How Do We Properly Start a Lawsuit in Japan? Drafting and Filing the Complaint

Japanese Attorney at Law - Bengoshi L.L.

• 8 min read

Initiating a civil lawsuit in Japan, like in any sophisticated legal system, begins with a critical formal step: the preparation and submission of a foundational document known as the "complaint," or Sojō (訴状). This document doesn't just signal an intent to sue; it frames the entire dispute, outlines what the plaintiff seeks from the court, and details the factual and legal grounds for the claims. A meticulously drafted and properly filed complaint is paramount, as deficiencies can lead to delays, orders for rectification, or even dismissal of the action before its merits are considered. This article provides a guide to understanding the essential elements and procedures involved in commencing a lawsuit with a Japanese complaint.

I. Initiating a Lawsuit in Japan: The Central Role of the Complaint (Sojō)

A. The Formal Act of Filing (Uttae no teiki - 訴えの提起)

Under Article 133, Paragraph 1 of Japan's Code of Civil Procedure (Minji Soshō Hō 民事訴訟法), a lawsuit is commenced by filing a complaint with the competent court. This act of filing officially brings the dispute before the judiciary and sets the legal machinery in motion. The complaint is the cornerstone upon which the entire litigation process is built.

B. Purpose of the Complaint

The Sojō serves several crucial functions:

  • Notifying the Court: It informs the court of the plaintiff's intention to seek judicial relief and presents the nature of the dispute.
  • Notifying the Defendant: Once served, it formally apprises the defendant of the claims being made against them, allowing them to prepare a defense.
  • Defining the Scope of Litigation: It sets the boundaries of the dispute by specifying the relief sought and the factual basis for the claim. The court's eventual judgment will generally be confined to the matters raised in the complaint (and subsequent related pleadings).
  • Foundation for Subsequent Proceedings: All subsequent pleadings, evidence, and arguments will relate back to the assertions and requests made in the complaint.

II. Essential Elements of a Japanese Complaint (Code of Civil Procedure, Art. 133, Para. 2)

Article 133, Paragraph 2 of the Code of Civil Procedure mandates that a complaint must state the following essential particulars:

A. Identification of Parties and Legal Representatives (Tōjisha oyobi hōtei dairi'nin - 当事者及び法定代理人)

Clear and accurate identification of all parties is fundamental.

  • Plaintiff(s) and Defendant(s): Full legal names and current addresses.
    • For individuals: As per their official identification (e.g., resident register).
    • For corporations: The officially registered corporate name, the address of its principal office (head office), and the name of its legal representative (e.g., Representative Director - daihyō torishimariyaku 代表取締役 for a kabushiki kaisha (joint-stock company)). Failure to correctly name the legal entity can be a fatal flaw.
  • Legal Representatives: If a party lacks capacity to litigate (Soshō nōryoku 訴訟能力) – for example, if a party is a minor or an adult under guardianship – the full name and address of their legal representative (e.g., parent, guardian) must be stated. The basis of their representative authority should also be clear.

B. The Claim Sought (The "Gist of Claim" - Seikyū no shushi - 請求の趣旨)

This is arguably the most critical part of the complaint, as it is a concise and precise statement of the judgment the plaintiff requests from the court. It defines the specific relief sought and will form the dispositive part of the judgment if the plaintiff is successful.

  • Clarity and Specificity: The Seikyū no shushi must be unambiguous and specific enough for the court to issue an enforceable judgment. Vague or overly broad requests may be deemed deficient.
  • Examples for Different Types of Actions:
    • Action for Performance (Kyūfu no uttae):
      • Monetary claim: "The defendant shall pay the plaintiff the sum of JPY X, together with interest thereon at the rate of Y% per annum from [date] until full payment."
      • Delivery of goods: "The defendant shall deliver to the plaintiff [specific description of goods, e.g., 'one Model ABC machine, serial number 12345']."
    • Declaratory Action (Kakunin no uttae):
      • "It is declared that the contract dated [date] between the plaintiff and the defendant is valid and existing."
      • "It is declared that the plaintiff is the owner of the real property located at [address], registered under [registration details]."
    • Formative Action (Keisei no uttae):
      • "The resolution passed at the annual general meeting of shareholders of Company X held on [date] concerning [subject matter] is hereby annulled."

C. The Cause of Action (The "Grounds of Claim" - Seikyū no gen'in - 請求の原因)

This section provides the factual and legal basis supporting the Seikyū no shushi. It must state the concrete facts necessary to identify and justify the claim asserted.

  • Narrative of Facts: This is where the plaintiff lays out their "story"—the chronological sequence of events, the actions or omissions of the parties, and the resulting harm or legal dispute.
  • Essential Factual Allegations (Shuyō jijitsu 主要事実): Under Japan's adversarial system, particularly the Principle of Party Presentation (Benron-shugi 弁論主義), the plaintiff bears the responsibility of alleging all "principal facts" (shuyō jijitsu) that constitute the elements of their cause of action under the applicable substantive law. These are the ultimate facts that, if proven, would entitle the plaintiff to the relief sought. Failure to plead an essential fact can lead to the claim being dismissed, even if the fact might be true.
  • Sufficient Detail: Compared to "notice pleading" prevalent in some common law jurisdictions like the United States (where a short and plain statement of the claim might suffice), Japanese practice generally requires a more detailed and specific articulation of the factual grounds in the Seikyū no gen'in. The defendant needs to understand precisely what factual allegations they must respond to. While evidence itself is not pleaded in this section, the facts that the evidence will aim to prove must be stated.
  • Legal Basis (Implicit or Explicit): While not always requiring explicit citation of statutory provisions, the factual allegations should logically connect to a recognized legal basis for the claim (e.g., breach of contract, tort, statutory right).

III. Other Important Aspects of the Complaint

Beyond the mandatory elements, several other practical and formal aspects are crucial:

A. Calculation of the Value of the Subject Matter of Litigation (Soshōbutsu no kagaku no santei - 訴訟物の価額の算定)
The plaintiff must calculate the monetary value of the claim (the "amount in controversy" or sogaku 訴額). This value is essential for:

  • Determining Court Fees: The filing fee is directly based on this value.
  • Subject-Matter Jurisdiction: It can determine whether the case falls under the jurisdiction of a Summary Court or a District Court.
    Specific rules, established by court regulations, govern how this value is calculated for different types of claims (e.g., monetary claims, claims for delivery of property, declaratory actions).

B. Court Fees (Revenue Stamps - Inshi - 印紙)
A prescribed amount of revenue stamps (inshi) must be affixed to the original complaint filed with the court. These stamps represent the payment of the court filing fee. The amount is determined by a statutory schedule based on the calculated value of the claim (as per the Act on Costs of Civil Procedure, etc.). Insufficient payment of fees is a common reason for a rectification order.

C. Supporting Documents to be Attached
While the primary evidence is typically submitted and examined later in the proceedings, it is common practice (and sometimes implicitly required) to attach copies of key supporting documents to the complaint, or to list them as intended evidence. Essential attachments usually include:

  • Evidence of Representative Authority: For corporations, a recent certificate of registered matters (tōki jikō shōmeisho 登記事項証明書) showing the authority of the representative director. For legal representatives of individuals (e.g., guardians), relevant official certificates.
  • Power of Attorney (Ininjō 委任状): If the plaintiff is represented by legal counsel (bengoshi 弁護士), a power of attorney authorizing the counsel to act on their behalf.
  • Copies of Key Contracts or Documents: If the claim is based on a written contract or other critical documents, copies are often annexed.

D. Language and Formatting

  • Language: The complaint and all accompanying documents must be in Japanese. Any foreign language documents submitted as evidence will typically require certified Japanese translations.
  • Formatting: While there isn't a single, universally mandated national "form" for all complaints, courts often provide templates or examples (shoshiki 書式) for common types of actions. Professionalism, clarity, logical organization, and adherence to customary formatting (e.g., clear headings, numbered paragraphs) are expected.

IV. Filing the Complaint and Subsequent Steps

A. Submission to the Competent Court
The complaint must be filed with the Japanese court that has proper subject-matter jurisdiction and territorial jurisdiction (or international jurisdiction, if applicable). Filing in the wrong court can lead to dismissal or transfer.

B. Court's Examination of the Complaint (Sojō shinsa - 訴状審査)
Under Article 137 of the Code of Civil Procedure, upon receipt of a complaint, the presiding judge examines it for formal compliance. The judge checks if:

  • The mandatory particulars under Article 133(2) are stated.
  • The prescribed court fees (revenue stamps) have been duly paid.
  • Other formal requirements are met.
    If the complaint is deficient, the presiding judge will issue an "order to rectify the defect" (hosei meirei 補正命令), specifying a reasonable period within which the plaintiff must correct the deficiencies.
    If the plaintiff fails to comply with this rectification order, the presiding judge will dismiss the complaint by an order (sojō kyakka meirei 訴状却下命令). This is a dismissal of the complaint itself, typically before it is formally served on the defendant and before the case is considered fully "pending" in the sense of triggering substantive litigation.

C. Service of the Complaint on the Defendant (Sojō no sōtatsu - 訴状の送達)
Once the court deems the complaint formally adequate (or after any defects have been rectified), it will arrange for the complaint (or a duplicate thereof) to be officially served on the defendant(s) (Code of Civil Procedure, Art. 138).

  • Significance of Service: Service is a critical step. It officially notifies the defendant of the lawsuit, establishes the court's jurisdiction over the defendant (assuming other jurisdictional bases are met or an objection is not timely raised), and triggers the defendant's obligation to respond, usually by filing an answer (tōbensho 答弁書) within a specified timeframe.
  • Methods of Service: Domestic service is typically carried out by a court bailiff (shikkōkan 執行官) or by special mail service (e.g., special registered mail with proof of delivery - tokubetsu sōtatsu 特別送達).
  • International Service: If the defendant is located outside Japan, service must be effected through channels prescribed by international treaties to which Japan is a party, most notably the Hague Convention on the Service Abroad of Judicial and Extrajudicial Documents in Civil or Commercial Matters (Hague Service Convention). This process can be complex and significantly more time-consuming than domestic service.

V. Amending the Complaint (Uttae no henkō - 訴えの変更)

It is important to note that after a complaint has been filed, it is possible for the plaintiff to amend their claims or the cause of action under certain conditions, as provided by Article 143 of the Code of Civil Procedure. Such amendments are generally permitted as long as the fundamental basis of the claim remains the same, there is no undue prejudice to the defendant, and it does not cause significant delay to the proceedings.

VI. Practical Advice for Drafting and Filing a Complaint in Japan

  • Precision is Key: Be meticulous in stating names, addresses, dates, amounts, and the specific relief sought. Ambiguity can be detrimental.
  • Logical Structure for Cause of Action: While you don't need to present all evidence in the complaint, the factual narrative in the Seikyū no gen'in should be logical, coherent, and contain all essential elements to support the Seikyū no shushi.
  • Compliance with Formalities: Double-check all requirements regarding parties, fees, supporting documents, and formatting to prevent preliminary orders for rectification or dismissal.
  • Understand the "Principal Facts" Requirement: Unlike notice pleading, ensure all legally essential facts supporting each element of your claim are explicitly alleged.
  • Engage Experienced Local Counsel Early: Japanese civil procedure and pleading practices have distinct characteristics. For any significant litigation, and especially for foreign entities, engaging experienced Japanese legal counsel from the outset is invaluable. They can ensure the complaint is drafted in a manner that is both compliant with Japanese law and strategically effective.

Conclusion

The complaint, or Sojō, is the foundational document that initiates and shapes a civil lawsuit in Japan. Its proper preparation—ensuring all essential elements are included, the factual and legal grounds are clearly articulated, and all formal requirements are met—is not merely a technical exercise but a critical step towards achieving a successful outcome. A well-drafted complaint sets a strong foundation for the entire litigation, while a deficient one can lead to unnecessary delays, procedural challenges, or even prevent a meritorious case from being properly heard by the court.