Understanding "Waiver" and "Admission" of Claims in Japanese Litigation

Japanese Attorney at Law - Bengoshi L.L.

• 8 min read

While many civil lawsuits in Japan proceed through contested hearings towards a judgment or are resolved via a bilateral settlement agreement, Japanese civil procedure also provides for mechanisms where a lawsuit, or a specific claim within it, can be terminated by a unilateral declaration of one of the parties. These are the "Waiver of Claim" by the plaintiff, known as Seikyū no hōki (請求の放棄), and the "Admission of Claim" by the defendant, known as Seikyū no nindaku (請求の認諾). These procedural acts are significant because, when properly made and recorded by the court, they carry the same powerful effect as a final and binding judgment, offering a swift and definitive end to the dispute concerning the specific claim.

I. Understanding "Waiver of Claim" (Seikyū no hōki) and "Admission of Claim" (Seikyū no nindaku) in Japan

A. Core Concepts and Legal Basis (Code of Civil Procedure, Arts. 266, 267)

  1. Waiver of Claim (Seikyū no hōki 請求の放棄):
    • This is a unilateral declaration made by the plaintiff in court, by which they acknowledge that their asserted claim against the defendant is unfounded or that they relinquish their right to pursue that claim through the ongoing lawsuit.
    • It is essentially the plaintiff conceding that their case, or a part of it, lacks merit.
  2. Admission of Claim (Seikyū no nindaku 請求の認諾):
    • This is a unilateral declaration made by the defendant in court, by which they acknowledge that the plaintiff's asserted claim against them is well-founded and that they accept the plaintiff's demand.
    • It is essentially the defendant conceding to the validity of the plaintiff's claim.

Article 266 of Japan's Code of Civil Procedure (Minji Soshō Hō 民事訴訟法) provides for the termination of a lawsuit by waiver or admission of a claim. Article 267 then stipulates that a statement of waiver or admission, when entered in the court record (protocol), has the same effect as a final and binding judgment.

B. Legal Nature: Manifestations of Party Disposition (Shobunken-shugi - 処分権主義)

Both waiver and admission are considered unilateral procedural acts that stem from the principle of party disposition (shobunken-shugi). This principle grants parties the autonomy to control the subject matter of the litigation and to terminate the proceedings concerning their private rights.

  • Unilateral Acts: Crucially, neither a waiver by the plaintiff nor an admission by the defendant requires the consent of the opposing party to be effective (unlike an in-court settlement, which is bilateral, or a withdrawal of action under certain circumstances).

C. Distinction from Settlement (Wakai - 和解)

  • Bilateral vs. Unilateral: An in-court settlement (soshō-jō no wakai 訴訟上の和解) is a bilateral agreement reached through mutual concessions by both parties. Waiver and admission are declarations made by only one party, effectively ending the dispute on the terms of that declaration.
  • Content: Settlements can involve complex terms and conditions, often going beyond the strict scope of the original claim. Waiver and admission are more straightforward: the plaintiff gives up the claim, or the defendant concedes to it as originally formulated (or as subsequently modified and then admitted).

II. Requirements for Valid Waiver or Admission

For a waiver or admission to be valid and have the effect of a final judgment, certain conditions must be met:

  1. Party's Authority to Dispose of the Claim: The claim being waived or admitted must be one over which the declaring party has the power of disposition. Most private civil claims (e.g., for money, property) fall into this category. However, claims concerning matters of public order or certain inalienable personal rights might not be freely disposable in this manner.
  2. Capacity to Litigate (Soshō nōryoku - 訴訟能力): The party making the declaration (or their legal representative) must possess the capacity to litigate – the ability to validly perform procedural acts. If made by a person lacking such capacity (e.g., an unrepresented minor), the act may be invalid or require ratification.
  3. Clear and Unequivocal Declaration to the Court: The intention to waive or admit the claim must be expressed clearly and unambiguously to the court during a formal court session.
  4. Subject Matter Must Be Clearly Identified: The specific claim or part of a claim being waived or admitted must be clearly identified.
  5. Not Contrary to Public Policy (Kōjo ryōzoku - 公序良俗): While rare in standard commercial litigation, a waiver or admission concerning a matter that is itself illegal or grossly contrary to public morals might not be given effect by the court, though the primary check is on the disposability of the claim itself.

III. Procedure for Waiver or Admission

A. Timing
A waiver or admission can generally be made at any stage of the proceedings in the court of first instance before the judgment for that instance is rendered.

B. How to Make the Declaration

  • Oral Statement in Court: The declaration must be made orally during an oral argument session (kōtō benron kijitsu 口頭弁論期日) or a formal preparatory proceeding session (benron jumbi tetsuzuki kijitsu 弁論準備手続期日).
  • Not by Mere Written Submission Alone: While a party might indicate their intention in a written brief, the formal act typically requires an oral declaration before the court (or a judge in preparatory proceedings) so that the court can confirm the party's genuine intent and understanding of the consequences.

C. Recording in the Court Record (Chōsho - 調書)
Under Article 267 of the Code of Civil Procedure (which applies to in-court settlements, waivers of claims, and admissions of claims), once the declaration of waiver or admission is made before the court, it is entered into the court record (protocol - chōsho). This official recording is what gives the act its conclusive, judgment-like effect.

IV. The Potent Effects of Waiver or Admission (Code of Civil Procedure, Art. 267)

This is where the true significance of waiver and admission lies. Article 267 states that a waiver or admission, once recorded in the court protocol, "shall have the same effect as a final and binding judgment" (kakutei hanketsu to dōitsu no kōryoku 確定判決と同一の効力).

This "same effect" encompasses:

  1. Termination of the Lawsuit (訴訟終了効 - Soshō shūryō-kō):
    The lawsuit (or the relevant part of it) is immediately and definitively concluded with respect to the claim that has been waived or admitted. No further litigation on that specific claim is necessary or permissible between these parties in that court.
  2. Enforceability (Shikkō-ryoku - 執行力):
    • In case of Admission (Nindaku): If the defendant admits the plaintiff's claim (e.g., a claim for payment of JPY X), the court record (nindaku chōsho 認諾調書) detailing this admission becomes an "enforceable title of obligation" (saimu meigi 債務名義). This means the plaintiff can use this court record to initiate compulsory execution proceedings against the defendant to recover the admitted amount, just as if they had obtained a favorable final judgment after a full trial.
    • In case of Waiver (Hōki): If the plaintiff waives their claim, the court record (hōki chōsho 放棄調書) effectively confirms with the force of a judgment that the plaintiff has no valid claim against the defendant regarding the subject matter. While this doesn't typically involve "enforcement" in the traditional sense by the plaintiff, it provides the defendant with a judgment-equivalent protection against that specific claim ever being successfully re-asserted.
  3. Res Judicata (Kihan-ryoku - 既判力):
    The waiver or admission, once recorded, has res judicata effect.
    • Waiver: It conclusively establishes that the plaintiff's claim (as defined in the waiver) does not exist as between the parties. The plaintiff cannot re-litigate that same waived claim.
    • Admission: It conclusively establishes that the plaintiff's claim (as defined in the admission) is valid and exists as between the parties. The defendant cannot later dispute the validity of that admitted claim.
      The scope of res judicata (objective, subjective, temporal) will apply to the waived or admitted claim just as it would to a claim decided by a regular judgment.

V. Partial Waiver or Admission (Ichibu hōki / Ichibu nindaku - 一部放棄・一部認諾)

If a claim is divisible (e.g., a monetary claim where only a portion is undisputed, or where multiple items are claimed and only some are waived/admitted), it is generally possible for a party to make a partial waiver or partial admission.

  • The lawsuit will then terminate with respect to the waived or admitted part.
  • The litigation will continue for the remaining disputed portion of the claim.
    The recorded partial waiver or admission will have the judgment-equivalent effects described above for that specific part.

VI. Defects in Waiver or Admission and Potential Remedies

Because waiver and admission are unilateral procedural acts based on a party's declaration of intent, questions can arise if that intent was somehow defective at the time the declaration was made in court.

  • Grounds for Contesting Validity:
    Challenges might be based on grounds analogous to those for voiding a contract, such as:
    • Lack of True Intent: For instance, a fundamental mistake (sakugo 錯誤) about the nature or scope of the claim being waived or admitted, if such mistake is recognized under the strict conditions of contract law and procedural principles.
    • Inducement by Fraud (sagi 詐欺) or Duress (kyōhaku 強迫): If the declaration was procured by the opposing party's fraudulent misrepresentation or by coercion.
    • Lack of Capacity to Litigate (Soshō nōryoku) at the time the declaration was made.
  • Procedural Avenues for Challenge:
    Once a waiver or admission is recorded in the court protocol, it cannot simply be unilaterally retracted or "appealed" in the ordinary sense.
    • Motion for Designation of a Hearing Date (Kijitsu shitei no mōshitate 期日指定の申立て): If the alleged defect pertains to the procedural validity of how the waiver/admission was made or confirmed in court (e.g., the judge failed to properly ascertain true intent, or a procedural irregularity occurred), a party might file a motion with the same court to review the validity of the recorded act. This is similar to how defects in in-court settlements are sometimes addressed.
    • New Lawsuit: For more substantive defects in the underlying declaration of intent (e.g., fraud that was not apparent to the court at the time), it might be necessary to file a new, separate lawsuit seeking a declaration that the waiver or admission is null and void. However, given that these are procedural acts formally recorded by the court, the threshold for invalidating them is generally high. The courts prioritize the finality and certainty that these acts are intended to provide.

VII. Strategic Considerations for Litigants

The decision to waive or admit a claim is a serious one with significant and generally irrevocable consequences.

A. For Plaintiffs Considering Waiver of Claim:

  • Motivations: Common reasons include realizing the claim is weaker than anticipated, discovery of adverse evidence, a desire to cut losses and avoid further litigation costs, changed business circumstances making the claim no longer worth pursuing, or as part of a broader (perhaps unstated) settlement with the defendant on other matters.
  • Irreversible Consequences: A waiver effectively means abandoning the claim with the force of a judgment. The plaintiff cannot simply change their mind later and re-assert the same claim. This option should be exercised with extreme caution and after full legal advice.

B. For Defendants Considering Admission of Claim:

  • Motivations: Acknowledging the clear validity of the plaintiff's claim, aiming for a swift end to the litigation to save costs and management time, mitigating potential reputational damage from a prolonged public dispute, stopping the accrual of delay damages or interest, or as a gesture of goodwill in hopes of preserving a business relationship.
  • Defining the Scope: It is crucial for the defendant to ensure that the admission is clearly limited to the specific claim and amount they intend to concede. Any ambiguity could lead to broader preclusive effects than intended.
  • Immediate Enforceability: Defendants must be prepared for the fact that an admission creates an immediately enforceable obligation.

C. The Importance of Legal Counsel:
Given the finality and judgment-like power of these declarations, any decision to waive or admit a claim should only be made after comprehensive consultation with experienced legal counsel who can explain the full ramifications.

D. No Room for Ambiguity in the Declaration:
The statement of waiver or admission made in court must be clear, explicit, and unconditional to be effective. The court will usually seek to confirm the party's understanding and intent.

Conclusion

Waiver of claim (Seikyū no hōki) and admission of claim (Seikyū no nindaku) are potent procedural mechanisms in Japanese civil litigation. They empower parties to unilaterally terminate a dispute concerning a specific claim, imbuing their declarations with the full force and finality of a court judgment. While offering a direct path to certainty and the conclusion of legal proceedings, their irrevocable nature and significant legal consequences—including enforceability and res judicata—demand meticulous strategic consideration and a complete understanding of all implications before such a definitive step is taken in court.