluntarily or not, so as to give it in some degree the force of a contract, and
hence to be respected elsewhere by analogy according to the lex loci contractus.
With these views, I would go to the whole extent of the cases decided by Lord
Mansfield and Buller; and where the foreign judgment is not in rem, as it is in
admiralty, having the subject-matter before the court, and acting on that rather
than the parties, I would consider it only prima facie evidence as between the
parties to it." p. 175.
"By returning to that rule, we are enabled to give parties, at times, most
needed and most substantial relief, such as in judgments abroad against them
without notice, or without a hearing on the merits, or by accident or mistake of
facts, as here, or on rules of evidence and rules of law they never assented to,
being foreigners and their contracts made elsewhere, but happening to be
travelling through a foreign jurisdiction, and being compelled in invitum to
litigate there." p. 177.
"Nor would I permit the prima facie force of the foreign judgment to go far, if
the court was one of a barbarous or semibarbarous government, and acting on no
established principles of civilized jurisprudence, and not resorted to willingly
by both parties, or both not inhabitants and citizens of the country. Nor can
much comity be asked for the judgments of another nation, which, like France,
pays no respect to those of other countries -- except, as before remarked, on
the principle of the parties belonging there, or assenting to a trial there." p.
179.
[*193]
"On the other hand, by considering a judgment abroad as only prima facie valid,
I would not allow the plaintiff abroad, who had sought it there, to avoid it,
unless for [**155]
accident or mistake, as here. Because, in other respects, having been sought
there by him voluntarily, it does not lie in his mouth to complain of it. Nor
would I in any case permit the whole merits of the judgment recovered abroad to
be put in evidence as a matter of course; but being prima facie correct, the
party impugning it, and desiring a hearing of its merits, must show first,
specifically, some objection to the judgment's reaching the merits, and tending
to prove they had not been acted on; or [as?] by showing there was no
jurisdiction in the court, or no notice, or some accident or mistake, or fraud,
which prevented a full defence, and has entered into the judgment; or that the
court either did not decide at all on the merits, or was a tribunal not acting
in conformity to any set of legal principles, and was not willingly recognized
by the party as suitable for adjudicating on the merits. After matters like
these are proved, I can see no danger, but rather great safety in the
administration of justice, in permitting, to every party before us, at least one
fair opportunity to have the merits of his case fully considered, and one fair
adjudication upon them, before he is estopped forever." p. 180.
In De Brimont v. Penniman, (1873) in the Circuit Court of the United States for
the Southern District of New York, Judge Woodruff said: "The principle on which
foreign judgments receive any recognition from our courts is one of comity. It
does not require, but [***119]
rather forbids it, where such a recognition works a direct violation of the
policy of our laws, and does violence to what we deem the rights of our
citizens." And he declined to maintain an action against a citizen of the United
States (whose daughter had been married in
France
to a French citizen) upon a decree of a French court requiring the defendant,
then resident in France and duly served with process there, to pay an annuity to
his son-in-law.
10 Blatchford, 436, 441.
Mr. Justice Story and Chancellor Kent, as appears by the passages above, quoted
from their commentaries, concurred in [*194]
the opinion that, in a suit upon a foreign judgment, the whole merits of the
case could not, as matter of course, be reexamined anew; but that the defendant
was at liberty to impeach the judgment, not only by showing that the court had
no jurisdiction of the case, or of the defendant, but also by showing that it
was procured by fraud, or was founded on clear mistake or irregularity, or was
bad by the law of the place where it was rendered. Story's Conflict of Laws, §
607; 2 Kent Com. (6th ed.) 120.
The word "mistake" was evidently used by Story and Kent, in this connection, not
in its wider meaning of error in judgment, whether upon the law or upon the
facts; but in the stricter sense of misapprehension or oversight, and as
equivalent to what, in Burnham v. Webster, before cited, Mr. Justice Woodbury
spoke of as "some objection to the judgment's reaching the merits, and tending
to prove that they had not been acted on;" "some accident or mistake," or "that
the court did not decide at all on the merits." 1 Woodb. & Min. 180.
The suggestion that a foreign judgment might be impeached for error in law of
the country in which it was rendered is hardly consistent with the statement of
Chief Justice Marshall, when, speaking of the disposition of this court to adopt
the construction given to the laws of a State by its own courts, he said: "This
course is founded on the principle, supposed to be universally recognized, that
the judicial department of every government, where such department exists, is
the appropriate organ for construing the legislative acts of that government.
Thus, no court in the universe, which professed to be governed by principle,
would, we presume, undertake to say, that the courts of Great Britain, or of
France, or of any other nation, had misunderstood their own statutes, and
therefore erect itself into a tribunal which should correct such
misunderstanding. We receive the construction given by the courts of the nation
as the true sense of the law, and feel ourselves no more at liberty to depart
from that construction, than to depart from the words of the statute."
Elmendorf v. Taylor,
(1825) 10 Wheat. 152, 159, 160.
In recent times, foreign judgments rendered within the dominions [*195]
of the English Crown, and under the law of England, after a trial on the merits,
and no want of jurisdiction, and no fraud or mistake, being shown or offered to
be shown, have been treated as conclusive by the highest courts of New York,
Maine and Illinois.
Lazier v. Wescott, (1862)
26 N.Y. 146, 150;
Dunstan v. Higgins,
(1893) 138 N.Y. 70, 74;
Rankin v. Goddard, (1866)
54 Maine, 28, and
(1868) 55 Maine, 389;
Baker v. Palmer, (1876)
83 Illinois, 568. In two early cases in Ohio, it was said that
foreign judgments were conclusive, unless shown to have been obtained by fraud.
Silver Lake Bank v.
Harding, (1832) 5 Ohio, 545, 547;
Anderson v. Anderson,
(1837) 8 Ohio, 108, 110. But in a later case in that State it was
said that they were only prima facie evidence of indebtedness.
Pelton v. Platner, (1844)
13 Ohio, 209, 217. In
Jones v. Jamison, (1860)
15 La. Ann. 35, the decision was only that, by virtue of the statutes
of Louisiana, a foreign judgment merged the original cause of action as against
the plaintiff.
The result of the modern decisions in England, after much diversity, not to say
vacillation of opinion, does not greatly differ (so far as concerns the aspects
in which the English courts have been called upon to consider the subject) from
the conclusions of Chancellor Kent and of Justices Story and Woodbury.
[**156]
At one time, it was held that, in an action brought in England upon a judgment
obtained by the plaintiff in a foreign country, the judgment must be assumed to
be according to the law of that country, unless the contrary was clearly proved
-- manifestly implying that proof on that point was competent. Becquet v.
McCarthy, (1831) 2 B. & Ad. 951, 957; Alivon v. Furnival, (1834) 1 Cr., M. & R.
277, 293; S.C. 4 Tyrwh. 751, 768.
Lord Brougham, in the House of Lords, as well as Chief Justice Tindal and Chief
Justice Wilde (afterwards Lord Chancellor Truro) and their associates, in the
Common Bench, considered it to be well settled that an Irish or Colonial
judgment, or a foreign judgment, was not, like a judgment of a domestic court of
record, conclusive evidence, but only, like a [*196]
simple contract, prima facie evidence of a debt. Houlditch v. Donegal, (1834) 8
Bligh N.R. 301, 342, 346; S.C. 2 Cl. & Fin. 470, 476-479; Don v. Lipmann, (1837)
5 Cl. & Fin. 1, 20-22; Smith v. Nicolls, (1839) 7 Scott, 147, 166-170; S.C. 5
Bing. N.C. 208, 220-226; 7 Dowl. 282; Bank of Australasia v. Harding,
(1850) 9 C.B. 661, 686,
687.
On the other hand, Vice Chancellor Shadwell, upon an imperfect review of the
early cases, expressed the opinion that a foreign judgment was conclusive.
Martin v. Nicolls, (1830) 3 Sim. 458.
Like opinions were expressed by Lord Denman, speaking for the Court of Queen's
Bench, and by Vice Chancellor Wigram, in cases of Irish or Colonial judgments,
which were subject to direct appellate review in England. Ferguson v. Mahon,
(1839) 11 Ad. & El. 179, 183; S.C. 3 Per. & Dav. 143, 146; Henderson v.
Henderson, (1844) 6 Q.B. 288, 298, 299; Henderson v. Henderson, (1843) 3 Hare,
100, 118.
In Bank of Australasia v. Nias, (1851) in an action upon an Australian judgment,
pleas that the original promises were not made, and that those promises, if
made, were obtained by fraud, were held bad on demurrer. Lord Campbell, in
delivering judgment, referred to Story on the Conflict of Laws, and adopted
substantially his course of reasoning in § 607, above quoted, with regard to
foreign judgments. But he distinctly put the decision upon [***120]
the ground that the defendant might have appealed to the Judicial Committee of
the Privy Council, and thus have procured a review of the colonial judgment. And
he took the precaution to say: "How far it would be permitted to a defendant to
impeach the competency, or the integrity, of a foreign court from which there
was no appeal, it is unnecessary here to inquire." 16 Q.B. 717, 734-737.
The English courts, however, have since treated that decision as establishing
that a judgment of any competent foreign court could not, in an action upon it,
be questioned, either because that court had mistaken its own law, or because it
had come to an erroneous conclusion upon the facts. De Cosse Brissac v. Rathbone,
(1861) 6 H. &N. 301; Scott v. Pilkington, [*197]
(1862) 2 B. & S. 11, 41, 42; Vanquelin v. Bouard, (1863) 15 C.B. (N.S.) 341,
368; Castrique v. Imrie, (1870) L.R. 4 H.L. 414, 429, 430; Godard v. Gray,
(1870) L.R. 6 Q.B. 139, 150; Ochsenbein v. Papelier, (1873) L.R. 8 Ch. 695, 701.
In Meyer v. Ralli, (1876) a judgment in rem, rendered by a French court of
competent jurisdiction, was held to be reexaminable upon the merits, solely
because it was admitted by the parties, in the special case upon which the cause
was submitted to the English court, to be manifestly erroneous in regard to the
law of France. 1 C.P.D. 358.
In view of the recent decisions in England, it is somewhat remarkable that, by
the Indian Code of Civil Procedure of 1877, "no foreign judgment" (which is
defined as a judgment of "a civil tribunal beyond the limits of British India,
and not having authority in British India, nor established by the Governor
General in Cuncil") "shall operate as a bar to a suit in British India," "if it
appears on the face of the proceeding to be founded on an incorrect view of
international law," or "if it is, in the opinion of the court before which it is
produced, contrary to natural justice." Piggott on Foreign Judgments, (2d ed.)
380, 381.
It was formerly understood in England that a foreign judgment was not
conclusive, if it appeared upon its face to be founded on a mistake or disregard
of English law. Arnott v. Redfern, (1825-6) 2 Car. & P. 88, and 3 Bing. 353;
S.C. 11 J. B. Moore, 209; Novelli v. Rossi, (1831) 2 B. & Ad. 757; 3 Burge on
Colonial and Foreign Laws, 1065; 2 Smith's Lead. Cas. (2d ed.) 448; Reimers v.
Druce, (1856) 23 Beavan, 145.
In Simpson v. Fogo, (1860) 1 Johns. & Hem. 18, and (1862) 1 Hem. & Mil. 195,
Vice-Chancellor Wood (afterwards Lord Hatherley) refused to give effect to a
judgment in personam of a court in Louisiana, which had declined to recognize
the title of a mortgagee of an English ship under the English law. In delivering
judgment upon demurrer, he said: "The State of Louisiana may deal as it pleases
with foreign law; but if it asks courts of this country to respect its law, it
must be on a footing of paying a like respect to ours. Any comity between the
courts of two nations holding such [*198]
opposite doctrines as to the authority of the lex loci is impossible. While the
courts of Louisiana refuse to recognize a title acquired here which is valid
according to our law, and hand over to their own citizens property so acquired,
they cannot at the same time expect us to defer to a rule of their law which we
are no more bound to respect than a law that any title of foreigners should be
disregarded in favor of citizens of Louisiana.The answer to such a demand must
be, that a country which pays so little regard to our laws, as to set aside a
paramount title acquired here, must not expect at our hands any greater regard
for the competing title so acquired by the citizens of that country." 1 Johns. &
Hem. 28, 29. And upon motion for a decree, he elaborated the same view,
beginning by saying, "Whether [**157]
this judgment does so err or not against the recognized principles of what has
been commonly called the comity of nations, by refusing to regard the law of the
country where the title to the ship was acquired, is one of the points which I
have to consider;" and concluding that it was "so contrary to law, and to what
is required by the comity of nations," that he must disregard it. 1 Hem. & Mil.
222-247. See also Liverpool Co. v. Hunter, (1867) L.R. 4 Eq. 62, 68, and (1868)
L.R. 3 Ch. 479, 484.
In Scott v. Pilkington, (1862) Chief Justice Cockburn treated it as an open
question whether a judgment recovered in New York for a debt could be impeached
on the ground that the record showed that the foreign court ought to have
decided the case according to English law, and had either disregarded the comity
of nations by refusing to apply the English law, or erred in its view of English
law. 2 B. & S. 11, 42. In Castrique v. Imrie, (1870) the French judgment which
was adjudged not to be impeachable for error in law, French or English, was, as
the House of Lords construed it, a judgment in rem, under which the ship to
which the plaintiff in England claimed title had been sold. L.R. 4 H.L. 414. In
Godard v. Gray, (1870) shortly afterwards, in which the Court of Queen's Bench
held that a judgment in personam of a French court could not be impeached
because it had put [*199]
a construction erroneous, according to English law, upon an English contract,
the decision was put by Justices Blackburn and Mellor upon the ground that it
did not appear that the foreign court had "knowingly and perversely disregarded
the rights given by the English law;" and by Justice Hannen, solely upon the
ground that the defendant did not appear to have brought the English law to the
knowledge of the foreign court. L.R. 6 Q.B. 139, 149, 154. In Messina v.
Petrococchino, (1872) Sir Robert Phillimore, delivering judgment in the Privy
Council, said:
HN21 "A
foreign judgment of a competent court may indeed be impeached, if it carries on
the face of it a manifest error." L.R. 4 P.C. 144, 157.
The result of the English decisions, therefore, would seem to be that a foreign
judgment in personam may be impeached for a manifest and wilful disregard of the
law of England.
Lord Abinger, Baron Parke and Baron Alderson were wont to say that the judgment
of a foreign court of competent jurisdiction for a sum certain created a duty or
legal obligation to pay that sum; or, in Baron Parke's words, that the principle
on which the judgments of foreign and colonial courts are supported and enforced
was, "that where a court of competent jurisdiction has adjudicated a certain sum
[***121]
to be due from one person to another, a legal obligation arises to pay that sum,
on which an action of debt to enforce the judgment may be maintained." Russell
v. Smyth, (1842) 9 M. & W. 810, 818, 819; Williams v. Jones, (1845) 13 M. & W.
628, 633, 634.
But this was said in explaining why, by the technical rules of pleading, an
action of assumpsit, or of debt, would lie upon a foreign judgment; and had no
reference to the question how far such a judgment was conclusive of the matter
adjudged. At common law, an action of debt would lie on a debt appearing by a
record, or by any other specialty, such as a contract under seal; and would also
lie for a definite sum of money due by simple contract. Assumpsit would not lie
upon a record or other specialty; but would lie upon any other contract, whether
expressed by the party, or implied by law. In an action upon a record, or upon a
contract under seal, a lawful consideration was conclusively presumed to exist,
and could not be denied; [*200]
but in an action, whether in debt or in assumpsit, upon a simple contract,
express or implied, the consideration was open to inquiry. A foreign judgment
was not considered, like a judgment of a domestic court of record, as a record
or specialty. The form of action, therefore, upon a foreign judgment was not in
debt, grounded upon a record or a specialty; but was either in debt, as for a
definite sum of money due by simple contract, or in assumpsit upon such a
contract. A foreign judgment, being a security of no higher nature than the
original cause of action, did not merge that cause of action. The plaintiff
might sue, either on the judgment, or on the original cause of action; and in
either form of suit the foreign judgment was only evidence of a liability
equivalent to a simple contract, and was therefore liable to be controlled by
such competent evidence as the nature of the case admitted. See cases already
cited, especially
Walker v. Witter, 1 Doug.
1; Phillips v. Hunter, 2 H. Bl. 402, 410;
Bissell v. Briggs, 9
Mass. 463, 464;
Mills v. Duryee, 7 Cranch,
481, 485;
D'Arcy v. Ketchum, 11
How. 165, 176; Hall v. Odber, 11 East, 118; Smith v. Nicolls, 7
Scott, 147; S.C. 5 Bing. N.C. 208. See also Grant v. Easton, 13 Q.B.D. 302, 303;
Lyman v. Brown, 2 Curtis,
559.
Mr. Justice Blackburn, indeed, in determining how far a foreign judgment could
be impeached, either fore error in law, or for want of jurisdiction, expressed
the opinion that the effect of such a judgment did not depend upon what he
termed "that which is loosely called 'comity,'" but upon the saying of Baron
Parke, above quoted; and consequently "that anything which negatives the
existence of that legal obligation, or excuses the defendant from the
performance of it, must form a good defence to the action." Godard v. Gray,
(1870) L.R. 6 Q.B. 139, 148, 149; Schibsby v. Westenholz, (1870) L.R. 6 Q.B.
155, 159. And his example has been followed by some other English judges. Fry,
J., in Rousillon v. Rousillon, (1880) 14 Ch. D. 351, 370; North, J., in Nouvion
v. Freeman, (1887) 35 Ch. D. 704, 714, 715; Cotton and Lindley, L. JJ., in
Nouvion v. Freeman, (1887) 37 Ch. D. 244, 250, 256.
[*201]
[**158]
But the theory that a foreign judgment imposes or creates a duty or obligation
is a remnant of the ancient fiction, assumed by Blackstone, saying that "upon
showing the judgment once obtained, still in full force, and yet unsatisfied,
the law immediately implies that by the original contract of society the
defendant hath contracted a debt, and is bound to pay it." 3 Bl. Com. 160. That
fiction, which embraced judgments upon default, or for torts, cannot convert a
transaction wanting the assent of parties into one which necessarily implies it.
Louisiana v. New Orleans,
109 U.S. 285, 288. While the theory in question may help to explain
rules of pleading which originated while the fiction was believed in, it is
hardly a sufficient guide at the present day in dealing with questions of
international law, public or private, and of the comity of our own country, and
of foreign nations. It might be safer to adopt the maxim, applied to foreign
judgments by Chief Justice Weston, speaking for the Supreme Judicial Court of
Maine, judicium redditure in invitum, or, as given by Lord Coke, in
proesumptione legis judicium redditur in invitum.
Jordan v. Robinson,
(1838) 15 Maine, 167, 168; Co. Lit. 248 b.
In Russell v. Smyth, above cited, Baron Parke took the precaution of adding,
"Nor need we say how far the judgment of a court of competent jurisdiction, in
the absence of fraud, is conclusive upon the parties." 9 M. & W. 819. He could
hardly have contemplated erecting a rule of local procedure into a canon of
private international law, and a substitute for "the comity of nations," on
which, in an earlier case, he had himself relied as the ground for enforcing in
England a right created by a law of a foreign country. Alivon v. Furnival, 1
Cr., M. & R. 277, 296; S.C. 4 Tyrwh. 751, 771.
In Abouloff v. Oppenheimer, (1882) Lord Coleridge and Lord Justice Brett
carefully avoided adopting the theory of a legal obligation to pay a foreign
judgment as the test in determining how far such a judgment might be impeached.
10 Q.B.D. 295, 300, 305. In Hawksford v. Giffard, (1886) in the Privy Council,
on appeal from the Royal Court of Jersey, Lord Herschell said: "This action is
brought upon an English judgment, which, until a judgment was obtained in
Jersey, was in [*202]
that country no more than evidence of a debt."
12 App. Cas. 122, 126.
In Nouvion v. Freeman, in the House of Lords, (1889) Lord Herschell, while he
referred to the reliance placed by counsel on the saying of Baron Parke, did not
treat a foreign judgment as creating or imposing a new obligation, but only as
declaring and establishing that a debt or obligation existed. His words were:
"The principle upon which I think our enforcement of foreign judgments must
proceed is this: that in a court of competent jurisdiction, where according to
its established procedure the whole merits of the case were open, at all events,
to the parties, however much they may have failed to take advantage of them, or
may have waived any of their rights, a final adjudication has been given that a
debt or obligation exists, which cannot thereafter in that court be disputed,
and can only be questioned in an appeal to a higher tribunal. In such a case it
may well be [***122]
said that, giving credit to the courts of another country, we are prepared to
take the fact that such adjudication has been made as establishing the existence
of the debt or obligation." And Lord Bramwell said: "How can it be said that
there is a legal obligation on the part of a man to pay a debt, who has a right
to say, 'I owe none, and no judgment has established against me that I do?' I
cannot see." The foreign judgment in that case was allowed no force, for want of
finally establishing the existence of a debt.
15 App. Cas. 1, 9, 10,
14.
In view of all the authorities upon the subject, and of the trend of judicial
opinion in this country and in England, following the lead of Kent and Story, we
are satisfied that,
HN22 where
there has been opportunity for a full and fair trial abroad before a court of
competent jurisdiction, conducting the trial upon regular proceedings, after due
citation or voluntary appearance of the defendant, and under a system of
jurisprudence likely to secure an impartial administration of justice between
the citizens of its own country and those of other countries, and there is
nothing to show either prejudice in the court, or in the system of laws under
which it was sitting, or fraud in procuring the judgment, or any other special
reason why the comity of this nation should not allow it full effect, [*203]
the merits of the case should not, in an action brought in this country upon the
judgment, be tried afresh, as on a new trial or an appeal, upon the mere
assertion of the party that the judgment was erroneous in law or in fact. The
defendants, therefore, cannot be permitted, upon that general ground, to contest
the validity or the effect of the judgment sued on.
But they have sought to impeach that judgment upon several other grounds, which
require separate consideration.
It is objected that the appearance and litigation of the defendants in the
French tribunals were not voluntary, but by legal compulsion, and therefore that
the French courts never acquired such jurisdiction over the defendants, that
they should be held bound by the judgment.
Upon the question what should be considered such a voluntary appearance, as to
amount to a submission to the jurisdiction of a foreign court, there has been
some difference of opinion in England.
In General Steam Naviogation Co. v. Guillou, (1843) in an action at law to
recover damages to the plaintiff's ship by a collision with the defendant's ship
through the negligence of the master and crew of the latter, the defendant [**159]
pleaded a judgment by which a French court, in a suit brought by him, and after
the plaintiffs had been cited, had appeared, and had asserted fault on this
defendant's part, had adjudged that it was the ship of these plaintiffs, and not
that of this defendant, which was in fault. It was not shown or suggested that
the ship of these plaintiffs was in the custody or possession of the French
court. Yet Baron Parke, delivering a considered judgment of the Court of
Exchequer, (Lord Abinger and Barons Alderson and Rolfe concurring,) expressed a
decided opinion that the pleas were bad in substance, for these reasons: "They
do not state that the plaintiffs were French subjects, or resident, or even
present in France when the suit began, so as to be bound by reason of
allegiance, or domicil, or temporary presence, by a decision of a French court;
and they did not select the tribunal and sue as plaintiffs; in any of which
cases the determination might have possibly bound them. They were mere
strangers, who put forward the negligence [*204]
of the defendant as an answer, in an adverse suit in a foreign country, whose
laws they were under no obligation to obey." 11 M. & W. 877, 894; S.C. 13 Law
Journal (N.S.) Exch. 168, 176.
But it is now settled in England that,
HN23 while
an appearance by the defendant in a court of a foreign country, for the purpose
of protecting his property already in the possession of that court, may not be
deemed a voluntary appearance, yet an appearance solely for the purpose of
protecting other property in that country from seizure is considered as a
voluntary appearance. De Cosse Brissac v. Rathbone, (1860) 6 H. & N. 301; S.C.
20 Law Journal (N.S.) Exch. 238; Schibsby v. Westenholz, (1870) L.R. 6 Q.B. 155,
162; Voinet v. Barrett, (1885) 1 Cab. & El. 554; S.C. 54 Law Journal (N.S.) Q.B.
521, and 55 Law Journal (N.S.) Q.B. 39.
The present case is not one of a person travelling through or casually found in
a foreign country. The defendants, although they were not citizens or residents
of France, but were citizens and residents of the State of New York, and their
principal place of business was in the city of New York, yet had a storehouse
and an agent in Paris, and were accustomed to purchase large quantities of goods
there, although they did not make sales in France.Under such circumstances,
evidence that their sole object in appearing and carrying on the litigation in
the French courts was to prevent property, in their storehouse at Paris,
belonging to them, and within the jurisdiction, but not in the custody, of those
courts, from being taken in satisfaction of any judgment that might be recovered
against them, would not, according to our law, show that those courts did not
acquire jurisdiction of the persons of the defendants.
It is next objected that in those courts one of the plaintiffs was permitted to
testify not under oath, and was not subjected to cross-examination by the
opposite party, and that the defendants were, therefore, deprived of safeguards
which are by our law considered essential to secure honesty and to detect fraud
in a witness; and also that documents and papers were admitted in evidence, with
which the defendants had no connection, [*205]
and which would not be admissible under our own system of jurisprudence. But it
having been shown by the plaintiffs, and hardly denied by the defendants, that
HN24 the
practice followed and the method of examining witnesses were according to the
laws of France, we are not prepared to hold that the fact that the procedure in
these respects differed from that of our own courts is, of itself, a sufficient
ground for impeaching the foreign judgment.
It is also contended that a part of the plaintiffs' claim is affected by one of
the contracts between the parties having been made in violation of the revenue
laws of the United States, requiring goods to be invoiced at their actual market
value. Rev. Stat. § 2854.
HN25 It
may be [***123]
assumed that, as the courts of a country will not enforce contracts made abroad
in evasion or fraud of its own laws, so they will not enforce a foreign judgment
upon such a contract.
Armstrong v. Toler, 11
Wheat. 258;
DeBrimont v. Penniman, 10
Blatchford, 436; Lang v. Holbrook, Crabbe, 179; Story's Conflict of
Laws, §§ 244, 246; Wharton's Conflict of Laws, § 656. But as this point does not
affect the whole claim in this case, it is sufficient, for present purposes, to
say that there does not appear to have been any distinct offer to prove that the
invoice value of any of the goods sold by the plaintiffs to the defendants was
agreed between them to be, or was, in fact, lower than the actual market value
of the goods.
It must, however, always be kept in mind that
HN26 it
is the paramount duty of the court, before which any suit is brought, to see to
it that the parties have had a fair and impartial trial, before a final decision
is rendered against either party.
When an action is brought in a court of this country, by a citizen of a foreign
country against one of our own citizens, to recover a sum of money adjudged by a
court of that country to be due from the defendant to the plaintiff, and the
HN27 foreign
judgment appears to have been rendered by a competent court, having jurisdiction
of the cause and of the parties, and upon due allegations and proofs, and
opportunity to defend against them, and its proceedings are according to the
course of a civilized jurisprudence, and are stated in a clear and formal [*206]
record, the judgment is prima facie evidence, at least, of the truth of the
matter adjudged; and it should be held conclusive upon the merits tried in the
foreign court, unless some special ground is shown for impeaching the judgment,
as by showing that it was affected by fraud or prejudice, or that, [**160]
by the principles of international law, and by the comity of our own country, it
should not be given full credit and effect.
There is no doubt that both in this country, as appears by the authorities
already cited, and in England, a foreign judgment may be impeached for fraud.
Shortly before the Declaration of Independence, the House of Lords, upon the
trial of the Duchess of Kingston for bigamy, put to the judges the question
whether -- assuming a sentence of the ecclesiastical court against a marriage,
in a suit for jactitation of marriage, to be conclusive evidence so as to
prevent the counsel for the Crown from proving the marriage upon an indictment
for polygamy -- "the counsel for the Crown may be admitted to avoid the effect
of such sentence, by proving the same to have been obtained by fraud or
collusion." Chief Justice De Grey, delivering the opinion of the judges, which
was adopted by the House of Lords, answering this question in the affirmative,
said: "But if it was a direct and decisive sentence upon the point, and, as it
stands, to be admitted as conclusive evidence upon the court, and not to be
impeached from within; yet, like all other acts of the highest judicial
authority, it is impeachable from without; although it is not permitted to show
that the court was mistaken, it may be shown that they were misled. Fraud is an
intrinsic collateral act; which vitiates the most solemn proceedings of courts
of justice. Lord Coke says, it avoids all judicial acts, ecclesiastical or
temporal." 20 Howell's State Trials, 537, 543, note; S.C. in 2 Smith's Lead.
Cas.
All the subsequent English authorities concur in holding that
HN28 any
foreign judgment, whether in rem or in personam, may be impeached upon the
ground that it was fraudulently obtained. White v. Hall, (1806) 12 Ves. 321,
324; Bowles v. Orr, (1835) 1 Yo. & Col. Exch. 464, 473; Price v. Dewhurst,
(1837) 8 Sim. 279, 302-305; Don v. Lippmann, (1837) 5 Cl. & [*207]
Fin. 1, 20; Bank of Australasia v. Nias, (1851) 16 Q.B. 717, 735; Reimers v.
Druce, (1856) 23 Beavan, 145, 150; Castrique v. Imrie, (1870) L.R. 4 H.L. 414,
445, 446; Godard v. Gray, (1870) L.R. 6 Q.B. 139, 149; Messina v. Petrocochino,
(1872) L.R. 4 P.C. 144, 157; Ochsenbein v. Papelier, (1873) L.R. 8 Ch. 695.
Under what circumstances this may be done does not appear to have ever been the
subject of judicial investigation in this country.
It has often, indeed, been declared by this court that the fraud which entitles
a party to impeach the judgment of one of our own tribunals must be fraud
extrinsic to the matter tried in the cause, and not merely consist in false and
fraudulent documents or testimony submitted to that tribunal, and the truth of
which was contested before it and passed upon by it.
United States v.
Throckmorton, 98 U.S. 61, 65, 66;
Vance v. Burbank, 101
U.S. 514, 519;
Steel v. Smelting Co.,
106 U.S. 447, 453;
Moffat v. United States,
112 U.S. 24, 32;
United States v. Minor,
114 U.S. 233, 242. And in one English case, where a ship had been
sold under a foreign judgment, the like restriction upon impeaching that
judgment for fraud was suggested; but the decision was finally put upon the
ground that the judicial sale passed the title to the ship. Cammell v. Sewell,
(1858-60) 3 H. & N. 617, 646; 5 H. & N. 728, 729, 742.
But it is now established in England, by well considered and strongly reasoned
decisions of the Court of Appeal, that foreign judgments may be impeached, if
procured by false and fraudulent representations and testimony of the plaintiff,
even if the same question of fraud was presented to and decided by the foreign
court.
In Abouloff v. Oppenheimer, (1882) the plaintiff had recovered a judgment at
Tiflis in Russia, ordering the defendants to return certain goods or to pay
their value. The defendants appealed to a higher Russian court, which confirmed
the judgment, and ordered the defendants to pay, besides the sum awarded below,
an additional sum for costs and expenses. In an action in the English High Court
of [*208]
Justice upon those judgments, the defendants pleaded that they were obtained by
the gross fraud of the plaintiff, in fraudulently representing to the Russian
courts that the goods in question were not in her possession when the suit was
commenced, and when the judgment was given, and during the whole time the suit
was pending; and by fraudulently concealing from those courts the fact that
those goods, as the fact was, and as she well knew, were in her actual
possession. A demurrer to this plea [***124]
was overruled, and judgment entered for the defendants. And that judgment was
affirmed in the Court of Appeal by Lord Chief Justice Coleridge, Lord Justice
Baggallay and Lord Justice Brett, all of whom delivered concurring opinions, the
grounds of which sufficiently appear in the opinion delivered by Lord Justice
Brett (since Lord Esher, Master of the Rolls), who said: "With regard to an
action brought upon a foreign judgment, the whole doctrine as to fraud is
English, and is to be applied in an action purely English. I am prepared to
hold, according to the judgment of the House of Lords adopting the proposition
laid down by De Grey, C.J., that if the judgment upon which the action is
brought was procured from the foreign court by the successful fraud of the party
who is seeking to enforce it, the action in the English court will not lie. This
proposition is absolute and without any limitation, and, as the Lord Chief
Justice has pointed out, is founded on the doctrine that no party in an English
court shall be able to take advantage of his own wrongful act, or, as it may be
stated in other language, that no obligation can be enforced in an English court
of justice which has been procured by the fraud of the person relying upon it as
an obligation." "I will assume that in the suit in the Russian courts the
plaintiff's fraud was alleged [**161]
by the defendants, and that they gave evidence in support of the charge. I will
assume even that the defendants gave the very same evidence which they propose
to adduce in this action; nevertheless the defendants will not be debarred at
the trial of this action from making the same charge of fraud and from adducing
the same evidence in support of it; and if the High Court of Justice is
satisfied that the allegations of the defendants are true, and [*209]
that the fraud was committed, the defendants will be entitled to succeed in the
present action. It has been contended that the same issue ought not to be tried
in an English court which was tried in the Russian courts; but I agree that the
question whether the Russian courts were deceived never could be an issue in the
action tried before them." "In the present case, we have had to consider the
question fully; and, according to the best opinion which I can form, fraud
committed by a party to a suit, for the purpose of deceiving a foreign court, is
a defence to an action in this country, founded upon the judgment of that
foreign court. It seems to me that if we were to accede to the argument for the
plaintiff, the result would be that a plausible deceiver would succeed, whereas
a deceiver who is not plausible would fail. I cannot think that plausible fraud
ought to be upheld in any court of justice in England.I accept the whole
doctrine, without any limitation, that whenever a foreign judgment has been
obtained by the fraud of the party relying upon it, it cannot be maintained in
the courts of this country; and further, that nothing ought to persuade an
English court to enforce a judgment against one party, which has been obtained
by the fraud of the other party to the suit in the foreign court." 10 Q.B.D.
295, 305-308.
The same view was affirmed and acted on in the same court by Lords Justices
Lindley and Bowen in Vadala v. Lawes, (1890) 25 Q.B.D. 310, 317-320, and by Lord
Esher and Lord Justice Lopes in Crozat v. Brogden, (1894) 2 Q.B. 30, 34, 35.
In the case at bar, the defendants offered to prove, in much detail, that the
plaintiffs presented to the French court of first instance and to the arbitrator
appointed by that court, and upon whose report its judgment was largely based,
false and fraudulent statements and accounts against the defendants, by which
the arbitrator and the French courts were deceived and misled, and their
judgments were based upon such false and fraudulent statements and accounts.
This offer, if satisfactorily proved, would, according to the decisions of the
English Court of Appeal in Abouloff v. Oppenheimer, Vadala v. Lawes, and Crozat
v. Brogden, above cited, [*210]
be a sufficient ground for impeaching the foreign judgment, and examining into
the merits of the original claim.
But whether those decisions can be followed in regard to foreign judgments,
consistently with our own decisions as to impeaching domestic judgments for
fraud, it is unnecessary in this case to determine, because there is a distinct
and independent ground upon which we are satisfied that the comity of our nation
does not require us to give conclusive effect to the judgments of the courts of
France; and that ground is, the want of reciprocity, on the part of France, as
to the effect to be given to the judgments of this and other foreign countries.
In France, the Royal Ordinance of June 15, 1629, art. 121, provided as follows:
"Judgments rendered, contracts or obligations recognized, in foreign kingdoms
and sovereignties, for any cause whatever, shall have no lien or execution in
our kingdom. Thus the contracts shall stand for simple promises; and,
notwithstanding the judgments, our subjects against whom they have been rendered
may contest their rights anew before our judges." Touillier, Droit Civil, lib.
3, tit. 3, c. 6, sect. 3, no. 77.
By the French Code of Civil Procedure, art. 546, "Judgments rendered by foreign
tribunals, and acts acknowledged before foreign officers, shall not be capable
of execution in France, except in the manner and in the cases provided by
articles 2123 and 2128 of the Civil Code," which are as follows: By article
2123, "A lien cannot arise from judgments rendered in a foreign country, except
so far as they have been declared executory by a French tribunal; without
prejudice to provisions to the contrary which may exist in public laws and
treaties." By article 2128, "Contracts entered into in a foreign country cannot
give a lien upon property in France, if there are no provisions contrary to this
principle in public laws or in treaties." Touillier, ub. sup. no. 84.
The defendants, in their answer, cited the above provisions of the statutes of
France, and alleged, and at the trial offered to prove, that, by the
construction given to [*211]
these statutes by the judicial tribunals of France, when the judgments of
tribunals of foreign countries against the citizens of France are sued upon in
the courts of France, the merits of the controversies upon which those judgments
are based are examined anew, unless a treaty to the contrary effect exists
between the Republic of [***125]
France and the country in which such judgment is obtained, (which is not the
case between the Republic of France and the United States,) and that the
tribunals of the Republic of France give no force and effect, within the
jurisdiction of that country, to the judgments duly rendered by courts of
competent jurisdiction of the United States against citizens of France after
proper personal service of the process of those courts has been made thereon in
this country. We are of opinion that this evidence should have been admitted.
In Odwin v. Forbes, (1817) President Henry, in the Court of Demerara, which was
governed by the Dutch law, and was, as he remarked, "a tribunal foreign to and
independent of that of England," sustained a plea of an English certificate in
bankruptcy, upon these grounds: "It is [**162]
a principle of their law, and laid down particularly in the ordinances of
Amsterdam," "that the same law shall be exercised towards foreigners in
Amsterdam as is exercised with respect to citizens of that State in other
countries; and upon this principle of reciprocity, which is not confined to the
city of Amsterdam, but pervades the Dutch laws, they have always given effect to
the laws of that country which has exercised the same comity and indulgence in
admitting theirs." "That the Dutch bankrupt laws proceed on the same principles
as those of the English; that the English tribunals give effect to the Dutch
bankrupt laws; and that, on the principle of reciprocity and mutual comity, the
Dutch tribunals, according to their own ordinances, are bound to give effect to
the English bankrupt laws when duly proved, unless there is any express law or
ordinance prohibiting their admission." And his judgment was affirmed in the
Privy Council on Appeal. Case of Odwin v. Forbes, pp. 89, 159-161, 173-176; S.C.
(1818) Buck Bankr. Cas. 57, 64.
[*212]
President Henry, at page 76 of his Treatise on Foreign Law, published as a
preface to his report of that case, said: "This comity, in giving effect to the
judgments of other tribunals, is generally exercised by States under the same
sovereign, on the ground that he is the fountain of justice in each, though of
independent jurisdiction; and it has also been exercised in different States of
Europe with respect to foreign judgments, particularly in the Dutch States, who
are accustomed by the principle of reciprocity to give effect in their
territories to the judgments of foreign States, which show the same comity to
theirs; but the tribunals of France and England have never exercised this comity
to the degree that those of Holland have, but always required a fresh action to
be brought, in which the foreign judgment may be given in evidence. As this is a
matter of positive law and internal policy in each State, no opinion need be
given; besides, it is a mere question of comity, and perhaps it might be neither
politic nor prudent, in two such great States, to give indiscriminate effect to
the judgment of each other's tribunals, however the practice might be proper or
convenient in federal States, or those under the same covereign."
It was that statement, which appears to have called forth the observations of
Mr. Justice Story, already cited: "Holland seems at all times, upon the general
principle of reciprocity, to have given great weight to foreign judgments, and
in many cases, if not in all cases, to have given to them a weight equal to that
given to domestic judgments, wherever the like rule of reciprocity with regard
to Dutch judgments has been adopted by the foreign country whose judgment is
brought under review. This is certainly a very reasonable rule, and may perhaps
hereafter work itself firmly into the structure of international jurisprudence."
Story's Conflict of Laws, § 618.
This rule, though never either affirmed or denied by express adjudication in
England or America, has been indicated, more or less distinctly, in several of
the authorities already cited.
Lord Hardwicke threw out a suggestion that the credit to be given by one court
to the judgment of a foreign court [*213]
might well be affected by "their proceeding both by the same rules of law."
Otway v. Ramsay, 4 B. & C. 414-416, note.
Lord Eldon, after saying that "natural law" (evidently intending the law of
nations) "requires the courts of this country to give credit to those of another
for the inclination and power to do justice," added that "if it appears in
evidence, that persons suing under similar circumstances neither had met, nor
could meet, with justice, that fact cannot be immaterial as an answer to the
presumption." Wright v. Simpson, 6 Ves. 714, 730.
Lord Brougham, presiding as Lord Chancellor in the House of Lords, said: "The
law in the course of procedure abroad sometimes differs so mainly from ours in
the principles upon which it is bottomed, that it would seem a strong thing to
hold that our courts were bound conclusively to give execution to the sentence
of foreign courts, when, for aught we know, there is not any one of those things
which are reckoned the elements or the corner stones of the due administration
of justice, present to the procedure in these foreign courts." Houlditch v.
Donegal, 8 Bligh N.R. 301, 338.
Chief Justice Smith, of New Hampshire, in giving reasons why foreign judgments
or decrees, founded on the municipal laws of the State in which they are
pronounced, are not conclusive evidence of debt, but prima facie evidence only,
said: "These laws and regulations may be unjust, partial to citizens, and
against foreigners; they may operate injustice to our citizens, whom we are
bound to protect; they may be, and the decisions of courts founded on them, just
cause of complaint against the supreme power of the State where rendered. To
adopt them is not merely saying that the courts have decided correctly on the
law, but it is approbating the law itself."
Bryant v. Ela, Smith
(N.H.) 396, 404.
Mr. Justice Story said: "If a civilized nation seeks to have the sentences of
its own courts held of any validity elsewhere, they ought to have a just regard
to the rights and usages of other civilized nations, and the principles of
public and national law in the administration of justice,"
Bradstreet v. Neptune
Ins. Co., 3 Sumner, 600, 608.
[*214]
Mr. Justice Woodbury said that judgments in personam, rendered under a foreign
government, "are, ex comitate, treated with respect, according to the nature of
the judgment, [***126]
and the character of the tribunal which rendered it, and the reciprocal mode, if
any, in which that government treats our judgments;" and added, "Nor can much
comity be asked for the judgments of another nation, which, like France, pays no
respect to those [**163]
of other countries." Burnham v. Webster, 1 Woodb. & Min. 172, 175, 179.
Mr. Justice Cooley said, "True comity is equality; we should demand nothing
more, and concede nothing less."
McEwan v. Zimmer, 38
Michigan, 765, 769.
Mr. Wheaton said:
HN29 "There
is no obligation, recognized by legislators, public authorities, and publicists,
to regard foreign laws; but their application is admitted only from
considerations of utility and the mutual convenience of States -- ex comitate,
ob reciprocam utilitatem." "The general comity, utility and convenience of
nations have, however, established a usage among most civilized States, by which
the final judgments of foreign courts of competent jurisdiction are reciprocally
carried into execution." Wheaton's International Law, (8th ed.) §§ 79, 147.
Since Story, Kent and Wheaton wrote their commentaries, many books and essays
have been published upon the subject of the effect to be allowed by the courts
of one country to the judgments of another with references to the statutes and
decisions in various countries. Among the principal ones are Foelix, Droit
International Prive, (4th ed. by Demangeat, 1866) lib. 2, tits. 7, 8; Moreau,
Effets Internationaux des Judgments (1884). Piggott, on Foreign Judgments (2d
ed. 1884); Constant, de l'Execution des Jugements Etrangers (2d ed. 1890),
giving the text of the articles of most of the modern codes upon the subject,
and of French treaties with Italian, German and Swiss States; and numerous
papers in Clunet's Journal de Droit International Prive, established in 1874,
and continued to the present time. Four the reasons stated at the outset of this
opinion, we have not thought in important to state the conflicting theories of
continental commentators [*215]
and essayists as to what each may think the law ought to be; but have referred
to their works only for evidence of authoritative declarations, legislative or
judicial, of what the law is.
By the law of France, settled by a series of uniform decisions of the Court of
Cassation, the highest judicial tribunal, for more than half a century, no
foreign judgment can be rendered executory in France without a review of the
judgment au fond -- to the bottom, including the whole merits of the cause of
action on which the judgment rests. Pardessus, Droit Commercial, § 1488; Bard,
Precis de Droit International, (1883) nos. 234-239; Story's Conflict of Laws, §§
615-617; Piggott, 452; Westlake on Private International Law, (3d ed. 1890) 350.
A leading case was decided by the Court of Cassation on April 19, 1819, and was
as follows: A contract of partnership was made between Holker, a French
merchant, and Parker, a citizen of the United States. Afterwards, and before the
partnership accounts were settled, Parker came to France, and Holker sued him in
the Tribunal of Commerce of Paris. Parker excepted, on the ground that he was a
foreigner, not domiciled in France; and obtained a judgment, affirmed on appeal,
remitting the matter to the American courts -- obtint son renvoi devant les
tribunaux Americains. Holker then sued Parker in the Circuit Court of the United
States for the District of Massachusetts, and in 1814 obtained a judgment there,
ordering Parker to pay him $ 529,949. (One branch of the controversy had been
brought before this court in 1813.
Holker v. Parker, 7
Cranch, 436.) Holker, not being able to obtain execution of that
judgment in America, because Parker had no property there and continued to
reside in Paris, obtained from a French judge an order declaring the judgment
executory. Upon Parker's application to nullify the proceeding, the Royal Court
of Paris, reversing the judgment of a lower court, set aside that order,
assigning these reasons: "Considering that judgments rendered by foreign courts
have neither effect nor authority in France; that this rule is doubtless more
particularly applicable [*216]
in favor of Frenchmen, to whom the King and his officers owe a special
protection; but that the principle is absolute, and may be invoked by all
persons without distinction, being founded on the independence of States; that
the Ordinance of 1629, in the beginning of its article 121, lays down the
principle in its generality, when it says that judgments rendered in foreign
kingdoms and sovereignties, for any cause whatever, shall have no execution in
the Kingdom of France; and that the Civil Code, art. 2123, gives to this
principle the same latitude, when it declares that a lien cannot result from
judgments rendered in a foreign country, except so far as they have been
declared executory by a French tribunal -- which is not a matter of mere form,
like the granting in past times of a pareatis from one department to another for
judgments rendered within the kingdom; but which assumes, on the part of the
French tribunals, a cognizance of the cause, and a full examination of the
justice of the judgment presented for execution, as reason demands, and this has
always been practised in France, according to the testimony of our ancient
authorities; that there may result from this an inconvenience, where the debtor,
as is asserted to have happened in the present case, removes his property and
his person to France, while keeping his domicil in his native country; that it
is for the creditor to be watchful, but that no consideration can impair a
principle on which rests the sovereignty of governments, and which, whatever be
the case, must preserve its whole force." The court therefore adjudged that,
before the tribunal of first instance, Holker should state the grounds of his
action, to be contested by Parker, and to be determined by the court upon
cognizance of the whole cause. That judgment was confirmed, upon deliberate
consideration, by the Court of Cassation, for the reasons that [**164]
the Ordinance of 1629 enacted, in absolute terms and without exception, that
foreign judgments should not have execution in France; that it was only by the
Civil Code and the Code of Civil Procedure that the French tribunals had been
authorized to declare them executory; that therefore the Ordinance of 1629 had
no application; that the articles of the Codes. [*217]
referred [***127]
to, did not authorize the courts to declare judgments, rendered in a foreign
country, executory in France without examination; that such an authorization
would be as contrary to the institution of the courts, as would be the award or
the refusal of execution arbitrarily and at will; would impeach the right of
sovereignty of the French government, and was not in the intention of the
legislature; and that the Codes made no distinction between different judgments
rendered in a foreign country, and permitted the judges to declare them all
executory; and therefore those judgments, whether against a Frenchman or against
a foreigner, were subject to examination on the merits. Holker v. Parker,
Merlin, Questions de Droit, Judgment, § 14, no. 2.
The Court of Cassation has ever since constantly affirmed the same view. Moreau,
no. 106, note, citing many decisions; Clunet, 1882, p. 166. In Clunet, 1894, p.
913, note, it is said to be "settled by judicial decisions -- il est de
jurisprudence -- that the French courts are bound, in the absence of special
diplomatic treaties, to proceed to the revision on the whole merits -- au fond
-- of foreign judgments, execution of which is demanded of them," citing, among
other cases, a decision of the Court of Cassation on February 2, 1892, by which
it was expressly held to result from the articles of the Codes, above cited,
"that judgments rendered, in favor of a foreigner against a Frenchman, by a
foreign court, are subject, when execution of them is demanded in France, to the
revision of the French tribunals, which have the right and the duty to examine
them, both as to the form, and as to the merits." Sirey, 1892, 1, 201.
In Belgium, the Code of Civil Procedure of 1876 provides that if a treaty on the
basis of reciprocity be in existence between Belgium and the country in which
the foreign judgment has been given, the examination of the judgment in the
Belgian courts shall bear only upon the questions whether it "contains nothing
contrary to public order, to the principles of the Belgian public order;"
whether, by the law of the country in which it was rendered, it has the force of
res judicata; whether the copy is duly authenticated; whether the [*218]
defendant's rights have been duly respected; and whether the foreign court is
not the only competent court, by reason of the nationality of the plaintiff.
Where, as is the case between Belgium and France, there is no such treaty, the
Belgian Court of Cassation holds that the foreign judgment may be reexamined
upon the merits. Constant, 111, 116; Moreau, no. 189; Clunet, 1887, p. 217;
1888, p. 837; Piggott, 439. And in a very recent case, the Civil Tribunal of
Brussels held that, "considering that the right of revision is an emanation of
the right of sovereignty; that it proceeds from the imperium, and that, as such,
it is within the domain of public law; that from that principle it manifestly
follows that, if the legislature does not recognize executory force in foreign
judgments where there exists no treaty upon the basis of reciprocity, it cannot
belong to the parties to substitute their will for that of the legislature, by
arrogating to themselves the power of delegating to the foreign judge a portion
of sovereignty." Clunet, 1894, pp. 164, 165.
In Holland, the effect given to foreign judgments has always depended upon
reciprocity, but whether by reason of Dutch ordinances only, or of general
principles of jurisprudence, does not clearly appear. Odwin v. Forbes, and Henry
on Foreign Law, above cited; Story's Conflict of Laws, § 618; Foelix, no. 397,
note; Clunet, 1879, p. 369; 1 Ferguson's International Law, 85; Constant, 171;
Moreau, no. 213.
In Denmark, the courts appear to require reciprocity to be shown before they
will execute a foreign judgment. Foelix, nos. 328, 345; Clunet, 1891, p. 987;
Westlake, ub. sup. In Norway, the courts reexamine the merits of all foreign
judgments, even of those of Sweden. Foelix, no. 401; Piggott, 504, 505; Clunet,
1892, p. 296. In Sweden, the principle of reciprocity has prevailed from very
ancient times; the courts give no effect to foreign judgments, unless upon that
principle; and it is doubtful whether they will even then, unless reciprocity is
secured by treaty with the country in which the judgment was rendered. Foelix,
no. 400; Olivecrona, in Clunet, 1880, p. 83; Constant, 191; Moreau, no. 222;
Piggott, 503; Westlake, ub sup.
[*219]
In the Empire of Germany, as formerly in the States which now form part of that
Empire, the judgments of those States are mutually executed; and the principle
of reciprocity prevails as to the judgments of other countries. Foelix, nos.
328, 331, 333-341; Moreau, nos. 178, 179; Vierhaus, in Piggott, 460-474;
Westlake, ub. sup. By the German Code of 1877, "compulsory execution of the
judgment of a foreign court cannot take place, unless its admissibility has been
declared by a judgment of exequatur;" "the judgment of exequatur is to be
rendered without examining whether the decision is conformable to law;" but it
is not to be granted "if reciprocity is not guaranteed." Constant, 79-81;
Piggott, 466. The Reichsgericht, or Imperial Court, in a case reported in full
in Piggott, has held that an English judgment cannot be executed in Germany,
because, the court said, the German courts, by the Code, when [**165]
they execute foreign judgments at all, are "bound to the unqualified recognition
of the legal validity of the judgments of foreign courts," and "it is,
therefore, an essential requirement of reciprocity, that the law of the foreign
State should recognize in an equal degree the legal validity of the judgments of
German courts, which are to be enforced by its courts; and that an examination
of their legality, both as regards the material justice of the decision as to
matters of fact or law, and with respect to matters of procedure, should neither
be required as a condition of their execution, by the court ex officio, nor be
allowed by the admission of pleas which might lead to it." Piggott, 470, 471.
See also Clunet, 1882, p. 35; 1883, p. 246; 1884, p. 600.
In Switzerland, by the Federal Constitution, civil judgments in one canton are
executory throughout the Republic. As to foreign judgments, there is no federal
law, each canton [***128]
having its own law upon the subject. But in the German cantons, and in some of
the other cantons, foreign judgments are executed according to the rule of
reciprocity only. Constant, 193-204; Piggott, 505-516; Clunet, 1887, p. 762;
Westlake, ub. sup. The law upon this subject has been clearly stated by Brocher,
President of the Court of Cassation of Geneva, and professor of law in the
university there. In his Nouveau [*220]
Traite de Droit International Prive, (1876) § 174, treating of the question
whether "it might not be convenient that States should execute, without
reviewing their merits, judgments rendered on the territory of each of them
respectively," he says: "It would, certainly, be advantageous for the parties
interested to avoid the delays, the conflicts, the differences of opinion, and
the expenses resulting from the necessity of obtaining a new judgment in each
locality where they should seek execution. There might thence arise, for each
sovereignty, a juridical or moral obligation to lend a strong hand to foreign
judgments. But would not such an advantage be counterbalanced, and often
surpassed, by the dangers that might arise from that mode of proceeding? There
is here, we believe, a question of reciprocal appreciation and confidence. One
must, at the outset, inquire whether the administration of the foreign
judiciary, whose judgments it is sought to execute without verifying their
merits, presents sufficient guaranties. If the propriety of such an execution be
admitted, there is ground for making it the object of diplomatic treaties. That
form alone can guarantee the realization of a proper reciprocity; it furnishes,
moreover, to each State the means of acting upon the judicial organization and
procedure of other States." In an article in the Journal, after a review of the
Swiss decisions, he recognizes and asserts that "it comes within the competency
of each canton to do what seems to it proper in such matters." Clunet, 1879, pp.
88, 94. And in a later treatise, he says: "We cannot admit that the recognition
of a State as sovereign ought necessarily to have as a consequence the
obligation of respecting and executing the judicial decisions rendered by its
tribunals; in strict right, the authority of such acts does not extend beyond
the frontier. Each sovereignty possesses in particular, and more or less in
private, the territory subject to its power. No other can exercise there an act
of its authority. This territorial independence finds itself, in principle,
directly included in the very act by which one nation recognizes a foreign State
as sovereign; but there cannot result therefrom a promise to adopt, and to cause
to be executed upon the national territory, judgments rendered by [*221]
the officials of the foreign State, whoever they may be. That would be an
abdication of its own sovereignty; and would bind it in such sort as to make it
an accomplice in acts often injurious, and in some cases even criminal. Such
obligations suppose a reciprocal confidence; they are not undertaken, moreover,
except upon certain conditions, and by means of a system of regulations intended
to prevent or to lessen the dangers which might result from them." 3 Cours de
Droit International Prive, (1885) 126, 127.
In Russia, by the Code of 1864, "the judgments of foreign tribunals shall be
rendered executory according to the rules established by reciprocal treaties and
conventions," and, where no rules have been established by such treaties, are to
be "put in execution in the Empire, only after authorization granted by the
courts of the Empire;" and, "in deciding upon demands of this kind, the courts
do not examine into the foundation of the dispute adjudged by the foreign
tribunals, but decide only whether the judgment does not contain dispositions
which are contrary to the public order, or which are not permitted by the laws
of the Empire." Constant, 183-185. Yet a chamber of the Senate of St.
Petersburg, sitting as a Court of Cassation, and the highest judicial tribunal
of the Empire in civil matters, has declined to execute a French judgment, upon
the grounds that, by the settled law of Russia, "it is a principle in the
Russian Empire that only the decisions of the authorities to whom jurisdiction
has been delegated by the sovereign power have legal value by themselves and of
full right;" and that "in all questions of international law, reciprocity must
be observed and maintained as a fundamental principle." Adam v. Schipoff,
Clunet, 1884, pp. 45, 46, 134. And Professor Englemann, of the Russian
University of Dorpat, in an able essay, explaining that and other Russian
decisions, takes the following view of them: "The execution of a treaty is not
the only proof of reciprocity." "It is necessary to commit the ascertainment of
the existence of reciprocity to the judicial tribunals, [**166]
for the same reasons for which there is conferred upon them the right to settle
all questions incident to the cause to be adjudged. The existence of reciprocity
between [*222]
two States ought to be proved in the same manner as all the positive facts of
the case." "It is true that the principle of reciprocity is a principle, not of
right, but of policy; yet the basis of the principle of all regular and real
policy is also the fundamental principle of right, and the point of departure of
all legal order -- the sum cuique. This last principle comprehends right,
reciprocity, utility; and reciprocity is the application of right to policy."
"Let this principle be applied wherever there is the least guaranty, or even a
probability of reciprocity, and the cognizance of this question be committed to
the judicial tribunals, and one will arrive at important results, which, on
their side, will touch the desired end, international accord. But, for this, it
is indispensable that the application of this principle should be entrusted to
judicial tribunals, accustomed to decide affairs according to right, and not to
administrative authorities, which look above all to utility, and are accustomed
to be moved by political reasons, intentions, and even passions." Clunet, 1884,
pp. 120-122. But it would seem that no foreign judgment will be executed in
Russia, unless reciprocity is secured by treaty. Clunet, 1884, pp. 46, 113, 139,
140, 602.
In Poland, the provisions of the Russian Code are in force; and the Court of
Appeal of Warsaw has decided that, where there is no treaty, the judgments of a
foreign country cannot be executed, because, "in admitting a contrary
conclusion, there would be impugned one of the cardinal principles of
international [***129]
relations, namely, the principle of reciprocity, according to which each State
recognizes juridical rights and relations, originating or established in another
country, only in the measure in which the latter, in its turn, does not
disregard the rights and relations existing in the former." Clunet, 1884, pp.
494, 495.
In Roumania, it is provided by code that "judicial decisions rendered in foreign
countries cannot be executed in Roumania, except in the same manner in which
Roumanian judgments are executed in the country in question, and provided they
are declared executory by competent Roumanian judges;" and this article seems to
be held to require legislative reciprocity. [*223]
Moreau, no. 219; Clunet, 1879, p. 351; 1885, p. 537; 1891, p. 452; Piggott, 495.
In Bulgaria, by a resolution of the Supreme Court, in 1881, "the Bulgarian
judges should, as a general rule, abstain from entering upon the merits of the
foreign judgment; they ought only to inquire whether the judgment submitted to
them does not contain dispositions contrary to the public order, and to the
Bulgarian laws." Constant, 129, 130; Clunet, 1886, p. 570. This resolution
closely follows the terms of the Russian Code, which, as has been seen, has not
precluded applying the principle of reciprocity.
In Austria, the rule of reciprocity does not rest upon any treaty or legislative
enactment, but has been long established, by imperial decrees and judicial
decisions, upon general principles of jurisprudence. Foelix, no. 331; Constant,
100-108; Moreau, no 185; Weiss, Traite de Droit International, (1886) 980;
Clunet, 1891, p. 1003; 1894, p. 908; Piggott, 434. In Hungary, the same
principles were always followed as in Austria; and reciprocity has been made a
condition by a law of 1880. Constant, 109; Moreau, no. 186 & note; Piggott, 436;
Weiss, ub. sup.
In Italy before it was united into one kingdom, each State had its own rules. In
Tuscany, and in Modena, in the absence of treaty, the whole merits were
reviewed. In Parma, as by the French Ordinance of 1629, the foreign judgment was
subject to fundamental revision, if against a subject of Parma. In Naples, the
code and the decisions followed those of France. In Sardinia, the written laws
required above all the condition of reciprocity, and, if that condition was not
fulfilled, the foreign judgment was reexaminable in all respects. Fiore, Effetti
Internazionali delle Sentenze, (1875) 40-44; Moreau, no. 204. In the Papal
States, by a decree of the Pope in 1820, "the exequatur shall not be granted,
except so far as the judgments rendered in the States of his Holiness shall
enjoy the same favor in the foreign countries; this reciprocity is presumed, if
there is no particular reason to doubt it." Touillier, Droit Civil, lib. 3, tit.
3, c. 6, sec. 3, no. 93. And see Foelix, no. 343; Westlake, ub. sup. In the
Kingdom of Italy, [*224]
by the Code of Procedure of 1865, "executory force is given to the judgments of
foreign judicial authorities by the court of appeal in whose jurisdiction they
are to be executed, by obtaining a judgment on an exequatur in which the court
examines (a) if the judgment has been pronounced by a competent judicial
authority; (b) if it has been pronounced, the parties being regularly cited; (c)
if the parties have been legally represented or legally defaulted; (d) if the
judgment contains dispositions contrary to public order or to the internal
public law of the realm." Constant, 157. In 1874, the Court of Cassation of
Turin, "considering that in international relations is admitted the principle of
reciprocity, as that which has its foundation in the natural reason of equality
of treatment, and, in default thereof, opens the way to the exercise of the
right of retaliation;" and that the French courts examine the merits of Italian
judgments, before allowing their execution in France; decided that the Italian
courts of appeal, when asked to execute a French judgment, ought [**167]
not only to inquire into the competency of the foreign court, but also to review
the merits and the justice of the controversy. Levi v. Pitre, in Rossi,
Esecuzione delle Sentenze Straniere, (1st ed. 1875) 70, 284; and in Clunet,
1879, p. 295. Some commentators, however, while admitting that decision to be
most authoritative, have insisted that it is unsound, and opposed to other
Italian decisions, to which we have not access. Rossi, ub. sup. (2d ed. 1890)
92; Fiore, 142, 143; Clunet, 1878, p. 237; Clunet, 1879, pp. 296, 305; Piggott,
483; Constant, 161.
In the principality of Monaco, foreign judgments are not executory, except by
virtue of a special ordinance of the Prince, upon a report of the Advocate
General. Constant, 169; Piggott, 488.
In Spain, formerly, foreign judgments do not appear to have been executed at
all. Foelix, no. 398; Moreau, no. 197; Silvela, in Clunet, 1881, p. 20. But by
the Code of 1855, revised in 1881 without change in this respect, "judgments
pronounced in foreign countries shall have in Spain the force that the
respective treaties give them; if there are no special treaties with the nation
in which they have been rendered, they shall [*225]
have the same force that is given by the laws of that nation to Spanish
executory judgments; if the judgment to be executed proceeds from a nation by
whose jurisprudence effect is not given to the judgments pronounced by Spanish
tribunals, it shall have no force in Spain;" and "application for the execution
of judgments pronounced in foreign countries shall be made to the Supreme
Tribunal of Justice; which, after examining an authorized translation of the
foreign judgment, and after hearing the party against whom it is directed and
the public minister, shall decide whether it ought or ought not to be executed."
Constant, 141, 142; Piggott, 499, 500. A case in which the Supreme Court of
Spain in 1880 ordered execution of a French judgment, after reviewing its
merits, is reported in Clunet, 1881, p. 365. In another case, in 1888, the same
court, after hearing the parties and the public minister, ordered execution of a
Mixican judgment. The public minister, in his demand for its execution, said:
"Our law of civil procedure, inspired, to a certain point, by the modern
theories of international law, which, recognizing among civilized nations a true
community of right, and considering [***130]
mankind as a whole in which nations occupy a position identical with that of
individuals towards society, gives authority, in Spain, to executory judgments
rendered by foreign tribunals, even in the absence of special treaty, provided
that those countries do not proscribe the execution there of our judgments, and
under certain conditions which, if they limit the principle, are inspired by the
wish of protecting our sovereignty and by the supreme exigencies of justice.
When nothing appears, either for or against, as to the authority of the
judgments of our courts in the foreign country, one should not put an obstacle
to the fulfillment, in our country, of judgments emanating from other nations,
especially when the question is of a country which, by its historic origin, its
language, its literature, and by almost the identity of its customs, its usages,
and its social institutions, has so great a connection with our own -- which
obliges us to maintain with it the most intimate relations of friendship and
courtesy." And he pointed out that Mexico, by its code, had adopted reciprocity
as a fundamental principle. [*226]
Among the reasons assigned by the court for ordering the Mexican judgment to be
executed was that there exists in Mexico no precedent of jurisprudence which
refuses execution to judgments rendered by the Spanish tribunals." Clunet, 1891,
pp. 288-292.
In Portugal, foreign judgments, whether against a Portuguese or against a
foreigner, are held to be reviewable upon the merits before granting execution
thereof. Foelix, no. 399; Clunet, 1875, pp. 54, 448; Moreau, no. 217; Constant,
176-180; Westlake, ub. sup.
In Greece, by the provisions of the Code of 1834, foreign judgments, both
parties to which are foreigners, are enforced without examination of their
merits; but if one of the parties is a Greek, they are not enforced if found
contradictory to the facts proved, or if they are contrary to the prohibitive
laws of Greece. Foelix, no. 396; Constant, 151, 152; Moreau, no. 202; Saripolos,
in Clunet, 1880, p. 173; Piggott, 475.
In Egypt, under the influence of European jurisprudence, the code of civil
procedure has made reciprocity a condition upon which foreign judgments are
executed. Constant, 136; Clunet, 1887, pp. 98, 228; 1889, p. 322.
In Cuba and in Porto Rico, the codes of civil procedure are based upon the
Spanish code of 1855. Piggott, 435, 503. In Hayti, the code reenacts the
provisions of the French code. Constant, 153; Moreau, no. 203; Piggott, 460.
In Mexico, the system of reciprocity has been adopted, by the Code of 1884, as
the governing principle. Constant, 168; Clunet, 1891, p. 290.
The rule of reciprocity likewise appears to have generally prevailed in South
America. In Peru, foreign judgments do not appear to be executed without
examining the merits, unless when reciprocity is secured by treaty. Clunet,
1879, pp. 266, 267; Piggott, 548. In Chili, there appears to have been no
legislation upon the subject; but, according to a decision of the Supreme Court
of Santiago in 1886, "the Chilian tribunals should not award an exequatur,
except upon decisions in correct form, and also reserving the general principle
of reciprocity." Clunet, 1889, p. 135; Constant, 131, [*227]
132. In Brazil, foreign [**168]
judgments are not executed, unless because of the country in which they were
rendered admitting the principle of reciprocity, or because of a placet of the
government of Brazil, which may be awarded according to the circumstances of the
case. Constant, 124 & note; Moreau, no. 192; Piggott, 543-546; Westlake, ub.
sup. In the Argentine Republic, the principle of reciprocity was maintained by
the courts, and was affirmed by the Code of 1878, as a condition sine qua non of
the execution of foreign judgments, but has perhaps been modified by later
legislation. Moreau, no. 218; Palomeque, in Clunet, 1887, pp. 539-558.
It appears, therefore, that there is hardly a civilized nation on either
continent, which, by its general law, allows conclusive effect to an executory
foreign judgment for the recovery of money. In France, and in a few smaller
States -- Norway, Portugal, Greece, Monaco, and Hayti -- the merits of the
controversy are reviewed, as of course, allowing to the foreign judgment, at the
most, no more effect than of being prima facie evidence of the justice of the
claim. In the great majority of the countries on the continent of Europe -- in
Belgium, Halland, Denmark, Sweden, Germany, in many cantons of Switzerland, in
Russia and Poland, in Roumania, in Austria and Hungary, (perhaps in Italy,) and
in Spain -- as well as in Egypt, in Mexico, and in a great part of South
America, the judgment rendered in a foreign country is allowed the same effect
only as the courts of that country allow to the judgments of the country in
which the judgment in question is sought to be executed.
The prediction of Mr. Justice Story (in § 618 of his Commentaries on the
Conflict of Laws, already cited,) has thus been fulfilled, and the rule of
reciprocity has worked itself firmly into the structure of international
jurisprudence.
The reasonable, if not the necessary, conclusion appears to us to be that
HN30 judgments
rendered in France, or in any other foreign country, by the laws of which our
own judgments are reviewable upon the merits, are not entitled to full credit
and conclusive effect when sued upon in this country, but are prima facie
evidence only of the justice of the plaintiffs' claim.
[*228]
In holding such a judgment, for want of reciprocity, not to be conclusive
evidence of the merits of the claim, we do not proceed upon any theory of
retaliation upon one person by reason of injustice done to another; but upon the
broad ground that international law is founded upon mutuality and reciprocity,
and that by the principles of international law recognized in most civilized
nations, and by the comity of our own country, which it is our judicial duty to
know and to declare, the judgment is not entitled to be considered conclusive.
By our law, at the time of the adoption of the Constitution, a foreign judgment
was considered as prima facie evidence, and not conclusive. There is no statute
of the United States, and no treaty of the United States with [***131]
France, or with any other nation, which has changed that law, or has made any
provision upon the subject. It is not to be supposed that, if any statute or
treaty had been or should be made, it would recognize as conclusive the
judgments of any country, which did not give like effect to our own judgments.
In the absence of statute or treaty, it appears to us equally unwarrantable to
assume that the comity of the United States requires anything more.
If we should hold this judgment to be conclusive, we should allow it an effect
to which, supposing the defendants' offers to be sustained by actual proof, it
would, in the absence of a special treaty, be entitled in hardly any other
country in Christendom, except the country in which it was rendered. If the
judgment had been rendered in this country, or in any other outside of the
jurisdiction of France, the French courts would not have executed or enforced
it, except after examining into its merits. The very judgment now sued on would
be held inconclusive in almost any other country than France. In England, and in
the Colonies subject to the law of England, the fraud alleged in its procurement
would be a sufficient ground for disregarding it. In the courts of nearly every
other nation, it would be subject to reexamination, either merely because it was
a foreign judgment, or because judgments of that nation would be reexaminable in
the courts of France.
[*229]
For these reasons, in the action at law, the
Judgment is reversed, and the cause remanded to the Circuit Court with
directions to set aside the verdict and to older a new trial.
For the same reasons, in the suit in equity between these parties, the foreign
judgment is not a bar, and, therefore, the
Decree dismissing the bill is reversed, the plea adjudged bad, and the cause
remanded to the Circuit Court for further proceedings not inconsistent with this
opinion.
DISSENTBY:
FULLER
DISSENT:
MR. CHIEF JUSTICE FULLER, with whom concurred MR. JUSTICE HARLAN, MR. JUSTICE
BREWER, and MR. JUSTICE JACKSON, dissenting.
Plaintiffs brought their action on a judgment recovered by them against the
defendants in the courts of France, which courts had jurisdiction over person
and subject-matter, and in respect of which judgment no fraud was alleged,
except in particulars contested in and considered by the French courts. The
question is whether under these circumstances, and in the absence of a treaty or
act of Congress, the judgment is reexaminable upon the merits. This question I
regard as one to be determined by the ordinary and settled rule in respect of
allowing a party, who has had an opportunity to prove his case in a competent
court, to retry it on the merits, and it seems to me that the doctrine [**169]
of res judicata applicable to domestic judgments should be applied to foreign
judgments as well, and rests on the same general ground of public policy that
there should be an end of litigation.
This application of the doctrine is in accordance with our own jurisprudence,
and it is not necessary that we should hold it to be required by some rule of
international law. The fundamental principle concerning judgments is that
disputes are finally determined by them, and I am unable to perceive why a
judgment in personam which is not open to question on the ground of want of
jurisdiction, either intrinsically or over the parties, or of fraud, or on any
other recognized ground of impeachment, should not be held inter partes, though
recovered abroad, conclusive on the merits.
[*230]
Judgments are executory while unpaid, but in this country execution is not given
upon a foreign judgment as such, it being enforced through a new judgment
obtained in an action brought for that purpose.
The principle that requires litigation to be treated as terminated by final
judgment properly rendered, is as applicable to a judgment proceeded on in such
an action, as to any other, and forbids the allowance to the judgment debtor of
a retrial of the original cause of action, as of right, in disregard of the
obligation to pay arising on the judgment and of the rights acquired by th
judgment creditor thereby.
That any other conclusion is inadmissible is forcibly illustrated by the case in
hand. Plaintiffs in error were trading copartners in Paris as well as in New
York, and had a place of business in Paris at the time of these transactions and
of the commencement of the suit against them in France. The subjects of the suit
were commercial transactions, having their origin, and partly performed, in
France under a contract there made, and alleged to be modified by the dealings
of the parties there; and one of the claims against them was for goods sold to
them there. They appeared generally in the case, without protest, and by
counterclaims relating to the same general course of business, a part of them
only connected with the claims against them, became actors in the suit and
submitted to the courts their own claims for affirmative relief, as well as the
claims against them. The courts were competent and they took the chances of a
decision in their favor. As traders in France they were under the protection of
its laws and were bound by its laws, its commercial usages and its rules of
procedure. The fact that they were Americans and the opposite parties were
citizens of France is immaterial, and there is no suggestion on the record that
those courts proceeded on any other ground than that all litigants, whatever
their nationality, were entitled to equal justice therein. If plaintiffs in
error had succeeded in their cross suit and recovered judgment against
defendants in error, and had sued them here on that judgment, defendants in
error would not have been permitted to say that the judgment in France was [*231]
not conclusive against them. As it was, defendants in error recovered, and I
think plaintiffs in error are not entitled to try their fortune anew before the
courts of this country on the same matters voluntarily submitted by them to the
decision of the foreign tribunal. We are dealing with the judgment of a court of
a civilized country, whose laws and system of justice recognize the general
rules in respect to property and rights between man and man prevailing among all
civilized peoples. Obviously the last persons who should be heard to complain
are those who identified themselves with the business of that country, knowing
that all their transactions there would be subject to the local laws and modes
of doing business. The French courts [***132]
appear to have acted "judicially, honestly, and with the intention to arrive at
the right conclusion;" and a result thus reached ought not to be disturbed.
The following view of the rule in England was expressed by Lord Herschell in
Nouvion v. Freeman, L.R.
15 App. Cas. 1, 9, quoted in the principal opinion: "The principle
upon which I think our enforcement of foreign judgments must proceed is this:
that in a court of competent jurisdiction, where according to its established
procedure the whole merits of the case were open, at all events, to the parties,
however much they may have failed to take advantage of them, or may have waived
any of their rights, a final adjudication has been given that a debt or
obligation exists which cannot thereafter in that court be disputed, and can
only be questioned in an appeal to a higher tribunal. In such a case it may well
be said that giving credit to the courts of another country we are prepared to
take the fact that such adjudication has been made as establishing the existence
of the debt or obligation." But in that connection the observations made by Mr.
Justice Blackburn in Godard v. Gray, L.R. 6 Q.B. 139, 148, and often referred to
with approval, may usefully again be quoted:
"It is not an admitted principle of the law of nations that a state is bound to
enforce within its territories the judgments of a foreign tribunal. Several of
the continental nations (including France) do not enforce the judgments of other
countries, [*232]
unless where there are reciprocal treaties to that effect. But in England and in
those states which are governed by the common law, such judgments are enforced,
not by virtue of any treaty, nor by virtue of any statute, but upon a principle
very well stated by Parke, B., in Williams v. Jones, 13 M. & W. at p. 633:
'Where a court of competent jurisdiction had adjudicated a certain sum to be due
from one person to another, a legal obligation [**170]
arises to pay that sum, on which an action of debt to enforce the judgment may
be maintained. It is in this way that the judgments of foreign and colonial
courts are supported and enforced.' And taking this as the principle, it seems
to follow that anything which negatives the existence of that legal obligation,
or excuses the defendant from the performance of it, must form a good defence to
the action. It must be open, therefore, to the defendant to show that the court
which pronounced the judgment had not jurisdiction to pronounce it, either
because they exceeded the jurisdiction given to them by the foreign law, or
because he, the defendant, was not subject to that jurisdiction; and so far the
foreign judgment must be examinable. Probably the defendant may show that the
judgment was obtained by the fraud of the plaintiff, for that would show that
the defendant was excused from the performance of an obligation thus obtained;
and it may be that where the foreign court has knowingly and perversely
disregarded the rights given to an English subject by English law, that forms a
valid excuse for disregarding the obligation thus imposed on him; but we prefer
to imitate the caution of the present Lord Chancellor in Castrique v. Imrie,
L.R. 4 H.L. at p. 445, and to leave those questions to be decided when they
arise, only observing in the present case, as in that 'the whole of the facts
appear to have been inquired into by the French courts, judicially, honestly,
and with the intention to arrive at the right conclusion, and having heard the
facts as stated before them, they came to a conclusion which justified them in
France in deciding as they did decide.'. . . Indeed, it is difficult to
understand how the common course of pleading is consistent with any notion that
the judgment was only evidence. If that were so, every count on a [*233]
foreign judgment must be demurrable on that ground. The mode of pleading shows
that the judgment was considered, not as merely prima facie evidence of that
cause of action for which the judgment was given, but as in itself giving rise,
at least prima facie, to a legal obligation to obey that judgment and pay the
sum adjudged. This may seem a technical mode of dealing with the question; but
in truth it goes to the root of the matter. For if the judgment were merely
considered as evidence of the original cause of action, it must be open to meet
it by any counter evidence negativing the existence of that original cause of
action. If, on the other hand, there is a prima facie obligation to obey the
judgment of a tribunal having jurisdiction over the party and the cause, and to
pay the sum decreed, the question would be, whether it was open to the
unsuccessful party to try the cause over again in a court, not sitting as a
court of appeal from that which gave the judgment. It is quite clear that this
could not be done where the action is brought on the judgment of an English
tribunal; and, on principle, it seems the same rule should apply, where it is
brought on that of a foreign tribunal."
In any aspect, it is difficult to see why rights acquired under foreign
judgments do not belong to the category of private rights acquired under foreign
laws. Now the rule is universal in this country that private rights acquired
under the laws of foreign states will be respected and enforced in our courts
unless contrary to the policy or prejudicial to the interests of the state where
this is sought to be done; and although the source of this rule may have been
the comity characterizing the intercourse between nations, it prevails to-day by
its own strength, and the right to the application of the law to which the
particular transaction is subject is a juridical right.
And, without going into the refinements of the publicists on the subject, it
appears to me that that law finds authoritative expression in the judgments of
courts of competent jurisdiction over parties and subject-matter.
It is held by the majority of the court that defendants cannot be permitted to
contest the validity and effect of this judgment on the general ground that it
was erroneous in law [*234]
or in fact; and the special grounds relied on are seriatim rejected. In respect
of the last of these, that of fraud, it is said that it is unnecessary in this
case to decide whether certain decisions cited in regard to impeaching foreign
judgments for fraud could be followed consistently with our own decisions as to
impeaching domestic judgments for that reason, "because there is a distinct and
independent ground upon which we are satisfied that the [***133]
comity of our nation does not require us to give conclusive effect to the
judgments of the courts of Fance, and that ground is the want of reciprocity on
the part of France as to the effect to be given to the judgments of this and
other foreign countries." And the conclusion is announced to be "that judgments
rendered in France or in any other foreign country, by the laws of which our own
judgments are reviewable upon the merits, are not entitled to full credit and
conclusive effect when sued upon in this country, but are prima facie evidence
only of the justice of the plaintiff's claim." In other words, that although no
special ground exists for impeaching the original justice of a judgment, such as
want of jurisdiction or fraud, the right to retry the merits of the original
cause at large, defendant being put upon proving those merits, should be
accorded in every suit on judgments recovered in countries where our own
judgments are not given full effect, on that ground merely.
I cannot yield my assent to the proposition that because by legislation and
judicial decision in France that effect is not there given to judgments
recovered in this country [**171]
which, according to our jurisprudence, we think should be given to judgments
wherever recovered, (subject, of course, to the recognized exceptions,)
therefore we should pursue the same line of conduct as respects the judgments of
French tribunals. The application of the doctrine of res judicata does not rest
in discretion; and it is for the government, and not for its courts, to adopt
the principle of retorsion, if deemed under any circumstances desirable or
necessary.
As the court expressly abstains from deciding whether the judgment is
impeachable on the ground of fraud, I refrain from any observations on that
branch of the case.
[*235]
MR. JUSTICE HARLAN, MR. JUSTICE BREWER, and MR. JUSTICE JACKSON concur in this
dissent.
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