to decedents' estâtes
D R A W N U P B Y T H E P E R M A N E N T B U R E A U
bodies are at p r é s e n t studying new domestic législation on the private international law of succession, the timing of the efforts to deal with the problems in the Hague C o n f é r e n c e seems to be particularly appropriate. I t will be essential that the rules developed be as simple as possible and create predictable results for persons i n -terested in decedents' estâtes.
Preliminary Document No 4 of December 1986
I S O C I O L O G I C A L A N D G E N E R A L A S P E C T S
1 A round table discussion among experts confirmed the observations of the International U n i o n of the Latin Notariat (Prel. Doc. No 2, A n n e x ) that the number of estâtes of deceased persons for which more than one légal System may be applicable is growing and is likely to increase even further in the future. This is due in particular:
- to the increased migration of workers, particularly since the 1960s, o f t e n followed by their permanent set-tlement with their familles in foreign countries;
- to the growth in the number of multinational mar-riages which, as a resuit of récent changes i n the laws concerning citizenship in many countries, leads to more and more children being born with more than one na-tionality;
- to the increased movement of refugees;
- to the acquisition of primary or secondary résidences in countries with a favourable climate;
- to increasing transnational investment;
- to the growing number of postings f o r employment in foreign countries created by multinational companies, international and supranational organizations.
2 The practical questions which arise in the field of succession to decedents' estâtes often relate not only to the applicable law(s) but also to matters of international jurisdiction and/or récognition and enforcement of judg-ments.
3 I n a number of countries the relationship between the field of matrimonial property and that succession gives rise to problems of délimitation and characteriza-tion. R é c e n t législative changes in the laws concerning matrimonial property régimes are the source of difficul-ties because of their repercussions as to decedents' es-t â es-t e s .
4 The trend towards equalization of rights as between children born in wedlock and those born out of wedlock as well as equalization of rights of surviving spouses créâtes discrepancies among the succession rights recog-nized in d i f f é r e n t countries. R é c o g n i t i o n of rights of the unmarried surviving companion in some States but not in others also créâtes difficulties in the field of succes-sion.
5 F é d é r a l Systems and countries where régional cus-tomary laws are in force e x p é r i e n c e specially acute prob-lems in the field of international succession.
6 I n view of the urgency of the existing problems, which is illustrated by the fact that several législative Conclusions of the Spécial Commission
II T R E N D S E M E R G I N G F R O M T H E N A T I O N A L S Y S T E M S O F P R I V A T E I N T E R N A T I O N A L L A W
7 F r o m a second round table discussion a gênerai ten-dency emerged towards acceptance of the principle of unity of the inheritance. States which had long favoured the principle of scission are now experiencing more and more difficulties with the automatic application of the lex situs as regards immovables, which o f t e n complicates the winding up of the estate as a whole.
8 The application of the law of nationality seems to p r é s e n t a certain number of difficulties. Dual or multiple nationality raises great problems that .are resolved dif-ferently by States applying the nationality as a Connect-ing factor; more particularly, where one of the nationalities involved is that of the f o r u m State, there is a tendency f o r that State to apply its own law and to disregard the law of the other nationality. Where the nationality of the f o r u m is not involved, one tendency is to apply the nationality most recently acquired, but this device does not work in the case which is becoming more and more f r é q u e n t of dual nationalities acquired at birth. Dual nationality arising at birth p r é s e n t s spécial difficulties; likewise the application of succession laws according to nationality in respect of refugees gives rise to problems.
9 The concept of domicile, on the other hand, is far f r o m u n i f o r m in the varions countries applying this fac-tor, stretching as it does f r o m simple habituai résidence in some countries to 'domicile of origin' in others.
10 I n an attempt to overcome the difficulties arising f r o m the large d i f f é r e n c e s between the laws on private international law of varions countries, a trend has emerged in the laws and practices of some States i n favour of a limited acceptance of the professio juris (choice of the applicable law by the testator).
III S C O P E O F T H E C O N F E R E N C E S W O R K I N T H E F I E L D O F S U C C E S S I O N
11 A l t h o u g h the questions of applicable law and juris-diction are often closely linked, and ideally it would be best to deal with both issues together, it was not felt that it was indispensable to deal at p r é s e n t with the matter of jurisdiction. I n view of the volume of work and the shortage of time available, it was thought advisable to leave questions of jurisdiction aside f o r the présent time and concentrate on the applicable law only, although not necessarily closing the door to future c o n s i d é r a t i o n of the subject.
IV S C O P E O F A P P L I C A T I O N O F A C O N V E N T I O N O N T H E L A W A P P L I C A B L E T O S U C C E S S I O N
12 T w o serions difficulties concerning the définition of the scope of application of the future Convention be-came évident in the course of the discussions:
Conclusions of the Spécial Commission 189
a L a p r e m i è r e concerne la d i f f é r e n c e de conception qui existe entre les pays de droit civil et les pays de common law. Dans la plupart des pays de droit civil les droits, actions et obligations du d é f u n t sont directement transmis aux héritiers ou légataires; ce système tend à appliquer la loi régissant la d é v o l u t i o n é g a l e m e n t aux questions de transmission et d'administration des biens successoraux. Par contre, dans les pays de common law la gestion de l'actif, le paiement du passif, l'exercice des droits et actions du d é f u n t se font sous contrôle judiciai-re par une personne désignée à cet effet; par c o n s é q u e n t ces systèmes ont tendance à c o n s i d é r e r les questions de transmission et de gestion des biens comme des m a t i è r e s p r o c é d u r a l e s relevant de la lex fori, en laissant seule-ment la question de la d é v o l u t i o n à l'application de la loi successorale.
b L a seconde est relative à la définition m ê m e de la d é v o l u t i o n . E n g é n é r a l , la d é v o l u t i o n concerne la déter-mination des héritiers et du quantum de leurs droits.
Mais certains experts se sont interrogés pour savoir si cette notion ne doit pas ê t r e comprise comme incluant des questions telles que celles de l'option successorale, des effets des donations qui peuvent ê t r e prises en con-sidération pour d é t e r m i n e r les droits successoraux, des pactes successoraux, des successions vacantes, et des c r é a n c e s alimentaires en faveur des proches parents dans les systèmes oià celles-ci sont laissées à la discrétion judiciaire.
U n consensus s'est d é g a g é en ce sens que la Convention devrait de toute façon inclure des m a t i è r e s que tous les systèmes c o n s i d è r e n t comme faisant partie de la loi suc-cessorale, et notamment la d é v o l u t i o n . O n s'est également mis d'accord sur ce que la Convention devrait i n clure une é n u m é r a t i o n des questions qui devraient n é -cessairement, ou pourraient simplement, relever de la loi successorale. Le Bureau Permanent a é t é prié de proposer des suggestions pour la délimitation du domai-ne de la Convention à cet égard et les experts ont é t é priés d'examiner cette question en ce qui concerne leur propre système juridique.
V C A R A C T E R E D U R A T T A C H E M E N T
13 Les experts des pays q u i , j u s q u ' à p r é s e n t , ont suivi le système de la scission se sont m o n t r é s prêts à considé-rer d'un œil favorable l'adoption de l'unité de la succes-sion comme principe de base de la nouvelle Convention, pourvu que certaines garanties soient établies pour sauvegarder l'application des lois de police en m a t i è r e d'immeubles.
V I L E F A C T E U R D E R A T T A C H E M E N T O B J E C T I F
14 Le système de la Convention de La Haye du 15 j u i n 1955 pour régler les conflits entre la loi nationale et la loi du domicile, qui a inspiré d'autres Conventions de La Haye comme celle de 1978 sur la loi applicable aux régimes matrimoniaux, ne f u t pas retenu comme base de la nouvelle Convention. E n gros, les experts venant des pays qui g é n é r a l e m e n t se rattachent à la n a t i o n a l i t é , ne se sont pas o p p o s é s à ce que le dernier domicile du d é f u n t soit pris comme facteur de rattachement au moins comme base des discussions. Certains de ces Etats envisageaient d é j à d'abandonner la nationalité comme facteur de rattachement en m a t i è r e successorale dans leurs propres systèmes de droit international privé. Des experts d'un certain nombre d'autres pays, tout en p r é -f é r a n t la n a t i o n a l i t é , ont accepté le critère du domicile comme point de d é p a r t pour les discussions dans
l'inté-rêt d'arriver à une solution; certains experts de ce grou-pe ont estimé que le domicile ne serait pas un facteur de rattachement suffisamment f o r t , à moins qu'il soit c o m b i n é avec d'autres facteurs ( n a t i o n a l i t é , une certai-ne d u r é e de r é s i d e n c e , ou la p r é s e n c e d'ucertai-ne q u a n t i t é substantielle de biens successoraux dans le pays du do-micile).
15 U n e discussion particulière f u t c o n s a c r é e à l'hypo-thèse oii Je d é f u n t avait son dernier domicile dans un Etat qui n'était pas lié par la Convention. U n grand nombre d'experts ont e s t i m é que dans le cas oià le d é f u n t ressortissant d'un Etat contractant a son dernier domici-le dans un Etat non contractant, i l n'y avait pas lieu de d é r o g e r à l'application de la loi du domicile, m ê m e si l'Etat du domicile soumet la succession à la loi natio-nale. Par contre, si le d é f u n t domicilié dans un Etat non contractant a la nationalité d'un autre Etat non contrac-tant et que ces deux Etats soumettent la succession à la loi nationale, certains experts ont estimé que l'on pour-rait faire application de celle-ci. D'autres experts, étant d'avis que cela pourrait d é c o u r a g e r ces Etats à ratifier la Convention, ont p e n s é que les règles successorales du dernier domicile devraient rester applicables.
16 La question d'une définition possible du domicile ou de la r é s i d e n c e habituelle dans la Convention f u t largement discutée. U n large accord s'est fait sur ce que la résidence habituelle en tant que telle serait probable-ment trop faible comme facteur de rattacheprobable-ment et que des é l é m e n t s additionnels seraient nécessaires. I l a é t é aussi admis que la Convention ne devrait pas ê t r e b a s é e sur des concepts nationaux de domicile ou de résidence habituelle mais qu'elle devrait contenir un concept auto-nome. A u cours des d é b a t s , deux m é t h o d e s générales de définition qui semblaient à p r e m i è r e vue o p p o s é e s , é m e r g è r e n t :
a U n premier groupe d'experts, pour des raisons de clarté et de prévisibilité, ont p r é f é r é une définition f o n -d é e sur -des critères purement objectifs. Ces critères se-raient, par exemple, la d u r é e de la résidence dans un pays, les liens familiaux, la situation des actifs, les attaches professionnelles, le centre des intérêts é c o n o m i -ques ou sociaux.
A u sein m ê m e de ce groupe, certains ont désiré retenir une liste exhaustive de critères qui s'imposeraient aux juges. D'autres, au contraire, ont s o u h a i t é que cette liste ne soit qu'indicative.
b U n second groupe d'experts ont considéré qu'il se-rait important d'inclure dans la définition un é l é m e n t de subjectivité. Pour eux, l'intention du de cujus de s'éta-blir dans un pays ou de retourner dans un autre est un des é l é m e n t s qui permet de d é t e r m i n e r le domicile ou la résidence habituelle.
Certains ont é t é en faveur d'une p r é s o m p t i o n d'inten-tion, f o n d é e parfois sur la d u r é e de la résidence dans un Etat. D'autres ont estimé que seule une intention claire-ment e x p r i m é e pouvait ê t r e prise en c o n s i d é r a t i o n . A la f i n de la discussion, certains experts ont e x p r i m é l'opinion que l'apparente opposition entre ces deux points de vue n'était pas aussi fondamentale qu'elle le paraissait. E n un certain sens, lorsqu'on retient des cri-tères «objectifs» tels que les liens familiaux ou le centre des activités é c o n o m i q u e s et professionnelles, on tient d é j à compte, d'une certaine f a ç o n , de l'intention du de cujus. D ' u n autre c ô t é , i l sera souvent nécessaire pour d é t e r m i n e r l'intention du de cujus de se r é f é r e r à des critères «objectifs». E n définitive, il s'agit toujours de décider où le de cujus avait établi le «centre de sa vie».
Sur la base de cette discussion, le Bureau Permanent soumettra aux experts, pour la prochaine r é u n i o n de la
a The first concerned a conceptual d i f f é r e n c e which divides common law and civil law Systems. I n most civil law Systems the rights, actions and obligations of the d é c è d e n t are directly transmitted to the heirs or legatees; t h è s e Systems tend to apply the law governing the d é v o l u t i o n also to questions of transmission and ad-ministration of the estate. I n contrast, i n common law Systems the management of the assets, the settlement of tire liabilities and the exercise of the rights of action of the d é c è d e n t are carried out by a person who is ap-pointed f o r this purpose and is judicially supervised;
t h è s e Systems, therefore, tend to see matters of trans-mission and administration as p r o c é d u r a l matters, to be governed by the lex fori, and léave only the question of d é v o l u t i o n to be governed by the law of succession.
b The second problem related to the scope of the term ' d é v o l u t i o n ' . I n g ê n e r a i , dévolution is concerned with the d é t e r m i n a t i o n of the heirs and the quantum of their rights. However, some experts wondered whether the concept might not also be understood to include matters such as heirs' rights of option i n civil law, the effects of gifts which may be taken into account in determining the entitlement to the estate, agreements to leave prop-erty by will on death, escheats, and provision f o r the maintenance of surviving d é p e n d a n t s in Systems where this is left to judicial discrétion.
There was agreement that the Convention would in any case include matters which ail Systems consider to be part of the law of succession, in particular d é v o l u t i o n . It was also agreed that the Convention ought to contain an enumeration of the matters which must, should or might be included within the ambit of the law of succes-sion. The Permanent Bureau was asked to make sugges-tions f o r a délimitation of the scope of the Convention in this respect and experts were asked to examine this question f o r their own laws.
V N A T U R E O F T H E C H O I C E O F L A W C O N N E C T I O N
13 Experts f r o m countries which so far have foUowed the scission System were willing to consider with a favourable view the adoption of the unity of the estate as the basic principle of the new Convention, provided that safeguards be built in to p r é s e r v e the application of spécial policy rules concerning immovables.
VI . T H E O B J E C T I V E C O N N E C T I N G F A C T O R
14 The System of the Hague Convention of 15 June 1955 to d é t e r m i n e conflicts between the national law and the law of domicile, which had inspired other Hague Conventions such as the 1978 Convention on the Law Applicable to Matrimonial Property R é g i m e s , was re-jected as a basis f o r the new Convention. By and large, experts f r o m countries generally favouring the national-ity principle did not oppose the last domicile of the de-ceased being taken as the Connecting factor at least as the basis for the discussion. Some of thèse States were already considering abandoning nationality as a Con-necting factor in respect of the law applicable to dece-dent's estâtes in their own laws on private international law. Experts of a number of others, while preferring nationality, were willing to accept the domicile criterion as a starting point f o r the discussions in the interest of Conclusions of the Spécial Commission
reaching a solution; a few experts of this group thought that domicile would not be a strong enough Connecting factor unless it were combined with other factors (na-tionality, a substantial duration of résidence or the prés-ence of a substantial amount of assets i n the State of the last domicile).
15 The case where the d é c è d e n t had his last domicile in a State which was not a Party to the Convention was discussed separately. Many experts thought that in the case where the d é c è d e n t was a national of a Contracting State and had his last domicile in a non-Contracting State, there was no reason not to apply the law of the domicile, even where the State of the domicile applied the law of the nationality to the succession. However, where the d é c è d e n t was domiciled in a non-Contracting State and was a national of another non-Contracting State, both States applying the law of the nationality, certain experts thought that one could apply that law.
Other experts who were of the opinion that this might discourage t h è s e States f r o m ratifying the Convention thought that t h è s e laws of succession of the last domicile should remain applicable.
16 The question of a possible définition of domicile or habituai résidence in the Convention was extensively discussed. There was broad agreement that habituai rés-idence as such would probably be too weak as a Con-necting factor, and that additional é l é m e n t s were needed. It was also agreed that the Convention should not be based upon any domestic concept of domicile or habituai résidence but should contain an autonomous concept. I n the course of the discussion on a possible définition two gênerai methods of définition emerged, which seemed at first to be in opposition to each other:
a One group of experts preferred, f o r reasons of clarity and predictability, a définition based on purely objective criteria. T h è s e criteria might include, f o r example, the length of résidence in a country, family ties, the prés-ence of assets, and professional, social and é c o n o m i e hnks.
W i t h i n this group of experts, some wished to formulate an exhaustive list of the criteria to be applied by judges.
Others felt that this list ought simply to provide guidelines f o r judicial discrétion.
b A second group of experts considered it important to include an é l é m e n t of subjectivity i n the définition.
For them, the intention of the deceased to establish h i m -self in one country or to return to another was one of the factors which would lead to the d é t e r m i n a t i o n of his domicile or habituai r é s i d e n c e .
Some were i n favour of a presumption of intention, perhaps based on the length of résidence in a country.
Others thought that only a clear expression of intention should be taken into c o n s i d é r a t i o n .
By the end of the discussion, several experts had ex-pressed the opinion that the apparent opposition be-tween t h è s e two viewpoints was not as fundamental as it might have seemed. I n a certain s e n s é , when one con-siders 'objective' criteria such as family ties or the centre of é c o n o m i e and professional activities, one is already taking account in some measure of the intentions of the deceased. O n the other hand, it may o f t e n be necessary to d é t e r m i n e intention by r é f é r e n c e to objective criteria.
Basically it is ail a question of deciding where the de-ceased made his home, what was the 'centre of his l i f e ' . Based on t h è s e discussions, the Permanent Bureau will submit to the experts, in time f o r the next meeting of
Conclusions of the Spécial Commission 191
Commission, un document p r é s e n t a n t un certain nom-bre de définitions possibles du domicile ou de la résiden-ce habituelle.
17 O n a été d'accord pour admettre que si la nouvelle Convention ne devait en principe pas faire une excep-tion pour l'applicaexcep-tion g é n é r a l e de la lex rei sitae aux immeubles, elle devait respecter les lois de police parti-culières concernant certains immeubles (comme par ex-emple les domaines agricoles ou les entreprises indus-trielles) situés en dehors de l'Etat du domicile. Les ex-perts ont été invités à p r é s e n t e r une liste de telles lois de police.
18 Le Bureau Permanent a été prié d'entreprendre une é t u d e sur les p r o b l è m e s concernant les droits de l'Etat en m a t i è r e de successions.
V I I L E F A C T E U R D E R A T T A C H E M E N T S U B J E C T I F
19 M a l g r é le fait que la professio juris n'existe pas dans la plupart des lois des Etats r e p r é s e n t é s , la m a j o r i t é des experts s'est p r o n o n c é e en faveur de l'admission de cette institution dans la future Convention.
20 Une large m a j o r i t é d'experts ont favorisé la limita-tion de la possibilité pour le testateur de choisir une loi à la seule loi de la n a t i o n a l i t é ; i l serait nécessaire de spécifier l'effet de ce choix en ce qui concerne les Etats non unifiés. L'accord était moins large sur l'admission du choix de la loi du domicile pour le cas o ù la loi natio-nale serait c o m p é t e n t e .
21 U n nombre r é d u i t d'experts ont estimé que le choix de la lex rei sitae pour les immeubles devrait é g a l e m e n t ê t r e possible.
22 L ' e f f e t de la professio juris a d o n n é lieu à d'assez grandes oppositions. Certains experts ont admis l'ins-titution, à condition qu'elle ne permette pas au testateur
22 L ' e f f e t de la professio juris a d o n n é lieu à d'assez grandes oppositions. Certains experts ont admis l'ins-titution, à condition qu'elle ne permette pas au testateur