From Conflict of Laws to Global Justice Matthias Lehmann From Conflict of Laws to Global Justice Matthias

  • View
    0

  • Download
    0

Embed Size (px)

Text of From Conflict of Laws to Global Justice Matthias Lehmann From Conflict of Laws to Global Justice...

  • From Conflict of Laws to Global Justice

    Matthias Lehmann

    Submitted in partial fulfillment of the requirements for the degree of Doctor of the Science of Law

    in the School of Law

    COLUMBIA UNIVERSITY

    2011

  • © 2011

    Matthias Lehmann

    All Rights Reserved

  • Abstract

    From Conflict of Laws to Global Justice

    Matthias Lehmann

    At the beginning of the 21st Century, conflict-of-laws theory lies in tatters. The

    determination of the applicable law could hardly be more disputed and insecure. At the

    same time, globalization requires a strong basis on which legal systems can be

    coordinated. It is therefore high time to reconsider the theory of choice of law.

    In my analysis, I have focused on the three major players in the conflicts dilemma:

    individuals, states, and courts. I have tried to show how their roles have changed or

    should change in order to allow for more justice and global coordination.

    I have started out with the individuals because they suffer most from the application

    of a certain law. Today, it is recognized in almost all legal systems that individual parties

    can choose the law governing their disputes. But this principle does not sit very well with

    traditional theory of conflicts, which is built on connections to states and state authority.

    That is why I have tried to give a theoretical justification for party autonomy.

    Second, I have turned to the states because the reason we have conflicts is the

    existence of different countries with different legal systems. States claim application for

    their law either because a case arises in their territory, or because it is connected to their

    nationals, or because it touches upon their interest. In the modern world, though, it

    becomes difficult to establish these kinds of connections as social relations are

  • increasingly transcending state borders. In my second article, I have shown that the law

    of the states has reacted by “de-bordering” itself.

    The final actor I have examined is the courts. One of the main problems of conflict of

    laws, in my eyes, is that courts consider themselves as organs of a certain state. I argue in

    my third article that this is a misconception and that their main preoccupation should be

    to render a just decision. If that would be accepted, they could very well turn out to be the

    key organizers of a more just global legal order.

  • i

    Table of Contents

    Acknowledgements ......................................................................................................... v

    Part 1: Liberating the Individual from Battles between States ........................... 1 I. Introduction .............................................................................................................2

    II. The Gap in Conflicts Theory .......................................................................................5 1. The Growing Acceptance of Party Autonomy ................................................................. 5

    2. Theoretical Questions ................................................................................................... 10

    3. Practical Questions ....................................................................................................... 16

    III. The State-Centered Perspective of Conflicts Theory ................................................. 20 1. The Notion of Conflict of Laws .................................................................................... 20

    2. When do Conflicts Arise? ............................................................................................. 23

    3. Why Do We Apply Foreign Law? ................................................................................ 26

    4. Which Law do We Apply? ........................................................................................... 32

    IV. A Theoretical Justification for Party Autonomy ........................................................ 38 1. The Individual as the Center of the Conflicts Problem ....................................................... 38

    2. Philosophical Underpinnings ............................................................................................. 42

    3. A New Normative Theory: Relatively Mandatory Rules .................................................... 45

    4. The Reach of the Rule of Party Autonomy ........................................................................ 49

    V. Practical Effects of the New Paradigm ...................................................................... 51 1. Effects on the Validity and the Reach of Choice-of-Law Clauses....................................... 51

    2. Effects on Conflict of Laws in the Absence of a Choice by the Parties ............................... 56

    VI. Summary .................................................................................................................. 62

  • ii

    Part 2: De-Bordering of the State and Conflict of Laws .....................................65

    I. The De-bordering of the State ..................................................................................... 66 A. The Metaphor .................................................................................................................. 66

    B. The Borderless Civil Society ............................................................................................ 67

    C. The Legal Side of the De-Bordering of the State ............................................................... 69

    II. Do Laws Have Borders? ........................................................................................... 71 A. Territory as a Connecting Factor in Private International Law .......................................... 71

    B. Joseph Story and the Doctrine of Territoriality.................................................................. 72 1. Sovereignty as the Basic Tenet.............................................................................................. 72 2. Collision with Reality ........................................................................................................... 73 3. Territoriality not Demanded by International Law ................................................................. 76

    C. Constitutional Territoriality .............................................................................................. 78

    D. Soft Territoriality ............................................................................................................. 81 1. Friedrich Carl von Savigny and the Seat of the Relationship .................................................. 81 2. Methodological Problems ..................................................................................................... 82 3. Auto-Limited Laws .............................................................................................................. 83 4. Problems in Cases with Multiple Connections ....................................................................... 84 5. Problems due to Dematerialization of the Modern World....................................................... 86

    E. A Brief History of the Territorial State .............................................................................. 87

    F. The Continuing Legacy of Territoriality in a Globalized World ......................................... 94

    III. Is Law Personal? ..................................................................................................... 95 A. Mancini and the System of Personal Law ......................................................................... 95

    B. Terminological Remarks on Nationality, Citizenship, and Domicile.................................. 98

    C. Sociological Facts: Multi-Citizenship, Transnational Communities, Global Cities, and Mobile Persons ................................................................................................................... 100

    D. Philosophical Justification: The Concept of the State as Social Contract ......................... 103

    E. The Rise and Fall of Personal Laws ................................................................................ 105

    F. The Remaining Importance of Personality....................................................................... 109 1. Loyalty and Solidarity .............................................................................................................. 110 2. Challenges and Limits .............................................................................................................. 111

    IV. Is Law Bound to Interests? ..................................................................................... 113 A. The “Ptolemaic Turn” by Interest Analysis ..................................................................... 113

    B. Separation of Powers and Democracy ............................................................................. 114

    C. The Discontents ............................................................................................................. 115

    D. Disinterested Law and the Disintegration of State Interests .......................................