German Legal System 2002

THE GERMAN LEGAL SYSTEM AND LEGAL LANGUAGE
Third Edition
Cavendish Publishing Limited London Sydney
THE GERMAN LEGAL SYSTEM AND LEGAL LANGUAGE

Third Edition A General Survey together with Notes and German Vocabulary
Howard D Fisher LLB (Lond) (Hons) Rechtsanwalt
Cavendish Publishing Limited London Sydney
First published in Great Britain 2002 by Cavendish Publishing Limited, The Glass House, Wharton Street, London WC1X 9PX, United Kingdom Telephone: +44 (0)20 7278 8000 Email: Facsimile: +44 (0)20 7278 8080
info@cavendishpublishing.com
Website: www.cavendishpublishing.com
Fisher, Howard D First edition Second edition Third edition
2002 1996 1999 2002
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, scanning or otherwise, except under the terms of the Copyrights Designs and Patents Act 1988 or under the terms of a licence issued by the Copyright Licensing Agency, 90 Tottenham Court Road, London W1P 9HE, UK, without the prior permission in writing of the publisher.
Fisher, Howard German legal system and legal language3rd ed 1 LawGermany 2 LawGermanyTerminology I Title 349.4'3
ISBN 1 85941 706 X
Printed and bound in Great Britain
In memory of my parents
PREFACE TO THE THIRD EDITION

This edition consolidates and broadens the position reached in the previous two editions with revisions and updating. The greater maturity of this edition goes hand in hand with a deeper treatment of the BGB, which continues to represent the foundation for many areas of civil law in Germany. Indeed, despite numerous amendments and refinements,1 the BGB has gone into the new millennium largely unscathed and the special legal language used by German lawyers to describe legal concepts remains intact. I have, therefore, decided to relegate the resolution I set myself in the first edition (viz, to avoid more detailed exposition of the BGB) to the wishful thinking department! On the international scene, the expansion of, and pioneering developments in, the European Union continue apace, but, so far, national sensibilities have largely shielded existing structures. Thus, for the time being, the thorny subject of an eloquent European Constitution, inevitable in the long term, appears not to be a priority.2 Moreover, the European Court of Justice is still struggling to free itself from political shackles and find its place in the popular consciousness.3 Since the second edition, I have added new material on a multitude of topics: standard business terms; the provisions of the BGB concerning damages ( 249ff BGB); delay (Verzug); contracts having protective effect in favour of a third party; transactions stipulating an exact time for performance (Fixgeschft); long-distance transactions (Fernabsatz); contracts of rental (Miete); contracts of loan (Darlehen); the doctrine of the duty of safety (Verkehrssicherungspflicht) in tort; the public credence of the Land Register; the transfer of ownership of land; mortgages and land charges; the law of succession; the terms Gesellschaft, Gemeinschaft and Verband; unincorporated associations; the duties of members of a civil law company (BGB-Gesellscha); the terms Geschftsfhrung, Vertretung and Haftung; competition by employees before and after employment; the private limited company; the importance of 139 ZPO; the prohibition on representation in 157 ZPO; the specificity principle in civil procedure ( 253 ZPO); objections to procedural defects ( 295 ZPO) and preclusion of submissions ( 296 ZPO);
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The German Legal System and Legal Language
conduct of the proceedings and closure of the hearing; settlement of disputes out of court; employees rights on insolvency; accidents at work; the law of securities; the jurisdiction of the courts in criminal matters; the evidential treatment of documents.
I have also extensively revised the Notes and draw attention to the following recent German statutory enactments: the proposed Laws to Reform the Law of Obligations and Civil Procedure (Preface to the Second Edition, Note 11); the E-Commerce Law (Chapter X, Note 54); the Law to Accelerate Due Payments (Chapter X, Note 127); the Law concerning Long-Distance Transactions (Chapter X, Note 193); the Rental Law Reform Act (Chapter X, 535ff BGB); the Law concerning Bank Transfers (Chapter X, Note 216); changes to Book 8 of the ZPO (Chapter XIII, Note 188); the Law concerning Part-Time Work (Chapter XVIII, Note 13); the Law concerning Shares issued in the Name of a Particular Person (Chapter XIX, Note 35); the Law to Revise Private International Law in Respect of Non-Contractual Obligations (Chapter XX, Note 26); the Law regarding the Activity of European Lawyers in Germany (Chapter XXII, Note 56).
Finally, I have added and cross-referenced a Table of the Articles from the legal magazine ZAP, to which reference is made in the text (Appendix F). I hope that the changes made will increase the usefulness of the book and improve its reliability. Howard D Fisher Frankfurt am Main December 2001
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PREFACE TO THE SECOND EDITION

THE GERMAN LEGAL SYSTEM Germany has one of the most scientific legal systems anywhere in the world. For a person with English as his or her mother tongue to seek to understand that system is not easy, even with a legal education. Why is this so? The principal reason lies in the fact that, for historical reasons, the methods and sources of German and English law have developed differently. Another reason is the German language and its seemingly endless supply of formal terminology. Certainly, legal and everyday language are not the same anywhere, but where can this be more so than in Germany? If the linguistic complexities were not enough, the enormous codification of practically every area of law in Germany will remain a formidable obstacle to comprehension of the German system for a foreigner, even after the dawn of the new Europe after 1993. The German legal system remains, generally speaking, a system of (positive) norms, ie, traditional German legal thinking revolves, in the vast majority of cases, around the twin immutable pillars of an established system and norms regarded as authoritative.1 This contrasts markedly with the mixed system of precedents and statutes and thinking in terms of problems (Problemdenken) prevalent in common law countries. Alternative legal methods have not (yet) made great inroads in Germany.2 The main tool of the German legal system is the German legal language, which is of a precision unmatched (and perhaps unattainable) in English.3
THIS BOOK This book contains a general survey in the English language of the structure and concepts of some of the main areas of German law. My aim has thereby been to provide a basic insight into the German legal system and technical language. The book is based on my understanding and study of German laws and texts and constitutes a summary and introduction only. A more detailed account, for example, of the Grundgesetz and the BGB, would have involved lengthy exposition, which I wanted to avoid. Understanding the layout of the various laws is, in my view, the main task for the newcomer (see Chapter X, Note 109). In particular, the book does not deal with banking, competition, insurance, intellectual property, planning (building), environmental or tax law nor with many of the numerous statutes in the fields of private and public law to be found in the handbook collections Schnfelder and Sartorius (for examples see Chapter XIX A). These areas can be considered at another time. It should also be mentioned that I merely touch upon the Special Part of the Criminal Code (StGB; Chapter XVI B) and that, in the law of criminal procedure, a description of the provisions concerning the main hearing and consequent remedies still needs to be added (Chapter XVII G). To well versed German lawyers and experts the book will, I am sure, provide opportunity for criticism of misunderstanding, errors and incompleteness. Readers
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are, therefore, advised to consult German laws, authorities and guides in their original versions for the necessary detail or in cases of doubt. Readers with a love for plenty of case-law should always remember that it is a fact that the German legal system is almost entirely based on codifications. This book only contains references to a handful of cases, most of which stem from Donald Kommers The Constitutional Jurisprudence of the Federal Republic of Germany and from the Sourcebook on German Law by Raymond Youngs. They concern the Grundgesetz, the first two Books of the BGB and the StGB (Chapters II, V, VII, VIII, X and XVI).
THE INTERNATIONAL PERSPECTIVE For those readers, who wish to compare English and German law, I have indicated in the Index (under English law) where aspects of English law are referred to in the book. However, I do not hold the book out as a work on comparative law. If that is what is sought, I would draw the readers attention to the distinguished treatise in the field of private law by Zweigert and Ktz, to the scholarly analysis by BS Markesinis (The German Law of Obligations: A Comparative Introduction) and to the admirable work by Raymond Youngs (English, French and German Comparative Law). Zweigert and Ktz make the interesting prediction that the day may not be too far distant when the project of a European Civil Code will be undertaken (Chapter 14 II). Whatever the chances of such a Code ever being enacted, I would venture to wager that the long established and highly developed concepts contained in the various codifications of German law will remain in use for so long as German is spoken. The vital role of language and the question of popular acceptance should not be underestimated.4 In the light of developments in the European Union,5 it should be pointed out here that some very difficult problems, perhaps ultimately requiring root-and-branch reform, still exist: The coordination and harmonisation of the various legal systems and procedures in Europe (Rechtsangleichung) is extremely complex. What should be retained or copied and what is irrelevant or outdated? How much is really necessary?6 Constitutional issues are bound, more and more, to preoccupy the European legislatures. Is a federal system a foregone conclusion? What will happen to the monarchies?7 Can the traditionally immovable national administrative structures be integrated? Should they be streamlined? How can the risk of a usurpation of power be minimised? Can the principle of legal certainty (Rechtssicherheit) be upheld in a multi-lingual environment?8
In theory, these are matters which can be resolved, provided the member states of the European Union have the necessary (political) will and mutual trust and are not deflected by internal frictions and other pressures.9
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Preface to the Second Edition
For centuries, codified and common law have been opposite poles and have coexisted side by side. Despite some doubters,10 movement has now set in and the debate between the supporters and opponents of both systems will have to be faced. If, indeed, pan-European law should become a reality,11 lawyers will play an important part in ensuring that accessibility, clarity and flexibility do not suffer. Whether European law is ultimately nothing more than a mirage, time will tell. Much will depend on the ingredients placed in the European legal crucible.12 The possible scenario that, unless the quantity of norms is controlled, the mushrooming and overlapping of legal sources (bloated law) in the European member states will, at some stage, result in chaos, may be pessimistic, but it cannot be ignored entirely. The achievement of efficiency and transparency in a jungle of norms must involve some sacrifice.13
PRACTICAL POINTS I hope that, despite such imperfections as it may have, this book will prove useful to those native English speakers who deal with legal matters in Germany, to those who wish to try to grasp the nettle of the German legal system and legal language for the first time and to those who aim to qualify as German lawyers. Comments and suggestions regarding the book are welcome. Since the first edition, I have made various additions and corrections, more often than not in the Notes and Appendices. Insertions and reorganisation of information have meant changes in the numbering of Notes. In particular, there are two new Chaptersentitled Business Law (Chapter XIX) and International Legal Cooperation (Chapter XXI). I have added new sections on Foreign Relations (Chapter II H), the Hearing in the Administrative Court (Chapter XV D), the Defence Lawyer (Chapter XVII C), Personal and Family Matters (Chapter XX C), Judicial Administration (Chapter XXII C 6) and a Table of English Statutes (Appendix E). I also draw attention to recent reforms to the Commercial Code (HGB) and controversial changes in employment law and lawyers practice rules. The content (and, therefore, size) of the Notes results from the fact that I amend the book (and insert new Notes) sporadically in the course of my experience. I acknowledge that, in places, the length of some Notes is out of proportion to detail in the main text and that some users dislike having to locate relevant detail in a lengthy Note. Consequently, a shortening of some Notes and a transfer of information to the text is desirable. However, when one deals with such an intricate subject matter, such an operation is not merely a question of styleit will involve substantial (and time consuming) reorganisation. In the meantime, the Notes now comprise a separate section following the main text, instead of being integrated therein, as in the first edition.
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I hope that these changes will be considered helpful. Finally, as before, I have endeavoured to maintain correct and consistent translation and to cross-reference the text, Notes and Appendices. Howard D Fisher Frankfurt am Main June 1999
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CONTENTS
Preface to the Third Edition Preface to the Second Edition Materials Bibliography Cross-References I II HISTORICAL INTRODUCTION THE FEDERAL STATE A B C D E F G H The Division of Power The Passing of Laws The Executive The Administration of Justice The Rechtsstaat Principle The Origin, Separation and Binding of State Power The Freiheitliche Demokratische Grundordnung Foreign Relations vii ix xxiii xxv xxxi 1 5 5 5 5 6 6 7 7 8 9 11 13 13 14 15 17 17 17 18
III THE SUPREME FEDERAL ORGANS IV THE SUPREME AND OTHER FEDERAL AUTHORITIES V THE LNDER A B Introduction State Administration in the Lnder
VI LOCAL GOVERNMENT VII THE CONSTITUTION (GRUNDGESETZ) A B C Introduction Rank of the Basic Law and Validity of Norms The Federal and State Constitutional Courts
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VIII THE BASIC RIGHTS A B C IX Introduction Limitation of Basic Rights The Actual Rights
21 21 21 22 25 25 25 27 27 27 27 30 30 31 34 36 37 41 42 44 44 44 45 45 47 51 52 52 53 53 71 71 72
PUBLIC AND PRIVATE LAW A B Introduction Distinguishability of Norms
PRIVATE LAW: THE CIVIL CODE (BGB) A B Introduction Book I: The Allgemeiner Teil ( 1240 BGB) 1 2 Terminology to Note The Provisions of the Allgemeiner Teil Regarding Rechtsgeschfte ( 104185 BGB) (Section 3) (a) Title 1 ( 104115 BGB) (b) Title 2 ( 116144 BGB) (c) Title 3 ( 145157 BGB) (d) Title 4 ( 158163 BGB) (e) Standard business terms (AGB) The Rest of the Allgemeiner Teil ( 186240 BGB) (Sections 47) Expos: Verjhrung ( 194225 BGB) (Section 5) Introduction Points to Note Sections 17 (a) (b) (c) (d) (e) (f) (g) D 1 2 Section 1 ( 241304 BGB) Section 2 ( 305361 BGB) Section 3 ( 362397 BGB) Section 4 ( 398413 BGB) Section 5 ( 414419 BGB) Section 6 ( 420432 BGB) Section 7 ( 433853 BGB)
3 4 C 1 2 3
Book II: The Law of Obligations ( 241853 BGB)
Book II: The Law of Property ( 8541296 BGB) Introduction Dingliches Recht and Verfgung
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Contents
Sections 19 (a) Section 1 ( 854872 BGB) (b) Section 2 ( 873902 BGB) (c) Section 3 ( 9031011 BGB) (d) Section 4 ( 10121017 BGB) (e) Section 5 ( 10181093 BGB) (f) Section 6 ( 10941104 BGB) (g) Section 7 ( 11051112 BGB) (h) Sections 8 and 9 ( 11131296 BGB)
73 73 74 75 77 77 77 77 78 80 81 81 82 82 82 83 84 86 87
E F
Book IV: Family Law ( 12971921 BGB) Book V: Law of Succession ( 19222385 BGB) 1 2 3 Introduction Constitutional Guarantee The Modes of Inheritance (Erbfolge) (a) By statute ( 19241936 BGB) (b) By disposition on death (Verfgung von Todes wegen) (c) The will (Testament; 1937, 20642086, 22292264 BGB) (d) The joint will (Gemeinschaftliches Testament; 22652273 BGB) (e) The estate contract (Erbvertrag; 1941, 22742302 BGB)
The Estate (Erbschaft/Nachla) and the Heir(s) 87 (a) Universal succession ( 1922 BGB) 87 (b) The community of heirs (Erbengemeinschaft; 20322063 BGB) 87 (c) Appointment of an heir (Erbeinsetzung; 1937, 1941, 20872099 BGB) 88 (d) Appointment of a substitute heir (Ersatzerbe; 20962099 BGB) 89 (e) Appointment of a subsequent heir (Nacherbe; 21002146 BGB) 89 (f) Exclusion from succession 90 (g) Entitlement to a compulsory portion (Pflichtteil; 23032338 BGB) 91 (h) Legacies and directions (Vermchtnis/Auflage; 19391940 21472196 BGB) 92 (i) Appointment of an executor (Testamentsvollstrecker; 21972228 BGB) 92 Procedural Aspects 93 (a) Acceptance (Annahme) and disclaimer (Ausschlagung; 19421966 BGB) 93 (b) Liability of the heir(s) for debts (Haftung fr Nachlaverbindlichkeiten; 19672017, 20582063 BGB) 94 (c) Claims against third parties ( 20182031 BGB) 94 (d) The certificate of inheritance (Erbschein; 23532370 BGB) 94 (e) The probate court (Nachlagericht) 95
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XI
PRIVATE LAW: BGB COMPANY LAW AND THE COMMERCIAL CODE (HGB) A B C Context and Definitions
97 97
Duties, Management (Geschftsfhrung), Representation (Vertretung) and Liability (Haftung) 99 The HGB in Detail 1 2 Introduction Book I ( 1104 HGB): Handelsstand (a) Section 1 ( 17 HGB) (b) Sections 2 and 3 ( 837 HGB) (c) Section 5 ( 4858 HGB) (d) Section 6 ( 5983 HGB) (e) Sections 7 and 8 ( 84104 HGB) Book II ( 105237 HGB): Handelsgesellschaften (a) (b) (c) (d) 4 5 Content Section 1 ( 105160 HGB) Section 2 ( 161177a HGB) Section 3 ( 230237 HGB) 100 100 101 101 101 101 102 104 104 104 104 107 107 107 108 111 111 111 112 113 115 115 115 116 118 118 118
Book III ( 238339 HGB): Handelsbcher Book IV ( 343460 HGB): Handelsgeschfte
XII THE PRIVATE LIMITED COMPANY (GMBH) A B C D E Introduction Establishment Stammkapital, Stammeinlage and Geschftsanteil Organs 112 Directors (Geschftsfhrer)
XIII CIVIL PROCEDURE A B C D The Zivilprozeordnung (ZPO) The Maxims of Civil Procedure Points to Note The ZPO in Detail 1 Book I ( 1252 ZPO): General Provisions (a) Content
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Contents
(b) Section 1 ( 149 ZPO) (c) Section 2 ( 50127a ZPO) (d) Section 3 ( 128252 ZPO) (e) Section lin detail ( 149 ZPO) (f) Section 2 in detail ( 50127a ZPO) (g) Section 3 in detail ( 128252 ZPO) 2 Book II ( 253510b ZPO): Proceedings at 1st Instance (a) Content (b) Section 1 ( 253494 ZPO): In the Landgericht (c) Section 1, Title 1 ( 253299a ZPO) (d) Section 2 ( 495510b ZPO): In the Amtsgericht (e) Alternative settlement of disputes 3 Book III ( 511577 ZPO): Remedies (a) Berufung ( 511544 ZPO) (b) Revision ( 545566a ZPO) (c) Beschwerde ( 567577 ZPO) 4 Book IV ( 578591 ZPO): Wiederaufnahme des Verfahrens 5 Book V ( 592605a ZPO): Urkunden- und Wechselproze 6 Book VI ( 606644 ZPO): Family Matters (a) Content (b) Section 1 ( 606638 ZPO) (c) Section 3 ( 6411644 ZPO) 7 Book VII ( 688703d ZPO): The Mahnverfahren 8 Book VIII ( 704945 ZPO): Zwangsvollstreckung (a) Content (b) Section 1 ( 704602 ZPO) (c) Section 2 ( 803882a ZPO) (d) Section 3 ( 883898 ZPO) (e) Section 4 ( 899915 ZPO) (f) Section 5 ( 916945 ZPO) 9 Book IX( 9461024 ZPO): The Aufgebotsverfahren 10 Book X ( 10251048 ZPO): Arbitration XIV ADMINISTRATIVE LAW A B Introduction The Verwaltungsverfahrensgesetz 1 Introduction
118 118 118 119 120 125 128 128 128 129 134 135 135 135 137 138 139 139 139 139 139 145 146 146 146 146 150 152 153 154 155 155 157 157 157 157
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2 3 C 1 2 3 4 5 6
Content The Verwaltungsverfahren Definition Content Validity and Legality Bestandskraft, Rcknahme and Widerruf Types Grant of an Erlaubnis or Genehmigung
158 158 159 159 159 160 160 160 161 163 163 163 163 164 167 167 167 168 168 168 169 169 170 170 170 170 170 171 171 172 173 173 173
TheVerwaltungsakt (VA)
XV ADMINISTRATIVE PROCEDURE A B C D Available Remedies. The Verwaltungsgerichtsordnung (VwGO) Types of Writ Preliminary Requirements The Hearing in the Administrative Court
XVI CRIMINAL LAW A B C Introduction Types of Offence Elements of an Offence 1 Tatbestandsmigkeit of the Handlung (a) When an act is tatbestandsmig (b) Crimes by omission (c) Acts by persons representing others Rechtswidrigkeit of the Handlung (a) When a Handlung is rechtswidrig (b) Rechtfertigungsgrnde Schuld (a) Meaning of Schuld (b) Schuldfhigkeit (c) Forms of Schuld (d) Exclusion of Schuld
Consequences of an Offence Strafen Mareglen der Besserung und Sicherung

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Contents
XVIICRIMINAL PROCEDURE A B C D E F G H I J Introduction The Staatsanwaltschaft TheVerteidiger The Police Action Following Investigation Hauptverhandlungshaft Involvement of the Injured Party (Book V StPO) Special Types of Proceedings (Book VI StPO)
175 175 176 177 178 179 179 180 180
The Main Proceedings and Thereafter (Book II (Section 6)Book IV StPO) 180
Enforcement of Punishment and Costs of the Proceedings (Book VII StPO) 180 181 181 181 183 184 184 185 186 186 187 189 189 190 191 195 195 195 196
XVIIIEMPLOYMENT LAW A B C D E F G H I Introduction Form and Termination of a Contract of Employment The Betrieb and Betriebsrat Cooperation between Employer and Betriebsrat The Rights of the Betriebsrat Mitbestimmung in Large Unternehmen The Coalitions Arbeitsschutzrecht Accidents at Work
XIX BUSINESS LAW (WIRTSCHAFTSRECHT) A B Introduction Law of Securities (Wertpapierrecht) What is a Wertpapier? XX PRIVATE INTERNATIONAL LAW A B C The EGBGB Points to Note Personal and Family Matters
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The Law of Obligations 1 2 Contractual Obligations Questions of Jurisdiction (Zustndigkeit) (a) Special venues (b) Agreements 3 Non-Contractual Obligations
197 197 198 198 198 199 199 201 201 201 202 203 203 204 205 205 205 206 206 207 207 207 207 208 208 209 209 211 212 213 213 214
Proof of Foreign Law
XXI INTERNATIONAL LEGAL COOPERATION A B C Introduction Sources of Law Extradition (Auslieferung)
XXIITHE LEGAL PROFESSION AND COURT SYSTEM A B C The Judges The Rechtspfleger The Court System 1 2 3 4 5 6 D 1 2 3 4 5 6 7 8 The Gerichtsbarkeiten The ordentliche Gerichtsbarkeit The besondere Gerichtsbarkeit The Verwaltungsgerichtsbarkeit Rechtspflege Justizverwaltung Introduction Status of the Rechtsanwalt Admission as a Rechtsanwalt Relationship of the Rechtsanwalt to his Client Rights and Duties of the Rechtsanwalt The Rechtsanwaltskammer Complaints Legal Fees (a) Basis of calculation (b) Civil proceedings and non-contentious matters
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The Rechtsanwalt
Contents
(c) (d) (e) (f) (g) 9 E The Notar
Other proceedings Level of fees Framework fees Legal assistance and legal aid Future reform
214 215 215 215 216 216 217 221 221 221 225 228 233 234 234 235 236 239 244 245 282 286 287 303 306 308 314 322 328 330 334 335
The Partnerschaftsgesellschaft
NOTES Preface to the Third Edition Preface to the Second Edition (With Corrections) Chapter I Chapter II Chapter III Chapter IV Chapter V Chapter VI Chapter VII Chapter VIII Chapter IX Chapter X Chapter XI Chapter XII Chapter XIII Chapter XIV Chapter XV Chapter XVI Chapter XVII Chapter XVIII Chapter XIX Chapter XX Chapter XXI Chapter XXII
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APPENDIX A Vocabulary: Selected German and Latin Words and Phrases (With Their English/Legal Meanings) APPENDIX B Abbreviations Referred to in the Text (For English Meanings See Appendix A) 463 APPENDIX C Paragraph Register APPENDIX D Table of Cases German Cases European and United Kingdom Cases APPENDIX E Table of English Statutes APPENDIX F Table of Articles from ZAP Index 543 553 541 533 533 540 469 345
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MATERIALS
In order to be able to derive use from and follow the explanations in this book, it is essential to have the texts of German (federal) laws (Gesetzestexte) to hand. They are available in various forms, of which very well known are the regularly updated paperback editions published by DTV/Beck and the handbook collections entitled Schnfelder: Deutsche Gesetze and Sartorius I: Verfassungs- und Verwaltungsgesetze der Bundesrepublik Deutschland and Sartorius II: Internationale Vertrge/Europarecht. I would also particularly recommend: Creifelds: Rechtswrterbuch, which is a concise German legal dictionary; The Constitutional Jurisprudence of the Federal Republic of Germany by Donald P Kommers, which is an outstanding casebook and treatise on that subject; and Raymond Youngs Sourcebook on German Law, which contains a selection of many instructive German texts with English translations and commentary.
Additionally, reference can be made to the numerous textbooks (Lehrbcher) and commentaries (Kommentare) on the various areas of German law, if more detailed advice is required. Included in my bibliography are many standard books for German law students. A multitude of regular magazines, general and specialist, cover every aspect of the German legal scene. I subscribe to the Zeitschrift fr die Anwaltspraxis (ZAP), which is published every two weeks by the Verlag fr die Rechts- und Anwaltspraxis (Beisinger Weg la, D-45657 Recklinghausen; Internet: www.zap-verlag.de) and forms part of a reference work divided into 25 subject-areas (Fcher). It contains (inter alia): an editorial column (ZAP-Kolumne); a report on current developments (ZAP-Aktuell) and new or proposed legislation (Gesetzgebungsreport); urgent news (Eilnachrichten), consecutively numbered by year (eg, ZAP EN-Nr 402/1996); a critical section on the judiciary (Justizspiegel); articles (Aufstze); and case-law surveys (Rechtsprechungsbersichten) on certain common areas of law (ie, landlord and tenant, construction, road traffic, family, employment, constitutional and administrative and criminal).
References in this book to ZAP are by issue number and year (eg, ZAP 21/1995).
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BIBLIOGRAPHY
Battis/Gusy: Einfhrung in das Staatsrecht; 4th edn (1999) (CF Mller) Baumann: Einfhrung in die Rechtswissenschaft; 8th edn (1989) (CH Beck); referred to in the Notes as Baumann (ER) Baumann: Grundbegriffe und System des Strafrechts; 5th edn (1979) (Kohlhammer); referred to in the Notes as Baumann (GBS) Baur/Grunsky: Zivilprozerecht; 9th edn (1997) (Luchterhand) Baur/Strner: Sachenrecht; 17th edn (1998) (CH Beck) Bergerfurth: Der Zivilproze; 6th edn (1991) (Rudolf Haufe) Becksches Rechtsanwalts-Handbuch (2001/2002) (CH Beck); referred to in the Notes as the Lawyers Handbook Beitzke/Lderitz: Familienrecht; 27th edn (1999) (CH Beck) Bleckmann: Staatsrecht II: Die Grundrechte; 4th edn (1997) (Carl Heymanns); referred to in the Notes as Bleckmann II Brox: Allgemeiner Teil des Brgerlichen Gesetzbuchs; 22nd edn (1998) (Carl Heymanns); referred to in the Notes as Brox (AT) Brox: Allgemeines Schuldrecht; 26th edn (1999) (CH Beck); referred to in the Notes as Brox (AS) Brox/Walker: Besonderes Schuldrecht; 25th edn (2000) (CH Beck); referred to in the Notes as Brox (BS) Brox/Rthers: Arbeitsrecht; 14th edn (1999) (Kohlhammer); referred to in the Notes as Brox (AR) Brox: Erbrecht; 18th edn (2000) (Carl Heymanns); referred to in the Notes as Brox (ER) Brox: Handelsrecht und Wertpapierrecht; 14th edn (1999) (CH Beck); referred to in the Notes as Brox (HR) Bull: Allgemeines Verwaltungsrecht; 6th edn (2000) (CF Mller) Capelle/Canaris: Handelsrecht; 23rd edn (1999) (CH Beck) Charlesworth: Business Law; 16th edn (1997) (Sweet & Maxwell) Cheshire, Fifoot and Furmston: Law of Contract; 13th edn (1996) (Butterworths) Coing: Grundzge der Rechtsphilosophie; 5th edn (1993) (Walter de Gruyter) Collier: Conflict of Laws; 2nd edn (1994) (Cambridge) Creifelds: Rechtswrterbuch; 16th edn (2000) (CH Beck) Dannemann: An Introduction to German Civil and Commercial Law (1993) (The British Institute of International and Comparative Law) dEntrves: Natural Law; 2nd edn (1970) (Hutchinson)
xxv
Drews/Wacke/Vogel/Martens: Gefahrenabwehr: Allgemeines Polizeirecht (Ordnungsrecht) des Bundes und der Lnder; 9th edn (1986) (Carl Heymanns) Dulckeit/Schwarz/Waldstein: Rmische Rechtsgeschichte; 9th edn (1995) (CH Beck) Eisenhardt: Gesellschaftsrecht; 8th edn (1999) (CH Beck) Engisch: Einfhrung in das juristische Denken; 9th edn (1997) (Kohlhammer) Erichsen: Allgemeines Verwaltungsrecht; llth edn (1998) (Walter de Gruyter) Fikentscher: Schuldrecht; 9th edn (1997) (Walter de Gruyter) Flume: Allgemeiner Teil des Brgerlichen Rechts; Volume 2: Das Rechtsgeschft; 4th edn (1992) (Springer) Gallwas: Grundrechte; 2nd edn (1995) (Luchterhand) Geimer: Internationales Zivilprozerecht; 4th edn (2001) (Dr Otto Schmidt) Gernhuber/Grunewald: Brgerliches Recht; 4th edn (1998) (CH Beck) Gesetzestexte: see Materials Giemulla/Jaworsky/Mller-Uri: Verwaltungsrecht; 6th edn (1998) (Carl Heymanns) Gierke/Sandrock: Handels- und Wirtschaftsrecht I; 9th edn (1975) (Walter de Gruyter) Gursky: Wertpapierrecht; 2nd edn (1997) (CF Mller) Haft: Aus der Waagschale der Justitia; 3rd edn (2001) (CH Beck/DTV) Haft: Strafrecht Allgemeiner Teil; 8th edn (1998) (CH Beck); referred to in the Notes as Haft (AT) Haft: Strafrecht Besonderer Teil; 7th edn (1998) (CH Beck); referred to in the Notes as Haft (BT) Hanau/Adomeit: Arbeitsrecht; 12th edn (2000) (Luchtemand) Hartley: The Foundations of European Community Law; 3rd edn (1994) (Oxford) Hesse: Grundzge des Verfassungsrechts der Bundesrepublik Deutschland; 20th edn (1999) (CF Mller) Hofmann: Handelsrecht; 9th edn (1996) (Luchterhand) Honsell: Rmisches Recht; 4th edn (1997) (Springer) Hubmann/Gtting: Gewerblicher Rechtsschutz; 6th edn (1998) (CH Beck) Hueck: Gesellschaftsrecht; 20th edn (1998) (CH Beck) Jakobs: Strafrecht Allgemeiner Teil; 2nd edn (1993) (Walter de Gruyter) Jarass/Pieroth: Grundgesetz fr die Bundesrepublik Deutschland; 5th edn (2000) (CH Beck) Jauernig: Brgerliches Gesetzbuch (BGB); 9th edn (1999) (CH Beck); referred to in the
xxvi
Bibliography
Notes as Jauernig (BGB) Jauernig: Zivilprozerecht; 26th edn (2000) (CH Beck); referred to in the Notes as Jauernig (ZP) Jauernig: Zwangsvollstreckungs- und Insolvenzrecht; 21st edn (1999) (CH Beck); referred to in the Notes as Jauernig (ZVS) Kaiser: Brgerliches Recht; 7th edn (2000) (CF Mller) Kallwass: Privatrecht; 16th edn (2000) (U Thiemonds) Katz: Staatsrecht; 14th edn (1999) (CF Mller) Kegel/Schurig: Internationales Privatrecht; 8th edn (1999) (CH Beck) Klunzinger: Einfhrung in das Brgerliches Recht; 9th edn (2000) (Franz Vahlen); referred to in the Notes as Klunzinger (Einfhrung) Klunzinger: Grundzge des Handelsrechts; 10th edn (1999) (Franz Vahlen); referred to in the Notes as Klunzinger (Grundzge) (HR) Klunzinger: Grundzge des Gesellschaftsrechts; 11th edn (1999) (Franz Vahlen); referred to in the Notes as Klunzinger (Grundzge) (GR) Kbler: Deutsche Rechtsgeschichte; 5th edn (1996) (Franz Vahlen) Khler: BGB Allgemeiner Teil; 25th edn (2001) (CH Beck) Kommers: The Constitutional Jurisprudence of the Federal Republic of Germany, 2nd edn (1997) (Duke UP) Ktz: Deliktsrecht; 8th edn (1998) (Luchterhand) Ktz: Europisches Vertragsrecht; 1st edn: Volume 1 (1996) (JCB Mohr); referred to in the Notes as Ktz (EVR) Kraft/Kreutz: Gesellschaftsrecht; 10th edn (1997) (Luchterhand) Krause/Thoma: Strafrecht Allgemeiner Teil; 3rd edn (1985) (Kohlhammer) Kriele: ESJ Grundrechte; 1st edn (1986) (CH Beck) Langenscheidt: Taschenwrterbuch Englisch (pocket German /English dictionary) Laufs: Rechtsentwicklungen in Deutschland; 5th edn (1996) (Walter de Gruyter) Leipold: Erbrecht; 13th edn (2000) (JCB Mohr) Loewenheim: Bereicherungsrecht; 2nd edn (1997) (CH Beck) Loveland: Constitutional Law: A Critical Introduction; 1st edn (1996) (Butterworths) Lwisch: Allgemeiner Teil des BGB; 6th edn (1997) (CH Beck) Maunz/Zippelius: Deutsches Staatsrecht; 30th edn (1998) (CH Beck)
xxvii
Maurer: Allgemeines Verwaltungsrecht; 13th edn (2000) (CH Beck) Medicus: Brgerliches Recht; 18th edn (1999) (Carl Heymanns); referred to in the Notes as Medicus (BR) Medicus: Schuldrecht I Allgemeiner Teil; 12th edn (2000) (CH Beck); referred to in the Notes as Medicus (AT) Medicus: Schuldrecht II Besonderer Teil; 10th edn (2000) (CH Beck); referred to in the Notes as Medicus (BT) Mensler: Der Allgemeine Teil des BGB; 1st edn (1998) (Fortis) Meyer: Wirtschaftsprivatrecht; 3rd edn (2001) (Springer) Model/Creifelds/Lichtenberger/Zierl: Staatsbrger-Taschenbuch; 30th edn (2000) (CH Beck) Naucke: Strafrecht; 9th edn (2000) (Luchterhand) Nicholas: An Introduction to Roman Law, (1991) (Oxford) Otto: Grundkurs Strafrecht (Allgemeine Strafrechtslehre); 5th edn (1996) (Walter de Gruyter); referred to in the Notes as Otto (AS) Otto: Grundkurs Strafrecht (Die einzelnen Delikte); 5th edn (1998) (Walter de Gruyter); referred to in the Notes as Otto (ED) Rehbinder: Einfhrung in die Rechtswissenschaft; 8th edn (1995) (Walter de Gruyter) Reich/Schmitz: Einfhrung in das Brgerliche Recht; 1st edn (1996) (Gabler) Rittner: Wettbewerbs- und Kartellrecht; 6th edn (1999) (CF Mller) Rosenberg/Schwab/Gottwald: Zivilprozerecht; 15th edn (1993) (CH Beck); referred to in the Notes as Rosenberg/Schwab Roxin: Strafverfahrensrecht; 25th edn (1998) (CH Beck) Rthers: Allgemeiner Teil des BGB; 10th edn (1997) (CH Beck) Sartorius I and II: see Materials Schack: Internationales Zivilverfahrensrecht; 2nd edn (1996) (CH Beck) Schellhammer: Zivilproze; 8th edn (1998) (CF Mller); referred to in the Notes as Schellhammer (ZP) Schellhammer. Zivilrecht nach Anspruchsgrundlagen; 3rd edn (1999) (CF Mller); referred to in the Notes as Schellhammer (ZR) Schlechtriem: Schuldrecht Allgemeiner Teil; 3rd edn (1997) (JCB Mohr); referred to in the Notes as Schlechtriem (AT) Schlechtriem: Schuldrecht Besonderer Teil; 4th edn (1995) (JCB Mohr); referred to in the Notes as Schlechtriem (BT)
xxviii
Bibliography
Schlosshauer-Selbach: Internationales Privatrecht; 1st edn (1989) (CF Mller) Schmidt-Amann: Besonderes Verwaltungsrecht; 11th edn (1999) (Walter de Gruyter) Schmitt Glaeser: Verwaltungsprozerecht; 14th edn (1997) (Boorberg) Scholler Grundzge des Kommunalrechts in der Bundesrepublik Deutschland; 4th edn (1990) (CF Mller) Schnfelder: see Materials Schulte: Grundkurs im BGB; 5th edn: Volume 1 (1996); 3rd edn: Volume 2 (1992); 3rd edn: Volume 3 (1999) (CF Mller) Schunck/De Clerck: Allgemeines Staatsrecht und Staatsrecht des Bundes und der Lnder; 15th edn (1995) (Reckinger & Co) Schwab/Prtting: Sachenrecht; 29th edn (2000) (CH Beck); referred to in the Notes as Schwab/Prtting D Schwab: Einfhrung in das Zivilrecht; 14th edn (2000) (CF Mller); referred to in the Notes as Schwab (Einfhrung) D Schwab: Familienrecht; 10th edn (1999) (CH Beck); referred to in the Notes as Schwab (F) Schwerdtfeger: ffentliches Recht in der Fallbearbeitung; 10th edn (1997) (CH Beck) Seidl-Hohenveldern: Vlkerrecht; 9th edn (1997) (Carl Heymanns) Sllner: Grundri des Arbeitsrechts; 12th edn (1998) (Franz Vahlen) Stein: Staatsrecht; 17th edn (2000) (JCB Mohr) Stern: Verwaltungsprozessuale Probleme in der ffentlich-rechtlichen Arbeit; 7th edn (1995) (CH Beck) Stober: Kommunalrecht in der Bundesrepublik Deutschland; 3rd edn (1996) (Kohlhammer) Student Law Review Yearbook (SLRYB) (Cavendish) Thomas-Putzo: Zivilprozeordnung; 23rd edn (2001) (CH Beck) Tipke/Lang: Steuerrecht; 16th edn (1998) (Dr Otto Schmidt) Verdross/Simma: Universelles Vlkerrecht; 3rd edn (1984) (Duncker & Humblot) Wesel: Juristische Weltkunde; 6th edn (1992) (Suhrkamp); referred to in the Notes as Wesel (JW) Wesel: Fast alles, was Recht ist; Study edn (1994) (Eichborn); referred to in the Notes as Wesel (FR) Westermann: Grundbegriffe des BGB; 15th edn (1999) (Kohlhammer); referred to in the Notes as Westermann (Grundbegriffe)
xxix
Westermann: Sachenrecht; 7th edn (1998); previously 6th edn: Volume I: Grundlagen und Recht der beweglichen Sachen (1990) and Volume II: Immobiliarsachenrecht (1988) (CF Mller); referred to in the Notes as Westermann (SR) Wolf: Sachenrecht; 16th edn (2000) (CH Beck) Wolff/Bachof /Stober: Verwaltungsrecht I; 11th edn (1999) (CH Beck) Wolff/Bachof/Stober: Verwaltungsrecht II; 6th edn (2000) (CH Beck) Wurm/ Wagner/Zartmann: Das Rechtsformularbuch; 15th edn (2000) (Dr Otto Schmidt) Youngs: English, French and German Comparative Law (1998) (Cavendish); referred to in the Notes as Youngs (CL) Youngs: Sourcebook on German Law (1994) (Cavendish); referred to in the Notes as the Sourcebook (2nd edn, forthcoming (2002)) Zllner/Loritz: Arbeitsrecht; 5th edn (1998) (CH Beck) Zweigert and Ktz: Einfhrung in die Rechtsvergleichung auf dem Gebiet des Privatrechts; 3rd edn (1996) (JCB Mohr); English title: An Introduction to Comparative Law; 2nd edn (1987) (translated by Tony Weir; OUP and JCB Mohr (Paul Siebeck) References in the Notes to the books listed above are by authors surnames unless otherwise stated above and are made with grateful acknowledgement to the relevant authors and publishers.
xxx
CROSS-REFERENCES
The Notes and the Vocabulary (Appendix A) provide supplementary information to that in the text. They include cross-references to Chapters in the text, to books listed in the Bibliography (eg, Creifelds: Rechtswrterbuch and the Sourcebook on German Law) and to relevant statutory provisions. The Paragraph Register (Appendix C), the Table of Cases (Appendix D), the Table of English Statutes (Appendix E) and the Table of Articles from ZAP (Appendix F) are also cross-referenced to the text, Notes and Vocabulary. Paragraphs which can be found translated into English in Youngs Sourcebook on German Law (the Sourcebook) are indicated in the Paragraph Register by a T. In case information sought is not located in the text or in the Index, reference to the Notes, the Vocabulary and the other Appendices should be made.
xxxi
CHAPTER I
I HISTORICAL INTRODUCTION1
The present day German legal system has its roots in Roman law. The first compilation of Roman law was contained in the Twelve Tables, which was published during the Roman Republic in 450 BC. The Twelve Tables provided the basic legal code of Rome for almost a thousand years.2 The end of the western Roman Empire in 476 AD following the incursion of Germanic peoples from the east led to a revival of Roman jurisprudence from the classical period (the first and second centuries AD) in the eastern part of the Empire. Between the years 528 and 534 AD the Emperor Justinian initiated a collection of imperial Roman law from the reign of Hadrian (117138 AD) onwards in a Codex (code) and a collection in fifty books of the writings of numerous classical Roman jurists in the Digesta (digests) or Pandectae (pandects). Together with an introductory textbook, the Institutiones (institutes)based on the writings of the jurist Gaius, the Codex and Digesta are referred to as the Corpus iuris civilis (body of civil law) of Justinian.3 A copy of the Digesta was discovered in north Italy in the 11th century and Roman law became the subject of renewed attention by such scholars as Irnerius and his pupils, the Quattuor Doctores Bulgarus, Hugo, Jacobus and Martinus in the 12th century. The University of Bologna, the oldest university in Europe, became famous for the study of Roman law and, in the 13th century, Accursius completed his Glossa ordinaria (ordinary gloss), which remained authoritative for centuries thereafter.4 In the 14th century, Roman law was further developed in the commentaries of the jurists Bartolus and Baldus.5 The scholastic revival of Roman law in the Middle Ages spread across continental Europe. In Germany, a multitude of regional legal sources then existed, the most wellknown of which is the Sachsenspiegel (Saxon Mirror) of 12211224. However, Roman law was gradually taken up: the so-called Rezeption des rmischen Rechts (reception of Roman law).6 By 1495, the date of the establishment of the highest German court (the Reichskammergericht (Imperial Chamber (Court)), Roman law took precedence as the general law (das gemeine Recht or ius commune) of the Holy Roman Empire (of the German Nation) (Heiliges Rmisches Reich (Deutscher Nation)).7 However, the fields of criminal procedure and punishment were governed by the Constitutio Criminalis Carolina of 1532, which contained a mixture of German and ecclesiatical principles and remained of some influence until the reforms of the 19th century.8 In the 17th century, there was a change. The age of reason brought about a gradual departure from the traditional principles of Roman law and a return to the principles of natural law.9 In Holland, the founder of the modern theory of natural law and pioneer of public international law, Grotius, wrote De jure belli ac pacis libri tres (three books on the law
1
of war and peace) in 1625. His view of law as the product of human reason and mans inborn appetitus societatis (social appetite), where contract forms the binding element (pacta sunt servanda (agreements must be honoured)), was followed in Germany by Pufendorf, Thomasius and Wolff at the beginning of the 18th century.10 At this time, Germany consisted of numerous absolute principalities. It was the era of the rise of Prussia (under Frederick II) and its struggle with Austria (under Maria Theresa). Intellectually, the hallmarks of the early 18th centuryreferred to as the Age of Enlightenmentwere a turning away from spiritual dogma, in favour of tolerance and a search for the truth based on secular understanding (Verstand). The irrationality and superstition of the Middle Ages finally gave way to an optimistic view of the world according to logical, mathematical principles (Leibniz). The former preeminence of theology was assumed by philosophy and French ideas, in particular, were held in high esteem (Descartes, Voltaire). The 18th century was also the greatest period of modern German drama and literature (Lessing, Goethe, Schiller).11 At the end of the 18th century, reason (Vernunft) was criticised in the philosophy of Kant, in favour of the general freedom of the individual. Individualism and radical notions of natural rights were the liberating forces underlying the American and French Revolutions.12 Despite this, however, the ideas of natural law and the Enlightenment influenced three important codifications:13 the Allgemeines Landrecht fr die preuischen Staaten (General Law for the Prussian States (ALR)) of 1794; the Code Civil des Francais (French Civil Code, also known as the Code Napoleon (Napoleonic Code)) of 1804; and the Austrian Allgemeines Brgerliches Gesetzbuch (General Civil Code (ABGB)) of 1811.
In 1814, a dispute broke out between two German jurists as to the need for a codification of civil law14 in Germany15 In favour of a uniform, national statute was Professor Thibaut from Heidelberg. Against it was the famous Professor Savigny from Berlin. Savigny was the founder of the so-called Historische Rechtsschule (historical school), which regarded law as an organic product of history (Geschichte). According to Savigny, law was not based on Vernunft (reason) or Willkr (arbitrariness), but was Gewohnheitsrecht (customary law) and originated from the Volksgeist (spirit of the people).16 Roman law already provided the best available methodic system and the basic principles; an unorganic codification was unnecessary and could be dangerous. During the 19th century, jurists such as Puchta and Windscheid followed Savignys views, but changed the emphasis to a scientific approach to law (the so-called Pandektenwissenschaft (science of the pandects)). Roman law was taught and refined on a scientific basis throughout Germany. Abstraction was the order of the day: the
2
Chapter I: Historical Introduction
solution to every legal problem lay in the application of formal, abstract legal concepts (Begriffsjurisprudenz (conceptual jurisprudence)). Begriffsjurisprudenz dominated at the time the German Civil Code (BGB) was finally enacted in 1896, but the theorys positivist dogma was criticised by Jhering (who regarded law as motivated by the protection of human aims (Zwecke) and interests (Interessen): (Interessenjurisprudenz)) and, subsequently, by the so-called free (sociological) legal school at the start of the 20th century.17 With the coming into force of the BGB on 1 January 1900 a long period of development of Roman law ended, but its principles live on.18
CHAPTER II
II THE FEDERAL STATE1
A THE DIVISION OF POWER In Germany, state power (Staatsgewalt) is not centralised. Germany is divided into the Federal Republic/Federation (Bundesrepublik or Bund ) as the main state (Zentralstaat) and its constituent states (Lnder).2 Each state (Land) is a member of the whole, but at the same time maintains its own state power; it is not fully independent, as otherwise the Federal Republic would be a confederation of states (Staatenbund). The Bund is a federal state (Bundesstaat), a new state created by the joining together of its members.3
B THE PASSING OF LAWS The Bund and the Lnder are each entitled to pass laws (Gesetze)4 and their respective competence to do so (Gesetzgebungskompetenz) is laid down in the (federal) constitution (Grundgesetz/GG/Basic Law).5 Article 70 GG lays down a presumption in favour of the competence of the Lnder, but the constitution allocates to the Bund the right to pass laws in the most important fields; this right is either exclusive (ausschlielich: Article 71 GG) or concurrent (konkurrierend: Article 72 GG) or permits the Bund to lay down a general framework (Rahmen) for legislation by the Lnder (Article 75 GG).6 The law of the Bund, regardless of rank, takes precedence over that of the Lnder (Article 31 GG: Bundesrecht bricht Landesrecht).7
C THE EXECUTIVE8 The administration (Verwaltung) of Germany is divided between the Bund and the Lnder as carriers (Trger) thereof. The key to an understanding of the term Verwaltungstrger (carrier of administration) and, thus, of the construction of the executive in Germany is the recognition that Verwaltungstrger have specific Organe (organs) and (as a subsidiary term) Behrden (authorities).9 Executive power (vollziehende Gewalt) is exercised in the following forms: administration by the Bund (bundeseigene Verwaltung); administration by the Lnder (landeseigene- or Landerverwaltung); administration by the Lnder on instruction by the Bund (Auftragsverwaltung).10
The Bund and the Lnder can administer either directly (unmittelbar) or indirectly
5
(mittelbar) by delegation to other carriers. Such carriers of indirect state administration (Staatsverwaltung) are the public (ffentliche) corporations (Krperschaften), institutions (Anstalten) and foundations (Stiftungen).11 The activity of the executive (Verwaltungsttigkeit) is usually official (hoheitlich). By contrast, however, it can also: act fiscally (fiskalisch), ie, participate in the economy for commercial purposes (erwerbswrtschaftlich; eg, as the owner or shareholder of an enterprise) or engage in accessory transactions (Hilfsgeschfte; eg, acquisition of goods); or perform its public functions (ffentliche Aufgaben) in the forms available under private law: so called Verwaltungsprivatrecht or Verwaltung in Privatrechtsform.12
Thus, Anstalten are part of the wider term ffentliche Einrichtungen (public facilities). In each Land, the statute governing local authorities (the Gemeindeordnung)13 lays down a (public legal) right of admission (Zulassung) for its residents (Einwohner). The use (Benutzung) of the relevant amenity itself can, however, be governed by private law.14 Although the executive has freedom of choice (Wahlfreiheit), it remains bound to observe the restrictions of public law (ffentlich-rechtliche Bindungen) generally (eg, the basic rights).15 This so-called two-tier theory (Zweistufentheorie) has the important procedural consequence that, depending on the party involved on the side of the executive, a dispute may fall within the jurisdiction of the administrative courts ( 40 VwGO) or within that of the ordinary courts ( 13 GVG).16
D THE ADMINISTRATION OF JUSTICE The administration of justice in Germany is divided into five branches (Zweige): the ordinary jurisdiction (ordentliche Gerichtsbarkeit); the employment jurisdiction (Arbeitsgerichtsbarkeit); the (general) administrative jurisdiction (allgemeine Verwaltungsgerichtsbarkeit); the social jurisdiction (Sozialgerichtsbarkeit); the finance jurisdiction (Finanzgerichtsbarkeit).17
The administration of justice is carried by the state, ie, the Bund is responsible for the federal courts specified in the Basic Law and the Lnder for the others (Article 92 GG).
E THE RECHTSSTAAT PRINCIPLE It is a founding and unalterable principle of the Basic Law that the Bund and the Lnder are democratic and social republican states in which the rule of law prevails (Rechtsstaaten) (Articles 20(i), 28(i) and 79(iii) GG).18 The Rechtsstaat principle is a general legal principle and is only partially concretised in Article 20(iii) of the Basic Law. It also underlies, for example, Articles 19(iv), 101(i) and 103(i) and is the source of the principle of proportionality (Verhltnismigkeitsgrundsatz).
6
Chapter II: The Federal State
Other important elements of the Rechtsstaat principle are the requirements of legal certainty (Rechtssicherheit) and the protection of trust (Vertrauensschutz), ie, reliance on particular laws and the (basic) prohibition of retrospective legislation (Rckwirkungsverbot).19
F THE ORIGIN, SEPARATION AND BINDING OF STATE POWER Article 20(ii) GG sets out other fundamental principles. First, all state power (Staatsgewalt) in the Bund and the Lnder springs from the people (Volk): the principle of the sovereignty (or right of self-determination) of the people (Volkssouveranitt). Secondly, state power is exercised by the people in elections and plebiscites: the principle of representative democracy.20 Thirdly, state power is exercised by separate special organs of the legislature (gesetzgebende Gewalt/Gesetzgebung), executive (vollziehende Gewalt/Verwaltung) and judicature (rechtsprechende Gewalt/Rechtsprechung):21 the principle of the separation of powers (Gewaltenteilung).22 By Article 20(iii) GG the legislature is bound to the constitutional order (verfassungsmige Ordnung) and the executive and judicature to statute and law (Gesetz und Recht).23 The binding (Bindung) of the executive to statute is referred to as the Gesetzmigkeit der Verwaltung (Vorbehalt des Gesetzes) and the priority of statute as the Vorrang des Gesetzes.24 The Basic Law can be amended by the legislaturesubject to approval by a qualified majority of two-thirds of the members of the Federal Parliament (Bundestag) and two-thirds of the votes of the members of the Federal Council (Bundesrat))but Article 79(iii) GGthe so-called perpetuity clause (Ewigkeitsklausel)forbids any changes to the federal structure of Germany or to the core constitutional principles set out in Articles 1 and 20 GG.
G THE FREIHEITLICHE DEMOKRATISCHE GRUNDORDNUNG The freiheitliche demokratische Grundordnung is the basic order of freedom and democracy upon which, by common consent, Germany is constructed. It includes: the Rechtsstaat principle; the peoples right of self-determination (Selbstbestimmungsrecht); the separation of powers;25 the binding of the legislature to the constitutional order and of the executive and judiciary to statute and law; the multi-party system (Mehrparteiensystem);26 the independence of the judges (Unabhangigkeit der Richter);27 the basic rights;28
7
the Rechtsschutzgarantie.29
The concept of the freiheitliche demokratische Grundordnung is occasionally used in German statutes, eg, in Article 18 GG (Verwirkung von Grundrechten (forfeiture of basic rights)), in Article 21 (ii) GG ( Verfassungswidrigkeit von Parteien (unconstitutionality of political parties), in provisions relating to the protection of the constitution (Verfassungsschutz) and in criminal provisions concerning treason (Verrat) and similar offences ( 86(ii) and 93(ii) StGB).30
H FOREIGN RELATIONS31 Only the Bund enjoys unrestricted sovereign authority in foreign relations: Article 32(i) GG. Treaties with foreign states (Vertrge mit auswrtigen Staaten) are concluded in the name of the Bund by the Federal President: Article 59(i) GG. The usual stages are as follows:32 agreement on and initialling of the draft text (Paraphierung) by (federal) government representatives (Unterhndler) following negotiations (Verhandlungen); signature (Unterzeichnung), normally by a (federal) government minister; where the proposed treaty seeks to regulate the political relations of the Bund or relates to matters of federal legislation, approval (Zustimmung) or participation (Mitwirkung) as necessary by the body/bodies having relevant (federal) legislative competence (ie, the Bundestag and Bundesrat) in the form of a federal statute (Bundesgesetz): Article 59(ii) GG. This is the so-called Vertragsgesetz (treaty law) or Zustimmungsgesetz (approval law). The Zustimmungsgesetz is also referred to as the Transformationsgesetz because it transforms the provisions of the treaty (ie, public international law (Vlkerrecht)) into national law.33 After transformation, treaties have the rank of (einfache) Gesetze ((simple) statutes) below the Basic Law. Thus, they remain subject to the rule lex posterior derogat legi priori (a later law supercedes an earlier one) and can, in so far as national law is concerned, be repealed.34 However, by Article 25 GG, the general rules of public international lawwhich term includes customary public international law (Vlkergewohnheitsrecht)take precedence over (simple) (federal or state) laws and confer rights and obligations directly on the inhabitants of the (German) federal territory: Sie gehen den Gesetzen vor und erzeugen Rechte und Pflichten unmittelbar fr die Bewohner des Bundesgebietes;35 ratification (Ratifikation) by the Federal President.
The Lnder are largely free to conclude treaties (Staatsvertrge) amongst themselves (see, eg, Article 29(vii) GG). However, a treaty between a Land and a foreign state must fall within the legislative competence of the Land and requires the approval of the Federal Government: Article 32(iii) GG.
CHAPTER III
III THE SUPREME FEDERAL ORGANS1
The main supreme organs of the Bund (oberste Bundesorgane) are: the Federal Parliament (Bundestag); the Federal Council (Bundesrat); the Federal President (Bundesprsident); the Federal Government (Bundesregierung).2
The Bundestag is an organ of the legislature, while the Bundesrat is an organ through which the Lnder assist (mitwirken) in the passing of federal laws and in the administration of the Bund (Article 50 GG).3 The Bundesprsident (the head of state of the Bund) and the Bundesregierung are organs of the executive. The Bundesregierung consists of the Federal Chancellor (Bundeskanzler) and the federal ministers (Bundesminister) (Article 62 GG). The ministeries themselves are supreme federal authorities (oberste Bundesbehrden). Further supreme federal organs are: the (emergency) Joint Council (gemeinsamer Ausschu); the Federal Assembly (Bundesversammlung);4 the Federal Constitutional Court (Bundesverfassungsgericht).5
The supreme federal organs are laid down in Articles 3869 of the Basic Law and in 1(i) of the Law relating to the Federal Constitutional Court (Bundesverfassungsgerichtsgesetz (BVerfGG)).
CHAPTER IV
IV THE SUPREME AND OTHER FEDERAL AUTHORITIES
The highest executive organs of the Bund are the Bundesprsident and the Bundesregierung. Beneath them, the administration (Verwaltung) of the Bund is built up on the following levels: the supreme federal authorities (oberste Bundesbehrden); the upper federal authorities (Bundesoberbehrden); the (middle) federal authorities (Bundesbehrden); the lower federal authorities (Bundesunterbehrden).
The supreme federal authorities are: the federal ministeries (Bundesministerien); the Federal Presidential Office (Bundesprsidialamt); the Federal Chancellors Office or Chancellery (Bundeskanzleramt); the Press and Information Office of the Federal Government (Presse- und Informationsamt der Bundesregierung); the Federal Accounts Court (Bundesrechnungshof).
The upper federal authorities are usually entitled Bundesamt fr (Federal Office for/of ). Another designation is Bundesanstalt fr (Federal Institute of). Administration by a Bundesamt or by a Bundesanstalt, which has no independent legal capacity (nicht rechtsfhig), is an example of direct (state) administration by the Bund (bundeseigene Verwaltung). The relevant authority is incorporated (eingegliedert) into the Bund.1 To be distinguished are so-called selbstndige Bundesoberbehrden (independent upper federal authorities) and the (bundesunmittelbare) Krperschaften und Anstalten des ffentlichen Rechts (public corporations and institutions under the direct control of the Bund), which can both be formed under Article 87(iii) GG, as means of indirect state administration (mittelbare Staatsverwaltung), in such areas, in which the Bund has (federal) legislative competence.2 Examples of (middle) federal authorities are the various Direktionen (directorates), eg, the Bundesbahndirektion (Federal Railway Directorate) and (formerly) the Oberpostdirektion (Upper Post Directorate). The best examples of lower federal authorities are the Grenzschutzmter (border protection offices) and the Zollmter (customs offices). The Finanzmter (tax offices) are, however, lower authorities of the Lnder; the Oberfinanzdirektion (Upper Finance Directorate) is hybrid (ie, it is both a federal authority and one of a Land). Unlike the middle and lower federal authorities, the competence of the upper federal authorities extends to the whole federal territory (Bundesgebiet).3
11
CHAPTER V
V THE LNDER
A INTRODUCTION Before the reunification (Wiedervereinigung) of Germany on 3.10.1990,1 the following eleven Lnder were constituent member states of the Bund: Baden-Wrttemberg;2 Bayern (Bavaria); Berlin; Bremen; Hamburg; Hessen; Niedersachsen (Lower Saxony); Nordrhein-Westfalen (Northrhein-Westphalia); Rheinland-Pfalz (Rheinland-Palatinate); Saarland; Schleswig-Holstein.
Berlin, Bremen and Hamburg are city states (Stadtstaaten). Since reunification, the following (five) states in east Germany (the neue Bundeslnder (new federal states)) now also form part of the Bund: Brandenburg; Mecklenburg-Vorpommern; Sachsen (Saxony); Sachsen-Anhalt; Thringen (Thuringia).
Each Land has its own constitution (Landesverfassung).3 The Basic Law requires that the constitutional order in the Lnder must accord with the principles of a republican, democratic and social Rechtsstaat (Article 28(i), 1st sentence GG; homogeneity clause) and that the people must have a representative body (Vertretung) following general, direct, free, equal and secret elections (Article 28(i), 2nd sentence GG).4 Each Land has as its organs a parliament (usually known as the Landtag), a government (usually known as the Landesregierung and usually headed by a Ministerprsident (prime minister)), an accounts court (Rechnungshof) and (except in Berlin and Schleswig-Holstein) a constitutional court (usually known as the Verfassungsgerichtshof).5
13
B STATE ADMINISTRATION IN THE LNDER In the absence of other provisions in or allowed by the Basic Law, there is a presumption (Vermutung) that state administration in the Lnder is within their competence (Zustndigkeit; Article 30 GG).6 The Lnder, therefore, usually carry out the administration of federal laws (Bundesgesetze) as their own matter (als eigene Angelegenheit; Article 83 GG) through their authorities (Landesbehrden; Article 84 GG).7 State administration in the Lnder is direct and indirect and is usually constructed on the following levels:8 upper level (Oberstufe); middle level (Mittelstufe); lower level (Unterstufe)
In the Stadtstaaten, Saarland and Schleswig-Holstein, there is no middle level. The upper level is composed of the ministeries and state chancelleries (Staatskanzleien) acting as oberste Landesbehrden, to which the Landesmter (Landesoberbehrden) directly report Each Land is (usually) divided into governmental areas or districts (Regierungsbezirke) headed by a president (Regierungsprsident). The governments (Regierungen) of these areas make up the middle level. The lower level is composed of lower administrative authorities or lower authorities of the Lnder (untere Verwaltungsbehrden or untere Landesbehrden;=direct state administration) and local authorities (usually known as (Land-)Kreise and Gemeinde), which can function both as such or as lower authorities of the Lnder (= indirect state administration), ie, they have a Doppelfunktion (double function). The Lnder are represented at the Bund through the Bundesrat and by ministers (of the Lnder) responsible for federal matters (Bevollmchtigte beim Bund).9
14
CHAPTER VI
VI LOCAL GOVERNMENT
Beneath the Bund and the Lnder, the administrative authorities on the third (lower) level are the communal territorial corporations (kommunale Gebietskrperschaften), usually known as the (Land-)Kreise (regional authorities) and the Gemtinden (local authorities, ie, the most local communal units).1 Gemeinden can either belong to a Kreis (kreisangehrig) or be independent thereof (kreisfrei). The same applies to a city (Stadt), which term is used to describe a municipal Gemeinde. Once a city reaches a certain size or importance, it can become a kreisfreie Stadt.2 The relevant local government laws in the Lnder are the (Land-)Kreis- and Gemeinde- Ordnungen.3 The Basic Law guarantees the right of the Gemeinden (and the Kreise) to administer all local matters (alle Angelegenheiten der rtlichen Gemeinschaft) themselves under the auspices (Aufsicht) of the state (Recht der Selbstverwaltung; Article 28(ii) GG).4 The so-called Universalittsgrundsatz (universality principle) applies: within the framework of statute (im Rahmen der Gesetze), Gemeinden have full competence (Allzustndigkeit) in and responsibility (Eigenverantwortlichkeit) for all matters concerning the local community.5 In particular, Gemeinden have a duty to care for the welfare of their residents (Wohl der Einwohner) by way of service provision (Daseinsvorsorge) and to make available the necessary public facilities (ffentliche Einrichtungen). Gemeinden create such facilities by way of Widmung (dedication).6 The fundamental status of the Gemeinden (and the Kreise ) is that of Selbstverwaltungskrperschaften (self-governing corporations) having their own sphere of operation (eigener Wirkungskreis).7 The Gemeinden are entitled not only to pass bye-laws (Satzungen),8 but can also use the instruments of the Rechtsverordnung (regulation) and Verwaltungsakt (administrative act). The Gemeindeordnungen provide for the Gemeinden in the various Lnder to be composed in different forms.9 Usually, the organs of a Gemeinde are known as: the Gemeindevertretung/Stadtverordnetenversammlung/Gemeinderat/Stadtrat (the legislative organ); and the (Ober-)Brgermeister/Magistrat/Gemeindeverwaltung (the executive organ).
Local matters extending beyond the capacity of a Gemeinde (berrtliche Angelegenheiten)subsidiarity principle!are dealt with by the (Land-)Kreis, which has the following organs: the Kreis Parliament (Kreistag), the Kreis Council (Kreisausschu);
15
the Chief Executive (Landrat or, in Lower Saxony and Northrhein-Westphalia, the Oberkreisdirektor).
The members of the Kreistag are elected by the local population. The Landrat is usually a Kommunal- (not Staats-) beamter (communal civil servant) and is appointed by the Kreistag (except in Bavaria, where there is a direct election for the post).10 The Landrat has a dual role: he or she performs the administrative matters of the Kreis itself (Selbstverwaltungsangelegenheiten/eigene Aufgaben) and, as the lower level of (indirect) administration by the state (Land), matters which the Land allocates (bertrgt) to the Kreis (Auftragsangelegenheiten/bertragene Aufgaben). In the latter capacity, the office of the Chief Executive (Landratsamt) is, therefore, Staatsbehrde.11 A kreisangehrige Gemeinde is the fourth administrative level, beneath the Landrat. The Landrat is the third level, beneath the ministeries of the Land and the governments of the Regierungsbezirke. A kreisfreie Gemeinde is, by definition, not attached to a Kreis (ie, it has no Kreis above it) and is, therefore, (merely) a substitute for the Landrat.12
16
CHAPTER VII
VII THE CONSTITUTION (GRUNDGESETZ)
A INTRODUCTION1 The federal constitution of the Bund (Grundgesetz/Basic Law) dated 23.5.1949 contains 146 Articles and is divided into 11 main Sections: I The basic rights (Grundrechte): Articles 119. II The Bund and the Lnder: Articles 2037.2 IIIVI The supreme federal organs (or constitutional organs (Verfassungsorgane)): Articles 3869: III IV IVa V VI VII VIII IX X XI The Bundestag: Articles 3848; The Bundesrat: Articles 5053; The Gemeinsamer Ausschu (Joint Council): Article 53a; The Bundesprsident: Articles 5461; The Bundesregierung: Articles 6269.
Legislative competence and procedure: Articles 7082 (entitled Die Gesetzgebung des Bundes).3 Administration of federal laws: Articles 8391 (entitled Die Ausfhrung der Bundesgesetze und die Bundesverwaltung). The judicature: Articles 92104 (entitled Die Rechtsprechung).4 Finances: Articles 104a-115 (entitled Das Finanzwesen).5 Transitional and final provisions: Articles 116146.6
B RANK OF THE BASIC LAW AND VALIDITY OF NORMS The Basic Law ranks higher than other legal norms (Rechtsnormen), which must be interpreted so as to conform with it (verfassungskonforme Auslegung).7 It is often of importance to establish whether a particular norm is valid (gltig)/ constitutional (verfassungsgem). The judiciary (which is independent Article 97(i) GG) has the right to check whether this is so (richterliches Prfungsrecht). Thus, for example, where a Verwaltungsakt (administrative act (VA)) is concerned, not only must it be valid, but the (authorising) norm upon which it is basedthe Ermchtigungsgrundlage (Rechtsgrundlage)must also itself be valid.8 The following questions arise: What sort of norm is involved? It may form part of a Gesetz (statute), a Rechtsverordnung (statutory regulation) or a Satzung (bye-law). Is the norm formally or materially invalid /unconstitutional (verfassungswidrig)?
17
On the formal side, the relevant body must have possessed legislative competence (Zustndigkeit), gone through the correct procedure (Verfahren) and issued the norm in the appropriate form. On the material side, there must be no violation/ contravention of higher-ranking norms (kein Versto gegen hherrangiges Recht), eg, no breach of basic rights.9
C THE FEDERAL AND STATE CONSTITUTIONAL COURTS (i) The competence (Zustndigkeit) of the Federal Constitutional Court (Bundesverfassungsgericht) is set out in Article 93 GG (and in 13 BVerfGG);10 or, in the case of the constitutional court of a Land, in its constitution (and VerfGG). The decisions of the Federal Constitutional Court bind the constitutional organs of the Bund and the Lnder, as well as all courts and authorities ( 31(i) BVerfGG). (ii) If a court considers a Gesetz upon which its decision depends to be unconstitutional, it is obliged to refer the (legal) question as appropriate to the Federal Constitutional Court or to the constitutional court of the Land (Landesverfassungsgericht): 11 so-called concrete norm-control ( konkrete Normkontrolle; Article 100(i) GG).12 Thus, in accordance with the subsidiarity principle, to prevent diverging decisions and in order to uphold the authority of the legislature, whenever the preliminary question is raised in legal proceedings whether there is a collision between a particular (statutory) norm and a higher-ranking (constitutional) norm, the competence to decide the issue (ie, the validity of the lower norm) is centralised/concentrated at the appropriate constitutional court, which is said to have a monopoly power of rejection (Verwerfungsmonopol). Otherwise, under its richterliches Prfungsrecht ((inherent) right of judicial review) the court hearing the case can decide incidentally (inzident) itselfsocalled incidental control (Inzidentkontrolle)as it anyway can in the case of norms ranking below statutes (eg, Rechtsverordnungen=statutory regulations).13 (iii) On application by the government of the Bund or a Land or 1/3 of the members of the Bundestag, the Federal Constitutional Court can decide whether a norm (including one below a statute) is unconstitutional or whether the law of a Land is incompatible with federal law: so-called abstract norm-control (abstrakte Normkontrolle; Article 93(i) No 2 GG). In such proceedings, the Federal Constitutional Court acts as guardian of the constitution (Hter der Verfassung). If the norm is found to be unconstitutional or the law incompatible, it is declared void ( 78 BVerfGG). Moreover, if a criminal conviction is based on such a norm, a re-opening of the case (re-trial) is possible ( 79(i) BVerfGG). These last-mentioned provisions apply correspondingly in cases of concrete norm-control ( 82(i) BVerfGG). (iv) Any person can apply to the Federal Constitutional Court by way of constitutional complaint (Verfassungsbeschwerde) (usually only after normal legal channels have
18
Chapter VII: The Constitution (Grundgesetz)
been exhausted)14 on the basis that one of its basic rights (or those in Articles 20(iv), 33, 38, 101, 103 and 104 GG) has been infringed by the (German) public power (ffentliche Gewalt, ie, by the legislature, executive or the judiciary; Article 93(i) No 4a GG and 90(i) and 90(ii) BVerfGG).15 A constitutional complaint directed against a (judicial or administrative) decision must be lodgedand substantiatedwithin a period of one month from service or informal notification of the decision in full form, as required by the relevant procedural provisions, otherwise within one month from pronouncement of the decision or the date on which the decision is made known: 93(i)BVerfGG. In the case of a constitutional complaint against a statute or other official act, the complaint must be brought within a year from the date the statute came into force or the date the official act was issued: 93(iii) BVerfGG. In order for the complaint to be admissible (zulssig), the infringement must affect the complainant individually, currently and directly (selbst, gegenwrtig und unmittelbar).16 Local authorities can also apply to the Federal Constitutional Court in the event that a federal statute infringes their right of self-administration (Article 93(i) No 4b GG). If it allows the complaint, the Federal Constitutional Court pinpoints the relevant breach of the Basic Law. In the case of a court decision, it quashes it and refers it back to a competent court;17 in the case of a (provision in a) statute, it declares it void ( 95 BVerfGG).18 (v) The decision of the Federal Constitutional Court regarding a norm has statutory force (Gesetzeskraft; 31(ii) BVerfGG). (vi) The Federal Constitutional Court can also decide (inter alia) in disputes: between supreme federal organs regarding the interpretation of the Basic Law (Article 93(i) No 1 GG; Organstreit);19 between the Bund and Lnder regarding their constitutional rights and obligations (Article 93(i) No 3 GG; Bund/Lander Streit).20
19
CHAPTER VII
VIII THE BASIC RIGHTS
A INTRODUCTION1 The basic rights (Grundrechte) are dealt with at the beginning of the Basic Law (Articles 119 GG).2 Certain of the basic rights only benefit Germans (Articles 8(i), 9(i), 11(i) and 12(i) GG). Despite the precedence of federal laws over that of the Lnder (Article 31 GG; Bundesrecht bricht Landesrecht), those basic rights also contained in constitutions of the Lnder remain in force so far as they accord with Articles 118 GG (Article 142 GG). The basic rights bind (binden) the legislature, executive and judicature as directly applicable law (unmittelbar geltendes Recht; Article 1(iii) GG).3 The main groupings are those of freedom rights (Freiheitsrechte) and equality rights (Gleichheitsrechte).4 The basic rights are principally regarded as (subjective) defensive rights (Abwehrrechte) against attacks (Eingriffe) by the state. However, they also include certain institutional guarantees and are the expression of an objective value-order (Wertordnung).5 Increasingly, there is a tendency to regard certain of the basic rights as conferring the right to claim positive action from the state (Grundrechte as Leistungsrechte).6 The applicability of basic rights in the area of private relations (the so-called Drittwirkung of basic rights) is not generally accepted, although they can indirectly (mittelbar) be called in aid in the interpretation of private law.7 It is customary to speak of the adressee (Adressat) of a Grundrecht, its carrier (Trger), its protected area (Schutzbereich), its impairment (Beeintrachtigung) or infringement (Verletzung).8
B LIMITATION OF BASIC RIGHTS9 It is possible for basic rights to be limited (eingeschrankt). In many cases, the right for this to be done through or on the basis of a statute (durch Gesetz oder aufgrund eines Gesetzes) is expressly reserved in the various Articles of the Basic Law (so-called Gesetzesvorbehalt). The limiting statute must apply generally and not only to an individual case and the Article being limited must be cited (Article 19(i) GG: the Zitiergebot). It is also possible for the limits (Schranken) of a basic right to be implicit (immanent) in the relevant basic right or interpreted by means of a balancing (Abwgung) between conflicting rights.10 The limitation of basic rights is itself limited by so-called (often unwritten) SchrankenSchranken:11
21
An express limitation of a basic right must itself be interpreted in the light of the basic right (the so-called Wechselwirkungstheorie (theory of reciprocal effect)).12 In no case can the essence (Wesensgehalt) of a basic right be touched (angetastet; Article 19(ii) GG)).13 The so-called bermaverbot (prohibition of excess), which flows from the principle that the executive must act in accordance with statute and law (Article 20(iii) GG: Bindung der Verwaltung an Gesetz und Recht/Gesetzmigkeit und Rechtmigkeit der Verwaltung). The measures undertaken by the executive must be proportionate, ie, suitable (geeignet), necessary (erforderlich) and in fair relation to the intended goal (verhtttnismig).14 Essential (political) decisions (wesentliche Entscheidungen) must be taken by the legislature and cannot be delegated to the executive (Wesentlichkeitsprinzip).15
An infringement (Verletzung) of a basic right is only legitimate (a so-called rechtmiger Eingriff), if there is appropriate statutory authority (Ermchtigung) covered (gedeckt) by a Gesetzesvorbehalt, which is itself not limited by a Schranken-Schranken.
C THE ACTUAL RIGHTS 16 Article 19(iv) GG guarantees the right of everyone to go to law (usually to the administrative courts), if his rights are infringed by the executive (Rechtsschutzgarantie). This right is supplemented by the right to lodge a constitutional complaint (Article 93(i) No 4aGG).17 In private law matters, a general right of (access to) justice (Justizgewhrungsanspruch) is derived from Article 2(i) GG.18 The following basic rights are included in Articles 117 of the Basic Law: human dignity (Article l(i): Menschenwrde);19 free development of the personality/freedom of action (Article 2(i): freie Entfaltung der Persnlichkeit/allgemeine Handlungsfreiheit);20 the right to life and bodily integrity (Article 2(ii), 1st sentence: Recht auf Leben und krperliche Unversehrtheit);21 freedom of the person (Article 2(ii), 2nd sentence: Freiheit der Person); equality before the law (Article 3(i): Gleichheit vor dem Gesetz);22 equal rights of men and women (Article 3(ii): Gleichberechtigung zwischen Mann und Frau);23 no discrimination or preference due to sex, descent, race, language, home, origin, belief, religion or political views (Article 3(iii): Benachteiligungs- und Bevorzugungsverbot); freedom of belief, conscience and confession (Article 4(i): Freiheit des Glaubens, Gewissens und des Bekenntnisses);24 the right to conscientious objection against military service (Article 4(iii): Recht zur Kriegsdienstverweigerung aus Gewssensgrnden);25 freedom of expression (Meinungsfreiheit), press freedom (Pressefreiheit), freedom
22
Chapter VIII: The Basic Rights
of reporting (Freiheit der Berichterstattung) and freedom of information/access to public sources (lnformationsfreiheit) (Article 5(i));26 freedom of art, science, research and teaching (Article 5(iii): Freiheit der Kunst, Wissenschaft, Forschung und Lehre);27 protection of marriage and the family (including illegitimate children) (Article 6: Schutz der Ehe und der Familie);28 state supervision of the school system (Schulwesen); participation in religious instruction (Religionsunterricht) (Article 7);29 freedom of assembly (Article 8(i): Versammlungsfreiheit); freedom of (private) association (Article 9(i): Verein(igung)sfreiheit or Vereinsautonomie) and freedom to form coalitions (Koalitionsfreiheit: Article 9(iii));30 secrecy of communication by letter, post and telephone (Article 10(i): Brief-, Postund Fernmeldegeheimnis); freedom of movement (Freizgigkeit) and freedom of establishment (Niederlassungsfreiheit) (Article 11(i)),31 free choice of workplace and occupation (Article 12(i): Freiheit der Arbeitsplatzund Berufswahl);32 inviolability of the home (Article 13(i): Unverletzlichkeit der Wohnung); guarantee of property and succession (Article 14(i): Garantie des Eigentums und des Erbrechts);33 prohibition on removal of citizenship and extradition (Article 16: Verbot der Ausbrgerung und Auslieferung);34 right of asylum (Article 16a: Asylrecht);35 right of complaint and petition (Article 17: Petitionsrecht).36
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CHAPTER IX
IX PUBLIC AND PRIVATE LAW
A INTRODUCTION German law divides itself strictly into public law (ffentliches Recht)dealing with the relationship of the individual to the state and other carriers of public powerand private law (Privatrecht)dealing with the relationship of citizens amongst each other.1 German private law has two main branches: civil law (brgerliches Recht), the main source of which is the Brgerliches Gesetzbuch (Civil Code (BGB)); and commercial and company law (Handelsrecht and Gesellschaftsrecht).2
It is important to note here, however, that the subject-matter of private law in Germany is dealt with in numerous secondary and special statutes (Neben- und Sondergesetze), apart from the BGB and the statutes relating to commercial and company law, eg, in the fields of property and landlord and tenant law, employment law, traffic and public liability law, insurance and intellectual property law.3 The main branches of German public law are: state and constitutional law (Staats- und Verfassungsrecht); administrative law (Verwaltungsrecht); tax law (Steuerrecht); criminal law (Strafrecht); procedural law (Prozerecht); public international law (Vlkerrecht).4
40(i) VwGO gives access to the administrative court in all public law disputes of a non-constitutional nature, unless a federal statute expressly gives another court jurisdiction.
B DISTINGUISHABILITY OF NORMS There are various theories as to how to establish whether a particular norm falls within the area of private or public law, for example: the interest theory, which asks if the norm serves the interests of the state or those of the individual; the subordination theory, which asks if the legal relationship between the parties is on equal terms (auf der Grundlage der Gleichordnung) or one of dominance and subordination (ber- und Unterordnung); and the modified subject or special rights theory (Sonderrechtstheorie), which asks if the norm necessarily only benefits or is directed at a carrier of public power (ob eine Norm nur ein Trger ffentlicher Gewalt berechtigt oder verpflichtet).5
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Norms can also be distinguished according to whether they: are norms of material or formal law. Formal law (formelles Recht) deals with the application (Anwendung) and carrying out (Durchsetzung) of material law (materielles Recht), which contains the substantive provisions. Examples of formal law are procedural law (Prozerecht/Verfahrensrecht) and the law governing the various court jurisdictions (Gerichtsbarkeiten); are norms of federal or state law or norms with only more limited application, ie, those which are set by Krperschaften and Anstalten; are compulsory norms (zwingende Normen: ius cogens) or dispositive norms (nachgiebige Normen/dispositives Recht: ius dispositivum). Dispositive norms are referred to as being abdingbar, ie, they can be derogated from by agreement. They are largely to be found in private law, where the important principles of freedom of contract (Vertragsfreiheit) and private autonomy (Privatautonomie) prevail. Thus, the contract law of the BGB usually only applies in the absence of an agreement between free contracting parties;6 emanate from statute/statutory instrument (Gesetz) or custom (Gewohnheit).
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CHAPTER X
X PRIVATE LAW: THE CIVIL CODE (BGB)1
A INTRODUCTION The Civil Code (Brgerliches Gesetzbuch) of 18.8.1896 came into force on 1.1.1900.2 It is the most important source (Quelle) of private law in Germany. It consists of 2385 paragraphs divided into five Books:3 Book I: Book II: Book III: Book IV: Book V: Allgemeiner Teil (general part), 1240. Schuldrecht (law of obligations), 241853. Sachenrecht (law of property), 8541296. Familienrecht (family law), 12971921. Erbrecht (law of succession), 19222385.
Each Book (Buch) is divided into Abschnitte (Sections), which are in turn sub-divided into Titel (Titles). B BOOK I: THE ALLGEMEINER TEIL ( 1240 BGB)4 The key rules contained in Book I of the BGB (the Allgemeiner Teil); 1240) are valid for all the other Books of the BGB and are of general application for the whole of German private law. The Allgemeiner Teil (AT) is divided into seven Sections. 1 Terminology to Note A knowledge of the following terminology is essential for an understanding of the BGB: 1 2 Die Rechtsfhigkeit: the capacity to be a carrier of rights and obligations (die Fhigkeit, Trger von Rechten und Pflichten zu sein).5 Die Rechtssubjekte (legal subjects or persons).6 Only Rechtssubjekte possess Rechtsfhigkeit. Rechtssubjekte are either natural persons (natrliche Personen=Menschen, ie, humans) or juristic persons (juristische Personen). These concepts are dealt with in Section 1 of the Allgemeiner Teil (entitled Personen; 189). Every natural person has a Wohnsitz ((place of) residence). A juristic person has a (Haupt)-niederlassung ((main) office, place of business) or Sitz (seat/(registered) address).7 Wohnsitz is a legal term (Rechtsbegriff) and refers to the focal point of a persons affairs (der rumliche Schwerpunkt der Lebensverhltnisse eines Menschen). Its broad equivalent in the English (legal) language is the term domicile, although a better translation thereof would be Heimat (home).
27
A persons Wohnsitz is of importance for various purposes, eg, as the place of performance under 269(i) BGB and in order to establish which court has local jurisdiction in civil or criminal proceedings ( 13 ZPO and 8(i) StPO).8 One distinguishes a persons: main (Haupt-) and secondary (Zweit-) Wohnsitz ( 7 (ii) BGB), the former usually being the significant one for (public) legal purposes; voluntary (gewillkrtes) and statutory (gesetzliches) Wohnsitz ( 7 and 8 11 BGB respectively); and (temporary) residence ((vorbergehender) Aufenthalt).
Mere Aufenthalt does not suffice to establish a persons Wohnsitz, even if it is habitual/usual (gewhnlich) or continuous (dauernd). The key element of a Wohnsitz is constant settlement (stndige Niederlassung) at a particular place, the decisive factor being the desire to establish an intensive connection (intensive Bindung) to that place.9 3 Die Rechtsobjekte (legal objects):10 A Rechtsobjekt is any thing/matter (Gegenstand) with which the law can concern itself. If a Gegenstand is corporeal/tangible (krperlich), it is known as a Sache. Sachen are dealt with in Section 2 of the Allgemeiner Teil (entitled Sachen; 90103).11 Other Rechtsobjekte are Immaterialrechtsgter (intellectual property) and Rechte (rights). Unlike Rechtssubjekte, Rechtsobjekte have no rights and usually belong to Rechtssubjekte.12 4 Das subjektive Recht (subjective (legal) right).13 A subjektives Recht is conferred upon a person by the legal system (Rechtsordnung) to protect his interests. A subjektives Recht is the legal power (Rechtsmacht) or legally protected interest (rechtlich geschtztes Interesse) of the individual, as opposed to the objective law (das objektive Recht), which is the sum-total of all valid norms. It is to be distinguished from the so-called Rechtsreflex (legal reflex), which is the nonenforceable favouring of an individual by the legal system. With certain exceptions, the state has a monopoly regarding the protection of a subjective legal right.14 One speaks of the acquisition (Erwerb) and transfer (bertragung/bergang) of a subjective legal right and of limits (Grenzen) on its exercise.15 Subjective legal rights are divided into the following main types.16 The first two are absolute rights (absolute Rechte), effective against everyone. The others are relative rights (relative Rechte), as they are only directed against individual persons within a particular legal relationship: Herrschaftsrechte (rights of dominance): they give power over Gegenstnde (eg, Sachen; they are then known as real rights (dingliche Rechte)). The most
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Chapter X: Private Law: The Civil Code (BGB)
comprehensive dingliches (Herrschafts-)recht is Eigentum (ownership). Power over incorporeal things (eg, Ansprche ) is known as Inhaberschaft (entitlement/ownership). Persnlichkeitsrechte (personality rights). A general right to ones personality is based on Articles 1 and 2 of the Basic Law.17 Ansprche (claims). An Anspruch is defined in 194(i) BGB as das Recht, von einem anderen ein Tun oder ein Unterlassen zu verlangen (the right to demand an act or omission from another). A contractual Anspruch is known as a Forderung (241 BGB).
An Anspruch must always have an Anspruchsgrundlage (basis), the conditions of which must all be fulfilled if the Anspruch is to be begrndet (well founded).18 Gestaltungsrechte (formulation rights). Their exercise enables their Inhaber to influence a particular legal situation (eg, the right of challenge (Anfechtung), the right to give notice (Kndigung), the right of withdrawal/rescission (Rcktritt)).19 Gegenrechte (counter-rights, defences). These enable a defendant to negate an Anspruch. They are classified as Einwendungen and Einreden.20 Familienrechte (family rights), eg, parental rights.
Subjective rights exist both in private and public law (a public subjective right is a subjektives ffentliches Recht).21 5 Das Rechtsverhltnis: the legal relationship between Rechtssubjekte or between Rechtssubjekte and Rechtsobjekte. It gives rise to (subjective) legal rights and/or duties (Rechte und Pflichten).22 Die Privatautonomie (private autonomy (principle)). In accordance with mans right to self-determination (Selbstbestimmung), it is a basic principle of the legal order (Rechtsordnung) that the individual is free to enter into and form legal relationships (Gestaltungsfreiheit). It incorporates the individuals freedom to conclude a legal transaction (such as a contract) on such terms as he wishes: Vertragsfreiheit.23 Das Rechtsgeschft (legal transaction).24 A Rechtsgeschft is composed of at least one Willenserklrung (declaration of will) and can be unilateral (einseitig, eg, a will, the grant of a Vollmacht) or multilateral (mehrseitig, eg, a contract). By means of a Rechtsgeschft, a Rechtssubjekt can achieve a legal consequence (Rechtsfolge) and create or vary a legal relationship (Rechtsbeziehung) to another Rechtssubjekt or to a Rechtsobjekt. Rechtshandlungen (legal actions).25 The term Rechtsgeschft is part of the more general term Rechtshandlung. To be additionally distinguished are: a Rechtshandlung directed to achieving a factual consequence, eg, the setting of a time limit, consent to an operation, establishment of a Wohnsitz. This is an action similar to a Rechtsgeschft (rechtsgeschftshnliche Handlung) and the provisions concerning Geschftsfhigkeit and Willenserklrungen are applied analogously.
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a pure factual act (Tathandlung or Realakt). Like a Rechtsgeschft, it can lead to legal consequence, not because of a Willenserklrung, but due to the general law, eg, statutory acquisition of ownership. However, it requires no Geschftsfhigkeit.26
9 Die Geschftsfhigkeit (capacity to undertake a Rechtsgeschft). Only natural persons are geschftsfhig and can declare their will by means of a Willenserklrung. Thus, only natural persons can conclude a Rechtsgeschft alone. The statutory representatives of persons not fully geschftsfhig are their gesetzliche Vertreter.27 2 The Provisions of the Allgemeiner Teil Regarding Rechtsgeschfte ( 104185 BGB) (Section 3) Geschftsfhigkeit, Willenserklrung and Rechtsfolge form the main elements of a valid Rechtsgeschft. Rechtsgeschfte are dealt with in Section 3 of the Allgemeiner Teil ( 104185). Section 3 is divided into six Titles: Title 1: Geschftsfhigkeit (capacity to undertake a Rechtsgeschaft): 104115. Title 2: Willenserklrung (declaration of will): 116144. Title 3: Vertrag (contract): 145157. Title 4: Bedingung (condition). Zeitbestimmung (time provision): 158163. Title 5: Vertretung (representation/agency). Vollmacht (power of attorney): 164181.28 Title 6: Einwilligung ((prior) consent). Genehmigung (approval): 182185. (a) Title 1 ( 104115 BGB) Although the BGB contains no specific provision to that effect, it proceeds on the basis that Geschftsfhigkeit (the capacity to undertake a Rechtsgeschft) commences with the age of majority (Volljhrigkeit), which, by 2, is 18 years. The BGB distinguishes sharply between: persons who have no Geschftsfhigkeit at all, referred to as geschftsunfhig; those who enjoy limited Geschftsfhigkeit, referred to as beschrnkt geschftsfhig; and those who are fully geschftsfhig.29
104 BGB defines those who are geschftsunfhig, ie, infants under seven and persons permanently mentally disturbed. The Willenserklrung of somebody who is geschftsunfhig is void (nichtig), as is that declared (not received!) by a person in a state of unconsciousness or suffering from a temporary intellectual impairment ( 105). A child between seven and 18 years of age is a Minderjhriger (minor) and is beschrnkt geschftsfhig in accordance with 107113 ( 106). As a result, to make a
30
Willenserklrung he needs the prior consent (Einwilligung) of his parents, except if he receives merely a legal (not commercial!) advantage (lediglich einen rechtlichen Vorteil) from the transaction ( 107,1629).30 Whilst the entry into a contract (Vertrag) by a minor involves him in obligations, his receipt of property (for example, by way of gift) is regarded as a legal advantage and requires no approval (Zustimmung). 108110 deal with the position where a contract is concluded by a minor without prior consent. Its validity is then dependant on the subsequent consent (Genehmigung) of his parents, until which time it is referred to as being schwebend unwirksam, ie, its validity is in abeyance. If consent is refused, the contract is finally void. In the meantime, the other party has certain rights to demand a statement regarding the Genehmigung from the parents and to withdraw from the transaction ( 108 (ii) and 109).31 A contract concluded by a minor without approval is regarded as valid from the start, if the contractually required Leistung (performance) is (immediately) effected (bewirkt) with Mitteln (funds) given to him by his parents for that purpose or placed at his free disposal by his parents (or by a third party with their approval): the socalled pocket-money ( 110). Prior consent is deemed to have been granted. A contract with a minor can, therefore, be approved by parents before or after its conclusion. If it turns out to be void, that does not affect the property level (sachenrechtliche Ebene) of the transaction, which is abstract.32 However, the minor has been unjustly enriched: he has received something (etwas) without a legal basis (ohne rechtlichen Grund), the return of which (Herausgabe) the other party can claim ( 812). Although the fact that one is not or no longer enriched ( 818 (iii)) is usually a defence to such a claim, this does not apply in the event that there is bad faith (Bsglubigkeit) on the part of the minor and he is unable to return the item due to his own fault (Verschulden): he is then liable for damages ( 818(iv), 819(i), 292, 990, 989: so-called verschrfte Haftung).33 The approval of the guardianship court (Vormundschaftsgericht) is required, if parents or guardians wish to engage in certain property or other transactions for the child ( 1643,1821,1822).34 (b) Title 2 ( 116144 BGB) 116144 contain a mixed-bag of important provisions concerning: the validity of a Willenserklrung (ie, the question of its making (Abgabe) and receipt (Zugang)) ( 130132); the interpretation (Auslegung) of a Willenserklrung ( 133); the challengability (Anfechtbarkei) and nullity (Nichtigkeit) of a Willenserklarung/ Rechtsgeschft, ie, vitiating elements ( 116124, 125, 134, 138, 139144);35 the form of a Rechtsgeschft ( 125129); the content (Inhalt) of a Rechtsgeschft ( 134138).
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The term Willenserklrung The BGB nowhere contains a definition of a Willenserklrung. Instead, it contains numerous provisions regulating the ability of a person to make a Willenserklrung and the validity, form, interpretation and content of a Willenserklrung and Rechtsgeschft. Moreover, Section 3 of the Allgemeiner Teil (headed Rechtsgeschfte) proceeds on the basis that a Rechtsgeschft, also nowhere defined, consists of one or more Willenserklrungen; indeed, Title 2 is headed Willenserklrung.36 But what is a Willenserklrung? The word itself indicates that a Willenserklrung has two components:37 1 2 the (internal) will (Wille) to bring about a legal consequence; and the (external) declaration (Erklrung) showing what legal consequence is desired.
More exactly, one customarily says that the first component comprises the following elements: the Handlungswille, ie, the will to act at all; the Rechtsbindungswille, ie, the will to be legally bound by ones act; and the Geschftswille, ie, the will to engage in a particular transaction.38
The second component (the Erklrung) does not have to consist of a particular formulation. A particular act can (and often does) constitute a Willenserklrung not only when it is expressed, but also when it is implied from conduct (schlssiges Verhalten).39 Silence (Schweigen) itself, however, does not, as a rule, suffice.40 If one of the two components is missing, there is no Willenserklrung. If the two components diverge from one another (von einander abweichen), the Willenserklrung is either challengable (anfechtbar) or void (nichtig).41 Validity of a Willenserklrung42 At what moment does a Willenserklrung become valid? The following rules apply: a Willenserklrung made to another person, who is absent, becomes effective from the moment of its communication/receipt (Zugang; 130(i));43 a Willenserklrung made to a person having no or only limited Geschftsfhigkeit is normally only valid if made to the persons statutory representative ( 131).
When a Willenserklrung requires to be received by another person it is referred to as being empfangsbedrftig. A nichtempfangsbedrftige Willenserklrung only has to be placed into circulation (abgegeben), eg, a will (Testament). Interpretation of a Willenserklrung44 The BGB proceeds on the assumption that a Willenserklrung should only be challengable (anfechtbar) by its maker in certain limited cases ( 119, 120 and 123) and that the upholding of a Willenserklrung (and consequent validity of the legal transaction) is desirable in the interests of legal certainty and clarity (Sicherheit und
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Klarheit des Rechtsverkehrs). (Beneficial) interpretation takes precedence over challengability (Auslegung geht Anfechtung vor).45 133 sets out the general principle that a Willenserklrung should not be interpreted literally, but in accordance with the real will (wirkliche Wille) of its author (natrliche Auslegung). Surrounding circumstances can be taken into account as means of interpretation, but only in so far as the interests of legal certainty and clarity allow. However, where a Willenserklrung is empfangsbedrftig (ie, whenever a contract is involved) the recipient can only go by what is recognisable to him (erkennbar). It is his point of view that requires protection and counts, if the meaning of a Willenserklrung is disputed (Auslegung vom Empfngerhorizont). The aim is then the establishment of the objektiver Erklrungswert, ie, the Willenserklrung must be interpreted objectively (normative Auslegung).46 Always to be considered together with 133 is 157 BGB, which requires contracts to be interpreted in accordance with the principle of trust and good faith (Treu und Glauben) taking account of custom/common practice (die Verkehrssitte).47 Nullity and challengability of a Willenserklrung Even if a Willenserklrung is clear, it can be void by operation of law (nichtig) or challengable/voidable (anfechtbar) by its maker. One must always ask: are there any reasons for the nullity or challengability of the Willenserklrung? (Liegen Nichtigkeitsoder Anfechtungsgrnde vor?) The consequence of the challenge (Anfechtung) of a Willenserklrung is that the Willenserklrung is regarded as void from the start (von Anfang an nichtig; 142(i)).48 However, Anfechtbarkeit and Nichtigkeit are not the same: Anfechtung is a Gestaltungsrecht (formulation right), which must be exercised to be effective. Until then, the Willenserklrung is valid. If a Willenserklrung or Rechtsgeschft is nichtig, it never had any effect. A Willenserklrung is nichtig (void) in the following cases: incapacity (Geschftsunfhigkei: 105); if the necessary subsequent consent (Genehmigung) to a contract entered into by a minor is not forthcoming ( 108(i)); if the person making the Willenserklrung is conscious of one of the following circumstances:49 he has a mental reservation (geheimer Vorbehalt) about what he is declaring and the other party knows this ( 116);50 he is making the Willenserklrung with the agreement of the other party only for the sake of appearance (nur zum Schein) 117); the Willenserklrung is not meant seriously and he expects the other party to realise that ( 118).
In order to safeguard the interests of legal certainty and clarity, the Anfechtung (challenge) of a Willenserklrung is subject to various restrictions: a Willenserklrung can only be challenged on certain statutory grounds (Anfechtungsgrnde), which are:51
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mistake (Irrtum) : 119, distinguished by the BGB into three types: Inhaltsirrtum (mistake as to content/meaning), Erklrungsirrtum (mistake in the declaration itself) and (in 119 (ii)) Eigenschaftsirrtum (mistake as to a particularly important quality of the person or thing concerned); false transmission (falsche bermittlung) ( 120); fraudulent deceit (arglistige Tuschung) or illegal threat (widerrechtliche Drohung) of or to the person making the Willenserklrung: 123;52
the Anfechtung must be declared: 143(i); the Anfechtung must be exercised within a particular time limit (Anfechtungsfrist): 121(i) and 124(i). In the case of 119 and 120, this must be forthwith (unverzglich), ie, without blameworthy delay (ohne schuldhaftes Zgern) and in the case of 123, within a year; the bona fide recipient of a Willenserklrung challenged under 119 or 120 is entitled to compensation for the damage suffered in reliance on the validity of the declaration ( 122).
Form and nullity of a Rechtsgeschft The basic rule is that, unless otherwise required or agreed, neither a Willenserklrung nor a Rechtsgeschft require a particular form: the principle of Formfreiheit (freedom of form).53 This said, the BGB distinguishes various forms for a Rechtsgeschft:54 writing as prescribed by statute (gesetzliche Schriftform; 126); writing as desired by the parties to the Rechtsgeschft (gewillkrte Schriftform ; 127); notarial documentation (notarielle Beurkundung; 128); public certification (ffentliche Beglaubigung; 129).55
A Rechtsgeschft is nichtig (void) if it lacks the necessary statutory form ( 125, 1st sentence);56 if it is itself the object of a statutory prohibition (gesetzliches Verbot) and contravenes it ( 134);57 if it is sittenundrig, ie, breaches good morals (gute Sitten: 138(i)).58 (c) Title 3 ( 145157 BGB) The term Einigung If two or more Willenserklrungen correspond (bereinstimmen), the parties are said to have reached a consensus or agreement (Einigung).59 The conclusion of a contract (Vertrag) usually depends on an Einigung (this is clear from 154 and 155).60 An Einigung can be achieved by mere joint statement or, more commonly, by exchange of offer (Angebot) and acceptance (Annahme). It is this means of reaching an Einigung that is dealt with in 145157.61
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145157 only handle the question of how an Einigung is reached by offer and acceptance (the question of formation). They do not deal with the questions of the content (Inhalt), form or legal consequences (Rechtsfolgen) of an Einigung, ie: on what points must the Willenserklrungen of the parties correspond?; does the Einigung require a particular form?; what duties (Pflichten) result?
The particular provisions of each area of law (contract, property, family, succession, company) contain the replies to these questions.62 Rules governing offer and acceptance63 It is an unwritten rule that the content of an offer (Angebot)64ie, the essential contractual points (essentialia negotii)must be sufficiently specific (hinreichend bestimmt) or at least capable of specification (bestimmbar)65 Moreover, an offer must indicate an intention to be legally binding (rechtlich verbindlich).66 By 145, an offeror is bound to his offer67 unless, as is commonly done, he excludes his liability by such phrases as freibleibend (subject to availability) or ohne Obligo (without obligation). An offer expires (erlischt) if it is refused (abgelehnt). If, however, it is desired to accept an offer, the acceptance (Annahme)68 must (a) usually be declared in some form; and (b) reach the offeror in time (rechtzeitig; 146), ie, immediately (sofort) where both parties are present or within such a period as the offeror can expect under normal circumstances (unter regelmigen Umstnden) or as he may specify ( 147 and 148). If the acceptance is delayed (versptet) or contains additions, restrictions or other amendments (Erweiterungen, Einschrnkungen oder sonstige nderungen), it is deemed to be a new offer (in the latter case, together with a refusal of the original offer) from the accepting party ( 150).69 Exceptionally, it is possible for a contract to be concluded without an acceptance being declared, if such a declaration is not customarily to be expected (nach der Verkehrssitte nicht zu erwarten, eg, booking of an hotel room) or is waived by the offeror ( 151)70 However, some form of acceptance is always required and silence or inaction (Schweigen; Nichtstun) does not suffice, unless: it is agreed upon between the parties as having the effect of an acceptance; or the person to whom the offer is made is a businessman (Kaufmann), in which case he must, in certain circumstances, reply forthwith (unverzglich) if he is not to be bound.71
Failure to reach an Einigung The BGB contains two difficult provisions ( 154 and 155) dealing with so-called Einigungsmngel (Dissens), ie, the situation where the parties do not reach a fully matching consensus (Einigung).72
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When considering 154 and 155, one must bear in mind that a contract (Vertrag) can contain both: wesentliche Bestandteile (essential components; essentialia negotii): if the parties fail to reach agreement on points essential to the particular contract, their relationship is one of Total-dissens (total disagreement) 154 and 155 do not refer to this situation; and Nebenpunkte (accessory points), ie, those points on which, in accordance with the declared will of at least one party, an Einigung is necessary. Here, 154 and 155 lay down certain rules of interpretation (Auslegungsregel) in the event of doubt (im Zweifel, ie, where the situation cannot be clarified): if an Einigungsmangel is offen (open), ie, both parties are aware that the outstanding point(s) still require(s) to be agreed, the contract is deemed not to have been concluded: 154; if an Einigungsmangel is versteckt (hidden), ie, the parties conclude a contract unaware that the outstanding point(s) is or are still outstanding, the parties are deemed to have agreed the contract as it stands, so far as can be assumed that the contract would also have been concluded without agreement on the outstanding point(s): 155.
The situation which 155 has in mind is that where the wording in an agreement is objectively ambiguous and each of the parties attaches a different meaning to it (hidden dissent). It is to be distinguished from the situation where the parties merely use a false description of an item and in fact mean the same thing (falsa demonstratio (non nocet)).73 (d) Title 4 ( 158163 BGB) The term Bedingung (condition) as contained in 158163 is used solely in the sense of a future uncertain event (zuknftiges ungewisses Ereignis).74 A Bedingung can be either aufschiebend (suspensive) or auflsend (resolutive) in effect.75 The conditions (terms) contained in a contract (Vertrags- or (Allgemeine) Geschftsbedingungen)76 or laid down by law (Rechtsbedingungen) are not Bedingungen in the sense of 158163. Also to be distinguished is the term Zeitbestimmung (time provision: 163), which refers to the specification of a date or time for the start or end of a Rechtsgeschft. The prime example of a suspensive condition is purchase under reservation of title (Eigentumsvorbehalt), where the purchaser only becomes owner on condition of full payment of the purchase price. Until then, he has a so-called Anwartschaftsrecht (right of expectancy)77 and is protected against hindering acts by the other party (vendor): if in the meantime the other party frustrates or impairs his future right by his (the other partys) Verschulden (fault), he can claim damages ( 160); if the other party undertakes a Verfgung over the item in the meantime (eg, purports to transfer title again to someone else), the Verfgung has no effect against him ( 161);78
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and if in bad faith (wider Treu und Glauben) the other party prevents the condition coming into effect, it is deemed to have come into effect ( 162). (e) Standard business terms (AGB)79 Introduction The fact that the norms of the law of obligations are largely dispositive80 does not mean that contracting parties are free to ignore them whenever they please. The risk of abuse of unlimited freedom of contract is particularly acute when there is inequality of bargaining power (Machtungleichgewicht) and the weaker party to a contract is open to exploitation (Ausnutzung). In Germany at the start of the 20th century, case-law was directed against abuses of freedom of contract in the form of monopolies. At first, the Imperial Court (Reichsgericht) used 138 BGB as its benchmark, but the Federal Supreme Court (BGH) later replaced this means of control with the concept of trust and good faith (Treu und Glauben) under 242 BGB. However, it gradually became clear that, despite the formulation of case-law principles in individual cases, statutory intervention was necessary to protect the position of the consumer (Verbraucher) in the face of sophisticate, small print (Kleingedrucktes). Codification was also desirable in the interests of legal certainty. Today, therefore, standard business terms are regulated by the AGBG (Gesetz zur Regelung des Rechts der Allgemeinen Geschftsbedingungen) of 9.12.1976, in force since 1.4.1977. The principal provisions of the AGBG are divided into a substantive part ( 111), a paragraph dealing with contracts subject to foreign law ( 12), paragraphs enabling certain organisations to seek restraint and/or withdrawal of terms, which infringe the AGBGs system of control ( 911), and setting out the relevant procedure ( 13 22), and two paragraphs laying down substantive and personal exceptions from the scope of the AGBG ( 2324). Definitions By l(i), 1st sentence AGBG, standard business terms (allgemeine Geschftsbedingungen (AGB)) are defined as contract terms (Vertragsbedingungen), which are formulated in advance (vorformuliert) for numerous contracts and which one party presents to the other (stellt) when the contract is entered into; for example, the common situation where the contract is to be concluded using a standard, preprinted, stereotyped form (Formularvertrag). The extent of the relevant clause is irrelevant: l(i), 2nd sentence AGBG.81 Excluded from the ambit of standard business terms within the meaning of the AGBG are terms, which are individually negotiated by the parties (im einzelnen ausgehandelt): l(ii) AGBG. An individually negotiated agreement (Individualabrede) is the opposite of a unilaterally-imposed Formularvertrag; it can be concluded before or after the contract, orally or in writing and can be express or implied.82
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An Individualabrede takes precedence over standard business terms: 4 AGBG. Thus, for example, clauses requiring amendments to be made in writing (Schriftformklauseln) are permissible, but can be overriden by an inconsistent oral arrangement.83 Incorporation For AGB to be binding, they must be made part of the contract (Bestandteil des Vertrages), whether in the contract document itself or separately. By 2 AGBG, incorporation of AGB into a contract has three requirements: (i) at the moment of conclusion of the contract (bei Vertragsabschluss), attention must be drawn to the AGB in clear fashion by the party wishing to use them (the Verwender), ie, there must be an express reference (ausdrcklicher Hinweis) to the AGB, or, if this involves disproportionate difficulties, a dearly visible notice (Aushang) at the place of contracting; (ii) at the same moment, the user must provide the other party with the opportunity to acquaint himself with the content of the AGB in an acceptable manner (in zumutbarer Weise); and (iii) the other party must agree to the application of the AGB. Actual agreement (Einverstndnis) is necessary and not mere submission (Unterwerfung).84 Interpretation A common criticism of standard business terms is that they are frequently opaque (undurchsichtig) and involved (unbersichtlich). One of the main aims of the AGBG is, therefore, the production of clear business terms (Transparenzgebot). This purpose could be wrecked, if, when using standard terms, persons were able to take their business partners by surprise (berrumpeln) and insert provisions that would normally not be expected in the relevant circles (beteiligte Personenkreise). For this reason, surprising clauses (berraschende Klauseln) do not become part of the contract: 3 AGBG. A surprising clause is one, which, according to the circumstances, is so unusual (ungewhnlich) that the other contracting party does not have to reckon with it (nicht zu rechnen braucht). Whether a clause is surprising in this sense must, generally, be assessed objectively from the viewpoint of the average customer (Durchschnittskunde). However, the individual circumstances can affect the position, eg, if a third party believes he is providing security for a particular loan, but does not realise that the relevant clause contains an extension of his liability (Erweiterung der Haftung) to all other future claims (alle sonstige zuknftige Forderungen).85 Thus, in contrast to the rules of interpretation for individually negotiated agreements ( 133,157 BGB), the AGBG proceeds on the basis that standard business terms should be interpreted objectively, according to the understanding of a typical, innocent contractual partner. If a clause still remains ambiguous (mehrdeutig) or there are doubts (Zweifel), it must be interpreted narrowly against its user (contra proferentem; 5
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AGBG), ie, in a legal action brought by an individual, the term should be given a meaning favourable to the customer (kundenfreundlich). Invalidity Contrary to the normal rule in 139 BGB, 6(i) AGBG provides that the validity of the rest of a contract is not affected, if a standard business term is not (fully or partially) incorporated into the contract or is (fully or partially) ineffective (unwirksam). Whether the term is ineffective because of the AGBG or on other grounds ( 134, 138 BGB) is irrelevant. Any resulting gaps in the contract (Lcken) must be filled by the dispositive law ( 6(ii) AGBG) or, in the absence of specific statutory provisions, by supplementary interpretation (ergnzende Auslegung). However, if terms, as drafted, contravene the AGBG, they cannot be reduced to their essentially valid core (Verbot der geltungserhaltenden Reduktion). Moreover, saving clauses (salvatorische Klauseln), which merely attempt to replace ineffective terms by such other provisions as are legally permissible, are not sufficient. Exceptionally, the contract is completely void, if, despite any amendments, insistence on its validity would represent an unacceptable hardship (unzumutbare Hrte) for one of the parties: 6(iii) AGBG. Scope The AGBG does not apply to contracts in the fields of employment law, family law, the law of succession and company law: 23(i) AGBG. Further specific exceptions are contained in 23(ii) AGBG, eg, the conditions of carriage (Befrderungsbedingungen) for passengers on buses or trams need not comply with the requirements of 2. Contracts of public law (ffentlich-rechtliche Vertrge) are subject to the AGBG, as are terms in contracts offering public services in private law form. However, bye-laws (Satzungen) and other conditions or tariffs having normative character are excluded. More importantly, by 24, 1st sentence AGBG, certain provisions of the AGBG ( 2, 10, 11 and 12) do not apply vis vis a businessman (Kaufmann), if a contract is entered into by him for the purposes of his business (not private purposes!), ie, the contract belongs to the businessmans trading activities ( 343 HGB). However, by 24, 2nd sentence AGBG, in such cases, contract terms falling under 10 and 11 AGBG can still be invalid on the basis of 9 AGBG, although this, in turn, is qualified by the requirement that account must be taken of commercial customs and usages ( 346 HGB). Where a private consumer in Germany is involved, 12 AGBG extends the scope of the AGBG to contracts with a foreign element. 12 states that, even if a contract is governed by foreign law, account is to be taken of the provisions of the AGBG if: 1 2 the contract is concluded on the basis of a public offer, public advertising or a similar business activity by the user in Germany; and the other party has his domicile or usual residence in Germany at the time his contractual declaration is made.
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Statutory control 911 AGBG constitute a special statutory system of control of the content of standard business terms (Inhaltskontrolle). The freedom of the user (Verwender) to design a contract as he pleases (Gestaltungsfreiheit) is thereby significantly restricted. The aim of 911 AGBG is to protect the other party to a contract against being unfairly prejudiced by standard business terms. The method adopted by the AGBG is to go from the general ( 9) to the specific ( 1011), although, in practice, 1011 are examined first, since 9 is a mopping-up provision (Auffangtatbestand), which usually only comes into play on a subsidiary basis (at any rate where the other contract party is not a businessman (note 24)).86 Thus, 9 lays down a general principle (bench-mark) for establishing the propriety of standard business terms, while 10 and 11 comprises a non-exhaustive catalogue of typical clauses at particular risk of prohibition. The clauses listed in 11 are prohibited outright, while those in 10 are open to evaluation (Wertung) on the basis of the rule in 9. 9(i) AGBG provides that standard business terms are of no effect (unwirksam), if, contrary to the requirements of trust and good faith (Treu und Glauben), they constitute an inappropriate disadvantage (unangemessene Benachteiligung) of the other party to a contract by the user. What amounts to an inappropriate disadvantage? 9(ii) AGBG states that, in the event of doubt, an inappropriate disadvantage can be (rebuttably) presumed, if a term either: 1 2 is not compatible with the essential principles (wesentliche Grundgedanken) of the legal provisions, from which it diverges; or so restricts essential rights or obligations arising from the nature of the contract that the achievement of the purpose of the contract (Erreichung des Vertragszwecks) is endangered.
9 AGBG requires a comprehensive balancing of the parties respective interests (Interessenabwgung) and, to that end, concretises certain criteria by way of example in subsection 9(ii), Nos 1 and 2. Under No 1, the question is: is the relevant term out of line with important (written or unwritten) legal principles? The test in No 2, on the other hand, involves an examination of the typical object of the contract (Vertragsgegenstand) and extends to contracts without a statutory model (Leitbild). In particular, under 9(ii), No 2 AGBG, it is not permissible for the user of standard business terms to erode (aushhlen) significant rights or cardinal duties (Kardinalpflichten), such as are indispensible (unentbehrlich) to implementation of the contract (Durchfhrung des Vertrages), eg, by using a clause excluding liability for breaches of contract or negligence (Freizeichnungsklausel).87 The individual treatment of standard business terms in particular types of contract under 9 AGBG is the subject of a vast case-law, which is usually set out alphabetically in the German commentaries. 911 AGBG only apply to standard business terms, which diverge from or supplement legal provisions: 8 AGBG. They are not directed at rectifying imbalances
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in the price/performance ratio (Preis-/Leistungsverhltnis), ie, the adequacy of the consideration for a particular transaction. In particular, provisions which merely declare the statutory position (declaratory clauses), which give a description of the main object of performance required by a contract (Leistungsbeschrebung) or which lay down the price are not subject to control. (Compare, however, terms which modify ancillary obligations (Nebenpflichten) or collateral agreements concerning the price (Preisnebenabreden), eg, conditions of payment (Zahlungsbedingungen).) So far as they apply, 911 AGBG take priority over, but do not oust, other statutory provisions, which may give grounds for nullifying contract terms (eg, 134, 138, 242 BGB). Group remedies 1321 AGBG provide additional protection for consumers against standard business terms, which are ineffective under 911 AGBG. Thus, by 13 AGBG, certain associations (Verbnde) and chambers (Kammern) ie, consumer associations (Verbraucherverbnde), chambers of commerce and industry (Industrie und Handelskammern) and handicraft chambers (Handwerkskammern)are given power to bring actions in their own right claiming restraint/stoppage (Unterlassung) of the use of ineffective terms and, in the case of a recommendation to use such terms, withdrawal (Widerruf) of the recommendation. The period for the making of claims is two years from knowledge of use or recommendation or, in the absence of such knowledge, four years from the date the relevant term was used or recommended: 13(iv) AGBG. The effect of a court judgment under 13 AGBG ordering stoppage (Unterlassungsurteil) is extended by 21 AGBG. Although, normally, such a judgment does not prevent the user of the relevant standard business term from using it again in a subsequent contract (Folgevertrag), the term is ineffective to the extent that the new contracting party specifically relies on the judgment (by way of defence in a later individual action): 21, 1st sentence AGBG. However, this does not apply, if the user could bring an action against the judgment under 19 AGBG (on the ground of divergence from a subsequent decision of the BGH or the Joint Senate of the Supreme Federal Courts): 21, 2nd sentence AGBG. The Federal Cartel Office (Bundeskartellamt) keeps a register of actions under 13 and 19 AGBG: 20 AGBG. Analogously to 13 AGBG, 22 AGBG gives various organisations a wide power to restrain infringements of statutory provisions serving the protection of consumers (eg, the HaustrWG, VerbrKrG, FernAbsG and 651 a1 BGB (travel contracts)). 3 The Rest of the Allgemeiner Teil ( 186240 BGB) (Sections 47)88 The remaining Sections of the Allgemeiner Teil are as follows: Section 4. Fristen (time limits). Termine (dates): 186193.
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A Termin is a definite date or point in time (Zeitpunkt), while a Frist is a limited period of time, which can be set by statute, by the court or by the parties to a Rechtsgeschft. 187193 BGB contain general rules of interpretation for the calculation of time periods and for the assessment of certain dates. Fristen are distinguished according to whether a failure to observe them results in the relevant right being destroyed or precludedso-called Ausschlufristenor results in realisation of the right being prevented due to limitation (Verjhrungsfristen). Procedural time periods usually fall within the former category.89 If a procedural time limit is missed (versumt), the remedy is an application for reinstitution of the previous position (Wiedereinsetzung in den vorigen Stand).90 Even before expiry of a time limit, a right can be considered forfeited (verwirkt), if, in the circumstances, its exercise would infringe 242 BGB.91 Section 5. Verjhrung (limitation): 194225 (see Expos). Section 6. Ausbung der Rechte (exercise of rights). Selbstverteidigung (self-defence). Selbsthilfe (self-help): 226231. Section 7. Sicherheitsleistung (provision of (suitable forms of) security): 232240. 4 Expos: Verjhrung ( 194225 BGB) (Section 5) 92 (a) By 194(i) BGB an Anspruch (claim) is subject to Verjhrung (limitation). Certain claims are, however, not so subject and are unverjhrbar, eg, those relating to the land register ( 898, 902). Verjhrung constitutes a Leistungsverweigerungsrecht, ie, gives the debtor the right to decline performance ( 222(i)). However, if the debtor wishes to rely on it in proceedings, it must be raised by him, ie, it is a so-called Einrede and not an Einwendung (which the court takes into account of its own accord).93 (b) The actual limitation periods (Verjhrungsfristen) are set out in 195197 BGB. By 195 the normal Verjhrungsfrist is 30 years (three years from 1.1.2002). 196197 lay down a short limitation period (kurze Verjhrung) for certain claims. Thus, by 196(i) No 1, a two year limitation period applies to claims of Kaufleute (businessmen), Fabrikanten (manufacturers) and Handwerker (manual workers) concerning delivery of goods (Waren) and carrying out of work (Arbeiten) or other persons business (fremde Geschfte), unless with regard to the business of the recipient (in which case a four year period applies: 196(ii)). Other persons whose claims are subject to the two year limitation period include freight and shipping companies ( 196(i) No 3), innkeepers (No 4), private employees (No 8), doctors, dentists and lawyers (Nos 14 and 15). Outstanding amounts of interest, rent, and pensions become statute-barred after four years ( 197).
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The normal limitation period of 30 years begins when the Anspruch arises ( 198, 1st sentence). The kurze Verjhrung of two or four years begins with the end of the year in which the Anspruch arises ( 201, 1st sentence). Once a claim has been (finally) legally established (eg, in an Urteil (judgment) or vollstreckbare Urkunde (enforceable document)), it becomes statute-barred in 30 years, even if the actual limitation period is shorter ( 218(i)). (c) Other important limitation periods contained in the BGB are as follows: in the case of a contract of sale (Kaufvertrag) of movables, six months from delivery (Ablieferung), provided that the relevant fault was not fraudulently concealed (arglistig verschwiegen): 477(i) BGB;94 in the case of a rental agreement (Mietvertrag),95 six months from: (i) return of the item rented, in respect of claims by the lessor for compensation for alterations or deterioration; (ii) the end of the rental agreement, in respect of claims by the lessee for compensation for expenditure (under 547 BGB) or removal of fittings (under 547a BGB): 558 BGB; in the case of a contract for services (Werkvertrag), six months from acceptance (Abnahme), provided that the relevant fault was not fraudulently concealed: 638(i) BGB.
Where the Werkvertrag involves a piece of land or a building, the period is extended to one year and five years (from acceptance) respectively: in the case of a tort (unerlaubte Handlung), three years from knowledge of the damage and the identity of the tortfeasor, otherwise 30 years from the time the damaging act was committed: 852(i) BGB;96 in the case of a claim to a compulsory portion of an estate (Pflichtteil), three years from the time the claimant acquires knowledge of the Erbfall (the event entitling him or her to inherit, ie, the testators death: 1922(i) BGB) and of the relevant impairing transaction (beeintrchtigende Verfgung)eg, a will containing a disinheritance (Enterbung)otherwise 30 years from the occurrence of the entitling event: 2332(i) BGB.97
(d) In certain cases, Verjhrung is temporarily suspended/prevented from running (gehemmt), eg, where a creditor grants a respite (Stundung),98 during marriage in the case of claims between spouses or where faulty work carried out under a Werkvertrag (contract for services) needs to be rectified ( 202207 and 639(ii)). Alternatively, Verjhrung can be interrupted (unterbrochen), eg, by the debtors acknowledgement of debt (Anerkenntnis), by the issue of a writ (Klage) or service of a default notice (Mahnbescheid), by a claim of set-off (Aufrechnung) or issue of a 3rd party notice (Streitverkndung) in proceedings or by acts of enforcement (Vollstreckungshandlungen): 208216. The effect of such an interruption (Unterbrechung) is that the period up to it is not taken into account and that after it ends a (full) new Verjhrung begins: 217.
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(e) A debtor who satisfies an Anspruch, which has become statute-barred, has no right of reclaim, even if he did not know of the Verjhrung ( 222(ii)). However, the Verjhrung of an Anspruch does not prevent a mortgagee or chargee from enforcing his mortgage or charge ( 223(i)). Whilst by agreement a limitation period can be shortened,99 Verjhrung cannot be excluded or rendered more difficult ( 225). C BOOK II: THE LAW OF OBLIGATIONS ( 241853 BGB) 1 Introduction Book II of the BGB is entitled Recht der Schuldverhltnisse (law of obligations). It consists of seven Sections, which are traditionally divided into a general part (Allgemeiner Teil (AT): Sections 16, 241432) and a special part (Besonderer Teil (BT): Section 7, 433353). The general part sets out, for example, the principles governing the content, disturbance and termination of contracts, damages and assignment, while the special part sets out in 25 Titles provisions regarding various individual types of contract which apply in the absence of contrary agreementand statutory obligations. 2 Points to Note It is important to understand the following: 1 2 The main example of a rechtsgeschftliches Schuldverhltnis (obligation (relationship) arising from a legal transaction) is the Vertrag (agreement or contract).101 German law distinguishes rigidly between the law of obligations (Schuldrecht) and the law of property (Sachenrecht). By means of the abstraction principle (Abstraktionsgrundsatz), the Verpflichtung (obligation) of a Rechtssubjekt (legal subject or person) is strictly separated from his Verfgung (disposition), ie, his transfer, release, burdening or variation of a (subjective) right (bertragung, Aufhebung, Belastung oder nderung eines Rechtes). Both are Rechtsgeschfte, but are independent of each other.102 The sale of a book, for example, requires not only an obligatory contract, but also the transfer of ownership (bereignung). Only when the latter (abstract) transaction is concluded, is the former performed (erfllt).103 By 433(i), 1st sentence BGB the contract of sale (Kaufvertrag) of a Sache obliges the vendor to do two things: (a) transfer physical possession of (ie, hand over) the Sache=bergabe; and (b) ensure that Eigentum (ownership) over the Sache passes to the purchaser = Verschaffung von Eigentum. The Kaufvertrag itself merely creates a Verpflichtung (obligation). The actual transfer of ownership (the bereignung (a Verfgung)) is dealt with separately in Book III of the BGB according to whether movables ( 929984) or immovables ( 873 and 925928) are concerned.104
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100
In this connection, it is vital to understand the construction of the BGB and its norms (the Gesetzesaufbau): whether or not a valid Rechtsgeschft (eg, a Kaufvertrag) has been concluded is the domain of the Allgemeiner Teil (Book I), which supplements the rest of the BGB and deals with general questions first (such matters are said to be vor die Klammer gezogen (drawn before the clasp); the usual pattern of German legal norms is that, first, the content (Tatbestand) of the norma particular Vomussetzung ((pre)condition; in 433(i), 1st sentence the existence of a Kaufvertrag)is stated and, second, a particular legal consequence (Rechtsfolge; in 433(i), 1st sentence the Verpflichtung of the vendor) is laid down.105 3 Schuldverhltnisse (obligations) can arise either from (aus) a Rechtsgeschft (socalled rechtsgeschftliche Schuldverhltnisse, eg, Vertrag)106 or from statute. Examples of statutory obligations (gesetzliche Schuldverhltnisse) are torts (unerlaubte Handlungen)107 and unjust enrichment (ungerechtfertigte Bereicherung).108
3 Sections 1-7 109 (a) Section 1 ( 241304 BGB)110 Section 1 of Book II ( 241304) deals with the Inhalt (content) of Schuldverhltnisse (obligations) and is divided into two Titles: Title 1: Verpflichtung zur Leistung (duty (of the Schuldner (debtor/obligor)) to perform): 241292. The term Leistung has no equivalent usage in English. In German legal speech it expresses the content of a Schuldverhltnis (obligation), ie, what is owed. A Schuldverhltnis gives rise to a Leistungsverpflichtung or -pflicht (duty of performance) on the part of a Schuldner.111 The counterpart of the Leistung(-spflicht) owed by the Schuldner is the right or entitlement (das Recht/die Berechtigung) of the Glubiger (creditor/obligee) to demand (fordern) it/performance ( 241). This right is, accordingly, referred to as a (schuldrechtliche) Forderung ((contractual) claim or demand). If the Glubiger himself owes a reciprocal Leistung, it is referred to as a Gegenleistung (counter-performance), eg, the price payable by a purchaser.112 When using the term Leistung it should be borne in mind that it can be used to mean both the performance (result) owed by the Schuldnerthe Leistungserfolgand the act/conduct (Verhalten) or omission (Unterlassen) due from him (the Leistungshandlung). The Leistung referred to in 241 BGB is the Leistungshandlung .113 Moreover, there is a basic difference in legal meaning between the term Leistung and the term Erfllung ( 362(i)), both of which can be translated as performance. When the BGB refers to Erfllung it has the technical meaning of the (proper) fulfilment (performance) by the Schuldner of his Leistungspflicht,114 as a result of which the individual claim (Anspruch) of the Glubiger against the Schuldner is extinguished.115 Title 2: Verzug des Glubigers (delay of the creditor/obligee): 293304.
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Arrangement of Titles 1 and 2 241304 can be arranged into the following groups: Title 1 241242: Leistungspflicht (duty of performance) 243245: Leistungsgegenstand (object of performance) 243: Gattungsschuld (generic debt)116 244245 Geldschuld (money debt)117 246248: Zinsen (interest (on the debt)) 249255: Schadensersatz (damages)118 249: 250: 251: 252: 253: 254: 255: Art und Umfang des Schadensersatzes (type and extent of damages) Schadensersatz in Geld nach Fristsetzung (damages in money after setting a time limit) Schadensersatz in Geld ohne Fristsetzung (damages in money without setting a time limit) Entgangener Gewinn (lost profit) Immaterieller Schaden (non-financial loss)119 Mitverschulden (contributory fault (on the part of the injured party))120 Abtretung der Ersatzansprche (assignment of compensation claims)
256257: Aufwendungsersatz (compensation for expenditure)121 258: Wegnahmerecht (bei Herausgabepflicht) (right of removal (from a thing which has to be returned)) 259261: Auskunftspflicht (duty of information) 262265: Wahlschuld (selectable (alternative) debt)122 266: Teilleistungen (partial performance)123 267268: Leistung durch Dritte (performance by a third party) 269270: Leistungsort; Zahlungsort (place of performance; place of payment) 271272: Leistungszeit (time of performance)124 273274: Zurckbehaltungsrecht (right of retention (withholding))125 275283: Leistungsstrungen (disturbances in performance)126 284290:Verzug des Schuldners (delay on the part of the debtor) 284285:Voraussetzungen (preconditions)127 286290:Rechtsfolgen (legal consequences) replacement of damage resulting from delay (Verzugsschaden): 286 extended liability during delay (erweiterte Haftung): 287 interest during delay (Verzugszinsen): 288290128
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291292:Lage des Schuldners nach Rechtshngigkeit (position of the debtor once a matter is sub judice) Title 2 293304:Verzug des Glubigers (delay on the part of the creditor) 293299:Voraussetzungen (preconditions) 300304:Rechtsfolgen (legal consequences)129 (b) Section 2 ( 305361 BGB)130 Section 2 of Book II ( 305361) deals with obligations arising out of Vertrge (contracts) (ie, so-called rechtsgeschftliche Schuldverhltnisse) and is divided into five Titles: Title 1: Title 2: Title 3: Title 4: Title 5: Begrndung (establishment (of a rechtsgeschftliche obligation by means of a Vertrag); Inhalt ((content) of the Vertrag): 305319. Gegenseitiger Vertrag (reciprocal/synallagmatic contract): 320327.131 Versprechen der Leistung an einen Dritten (promise of performance for the benefit of a third party): 328335. Draufgabe (bonus); Vertragsstrafe (contractual penalty): 336345. Rcktritt (rescission): 346361.
Arrangement of Titles 15 305361 can be arranged into the following groups: Title 1 305: Begrndung (establishment)132 306307: Anfngliche Unmglichkeit; Ersatz des Vertrauensschadens (initial (objective) impossibility; compensation for damage suffered due to reliance on the validity of the contract) 308: Vorbergehende Unmglichkeit (temporary impossibility) 309: Gesetzwidriger Vertrag ((corresponding application of 307308 to a) contract contrary to statute) 310312: Vertrge ber knftiges oder gegenwrtiges Vermgen oder ber den Nachla eines lebenden Dritten (contracts regarding future or present assets or the estate of a living third party) 313: Form der Verpflichtung zur Veruerung oder zum Erwerb eines Grundstcks (form of an agreement for the sale or purchase of a piece of land) 314: Erstreckung auf Zubehr (extension (of a contract) to accessories) 315316: Bestimmung der Leistung (Gegenleistung) durch eine Partei (specification of performance (or counter-performance) by one party)133 317319: Bestimmung der Leistung durch einen Dritten (specification of performance by a third party)
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Title 2 Einrede des nichterfllten Vertrags (objection to (right to decline) performance until counter-performance is effected) 321: Vermgensverschlechterung (right to decline performance where an obligation to perform in advance (Vorleistungspflicht) exists and there is a deterioration in the other partys assets) 322: Folgen der Einrede (procedural consequences of the objection; judgment Zug um Zug (one against the other)) 323325: Nachtrgliche Unmglichkeit (subsequent impossibilityeffect on the Gegenleistung; position of the other party) 326: Verzug; Fristsetzung mit Ablehnungsandrohung (delay; setting of a time limit with threat of rejection) 327: Anwendbarkeit der 346356 beim gesetzlichen Rcktritt (application of 346356 to the statutory right of rescission)134 Title 3 328: 329332: 329: 330: 331: 332: Vertrag zugunsten Dritter (contract for the benefit of a third party)135 Auslegungsregel (rules of interpretation) Erfllungsbernahme ((internal) promise of performance)136 Lebensversicherungsvertrag (life insurance contract) Leistung nach Todesfall (performance after death of the promisee) nderung durch Verfgung von Todes wegen bei Vorbehalt (substitution of the third party by the promisee is also possible in a Verfgung von Todes wegen, if the right is reserved) Zurckweisung des Rechts durch den Dritten (rejection of the right by the third party) Einwendungen des Schuldners (objections by the promisor (debtor)) Forderungsrecht des Versprechensempfnger (right of the promisee to demand performance (to the third party)) 320:
333335: Miscellaneous 333: 334: 335: Title 4 336338: Draufgabe (bonus) 339345: Vertragsstrafe (contractual penalty)137 Title 5 346361:apply directly only in the case of a right of rescission (termination/ withdrawal) being reserved in a contract (Rcktrittsvorbehalt) eg, in conjunction with a reservation of title ( 455 BGB). However, their main importance is their corresponding application (entsprechende Anwendung) to statutory rights of rescission ( 327, 440(i), 467, 634(iv); also 280(ii), 286(ii)).138
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346349: Wirkung; Haftung; Erklrung (effect of rescission; liability; requirement of an Erklrung (declaration)) 350353: Ausschlu des Rcktritts (exclusion of rescission) 354355: Fristsetzung fr Rckgewhr; Fristsetzung fr die Ausbung des Rcktrittsrechts (setting of a time limit for return of the relevant item; setting of a time limit for the exercise of the right of rescission) 356: Mehrere Beteiligte (exercise of the right of rescission by or against several persons) 357361: Rcktritt in besonderen Lagen (rescission in special situations): 357358: 359: 360: 361: (wegen Nichterfllung (for non-performance)) (gegen Reugeld (on payment)) (Verwirkungsklausel (in the case of a forfeiture clause)) (in the case of a Fixgeschft (a (relative) time-related transaction).
361 BGB is a special provision enabling a Glubiger (obligee) to rescind where a gegenseitiger Vertrag (reciprocal contract) is involved, according to which performance is to take place exactly (genau) at a certain time (zu einer fest bestimmten Zeit) or within a certain period (innerhalb einer fest bestimmten Frisit). In other words, time is of the essence (von entscheidender Bedeutung). The area of operation of 361 BGB is limited to the narrow concept of the Fixgeschft (time-fixed transaction). It must be carefully distinguished from: (i) the situation where performance can (objectively) only take place at a particular time, ie, the transaction stands and falls (steht und fllt), if performance does not then take place. Later performance would be pointless (sinnlos). That is a case of (absolute) impossibility and 361 BGB does not apply; (ii) the (mere) specification of a date for performance (Flligkeitstermin). Of itself, that is not enough to establish a Fixgeschft. Rather, if the date is missed, it is a case of delay (Verzug); (iii) 326 BGB. Unlike 326 BGB, 361 gives no right to claim damages (Schadensersatz). However, 361 BGB does not require the setting of a deadline with a threat of rejection (Fristsetzung mit Ablehnungsandrohung) and a Glubiger can rescind under 361 BGB even if there is no blame (Verschulden) on the part of the Schuldner.139 Expos: particular issues regarding rescission (Rcktritt) Worthy of closer attention are the difficult provisions 347 and 351 BGB. The former deals with questions of liability in the event of rescission and the latter with one of the situationsdealt with in 350353 BGBin which the right of rescission is excluded, (a) By 347, 1st sentence BGB, in the event of rescission, claims for damages due to the deterioration, loss or other impossibility of return of the relevant item since the time of its receipt (von dem Empfange der Leistung an) are governed by the (strict) rules regarding the relationship between an Eigentmer (owner) and Besitzer (possessor), ie, by 987ff BGB.140
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351 BGB provides that rescission cannot be sought, if the claimant is to blame for a significant deterioration, the loss or other impossibility of return of (a large part of) the item received. When considering 347 and 351 BGB, it must be borne in mind that complex distinctions are made, according to whether contractual or statutory rescission is involved and according to which party is due to return the item concerned (ie, either the person seeking to rescind or the opponent/other party (the Rcktrittsgegner)). Thus, while 347 BGB applies to both parties to a contractual rescission and to the liability of the Rcktrittsgegner (the party in default) in a statutory rescission, it is ousted in cases of statutory rescission by 327, 2nd sentence BGB with regard to the question of the liability of the (other) party, who is not to blame for the rescission (the innocent party). 327, 2nd sentence BGB is regarded as expressing a general principle that an innocent party is only liable under the unjust enrichment provisions ( 812ff BGB). The strict rules laid down in 987ff then do not apply. (b) Contractual and statutory rescission also have to be kept distinct for the purpose of the definition of blame (Verschulden) in 347 and 351. In cases of contractual rescission, 276 BGB applies, but when statutory rescission is concerned, Verschulden is understood in a wider, non-technical sense: failure to exercise the degree of care, to which one is accustomed in ones own affairs (die in eigenen Angelegenheiten gebotene Sorgfalt or diligentia quam in suis)so-called Verschulden gegen sich selbst (blame against oneself)is necessary (but also suffices). Moreover, while in cases of contractual rescission the question of knowledge (Kenntnis) of the grounds for rescission is not a relevant consideration, it is important when statutory rescission is involved, ie, were the relevant acts undertaken with knowledge of the right of rescission (the conduct is then blameworthy) or innocently? In the latter situation, the blameless rescinding party is not prevented from rescinding and is only liable under 812ff BGB. The reason for these differentiations in cases of statutory rescission lies in the fact that the parties reckon with rescission whenever it is provided for in their contractand have to bear the usual consequencesbut not when the right arises from statute. The issue of blame then becomes relevant. (c) The following points regarding the BGB rescission provisions should also be noted: 1 2 3 4 5 6 Sometimes other special mandatory statutory rules concerning rescission exist. They then take precedence over 346ff BGB. Rescission does not affect claims arising from PVV. 350353 BGB are dispositive, ie, they can be excluded by the parties. 350353 BGB relate only to the position of the person seeking to rescind, not the other party. 350353 BGB only apply before the right of rescission is exercised. The exercise of the right of rescission requires a declaration to the other party: 349 BGB. 350353 BGB presuppose that the changes (Vernderungen) which occur in the item received are significant (wesentlich).
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In the case of events subsequent to the declaration of rescission or changes which are insignificant, 347 BGBand not 350353 BGBapplies. 8 In the event of fortuitous loss, 350 BGB amends the usual position regarding carriage of risk ( 446, 447 BGB) in favour of the person claiming rescission. It is a controversial provision. 9 352 BGB excludes rescission, if the item involved is transformed (umgestaltet) into something else. 10 The principle underlying 351 and 352 BGB is that rescission should be excluded whenever the person seeking to exercise the right would thereby act contrary to his own previous conduct (venire contra factum proprium).141 (c) Section 3 ( 362397 BGB)
142
Section 3 of Book II ( 362397) deals with the Erlschen (extinction/discharge/ ending) of obligations and is divided into four Titles: Title 1: Title 2: Title 3: Title 4: Erfllung (fulfilment/performance): 362371.143 Hinterlegung (deposit): 372386. Aufrechnung (set-off): 387396. Erla (remission of debt): 397.
Arrangement of Titles 14 362397 deal with the Beendigung (ending) of Schuldverhltnisse (and thereby the extinction of the relevant Ansprche (claims)) by the Befriedigung (satisfaction) of the creditors interest in performance. Events which, broadly speaking, can also cause a Schuldverhltnis (or Anspruch) to end or which can cause a Rechtsgeschft to lose its effect are:144 Nichtigkeit (nullity (by operation of law));145 142(i): Anfechtung (challenge);46 Kndigung (termination by notice (for the future));147 158(ii): Eintritt einer auflsenden Bedingung (occurrence of a resolutive condition);148 163: Zeitablauf (lapse of time); 242: Verwirkung (forfeiture) or Wegfall der Geschftsgrundlage (collapse of the basis of the transaction (frustration));149 305: Aufhebungsvertrag (contrary agreement) or Novation (novation);150 275ff, 323ff: Leistungsstrung (disturbance in performance);151 346ff: Rcktritt (rescission).152
Titles 14 can be arranged into the following groups: Title 1Erfllung 362363: Wirkung (effect); Beweislast (burden of proof) 364365: Leistung an Erfllungs Statt (performance in lieu)
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366367: Anrechnung (credit) 368371: Pflichten des Glubigers (duties of the creditor) 368370: Quittung (receipt) 371: Rckgabe des Schuldscheins return of document confirming the debt) Title 2 Hinterlegung 153 372375: Voraussetzungen (preconditions); allgemeine Vorschriften (general conditions) 376377: Rcknahmerecht (right of reclaim) 378379: Wirkung der Hinterlegung (effect of deposit) 380382: Nachweis und Erlschen des Glubigerrechts; Kosten (proof and extinction of the creditors right; costs) 383386: Selbsthilfeverkauf durch Versteigerung; Kosten (self-help sale by auction; costs) Title 3 Aufrechnung154 387388: Voraussetzungen (preconditions); Erklrung (declaration) 389: Wirkung (effect) 390395: Ausschlu durch Gesetz (exclusion (by statute)) 396: Mehrere Forderungen (several claims) Title 4 Erla 397: Wirkung (effect) (d) Section 4 ( 398413 BGB) Section 4 of Book II ( 398413) deals with the bertragung (transfer) of a Forderung (claim) by means of a contract of Abtretung (assignment).155 398413 can be arranged into the following groups: 398: Begriff (definition); Wirkung (effect) 399400: Ausschlu (exclusion) 401: bergang von Neben- und Vorzugsrechte (transition of accompanying and preferential rights) 402403: Pflichten des (bisherigen) Glubigers (duties of the (previous) creditor) 404411: Schuldnerschutz (protection of the debtor) 412: Gesetzlicher Forderungsbergang (assignment by operation of law)156 413: bertragung anderer Rechte (transfer of other rights) (e) Section 5 ( 414419 BGB) Section 5 of Book II ( 414419) deals with Schuldbernahme (substitution).157 414419 can be arranged into the following groups: 414415: Vereinbarung des bernehmers entweder mit dem Glubiger oder mit dem Schuldner (agreement between the third party and either the creditor or the debtor)
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416: 417: 418: 419:
bernahme einer Hypothekenschuld (assumption of a mortgage debt) Einwendungen des bernehmers (objections by the third party) Erlschen von Sicherungs- und Vorzugsrechten (extinction of security and preferential rights) Vermgensbernahme (assumption of assets); Haftung des bernehmers (liability of the third party) (f) Section 6 ( 420432 BGB)
Section 6 of Book II ( 420432) is entitled Mehrheit von Schuldnern und Glubigern (multitude of debtors and creditors).158 420432 can be arranged into the following groups: 420: Teilbare Leistung (divisible performance) 421: Gesamtschuldner (joint debtors) 422425: Wirkung (effect) of Erfllung (performance); Erla (remission of debt); Glubigerverzug (delay on the part of the creditor); and anderer Tatsachen (other facts) for or against joint debtors 426: Innenverhltnis (internal relationship); Ausgleich (indemnity) 427: Auslegungsregel (rule of interpretation) in the case of a teilbaren Leistung (divisible performance) 428430: Gesamtglubiger (joint creditors) 431432: Unteilbare Leistung (indivisible performance); Mitglubiger (co-creditors) (g) Section 7 ( 433853 BGB)159 Section 7 of Book II ( 433853) deals with the typical individual Schuldverhltnisse (both rechtsgeschftliche and gesetzliche) and is arranged into 25 Titles as follows: Title 1: Title 2: Title 3: Title 4: Title 5: Title 6: Title 7: Title 8: Title 9: Title 10: Title 11: Title 12: Kauf (purchase); Tausch (exchange): 433515.160 Schenkung (gift): 516534.161 Miete (tenancy/lease); Pacht (commercial lease): 535597.162 Leihe (gratuitous loan): 598606.163 Darlehen (loan): 607610.164 Dienstvertrag (contract of service): 611630.165 Werkvertrag (contract for services); Reisevertrag (travel contract): 631651k.166 Maklervertrag ((civil) agency contract): 652656.167 Auslobung (public offer of reward): 657661.168 Auftrag ((gratuitous) contract of instruction, mandate): 662676.169 Geschftsfhrung ohne Auftrag (transaction (of a matter) without instruction): 677687.170 Verwahrung (deposit in custody): 688700.171
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Title 13: Title 14: Title 15: Title 16: Title 17: Title 18: Title 19: Title 20: Title 21: Title 22: Title 23: Title 24: Title 25:
Einbringung von Sachen bei Gastwirten (bringing in of things at a Gastwirtschaft (inn): 701704.172 Gesellschaft (company): 705740.173 Gemeinschaft (community): 741758.174 Leibrente (annuity, pension for life): 759761.175 Spiel (game); Wette (bet): 762764.176 Brgschaft (contract of surety): 765778.177 Vergleich (settlement): 779.178 Schuldversprechen (promise); Schuldanerkenntnis (acknowledgement of debt): 780782.179 Anweisung (documentary instruction): 783792.180 Schuldverschreibung auf den Inhaber (bearer bond): 793808a.181 Vorlegung von Sachen (presentation for inspection): 809811. Ungerechtfertigte Bereicherung (unjust enrichment): 812822.182 Unerlaubte Handlungen (torts): 823853.183
Arrangement of Titles 125 Arrangement of Title 1 433515 are arranged as follows: I Allgemeine Vorschriften (general provisions): 433458 Grundpflichten des Verkufers und Kufers (basic duties of vendor and purchaser)184 434: Gewhrleistung wegen Rechtsmngel (liability for legal faults (title))185 435436: Nicht bestehende Buchbelastungen; ffentliche Lasten bei Grundstcken (nonexistent registered charges; public charges over land) 437438: Verkauf einer Forderung oder sonstigen Rechtes (sale of a claim or other right) 439: Kenntnis des Kufers vom Rechtsmangel (the purchasers knowledge of a legal fault) 440441: Rechte des Kufers (rights of the purchaser) 442444: Beweislast fr Rechtsmngel; Ausschlu der Gewhrleistung (fr Rechtsmngel); Nebenpflichten des Verkufers (burden of proof of legal faults; exclusion of liability (for legal faults); the vendors (statutory) accessory duties) 445: hnliche Vertrge (similar contracts) 446447: bergang des Preisgefahrs; Nutzungen; Lasten (transition of (price) risk; benefit; burden)186 448450: Nebenpflichten des Kufers (the purchasers (statutory) accessory duties) 451: Entsprechende Anwendung von 446450 bei Rechtskauf (corresponding application of 446450 to the sale of a right to a thing)
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433:
452: Verzinsung des Kaufpreises (interest on the purchase price) 453: Marktpreis (market price) 454: Ausschlu des Rcktrittsrechts (exclusion of the right of rescission) 455: Eigentumsvorbehalt (retention of title)187 456458: Kaufverbote (forbidden purchases) II Gewhrleistung wegen Mngel der Sache (liability for faulty goods): 459493188 459: Haftung fr Sachmngel (liability for faulty goods)189 460: Kenntnis des Kufers (knowledge of the purchaser) 461: Pfandverkauf (sale on the basis of a lien: vendors liability) 462465: Rechtsfolgen (legal consequences) 466: Ausschlufrist fr Wandlung (exclusion period for rescission) 467: Anwendbare Vorschriften bei der Durchfhrung der Wandlung (provisions applicable to rescission)190 468471: Wandlung in besonderen Lagen (rescission in particular situations) 472: Berechnung der Minderung (calculation of reduction in price) 473475: Minderung in besonderen Lagen (reduction in price in particular situations) Sachleistungen als Kaufpreis (performance in kind): 473 Mehrere Beteiligte (several parties): 474 Mehrmalige Gewhrleistung (repeated liability): 475 Vertraglicher Ausschlu der Gewhrleistung (contractual exclusion of liability) 476a: Aufwendungen beim Recht auf Nachbesserung (vendors liability for costs where a right to request repair is substituted) 477: Verjhrung (limitation period) 478479: Lage nach Verjhrung bei vorheriger Mngelanzeige (supervening limitation) 480: Gattungskauf (generic purchase) 481492: Viehkauf usw (sale of cattle etc) 493: Kaufhnliche Vertrge (similar contracts) III Besondere Arten des Kaufes (special types of purchase): 494514191 1 Kauf nach Probe. Kauf auf Probe (purchase by sample; purchase on approval) 494: Kauf nach Probe (purchase by sample) 495496: Kauf auf Probe (purchase on approval) 2 Wiederkauf (repurchase) 497503 3 Vorkauf (preemption) 504514 IV Tausch (exchange): 515192 476:
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Expos: Fernabsatz (Long-Distance Transactions) On 30.6.2000, the Law concerning Long-Distance Transactions (Fernabsatzgesetz; FernAbsG) came into force. The FernAbsG is an attempt to counteract perceived disadvantages of consumers, who conclude transactions (not merely purchases) when not face-to-face with the other party, eg, electronically via the Internet. It also clamps down generally on undesirable business practices by inserting a new 22 into the AGBG. The FernAbsG casts the net widely, but, in reality, there are various preconditions for its application and many types of transaction are either expressly excluded from the scope of the Law (eg, long-distance learning (correspondence) courses, agreements involving real estate, time-sharing) or fall within the ambit of other statutes (eg, the Consumer Credit Law), which contain provisions more favourable for the consumer (gnstigere Regelungen). Thus, the FernAbsG only applies to long-distance contracts (Fernvertrge), which are concluded: (a) between a business(man) (Unternehmer) and a consumer (Verbraucher); (b) by way of the exclusive use of long-distance means of communication (Fernkommunikationsmittel); and (c) within the framework of an organised system for the distribution of products or the provision of services (organisiertes Vertriebs- und Dienstleistungssystem). The FernAbsG has generated a whole series of new supporting norms, which are incorporated into the main body of the civil law: 13, 14, 241a, 361a, 361b, 661a and 676h BGB; 29a EGBGB.193 Arrangement of Title 2 516534 are arranged as follows:194 516517: Begriff (definition) 518520: Schenkungsversprechen (promised gift) 521524: Haftung des Schenkers (liability of the donor) 525527: Schenkung unter Auflage (direction by the donor) 528534: Rckforderung; Widerruf der Schenkung (claim to return of the gift; revocation) Arrangement of Title 3 535597 are arranged as follows (Note: new numbering applies after 1.9.2001): I Miete (lease/tenancy): 535580a 535536: 537541: 541a-541b: 542544: Begriff; Pflichten der Parteien (definition; duties of the parties) Haftung des Vermieters fr Mngel (lessors liability for faults) Manahmen zur Erhaltung/Verbesserung (tenant must tolerate measures of maintenance and improvement) Fristlose Kndigung durch den Mieter (termination without notice by the lessee)
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545: 546: 547: 547a: 548: 549: 550: 550a: 550b: 551552a: 553554b: 556: 556a-556c:
557: 558: 559563: 564: 564a564b: 564c: 565: 565a: 565b-565e: 566: 567: 568: 569: 569a-569b: 570: 570a:
Mngelanzeige (notice of faults) Lasten der Mietsache (lessors liability for charges) Ersatz von Verwendungen (compensation for lessees expenditure) Wegnahme von Einrichtungen ((lessees right of) removal of fixtures) Abnutzung durch vertragsmigen Gebrauch (wear and tear) Untermiete (sub-letting) Vertragswidriger Gebrauch (use in breach of agreement) Vertragsstrafe unwirksam (invalidity of contractual penalty) Mietkaution (deposit (for residential premises)) Entrichtung des Mietzinses (payment of rent) Fristlose Kndigung durch den Vermieter (termination without notice by the lessor/landlord) Rckgabe der Mietsache (return of the rental object) Widerspruch des Mieters; Fortsetzung des Mietverhltnisses (objection by the tenant (to termination of a tenancy of residential premises); continuation of the tenancy) Ansprche bei verspteter Rckgabe ((lessors) rights in the event of delayed return of the rental object) Verjhrung (limitation period (for claims)) Vermieterpfandrecht (landlords lien) Ende des Mietverhltnisses (end of the lease/tenancy) Form und Voraussetzungen der Kndigung (form of and requirements for termination (of tenancy of residential premises)) Fortsetzung (continuation (of a tenancy of residential premises)) (Ordentliche) Kndigungsfristen (time limits for (ordinary) termination (of tenancy of premises)/lease (of movables) Verlngerung (extension (of tenancy of residential premises)) Werkunterknfte (works accommodation) Form des Mietvertrags (form of tenancy agreement (of more than one year)) Kndigung bei Vertrgen fr mehr als 30 Jahre (termination of agreements for more than 30 years) Stillschweigende Verlngerung (tacit extension (of lease)) Kndigung bei Tod des Mieters (termination following death of tenant) Ehegatten; Familienangehrige ((position of) married couples/family members (following death of tenant)) Versetzung des Mieters (tenants job transfer) Vereinbartes Rcktrittsrecht ((corresponding application to) contractual right of rescission)
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Veruerung (eines vermieteten Grundstcks) (disposal of rented property) 577: Belastung des Mietgrundstcks (incumbrances over rented property) 578: Veruerung vor berlassung (disposal before rental) 579: Weiterveruerung (further disposal) 580580a: Zustzliche Geltung der Vorschriften (additional application of the provisions) II Pacht (commercial lease): 581584b 581584b III Landpacht (agricultural lease): 585597 585597 Expos: Miete ( 535597 BGB) (Section 7, Title 3) (a) Preliminary points The comparatively large number of paragraphs in the BGB on this subject reflects its practical importance. With effect from 1.9.2001, the Rental Law Reform Act (Mietrechtsreformgesetz) has brought into force detailed changes to the law concerning Miete. The provisions in the BGB have been extensively reorganised and renumbered. In the following expos, the paragraph numbers stated are basically those as they existed up to 1.9.2001. I hope to correct and update the numbering in full in a subsequent edition of this book, but, in the meantime, I have inserted certain of the new paragraph numbers, as they apply from 1.9.2001, in bold print in parentheses. Any resulting confusion is regrettable, but many readers will still possess an old edition of the BGB and new literature on the subject is appearing from day to day. For a recent synopsis of the changes see, for example, Brstinghaus in ZAP, Fach 4, p 691. (b) The object of a Mietvertrag In line with the basic classification of the law of property, the object of an agreement of rental (die gemietete Sache) is distinguished according to whether movables (bewegliche Sachen) or immovables (ie, pieces of land (Grundstcke)) are concerned. In principle, all types of Miete are governed by the same rules, whether the rental is one of movables (so-called Fahrnismiete) or not. However, there are separate provisions in the BGB regarding the rental of land, which also apply to the rental of residential accommodation (Wohnraum) and other premises (Rume): 580 BGB. Thus, for the purposes of Miete, there is a three-fold classification to be borne in mind. An agreement of Miete is directed to the grant of use (Gebrauchsberlassung) of a Sache in return for the agreed rent (Mietzins): 535 BGB.
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571576:
A collection of Sachen (a Sachgesamtheit) can be the object of a Mietvertrag, but not a contractual claim (Forderung) or other rights. These can be the object of Pacht (commercial lease 581 BGB). (c) Distinctions: Pacht A contract of Pacht can relate not only to corporeal things (eg, a piece of land), but can also cover incorporeal objects (eg, rights) or both together (eg, a business). By virtue of a contract of Pacht, the lessee (Pchter) is granted not only the use of the object (as with Miete), but also and especially the enjoyment of its fruits (Genu der Frchte), ie, such produce or yield, which is directly or indirectly won from its use.195 The provisions on Miete are of corresponding application, in so far as they are not amended in 582584b BGB. Leihe By an agreement of Leihein contrast to Mietethe borrower (Entleiher) is granted use of a Sache gratuitously (unentgeltlich): 598 BGB. Accordingly, the liability of the lender (Verleiher) is significantly restricted ( 599600 BGB). Leihe is a so-called incomplete bilateral contract, ie, initially there is only a unilateral obligation on the lender to provide use of the Sache 196 The borrowers general liability for fault in connection with his use of the Sache is governed by 276 and 278 BGB. In particular, he has (accessory) duties of safekeeping and care (Obhuts- und Sorgfaltspflichten) and must bear the costs of usual maintenance (gewhnliche Erhaltungskosten; 601 BGB). However, the borrower bears no responsibility, if the object of the loan changes or deteriorates due to normal use (vertragsmiger Gebrauch): 602 BGB. The lender can demand return of the Sache at any time (jederzeit), if the period of the loan is neither specified nor apparent from the purpose of the loan: 604(iii) BGB. Leasing, licence and franchise agreements Leasing is basically a form of Miete. However, other fields of law can be relevant, eg, if there is an obligation or option to purchase the relevant asset, sale of goods law ( 445 BGB) and, if the leasing customer (Leasingnehmer) is a consumer, the Verbraucherkreditgesetz (Consumer Credit Law). In particular, cash-flow, reservation of title and tax considerations often play a part in financed leasing (Finanzierungsleasing), which is treated as a mixed contract (gemischter Vertrag).197 Other examples of contracts for the grant of the use of an asset (Gebrauchsberlassungsvertrge) are the licence (Lizenzvertrag) and the franchise. They usually involve a permission to use certain rights (often intellectual property) and can, therefore, be classified as varieties of Pacht.198
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(d) Rights and duties (i) 536 BGB ( 535 BGB) lays down a comprehensive duty on the lessor to hand over the object of a rental agreement to the lessee in such a condition (Zustand) as is suitable for the contractually required use (vertragsmiger Gebrauch) and to maintain it in that condition during the rental period (Mietzeit). In other words, the lessor must not only ensure that the rented item is in conformity with the contract (vertragsgem) at the moment it is handed over (berlassung), but he also has a duty to undertake all such measures as may be necessary to keep it in, and restore it to, such a condition (Instandhaltungs- und Instandsetzungspflicht). The lessee can insist on performance (Erfllung).199 The statutory rule is frequently departed from in practice, ie, 536 ( 535 BGB) is dispositive (abdingbar). Thus, the carrying out of so-called cosmetic repairs (Schnheitsreparaturen), officially the responsibility of the lessor ( 548 BGB) ( 538 BGB), are often shifted onto the lessee (Abwlzung auf den Mieter).200 (ii) In the event of a disturbance in performance (Leistungsstrung) by the lessor, 537538 BGB ( 536536a BGB) contain special additional provisions setting out the position of the lessee and, in certain circumstances, giving him a remedy in damages. Their purpose is the protection of the lessee. By 537(i) BGB ( 536 BGB), if, on or after the handing-over of the object of the rental agreement to him, a defect in the object (Fehler/Sachmangel)201 exists or arises, such that the fitness of the rented item for its contractually required use (Tauglichkeit zu dem vertragsmigen Gebrauch) is suspended, the lessee is (automatically) released (befreit) from his obligation to pay rental.202 Similarly, the lessee need only pay a reduced rental, if the fitness is (significantly) reduced. Before berlassung, the general provisions of the BGB regarding disturbances in performance ( 320ff BGB) apply. Moreover, even after berlassung, the lessors general duties under 536 BGB remain separately enforceable. Like 536 BGB, 537 BGB ( 536 BGB) is dispositive, ie, can be departed from by a contrary agreement (abweichende Vereinbarung). However, an agreement which disadvantages a tenant of residential accommodation has no effect: 537(iii) BGB. (iii) 538(i) BGB ( 536a BGB) grants to the lessee the right to claim damages for nonperformance (Schadensersatz wegen Nichterfllung) against the lessor in three circumstances: (a) if there is a defect in the object of the agreement of the type described in 537 BGB at the time of conclusion of the agreement (bei Vertragschlu); or (b) if such a defect arises later due to circumstances, for which the lessor is responsible; or (c) if the lessor delays rectification (Beseitigung) of a defect. The lessors liability under (a) arises regardless of fault on his part and is extremely wide; it effectively constitutes a guarantee of the initial condition of the rented item in favour of the tenant.
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If rectification is delayed, the lessee has an additional right to rectify the defect himself and to claim reimbursement of his outlay from the lessor: 538(ii) BGB. (iv) In certain circumstances, it may be unjust to allow a lessee to exercise the rights specified in 537538 BGB ( 536536a BGB). Thus, if the lessee is aware of the relevant defect on conclusion of the rental agreement or remains ignorant thereof, due to gross negligence on his part, or accepts a faulty item, despite his contrary knowledge, the lessees rights under 537538 BGB are forfeit, unless the defect was fraudulently concealed (arglistig verschwiegen) by the lessor or the lessee reserves his position: 539 BGB ( 536b BGB). (v) Independently of the lessees rights under 537538 BGB ( 536536a BGB), the lessee has an extraordinary right to terminate the rental agreement (auerordentliches Kndigungsrecht), if, for whatever reason, the contractually required use is not provided to him (in time (rechtzeitig)) or is withdrawn from him, whether in whole or in part: 542(i), 1st sentence BGB ( 543 BGB). The lessee must first give the lessor a reasonable opportunity to put the matter right, ie, he must set an appropriate deadline (angemessene Frist). If the lessor allows the deadline to pass without taking remedial steps (ohne Abhilfe zu schaffen), the lessee can terminate the agreement without notice (fristlos): 542(i), 2nd sentence BGB. Termination is not possible, if the impairment is insignificant (unerheblich, de minimis), unless the lessee shows a special justifying interest (besonderes Interesse): 542(ii) BGB. Moreover, termination can be barred under 242 BGB, if the lessee is to blame for the impairment (Verschulden), if he does not cooperate in its rectification (fehlende Mitwirkung) or if he has forfeited his right (Verwirkung; estoppel). The setting of a time limit for remedial action is not required, if performance of the contract is (objectively) no longer of interest to the lessee ( 542(i), 3rd sentence BGB), nor if the lessor seriously and finally (ernsthaft und endgltig) refuses to remedy the situation. 542 BGB ( 543 BGB) can be excluded by agreement of the parties, but not in the case of rental of residential accommodation: 543, 2nd sentence BGB ( 569 BGB). (vi) Apart from the parties primary duties (Hauptpflichten), as laid down in 535 BGB, both have (unwritten) ancillary duties (Nebenpflichten), which follow from 242 BGB. Thus, for example, the lessor and the lessee must each show consideration (Rcksichtnahme) for the other. Moreover, the lessee has a general duty to safeguard the rented item (allgemeine Obhutspflicht). In particular, he must notify the lessor without delay (unverzglich), if a defect in the rented object comes to light during the period of the lease or if protective measures (Schutzvorkehrungen) need to be taken against an unforeseen danger (unvorhergesehene Gefahr): 545(i) BGB ( 536c BGB). If the lessee fails to do soeven innocentlyand, as a result, the lessor is not in a position to take relieving action, the lessee loses his rights under 537538 BGB:
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545(ii) BGB. However, the lessees duty of notification (Anzeigepflicht) under 545 BGB ( 536c BGB) can be modified by agreement (vii) Where the rental of premises (Rume) is concerned, each party has an extraordinary right to end the agreement, if the other infringes his duties in a blameworthy manner (schuldhaft) to such an extent that the party wishing to terminate cannot be expected to continue with the contract: 554a BGB ( 569 BGB). The disturbance must be significant. By 554b BGB, a lessor of residential accommodation (Wohnraum) is limited to the statutory grounds for extraordinary termination, as set out in the BGB (ie, 553554a BGB) ( 543, 569 BGB), but the general (unwritten) right to terminate for an important reason ( 242 BGB) remains unaffected. (e) Written form By 566 BGB ( 550 BGB), an agreement for rental of a piece of land (Grundstck) for more than one year must be made in writing.203 Written documentation is also required for significant amendments (wesentliche nderungen) or supplements (Ergnzungen/Nachtrge) to such an agreement. Collateral arrangements (Nebenabreden), on the other hand, require no particular form. 566 BGB is a compulsory provision (zwingende Vorschrift), its function being to warn the parties of the risks of entering into long term contracts (langfristige Vertrge) and to inform successors in title of the lessor of the position ( 571 BGB) ( 566 BGB). Failure to comply with 566 BGB ( 550 BGB) results in the agreement being deemed to have been concluded for an indefinite period (unbestimmte Zeit; cf 125 BGB), although it can be terminated under 565 BGB ( 580a BGB).204 Exceptionally, the assertion of an infringement of 566 ( 550 BGB) by one of the parties can constitute a breach of trust. (f) Tenants of land and third parties 571579 BGB ( 566567b, 578 BGB) are directed to the protection of the interests of a tenant of rented land, who is confronted by transactions concluded by his landlord involving third parties. Thus, 571(i) BGB ( 566 BGB) provides that if the ownership of such rented propertywhich includes residential accommodation (Wohnraum) is transferred to a third party after the property has been handed over to the lessee, the third party assumes the rights and obligations of the (former) landlord, ie, steps into the landlords legal position vis vis the tenant. In conjunction with 571 BGB ( 566 BGB), the following points should be noted:205 (i) (ii) 571 BGB codifies the maxim Kauf bricht nicht Miete (sale does not breach rental) and is an exception to the principle of privity of contract; only those rights and duties pass to the transferee, as are an inextricable part
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of the rental agreement, ie, the original parties remain contractually bound to each other, insofar as the relevant rights and duties are not typical of a rental agreement (miettypisch), but merely have a commercial connection (wirtschaftlicher Zusammenhang) to it; (iii) the former landlord/owner remains liable to the tenant to fulfil such claims, as arise before the transfer takes place. In addition, the tenant can claim an indemnity against the former landlord for any loss caused by a failure on the part of the new owner to perform his obligations. The former landlord is treated as if he had given a personal surety (selbtschuldnerische Brgschaft): 571(ii), 1st sentence BGB. However, if he informs the tenant of the change of ownership, he is released from liability from the first possible date for termination by the tenant after the change: 571(ii), 2nd sentence BGB. (iv) the transferee is, strictly speaking, not successor in title (Rechtsnachfolger) of the former landlord, but is substituted for him by operation of law (kraft Gesetzes). Thus, except in certain situations ( 573574 BGB) ( 566b-c BGB), he is not bound by transactions effected by the former owner. (g) Termination and security of tenure 564 BGB ( 542 BGB) sets out certain of the ways in which a rental agreement ordinarily ends. Thus, 564(i) BGB lays down the basic rule that a rental agreement entered into for a limited period (a befristeter Vertrag) ends with the expiry of that period (Zeitablauf). Extension (Verlngerung) is possible, also tacitly.206 Otherwiseie, in the case of a rental agreement with no specific date of expiry (a Vertrag auf unbestimmte Zeit or unbefristetes Mietverhltnis )either side can terminate the agreement by way of unilateral cancellation (Kndigung): 564(ii) BGB. The relevant notice periodsfor rental agreements over land, residential accommodation and movables, respectivelyare set out in 565 BGB. Besides the above grounds for the ordinary termination (ordentliche Beendigung) of a rental agreement, the BGB contains various provisions permitting the (extraordinary) termination of a rental agreement without notice (fristlose Kndigung), eg, 544, 553554b BGB ( 543, 569 BGB). Moreover, in keeping with the status of a rental agreement as an ongoing obligation (Dauerschuldverhltnis), its termination without notice for an important reason (aus wichtigem Grand) always remains possible.207 The protection of a tenant of residential accommodation (Wohnraum) against ordinary termination (ie, security of tenure) is the subject of numerous, complex provisions in the BGB, as amendedwith effect from 1.1.1975by the second Wohnraumkndigungsschutzgesetz (2 WoRKSchG; Law concerning the Protection of Residential Tenancies against Termination) of 18.12.1974 andwith effect from 1.9.2001by the Mietrechtsreformgesetz. Thus, broadly:
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a rental agreement of residential accommodation can only be terminated in writing. The grounds should be stated: 564a (i) BGB ( 568 BGB); (ii) a tenant of residential accommodation can object to termination (Kndigung widersprechen) and demand continuation of the tenancy (Fortsetzung des Mietverhltnisses), if normal termination would involve a hardship (eine Hrte) for himself or for his family such as cannot be justified, despite taking into account the proper interests of the landlord: 556a (i), 1st sentence BGB (the so-called social clause (Sozialklausl)) ( 574 BGB);208 (iii) termination by the landlord for the purpose of increasing rent (so-called nderungskndigung) is forbidden: 1 of the Gesetz zur Regelung der Miethhe (Law to regulate the Level of Rent (MHRG)=Article 3, 2 WoRKSchG) of 18.12.1974 ( 557561 BGB); (iv) a landlord of residential accommodation can only terminate the tenancy, if he has a justified interest (berechtigtes Interesse) in the termination: 564b (i) BGB ( 573 BGB). Otherwise, the termination is void ( 134 BGB).209 Arrangement of Title 4 598606 are arranged as follows: 598: Begriff (definition) 599600: Haftung des Verleihers (liability of the lender) 601604: Rechte und Pflichten des Entleihers (rights and duties of the borrower) 605: Kndigung (termination) 606: Kurze Verjhrung (short limitation period) Arrangement of Title 5 607610 Expos: Darlehen ( 607610 BGB) (Section 7, Title 5) 607(i) BGB lays down the basic rule that a person who receives money or other fungibles (vertretbare Sachen) by way of loan (als Darlehen) is obliged to return what he has received to the lender in the form of things of similar type, quality and quantity (Sachen von gleicher Art, Gte und Menge). Thus, unlike Miete and Leihe, where the same object must be returned at the end of the contract of rental ( 556(i) BGB) or (gratuitous) loan ( 604(i) BGB), the borrower under a Darlehen (the Darlehensnehmer) obtains ownership of the object of the Darlehen. A Darlehen must also be distinguished from a contract of custody (Verwahrung; 688700 BGB). That type of contract is directed to safekeeping of a movable in the interest of the depositor (Hinterleger), rather than to the use of the relevant object by the custodian (Verwahrer).210 If the custodian is intended to obtain ownership of fungibles, this constitutes a so-called irregular contract of custody (unregelmssige Verwahrung), to which the provisions regarding Darlehen apply: 700(i) BGB.211 Being a bilateral contract, a Darlehen obliges the lender (the Darlehensgeber) to obtain the object of the loan, make it available to the borrower and leave it with him for the duration of the loan. Thus, in the case of a loan of money (Kredit), the lender
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(i)
must effect a payment out (Auszahlung) of the capital to the borrower. The borrower, on his part, must make any relevant payments of interest, if an interest-bearing loan (verzinsliches Darlehen) has been agreed. A separate issue is the question when the duty to return the object of the loan arises, ie, the question of maturity (Flligkeit). If no particular date is set or period (Laufzeit) agreed, Fllgket is dependent on termination of the loan (Kndigung) by the lender or borrower: 609(i) BGB. Like other ongoing obligations (Dauerschuldverhltnisse), eg, a contract of employment, Kndigung can be ordentlich (in ordinary form) or auerordentlich (extraordinary/summary) for an important reason (aus wichtigem Grund).212 The statutory notice period (Kndigungsfrist) for ordinary termination is three months for loans of more than 200 Euro and one month for lesser amounts: 609(ii) BGB. If a loan is interest-free (zinslos), the borrower can effect return at any time without having to terminate the contract: 609(iii) BGB. There are special, compulsory provisions regarding (ordinary) termination of loans where the interest rate is fixed (fest) or variable (variabel): 609a BGB. The (binding) promise of a loan can be withdrawn if, before it is fulfilled, there is a significant deterioration (wesentliche Verschlechterung) in the economic circumstances of the other party, such that the claim to repayment would thereby be endangered: 610 BGB. Arrangement of Title 6 611630 are arranged as follows: 611: Begriff (definition) 611a-611b: Diskriminierung durch einen Arbeitgeber ((prohibition of) discrimination (by an employer) 612: Vergtung (reimbursement, payment) 612a: Weiteres Benachteiligungsverbot (further prohibition of discrimination (by an employer)) 613: Persnliche Rechte und Pflichte im Dienstvertrag (personal rights and duties in a contract of service) 613a: Rechte und Pflichte bei Betriebsbergang (rights and duties in the event of a transfer of a Betrieb (business))213 614: Flligkeit der Vergtung (time at which payment is due) 615616: Vergtung ohne Dienstleistung (payment where service is not rendered) 617619: Schutzpflichten des Dienstherrn (duties of protection) 620: Ende des Dienstverhltnisses (end of the relationship) 621622: Ordentliche Kndigungsfristen (time limits for (ordinary) termination) 623: Schriftform (necessity of written form) 624: Kndigung bei Vertrgen von mehr als 5 Jahren (termination of contracts for more than five years) 625: Stillschweigende Verlngerung (tacit extension) 626628: Fristlose Kndigung (termination without notice) 629630: Rechte und Pflichte nach Beendigung (rights and duties after expiry) Arrangement of Title 7
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631651k are arranged as follows: I Werkvertrag (contract for services) 631632: Begriff (definition); Vergtung (reimbursement) 632a: Abschlagszahlung (payment on account) 633: Leistungspflicht des Herstellers (duty of manufacturer); Beseitigung des Mangels (correction of the defect) 634636: Sekundre Rechte bei erfolgloser Nachbesserung (secondary rights in the event of unsuccessful repair) 637: Vertraglicher Ausschlu der Haftung (contractual exclusion of liability) 638639: Kurze Verjhrung (short limitation period) 640641: Abnahme des Werkes (acceptance of the work) 641a: Fertigstellungsbescheinigung (certificate of completion) 642643: Mitwirkung des Bestellers (cooperation by the customer) 644: bergang der Gefahr (transition of risk) 645: Teilvergtungsanspruch (claim to partial reimbursement) 646: Vollendung statt Abnahme (completion instead of acceptance) 647648: Sickening des Unternehmers (security for the manufacturer) 649: Kndigung durch den Besteller (termination by the customer) 650: berschreitung eines Kostenanschlags (exceeded estimate) 651: Werklieferungsvertrag (contract of work and materials)214 II Reisevertrag (travel contract) 651a651b: Begriff (definition); Teilnahme eines Dritten (participation of a third party) 651c651g: Rechte des Reisenden (rights of the traveller) 651h: Haftungsbeschrnkung (restriction of liability) 651i: Rcktritt vor Reisebeginn (rescission before commencement of travel) 651j: Kndigung wegen hherer Gewalt (termination due to force majeure) 651k: Abweichende Vereinbarungen (divergent agreements) Arrangement of Title 8 652656 Arrangement of Title 9 657661 Arrangement of Title 10 662676 are arranged as follows: 662: 663: Begriff (definition) Anzeigepflicht bei Ablehnung (duty to notify refusal)
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664668: Rechte und Pflichte des Beauftragten (rights and duties of the person instructed) 669670: Aufwendungen (disbursements) 671674: Ende des Auftrags (end of the contract of instruction) 675(i): Entgeltliche Geschftsbesorgung (contract to transact business for reward) 675(ii): Keine Haftung fr Rat oder Empfehlung (no liability for advice or recommendation)215 675(ii) BGB was formerly 676 BGB. It was renumbered by the Law concerning Bank Transfers (berweisungsgesetz) of 21.7.1999, which implemented EU Directive 1997/5. The berweisungsgesetz also inserted the following new paragraphs (mainly relating to banking transactions) into the BGB: 675a: persons, who publicly offer to carry out business for others for reward (entgeltliche Geschftsbesorgung), have a duty to provide information (Informationspflicht) in writing and free of charge concerning charges and disbursements (Entgelte und Auslagen) for standard transactions; credit institutions have a duty to give additional information. termination of a contract concerning the transfer of, or a right to claim, securities (bertragungsvertrag) is only effective, if the beneficiarys account-holding institution is informed in good time (rechtzeitig) before registration (Verbuchung) of the securities on the account. contract to undertake a bank transfer (berweisungsvertrag). contract to effect a bank transfer via an intermediary credit institution (zwischengeschaltetes Kreditinstitut) (Zahlungsvertrag). contract to maintain a current account (Girovertrag).
676:
676a-c: 676d-e: 676f-h:
The contracts involved in 675a676h are all sub-types/variations of the Geschftsbesorgungsvertrag in 675(i) BGB.216 Arrangement of Title 11 677687 are arranged as follows: 677: Pflichten des Geschftsfhrers (duties of the person transacting the matter) 678679: Unberechtigte Geschftsfhrung (unjustified transaction of a matter) 680: Haftung bei Notgeschftsfhrung (liability in the event that a matter is transacted in an emergency) 681: Nebenpflichten des Geschftsfhrers (accessory duties of the person transacting the matter) 682: Haftungsprivileg bei fehlender Geschftsfhigkeit (reduced liability where there is no Geschftsfhigkeit) 683: Aufwendungsersatzanspruch des berechtigten Geschftsfhrers (reimbursement of expenditure for a justified transaction)
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684: 685: 686: 687:
Lage bei nicht berechtigten Geschftsfhrung (position where transaction is not justified) Schenkungsabsicht (intended gift) Irrtum ber den Geschftsherrn (mistake as to principal) Eigengeschftsfhrung (self-transaction)
Arrangement of Title 12 688700 Arrangement of Title 13 701704 Arrangement of Title 14 705740 are arranged as follows: 705: Begriff (definition) 706707: Beitrge (contributions) 708: Erleichterte Haftung (reduced liability) 709712: Geschftsfhrung (management)217 714715: Vertretung (representation)218 716: Kontrollrecht (right of control) 717: bertragbarkeit von Rechten (transferability of rights) 718720: Gesellschaftsvermgen (company assets) 721722: Verteilung von Gewinn und Verlust (distribution of profit and loss) 723729: Auflsungsgrnde (grounds for termination) 730735: Auseinandersetzung (split-up) 736740: Gesellschafterwechsel (change of members) Arrangement of Title 15 741758 are arranged as follows: 741: Begriff (definition) 742743: Anteile (shares) 744746: Verwaltung und Benutzung (administration and use) 747748: Rechte und Pflichten (rights and duties) 749751: Aufhebung (termination) 752754: Art der Aufhebung (manner of termination) 755757: Folgeansprche bei Aufhebung (claims consequent on termination) 758: Unverjhrbarkeit des Aufhebungsanspruchs (the right to claim termination is not subject to limitation)
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Arrangement of Title 16 759761 Arrangement of Title 17 762764 Arrangement of Title 18 765778 are arranged as follows: 765766: Begriff (definition); Form (form) 767: Umfang der Brgschaftsschuld (extent of the guarantors debt) 768: Einreden des Brgen (objections by the guarantor) 769: Mitbrgschaft (co-surety) 770773: Einreden des Brgen (objections by the guarantor) 774: Gesetzlicher Forderungsbergang (transition of claim by operation of law) 775777: Befreiung des Brgen (release of the guarantor) 778: Kreditauftrag (instruction to provide credit) Arrangement of Title 19 779 Arrangement of Title 20 780782 Arrangement of Title 21 783792 are arranged as follows: 783786: Begriff (definition); Verpflichtung (obligation) 787791: Rechtsverhltnisse (legal relationships) 792: bertragung (transfer) Arrangement of Title 22 793808a are arranged as follows: 793797: Begriff; Lage des Ausstellers; Voraussetzungen (definition; position of the issuer; preconditions) 798800: Ersatzurkunde und Kraftloserklrung (replacement document and declaration of nullity) 801802: Verjhrung und Vorlegungsfrist (limitation and presentation period) 803808a: Scheine; Umschreibung auf den Namen; Besondere Arten (notes (coupons); alteration in favour of a named person; special types) Arrangement of Title 23 809811 Arrangement of Title 24
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812822 are arranged as follows: 812813(i): Grundtatbestnde (basic (substantive) provisions): Leistungskondiktion and Nichtleistungskondiktion 813(ii)815: Ausschlu der Rckforderung (exclusion of the claim to return (of something received due to a Leistung)) 816: Verpflichtung zur Herausgabe des Erlangten nach Verfgung eines Nichtberechtigten: Besonderer Fall der Eingriffskondiktion (liability of an unauthorised person to hand out what he receives following his (valid) Verfgung: special case of the Eingriffskondiktion) 817, 1st sentence: Verpflichtung des Empfngers, der gegen Gesetz oder gute Sitten verstt (liability of a recipient who breaches statute or good morals) 817, 2nd sentence: Ausschlu der Rckforderung, wenn dem Leistenden (gleichfalls) ein solcher Versto zur Last fllt (exclusion of the claim to return, where the claimant is (similarly) in breach) 818(i), (ii): Umfang des Anspruchs: Gegenstand der Bereicherung (extent of the claim: object of enrichment) 818(iii): Wegfall der Bereicherung ((exclusion of the claim) where the enrichment falls away) 818(iv)-820: Verschrfte Haftung des Empfngers (increased liability of the recipient) 821: Einrede der Bereicherung (objection of unjust enrichment) 822: Dritthaftung (liability of third parties) Arrangement of Title 25 823853 are arranged as follows: 823: Grndtatbestnde (basic (substantive) provisions)219 824826: Weitere Anspruchsgrundlagen (further (legal) grounds for claiming (damages))220 827829: Deliktsfhigkeit (capacity to commit a delict) 830: Beteiligung mehrerer (involvement of several persons)221 831: Haftung fr den Verrichtungsgehilfen ((presumed) (vicarious) liability for a person entrusted with a particular task)222 832: Haftung des Aufsichtspflichtigen (liability of the person who supervises) 833834: Haftung fr Schaden durch Tiere (liability for (damage caused by) animals) 836838: Haftung bei Einsturz eines Gebudes (liability in the event of collapse of a building)223 839: Beamtenhaftung (civil servants liability for breach of his Amtspflicht (official duty))224 840841: Haftung mehrerer (liability of several persons)225 842843: Umfang des Schadensersatzes bei Verletzung einer Person (extent of damages in the case of personal injury) 844846: Ansprche Dritter bei Ttung oder wegen entgangener Dienste (third party claims where a person is killed or was obliged by statute to provide services)226
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847: Schmerzensgeld (damages for pain and suffering)227 848851: Haftung bei Entziehung einer Sache (liability in the event of removal of a thing) 852853: Verjhrung (limitation period); Verweigerung der Erfllung (refusal of performance)228 D BOOK III: THE LAW OF PROPERTY ( 8541296 BGB) 229 1 Introduction (i) Book III of the BGB (Sachenrecht/law of property; 8541296) is divided into 9 Sections. In the important first 3 Sections of Book III provisions are set out dealing with possession (Besitz; 854872), rights to land (Rechte an Grundstcken; 873 902) and ownership (Eigentum; 9031011). In the BGB, the term Eigentum only relates to ownership of corporeal things (Sachen). It is a right in rem (over a thing) and not, such as a right based on a Schuldverhltnis (obligation), a right in personam (over a person).230 Sections 59 ( 10181296) contain a numerus clausus (fixed number) of so-called beschrnkte dingliche Rechte (limited real rights, as opposed to Eigentum as the most comprehensive, unlimited real right).231 Beschrnkte dingliche Rechte are classified as user rights (Nutzungsrechte, eg, servitudes) and disposal or security rights (Verwertungs- oder Sicherungsrechte, eg, mortgages and pledges).232 The common thread running through Sections 58 ( 10181203 BGB) is that they deal with encumbrances (Belastungen) over land, while Section 9 ( 1204 1296 BGB) deals with movables and rights. (ii) Book III distinguishes between movable (bewegliche) and immovable (unbewegliche) Sachen. The only unbewegliche Sachen are Grundstcke ((pieces of) land (Immobilien)).233 Movables are further classified (in Book I) according to whether they are: fungible (vertretbar); and/or consumable (verbrauchbar). A vertretbare Sache is one which is customarily counted, weighed or measured ( 91 BGB). It is interchangeable with another of the same class and is not individualised.234 A verbrauchbare Sache is one which is intended for consumption or disposal ( 92 BGB).235 Ordinary parts (Bestandteile) of a Sache are distinguished from substantial components (wesentliche Bestandteile), for which, in the case of land or buildings, the English legal term is fixtures. Substantial components always share the fate of the main thing (Hauptsache) to which they are attached and cannot be the subject of separate rights: 9394 BGB. To be contrasted with Bestandteile are Zubehr (fittings, accessories), which are legally independent movables: 97 BGB.
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2 Dingliches Recht and Verfgung With regard to the term dingliches Recht (real right), it is helpful to note the following: (i) Besitz (possession) is not a dingliches Recht (real right) or Recht an der Sache (right with regard to a Sache/right in rem), but merely tatschliche Sachherrschaft (actual dominance over a Sache). (ii) Dingliche Rechte are absolute, ie, have effect against everyone (gegen jedermann) and, for reasons of certainty, are restricted to the types set out in Sections 59 of Book III. To be contrasted therewith are the rights of parties to a Schuldverhltnis, which are relative, ie, effective only amongst the parties. The principles underlying Book II are the parties fundamental freedom of contract (Vertragsfreiheit) and choice of type of Schuldverhltnis (Typenfreiheit, ie, the parties are not limited to the type or form of the Schuldverhltnisse listed in 433811), while in Book III the principle of Typenzwang (compulsory choice of type) prevails.236 (iii) Each dingliches Recht is spezial (special), ie, exists only with reference to a specific, individual Sache ( Spezialittsgrundsatz or principle of speciality). A Sachgesamtheit (collection of Sachen) is not one Sache, but a multitude of Sachen (eg, a herd, library or business enterprise (Unternehmen)).237 (iv) An Anwartschaftsrecht is a right of expectancy with regard to a dingliches Recht. It is a concept developed by the judiciary (richterliche Rechtsfortbildung) and, while not being expressly referred to in the BGB, is treated as essentially similar to (the wesensgleiches Minus of) the relevant dingliches Recht. Thus, for example, in the case of an instalment purchase (Abzahlungskauf), it is common for a retention of title (Eigentumsvorbehalt) to be agreed in favour of the vendor. The purchaser acquires an Anwartschaftsrecht, which gradually strengthens (erstarkt) into the full right (Vollrecht) of Eigentum (ownership) on final payment of the last instalment. Until then, the real agreement between the parties (the so-called Einigung) is said to be conditional upon (bedingt durch) full payment of the price (455). 238 Just as his future Eigentum, the purchasers Anwartschaftsrecht can be transferred, charged, enjoys the same protection and can also be the subject of Zwangsvollstreckung (enforcement) by a creditor.239 (v) The abstraction principle (Abstraktionsgrundsatz).240 The Rechtsgeschfte of Book III (eg, transfer of ownership) are Verfgungen or Verfgungsgeschfte and are abstract from the basic or causal transaction (eg, purchase contract). It is important to understand that, in German legal speech, the term Verfgung is used in various contexts. Thus, in court or administrative terminology, a Verfgung can refer to the decision of the presiding judge (Verfgung des Vorsitzenden), an injunction (einstweilige Verfgung) or an administrative order or ban (Gebot oder Verbot), eg, from the police (polizeiliche Verfgung). In the BGB, where it is used in the sense of a disposition, it is important both for Book in (law of property) and Book V (law of succession).241
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In Book V, the term Verfgung is used to refer to the legal transaction (Rechtsgeschft) of a person having effect in the event of that persons death, ie, a so-called Verfgung (Rechtsgeschft) von Todes wegen, eg, a will (Testament) or contract of succession (Erbvertrag), including any direction (Anordnung) therein. In Book III, the term Verfgung means a legal transaction which, in strict contrast to a Verpflichtung (obligation), has direct effect on the constitution of a real right (dingliches Recht) by means of its transfer, release or burdening or a variation of its content (ein Rechtsgeschft, welches den Bestand eines Rechts unmittelbar beeinflusst durai bertragung, Aufhebung, Belastung oder inhaltliche nderung).242 The use of the term Verfgung in this sense is apparent from the provisions of Book III regarding rights to land, which lay down the necessary components of a Verfgung over such rights ( 873, 875 and 877). The validity of a Verfgung in the Book III (property) sense is dependent not only on the special preconditions laid down in the relevant paragraphs of Book III and on the general requirement of all RechtsgeschfteGeschftsfhigkeitbut also on the so-called Verfgungsbefugnis (entitlement to undertake a Verfgung). By means of this important concept, a distinction is drawn between the usual case of a right being held by its owner (who is then referred to as the Berechtigter or Inhaber des Rechts (owner of the right)) and the case of an unauthorised third party (a so-called Nichtberechtigter), who purports to undertake a Verfgung.243 Statutory provisions limiting the Verfgungsbefugnis in various circumstances (socalled Verfgungsbeschrnkungen or Verusserungsverbote) can be absolute (ie, effective as against all the world, eg, 1365 BGB or 81(i) InsO) or relative ( 135 BGB) in effect. A court order (eg, an einstweilige Verfgung (injunction)) forbidding a Verfgung is an example of a relative Verfgungsbeschrnkung: a Verfgung undertaken despite the order is effective for all purposes except as against the person in favour of whom the order was granted.244 A person cannot exclude or limit his Verfgungsbefugnis by means of a Rechtsgeschft, but a purely contractual restriction (abstraction principle!) is possible (137). A Verfgung usually remains valid even if its causal/obligational transaction (Verpflichtungsgeschft) is void.245 To rectify the position, a claim for unjust enrichment (ungerechtfertigte Bereicherung) can be made (within the Law of Obligations), for which complex provisions are contained in 812822 BGB.246 3 Sections 19247 (a) Section 1 ( 854872 BGB) Section 1 ( 854872) deal with the acquisition, types and protection of Besitz (possession).248
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(b) Section 2 ( 873902 BGB)249 Section 2 ( 873902) sets out provisions dealing (inter alia) with: the acquisition, release and variation of rights to land ( 873878); the rank of limited rights to land between themselves ( 879881); the protection of the position of a person claiming a right to land by means of the entry of a so-called Vormerkung (priority notice) in the land register (Grundbuch) (883888); the effect of entries (Eintragungen) in the Land Register (Grundbuch; 891 893);
Of particular importance are 891 and 892 BGB. The underlying rationale of these provisions is that one must be able to rely on (sich verlassen auf) the Land Register. First, 891 BGB lays down a statutory presumption that entries in the Land Register are correct (Vermutung der Richtigkeit), ie, that the person registered as proprietor is so entitled and that any right which has been deleted (gelscht) no longer exists. 892 BGB goes further and protects third parties. It establishes the principle of the public credence of the Land Register (ffentlicher Glaube des Grundbuchs)in favour of anyone who acquires a right to a piece of land by legal transaction (Rechtsgeschft) the content of the Land Register is deemed to be correct, unless an objection against its accuracy is registered or the acquiring party (Erwerber) (positively) knows that the entries in the Register are incorrect ( 892(i), 1st sentence BGB).250 Further, any relative limitations on the proprietors right to undertake a disposition (relative Verfgungsbeschrnkungen)eg, the seizure (Beschlagnahme) of the land as a measure of enforcementmust appear on the Register or be (positively) known to the acquiring party to be effective against him ( 892(i), 2nd sentence BGB). Thus, in marked contrast to to the position regarding movables ( 932 BGB), the bona fide acquisition of an unencumbered right to immovables is possible, even if the acquiring party is grossly negligent (grob fahrlssig) as to the situation. The acquiring party is protected not only if there is a favourable registration, but also if an entry on the Register has been omitted or deleted, and regardless of his inspection of the Register. 892 BGB is of corresponding application, if the proprietor of a right in the Land Register receives some act of performance (Leistung) on the basis of the right or if he engages in a transaction not falling within 892, but which includes a disposition (Verfgung) over the right: 893 BGB: the correction of incorrect entries in the Land Register ( 894899); the influence of expiry of time on rights to land ( 900902).
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(c) Section 3 ( 9031011 BGB) Section 3 ( 9031011) is divided into five Titles: (i) Title 1 ( 903924 BGB) Title 1: Inhalt des Eigentums (content of ownership): 903924 Subject to certain exceptions, the owner of a Sache can deal with it as he pleases and exclude others from it ( 903). However, Article 14(ii) of the Basic Law makes it clear that he also has certain obligations in the public interest (Eigentum verpflichtet). The term Eigentum as used in Article 14 GG is wider than that of 903 BGB (which is limited to Sachen) and includes all legal positions of value.251 The content (Inhalt) and limits (Schranken) of Eigentum are set (bestimmt) by statute and only if Eigentum is removed by Enteignung (expropriation) or a similar interference (Eingriff) is compensation (Entschdigung) available.252 The owner of land has a duty to tolerate (Duldungspflicht) nuisances (Einwirkungen), which emanate from other land253ie, (incorporeal) emissions/ pollution (Immissionen) (eg, in the form of noise or smell)in so far as they (only) amount to an insignificant interference (unwesentliche Beeintrchtigung): 906(i) BGB. The owner of the land affected has such a duty even when the interference is significant, if the use of the other land is normal for the locality (ortsblich) and preventive measures are not commercially viable (wirtschaftlich zumutbar). However, appropriate compensation in money can be claimed, if the nuisance extends beyond an acceptable level (ber das zumutbare Ma hinaus): 906(ii) BGB.254 (ii)/(iii) Title 2 ( 925928 BGB) and Title 3 ( 929984 BGB) Title 2: Erwerb und Verlust des Eigentums an Grundstcken (acquisition and loss of ownership to land (immovables)): 925928. Title 3: Erwerb und Verlust des Eigentums an beweglichen Sachen (acquisition and loss of ownership to movables): 929984. The components of a transfer of ownership255 The transfer of ownership (bertragung des Eigentums or bereignung) of a Sache by means of a Rechtsgeschft is composed of 2 elements: the so-called Einigung (a real agreement; known as the Auflassung (conveyance) in the case of immovables: 925(i));256 the bergabe (transfer of physical possession (Besitz)) in the case of movables ( 929) or Eintragung (entry in the land register (Grundbuch)) in the case of immovables ( 873).
An bergabe (of movables) can in certain circumstances be unnecessary (ie, where the transferee (Erwerber) is already in possession of the Sache: 929, 2nd sentence) or replaced (ersetzt):
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by a so-called Besitzkonstitut (constructive possession, ie, an arrangement whereby the (original) Eigentmer remains in possession of the Sache, but holds it for the proper (new) owner: 930. This is the usual technical legal basis for a Sicherungsbereignung (transfer of ownership as security, ie, a chattel mortgage);257 or by an Abtretung des Herausgabeanspruchs (assignment of the right to claim return of the Sache: 931).
Bona fide acquisition of ownership to movables258 Normally, a transfer of ownership (of movables) is from the Eigentmer himself ( 929). If, however, the transferor (Verusserer) is (a person) not entitled to (transfer) the Sache (a so-called Nichtberechtigter), the bona fide acquisition of Eigentum by the transferee (gutglubiger Erwerb) is possible ( 932) unless: the Erwerber is not in good faith (nicht in gutem Glauben (bsglubig), ie, if he is aware of or grossly negligent as to the situation);259 or the Sache has been stolen, lost or has otherwise gone astray (abhanden gekommen: 935)260
The transfer of physical possession (bergabe) to the transferee, being a component of a transfer of ownership, must, of course, still take place. Bona fide acquisition of ownership is also possible in the event that a Besitzkonstitut or Abtretung des Herausgabeanspruchs is entered into/granted by a Nichtberechtigter. In the former case, however, the transferee must obtain physical possession from the transferor.261 In the event of bona fide acquisition by the transferee (ie, where the transfer (Verfgung) is effective (wirksam) against the Eigentmer) the Nichtberechtigter has to compensate the original owner.262 Statutory acquisition of ownership to movables263 Ownership of movables can be acquired not only in accordance with 929936 by means of a Rechtsgeschft, but also by statute (so-called gesetzlicher Erwerb; dealt with in 937984), ie, by: Ersitzung (prescription, ie, acquisition of ownership through the passage of time: 937945). Verbindung. Vermischung. Verarbeitung (connection; mixture; processing): 946952.264 Erwerb von Erzeugnissen und sonstigen Bestandteilen einer Sache (acquisition of produce and other parts of a Sache): 953957.265 Aneignung (acquisition of ownership to ownerless movables (appropriation): 958964. Fund (finding of lost property: 965984).
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(iv) Title 4 ( 9851007 BGB) Title 4: Ansprche aus dem Eigentum (claims arising out of ownership): 9851007. The owner of a Sache, whether movable or immovable, has various dingliche Ansprche (real claims), eg, to return (Herausgabe) of the Sache against a person with no right to possession (Recht zum Besitz) of it (so-called Vindikation/rei vindicatio under 985) and to removal or stoppage of a disturbance (Beseitigung oder Unterlassung einer Strung: 1004).266 (v) Title 5 ( 10081011 BGB) Title 5: Miteigentum (nach Bruchteilen: joint ownership by shares (as opposed to Gesamthandseigentum):267 10081011. (d) Section 4 ( 10121017 BGB)268 Section 4 of Book III ( 10121017), which formerly dealt with the Erbbaurecht (heritable building right), has been replaced by the Verordnung ber das Erbbaurecht of 15.1.1919. (e) Section 5 ( 10181093 BGB) Section 5 ( 10181093) deals with Dienstbarkeiten (servitudes) and is divided into three Titles: Title 1: Title 2: Title 3: Grunddienstbarkeiten (easements): 10181029. Niebrauch (usufruct): 10301089. Beschrnkte persnliche Dienstbarkeit (limited personal servitude): 1090 1093. (f) Section 6 ( 10941104 BGB) Section 6 ( 10941104) deals with the Vorkaufsrecht (right of preemption). The Vorkaufsrecht referred to here is the dingliches Vorkaufsrecht (real right of preemption) and not the contractual one (dealt with in 504514). (g) Section 7 ( 11051112 BGB) Section 7 ( 11051112) deals with the Reallast (duty of successive supply from land). The object of a Reallast is the successive supply (wiederkehrende Leistung) of goods or services from a piece of land. It can be granted in favour of a particular person or in favour of another property: 1105 BGB. In contrast to a Rentenschuld (rentcharge; 1199 BGB), the supply does not have to consist of the payment of a sum of money, nor need it be regular. Moreover, in addition to the land itself, the respective owner of the burdened land is personally liable for fulfillment of the supply, ie, a Reallast additionally results in a personal covenant 1108 BGB.
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Being a limited real right, a Reallast requires registration in the Land Register ( 873 BGB). It is nowadays of limited practical importance, mainly for retiring farmers, who wish to ensure appropriate provision for themselves and their families after retirement frequently in conjunction with a right to use particular accommodation (Wohnungsrecht; 1093 BGB; so-called Altenteil).269 (h) Sections 8 and 9 ( 11131296 BGB) Sections 8 and 9 of Book III deal with security/disposal rights over immovables and movables respectively (ie, mortgages and pledges) and are set out as follows: Section 8 ( 11131203) deals with Grundpfandrechte (security rights over land) and is divided into 2 Titles:270 Title 1: Hypothek (mortgage): 11131190. Title 2: Grundschuld. Rentenschuld (land charge; rentcharge): 11911203. At this point, it is perhaps useful initially to recall the abstraction principle and the fundamental distinction drawn by German law between a contractual claim (Forderung) and a right in rem (dingliches Recht).271 A right in rem gives its holder the right to seek satisfaction out of a particular asset. The asset is liable (haftet), ie, can be realised to satisfy the right. A contractual obligation, on the other hand, merely binds the parties (privity of contract). The debtor owes (schuldet) performance. It should also be realised that German law distinguishes between a loan, for which personal security is given (eg, in the form of a personal guarantee (Brgschaft))a so-called Personalkreditand a loan, for which the security comprises particular Sachen (eg, real estate)a so-called Realkredit. Where immovable property is involved, the BGB makes available three different types of security right over land (Grundpfandrecht): a mortgage (Hypothek); a land charge (Grundschuld), and a rentcharge (Rentenschuld).
A mortgage (Hypothek) is a means of securing the payment of a particular sum of money due under a contractual obligation, usually a loan (Darlehen, Kredit). The obligee (creditor (Glubiger)) must have an existing, future or conditional contractual claim (Forderung) against the obligor (debtor (Schuldner)): 1113 BGB. Thus, no mortgage can arise, if there is no such claim. The mortgage is said to be held by the owner of the land (mortgagor): 1163 (a so-called Eigentmerhypothek). Nor can a mortgage arise, if the creditor and owner (debtor) are not different persons. If ownership of the land and the claim belong to one and the same person, the mortgage is converted into a land charge: 1177 (a so-called Eigentmergrundschuld). The provisions in the BGB regarding mortgages are of corresponding application to land chargessee belowunless (as is the strict legal position) a land charge is not dependent on the existence of a contractual claim: 1192 BGB.
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Attention is drawn to the following provisions: registration (Eintragung): 1115 BGB. The name of the mortgagee, the amount of the claim, the rate of interest (Zinssatz) and any other collateral services (Nebenleistungen) must be entered in the Land Register. types: 1116 BGB. The grant of a mortgage usually involves the issue of a mortgage certificate (Hypothekenbrief). However, the parties can agree that, instead, a mortgage take the form of an entry in the Land Register (Buchhypothek): 1116(ii) BGB.
If a mortgage certificate is issued, the mortgagee does not acquire the mortgage before the certificate is handed over: 1117(i) BGB. Moreover, by 1160(i) BGB, if it is sought to enforce such a mortgage, the owner of the land can insist on presentation of the mortgage certificate (Vorlage des Briefs) and alsoif there has been an assignment of the mortgage (see 1153, 1154 BGB), but the name of the new creditor does not appear in the Land Register,presentation of the documents specified in 1155 BGB, ie, an unbroken chain (Kette) of publicly certified declarations of assignment (ffentlich beglaubigte Abtretungserklrungen). In such a case, the holder of the certificate is presumed to be the legitimate mortgagee ( 891ff BGB): rights of the mortgagee before maturity of the claim (Flligkeit): 11331135 BGB; extension of the provisions concerning the public credence of the Land Register ( 891 ff BGB) for the purpose of the mortgage (fr die Hypothek) in favour of a bona fide transferee of a registered mortgage: 1138 BGB, ie, such a transferee acquires the mortgage, even if a claim (Forderung) does not exist and despite any objections, which might normally be available to the owner under 1137 BGB;272 termination by the mortgagee (Kndigung): 1141 BGB; position of the parties after maturity (viz satisfaction (Befriedigung)): 1142 1150 BGB.
Satisfaction of the creditor is achieved by means of enforcement in the land (Zwangsvollstreckung): 1147 BGB. The preconditions for enforcement of a mortgage are: (i) maturity (Flligkeit) of the contractual claim; (ii) the existence of an enforceable title (Vollstreckungstitel), either in the form of a judgment (Urteil) or an enforceable document (vollstreckbare Urkunde) ( 704, 794 ZPO); and (iii) the issue of an enforceable copy (vollstreckbare Ausfertigung), upon which an enforcement clause (Vollstreckungsklausel) has been appended ( 724, 725 ZPO). Effect of, and mode of, assignment of the claim; position of the new creditor: 11531159 BGB. The distinguishing characteristic of a land charge (Grundschuld) is that, unlike a mortgage, it is a non-accessory right, ie, it can exist independently of a contractual claim and remains unaffected, whatever the fate of any related contractual claim.273 Thus, a Grundschuld can be, and frequently is, registered by an owner for future use (Eigentmergrundschuld): 1196 BGB.274 However, a Grundschuld is rarely granted in isolation; it is usually granted as security for a loan, on the basis of a security agreement (Sicherungsvertrag/Sicherungsabrede).275
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Flowing from such an arrangement, on repayment of the contractual claim (Forderungstilgung) the grantor/owner has a personal claim to return of the Grundschuld (Rckgewhranspruch) and/or its deletion (Lschung) in the Land Register.276 This claim, which is one type of defence (Einrede) against enforcement by the creditor,277 can be safeguarded by registration of a Vormerkung in the Land Register ( 883 BGB).278 Moreover, by analogy with 11421143 BGB, a Grundschuld passes back to the owner, and the contractual claim is discharged, on redemption (Ablsung) of the Grundschuld by the owner (Leistung auf den Grundschuld; cf the position, when security is given by a third party (Drittsicherung))279 Section 9 ( 12041296) deals with the Pfandrecht (pledge) and is divided into two Titles:280 Title 1: Pfandrecht an beweglkhen Sachen (pledge of movables): 12041258. Title 2: Pfandrecht an Rechten (pledge of rights): 12731296. E BOOK IV: FAMILY LAW ( 12971921 BGB)281 Book IV of the BGB (Familienrecht / family law); 12971921) is divided into three Sections (in turn sub-divided into Titles) as follows: Section 1: Brgerliche Ehe (civil marriage): 12971588. Title 1: *Title 2: *Title 3: *Title 4: Verlbnis (engagement): 12971302. Eingehung der Ehe (conclusion of marriage): 13031322. Nichtigkeit und Anfechtbarkeit der Ehe (nullity and voidability of marriage): 13231347. Wiederverheiratung im Falle der Todeserklrung (remarriage in the event of declaration of death): 13481352.
* Titles 2, 3 and 4 above have been repealed (aufgehoben) and are dealt with in the Ehegesetz (Marriage Law) of 20.2.1946. Title 5: Wirkungen der Ehe im allgemeinen (effects of marriage in general): 13531362.
Title 6: Eheliches Gterrecht (marital property law): 13631563.282 Title 7: Sceidung der Ehe (divorce): 15641587p.283 Title 7 consists of three parts: Scheidungsgrnde (grounds for divorce); Unterhalt der geschiedenen Ehegatten (maintenance of the divorced spouses) or nachehelicher Unterhalt (maintenance after divorce); 15871587p: Versorgungsausgleich (equalization of pension and disability provision, ie, settlement of expectancies or rights acquired or upheld by the divorced spouses during their marriage). 15641568: 15691586:
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Kirchliche Verpflichtungen (ecdesiastical obligations): 1588. Verwandtschaft (kinship): 15891772. Allgemeine Vorschriften (general provisions): 15891590. Abstammung (descent): 15911600o. Unterhaltspflicht (duty of maintenance): 16011615o. Rechtsverhltnis zwischen den Eltern und dem Kinde im allgemeinen (legal relationship between parents and child in general): 16161625. Title 5: Elterliche Sorge fr eheliche Kinder (parental care for legitimate children): 16261704. Title 6: Elterliche Sorge fr nichteheliche Kinder (parental care for illegitimate children): 17051718. Title 7: Legitimation nichtehelicher Kinder (legitimation of illegitimate children): 17191740g. Title 8: Annahme als Kind (adoption): 17411772. Section 3: Vormundschaft (guardianship): 17731921. Title 1: Vormundschaft ber Minderjhrige (guardianship over minors): 1773 1895. Title 2: Betreuung (care and attendance over adults suffering from a psychological illness or a physical or mental handicap): 18961908i. Title 3: Pflegschaft (appointment of an administrator (Pfleger) in special cases, eg, where parents or a guardian cannot act; where an adult is absent and cannot be located; for a foetus): 19091921. Title 8: Section 2: Title 1: Title 2: Title 3: Title 4:
F BOOK V: LAW OF SUCCESSION ( 19222385 BGB)284 1 Introduction Book V of the BGB (Erbrecht /law of succession; 19222385) is divided into nine Sections: Section 1: Erbfolge (mode of inheritance): 19221941. Section 2: Rechtliche Stellung des Erben (legal position of the heir): 19422063. Section 3: Testament (will): 20642273. Section 4: Erbvertrag (contract of succession): 22742302. Section 5 :Pflichtteil (compulsory portion (of the estate)): 23032338. Section 6: Erbunwrdigkeit (unworthiness to inherit): 23392345. Section 7: Erbverzicht (waiver of inheritance): 23462352. Section 8: Erbschein (certificate of inheritance): 23532370. Section 9: Erbschaftskauf (estate purchase): 23712385.
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2 Constitutional Guarantee285 The German law of succession is founded on a recognition of the principles of private property and the freedom of the individual/private autonomy. Thus, Article 14(i), 1st sentence of the Basic Law guarantees both the law of succession as an institution and inheritance as a personal, subjective right, the essence of which must be respected by the state. In particular, the BGB acknowledges the principle of testamentary freedom (Testierfreiheit), whilst protecting the interests of the nearest family members by appointing them as statutory heirs and by granting a compulsory portion of the estate (Pflichtteil) to those excluded by the testator (Erblasser). 3 The Modes of Inheritance (Erbfolge) (a) By statute ( 19241936 BGB) 286 (i) Capacity to inherit (Erbfhigkeit) is dependent on the relevant heir being alive at the time of the death (Erbfall; 1923 BGB). There are three categories of statutory heirs (gesetzliche Erben): relatives (Verwandte; 19241929 BGB); the spouse (Ehegatte; 1931 BGB); and the State (Fiskus); 1936 BGB). In family law, the grade of kinship (Verwandtschaft) correlates to the number of intermediate births, relatives being distinguished according to whether they are direct or collateral ( 1589 BGB). Kinship is based on (legitimate or illegitimate) descent (Abstammung; 15911600o BGB). The law of succession classifies kinship differently. Relatives are distinguished according to various orders (Ordnungen). Thus, the 1st order comprises the issue (Abkmmlinge) of the deceased ( 1924 BGB), ie, children and childrens children. The 2nd order comprises the parents of the deceased and their issue ( 1925 BGB). The 3rd order comprises the grandparents of the deceased and their issue ( 1926 BGB) and so on. Closer relatives on one level (ie, in a lower order) exclude (ie, take priority over) more distant ones: 1930 BGB. Moreover, within the (downward) stem (Stamm) of any one order, more senior relatives displace more junior ones, the share of any predeceased relative passing to his or her issuethe principle of representation (Eintrittsprinzip; 1924(iii) BGB). Children inherit in equal shares ( 1924(iv) BGB), ie, the estate is divided between stems equally. In the absence of issue (ie, in the 2nd order), the share of any predeceased parent falls to his or her issue ( 1925(iii) BGB). One speaks of succession according to the (paternal or maternal) parental line. The distance of a relative from the deceased is no bar to inheritance, but persons related by marriage (in-laws) are not statutory heirs.
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(ii) 1931(i) and (ii) BGB lay down the general position regarding the surviving spouses statutory entitlement (ie, the spouses statutory part of the estate (gesetzlicher Erbteil)). Thus, in conjunction with relatives of the 1st order (ie, issue), the spouse is entitled to one-quarter of the estate. Together with relatives of the 2nd order, the spouse receives half. 1931 (iii) and (iv) BGB make certain modifications. These provide that the size of the spouses statutory right of inheritance differs according to the marital property regime, which subsisted between the spouses at the time of the death (the statutory community based on gain (Zugewinngemeinschaft) or separation of property (Gtertrennung). Thus, in the former case (Zugewinngemeinschaft), the statutory part of the surviving spouse is increased by one-quarter, to one-half of the estate: 1371(i) BGB. If the surviving spouse does not become heir or legatee (ie, due to disinheritance in a disposition on death or due to disclaimer), he or she can claim settlement of any actual gain (Zugewinnausgleich)under marital property lawand, in addition, a (small) compulsory portion of the estate (kleiner Pflichtteil)under the law of successionamounting to half in value of the (non-increased) statutory share, ie, 1 / 8 ( 1371(ii), (iii), 2303(ii), 2307(i) BGB).287 If there was separation of property (Gtertrennung) at the time of death, the general position regarding the surviving spouses entitlement ( 1931 (i) and (ii) BGB) governs and 1371 BGB does not apply. However, if the deceased leaves (as statutory heirs) one or two children besides the spouse, the estate is divided between the surviving spouse and the child(ren) in equal shares: 1931(iv) BGB. The surviving spouses statutory right of inheritance is excluded if, at the time of the death, there were grounds for divorce and the deceased had made an application for, or consented to, divorce: 1933, 1st sentence BGB. (b) By disposition on death (Verfgung von Todes wegen)288 The wishes of the deceased take precedence over the statutory rules of succession (Vorrang der gewillkrten Erbfolge). Thus, the statutory rules can be overriden by a will (Testament; 1937 BGB)ie, a unilateral disposition on deathor by an estate contract (Erbvertrag; 1941 BGB)ie, a binding bilateral agreement.289 The term Verfgung von Todes wegen (disposition on death) is understood in a wide sense to include a unilateral disposition (a will (Testament)), an estate contract (Erbvertrag) and any order (Anordnung) taking effect on death (eg, a legacy, a direction or the appointment of an executor). Although the types of testamentary disposition (letztwillige Verfgung) are statutorily fixed (Typenzwang),290 a person is free to dispose of his property on death as he wishes (Testierfreiheit). The personal character of this right makes it essential that any disposition is executed personally (persnlich; 2064, 2274). Moreover, other persons are not permitted to decide on the validity of a disposition, nor can a third party determine a beneficiary or the object of a grant (Zuwendung; 2065 BGB).291 Contractual restrictions of the right of testamentary freedom are void ( 2302 BGB).292
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(c) The will (Testament; 1937, 20642086, 22292264 BGB)293 (i) Execution (Errichtung) Capacity294 A minor only has capacity to execute a will (Testierfhigkeit) once he or she reaches the age of 16: 2229(i) BGB. Moreover, a will cannot be made by a person who is unable to appreciate the significance of his or her acts due to pathological mental disorder (krankhafte Strung der Geistesttigkeit), imbecility (Geistesschwche) or disturbance of consciousness (Bewusstseinsstrung): 2229(iv) BGB. Form The BGB distinguishes two types of willthe (normal) will executed in proper form (das ordentliche Testament; 22312248 BGB) and the extraordinary or emergency will (Nottestament; 22492252 BGB).295 The former can be executed in two different ways: 1 2 as a public will (ffentliches Testament) before a Notary, who makes a written record (Niederschrift) thereof: 2232 BGB; or by a personally handwritten and signed declaration: 2247(i) BGB.
(ii) Revocation (Widerruf)296 Revocation of a will or any testamentary disposition (letztwillige Verfgung) is possible at any time (jederzeit; 2253 BGB) in the following manners: 1 2 by will ( 2254 BGB); by destruction (Vernichtung) or alteration (Vernderung) of the (original) will by the testator with the intention of annulling it (Aufhebungsabsicht; 2255, 1st sentence BGB); by withdrawal of the will from official custody, eg, from a Notary (Rcknahme aus amtlicher Verwahrung; 2256(i) BGB); or by the execution of a later will, in so far as its content is not compatible with that of the earlier one (ie, a will containing contradictory dispositions; 2258(i) BGB).
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If the later will is itself revoked, the earlier will remains valid (ie, is restored), if that was the testators intention ( 2258(ii) BGB). (iii) Interpretation (Auslegung)297 If the meaning (Sinn) of the words used by a testator are clear (eindeutig), no problem of interpretation arises. However, it can happen that, even if a will is valid, a testator expresses himself unclearly (unklar) or that, for some reason, his motives turn out to have been incorrect and there is a gap (Lcke) in the will. In such cases, the purpose of interpretation is, respectively, to ascertain the true wishes (wirklicher Wille) of the testator ( 133 BGB) or, by supplementary interpretation (ergnzende Auslegung), to discover the testators hypothetical wishes (hypothetischer
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Wille), had he been correctly informed at the time the will was made (zum Zeitpunkt der Testamentserrichtung). Generally, if various interpretations of a disposition on death are possible, the one should be chosen, which gives effect to the dispositionthe principle of favourable interpretation (wohlwollende Auslegung): 2084 BGB. Interpretation is always preferable to challenge (Auslegung geht der Anfechtung vor).298 To this end, the BGB ( 20662077) lays down various statutory rules of interpretation (Auslegungsregeln) for wills, which are of corresponding application to estate contracts ( 2279 BGB).299 As far as wills are concerned, the literal meaning of the words used (the Wortlaut) does not play as important a role in interpretation today, as it did at the time the BGB was enacted. The text itself is not a limit to interpretation and surrounding circumstances (Umstnde auerhalb der Testamentsurkunde) can be taken into account. However, if it is asserted that a particular disposition was intended, it must be possible to find sufficient support (hinreichende Sttze) for it or at least some reference (Andeutung) to it in the will.300 (iv) Challenge (Anfechtung)301 (i) The challenge of a disposition on death is unnecessary, if, by means of beneficial interpretation (Auslegung), the disposition can be given a meaning, which accords with the true wishes of the deceased. Anfechtung comes into play, if there is a divergence between the real wishes of the deceased and those expressed in the disposition because of a mistake (Irrtum) on the part of the deceased or because the deceased was unduly influenced by an illegal threat (widerrechtliche Drohung). In such a situation, the disposition is voidable (anfechtbar) at the instance of the person, who would directly benefit, if the disposition were quashed (eg, the statutory heir(s) in the case of a will). The effect of a successful challenge is that the relevant disposition is void ab initio: 142(i) BGB. Initially, it is valid (wirksam), unlike a disposition, which contravenes good morals (gute Sitten), which is void by law ( 138(i) BGB).302 (ii) For the purpose of Anfechtung, the concept of mistake is wider than in 119 BGB. Thus, a disposition can be challenged not only: 1 because the deceased made a mistake as to the content/meaning of the disposition (Inhaltsirrtum) or in its declaration (Erklrungsirrtum) ( 2078(i) BGB); but also because the deceased based himself on wrong assumptions (falsche Vorstellungen) or expectations (Erwartungen), ie, on the ground that his motives were mistaken (Motivirrtum) ( 2078(ii) BGB).
An additional requirement is that it must be shown that the disposition was caused by the mistake, ie, that the deceased would not have made the disposition, had he known the true position (bei Kenntnis der Sachlage). For this purpose, it is only the subjective viewpoint of the deceased that countsobjective considerations are irrelevant.
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This is in marked contrast to 119 BGB, the underlying reason being the overriding importance attached by the law of succession to the principle of testamentary freedom. A will is a unilateral declaration (nichtempfangsbedrftige Willenserklrung), which can be revoked at any time. The interests of business safety (Sicherheit des Rechtsverkehrs) are irrelevant, since there is no business partner, and the trust of other persons, who rely on the validity of a will, enjoys no protection (ie, there is no schutzwrdiges Vertrauen). Thus, third parties have no right to compensation, if they suffer loss in reliance on the validity of a will ( 2078(iii) BGB). (iii) A disposition on death can also be challenged, if a person entitled to a compulsory portion, who was living at the death, but of whose existence the deceased was not aware, was mistakenly bypassed (bergangen) by the deceased, unless the deceased would have made the disposition anyway, had he known the true position: 2079 BGB. (iv) The challenge of a disposition appointing an heir, excluding a statutory heir from succession or appointing an executor (or the revocation thereof) must be declared at the probate court (Nachlassgericht): 2081(i) BGB. Challenge must be claimed within a year of knowledge of the grounds for challenge and, at the latest, within 30 years from the death: 2082 BGB. (d) The joint will (Gemeinschaftliches Testament; 22652273 BGB) 303 The gemeinschaftliches Testament equates to the English mutual will, with the qualification that it can only be concluded by spouses: 2265 BGB. It is usually a will simultaneously executed by both spouses (ie, personally signed by each in turn ( 2267 BGB)) containing either entirely separate dispositions (selbstndige Verfgungen) or ones which are mutually agreed between them (untereinander abgestimmt) and which are interdependent (wechselbezglich), ie, both dispositions fail, if one of them is void or revoked: 2270(i) BGB. Interdependent dispositions (wechselbezgliche Verfgungen) are presumed to arise, if spouses appoint each other as heir or make dispositions in favour of (dose) third parties, which are conditional on the other spouses survival: 2270(ii) BGB. Thus, for example, spouses can leave their respective estates to each other, with the proviso that, after the death of the survivor, the relevant estate should pass to a third person (the final heir (Schluerbe)) eg, a child. In such a case (a so-called Berliner Testament (Berlin will)), it can be difficult to tell whether the estate should pass to the third person separately (getrennt) from the survivors own estate or together with it, ie, as a unit (als Einheit). Accordingly, it is a rule of interpretation that, if there is any doubt, the third party is presumed to be the heir of the last deceased spouse and entitled to the whole estate of both spouses: 2269 BGB.304 The importance of interdependent dispositions is that they are only freely revocable (frei widerruflich) during the lifetime of both spouses: 2271(i) BGB. Once the first spouse dies, they are (usually) irrevocable and binding (bindend) on the survivor: 2271(ii) BGB.305
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(e) The estate contract (Erbvertrag; 1941, 22742302 BGB)306 Unlike a will, which is a unilateral transaction, an estate contract is a bilateral agreement between the deceased and another person, by means of which either or both can make certain binding contractual dispositions (vertragmssige Verfgungen), ie, appoint an heir, leave a legacy or make a direction: 1941, 2278 BGB. It is important to realise that an estate contract is a special type of agreement under the law of succession, the essential feature of which is its binding effect (Bindungswirkung). Apart from the abovementioned contractual dispositions, an estate contract can also contain unilateral dispositions (einseitige Verfgungen; 2299 BGB), but these are freely revocable. Moreover, an estate contract is frequently accompanied by separate, collateral obligations (Verpflichtungen). An estate contract does not prevent the deceased from disposing of his estate in his lifetime as he pleases: 2286 BGB. However, any prior or subsequent testamentary disposition is invalidated by an estate contract, insofar as the right of the beneficiary under the estate contract would thereby be impaired: 2289 BGB. Moreover, a contractual heir (Vertragserbe) is protected, if the deceased makes a gift (Schenkung) during his or her lifetime with the intention of impairing the heirs position (Beeintrchtigungsabsicht). The heir can demand return of the gift on the grounds of unjust enrichment within three years of the death: 2287 BGB. Similarly, if the object of a contractual legacy is intentionally destroyed, fraudulently removed or damaged (zerstrt, beiseite geschafft oder beschdigt) by the deceased, the contractual legatee can demand its value: 2288(i) BGB.307 An estate contract must be notarially documented in the presence of both parties: 2276(i) BGB. 4 The Estate (Erbschaft/Nachla) and the Heir(s) (a) Universal succession ( 1922 BGB) The German law of succession proceeds on the basis that on the death of a person (Erbfall) that persons assets (Vermgen) pass as a whole (ungeteilt) to one or more heirs (Erben) the principle of universal succession (Gesamtrechtsnachfolge; 1922 BGB). The estate devolves on the heir(s) directly by operation of law (ipso iure), regardless of the knowledge or wishes of the heir(s) (Anfall der Erbschaft; 1942(i) BGB). Thus, single items cannot be separated out of the estate with effect in rem (dingliche Wirkung). In particular, a legacy (Vermchtnis) or a direction for division of the estate (Teilungsanordnung; 2048 BGB) creates no proprietary rights, but merely gives rise to a statutory obligation (gesetzliches Schuldverhltnis), ie, a claim (Anspruch / Forderung) against the heir(s).308 (b) The community of heirs (Erbengemeinschaft; 20322063 BGB)309 (i) A deceaseds estate often passes not to a sole heir (Alleinerbe), but to several persons. Legally, these persons comprise a joint community (Gesamthandsgemeinschaft),
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although, unlike a civil law company (BGB-Gesellschaft), their relationship does not arise by agreement.310 The estate constitutes a separate, special mass (Sondervermgen) belonging to the community. Each heir can dispose of his or her share (Anteil) in the (joint) estate, but not of his or her share of individual assets: 2033 BGB. A disposition (Verfgung) of particular assets (Nachlagegenstnde) always requires the prior approval (Einwilligung) or subsequent consent (Genehmigung) of all heirs: 2040(i) BGB.311 (ii) The relationship between the joint heirs (Miterben) ends on break-up of the estate (Auseinandersetzung), ie, settlement of all debts (Nachlaverbindlichkeiten) and division of any balance (Verteilung des berschusses) among them ( 2042, 2046, 2047 BGB). Until then, administration of the estate (Verwaltung des Nachlasses) is the heirs joint responsibility. Normally, their cooperation (Mitwirkung) must be unanimous (einstimmig). However, emergency steps directed to preservation of the estate (Erhaltung des Nachlasses) can be taken by any heir acting alone (so-called Notverwaltung) and measures of proper administration (ordnungsgemsse Verwaltung) can be decided upon by a majority, provided no significant change (wesentliche Vernderung) in the estate is made ( 2038, 745 BGB).312 In principle, each heir can demand break-up of the estate at any time: 2042(i) BGB. However, there are exceptions, eg, the testator can direct that break-up be excluded for up to 30 years ( 2044 BGB) and exclusion can be (expressly or impliedly) agreed upon between the heirs.313 The deceased can direct the mode of break-up: 2048 BGB. (iii) If children of the deceased, who are statutory heirs, receive an endowment (Ausstattung) from the deceased during the latters lifetime, they have a duty to bring it into account amongst themselves (Ausgleichungspflicht) on break-up of the estate, unless the deceased directed otherwise at the time of the grant: 2050 BGB. Such a duty also arises, if a child made a special contribution (besonderer Beitrag) to the preservation or increase of the deceaseds assets, eg, by way of financial support or by assistance in the deceaseds household, profession or business: 2057a BGB. (iv) If an executor (Testamentsvollstrecker) is appointed, break-up and administration of the estate are undertaken by him: 2204, 2205 BGB. (c) Appointment of an heir (Erbeinsetzung; 1937, 1941, 20872099 BGB) 2087 BGB contains a general rule of interpretation to the effect that, if the deceased leaves all his assets (sein Vermgen) or a part thereof (Bruchteil) to a beneficiary, the disposition is presumed to be the appointment of an heir (Erbeinsetzung), even if the beneficiary is not referred to as heir.314 However, a testator is not forced to appoint an heir, nor to dispose of his whole estate. Insofar as he does not do so, the statutory rules of succession apply: 2088 BGB.315 If a testator appoints several heirs, one of whom falls away (wegfllt) before the testators death, his or her share does not lapse, but accrues to the others and is shared among them proportionately (the principle of Anwachsung (accretion)): 2094 BGB.
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Anwachsung is a general principle, which applies to all forms of Gesamthandsgemeinschaft (joint community) and, therefore, also in company law.316 (d) Appointment of a substitute heir (Ersatzerbe; 20962099 BGB)317 Anwachsung can be avoided, if the testator appoints a substitute heir. The inheritance does not then pass to the heir, who was originally appointed (berufen) and who, for some reason, is unable or unwilling to be heir, but to the substitute: 2096 BGB. Appointment of a substitute heir is to be distinguished from rules of interpretation taking effect in the event of doubt (im Zweifel). Thus, where a testator leaves his estate to his children, there is a statutory presumption that if any child predeceases the making of the will, his or her issue take: 2068 BGB. Similarly, if any issue, who are appointed, fall away after the making of the will, their issue take: 2069 BGB. (e) Appointment of a subsequent heir (Nacherbe; 21002146 BGB)318 (i) Instead of appointing a substitute heir, a testator can dispose of his estate in such a way that a person first becomes heir after someone else, at a particular time (Zeitpunkt) or on the occurrence of a particular event (Ereignis). The estate passes to the heirs successively (nacheinander), the later one being referred to as the subsequent heir (Nacherbe): 2100 BGB. If the relevant moment or event is not specified, it is presumed that the testators estate passes to the subsequent heir on the death of the prior heir (Vorerbe): 2106(i) BGB. If the testator fails to specify the prior or subsequent heir, their position is assumed by his statutory heirs: 21042105 BGB. Once the event of succession (Nacherbfall) arises, the prior heir ceases to be heir and the estate passes (directly) to the subsequent heir: 2139 BGB. Before then, the subsequent heir has a right of expectancy (Anwartschaftsrecht), which is itself capable of succession (vererblich): 2108(ii) BGB. However, the appointment of a subsequent heir generally becomes ineffective 30 years after the testators death, if the event of succession does not occur beforehand: 2109(i)BGB. (ii) The purpose of Vor- and Nacherbschaft is to keep an inheritance as far as possible intact for future generations. In this respect, the institution is similar to the English settlement. Thus, the prior heirs own right to dispose of the items in the estate is subject to restrictions ( 2112, 21132115 BGB), although bona fide acquisition by a third party is possible: 2113(iii) BGB. Moreover, the prior heir is obliged to hand over the estate to the subsequent heir in such a condition as accords with proper administration (ordnungsmige Verwaltung): 2130(i) BGB. However, this rule is significantly qualified: (a) the prior heir is only required to exercise the standard of care expected of him in his own affairs (diligentia quam in suis): 2131 BGB; and
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(b) the prior heir has no liability for ordinary wear and tear (gewhnliche Abnutzung): 2132 BGB. The prior heir can be released altogether from all restrictions and obligations, if the testator merely leaves the rest of his estate to the subsequent heir ( 2137(i) BGB) or if the estate is left to the prior heirs free disposal (zur freien Verfgung; 2137(ii) BGB). (f) Exclusion from succession Disinheritance (Enterbung; 1938 BGB); A testator can disinherit a relative or spouse without reason at any time by will or by unilateral disposition in an estate contract. Disinheritance covers not only direct exclusion (Ausschliessung), but also the limitation of an heir to the compulsory portion or the appointment of another person as heir. Unworthiness (Erbunwrdigkeit; 23392345 BGB)319 Whether or not a person deserves to become heir or to receive a legacy or compulsory portion is usually irrelevant. However, certain forms of particularly reprehensible conduct (verwerfliches Verhalten) on the part of an heir can justify challenging the devolution of the estate to that heir. The possible grounds are ( 2339 BGB): 1 2 3 4 murder or attempted murder of the deceased or placing him in a condition, such that he was incapable of making or revoking a disposition before his death; illegally preventing the deceased from making or revoking a disposition; fraudulently deceiving or illegally threatening the deceased, causing him to make or revoke a disposition; or commission of an offence under 267, 271 to 274 StGB, ie, forgery or false documentation of a disposition.
A declaration of un worthiness (Erbunwrdigerklrung) can be sought by means of an action for challenge (Anfechtungsklage) by anyone, who would benefit (even indirectly) if the unworthy person fell away: 23402342 BGB. The effect of a successful challenge is that the devolution of the estate to the unworthy heir is retrospectively (rckwirkend) nullified. The estate is dealt with as if the unworthy heir had not been alive at the death of the testator: 2344 BGB. Challenge of a legatee or a person entitled to a compulsory portion is possible on the same grounds: 2345 BGB. In such cases, however, a declaration of challenge (Anfechtungserklrung) suffices. Waiver (Erbverzicht; 23462352 BGB)
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(g) Entitlement to a compulsory portion (Pflichtteil; 23032338 BGB)320 (i) The rationale underlying these provisions is that close dependants of the deceased (nahe Angehrige)ie, the deceaseds children, parents and spouseshould be entitled to share in the estate, even if they are excluded from inheritance in a disposition on death. By means of the instrument of the compulsory portion, the BGB tempers excessive testamentary freedom. The compulsory portion (Pflichtteil) is not a minimum right of inheritance, but only a pecuniary claim (Anspruch) against the heir(s), which arises on death: 2317 BGB.321 The claim must be made within three years of (positive) knowledge of the death and the impairing disposition or, without such knowledge, within 30 years of the death: 2332(i) BGB.322 (ii) The claim amounts to half in value of the statutory share, to which the claimant would have been entitled under the statutory rules: 2303(i) BGB. The basis for calculating the compulsory portion is the value of the estate (Wert des Nachlasses) at the time of death: 2311(i) BGB. The person entitled to a compulsory portion can demand information (Auskunft) regarding the estate from the heir(s): 2314(i) BGB.323 The relevant person must be excluded from inheritance (ie, usually, disinherited). However, exclusion does not have to be express, nor need it be complete.324 Thus, a person, who is appointed as heir, but who receives a share of the estate amounting to less than half of his or her statutory entitlement can claim the shortfall as a additional compulsory portion (Zusatzpflichtteil): 2305 BGB. Moreover, a legatee, who disclaims the legacy, can always claim a compulsory portion: 2307(i) BGB.325 (iii) Where there is a surviving spouse, who lived with the deceased under the statutory property regime of Zugewinngemeinschaft (community based on gain), 1371 BGB has to be taken into account in the calculation (Berechnung) of the compulsory portion.326 Thus, if the spouse is disinherited or disclaims the estate, the spouses compulsory portion is based on her non-increased statutory share ( 1931(i), 1371(ii), (iii) BGB)the so-called small compulsory portion (kleiner Pflichtteil). However, if the spouse becomes heir, the basis for calculation of the spouses (additional) compulsory portion is the increased statutory entitlement ( 1371(i) BGB)the so-called large compulsory portion (grosser Pflichtteil).327 The increased statutory entitlement is also the basis for computation, if there are other persons, apart from the spouse, who wish to claim a compulsory portion (eg, children). (iv) The purpose of the compulsory portion would be thwarted, if the deceased could deplete his estate by grants (Zuwendungen) or gifts (Schenkungen) during his lifetime. Thus, where there is an Ausgleichungspflicht between children of the deceased ( 2050, 2057a BGB), this must be taken into account when calculating the value of their statutory shares for the purpose of the compulsory portion: 2316 BGB.328
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Moreover, a claim to supplement the compulsory portion can be made (Pflichtteilergnzungsanspruch), if, within ten years before death, the deceased made a gift (Schenkung) to a third party: 2325 BGB. Gifts received by the claimant also have to be brought into account 2327 BGB. However, these provisions do not apply, if the relevant gift was made in accordance with a moral duty (sittliche Pflicht) or in consideration of decency (Anstand): 2330 BGB.329 (v) Withdrawal of the compulsory portion (Entziehung des Pflichtteils) is only possible on special grounds ( 23332335 BGB). It must be effected by will, stating the ground for withdrawal ( 2336 BGB). The testator can forgive the claimant, in which case the right of withdrawal ceases ( 2337 BGB).330 (h) Legacies and directions (Vermchtnis/Auflage; 19392940, 21472196 BGB)331 (i) By means of a legacy, a testator can bestow a pecuniary advantage (Vermgensvorteil) on someone (e.g. a sum of money or a particular item), without appointing that person as heir: 1939 BGB. The grant of a legacy merely has obligational effect (verpflichtende Wirkung), ie, unlike an heir, the legatee (Vermchtnisnehmer) obtains no proprietary right to the object of the legacy (der vermachte Gegenstand), nor does it pass to him or her directly. The legatee merely acquires a claim (Anspruch) to fulfillment of the legacy (eg, by transfer (bertragung) of the relevant item): 2174 BGB. The claim arises on death (Anfall des Vermchtnisses; 2176 BGB) and the beneficiary (der Bedachte) must then be alive ( 2160 BGB). The person liable to effect/perform the legacy is referred to as the person charged (der Beschwerte), ie, usually the heir(s), unless the testator otherwise directs: 2147 BGB. The testator can grant a legacy to an heir in addition to his or her share of the estate: 2150 BGB (a so-called Vorausvermchtnis (advance legacy)). Moreover, the testator can direct that a legacy take effect subject to a suspensive condition (aufschiebende Bedingung) or at a particular time: 2177 BGB. Such a legacy usually has a 30-year time limit: 2162 BGB. If the object of a legacy does not form part of the estate at death, the legacy is normally invalid (unwirksam): 2169(i) BGB. However, the person charged is required to obtain the item for the legatee, if it was intended that the legatee should receive it regardless of whether or not it belonged to the estate. Such a legacy is valid (a so-called Verschaffungsvermchtnis (procurement legacy); 2170 BGB). A legacy can be disclaimed by the legatee before acceptance (Annahme; 2180(i) BGB). (ii) Unlike a legacy, which gives the beneficiary a claim to performance (Leistung), a direction (Auflage) bestows no rights, whilst placing a legal obligation on the person charged: 1940 BGB. Enforcement is possible: 2194 BGB. (i) Appointment of an executor (Testamentsvollstrecker; 21972228 BGB)
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Procedural Aspects (a) Acceptance (Annahme) and disclaimer (Ausschlagung; 19421966 BGB)
(i) Despite the automatic devolution of the estate (Anfall der Erbschaft) on the heir(s), the heir(s) retain(s) the right to disclaim the inheritance: 1942(i) BGB. The right of disclaimer must be exercised within six weeks from the time the heir(s) learn of the death and their status as heir(s) (Erbenstellung): 1944(i), (ii) BGB. The period for disclaimer (Ausschlagungsfrist) is extended to six months, if the deceased had his or her last domicile (Wohnsitz) abroad or if the heir(s) were abroad at the start of the period: 1944(iii) BGB. In the meantime, there is a period of suspense (Schwebezustand). Any interim (obligational) transactions concerning the estate (erbschaftliche Geschfte) undertaken by the provisional heir (vorlufiger Erbe) before disclaimer are treated (internally) as being carried out by him without instructions as a Geschftsfhrer ohne Auftrag: 1959(i) BGB.332 Externally, he is liable with his own assets (Eigenvermgen), unless he dearly contracted on behalf of the estate. Dispositions of items belonging to the estate (Verfgungen ber Nachlagegenstnde) before disclaimer are nullified on disclaimer, unless they were urgent (dringlich): 1959(ii) BGB. However, bona fide acquisition is possible ( 932 BGB).333 In the event of disclaimer, devolution is retrospectively nullified: 1953(i) BGB. The estate passes to the person(s), who would have been entitled on the death, had the disclaiming person not then been alive: 1953(ii) BGB.334 (ii) No disclaimer is possible, if the inheritance is accepted or if the period for disclaimer is missed. In the latter situation (Versumung der Ausschlagungsfrist), the inheritance is deemed to be accepted: 1943 BGB.335 Acceptance does not have to be express. It can be implied from conduct (konkludentes Verhalten).336 Thus, if the provisional heir meddles in the estate, this can indicate that the heir wishes to accept the inheritance (gestio pro herede).337 Acceptance is ineffective, if the heir is mistaken as to the reason for succession: 1949(i) BGB. Moreover, the challenge (Anfechtung) of acceptance (or disclaimer) is possible. The successful challenge of an acceptance is deemed to be a disclaimer and vice versa: 1957(i) BGB. Unlike the challenge of a disposition on death, there are no special grounds for challenge (Anfechtungsgrnde). The general provisions in 119, 123 BGB apply.338 Generally, challenge must be effected within six weeks of knowledge of the ground for challenge ( 1954(i), (ii) BGB) and not later than 30 years after acceptance or disclaimer ( 1954(iv) BGB). The declaration of challenge must be made at the probate court ( 1955 BGB).
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(b) Liability of the heir(s) for debts (Haftung fr Nachlaverbindlichkeiten; 19672017, 20582063 BGB)339 The liability of the heir(s) for debts of the estatewhich include not only those of the deceased, but also the duty of the heir(s) to fulfil any compulsory portions, legacies and directions ( 1967(ii) BGB)is, in principle, unlimited (unbeschrnkt). Thus, it includes the heirs personal assets (Eigenvermgen). A means of ensuring that the liability of the heir(s) is limited to the assets of the estate and that, as far as possible, these remain available for the satisfaction of estate creditors (Befriedigung der Nacrdaglubiger) is to apply to the probate court for an order of estate administration (Nachlaverwaltung): 1975 BGB. Estate administration is a particular form of estate guardianship (Nachlapflegschaft).340 Application for estate administration can be made by the heir(s) or by an estate creditor. In the latter case, however, there must be reason to believe that the satisfaction of creditors is endangered by the conduct or commercial position of the heir(s) and the application must be made not more than two years after acceptance of the estate: 1981(ii) BGB. The effects of estate administration are: 1 2 the assets of the estate and those of the heir(s) are separated retrospectively (rckwirkend) to the date of death (Trennung der Vermgensmassen); and the heir loses the right to administer and dispose of the estate ( 1984(i) BGB).341 This right passes to an estate administrator (Nachlaverwalter), who is officially appointed by the probate court and who, like a guardian, is under the supervision (Aufsicht) of the court ( 1837(i) BGB).
The estate administrator must administer the estate and settle debts out of the estate: 1985(i) BGB. If the estate is over-indebted (berschuldet)the estate need not be insolvent (zahlungsunfhig)application must be made to commence proceedings for estate bankruptcy (Nachlakonkurs): 1980(i) BGB. Estate administration then ends: 1988(i) BGB. (c) Claims against third parties ( 20182031 BGB) (d) The certificate of inheritance (Erbschein; 23532370 BGB) The Erbschein is an official certificate (Zeugnis) of the right of inheritance (Erbrecht), which is issued to the heir(s) by the probate court (Nachlaericht) on application (Antrag). It shows the names of the deceased and the heir(s) and, if the heir(s) is/are only entitled to a share of the estate (Erbteil), the size of that share: 2353 BGB. The Erbschein must also give details of any restrictions on the entitlement of the heir(s) to dispose of the estate (Verfgungsbeschrnkungen), ie, the appointment of a subsequent heir (Nacherbe) or an executor (Testamentsvollstrecker): 2363, 2364 BGB.342
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The competent court for the issue (Erteilung) of an Erbschein is the local Amtsgericht (District Court) for the last domicile (Wohnsitz) or residence (Aufenthalt) of the deceased in Germany: 73(i) FGG.343 An Erbschein can only be issued once the facts have been established to the satisfaction of the court (Feststellung der Tatsachen): 2359 BGB. An Erbschein is presumed to be correct (Vermutung der Richtigkeit; 2365 BGB). If it transpires that the Erbschein is incorrect, the probate court must withdraw it (Einziehung). It is then automatically devoid of legal effect (kraftlos): 2361(i) BGB. Alternatively, the true heir can require an incorrect Erbschein to be returned to the probate court: 2362(i) BGB. In parallel with 892 BGB, an Erbschein also enjoys public credence (ffentlicher Glaube). Thus, in favour of a third party, who acquires an item out of the estate or a right to, or release from, such a right from the heir, the content of the Erbschein is deemed to be accurate, unless the acquiring person (positively) knows that it is incorrect or knows that the probate court has requested return of the Erbschein on that ground: 2366 BGB.344 (e) The probate court (Nachlagericht) Anyone holding a will, which is not in official custody (amtliche Verwahrung), must deliver it to the probate court once he learns of the death of the testator: 2259(i) BGB. The same applies to any authority, other than a court, holding a will in official custody: 2259(ii) BGB. The probate court is responsible for the setting of a date (Termin) for the opening of a will in its possession (Erffnung des Testament): 2260(i) BGB. It must keep a record (Niederschrift) of the proceedings: 2260(iii) BGB. Before acceptance or disclaimer of the inheritance by the heir(s) or if the heirs are unknown, the probate court must, if necessary, take appropriate steps to safeguard the estate (Sicherung des Nachlasses): 1960(i) BGB. In particular, it can appoint an estate guardian (Nachlapfleger): 1960(ii) BGB.345 If the proper heirs are not located within a reasonable period, the probate court must confirm that there are no heirs, apart from the State (Fiskus): 1964(i) BGB. There is then a presumption that the state is statutory heir: 1964(ii) BGB.
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CHAPTER XI
XI PRIVATE LAW: BGB COMPANY LAW AND THE COMMERCIAL CODE (HGB)1
A CONTEXT AND DEFINITIONS 1 The German Commercial Code (Handelsgesetzbuch or HGB) of 10.5.1897 came into force with the BGB on 1.1.1900. It contains the special law (Sonderrecht) of a particular professional class (Berufsstand), namely of the Kaufmann (businessman; trader). A person can conduct his business (Gewerbe)2 either alone (in which case, if he is a Kaufmann, as a so-called Einzelkaufmann (sole trader)) or together with others as a Gesellschaft (company). A Gesellschaft can take one of the following main forms:3 a Gesellschaft des brgerlichen Rechts (GbR=BGB-Gesellschaft: civil law company or BGB-company, ie, partnership; 705740 BGB);4 an offene Handelsgesellschaft (OHG: open trading company; 105160 HGB); a Kommanditgesellschaft (KG: limited partnership; 161177a HGB); a Gesellschaft mit beschrnkter Haftung (GmbH: company with limited liability); an Aktiengesellschaft (AG: public limited company).
The last four are also known as Handelsgesellschaften (commercial/trading companies), although only the OHG and KG are dealt with in the HGB ( 105177). For the OHG and KG, the HGB builds on the primary provisions for the BGBGesellschaft contained in 705740 BGB ( 105(ii) and 161(ii) HGB). Separate statutes govern the GmbH and AG (the GmbHG and AktG).5 2 At this point, it is important to draw attention to the fundamental difference between the terms Gesellschaft (company, society) and Gemeinschaft (community).6 The term Gesellschaft is a concept of private law. It is a sub-category of the term Gemeinschaft, which is a much less formal relationship. Thus, in the case of a Gemeinschaft nach Bruchteilen, every member can require that it be dissolved at any time: 749(i) BGB.7 A Gesellschaft is established by legal transaction (Rechtsgeschft) ie, by agreementfor a specific purpose (Zweck). A Gemeinschaft, on the other hand, can arise by statute (eg, 947948 BGB)ie, independently of the intention of the partiesand does not need to have a particular goal (eg, administration of an asset, married life (die eheliche Lebemgemeinschaft)).8 Moreover, a Gemeinschaft can exist in the form of a public corporation (Krperschaft des ffentlichen Rechts).9 The term Verband (association, federation) refers to any vehicle for the advancement of joint interests (zur Frderung gemeinsamer Interessen). In its wide
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sense, it incorporates Gesellschaft, Gemeinschaft and Verein. It is a sub-term of the less technical umbrella term Vereinigung (association, group).10 Verbnde properly so-called are to be found in private and public law. They cover not only representative bodies in trade and industry (eg, employers organisations and trade unions), but also political parties, consumer protection and environmental pressure groups and lobbyists (Interessenvertreter). To be distinguished from a Verband is a Kammer (chamber), which is an organisation established under public law to represent a particular profession.11 The BGB-Gesellschaft (and the OHG and KG) is a so-called Gesamthandsgemeinschaft (a joint community), the assets of which (Gesellschaftsvermgen) are the joint property (Gesamthandseigentum /Gesamthandsvermgen) of the members (Gesellschafter) and can only be disposed of jointly (gemeinschaftlich; 718(i) and 719(i) BGB).12 Other Gesamthandsgemeinschaften are the Gtergemeinschaft (community of property between spouses) and the Erbengemeinschaft (community between heirs).13 The Gesamthandsgemeinschaft is (the exception and is) to be distinguished from the (principal) Gemeinschaft nach Bruchteilen (a community by shares; 741758 BGB), where each Teilhaber (shareholder) can dispose of his Anteil ((ideal) share) in the asset(s) of the Gemeinschaft; the asset(s) as a whole can, however, only be disposed of jointly: 747 BGB).14 The Gesamthandsgemeinschaft is also to be strictly distinguished from the juristische Person (artificial/juristic person) or Krperschaft (corporate body), of which the Verein (club (incorporated) association) is the prototype ( 2179 BGB).15 Unlike the Gesamthandsgemeinschaft, the juristische Person or Krperschaft is a Rechtssubjekt and, once registered, rechtsfhig (ie, has separate legal personality); acts through its Organe (organs, eg, its Vorstand (board of directors)) for whose damaging acts it is liable ( 31 BGB); can be non-capitalised (Verein) or capitalised (a Kapitalgesellschaft (stock corporation), eg, a GmbH or AG).16
As opposed to a juristische Person, the BGB-Gesellschaft, OHG and KG are also examples of a Personengesellschaft (a personal company),17 which is characterised by the personal liability (persnliche Haftung) and personal direction/involvement (Selbstorganschaft) of its Gesellschafter /Mitglieder (members). In a juristische Person, the executive organs and the members do not have to be identical (Drittorganschaft is permitted). An OHG is based on the unlimited liability (unbeschrnkte Haftung) of all its members ( 105(i) HGB), while a KG has two types of member: the member(s) with unlimited liability (the Komplementr(en)) and the member(s) whose liability is limited to the amount of a particular investment (the Kommanditist(en): 161(i) HGB).18 In turn, a Gesellschaft can itself be a member of another Gesellschaft. Thus, a juristische Person (eg, a GmbH) can be a member of an OHG or the Komplementr of a KG (so in the GmbH & Co KG).19
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Chapter XI: Private Law: BGB Company Law and The Commercial Code (HGB)
All Gesellschaften are based on a Gesellschaftsvertrag (company agreement), which, in the case of a juristische Person/Krperschaft is known as the Satzung (memorandum/articles of association; 25 BGB). The Satzung of a Verein must specify (inter alia) its name, purpose and Sitz (seat/(registered) address): 5758 BGB. Unless the Satzung otherwise stipulates, the Sitz is the place from which the Verein is administered: 24 BGB.20 The Gesellschaftsvertrag /Satzung of a GmbH or AG must be notarially documented ( 2 GmbHG and 23(i) AktG)21 By 54, 1st sentence BGB, an unincorporated (ie, unregistered) association (nichtrechtsfhiger Verein)eg, a political party, student organisation or trade unionis governed by the rules regarding a BGB-Gesellschaft (civil law company/ partnership). Technically, an unincorporated association is a Gesamthandsgemeinschaft. Its assets belong to its members jointly. Those who act in the name of a nichtrechtsfhiger Verein, whether authorised or not, are personally liable and, if more than one, as joint debtors: 54, 2nd sentence BGB.22 However, 54 BGB is misleading. In practice, a nichtrechtsfhiger Verein is treated like an incorporated association. Case-law has resulted in 54 BGB being honoured less in the observance, than in the breach. Thus, a nichtrechtsfhiger Verein can be represented by its Vorstand ( 26 BGB), for whose damaging acts it is liable ( 31 BGB); a nichtrechtsfhiger Verein can be entered in the Land Register; it can (sue and) be sued ( 50(ii) ZPO); usually (ie, unless the association has commercial aims), the members of a nichtrechtsfhiger Verein are not personally liable for its obligations and their liability is limited to the amount of the associations assets (Vereinsvermgen).23 A special type of juristic person is the rechtsfhige Stiftung (foundation with separate legal personality), to which assets (Vermgen) are transferred by a donor (Stifler) for a certain purpose (Zweck). The establishment of a Stiftung requires the approval of the Land, in which the Stiftung is to have its seat: 80 BGB. B DUTIES, MANAGEMENT (GESCHFTSFHRUNG), REPRESENTATION (VERTRETUNG) AND LIABILITY (HAFTUNG)24
Unless otherwise agreed, the members of a BGB-Gesellschaft must make equal contributions (gleiche Beitrge) to the promotion of the object of the company (Gesellschaftszweck): 706(i) BGB. Moreover, based on 242 BGB, the members have an unwritten duty of loyalty (Treuepflicht) to further the interests of the company (Gesellschaftsinteressen) and, similarly, to desist from any actions which might conflict with or damage those interests. In their relationship towards each other (ie, internally) the extent of the duty of care (Sorgfaltspflicht) of the members of a BGB-Gesellschaft is reduced by statute. The members of a BGB-Gesellschaft are only expected to observe such a degree of
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care as they would exercise in their own affairs (diligentia quam in suis): 708 BGB. The test is subjective. 708 BGB therefore protects against liability for slight negligence (leichte Fahrlssigkeit), but does not release members of a BGB-Gesellschaft from liability for gross negligence (grobe Fahrlssigkeit): 277 BGB. 708 BGB is dispositive and can be derogated from by agreement. The members of a BGB-Gesellschaft are entitled to conduct the business of the company jointly (gemeinschaftlich). Each transaction normally requires the unanimous agreement of all members (Einstimmigkeitsprinzip): 709(i) BGB. However, the company agreement can provide for majority decisions (Mehrheitsprinzip) or for a transfer of management to one or more members (Einzelgeschftsfhrung): 710 BGB. If management is so transferred, the relevant members also have the power to represent the BGB-Gesellschaft towards third parties (Vertretungsmacht), unless the company agreement otherwise provides: 714 BGB.25 The position in the case of an OHG is somewhat different: usual acts of management (gewhnliche Handlungen) can be undertaken by any member in the absence of an objection (Widerspruch) from another: 115(i), 116(i) HGB. Each member also has authority to bind the OHG externally, unless otherwise specified in the company agreement: 125(i) HGB. If this authority is exceeded, 177ff BGB apply. The members of a BGB-Gesellschaft and an OHG are Gesamthnder, ie, they are personally liable as joint debtors (Gesamtschuldner), if they assume contractual obligations on behalf of the company ( 427, 431 BGB). However, whilst the members of a BGB-Gesellschaft are liable together because, technically, they each owe performance, the personal liability (persnliche Haftung) of members of an OHG is treated by the HGB as being based on (accessory to) the primary obligation of the company: 128 HGB. Legally, Schuld and Haftung are separated. In a BGB-Gesellschaft or OHG, limitation of liability (Haftungsbeschrnkung) to particular assets is, theoretically, possible, ie, by express agreement with the other contracting party or by a restriction on the power of representation in the company agreement.26 C THE HGB IN DETAIL
Introduction
The HGB is divided into five Books: Book I ( 1104): Handelsstand (classification/trading status)27 Book II ( 105237): Handelsgesellschaften (non-capitalised commercial companies) Book III ( 238339): Handelsbcher (bookkeeping) Book IV ( 343460): Handelsgeschfte (commercial transactions)28 Book V ( 476905): Seehandel (sea trade)29
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Book I ( 1104 HGB): Handelsstand
Book I is divided into eight Sections: 1: Kaufleute (businessmen; 17). 2: Handelsregister (commercial / trade register; 816). 3: Handelsfirma (trade firm; 1737). 4: 5: 6: 7: 8: (Repealed). Prokura and Handlungsvollmacht (procura and authority to trade; 4858). Handlungsgehilfen and Handlungslehrlinge (trading assistants and apprentices; 5983). Handelsvertreter (commercial / mercantile agents; 8492c). Handelsmakler ((trade) broker; 93104). (a) Section 1 ( 17 HGB)30 A person, who engages in one of the basic trading activities (Grundhandelsgewerben) listed in l(ii) HGB, is a so-called Mukaufmann (compulsory businessman), whether or not he is registered. Depending on the extent of his business activities, the Mukaufmann can be either a Vollkaufmann or Minderkaufmann (full or lesser businessman). Various provisions of the HGB are inapplicable to the Minderkaufmann (eg, firm registration, bookkeeping, grant of procura; 4(i)). A trading company, whether or not capitalised, is a so-called Formkaufmann (businessman by reason of its form; 6 HGB). By 2 HGB, a so-called Sollkaufmann is a person, who does not fall within l(ii), but the type and extent of whose activities require a properly organised business (dessen Unternehmen nach Art und Umfang einen kaufmnnisch eingerichteten Geschftsbetrieb erfordert), eg, a builder or hotelier). A Sollkaufmann becomes a Kaufmann by registration, which he is obliged to procure.31 (b) Sections 2 and 3 ( 837 HGB) 32 The name under which a Vollkaufmann engages in commercial activities is known as the Firma (firm) and must be registered in the Handelsregister (commercial/trade register), which is kept at the Amtsgericht (district court) ( 8, 17 and 29 HGB). (c) Section 5 ( 4858 HGB 33 The non-independent representatives and assistants (unselbststndige Vertreter und Hilfspersonen) of a Kaufmann are dealt with in 4883 HGB. The widest power of representation (Vertretungsmacht) that can be granted by a Vollkaufmann is the Prokura, which enables the procurist effectively to undertake any transactions, which a (not the!) trading activity (Handelsgewerbe) involves.34 The grant of procura (Erteilung der Prokura) must be registered and is unlimited (unbeschrnkt) as far as third parties are concerned ( 49(i), 50(i) and 53(i) HGB).35
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A Kaufmann can, instead, grant a so-called Handlungsvollmacht (trading power of attorney), which is presumed to be limited to those transactions, which are usual (gewhnlich) for that type of Handelsgewerbe ( 54 HGB). Whereas the extent of a procura is mandatory (zwingend), restrictions having no effect on third parties, (internal) limits on a Handlungsvollmacht are possible and only bind a third party, if he knew or ought to have known of them: 54(iii) HGB.36 Similarly, a third party is protected when dealing with an employee in a shop or store. The employee is deemed authorised to undertake such sales and receipts as are usual in such a place: 56 HGB. A Scheinvollmacht (apparent authority) is treated as existing, based on the position (Stellung) of the employee. The principal is liable for the Rechtsschein (legal appearance) which has been created.37 (d) Section 6 ( 5983 HGB) 38 The staff (Personal) of a Kaufmann are his Handlungsgehilfen (trading assistants), commonly referred to as kaufmnnische Angestellte (commercial employees; 59 HGB). An Auszubildender is a trainee. Competition by employees during and after employment (i) 60(i) HGB lays down a statutory prohibition of competition (gesetzliches Wettbewerbsverbot) by a Handlungsgehilfe (trading assistant) during the period of employment. Without the principals consent, such a person cannot engage in any (other) trading activity or do business in the same branch of trade (Handelszweig) as that of the principal. In the event of breach, 61 (i) HGB gives the employer (principal) two remedies: the employer can claim damages; or the employer can instead demand that any transaction(s) undertaken by the employee for the employees own account be treated as entered into for the account of the principal or that any fees earned by the employee in transactions for third parties be handed over or assigned to the employer.
The employers claims under 61(i) HGB become statute-barred three months after the employer becomes aware of the relevant transaction, otherwise (ie, in the absence of knowledge on the part of the employer) five years after conclusion of the transaction: 61(ii) HGB. (ii) Clauses restraining competition by commercial employees after the end of their employment (restrictive covenants) were originally freely negotiable. The forerunner of the HGB, the Allgemeines Deutsches Handelsgesetzbuch (ADHGB; General German Commercial Code), which was gradually implemented throughout Germany after 1861, contained no provisions in this respect. The current rules in the HGB concerning contractual prohibitions against competition by former commercial employees ( Wettbewerbsverbote/ Konkurrenzktauseln; 74ff HGB) were originally inserted into the HGB in 1897
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and were subsequently amended in 1914. They have since been extended by analogy to all employees. The rules are, in essence, protective norms (Schutznormen), which significantly limit the possibility of oppressive clauses (drckende Klauseln) in the interest of the freedom of the employee. Thus, a post-contractual prohibition (nachvertragliches Wettbewerbsverbot) is only valid and binding, if: the prohibition is in writing; the prohibition is contained in a document signed by the employer and handed to the employee; the prohibition serves a justified business interest of the employer (berechtigtes geschftliches Interesse); the employer agrees to pay compensation to the employee for the duration of the prohibition (Karenzentschdigung) of an amount of not less than half of the employees last earnings; taking into account the compensation agreed to be paid, the length, geographical extent or object of the prohibition does not unduly hamper the employees prospects of advancement; the prohibition does not last for more than two years after the end of the employment;
( 74, 74a(i) HGB). If the employees earnings are variable, the amount of compensation has to be assessed according to the average remuneration during the last three years or for such (shorter) period as the contractual remuneration clause applied ( 74b(ii) HGB). Once the prohibition takes effect and compensation is due, sums which the employee earns elsewhere (or which in bad faith he fails to earn) can be set off against the compensation payable so far as the other earnings, together with the compensation, exceed the last contractual earnings by more than 10% or, if the employee was forced to move home due to the prohibition, by more than 25% ( 74c (i) HGB). By 75 HGB, a restrictive covenant loses its effect if: the employee terminates his employment due to the employers conduct and within one month of termination states in writing that he does not consider himself bound by the prohibition; or the employer terminates the employment, unless the person of the employee provides significant grounds (erheblicher Anla) to do so or unless the employer agrees to continue to pay the employees last full salary for the duration of the prohibition.
Moreover, before termination of the employment, an employer can declare in writing that he (unilaterally) waives his rights under the restrictive covenant, in which case the employer is released from his obligation to pay compensation after the expiry of a year from the declaration: 75a HGB. The employee, on the other hand, is immediately free, but remains bound by the statutory prohibition against competition during the remaining period of employment.
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(e) Sections 7 and 8 ( 84104 HGB)39 The Handelsvertreter (commercial / mercantile agent) is an independent (ie, selfemployed) Hilfsperson of a Kaufmann.40 As opposed to the Handelsmakler (a broker ( 93 HGB) eg, insurance- or stockbroker),41 the Handelsvertreter is constantly (stndig) engaged in the referral (Vermittlung) or conclusion (Abschlu) of business to or for another entrepreneur (Unternehmer): 84(i) HGB. The Handelsvertreter acts as agent for his principal (Geschftsherr), unlike the commissioneer (Kommissionr: 383 HGB), who acts in his own name (im eigenen Namen).42 A Handelsvertreter or Kommissionr receives commission (Provision; 87 and 396 HGB). A Handelsmakler receives a fee (Maklerlohn / Courtage). The Handelsvertreter, Handelsmakler and Kommissionr are all Kaufleute ( 1(ii) Nos 6 and 7 HGB).43 3 Book II ( 105237 HGB): Handelsgesellschaften (a) Content Book II is divided into three Sections: 1 2 3 Offene Handelsgesellschaft (open trading company; 105160).44 Kommanditgesellschaft (limited partnership; 161177a).45 Stille Gesellschaft (silent partnership; 230237).46 (b) Section 1 ( 105160 HGB) Section 1 contains 6 Titles: 1 2 3 4 5 6 Errichtung der Gesellschaft (formation of the company; 105108). Rechtsverhltnis der Gesellschafter untereinander (legal relationship of the members amongst each other; 109122). Rechtsverhltnis der Gesellschafter zu Dritten (legal relationship of the members towards third parties; 123130b). Auflsung der Gesellschaft und Ausscheiden von Gesellschaftern (termination (dissolution) of the company and departure of members; 131144). Liquidation der Gesellschaft (liquidation of the company; 145158). Verjhrung (limitation period; 159160).
47
(i) Title 1 ( 105108 HGB) 105(i) defines the OHG as a company whose purpose (Zweck) is directed to the engagement in (Betrieb) a trading activity (Handelsgewerbe) under a joint firm (name; Firma), the liability of its members towards company creditors being unlimited (unbeschrnkt). The OHG is the trading version of the BGB-Gesellschaft (civil law company/partnership); thus, unless stated to the contrary in Section 1, the provisions
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of the BGB regarding the Gesellschaft ( 705740 BGB) additionally apply to the OHG ( 105(ii)). By 106(i) a notification (Anmeldung) to register an OHG must be made to the (district) court (Amtsgericht) for the area in which it has its registered address (Sitz). Any change in its Firma (firm name), Sitz or the entry of a new member into the company must also be notified ( 107).48 (ii) Title 2 ( 109122 HGB) 109 HGB contains the basic rule that, in the first instance (zunchst), the (internal) legal relationship of the Gesellschafter (members) of an OHG amongst each other is governed by the Gesellschaftsvertrag (company agreement) and that 110122 only apply in so far as the Gesellschaftsvertrag does not otherwise provide. The company agreement, therefore, has priority (Vorrang). 110122 contain provisions dealing with: compensation for expenditure and losses incurred by a member (Ersatz fr Aufwendungen und Verluste; 110111); restraint of competition by a member (Wettbewerbsverbot; 112113); the members right of management (Geschftsfhrungsbefugnis), its extent (Umfang) and withdrawal (Entziehung) by the court ( 114117).
By 115(i), a member is entitled to act alone, a veto from another member only having internal effect.49 The company agreement can require the members to act together and with mutual consent, but not in a case of urgency (Gefahr im Verzug; 115(ii)). 116 provides that, unlike the members very extensive external power to represent the OHG (Vertretungsmacht; laid down in 126), their Geschftsfhrungsbefugnis only entitles them to engage in usual trading activities (Handlungen, die der gewhnliche Betrieb des Handelsgewerbes der Gesellschaft mit sich bringt). Anything beyond that requires a resolution (Beschlu) of all members ( 116(ii)): the members right of control (Kontrollrecht; 118); the passing of resolutions (Beschlsse; 119). No particular form is required and majority resolutions can be permitted by the company agreement; the establishment and division of profit and loss (Gewinn und Verlust; 120122). (iii) Title 3 ( 123130b HGB) The HGB sharply divides the legal relationship between the members of an OHG internally (nach innen; 109122) from their relationship to third parties (externally (nach auen; 123130b). For the protection (Schutz) of its business partners, 123130b contain essentially compulsory provisions dealing with: the time of effective creation of the OHG (Wirksamkeit; 123); the legal status of the OHG and enforcement against its property ( 124);
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the members power to represent the OHG (Vertretungsmacht; 125125a), its extent (Umfang; 126) and its withdrawal by the court (Entziehung; 127); the personal liability (persnliche Haftung) of the members of the OHG towards creditors ( 128129a) and the liability of new members following entry (Eintritt; 130); the duty to apply for the opening of bankruptcy or composition proceedings in the event of the insolvency of an OHG having no human members ( 130a-130b).
Towards third parties, the OHG becomes effective (wirksam) from the moment of registration in the Handelsregister or from the time it commences business, if this takes place before registration ( 123(i) and (ii)). Like the BGB-Gesellschaft (civil law company), an OHG is not rechtsfhig, ie, it has no separate legal personality. Thus, creditors can only sue some or all of the members of an OHG, if they wish. However, an OHG is parteifhig, ie, it can also sue and be sued under its own (firm) name: 124(i) HGB.50 Where a BGB-Gesellschaft is involved, on the other hand, the members must all be sued, otherwise enforcement in the assets of the company (Gesellschaftsvermgen) is not possible: 736 ZPO.51 (iv) Title 4 ( 131144 HGB) 131 sets out various grounds for the termination (Auflsung) of an OHG, eg, commencement of insolvency or bankruptcy proceedings, death, notice (Kndigung) or court decision (so-called Auflsungsklage: 133). A member can only apply for termination by court decision, if an important reason exists (wenn ein wchtiger Grund vorliegt), eg, if another member is guilty of a breach of a fundamental obligation of his under the company agreement (whether deliberately or through his gross negligence) or if the performance of such an obligation becomes impossible ( 133(i) and (ii)). Instead of applying to the court for termination of the OHG, the remaining members can apply to the court for the exclusion (Ausschlieung) of a member if an important reason, as laid down in 133, exists ( 140). The company agreement can itself provide for such exclusion in certain circumstances (so-called Hinauskndigungsklausel). The company agreement can provide for an OHG to be continued among the remaining members on departure (Ausscheiden) of a member (so-called Fortsetzungsklausel: 138) or with the heirs of a deceased member (so-called Nachfolgeklausel: 139). A departing member is entitled to a pay-out (Abfindung) on the same basis as is laid down in the BGB for the composition (Auseinandersetzung) between the members of a BGB-Gesllschaft.52 Within three months of knowledge of his inheritance, an heir has a right to request that the other members allow him to remain in the company as a limited partner (Kommanditist) or to declare his departure ( 139). The termination of an OHG and the departure of a member must be notified to the trade registry ( 143).
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(v) Title 5 ( 145158 HGB) Unless the members agree a different form of Auseinandersetzung or insolvency proceedings are commenced, the liquidation (Liquidation) of an OHG follows its termination (Auflsung; 145(i)). The liquidation procedure is set out in 146155 HGB. After completion of the liquidation, the liquidators have to notify the extinction of the firm (Erlschen der Firma) to the trade registry ( 157(i)). (vi) Title 6 ( 159160 HGB) By 159 HGB, claims against a former member for company obligations expire five years after the termination of the OHG or the departure of the member unless the claim against the company is subject to a shorter period of limitation. The five year period begins with the end of the day on which the termination or departure is registered in the trade register or, if later, from the time at which the claim against the company becomes due (fllig). (c) Section 2 ( 161177a HGB)53 Section 2 of Book II ( 161177a HGB) deals with the Kommanditgesellschaft (limited partnership). It contains a definition of the KG and declaration that the OHG provisions of the HGB find supplementary application, except as otherwise provided in Section 2 ( 161); a paragraph dealing with trade registry notification and publication of the entry ( 162); certain special norms regarding the relationship of the members amongst each other (in particular the position of the Kommanditist (limited partner)), which only apply in the absence of alternative provisions in the company agreement ( 163169); a paragraph forbidding a Kommanditist from representing the KG externally ( 170); provisions dealing with the liability (Haftung) of the Kommanditist to creditors of the KG ( 171176); a paragraph stating that the death of a Kommanditist does not lead to the termination of a KG ( 177); and a paragraph regarding obligations to provide details on business letters and the duty of application on insolvency ( 177a). (d) Section 3 ( 230237 HGB) Section 3 deals with the stille Gesellschaft (silent partnership; 230237). 4 Book III ( 238339 HGB): Handelsbcher 54 Book III is divided into three Sections: 1: 2: Vorschriften fr alle Kaufleute (provisions for all businessmen; 238263). Ergnzende Vorschriften fr Kapitalgesellschaften (Aktiengesellschaften, Kommanditgesellschaften auf Aktien und Gesellschaften mit beschrnkter Haftung)
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(supplementary provisions for capitalised companies (public companies, partnerships limited by shares and limited companies); 264335). 3: Ergnzende Vorschriften fr eingetragene Genossenschaften (supplementary provisions for registered cooperative societies; 336339). 5 Book IV ( 343460 HGB): Handelsgeschfte55 Book IV is divided into 7 Sections: 1 Allgemeine Vorschriften (general provisions; 343372).56 This Section contains the general provisions relating to Handelsgeschfte. Handelsgeschfte are defined in 343(i) HGB as all business belonging to the trading activity of a Kaufmann (alle Geschftedie zum Betriebe seines Handelsgewerbe gehren). By 344(i), in the event of doubt it is (rebuttably) presumed that a Rechtsgeschft concluded by a Kaufmann is a Handelsgeschft. Moreover, by 344(ii), it is (irrebuttably) presumed that a Handelsgeschft is involved, if a Kaufmann signs a Schuldschein (IOU), unless indicated to the contrary in the Schuldschein.57 345 provides that the provisions on Handelsgeschfte in Book IV HGB also apply to transactions where only one party is a Kaufmann. However, there are various exceptions. Thus, in so-called beiderseitigen Handelsgeschften (ie, where each party is a Kaufmann): account must be taken of commercial customs and usages (Handelsbruche): 346; 58 the statutory interest rate is 5% per annum: 352(i);59 interest on contractual claims can already be demanded from the due date of payment (Flligkeit): 353;60 a Kaufmann with a due contractual claim against another Kaufmann has a right to retain and satisfy himself from movables or securities belonging to the other party in his possession: 369372. The HGB also increases the protection of persons dealing with a Kaufmann, whatever their status: by 347(i), the duty of care (Sorgfaltspflicht) of a Kaufmann is stricter than in 276(i)BGB; by 348, a contractual penalty (Vertragsstrafe) promised by a Kaufmann cannot be reduced;61 by 349, a Kaufmann, who gives a guarantee (Brgschaft), cannot require the creditor to sue the debtor first; by 350, a guarantee, acknowledgement of debt (Schuldanerkenntnis) or promise (Schuldversprechen) given by a Kaufmann does not require a particular form; by 366(i), where a Kaufmann disposes of a movable not belonging to him, the other party can acquire ownership, if he (the other party) is in good faith
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regarding the Kaufmanns entitlement to undertake the transaction (his Verfgungsbefugnis): he does not need to regard the Kaufmann as the owner.62 2 3 4 5 6 7 Handelskauf (trade purchase; 373382).63 Kommissionsgeschft (commissioneer business; 383406).64 Speditionsgeschft (forwarding agency business; 407415).65 Lagergeschft (storage business; 416424).66 Frachtgeschft (freight business; 425452).67 Befrderung von Gtern und Personen auf den Eisenbahnen des ffentlichen Verkehrs (transport of goods and persons by public railways; 453460).68
Sections 2 to 7 deal with individual types of Handelsgeschfte. 373382 HGB (which are dispositive!) amend the provisions of the BGB regarding sale of goods in the interests of clarity and speed of trade. Thus, for example, a trader, who purchases goods (Waren) from another trader, must examine them and notify any apparent faults (Mngel) without delay (unverzglich) after delivery, otherwise the goods are regarded as approved and the purchaser loses his guarantee rights (Gewhrleistungsansprche; 377(i) and 377(ii)).69 Where, however, one of the parties is not a Kaufmann, the ordinary sale of goods law of the BGB applies and claims only become statute-barred after six months ( 477 BGB).70 NOTE: Sections 47 have been amended and reorganised by the Transportrechtsreformgesetz (TRG) dated 25.6.1998. Now, Frachtgeschft is dealt with as Section 4 ( 407452d) spe follows as s 5 ( 453466). Finally, Lagergescaht is continued in Section 6 ( 467475). The former s 7 has been deleted.
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CHAPTER XII
XII THE PRIVATE LIMITED COMPANY (GMBH)
A INTRODUCTION Despite its name, a private limited company (GmbII), like a public limited company (AG), is technically not a Gesellschaft (company) in the narrow sense of the Civil Code ( 705ff BGB), but a special form of Verein (association), ie, it is a juristic person (juristische Person) or corporate body (Krperschaft). Thus, in so far as there are gaps in the relevant statute (GmbH-Gesetz (GmbHG)) the provisions in the BGB concerning incorporated associations (rechtsfhige Vereine) can be of supplementary application.1 B ESTABLISHMENT Before incorporation (ie, registration (Eintragung) in the commercial register (Handelsregister) of its seat (Sitz)), a GmbH does not exist: 11(i) GmbHG. One distinguishes the following stages (Stufen) in the establishment (Entstehung / Grndung) of a GmbH:2 1 Before the company agreement (Gesellschaftsvertrag) is notarially documented ( 2 GmbHG), the promoters (Grnder) comprise a so-called Vorgrndungsgesellschaft (preformation company), ie, a civil law partnership (BGB-Gesellschaft) or, if a trading activity is engaged in under a firm name, an open trading company (OHG). Towards third parties, the promoters are personally liable, as joint debtors ( 427 BGB) without limitation, for all obligations of the Vorgrndungsgesellschaft. If a contract is concluded without authority on behalf of the Vorgrndungsgesellschaft, the person acting is liable as an unauthorised agent ( Vertreter ohne Vertretungsmacht; 179 BGB).3 After notarial documentation of the company agreement (ie, formal creation (Errichtung) of the GmbH), but before incorporation, the interim unit is referred to as a Vorgesellschaft (preliminary company). It is a legal entity (Rechtsgebilde) sui generis, governed by the same provisions as the future juristic person, in so far as they do not specifically require separate legal personality. A Vorgesellschaft is represented by its director(s); it can enter into contracts and can acquire property (often the suffix iG (in Grndung; in formation) is used). However, legally, the assets of a Vorgesellschaft (Gesellschaftsvermgen) belong to the promoters jointly (gemeinschaftlich). The Vorgesellschaft constitutes a Gesamthandsgemeinschaft (joint community).4 Thus, the promoters are personally liable as joint debtors up to the amount of their respective contribution (Einlage) for all obligations incurred in the name of the Vorgesellschaft (so-called Grnderhaftung). Moreover, anyone acting (as director) on behalf of the future company is personally liable: 11(ii) GmbHG (socalled Handelndenhaftung).5
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On registration (Eintragung) of the GmbH, all assets and liabilities of the Vorgesellschaft pass to the GmbH and all personal liability ceases, except to the extent that there is a difference between the basic capital (Stammkapital) consisting of the relevant basic contribution(s) (Stammeinlage(n); 5 GmbHG) and the value of the companys assets at the moment of incorporation. In such a case, the members (Gesellschafter) are liable to the company for any shortfall (socalled Differenzhaftung); if there is a shortfall in the value of a contribution in kind (Sacheinlage), it must be made up in money: 9 GmbHG.6 C STAMMKAPITAL, STAMMEINLAGE AND GESCHFTSANTEIL7
The basic capital8 of a GmbH is referred to as the Stammkapital. By 5(i) GmbHG, the Stammkapital must amount to at least 25,000 Euro.9 The Stammkapital is divided into (ie, made up of) basic contributions (Stammeinlagen) from the members. The Stammeinlage of each member must amount to at least 100 Euro. Stammeinlagen do not have to be equal, but they must be divisible by 100 and their total must correspond to the total of the Stammkapital: 5(iii) GmbHG. The total amount of all Stammeinlagen paid up (eingezahlt) must amount to at least 12,500 Euro before a GmbH can be notified for registration: 7(ii) GmbHG. A Stammeinlage can be made in money (Bareinlage) or can take the form of a contribution in kind (Sacheinlage).10 The share (membership) of a person in the assets of a GmbH (Gesellschaftsvermgen) is referred to as the Geschftsanteil (share in the business). Its size (not its value or price!) is determined by the relative amount of the relevant members Stammeinlage: 14 GmbHG.11 In principle, a Geschftsanteil can be freely disposed of or can pass by way of succession. Disposal (Veruerung) is effected (abstraction principle!) by an obligational transaction (ie, a contract of purchase/sale (Kaufvertrag)) and a disposition/transfer (Verfgung /bertragung) by way of assignment (Abtretung). Both transactions have to be notarially documented: 15(iii) and (iv) GmbHG. By the provisions of the company agreement, disposal of a Geschftsanteil can be made dependent on the approval of the company: 15(v) GmbHG. Moreover, disposal of part of a Geschftsanteil is only possible with the companys written approval: 17(i) and (ii) GmbHG. It is a cardinal principle that the Stammkapital must be preserved (Grundsatz der Kapitalerhaltung). Thus, the assets of a GmbH cannot be paid out to the members, if the Stammkapital would thereby be diminished: 30(i) GmbHG. D ORGANS12 (i) Although a personal company (Personengesellschaft) has no separate legal personality, a GmbH, once registered, is rechtsfhig, ie, it has the capacity to be an independent carrier of rights and obligations. A GmbH can acquire ownership and other real rights over land and can sue and be sued: 13(i) GmbHG.
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Chapter XII: The Private Limited Company (Gmbh)
However, like other juristic persons, a GmbH is not itself capable of entering into a legal transaction (Rechtsgeschft)ie, it is not geschftsfhignor is it even capable of acting (handlungsfhig) alone. For this reason, a GmbH has two principal organs: the totality of its members (Gesamtheit der Gesellschafter) and one or more directors (Geschftsfhrer). The totality of the members constitutes the highest organ (oberstes Organ) of a GmbH. (ii) The members are competent to decide on much of the most important business of a GmbH by way of resolutions (Beschlsse) in meetings (Versammlungen). Their rights are governed principally by the terms of the company agreement (Gesellschaftsvertrag). Subject thereto, the functions of the members are set out in 46 GmbHG. In a GmbH, the majority (Mehrheit) of the votes cast suffices for the passing of a resolution of the members (Gesellschafterbeschluss): 47(i) GmbHG. This contrasts with the position in a personal company (eg, a BGB-Gesellschaft or an OHG), where, in principle, unanimity (Einstimmigkeit) is required, unless the company agreement otherwise provides: 709(i) BGB, 119(i) HGB.
E DIRECTORS (GESCHFTSFHRER) (i) Every GmbH must have one or more directors (Geschftsfhrer): 6(i) GmbHG. Directors must be natural persons with full legal capacity: 6(ii), 1st sentence GmbHG. They do not have to be members: 6(iii) GmbHG. The directors are the statutory representatives (gesetzliche Vertreter) of the company (35 GmbHG). (ii) Directors are appointed either in the company agreement (Gesellschaftsvertrag) or by a resolution (Beschluss) of the members (Gesellschafter): 6(iii), 2nd sentence GmbHG. Two specific restrictions on appointment of directors are contained in 6(ii), 2nd and 3rd sentences GmbHG. Thus, a person, who has been convicted of certain bankruptcy offences (Konkursstraftaten), cannot act as a director of a GmbH for five years from the date the judgment becomes legally effective; nor can someone who is subject to a judicial or administrative decision prohibiting the exercise of a particular profession act as a director of a company engaged in the same business while the prohibition is in force. (iii) It is important to realise that the formal (company law) appointment (Bestellung) of a director is to be kept strictly distinct from his or her (internal) contractual engagement (Anstellung), which is governed by the norms of the BGB concerning contracts of service (Dienstvertrge; 611ff BGB). Thus, while the appointment of a director is normally13 revocable (widerruflich) at any timeone speaks of Abberufungtermination (Kndigung) of the directors underlying service contract (Anstellungsvertrag) must be effected with notice ( 622 BGB) or summarily for an important reason ( 626 BGB).
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A director usually receives a fixed salary (Gehalt) and a share of profit (Tantieme) by way of remuneration (Vergtung), but is not strictly an employee (Arbeitnehmer) for the purposes of employment law.14 (iv) As in the case of other forms of company (Gesellschaft), for a proper understanding of the position of a director of a GmbH one must distinguish the management of the business of the company (Geschftsfhrung) from its representation towards third parties (Vertretung), ie, the so-called Innenverhltnis (internal relationship) and the Aussenverhltnis (external relationship). In principle, both areas of activity fall within the competence of a director. When conducting the affairs of a GmbH, a Geschftsfhrer mustin so far as his relationship to the company itself and its members is concerned (ie, internally) abide by the terms of the company agreement (Gesellschaftsvertrag) and his service contract and is subject to control by resolutions of the members: 37(i) GmbHG. In particular, the members can give a Geschftsfhrer binding directions (Weisungen). However, towards third parties (ie, externally), any legal transactions expressly or impliedly entered into by a Geschftsfhrer in the name of a GmbH bind the GmbH: 36 GmbHG. Internal restrictions on a directors power of representation have no legal effect: 37(ii) GmbHG.15 In particular, the distinction between the internal and external relationship is relevant when the question of a directors personal liability (Haftung) arises. Thus, the bases for claims (Anspruchsgrundlagen) can be different according to whether the claimant is the company, members or third parties.16 (v) After every change in the members of the company or in the extent of their shareholding, the directors must file a signed list of members (Gesellschafterliste) at the commercial register, stating the current members full names, dates of birth, places of residence and contributions: 40(i) GmbHG.17
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CHAPTER XIII
XIII CIVIL PROCEDURE
A THE ZIVILPROZEORDNUNG (ZPO) German civil procedure (Zivilproze) is based on the Zivilprozeordnung (ZPO; Civil Procedure Order/Code of Civil Procedure) of 30.1.1877, as re-enacted on 12.9.1950 and variously amended since that date. The ZPO is divided into 10 Books: Allgemeine Vorschriften (general provisions; 1252). Verfahren im ersten Rechtszuge (first instance proceedings; 253510b). Rechtsmittel (legal remedies / appeals; 511577). Wiederaufnahme des Verfahrens (resumption of proceedings; 578591). Urkunden- und Wechselproze (procedure in the case of documents and bills of exchange; 592605a). Book VI Familien-, Kindschaft- und Unterhaltssachen (family, children and maintenance matters; 606644).1 Book VII Mahnverfahren (default notice procedure; 688703d). Book VIII Zwangsvollstreckung (enforcement; 704945). Book IX Aufgebotsverfahren (claims notification procedure; 9461024). Book X Schiedsrichterliches Verfahren (arbitration proceedings; 10251048). Book I Book II Book III Book IV Book V
B THE MAXIMS OF CIVIL PROCEDURE2 Civil procedure is governed by certain basic principles or maxims (Grundstze): 1 Grundrecht des rechtlichen Gehrs (the basic right to be heard). The parties are entitled under the Basic Law to be given an opportunity to be heard in the proceedings (Article 103(i) GG).3 Verhandlungsgrundsatz (Beibringungsgrundsatz). It is for the parties to proceedings to introduce facts (Tatsachen) and applications (Antrge). The opposite of this principle is the so-called Untersuchungsgrundsatz or Inquisitionsprinzip (examination maxim or inquisition principle), which applies, for example, in criminal and administrative proceedings.4 The Verhandlungsgrundsatz is restricted by: (a) 138 ZPO: the parties factual statements must be complete (vollstndig) and truthful (wahrheitsgem);5 (b) 139 ZPO: the judicial duty to clarify and ask questions (die richterliche Aufklrungs- und Fragepflicht).6
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Dispositionsgrundsatz ( Verfgungsgrundsatz; disposition principle). The proceedings are at the disposition of the parties; they can settle or acknowledge claims, make or withdraw applications. The opposite of this principle is the Offizialmaxime (official principle), which dominates in criminal procedure.7 Mndlichkeitsgrundsatz (oral principle). The Verhandlung (hearing) must be oral. However, by 128(ii) and 128(iii) ZPO, written proceedings are possible in certain cases, eg, if both parties agree. Unmittelbarkeit und ffentlichkeit (directness and publicity). Only those judges, who are present at the oral hearing, can pass judgment ( 309 ZPO). With certain exceptions, the hearing must take place in public ( 169 Gerichtsverfassungsgesetz (GVG): Constitution of the Courts Law).8 Beschleunigung und Konzentration des Verfahrens (acceleration and concentration of the proceedings). The dispute must usually be dealt with in one comprehensively prepared hearing (in einem umfassend vorbereiteten Termin), the so-called Haupttermin (main hearing), which must take place as early as possible ( 272(i) and 272(iii)). Freie Beweiswrdigung (free assessment of evidence). The court must decide as to the truth or otherwise of the facts presented to it according to its own free conviction (nach freier berzeugung) and only those rules of evidence (Beweisregeln) laid down by statute bind it ( 286(i) and 286(ii)).
To convince the court, absolute certainty is not required (absolute Gewissheit ist nicht erforderlich); it suffices to establish that the fact in question is almost certainly true (ie, virtual certainty (eine an Sicherheit grenzende Wahrscheinlichkeit)) or is beyond reasonable doubt (jenseits vernnftigen Zweifels), ie, that it possesses such a degree of probability as to silence reasonable doubts (einen so hohen Grad von Wahrscheinlichkeit, da vernnftige Zweifel schweigen).9 In civil proceedings, the burden of allegation (Behauptungslast /Darlegungslast) and the burden of proof (Beweislast) are of pivotal importance.10 C POINTS TO NOTE One should be aware of the following: A There is a basic distinction between the so-called Erkenntnisverfahren (judgment proceedings), in which the court reaches its decision (Entscheidung)usually an (End-)Urteil ((final) judgment; 300 ZPO)and the Vollstreckungsverfahren (enforcement proceedings; dealt with in Book VIII), in which enforcement (Zwangsvollstreckung) takes place.11 Judgment proceedings are the subject of Books II to IV of the ZPO, while special types of proceedings (besondere Prozearten) are dealt with in Books V-VII, IX and X. While the issue of proceedings (Klageerhebung) and the lodging of any appeal (Rechtsmitteleinlegung) are in the hands of the parties (Parteibetrieb), the court is responsible for the progress of the case (Fortschritt des Verfahrens) and the conduct of the proceedings (Prozeleitung): so-called Amtsbetrieb.12
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B C
Chapter XIII: Civil Procedure
Thus, service of pleadings and court decisions is normally a matter for the court to carry out of its own motion (von Amts wegen; 270 ZPO). However, service can also be effected between lawyers direct, unless, at the same time, the party being served has to be notified of a direction from the court: 198(i) ZPO.13 D A court can decide not only by means of an Urteil, but also in the form of a Beschlu (order) or Verfgung (direction). These are normally for decisions during the proceedings. The form of appeal against a Beschlu is the Beschwerde (complaint).14 E After conclusion of the oral hearing, the Urteil is pronounced (verkndet; 310 ZPO). The court is then bound by its decision ( 318), which becomes formell rechtskrftig when it can no longer be challenged (angefochten) by a Rechtsmittel (legal remedy/appeal). The formelle Rechtskraft of an Urteil is a condition of its so-called materielle Rechtskraft, whereby the inner content of the decision on the claim becomes binding on the parties and the court: res judicata. The matter in dispute (Streitgegenstand) or procedural claim (prozessualer Anspruch) cannot be decided upon again ( 322(i) ZPO).15 F Despite the fundamental oral principle ( 128(i) ZPO), an oral hearing (mndliche Verhandlung) is not always necessary to deal with a particular matter (eg, for a Beschlu). An oral hearing is then at the discretion of the court (freigestellt)16 If an oral hearing is necessary to deal with a particular matter, the court must, of its own motion (von Amts wegen), set a hearing date (Termin; 216 ZPO) and issue a summons to attend (Ladung; 214 ZPO).17 G By Articles 97(i) and 20(iii) GG, the judiciary is independent and only bound by statute and law.18 Previous decisions in other cases (Prjudizien: precedents) are not binding on the courts. This principle applies with certain exceptions, eg, among the supreme courts where the interest in maintaining unified decisions prevails.19 H The ZPO proceeds on the basis that, regardless of any defects (Mngel), judgments normally remain effective (wirksam). The proper means of challenging them is by lodging a Rechtsmittel (legal remedy).20 Exceptionally, however, the annulment (Aufhebung/Kassation) of a judgment, which has legal effect (Rechtskraft), is possible by way of a Wiederaufnahme des Verfahrens (re-opening of the proceedings) on the ground of certain procedural or substantive errors. This can only be sought by way of a separate action.21 I Instead of commencing proceedings by writ (Klage), an application (Antrag) can be made to the plaintiffs local Amtsgericht (district court)22 for the issue of a Mahnbescheid (default notice) where a specific amount is due in Euros or German Marks (the so-called Mahnverfahren (default (warning) procedure)).23 The defendant has two weeks from service (Zustellung) of the Mahnbescheid to pay or dispute the claim. In the event of an objection (Widerspruch) from the defendant, the matter is passed to the appropriate court on application ( 696(i) ZPO). Otherwise, a so-called Vollstreckungsbescheid (enforcement notice) can be issued ( 699). However, a further two weeks are available to the defendant to lodge an Einspruch (objection) against the Vollstreckungsbescheid ( 338 and 700 ZPO).24
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D THE ZPO IN DETAIL25 1 Book I ( 1252 ZPO): General Provisions (a) Content Book I of the ZPO (Allgemeine Vorschriften; 1252) is divided into three Sections: 1: 2: 3: Gerichte (courts; 149). Parteien (parties; 50127a). Verfahren (proceedings; 128252). (b) Section 1 ( 149 ZPO) Section 1 contains four Titles: 1: 2: 3: 4: Sachliche Zustndigkeit der Gerichte und Wertvorschriften (substantive jurisdiction and value provisions; 111). Gerichtsstand (local jurisdiction; 1237). Vereinbarung ber die Zustndigkeit der Gerichte (agreement as to jurisdiction; 3840). Ausschlieung und Ablehnung der Gerichtspersonen (exclusion of and objection to court personnel; 4149). (c) Section 2 ( 50127a ZPO) Section 2 contains seven Titles: 1: 2: 3: 4: 5: 6: 7: Parteifhigkeit und Prozefhigkeit (capacity to be a party and to take steps in the proceedings; 5058). Streitgenossenschaft (joinder of parties; 5963). Beteiligung Dritter am Rechtsstreit (involvement of third parties in proceedings; 6477). Prozebevollmchtigte und Beistnde (authorised persons in proceedings and parties assistants; 7890). Prozekosten (costs; 91107). Sicherheitsleistung (security for costs; 108113). Prozekostenhilfe und Prozekostenvorschu (legal aid and payment on account of costs; 114127a).26 (d) Section 3 ( 128252 ZPO) Section 3 contains five Titles: 1: 2: 3: Mndliche Verhandlung (oral hearing; 128165). Verfahren bei Zustellungen (procedure for service of documents; 166213a). Ladungen, Termine und Fristen (summonses to attend, hearing dates and time limits; 214229).
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4: 5:
Folgen der Versumung. Wiedereinsetzung in den vorigen Stand (consequences of failure to observe time limits. Reinstitution of the previous position. 230238). Unterbrechung und Aussetzung des Verfahrens (interruption and suspension of the proceedings; 239252). (e) Section 1 in detail ( 149 ZPO)27
It is important to note that the GVG (and not the ZPO) governs the substantive (factual) jurisdiction (sachliche Zustndigkeit) of the courts ( 1 ZPO). The ZPO only deals with the local jurisdiction of the courts ( rtliche Zustndigkeit or Gerichtsstand : 1237 ZPO). 28 Courts without statutory Zustndigkeit are forbidden: Article 101(i) GG. Thus, by 71 (i) GVG, the Zivilkammer (civil chamber) of the Landgericht (county court (LG)) has jurisdiction (ie, is zustndig) in first instance in all civil disputes, which are not within the jurisdiction of the Amtsgericht (district court (AG)). In the Amtsgericht civil matters are normally dealt with by a single judge (Einzelrichter) sitting alone: 22(iv) GVG. In criminal proceedings such a judge is referred to as a Strafrichter: 25 GVG.29 With various exceptions, non-contentious business in the Amtsgericht is usually within the competence of a Rechtspfleger (legal executive), who, unlike the judge, is a civil servant (Beamter) and does not enjoy the same degree of independence (Unabhngigkeit).30 The Amtsgericht has (substantive) jurisdiction, for example: in disputes concerning monetary claims (vermgensrechtliche Ansprche) where the value (Streitwert) does not exceed DM 10.000 ( 23 No 1 GVG); in disputes between landlord and tenant or regarding rented property, regardless of value ( 23 No. 2 (a) GVG); in disputes regarding parenthood (Kindschaft) and maintenance (Unterhalt) ( 23a GVG); in family matters (Familiensachen), which term includes matrimonial matters (Ehesachen) and various other proceedings ( 23b GVG);31 in default notice and enforcement proceedings ( 689(i) and 764(i) ZPO).32
The Streitwert of a dispute is relevant both for the Zustndigkeit of the courtthe socalled Zustndigkeitsstreitwert, which is dealt with in 29 ZPOand for the purpose of court fees and coststhe so-called Gebhrenstreitwert or Kostenstreitwert, which is dealt with in 1234 of the Gerichtskostengesetz (GKG: Court Fees Law).33 Regardless of the Streitwert, the Landgericht has exclusive jurisdiction over state liability claims, ie, where it is alleged that a judge or civil servant has acted beyond his powers (seine amtlichen Befugnisse berschritten) or has failed to perform his duties (seine Amtspflichten unterlassen): 71(ii) No 2 GVG.34 The Kammer fr Handelssachen (chamber for commercial matters) at the Landgericht deals on application, inter alia, with claims between Kaufleute, actions between members of a Handelsgesellschaft and trade mark and unfair competition matters ( 95 GVG).
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The jurisdiction of the Oberlandesgericht (county court of appeal (OLG)) and the Bundesgerichtshof (Federal Supreme Court (BGH)) in civil matters is laid down in 119 and 133 GVG. An appeal (Rechtsmittel) to the former is known as a Berufung, while an appeal (on a point of law) to the latter is a Revision.35 (f) Section 2 in detail ( 50127a ZPO) (i) Title 1 ( 5058 ZPO)36 A party to civil proceedings is eine Partei.37 The ZPO distinguishes between the capacity to be a Partei so-called Parteifhigkeitand the capacity to take steps in the proceedings (Prozehandlungen) so-called Prozefhigkeit. Parteifhigkeit and Prozefhigkeit are both preconditions for being able to take steps in the proceedings (Prozehandlungsvoraussetzungen) and preconditions for a judgment (so-called Sachurteilsvoraussetzungen; also referred to as Prozevoraussetzungen, Zulssigkeitsvoraussetzungen or Verfahrensvoraussetzungen). Prozehandlungen38 Prozehandlungen (steps in the proceedings) can be taken by the court (gerichtliche Handlungen) or by the parties (Parteihandlungen). Only the latter are dealt with here. A distinction is drawn between Parteihandlungen, which require assistance from the court or which seek to influence the courts decision (so-called Erwirkungshandlungen) and those which have direct procedural effects (so-called Bewirkungshandlungen).39 Whether a particular act is classified as a Prozehandlung, rather than a Rechtsgeschft (legal transaction), is important, because Prozehandlungen only have effects in regard to the proceedings and within its context, not beyond (Sie entfalten ihre Wirkungen nur in bezug auf den Proze und allein in seinem Rahmen, nicht darber hinaus).40 In particular: 1 Prozehandlungen are only governed by procedural and not substantive law. However, the principle of Treu und Glauben (trust and good faith) must still be observed by the parties. Rechtsgeschfte only have procedural significance, in so far as they are asserted in the proceedings (im Proze geltend gemacht). Prozehandlungen can often be freely withdrawn, corrected or supplemented, but not, if the other party has acquired a particular legal position (eine bestimmte Rechtsstellung). Prozehandlungen must be undertaken unconditionally and without reservation (unbedingt und vorbehaltlos), ie, it is not permissible that they are dependent on events outside the proceedings.41 The reinterpretation (Umdeutung) or cure (Heilung) of Prozehandlungen, which are faulty (fehlerhaft), is usually possible.
2 3
The concept of cure (Heilung) of procedural mistakes can be a trap for the unwary. Thus, 295(i) ZPO provides that a party loses his right to complain of the infringement of a procedural provision (eg, relating to the taking of evidence
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(Beweisaufnahme)) or of one concerning the form of a Prozesshandlung, if the party waives compliance with the relevant provision or fails to raise an objection (Rge) regarding the procedural defect (Verfahrensmangel) before the end of the next oral hearing, at which the party appears and knew or should have known of the defect. The omission to make an objection (Unterlassen einer Rge) at the hearing leads to the loss of the right to complain (Verlust des Rgerechts), which, in turn, cures the procedural defect. However, by 295(ii) ZPO a procedural defect is only curable (heilbar) due to the failure to raise an objection, if the defect is one, which can be effectively waived (verzichtbar), ie, certain (significant) procedural defects are incurable (unheilbar).42 Prozevoraussetzungen It is important to note here that, in all jurisdictional branches, the relevant Prozevoraussetzungen are checked by the court itself (von Amts wegen) as a preliminary point. Their fulfillment means that the action is zulssig (admissible).43 Prozevoraussetzungen can be grouped according to whether they relate to the parties, the court or the object of the action (Streitgegenstand)44 and include, for example: the question of the parties being parteifhig and prozefhig and having the right to conduct the action (Prozefhrungsbefugnis or Prozefhrungsrecht);45 the question of the Rechtsweg (legal route, ie, court) chosen for the dispute being zulssig (used here in the sense of permissible);46 the question of the jurisdiction (Zustndigkeit) of the court in the proceedings, both substantive and local;47 the question of the Streitsache (matter in dispute) not already being sub judice (rechtshngig) and not being the subject of a previous decision finally binding between the parties (materiell rechtskrftig); the question of the plaintiff having a need for legal protection (Rechtsschutzbedrfnis or Rechtsschutzinteresse); the question of the writ having been correctly issued (Ordnungsmigkeit der Klageerhebung), ie, by the correct (authorised) person and with the correct content.
By 50 ZPO, a person is parteifhig if he is rechtsfhig, ie, any person, natural or legal, who is capable of being a carrier of rights and obligations.48 On the other hand, a person is only prozefhig so far as he can bind himself by a Vertrag (contract; 52), ie, so far as he is geschftsfhig. Unlike a natural person, a legal person is not itself geschftsfhig, but acts through its legal representatives (gesetzliche Vertreter) and is, therefore, technically prozeunfhig. Any procedural fault on the part of a legal representative (which term includes, inter alia, parents of minors49 and company representatives) is equated with that of the party itself ( 51(ii)). (ii) Title 2 ( 5963 ZPO)50 Parties can sue or be sued jointly (gemeinschaftlich) and are then known as Streitgenossen.
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In the case of (normal) so-called einfache Streitgenossenschaft (simple joinder of parties), the Streitgenossen are, for procedural purposes, treated individually (als einzelne, eg, accident victims), whereas in the case of so-called notwendige Streitgenossenschaft (necessary joinder of parties) only a united decision (einheitliche Entscheidung) by the court is possible. The members of a Gesamthandsgemeinschaft are notwendige Streitgenossen and the presence at a hearing or observation of a time limit by one of them is effective for all ( 61 and 62(i)). (iii) Title 3 ( 6477 ZPO)51 A third party can become involved in proceedings in the following ways: by means of so-called Hauptintervention (direct intervention) where the third party himself claims the thing or right in dispute ( 64); by means of so-called Nebenintervention or Streithilfe (assistance to one of the parties in the dispute) where the third party has a legal interest (rechtliches Interesse) in the success of one of the main parties (Hauptparteien) ( 66(i)). The third party (Nebenintervenient (intervener)) must take the proceedings as he finds them at the time of his accession (Beitritt): 67. He is entitled to use means of attack and defence (so-called Angriffs- und Verteidigungsmittel)52 and generally to take all steps in the proceedings (Prozehandlungen) so long as the means used and steps taken do not contradict those of the main party he is assisting. Thus, the third party can plead matters in support of or by way of objection to the action, but he cannot extend, amend or withdraw the Klage nor can he acknowledge the Klage or lodge a counterclaim (Widerklage). The courts decision is binding for the purpose of any subsequent proceedings between the Hauptpartei and the Nebenintervenient (so-called Interventionswirkung) and the latter only has a limited right of complaint if he alleges that the Hauptpartei has improperly conducted the action ( 68); by means of so-called Streitverkndung (notification of dispute/third party notice) where one of the parties to the dispute believes (glaubt) that, in the event of an outcome unfavourable to him, he can make a claim for guarantee or indemnity against a third party (einen Anspruch auf Gewhrleistung oder Schadloshaltung gegen einen Dritten) or fears (besorgt) a claim from a third party ( 72(i)). If the third party accedes to the party giving the notice (the Streitverknder), he has the position of a Nebenintervenient and can, in his own interest, assist in the action; otherwise, the proceedings continue without regard to him. However, whether or not the third party accedes to the Streitverknder, the so-called Interventionswirkung53 takes effect between them ( 74(iii)); where the third party alleges that he is the rightful creditor (Glubigerstreit: dispute between creditors; 75) or the defendant alleges that he is in possession of a Sache not for the plaintiff, but for a third party (Urheberbenennung; 76). (iv) Title 4 ( 7890 ZPO)54 Generally speaking, parties can either conduct their legal proceedings themselves, give any person, who is prozefhig, written authority (schriftliche Vollmacht /
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Prozevollmacht) to take steps in the proceedings (Prozehandlungen) on their behalf as a Bevollmchtigte (authorised person) or allow such a person to appear with them as an assistant (Beistand): a so-called Parteiproze (party action; 79 and 90 ZPO). However, before certain courts and in certain matters, legal representation (Vertretung durch Anwlte) is required (geboten), in which case the lawyer instructed must be admitted (zugelassen) at the court involved: a so-called Anwaltsproze (lawyers action). For example, in civil cases before a Landgericht (county court) or a higher court, as well as in family matters (Familiensachen), appropriate lawyers have to be instructed (Anwaltszwang): 78 ZPO.55 These provisions have to be read in conjunction with 157 ZPO, which, in principle, restricts the right of representation at oral hearings to members of a Rechtsanwaltskammer (RAK; Lawyers Chamber), the purpose being to uphold standards. Thus, except for members of an RAK: (a) 157(i) ZPO contains an absolute prohibition on representation (Vertretungsverbot) at the oral hearing by persons, who on an independent, professional basis and regularly deal with legal affairs for others. Civil servants, employed persons or those, who occasionally handle legal matters for third parties, are not prevented from appearing. (b) 157(ii) ZPO gives the court a discretionary power to forbid/ stop a party or a partys representative from making (further) submissions, if the person concerned lacks the ability to present the case properly (die Fhigkeit zum geeigneten Vortrag). The term Vollmacht When considering the term Vollmacht (authority/power of attorney), it is important to realise that it is a technical term of the German law of agency (Vertretung) set out in 164181 BGB.56 The agent or representative of a person is referred to as a Stellvertreter or Vertreter and must fulfil two requirements before he can be regarded as such: he must have Vertretungsmacht (power to represent / authority); and he must act im Namen des Vertretenen (in the name of the person represented) or, as is usually said, im fremdem Namen (in someone elses name).
A Vollmacht is defined in 166(ii) BGB as eine durch Rechtsgeschft erteilte Vertretungsmacht (a power of representation granted by Rechtsgeschft (legal transaction)). A Vollmacht is, therefore, a power of representation granted by means of a Willenserklrung / on a voluntary basis, as opposed to a power of representation granted by statute, ie, the (gesetzliche) Vertretungsmacht ((statutory) authority) of a gesetzlicher Vertreter (statutory representative).57 German law distinguishes strictly between: (a) the so-called Innenverhltnis (internal relationship) between the grantor of a Vollmacht (the Vollmachtgeber) and the grantee / authorised person/attorney (Bevollmchtigte); and (b) the so-called Aussenverhltnis (external relationship) between the Bevollmchtigte and third parties.
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It is vital to understand that a Vollmacht only has effect im Aussenverhltnis, ie, externally and is completely independent from the (underlying) internal legal relationship (usually a contract). Thus, a breach of any internal (contractual) restrictions does not affect the validity of (external) acts under the Vollmacht. The extent (Umfang) of a Vollmacht in proceedings (Prozevollmacht) is laid down in 81 ZPO (ie, by statute) and a limitation (Beschrnkung) thereof is only valid externally insofar as it relates to the resolution of the action by means of a settlement (Vergleich), a renunciation of the matter in dispute (Verzichtsleistung auf den Streitgegenstand or an acknowledgement of the other partys claim (Anerkennung des von dem Gegner geltend gemachten Anspruch): 83(i). Internal limitations on the Bevollmchtigter are, however, always possible.58 The Prozehandlungen of a Prozebevollmchtigter are just as binding as if they had been taken by the party/Vollmachtgeber himself (the Bevollmchtigter is the latters alter ego)59 and any Verschulden (fault) on the part of the Bevollmchtigten is equated with that of the Vollmachtgeber: 85.60 A person who purports to take steps in proceedings without a Vollmacht is referred to as a vollmachtloser Vertreter or Vertreter ohne Vertretungsmacht (unauthorised agent/ representative). There is said to be a Mangel der Vollmacht (defect in the Vollmacht).61 The court is only obliged to check whether a Vollmacht exists on objection by the other party, in which case the Vollmacht must be lodged at the court ( 88 and 80(i)).62 Other relevant terms It remains necessary to clarify and distinguish the following terms: Prozefhrungsbefugnis or Prozefhrungsrecht (permission (or right) to conduct an action (in ones own name); locus standi). Unlike a Vollmacht, which is a precondition for being able to take steps in the proceedings (Prozehandlungsvoraussetzung), the Prozefhrungsbefugnis is a precondition of the admissibility of the proceedings (a Prozevoraussetzung). Its absence results in the action being rejected as unzulssig (inadmissible). The Prozefhrungsbefugnis is to be distinguished from the active or passive legitimation (Sachlegitimation) of the person whose right or liability is alleged, the lack of which results in the action being dismissed as unbegrndet (unfounded). The Prozefhrungsbefugnis usually belongs to the person actively or passively legitimated (sachlich legitimiert), but it can be transferred to someone who has no Sachlegitimation (so-called Prozestandschaft, where a person is a party to proceedings in his own name although he is not the owner of the right or liability involved). Postulationsfhigkeit. This is the capacity of a person to appear before a particular court and take steps in the proceedings (right of audience). Thus, it is a Prozehandlungsvoraussetzung and, where Anwaltszwang prevails, is restricted to appropriate lawyers.
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(v) Titles 5 to 7 ( 91127a ZPO) Within Title 5 ( 91107) two separate matters should be distinguished: in 91101, the courts decision on costs (Kostenentscheidung), ie, the question of the parties liability for costs (Kostenhaftung); and in 103107, the procedure for the fixing of costs (Kostenfestsetzung), which takes place after the hearing, ie, the question of the actual amount of costs due.
The basic rule is that the unsuccessful party has a Kostenpflicht, ie, a duty to pay the costs of the dispute (Kosten des Rechtsstreitsboth gerichtlich (ie, court fees) and auergerichtlich (non-court costs)), in so far as they were notwendig (necessary) for the purpose of the case: 91 (i), 1st sentence ZPO.63 Kostenfestsetzung enables the successful party to realise its claim for repayment (Kostenerstattungsanspruch). If the court decides that each side should bear its own costs, the costs are referred to as being gegeneinander aufgehoben (cancelling each other out). (g) Section 3 in detail ( 128252 ZPO) (i) Title 1 ( 128165 ZPO) Apart from the fundamental oral principle (Grundsatz der Mndlichkeit; 128(i) ZPO), this Title contains provisions regarding: (a) (vorbereitende) Schriftstze ((preparatory) pleadings), ie, content, enclosures, time limits and additional copies ( 129133).64 Such pleadings are compulsory where lawyers are involved ( 78 ZPO). (b) Deposit and discovery of documents referred to in the pleadings ( 134135). (c) The course of the oral hearing (Gang der mndlichen Verhandlung) and the duties (Pflichten) of the parties and the presiding judge (Vorsitzender): 136140.65$In particular: the parties must give a full and truthful account of the facts (they have a Wahrheitspflicht; 138(i));66 the parties submissions (die Vortrge der Parteien)ie, all facts (Tatsachen) and objections (Einwendungen) assertedmust be substantiated (substantiiert);67 each party must declare its position regarding facts (Tatsachen) alleged by the other party ( 138(ii). Facts are deemed to be admitted unless objected to (bestritten) and a declaration of ignorance (Erklrung mit Nichtwissen) is only permissible in certain circumstances: 138(iii) and (iv); in restriction of the Verhandlungsgrundsatz and in modification of the Dispositionsgntndsatz,68 the presiding judge has a duty to work towards the parties giving a full account of all significant facts and making appropriate applications (sachdienliche Antrge) to the court69
For example, the judge can: require the parties to clarify (erlutern) or supplement (ergnzen) their submissions;
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make suggestions (Anregungen); discuss the facts and law with the parties; ask questions (as can other members of the court); and express any reservations (Bedenken) regarding matters which have to be checked by the court (eg, whether the action is admissible): 139.70
(d) The various Anordnungen (directions) that can be given by the court, eg, the personal appearance (persnliches Erscheinen) of the parties, the presentation (Vorlegung) of documents (Urkunden) and files (Akten), the suspension (stay) of the proceedings (Aussetzung des Verfahrens): 141155.71 (e) The protocol of the hearing (Verhandlungsprotokoll) that must be kept: 159165. (ii) Title 2 ( 166213a ZPO) This Title is sub-divided into two blocks: I II Zustellung auf Betreiben der Parteien (service at the instance of (and on and between) the parties): 166207; Zustellungen von Amts wegen (service by the court; also called Amtsbetrieb (official conduct (of service)): 208213a).
By 208 ZPO, 166207 have corresponding application to Zustellungen von Amts wegen, except in so far as 209213a ZPO otherwise provide. In criminal proceedings, the civil provisions regarding service apply: 37(i) StPO. However, service by administrative and other public authorities is governed by special (federal and state) laws (Verwaltungszustellungsgesetze). It is important to understand that Zustellung (service) can relate to an Ausfertigung (ie, the official copy of an official document, eg, a court decision) or to an ordinary written item (Schriftstck), eg, a writ (Klage). Whilst the former merely needs to be handed over, service of the latter consists of delivery of a certified copy (beglaubigte Abschrift): 170(i) ZPO.72 Service at the instance of the parties is usually carried out by the court bailiff (Gerichtsvollzieher: 166 ZPO), by post ( 193197 ZPO), between lawyers (von Anwalt zu Anwalt: 198(i) ZPO) or by the Geschftsstelle (business office of the court: 211 ZPO). Service can be effected at any place, at which the person to be served is found: 180 ZPO. For private persons, this is normally their home (Wohnung). In the case of business persons, it is their place of business (Geschftslokal)73 Service at nighttime, on Sundays and public holidays requires the permission of a judge: 188(i) ZPO. The instructing party must receive a certificate of service (Zustellungsurkunde: 190192 ZPO), unless service is effected between lawyers, in which case a written, dated and signed acknowledgement of receipt (Empfangsbekenntnis) suffices to prove service: 198(ii)ZPO. A party not resident in Germany, who has not yet appointed a Prozebevollmchtigter resident either at the place of the Prozegericht (the court due to hear the case) or in the area of the relevant Amtsgericht, must name a person authorised to accept service (Zustellungsbevollmchtigter), who is resident in that place or area: 174(ii)ZPO.
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Until such a person is named, service is regarded as effected at the time of posting to the partys home address (Wohnort), even if the item is returned as undeliverable (unbestellbar): 175(i) ZPO. If the aim of service of a Schriftstck by the court is to safeguard a time limit (Frist) or to interrupt a limitation period, the desired effect sets in retrospectively (rckwirkend) from the time of lodging (Einreichung) at the court, provided that service is effected shortly (demnchst): 270(iii) ZPO. The same applies in the case of an application for a Mahnbescheid (default notice): 693(ii) ZPO.74 (iii) Title 3 ( 214229 ZPO) To be noted here is that: a distinction is drawn between normal time limits (Fristen), time limits set by a judge (richterliche Fristen), time limits set by statute (gesetzliche Fristen)75 and socalled Notfristen (time limits specified as such in the ZPO). Notfristen run at all times and cannot be shortened in any event, while the others can in certain circumstances be shortened or extended ( 223224); on application, a Termin (hearing (date)) can be changed or postponed (vertagt) on significant grounds (aus erheblichen Grnden): 227(i). Where a case is not postponed and neither party appears or makes submissions, the court can either decide the matter on the basis of the file (nach Aktenlage) or direct the resting (Ruhen) of the proceedings: 251 a.
(iv) Title 4 ( 230238 ZPO)76 To be distinguished are the following terms: a Versumung,77 which refers to a partys failure to observe (miss) the time limit for or to carry out a Prozehandlung (step in the proceedings) and generally leads to the party being excluded (ausgeschlossen) with the Prozehandlung;78
and a Versumnis,79 which refers to a partys failure to attend a Termin (Nichterscheinen) or to make submissions at a Termin (Nichtverhandeln),80
and leads to a possible Versumnisurteil (judgment in default) against him ( 330 and 331). A defendant who fails to notify his intention to defend (Verteidigungsabsicht) is also open to this risk: 331(iii).81 (v) Title 5 ( 239252 ZPO) Unterbrechung is the interruption of proceedings ipso iure, for example due to the Prozeunfhigkeit of a party, his death or that of his gesetzlicher Vertreter. Where, however, a party becomes prozeunfhig or he or his gesetzlicher Vertreter dies and the party is represented in the action (by a Prozebevollmchtigter), it is only possible to achieve the suspension of the proceedings (Aussetzung des Verfahrens) on application ( 246).82
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Time limits commence anew (von neuem) after any interruption or suspension ( 249). Proceedings can not only be interrupted or suspended, but can merely rest. Thus, if both parties so apply and the court considers it expedient (zweckmig) due to pending negotiations for a settlement or for other important reasons, a Ruhen des Verfahrens (resting of the proceedings) can be ordered ( 251).83 2 Book II ( 253510b ZPO): Proceedings at 1st Instance (a) Content Book II of the ZPO (Verfahren im ersten Rechtszuge; 253510b) is divided into two Sections: 1: 2: Verfahren vor den Landgerichten (proceedings before the County Courts; 253 494). Verfahren vor den Amtsgerichten (proceedings before the District Courts; 495 510b).
First instance proceedings can be commenced at an Amtsgericht or a Landgericht by plaint/writ (Klage). In the absence of any special provisions in Book I, 496510b or in provisions regarding the constitution of the Amtsgerichte, the proceedings in both cases are governed by Book II, Section 1 ( 253494; 495). (b) Section 1 ( 253494 ZPO): In the Landgericht Section 1 contains 12 Titles: 1 2 3 4 5 Verfahren bis zum Urteil (proceedings up to judgment; 253299a). Urteil (judgment; 300329). Versumnisurteil (judgment in default; 330347). Verfahren vor dem Einzelrichter (proceedings before a single judge; 348350). Allgemeine Vorschriften ber die Beweisaufnahme (general provisions regarding the taking of evidence; 355370). 6 Beweis durch Augenschein (evidence by inspection; 371372a). 7 Zeugenbeweis (witness evidence; 373401). 8 Beweis durch Sachverstndige (expert evidence; 402414). 9 Beweis durch Urkunden (documentary evidence; 415444). 10 Beweis durch Parteivernehmung (evidence by examination of the parties; 445455). 11 Abnahme von Eiden und Bekrftigungen (the taking of oaths and affirmations; 478484). 12 Sicherung des Beweises (securing of evidence; 485494).84
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(c) Section 1, Title 1 ( 253299a ZPO) (i) Issue and service of a Klage85 The issue (Erhebung) of a Klage requires two acts: the lodging (Einreichung) of a particular form of pleading (Schriftsatz)the Klageschrift (statement of claim)at the court;86
and the service (Zustellung) of the Klageschrift on the defendant ( 253(i) ZPO). The correct description of the parties (Bezeichnung der Parteien) is a vital component of the Klageschrift: 253(ii) No. 1 ZPO. The parties must be individualised, ie, they must be named, their address (Anschrift) must be stated and their status (Stellung) in the action clarified: 130 No 1 ZPO.87 When a matter is before the court, it is referred to as being anhngig (pending). The proceedings become rechtsngig (sub judice) once they are served on the other party. The relevant provisions regarding the procedure of service are contained in: 270(i) ZPO, whereby service is usually undertaken by the court (von Amts wegen); 271 ZPO, whereby service must be carried out unverzglich (forthwith) together with a direction to the defendant to appoint an appropriate lawyer, if he intends to defend himself, and to state via his lawyer (ie, in cases before a Landgericht), within a time limit of at least two weeks after service, whether there are any reasons why the Zivilkammer should not transfer the matter to a single judge (Einzelrichter), ie, if the case involves particular factual or legal difficulties or is of fundamental significance: 348(i); 208213a ZPO (together with 170 ZPO), whereby the Geschftsstelle (business office) of the court is responsible for service of a beglaubigte Abschrift (certified copy) of the Klageschrift by means of its bergabe (handing-over) by a court bailiff (Gerichtsvollzieher)88 or through the post ( 170 and 211).89 A certificate of service (Zustellungsurkunde) must be returned to the Geschftsstelle although, where the person to be served is a lawyer, notary, court bailiff, authority or public corporation, a written, dated and signed Empfangsbekenntnis (acknowledgement of receipt) suffices to prove service ( 212 and 212a).90 Where a person has been appointed as a Bevollmchtigter, he must be served ( 173178); and 65(i) GKG, whereby in civil actions the Klage can only be served after prepayment (Vorauszahlung) of the courts fee (Gebhr) and disbursements (Auslagen).91 A Rechtsanwalt can ask his client for a fair payment on account of costs (Kostenvorschu): 17 BRAGO.92 (ii) Types of Klage93 A Klage is customarily distinguished according to whether it is a: Leistungsklage, whereby an enforceable judgment requiring a Tun, Unterlassen
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oder Dulden (act, omission or sufferance=a Leistung) from the defendant is sought (eg, payment of a debt; restraint of conduct). Gestaltungsklage, whereby a judgment is sought reshaping a legal situation on the basis of particular legal provisions (eg, divorce, company dissolution). The judgment brings about an automatic rearrangement (Umgestaltung) of the position and requires no enforcement. Feststellungsklage, whereby a judgment establishing/declaring the existence or non-existence of a legal relationship ( das Bestehen oder Nichtbestehen eines Rechtsverhltnisses: 256(i) ZPO) is sought.
A Feststellungsklage can be brought to establish/declare absolute rights (eg, ownership, succession, family status, patent or copyrights) and is also useful in accident cases to establish a claim for liability only (dem Grunde nach) when a figure for damages is not yet available.94 (iii) The Streitgegenstand 95 (a) The controversial concept of the Streitgegenstand (object of the action) is not used directly as such in the ZPO. However, 253(ii) No 2 ZPO states that the necessary content of a Klageschrift must include the specific statement of the object and ground of the claim raised, as well as a specific application (to the court).96 Accordingly, the term Streitgegenstand is generally regarded as having the meaning of a procedural as opposed to a merely material Anspruch and as consisting of two elements: a particular Klageantrag (application to the court) in the Klage), and a particular Klagegrund (factual basis for the Klage /cause of action).
When the plaintiffs Klageantrag is justified by the Klagegrund, the Klage is referred to as being schlssig (apparently well founded/conclusive).97 Whether or not the plaintiffs Klage (and the Anspru(e)ch(e) (claim(s)) made therein) is ultimately actually well founded (begrndet) is for the court to decide,98 following the defendants response (his so-called Einlassung) and any necessary taking of evidence (Beweisaufnahme).99 The concept of the Streitgegenstand is of relevance when the question is raised: whether the same matter is already sub judice (anderweitig rechtshngig); whether an amendment of the writ (Klagenderung) has taken place;100 whether a court judgment has become finally (and not merely formally) binding on the parties (materiell rechtskrftig), and the court has to consider whether the new Streitgegenstand is identical (gleich), in which case it must be rejected, or is an anderer (different) Streitgegenstand, which is permissible.101 (b) A plaintiff is free to make numerous procedural claims against the same defendant in the same action, even if they are based on different grounds, provided the relevant claims all fall within the jurisdiction of the court and are all governed by the same
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type of proceedings: 260 ZPO (so-called objektive Klagenhufung (objective cumulation of claims)).102 The consequence of objektive Klagenhufung is that there is a joinder (Verbindung) of the claims. The claims are heard together (gemeinsame Verhandlung), but remain independent and can each be the subject of a partial judgment (Teilurteil; 301 ZPO).$By 145 ZPO, the court can require the claims to be pursued in separate actions or can, by analogy with 146 ZPO, deal with them separately (Trennung).$Objektive Klagenhufung is to be distinguished from: the situation where various plaintiffs or defendants are parties to an action (so-called subjektive Klagenhufung (subjective cumulation of claims), ie, Streitgenossenschaft);103 the making of numerous claims on an alternative basis (Alternativantrge), ie, leaving the choice to the court. This is generally not allowed; the situation where one and the same claim is made on various (factual) grounds (mehrere Klagegrnde). The court must then examine each ground, to see if it can support the claim. By this is not meant the basing of a claim on several Anspruchsgrundlagen, which is unobjectionable; the making of cumulative claims, subject to an internal procedural condition (so-called eventuelle Klagenhufung (eventual cumulation of claims)), ie, the (common) situation where an auxiliary application (Hilfsantrag) is made for the event that (fr den Fall, da) the main application (Hauptantrag) fails. This type of eventual application (Eventualantrag) is permitted.104
The so-called Stufenklage (step action; 254 ZPO) is a special form of action whereby various claims are joined in the same proceedings and are placed before the court for consideration in successive stages, ie, consideration of a subsequent claim depends on the previous one being successful.105 (iv) After the Klage is lodged106 The presiding judge (Vorsitzender) has two means to progress the matter once the writ has been lodged. He can either ( 272(ii)): (a) set a so-called frhen ersten Termin (zur mndlichen Verhandlung) (initial oral hearing) not less than two weeks after service ( 275 and 274(iii)). To prepare the initial oral hearing, the presiding judge can require the defendant to lodge a (written) defence (Klageerwiderung) within at least two weeks: 275(i) and 277(iii). If the matter can be disposed of (erledigt) at the initial oral hearing (eg, in the event of a settlement ( 279, 794(i) No 1 ZPO), an acknowledgment of the daim ( 307(i) ZPO) or a judgment in default ( 330, 331(i) ZPO) or if a final judgment is possible ( 300(i) ZPO)), the proceedings then terminate. Otherwise, the court must give such directions as are still required to prepare the main hearing (Haupttermin): 275(ii) ZPO; or (b) initiate the so-called schriftliches Vorverfahren (preliminary written procedure), which the presiding judge must do, if he does not set an initial oral hearing. In
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the event of a schriftliches Vorverfahren, the presiding judge must (together with service of the writ) require the defendant (Beklagte): to notify the court (within a Notfrist of two weeks) in writing if he intends to defend (wenn er sichverteidigen wolle); and (within at least two further weeks) to lodge his (written) defence (Klageerwiderung): 276(i).107
It must be drawn to the defendants attention that: if he intends to defend himself, he must appoint an appropriate lawyer (if necessary): 271 (ii). In a schriftliches Vorverfahren, only such a lawyer can notify the court of the intention to defend ( 276(ii)); (in the event of a schriftliches Vorverfahren) a failure (Versumung) by the defendant to notify his intention to defend within the Notfrist can lead to a judgment in default against him ( 276(ii) and 331(iii));108 the defence must be lodged by an appropriate lawyer (if necessary) and that, if the time limit set is missed, the defence can be rejected as out of time (versptet) ( 277(ii) and 296(i)).
The court can require the plaintiff to give his written comments on the defence within at least two weeks (a so-called Replik): 275(iv), 276(iii) and 277(iv). (v) The courts preparation for the hearing109 Whether an initial oral hearing (frher erster Termin) is set or the main hearing (Haupttermin) is to take place, the court must: at all stages of the proceedings work towards the parties making their submissions in good time and fully (rechtzeitig und vollstndig); and take necessary preparatory measures (erforderliche vorbereitende Manahmen) in good time (rechtzeitig), eg, require the parties to supplement or explain (points in) their pleadings, obtain official information and summon witnesses and experts ( 273; so-called prozeleitende Verfgungen).
In other words, the court is responsible to ensure that a case progresses without undue delay and to issue appropriate interlocutory orders as early as possible. Moreover, throughout the proceedings, the court must be intent on a friendly settlement of the dispute or of specific points: 279(i) ZPO. In particular, unless an attempt at settlement (Gteversuch) is clearly hopeless ( 278(ii) ZPO), the court mustas from 1.1.2002schedule a date for negotiation (Gtetermin) before the main hearing at first instance is held. (vi) The hearing110 Once a hearing date is set (bestimmt) by the court, the parties (and any witnesses and experts) are summoned to attend by means of a Ladung: 274(i). The period between service of the Ladung and the date of the hearing (the Ladungsfrist) amounts to at least one week where lawyers are instructed, otherwise at least three days: 217.
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The period between service of the writ and an oral hearing is the so-called Einlassungsfrist (period for engagement) and must amount to at least two weeks: 274(iii)ZPO.111 The main hearing (Haupttermin) proceeds as follows:112 1 2 3 the matter is announced (Aufruf der Sache: 220(i); the persons present are established (Feststellung der Anwesenheit);113 the court leads the parties into a consideration of the subject-matter (facts) of the case (Sachverhalt), both non-contentious and contentious (Sach- und Streitstand: 278(i));114 4 the parties are given a preliminary opportunity to be heard (Anhrung der Parteien), so that the facts of the case can be clarified (Aufklrung des Sachverhalts);115 5 the parties make their applications (Antrge) to the court with (or without) reference to the pleadings (= Stellung der Antrge: 137(i) and 297(ii));116 6 the parties submissions (die Vortrge der Parteien) on the facts and law are made, usually merely by reference to the pleadings ( 137(ii) and (iii)); 7 if necessary, the court orders the taking of evidence (Beweisaufnahme) by means of a Beweisbeschlu ( 278(ii), 1st sentence and 284);117 8 both the evidence and (again) the non-contentious and contentious subject-matter is considered ( 285 and 278(ii), 2nd sentence);118 9 the lawyer for each party makes final representations (the Pldoyer); 10 the court reaches its decision (Entscheidung): either in the form of an Urteil or Beschlu. The parties must not delay the proceedings (which they have a duty to further (Prozefrderungspflicht)). Thus: if the parties do not submit or notify their Angriffs- und Verteidigungsmittel (eg, facts, allegations, objections, evidence)119 within a Frist (deadline) set by the court or otherwise in time (rechtzeitig); or if an objection from the defendant to the admissibility of the Klage (a so-called Rge) is not raised in time,
the relevant Angriffs- und Verteidigungsmittel or Rge stands at risk of being rejected by the court as versptet (too late/out of time): 282(i)-(iii)) and 296(i)-(iii). In particular, an Angriffs- und Verteidigungsmittel, which is presented late (versptet vorgebracht), can be rejected, if, according to the free conviction of the court, its admission would delay the disposal of the dispute (die Erledigung des Rechtsstreits) and the delay is due to gross negligence (grobe Nachlssigkeit): 296(ii) ZPO120 However, in keeping with Article 103(i) GG and in extension of 139 ZPO, if the court realises that a party has clearly overlooked (erkennbar bersehen) or has regarded as insignificant (unerheblich) a legal aspect (rechtlicher Gesichtspunkt) upon which the court intends to base its decision, it must first give the party an opportunity to be heard (Gelegenheit zur uerung) thereon unless merely a collateral claim (Nebenforderung) is concerned: 278(iii) ZPO.
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Thus, the court is not permitted to reach a decision by surprise (berraschungsentscheidung) without drawing attention beforehand to a legal consideration which is significant (entscheidungserheblich). An infringement of 278(iii) ZPO can justify the reopening of the hearing (Wiedererffnung der Verhandlung; 156 ZPO) or a constitutional complaint.121 Alternatively, as from 1.1.2002, a newly inserted 321a ZPO is intended to provide a means of challenge, if a judgment at first instance is consequent on the infringment of a partys right to be heard and no appeal is otherwise possible. The party affected can lodge an objection (at the same court!) against the infringement of his right to be heard (Rge der Gehrsverletzung or Gehrsrge) within two weeks of the judgment being served, on the ground that the denial of a hearing was significant for the courts decision (entscheidungserheblich). In other words, it must be shown that, had a proper hearing been granted to the party concerned, it is possible that the court would have reached a different decision more favourable to the party. If the Gehrsrge is upheld, the original decision has to be quashed and the oral hearing resumed. The courts decision on the Gehrsrge is final. (vii) Conduct of the proceedings and closure of the hearing122 The conduct of the proceedings (Prozeleitung) is in the hands of the presiding judge (Vorsitzender): 136(i) ZPO. In particular, at the (main) oral hearing (mndliche Verhandlung), the presiding judge: is entitled to grant and withdraw the right to speak: 136(ii) ZPO; is responsible to see to it that the case is exhaustively aired (erschpfend errtert) and to ensure that any necessary further session (Sitzung) is set down immediately: 136(iii) ZPO. The new hearing date (Termin) must be scheduled to take place as shortly as possible thereafter: 278(iv) ZPO.
The presiding judge closes the oral hearing when full discussion of the matter has, in the view of the court, taken place: 136(iv) ZPO. Closure of the oral hearing (Verhandlungsschluss) is very significant, because, after the oral hearing is terminated, submission of Angriffs- und Verteidigungsmittel is no longer possible (absolute preclusion): 296a ZPO.123 Further, once the case is ripe for final decision (zur Endentscheidung reif), the court has to proceed to pass final judgment (Endurteil): 300(i) ZPO. Judgment must be pronouced either directly following the close of the oral hearing or on a date for pronoucement (Verkndungstermin): 310(i) ZPO.124 (d) Section 2 ( 495510b ZPO): In the Amtsgericht Unlike the position before the Landgericht, writs or applications can be made to an Amtsgericht orally. Moreover, where the Streitwert (value in dispute) does not exceed DM 1200, the Amtsgericht has discretion to decide upon the form of the proceedings itself (nach billigem Ermessen (in accordance with fair discretion)): an oral hearing is only required if applied for ( 495a and 496).
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In particular, in the case of a monetary dispute, if: legal representation is not required; the amount involved is less than DM 1500 at the time the action is commenced; and it cannot be expected of a party to appear at court due to great distance or for another important reason,
the court can order that proceedings take place in writing: 128(iii), 1st sentence ZPO.125 If an Amtsgericht has no substantive or local jurisdiction, it must inform the defendant accordingly, as well as regarding the consequences for the defendant, if the defendant makes unqualified oral submissions on the main issue at the hearing: 504 ZP0.126 (e) Alternative settlement of disputes In the interests of promoting settlement of disputes out of court (auergerichtliche Streitbeilegung), a new paragraph 15a has been inserted into the Introductory Law to the Code of Civil Procedure (EGZPO) with effect from 1.1.2000. The Lnder can, by statute, require that an initial attempt be made to resolve certain types of dispute amicably (einvernehmlich), before a Klage can be issued. A settlement procedure (Gteverfahren) must first take place at an approved Gtestelle. At the time of writing, the new form of mediation (Streitschlichtung) is compulsory only in the following types of case: disputes concerning claims valued at less than DM 1500 (750 Euros); disputes between neighbours (Nachbarschaftsstreitigkeiten), and disputes concerning alleged infringements of personal honour (ie, defamation claims), which arise from circumstances outside press and radio.
It does not apply, for example, to disputes in family matters; claims, which become contentious following the issue of a default notice; actions relating to measures of enforcement,
nor does it come into play, if the parties do not reside in the same Land. As from 1.1.2002, every hearing at first instance will have to be preceded by an (obligatory) settlement procedure. If it proves unsuccessful or if a party remains absent from the Gtetermin, the main hearing can take place immediately thereafter. 3 Book III ( 511577 ZPO): Remedies127 Book III of the ZPO (Rechtsmittel) (legal remedies/appeals) is divided into three Sections: (a) Berufung ( 511544 ZPO)128 In connection with a Berufung (general appeal) in civil proceedings, one should note that:
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a Berufung against a final judgment (Endurteil) of the Amtsgericht is dealt with by the Landgericht and a Berufung against a final judgment (at first instance) of a Landgericht by the Oberlandesgericht ( 511 ZPO, 72 and 119(i) GVG); appeals against decisions by family courts go directly to the Oberlandesgericht. Moreover, as from 1.1.2002, that court is competent to handle appeals from an Amtsgericht, if, at the time the case became legally pending at first instance, the general venue of a party was outside Germany or if the Amtsgericht applied foreign law and expressly made reference thereto in its decision; the general principles governing proceedings before the Landgericht (ie, 253 494 ZPO) apply, except as otherwise provided in 511544 ( 523 ZPO). Thus, the Berufung is a full, second rehearing of the case ( 525 ZPO). a Berufungas, indeed, every Antrag (application) or Rechtsmittelmust be both admissible (zulssig) and well-founded (begrndet), if it is to succeed. These requirements have to be checked by the court of its own motion (von Amts wegen): 519b ZPO. In particular, the Berufung must, in the first place, be possible (statthaft); it must be lodged in the correct form and within the relevant time limit (Frist); and the judgment, against which the Berufung is lodged, must be (legally) disadvantageous (nachteilig) to the appellant, ie, there must be a Beschwer (grievance/gravamen). the Berufungssumme/Beschwerdewert (appeal value) must exceed DM 1500 ( 511a ZPO). As from 1.1.2002, the threshold value is 600 Euros. After 1.1.2002, if the appeal value is not reached, a Berufung is only possible, if the court at first instance grants leave to appeal (so-called Zulassungsberufung). The courts decision is final (!). However, leave must be granted, if either: (i) the matter has fundamental significance (grundstzliche Bedeutung); or (ii) a decision by the appellate court is necessary in the interest of the development of the law (Fortbildung des Rechts) or so as to secure the uniformity of caselaw (Einheitlichkeit der Rechtsprechung).
the Berufungsfrist (time limit for lodging the notice of appeal (Berufungsschrift)) is one month from service of the judgment and, at the latest, 5 months after the judgment was pronounced (the Verkndung (pronouncement)): 516 ZPO; the appellant (Berufungsklger) has a further month after lodging his Berufungsschrift to lodge his particulars of appeal ( Berufungsbegrndung, consisting of an appeal application (Berufungsantrag) and a factual and/or evidential basis for the appeal (Berufungsgrund)), but this period can be extended on application ( 519 ZPO);129 After 1.1.2002, the grounds for an appeal have been restricted. It must be shown either that the decision at first instance was based on a breach of law (Rechtsverletzung), substantive or procedural, or that a different decision is justified, eg, because there is reason to believe that the first instance court proceeded on wrong facts or that certain facts were omitted. Under the new rules, the appeal court is bound by facts established at first instance,
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but only insofar as no concrete indications (konkrete Anhaltspunkte) exist, which give rise to doubts regarding the correctness or completeness of the significant facts ascertained. Thus, there must be definite evidence, if factual errors are being asserted on appeal: Angriffs- und Verteidigungsmittel and Rgen (ie, assertions of fact, defences, evidence, objections) not submitted by the appellant or respondent (Berufungsbeklagter) in time (rechtzeitig) can be rejected: 527529 ZPO. In particular, new submissions (neues Vorbringen) which were not brought forward at first instance are subject to rejection on appeal unless their admission would not delay disposal of the dispute or the omission to raise them at first instance was not due to gross negligence (grobe Nachlssigkeit): 528(ii) ZPO;130 the judgment at first instance cannot be amended to the detriment of the appellant (Verbot der Schlechterstellung), unless a Berufung is also lodged by the other party (so-called Anschluberufung): 536, 521 ZPO;131 as from 1.1.2002, a Berufung must be rejected, if the appellate court is convinced that the appeal has no prospect of success (keine Aussicht auf Erfolg), that it is not of fundamental significance and that a decision by the appellate court is not necessary in the interest of the development of the law or so as to secure the uniformity of case-law ( 522(ii) ZPO). The rejection takes the form of a (unanimous) Beschluss, which does not require an oral hearing and cannot be challenged (!). (b) Revision( 545566a ZPO) 132 A Revision is an appeal on a point of law only to the BGH (Federal Supreme Court) following a final judgment on a Berufung to an Oberlandesgericht (OLG).133 The concentration of appeals on points of law at the BGH serves to secure the uniformity of case-law (Einheitlichkeit der Rechtsprechung). Thus, (before 1.1.2002) a Revision can only be lodged ( 546(i) ZPO): or in the case of a dispute involving a lesser amount or a non-monetary claim (nichtvermgensrechtlicher Anspruch), if the OLG grants leave to do so in its judgment (so-called appeal with leave (Zulassungsrevision)) on the ground that either: (i) the matter has fundamental significance (grundstzliche Bedeutung); or (ii) the judgment of the OLG departs from a decision of the BGH or of the Gemeinsamer Senat der obersten Gerichtshfe des Bundes (Joint Senate of the Supreme Federal Courts) and is based on such departure. As from 1.1.2002, the possibility of an appeal on value is abolished and the leave of the OLG is always required. If a matter is of fundamental significance or a decision by the appellate court is necessary in the interest of the development of the law or so as to secure the uniformity of case-law, leave must be granted.
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in disputes concerning monetary claims (vermgensrechtliche Ansprche), if the amount at stake exceeds DM 60,000 (so-called appeal on value (Wertrevision));134
The BGH is bound by the leave of the OLG (Zulassung).135 The only grounds for a Revision are that the decision in question is based on (beruht auf) a(n) (alleged) breach of federal law or of a provision extending beyond the area of an Oberlandesgericht ( 549(i)). A breach consists of the non-application or incorrect application of a particular legal norm ( 550). In the seven absolute situations set out in 551 ZPO, a courts decision is always regarded as being based on a breach of the law.136 The Revision must be lodged within one month of service of the OLGs complete judgment and, at the latest, within 5 months after the pronouncement (Verkndung) of the judgment ( 552). After the Revisionsschrift (notice of appeal; 553) is lodged, the appellant has another month for the lodging of the particulars of appeal (Revisionsbegrndung). The period can be extended on application ( 554(ii)). The general principles governing proceedings before the Landgericht (ie, 253 494 ZPO) apply, except as otherwise provided in 545566a ( 557 ZPO). In particular: the BGH must initially check the admissibility (Zulssigkeit) of the appeal: 554a; the BGH can only consider those submissions apparent from the statement of facts (Tatbestand) contained in the OLGs judgment or record of the proceedings. New submissions of facts or evidence are excluded: 561(i), 1st sentence; breaches of (substantive) legal norms can always be found by the BGH itself. The court is not limited to those alleged by the parties: 559(ii), 1st sentence. However, procedural errors (Verfahrensmngel) must be specifically asserted, if their examination by the BGH is sought; assuming that the appeal is admissible, the possible content of the BGHs judgment is dealt with in 563565a ZPO.137
In particular, the BGH must pronounce the annulment (Aufhebung) of the OLGs decision, insofar as the BGH considers the appeal well-founded (begrndet): 564 ZPO. It must then usually remand the matter for reconsideration to the lower court (Zurckverweisung): 565 ZPO.138 (c) Beschwerde ( 567577 ZPO)139 A Beschwerde (complaint) is a form of appeal, which cannot be used against judgments (Urteile) or against decisions of an Oberlandesgericht, but only in those cases specified in the ZPO, in particular against Beschlsse (decisions /orders) and Verfgungen (directions) ( 567 ZPO; 72, 119, 133 GVG).140 The Beschwerde must be passed to the next higher court (the Beschwerdegericht), unless the lower court or its presiding judge consider it to be justified and grant redress (Abhilfe; 571).141 The einfache Beschwerde (simple complaint) is to be distinguished from the sofortige Beschwerde (immediate complaint), which must be lodged within two weeks ( 577). It used to be the case that, even if a Beschluss was (formally) final, a so-called exceptional complaint (Ausnahmebeschwerde) could still be lodged, if tangible illegality (greifbare Gesetzeswidrigkeit) could be shown.
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Now, as from 1.1.2002, a special remedythe so-called Rechtsbeschwerde (objection on legal grounds)is available to challenge a Beschluss, if a matter has fundamental significance or a decision by a higher court is necessary in the interest of the development of the law or so as to secure the uniformity of case-law. The Rechtsbeschwerde must be lodged within one month and substantiated within one month thereafter: 574 ZPO. 4 Book IV ( 578591 ZPO): Wiederaufnahme des Verfahrens142
Book IV of the ZPO (Wiederaufnahme des Verfahrens; 578591) deals with the resumption (reopening) of proceedings after final judgment by means of a so-called Nichtigkeitsklage (action for nullity in the case of certain procedural errors) or a socalled Restitutionsklage (action for reinstitution in the case of certain material errors): 579 and 580.143 5 Book V ( 592605a ZPO): Urkunden- und Wechselproze144
Book V of the ZPO (Urkunden- und Wechselproze; 592605a) provides for particular speedy forms of action for claims based on documents, bills of exchange or cheques. 6 Book VI ( 606644 ZPO): Family Matters145 (a) Content Book VI of the ZPO (Familien-, Kindschafts- und Unterhaltssachen; 606644) is divided into three Sections: Verfahren in Familiensachen (proceedings in family matters; 606638). Familiensachen are defined in 23b GVG, which sets out the substantive jurisdiction of the family court.146 Family matters include Ehesachen (marriage matters): see below. 2: Verfahren in Kindschaftssachen (proceedings in parenthood matters; 640641k). 3: Verfahren ber den Unterhalt Minderjhriger (proceedings regarding the maintenance of minors; 6411644). The former Section 4 ( 645687) has been repealed.147 1: (b) Section 1 ( 606638 ZPO) Section 1 contains four Titles: 1: Allgemeine Vorschriften fr Ehesachen (general provisions for marriage matters; 60620g). (i) The term Ehesache is a sub-term of the term Familiensache (family matter). Ehesachen are defined in 606 ZPO as proceedings for: divorce (Scheidung);
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declaration of nullity (Nichtigerklrung einer Ehe); establishment of the existence or non-existence of a marriage (Feststellung des Bestehens oder Nichtbestehens einer Ehe); or establishment of marital life (Herstellung des ehelichen Lebens). In Ehesachen, Book I of the ZPO and the provisions of Book II for first instance proceedings before the Landgericht ( 253494 ZPO) apply: 608 ZPO.
(ii) 606606a ZPO deal with initial questions of (substantive, local and international) jurisdiction (Zustndigkeit) regarding Ehesachen. Thus, 606 ZPO lays down a hierarchy of jurisdictions, which are all exclusive (ausschlielich). The main ones (in descending order) are as follows: (i) the family court (Familiengericht) for the area in which both spouses have their gewhnlicher Aufenthalt (usual residence); (ii) the family court for the area in which one of the spouses usually resides with the parties minor children; (iii) the family court for the area in which the spouses last had their joint usual residence, if one of the parties still has his or her usual residence there when the matter becomes rechtshngig (sub judice); (iv) the family court for the area of the defendants usual residence or, if that is outside Germany, that of the plaintiffs; (v) failing all else, the family court at the Amtsgericht Schoneberg in Berlin. 606a ZPO sets out the circumstances in which the German courts have (nonexclusive) (international) jurisdiction in cases where one or both of the parties are foreign nationals.148 (iii) 607619 ZPO contain supplementary provisions regarding, for example, the need for a specific procedural power of attorney (Prozevollmacht): 609 ZPO; the right of a claimant to make new submissions before the close of the oral hearing: 611 ZPO; the personal attendance of the spouses and their right to be heard: 613 ZPO; stay of proceedings: 614 ZPO; rejection of late submissions: 615 ZPO; the ability of the court to order the taking of evidence on its own initiative (von Amts wegen) and to take facts into consideration other than those presented to it by the parties: 616 ZPO.
In particular, the court can take into account facts, which favour the marriage (ehefreundliche Tatsachen), despite the other spouses resistance: 616(ii) ZPO. However, extraordinary circumstances within the meaning of 1568 BGB must be specifically argued by die spouse opposing the divorce: 616(iii) ZPO. (iv) 620620g ZPO contain special procedural provisions enabling the court to issue einstweilige Anordnungen (temporary orders) once an Ehesache is pending or an application for legal aid has been lodged.149
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There must be an urgent need for legal protection (dringendes Rechtsschutzbedrfnis) and an application must be made ( 620a (ii) ZPO). The order must have a basis in substantive German law (or foreign law, where the EGBGB so directs). There does not have to be an oral hearing ( 620a (i) ZPO), but an application for a (renewed) oral hearing is possible if a decision is initially reached without one ( 620b(ii) ZPO). Although application for amendment (Abnderung) of an order can be made ( 620b(i) ZPO) and a ruling (Regelung) concerning the custody of a joint child or a childs return to a spouse can be challenged by immediate complaint (sofortige Beschwerde), orders are generally unchallengeable (unanfechtbar; 620c, 1st and 2nd sentences ZPO). It is, therefore, crucial that the submissions in the application are conclusive (schlssig) and credible (glaubhft).150 The following orders can, for example, be made:151 (a) 620 Nos 1 to 4 ZPOa temporary order concerning children (eg, for custody or maintenance). (b) 620 No 5 ZPOa temporary order to regulate spousal separation (eg, for non-molestation). (c) 620 No 6 ZPOa temporary order for maintenance in favour of a spouse. Such an order only provides minimum or emergency maintenance (Notunterhalt) and is not retrospective. Unless it is limited in time (befristet), the order continues in force until the matter is otherwise finally resolved: 620f ZPO. A separate action for maintenance (Unterhaltsklage)eg, during separation, under 1361 BGBremains possible and may be necessary, if arrears exist or the matter is too complex to be dealt with summarily. In an action under 1361 BGB, such maintenance as is appropriate (angemessen) according to the circumstances of the spouses (eheliche Lebensverhltnisse) can be claimed for the period since separation. The claimant must be in need (bedrftig)ie, unable to maintain himself (or herself) from his (or her) income (Einkommen) or assets (Vermgen)and the other spouse must be able to pay (leistungsfhig). A claimant, who is out of work, must only take up employment, if this can be expected of him according to his personal circumstances and the economic circumstances of both spouses: 1361 (ii) BGB. (d) 620 Nos 7 and 8 ZPOa temporary order relating to the use of the matrimonial home and contents. (e) 620 No 9 ZPOa temporary order for an advance of the costs of the proceedings (Prozekostenvorschuss).152 Temporary orders remain effective until the issue in question is otherwise resolved (anderweitig geregelt) or the marriage matter is dismissed or withdrawn: 620f ZPO. Thus, temporary orders can continue in force beyond and despite the Rechtskraft of a divorce.
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Verfahren in anderen Familiensachen (proceedings in other family matters; 621621f). (i) Ehesachen are to be distinguished from other family matters (andere Familiensachen). These are listed in 621 (i) ZPO: parental care / custody (elterliche Sorge); access (Umgang) by the parent not having custody; release (Herausgabe) of a child to the other parent; maintenance (Unterhalt) of a child; maintenance of a spouse (Ehegattenunterhalt); the Versorgungsausgleich (equalization of pension and disability expectancies); regulation of rights to the marital home and contents; claims under marital property law (Gterrecht); applications under 1382 and 1383 BGB (ie, for a Stundung (respite) of or Anrechnung (set-off) against the Ausgleichsforderung (balancing claim) normally due on divorce under 1378(i) BGB).
If an Ehesache is or was pending at first instance, that court has exclusive jurisdiction: 621 (ii), 1st sentence ZPO. Moreover, if an Ehesache becomes pending, the court at first instance must transfer the (other family) matter to the court of the Ehesache. 621 (iii) ZPO. In other words, there is a concentration of the proceedings at the court of the Ehesache. (ii) In the absence of an Ehesache, (local) jurisdiction and procedure in other (isolated) family matters is governed partly by the ZPO and partly by the FGG, depending on the type of matter involved. The position is complex. Local jurisdiction is determined by the general provisions ( 621(ii), 2nd sentence ZPO), eg, for maintenance claims 12ff ZPO, for custody 36 FGG, for marital property 45 FGG. Procedure in isolated family matters is governed by the FGG and the HausratsVO, insofar as the ZPO or GVG do not contain special provisions: 621 a ZPO. In maintenance and marital property disputes, the ZPO applies.153 (iii) The key to the success of a maintenance and/or marital property claim is the provision of information (Auskunft) regarding the income (Einkommen) and assets (Vermgen) of the other party. For the purpose of a maintenance claim (Unterhaltsanspruch), the basic (substantive) provision is 1605 BGB, which is of corresponding application: during separation: 1361(iv), 4th sentence BGB; and after divorce: 1580 BGB. 1605(i) BGB provides that direct relatives (Verwandte in gerader Linie) must, on demand, provide each other with information regarding their income and assets in so far as it is necessary to establish a claim to maintenance or a maintenance obligation. Income must, on request, be evidenced by vouchers (Belege). Moreover, if there is reason to believe that assets are not properly revealed, an assurance in lieu of oath can be demanded. It is very important that the demand (Aufforderung) for informationand any necessary application (Antrag) to the courtexactly specifies:
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the period (Zeitraum), for which information regarding income is sought;154 and the reference dates (Stichtage), as at which information regarding assets is sought Under the usual German marital property regime (the Zugewinngemeinschaft (community based on gain) 1363ff BGB), these reference dates are: the date of the marriage and the date of service of any divorce petition; otherwise, the date, at which the parties property status ends (Beendigung des Gterstandes): 1384 BGB. Following a petition for divorce or other termination of the spouses property status, each spouse must (on demand) give the other information regarding his or her final assets (Endvermgen): 1379 BGB. The gain (Zugewinn), which must be equalized (ausgeglichen) between them, is the excess of the final assets over the initial assets (Anfangsvermgen): 1373 BGB.155 Unless a schedule (Verzeichnis) of their respective initial assets was concluded jointly (gemeinsam) by the spouses, it is presumed, unless proved to the contrary that the final assets of a spouse represent his or her gain: 1377(iii) BGB. However, assets which a spouse acquires during the marriage by way of succession, gift or dowry (Ausstattung) are left out of account when calculating the gain. They are added to the initial assets: 1374(ii) BGB. The value of such additions to the initial assets is assessed at the time of acquisition: 1376(i) BGB. Similarly, if a spouse engages in manipulation by means of disproportionate gifts, squandering of assets or other deliberate acts to the disadvantage of the other spouse, such reductions in wealth (Vermgensminderungen) increase the final assets, unless the relevant acts took place more than ten years before the end of the spouses property status or were undertaken with the consent of the other spouse: 1375(ii) and (iii) BGB. The value of such reductions is assessed at the time they occurred: 1376(ii) BGB. Further, transfers in moneys worth (Zuwendungen), which were received by a spouse from the other inter vivos in advance on the basis that they should be set off against the donees claim to equalization (Ausgleichsforderung), must be taken into account when calculating that persons claim (Anrechnung von Vorausempfngen). In particular, there is a presumption that set-off was intended in the case of unusually large transfers (ie, those which exceed the value of such occasional gifts (Gelegenheitsgeschenke) as are normal according to the circumstances of the spouses): 1380(i) BGB. (iv) Although maintenance (also during separation) can be the subject of an agreement between the spouses (Unterhaltsvertrag), a waiver of maintenance for the future (whilst the marriage is in existence) is not possible: 1614 BGB. Moreover, past maintenance obligations (arrears) can normally only be claimed from the time the debtor is placed in delay (Verzug; 284 BGB) or the claim becomes legally pending (rechtshngig): 1613(i) BGB.156 (v) A step-action (Stufenklage, 254 ZPO) is appropriate, if, following the
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provision of information, it is desired to make an application for payment in the same proceedings.157 Scheidungs- und Folgesachen (divorce and ancillary matters; 622630). 622630 ZPO contain special procedural rules for divorce and ancillary matters. Precondition for a divorce (Scheidung) is the failure/breakdown of the marriage (Scheitern/Zerrttung der Ehe): 1565(i), 1st sentence BGB. (a) Proceedings for divorce are commenced by the lodging of a written application (Antragsschrift), the parties being referred to as Antragsteller (petitioner) and Antragsgegner (respondent). The application has to specify ( 622 ZPO): whether there are minor children of the family; whether there is a suggested arrangement regarding custody; and whether other family matters are pending. The provisions regarding the Klageschrift ( 253 ZPO) are of corresponding application. By 630 ZPO, where a divorce after one years separation (Trennung) with mutual consent (a so-called einverstndliche Scheidung under 1566(i) BGB) is sought, the divorce petition must also include: a statement that the other spouse will consent or make a similar application; the spouses agreed proposed arrangements regarding custody and access to their children;158 the spouses agreement (Einigung) regarding maintenance and rights to the marital home and contents.159 A spouse can only obtain a divorce against the wishes of the other before three years separation, if, on the basis of an objective assessment and prognosis, the court concludes that the marital community (Lebensgemeinschaft) between the spouses no longer exists and that there is no chance/prospect of its resumption (Wiederherstellung) by the spouses (ie, such a resumption is aussichtslos): 1565(i), 2nd sentence BGB; or after three years separation, at which time the irretrievable breakdown (unheilbare Zerrttung) of the marriage is irrefutably presumed (unwiderlegbar verermutet): 1566(ii) BGB. Divorce before one years separation is only possible, if, for reasons which lie in the person of the respondent, the continuation of the marriage would represent an unacceptable hardship (unzumutbare Hrte) for the applicant: 1565(ii) BGB.160 By 1568 BGB, the so-called hardship clause, despite the fact that a marriage has failed (gescheitert ist), a divorce can be prevented: if and so long as for special reasons (besondere Grnde) it is exceptionally necessary (ausnahmsweise notwendig) to uphold the marriage in the interest of minor children of the family; or if and so long as because of extraordinary circumstances (auergewhnliche Umstnde) a divorce would involve such serious hardship (schwere Hrte) for the respondent as to make it appear exceptionally necessary to uphold the marriage, even after taking into account the concerns of the petitioner.
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(b) Where proceedings for divorce are pending, the matters listed in 621 (i) ZPO are referred to as ancillary matters ((Scheidungs-) Folgesachen), ie, they are matters regarding which one of the parties requires a decision in the event of divorce (fr den Fall der Scheidung): 623(i) ZPO (eg, post-marital maintenance (nachehelicher Unterhalt)). Apart from issues of custody over a joint child and the settlement of pension expectancies (Versorgungsausgleich) which form part of an official Amtsverbund ( 623(iii) ZPO)applications concerning ancillary matters are at the disposition of the parties. They can be made individually or in the form of a step-action (Stufenklage; 254 ZPO).161 Provided an application regarding an ancillary matter (Verbundantrag) is pending at court (anhngig) before the end of the oral hearing at first instance, it must be heard at the same time as, and together with, the divorce application (in a composite Verbund): 623(ii) ZPO. Either of the parties can apply for separation (Abtrennung) of ancillary matters relating to children or spousal maintenance, which are then detached (herausgelst) from the Verbund and continue as isolated family matters outside the Verbund (auerhalb des Verbundes). The separation of other ancillary matters is only possible in certain circumstances: 628 ZPO.162 There is (only) a joint decision (in the form of an Urteil), if the divorce petition (Scheidungsantrag) is granted (stattgegeben): 629(i) ZPO. Ancillary matters become irrelevant (gegenstandslos), if the divorce petition is rejected, although the right to pursue them as isolated family matters can be reserved on application: 629(iii) ZPO. Once a declaration of divorce (Scheidungsausspruch) is rechtskrftig (ie, has final legal force), a decision regarding an ancillary matter also becomes effective: 629d ZPO. Verfahren auf Nichtigerklrung und auf Feststellung des Bestehens oder Nichtbestehens einer Ehe (proceedings for declaration of nullity and for establishment of the existence or non-existence of a marriage; 631638). The rules on costs in marriage matters (eg, where there is a composite decision regarding divorce and ancillary matters) are set out in 93a ZPO. (c) Section 3 ( 6411644 ZPO)
Section 3 contains two Titles: Title 1: Title 2: Vereinfachtes Verfahren zur Abnderung von Unterhaltstiteln (simplified proceedings for the alteration of maintenance judgments; 641641t). Verfahren ber den Regelunterhalt nichtehelicher Kinder (proceedings regarding standard maintenance for illegitimate children; 642644).
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Book VII ( 688703d ZPO): The Mahnverfahren
Book VII of the ZPO (Mahnverfahren; 688703d) deals with the default notice procedure, which is a commonly-used method for collection of undisputed debts.163 8 Book VIII ( 704945 ZPO): Zwangsvollstreckung164 (a) Content Book VIII of the ZPO (Zwangsvollstreckung; enforcement) is divided into five Sections: Section 1: Allgemeine Vorschriften (general provisions; 704802). Section 2: Zwangsvollstreckung wegen Geldforderungen (enforcement of money claims; 803882a). Section 3: Zwangsvollstreckung zur Erwirkung der Herausgabe von Sachen und zur Erwirkung von Handlungen oder Unterlassungen (enforcement for the purpose of achieving the release of things and the undertaking of actions or omissions; 883898). Section 4: Eidesstattliche Versicherung und Haft (assurance in lieu of oath and custody; 899915). Section 5: Arrest und einstweilige Verfgung (arrest and injunction; 916945). The Zwangsvollstreckung referred to in Book VIII of the ZPO is an independent part of civil procedure. It also applies to judgments (Urteile) and orders (Beschlsse) in employment matters ( 62, 85 ArbGG). However, administrative acts and tax claims are enforced under different provisions (the (federal or state) Verwaltungsvollstreckungsgesetz (VwVG) and the (federal) Abgabenordnung (AO)).165 (b) Section I ( 704802 ZPO) Section 1 contains a complex mixture of provisions and terminology of great practical importance. However, the scattering of relevant paragraphs makes an understanding of the system difficult. The topics dealt with in Section 1 can be set out in the following main groups: (i) Enforcement of (final) judgments ((End)urteile): 704. Final judgments are enforceable titles (Titel /Vollstreckungstitel), if they are rechtskrftig (ie, have (formal) legal force) or have been declared vorlufig vollstreckbar (provisionally enforceable). (ii) Other titles capable of enforcement: 794801. These include ( 794(i)): No 1: No 2: No 4: No 5: a procedural settlement (Prozevergleich) reached before a German court; an order for the fixing of costs (Kostenfestsetzungsbeschlu); an enforcement notice (Vollstreckungsbescheid); an enforceable document (vollstreckbare Urkunde).
(iii) Formal legal force (formelle Rechtskraft) of judgments: 705706.166 (iv) Provisional enforceability (vorlufige Vollstreckbarkeit) of judgments: 708720a:167
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deposit of security (Sicherheitsleistung) by the creditor: 708710; Apart from certain types of judgment listed in 708 (eg, judgments in default under 331 ZPO), the general rule is that judgments are declared provisionally enforceable, subject to the creditor lodging security: 709. The form and amount of the security (Art und Hhe der Sicherheit) are decided upon by the court: 108 ZPO. If deposit of security by the creditor is not possible or presents serious difficulties (erhebliche Schwierigkeiten), the creditor can apply for a declaration of provisional enforceability without his having to lodge security: 710; protection of the debtor against enforcement (Vollstreckungsschutz); The ZPO seeks to protect the debtor against enforcement in two ways: by making available certain legal remedies during enforcement (Rechtsbehelfe in der Zwangsvollstreckung; see (xi) below) and by laying down various restrictions/ prohibitions on distraint (Pfndungsbeschrnkungen / Pfndungsverbote) in movable assets and earned income (Arbeitseinkommen), so-called Pfndungsschutz (protection against distraint). The relevant assets are declared unpfndbar (unseizable).168 One must also bear in mind that the question of the debtors protection (Vollstreckungsschutz) can become relevant in two different places: In the court hearing the case (Prozegericht): 711714. 711 provides for certain exceptions to 708, whereby a debtor must be allowed to avoid enforcement by deposit of security. By 712, even if the creditor has deposited security, a debtor can make a protective application (Schutzantrag) for avoidance of enforcement by deposit of security (Abwendung der Vollstreckung durch Sicherheitsleistung), if enforcement would cause the debtor irreplaceable damage (einen nicht zu ersetzenden Nachteil). If the debtor is not in a position to lodge security (nicht dazu in der Lage), the judgment cannot be declared provisionally enforceable, but preventive enforcement ( 720a; see below) is possible: 712(i), 2nd sentence. In the enforcement court (Vollstreckungsgericht): 765a. On application by the debtor, the enforcement court can fully or partially quash, prohibit or temporarily suspend any measure of enforcement, if it would place an immoral burden on the debtor (eine Hrtedie mit den guten Sitten nicht vereinbar ist), full account being taken of the creditors need for protection: 765a. The decision is taken by the Rechtspfleger, who, acting as the enforcement court. is the officer responsible for dealing with most enforcement business ( 20 Nos 12 and 17 RPflG). 765a only applies in very exceptional circumstances and should be strictly construed. It illustrates the problems involved in trying to achieve a balance (Ausgleich) between the conflicting interests of the creditor and the debtor;169
temporary suspension of enforcement (einstweilige Einstellung) : 707 ( 719); 170

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when provisional enforceability ends; liability of the plaintiff: 717; Provisional enforceability lapses, insofar as the relevant judgment or declaration of provisional enforceability is quashed or amended by another judgment: 717(i). In those circumstances, a plaintiff must compensate the defendant, if the latter has suffered damage due to the enforcement of the judgment or because of a measure taken (Leistung) by the defendant to avoid such enforcement: 717(ii); preventive enforcement (Sicherungsvollstreckung): 720a (750(iii)).
Enforcement of a judgment dependent on the lodging of security by the creditor can only begin, if the deposit of security is evidenced by a public or publicly certified document and it has been served on the debtor: 751(ii). However, preventive enforcement of a money judgment can begin without security being lodged, provided the judgment and enforcement clause have been served at least 2 weeks before: 750(iii). The creditor can only undertake distraint (Pfndung), but cannot satisfy himself by realisation (Verwertung): 720a(i). Preventive enforcement is, therefore, a means of safeguarding a creditors position similar to that of an Arrest ( 930ff ZPO). (v) Application for a period to give up possession of residential premises (Rumungsfrist fr Wohnraum): 721 (794a). (vi) Enforcement of foreign judgments: 722723.171 (vii) The enforcement duplicate (vollstreckbare Ausfertigung) of the judgment and enforcement clause (Vollstreckungsklausel): 724734. These are normally issued by the document officer of the court (Urkundsbeamter der Geschftsstelle): 724(ii) and 725.172 Usually, only one vollstreckbare Ausfertigung can be issued: 733. (viii) Enforcement in the assets of particular persons (eg, unregistered associations, partnerships, married and deceased persons): 735745, 747749, 778785. (ix) Commencement of enforcement: title (Titel), clause (Klausel), specification of the parties (Parteibezeichnung), service (Zustellung) and fulfillment of other conditions: 750751. (x) The enforcement organs (Vollstreckungsorgane): 753765, 802. The main enforcement organs are the bailiff (Gerichtsvollzieher) and the enforcement court (Vollstreckungsgericht).173 Exclusive jurisdiction lies with the district court (Amtsgericht), in whose area a particular act of enforcement is to be /has been undertaken: 764. (xi) Legal remedies during enforcement (Rechtsbehelfe in der Zwangsvollstreckung): 766777, 793 ZPO, 11 RPflG.174 Where an objection (Einwendung) is (to be) raised: against the manner (Art und Weise) of enforcement (ie, against an act or measure of enforcement (Vollstreckungsakt / -manahme) by the enforcement court or a bailiff (Gerichtsvollzieher) or regarding the procedure to be observed
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by the latter), the remedy is the so-called Vollstreckungserinnerung (enforcement reminder) to (the judge in) the enforcement court: 766 ZPO. It is available so long as the relevant enforcement (measure) is still taking place. To be strictly distinguished is the (befristete) Erinnerung against a decision by a Rechtspfleger under 11 RPflG, which (initially) goes back to the Rechtspfleger.175 A decision by the judge under 766 can be (further) challenged by an immediate complaint (sofortige Beschwerde): 793; against the enforcement title (Vollstreckungstitel) (ie, against the (material) claim (Anspruch) itself, as established by the court hearing the case (Prozegericht) ), the remedy is the so-called Vollstreckungsgegen- or Vollstreckungsabwehrklage (enforcement counter- or resistance action) to the court hearing the case at first instance: 767(i). It is only available, if the grounds upon which the objection is based arose after the end of the last oral hearing and the debtor was (genuinely) not in a position to raise it during the proceedings: 767(ii) and (iii); against the grant of the enforcement clause (Erteilung der Vollstreckungsklausel), the remedy (for the debtor) is an action along the lines of the Vollstreckungsgegenklage ( 768) or an Erinnerung (reminder; 732).
Similarly, the creditor can bring an action for grant of the enforcement clause ( 731) or lodge a complaint (Beschwerde) 567). Both the Prozegericht and the Vollstreckungsgericht can make temporary orders (einstweilige Anordnungen) directing temporary suspension (einstweilige Einstellung) of enforcement or continuation only against deposit of security (Fortsetzung gegen Sicherheitsleistung): 766(i), 2nd sentence, 732(ii), 769(i) and (ii). Temporary suspension can be ordered with or without security, although the former is the rule: 707(i), 2nd sentence. Temporary orders are of practical importance, because mere issue of a Vollstreckungsgegenklage does not stop enforcement taking place. However, where 767 and 768 are concerned, the enforcement court only has jurisdiction in urgent cases. To be distinguished from temporary suspension is final suspension (or limitation) of enforcement, which must be ordered ( 775), if, for example: the judgment to be enforced has been quashed on appeal; an application under 766 or 767 has been successful; or the creditor has been satisfied after pronouncement of the judgment to be enforced. Suspension of enforcement does not affect measures already taken. These can only be quashed by means of an order of annulment (Aufhebungsanordnung): 769(i) and 776. (xii) Costs of enforcement and help from other authorities: 788792.
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(c) Section 2 ( 803882a ZPO) (i) What can be enforced Section 2 details the procedure of enforcement of titles directed to the payment of money claims (Geldforderungen). To be strictly distinguished therefrom is enforcement of claims to the release of things (Herausgabe von Sachen) or to the undertaking of actions or omissions (Handlungen oder Unterlassungen), dealt with in Section 3. (ii) Content Section 2 contains four Titles: 1: 2: 3: 4: Zwangsvollstreckung in das bewegliche Vermgen (enforcement in movable assets; 803863). Zwangsvollstreckung in das unbewegliche Vermgen (enforcement in immovable assets; 864371). Verteilungsverfahren (distribution procedure; 872882). Zwangsvollstreckung gegen juristische Personen des ffentlichen Rechts (enforcement against public corporations; 882a).
(iii) Against what can be enforced Titles 1 and 2 of Section 2 distinguish the manner of enforcement in movable and immovable assets. The object of enforcement is dependent on the wording of the title to be enforced (Vollstreckungstitel), although enforcement usually extends to the debtors total assets (das gesamte Vermgen)176 Against which particular assets a creditor chooses to enforce is up to him.177 Enforcement against assets of the Bund, a Land or other public corporations or institutions is, however, subject to restrictions: 882a. (iv) Das bewegliche Vermgen: movable assets Title 1 (enforcement in movable assets) is divided into three Parts: I: General provisions: 803807. II: Enforcement in corporeal things (krperliche Sachen): 808827. III: Enforcement in claims (Forderungen) and other valuable rights (andere Vermgensrechte): 828863. The term bewegliches Vermgen (movable assets), accordingly, includes claims and other valuable rights belonging to the debtor. He may, for example, have money claims ( Geldforderungen, eg, debts or income) or claims to release of a Sache (Herausgabeansprche), against which claims the creditor can enforce.178 (v) Pfndung and Verwertung 803(i) states that enforcement in movable assets takes place by way of Pfndung (distraint). It is a form of compulsory seizure (Beschlagnahme).179 The following points should be noted:
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the term Pfndung is used with regard to krperliche Sachen, Forderungen and andere Vermgensrechte (ie, throughout Title 1); while the Pfndung of krperliche Sachen is undertaken by the Gerichtsvollzieher (court bailiff), it is the Amtsgericht (district court) acting as enforcement court (Vollstreckungsgericht), which deals with the Pfndung of the debtors claims and other valuable rights.180 The responsible officer in the court is the Rechtspfleger ( 20 No 17 RPflG). Applications for enforcement by court bailiff can be made in writing or orally. They are distributed to the appropriate Gerichtsvollzieher by the Gerichtsvollzieherver-teilungsstelle (bailiffs distribution office) of the relevant Amtsgericht. Possession of the vollstreckbare Ausfertigung (enforcement duplicate) empowers the bailiff to carry out acts of enforcement, to receive the relevant Leistung from the debtor and to give a receipt (Quittung): 755 ZPO. A search of premises can be undertaken by the bailiff ( 758 ZPO), but, in accordance with the constitution (Article 13(ii) GG), a search order from a judge (Durchsuchungsanordnung) is always required if access is refused, unless there is Gefahr in Verzug, ie, delay would endanger the purpose of the search;181 enforcement involves not merely Pfndung, but also, as a further stage, the Verwertung (realisation) of the movable asset. The manner of realisation is distinguished according to whether Sachen or Forderungen are involved.182 With regard to krperliche Sachen, Pfndung involves the court bailiff taking them into possession: 808(i) ZPO. Those Sachen not being money, valuables or securities must be left in the custody (Gewahrsam) of the debtor, insofar as satisfaction of the creditor is not endangered. The Pfndung of such items is then only effective, if it is made visible, for example, by means of the application of seals (Siegel): 808(ii) ZPO. The effect of Pfndung is that the creditor acquires a public law distraint lien (Pfndungspfandrecht) over the relevant item: 804(i) ZPO. A prior lien takes precedence over a later one: 804(iii) ZPO. In principle, Pfndung takes place regardless of ownership.183 However, if a third party asserts that he has a (contrary) right preventing disposal (ein die Veruerung hinderndes Recht) (eg, that he is the rightful owner), he can lodge a so-called Drittwiderspruchsklage (third party objection writ) at the court, in whose area enforcement took place: 771 (i) ZPO. The tenor of the judgment is that enforcement in the relevant Sache (not only a movable) or Vermgenswert is declared unzulssig (ie, is disallowed). While the purpose of 771 is the protection of a substantive right by means of a Klageas under 767 and 768 ZPO (all referred to as prozessuale Gestaltungsklagen) -the Vollstreckungserinnerung under 766 ZPO involves a complaint against an infringement of the manner or procedure (Art und Weise/Verfahren) of enforcement, ie, against an enforcement measure. The remedies can be pursued concurrently.184
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The court order for Pfndung of a debtors money claims (Geldforderungen) is referred to as a Pfndungsbeschlu (attachment order). The Pfndungsbeschlu must be served on the third party debtor (Drittschuldner) by the creditor: 829(ii) ZPO. By 840(i) ZPO, the Drittschuldner can be required to inform the creditor within two weeks of service of the Pfndungsbeschlu: whether and to what extent he acknowledges the claim as well-founded and is prepared to make payment; whether there are other persons who assert rights to the claim and, if so, which; and whether the claim has already been distrained against by other creditors and, if so, in respect of which demands.
If the Drittschuldner fails to make the necessary declarations, he is liable to the creditor for any loss. By 845 ZPO, as soon as a creditor holds an enforceable judgment (vollstreckbarer Schuldtitel), he can ask the court bailiff to serve a notification (Benachrichtigung) of an imminent Pfndung on the third party debtor. This so-called Pfndungsankndigung/ Vorpfndung (predestraint (warning)) has the effect of a seizure (Arrest) under 930 ZPO, provided Pfndung of the claim follows within one month of service. (vi) Das unbewegliche Vermgen: immovable assets A creditor can choose between three means of enforcement in a piece of land (Grundstck): registration in the land register of a Sicherungshypothek (security mortgage)185 for an amount of more than DM 1.500; Zwangsversteigerung (compulsory sale by auction); Zwangsverwaltung (compulsory administration).186
Zwangsversteigerung and Zwangsverwaltung are dealt with in the Gesetz ber die Zwangsversteigerung und Zwangsverwaltung (ZVG) of 24.3.1897.187 (vii) The Verteilungsverfahren This is a court procedure for the distribution amongst creditors of an amount of money insufficient to satisfy all of them following enforcement in the debtors movable assets. (d) Section 3 ( 883398 ZPO)188 Section 3 details the manner of enforcement necessary to compel a debtor, for example: to release movables or give possession of immovables (Herausgabe): 883886 ZPO; or to undertake acts or omissions (Handlungen oder Unterlassungen) or to tolerate a particular action (Duldung): 887890 ZPO.
Acts are classified according to whether they can be undertaken by a third party (vertretbare Handlungen; 887 ZPO) or not (unvertretbare Handlungen) 888 ZPO).189 If a debtor fails to undertake a vertretbare Handlung, he can be made to bear the cost of substituted action (Ersatzvornahme). An unvertretbare Handlung solely dependent
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on the will of the debtor can, on application, be enforced by a compulsory fine (Zwangsgeld) of up to DM 50.000 or by imprisonment (Zwangshaft) of up to six months. Actions for restraining orders (Unterlassungsklagen) and for orders to tolerate particular action (Duldungsklagen) can, on application, be enforced by a compulsory fine (Ordnungsgeld) of up to DM 500.000 for each infringement or by imprisonment (Ordnungshaft) of up to six months and not more than two years in total: 890 ZPO.190 The debtor must be heard before the court reaches a decision under 887890. 889 ZPO relates to the making of an assurance in lieu of oath (eidesstattliche Versicherung) pursuant to an obligation under civil law (eg, 259, 260 BGB). Jurisdiction lies with the Amtsgericht (District Court)acting as enforcement court for the debtors domicile (Wohnsitz) or place of residence (Aufenthaltsort) in Germany, failing which for the area of the (procedural) court of first instance. If the debtor does not appear or refuses to give the assurance, the same sanction is available as for enforcement of an unvertretbare Handlung. The eidesstattliche Versicherung under civil law is to be strictly distinguished from its procedural use in the ZPO to substantiate an assertion of fact (Glaubhaftmachung; 294 ZPO), to support an application (eg, for an injunction 936, 920(ii) ZPO) or as a means of facilitating enforcement ( 807, 883 ZPO).191 (e) Section 4 ( 899915 ZPO)192 899915 ZPO detail the procedure where an application is made by a creditor under 807 or 883 ZPO for disclosure of assets (Vermgensoffenbarung) by a debtor. By 807 ZPO in conjunction with 900 ZPO, if, where a claim for payment of money (Geldforderung) is involved, a creditor cannot obtain complete satisfaction (vollstndige Befriedigung) by means of Pfndungeither because enforcement is fruitless (fruchtlos) or hopeless (aussichtslos)the creditor can apply for the debtor to submit a list of assets (Vermgensverzeichnis) and to provide an assurance of means in lieu of oath (eidesstattliche Offenbarungsversicherung).193 A creditor can make a similar application under 883 ZPO, if (a) particular movable(s) to be released is/are not found by the bailiff. The debtor must confirm that he does not know the whereabouts of the movable(s). By 899 ZPO, the application must be made to the Amtsgericht (District Court), acting as enforcement court, for the domicile (Wohnsitz; 13 ZPO) of the debtor or, failing that, of his place of residence (Aufenthaltsort) or last Wohnsitz in Germany ( 16 ZPO). Normally, the bailiff sets a date for the giving of the assurance of means (Termin zur Abgabe der eidesstattlichen Versicherung). The debtor is summoned to attend the hearing by a Ladung (summons) and the creditor must be informed. Instead, the bailiff can require the assurance to be given immediately (sofort) as soon as the preconditions of 807 ZPO are fulfilled, unless there are objections from the creditor or the debtor, in which case a hearing must take place: 900(ii) ZPO. The bailiff can postpone the date for the giving of the assurance, if the debtor credibly asserts that he will satisfy the creditor within six months. A final extension of up to two months is possible, if the debtor proves that he has satisfied at least three-quarters of the claim: 900(iii) ZPO.
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The court can also dismiss an application for the giving of an assurance, if, at the hearing before the bailiff, the debtor makes a well founded objection (begrndeter Widerspruch) against his liability to provide it: 900(iv) ZPO. If the debtor does not appear or without reason refuses to give the assurance, arrest (Haft) and up to 6 months imprisonment can be ordered: 901, 913 ZPO. The enforcement court maintains a (black) list of debtors, who have given the assurance or against whom arrest has been ordered (Schuldnerverzeichnis). The list is open to public inspection. Once the creditor has been satisfied, or 3 years have passed since the end of the year of registration (Eintragung), the debtor can apply for his name to be erased (Lschung; 915, 915a ZPO). Within the first three years after the assurance is given, no further assurance can be demanded, unless the debtor has meantime acquired assets or has lost his employment: 903 ZPO. (f) Section 5 ( 916945 ZPO)194 (i) The purpose of an Arrest (seizure) is limited to securing the enforcement of a money claim (Geldforderung) or of an Anspruch that can lead to a money claim: 916(i) ZPO. Other (individual) claims or the keeping of the peace (Rechtsfrieden) can be the subject of an injunction (einstweilige Verfgung; 935, 940 ZPO), which is a similar form of securing measure (Sicherungsmittel). Thus, 936 ZPO declares the provisions in the ZPO regarding a seizure order and the relevant procedure correspondingly applicable to that for an injunction, except as modified in subsequent paragraphs. (ii) The normal target of an Arrest is a movable or immovable asset. Such an Arrest is referred to as a dinglicher Arrest (real seizure; 917 ZPO), in contrast to a personal Arrest ( 918 ZPO), which is a very exceptional remedy. A dinglicher Arrest is possible, if there are reasonable grounds for concern that, unless it is ordered, enforcement of the relevant judgment would be thwarted or rendered significantly more difficult: 917(i) ZPO. An Arrest in movable assets is effected by way of distraint (Pfndung) and the same principles apply: 930(i) ZPO. (iii) An application for a seizure order (Arrestbefehl) can be made to the court having jurisdiction in the main matter in dispute (Gericht der Hauptsache) or to the Amtsgericht for the district, in which the intended object of the Arrest is located: 919 ZPO. Both courts are referred to as the Arrestgericht. The applicant must give details of the claim to be secured by the order (the Arrestanspruch) and substantiate the facts forming the basis for the order (the Arrestgrund): 920(ii) ZPO. The court can reach a decision without an oral hearing and can require security to be lodged before an order is made, whether or not the applicant has shown a credible case: 921 ZPO.
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If no main matter is (yet) pending, the Amtsgericht, which grants a seizure order to a party can, on application, order the party to lodge a proper writ (Klage) within a specified period, failing which the Arrest can be quashed: 926 ZPO. (iv) Implementation of a seizure order must take place within one month after it is pronounced (in the form of an Urteil) or (if it is issued in the form of a Beschluss) within one month of its service on the applicant: 929(ii) ZPO. 9 Book IX ( 9461024 ZPO): The Aufgebotsverfahren195
Book IX of the ZPO (Aufgebotsverfahren; 9461024) sets out the procedure for the issue of court notices requesting the notification of claims or rights where their exclusion is sought, eg, in the case of estate creditors ( 989ff). 10 Book X ( 10251048 ZPO): Arbitration196 Book X of the ZPO (Schiedsrichterliches Verfahren; 10251048) deals with the procedure for arbitration pursuant to an arbitration agreement (Schiedsvertrag).
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XIV ADMINISTRATIVE LAW
A INTRODUCTION The administration of federal laws is largely in the hands of the Lnder and administration by the Bund (bundeseigene Verwaltung) is the exception (Articles 83 and 86 GG). Federal ministeries normally have no Verwaltungsunterbau (administrative sub-construction).1 Thus, by Article 87ff GG, the federal ministeries only have authorities (Behrden) beneath them in certain limited areas (eg, the Auswrtiger Dienst (service of the Foreign Office (Auswrtiges Amt)), the authorities responsible for federal finances and taxes (Bundesfinanzverwaltung; Article 108 GG), national rivers (Bundeswasserstraen; Article 89 GG), the Bundesgrenzschutz (Federal Border Guard), the Bundeskriminalamt (Federal Office of Criminal Investigation), the federal military administration ( Bundeswehrverwaltung; Article 87b GG) and the air traffic authorities (Luftverkehrsverwaltung, Article 87d GG). Before their conversion into public limited companies, the Bundespost (Federal Post Office) and the Bundesbahn (Federal Railway) were both administered by the Bund. Now, however, only the latter remains under direct federal administration and services must be provided in private law form: Article 87e GG. Administrative law in Germany is complicated by the existence of a hierarchy of numerous legal sources (Rechtsquellen) for the activities of the executive (Verwaltung) on federal, state and local level, not to speak of European Community and public international law (Recht der Europischen Gemeinschaft und Vlkerrecht):2 1 2 3 4 5 6 7 Das Grundgesetz (Basic Law)/ Verfassung des Landes (state constitution); (Einfache) Gesetze ((simple) statutes); Rechtsverordnungen (statutory instruments); Satzungen (bye-laws) of the ffentlich-rechtlichen Krperschaften (public corporations); Gewohnheitsrecht (customary law); Allgemeine Grundstze des Verwaltungsrechts (general principles of administrative law); Verwaltungsvorschriften ((internal) administrative regulations).
Federal law always prevails over state law (Article 31 GG).3 B THE VERWALTUNGSVERFAHRENSGESETZ4 1 Introduction The two main statutes at federal level regarding general administrative law are the Verwaltungsverfahrensgesetz (VwVfG: Administrative Procedure Law) and the Verwaltungsgerichtsordnung (VwGO: Administrative Courts Order).
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Before the VwVfG came into force on 1.1.1977, the general principles of administrative law were largely unwritten. The VwVfG basically applies to the administrative activity (Verwaltungsttigkeit) of federal authorities (Bundesbehrden; l(i)). Where federal law is carried out (ausgefhrt) by state and local authorities (as is the usual case), the federal VwVfG is displaced by the VwVfGesetze of the Lnder, which are practically mirror images of the VwVfG ( l(iii) VwVfG). The VwVfG does not apply where the activity of the executive is in the form of private law (Verwaltungsprivatrecht) nor, for example, to the activities of the tax authorities (Finanzbehrden, where the Abgabenordnung (AO) 1977 applies), to the area of criminal prosecutions and minor offences (where the StPO and the OWiG apply) nor to the foreign activities of the Bund ( 2).5 2 Content
The VwVfG is divided into eight Parts of which the first six are as follows: Teil I: Anwendungsbereich, rtliche Zustndigkeit, Amtshilfe (application, local jurisdiction, official assistance; 18). Teil II: Allgemeine Vorschriften ber das Verwaltungsverfahren (general provisions regarding administrative proceedings; 934). Teil III: Verwaltungsakt (administrative act; 3553). Teil IV: ffentlich-rechtlicher Vertrag (public contract; 5462). Teil V: Besondere Verfahrensarten (special types of administrative proceedings; 6378). Teil VI: Rechtsbehelfsverfahren (remedy proceedings; 7980).6 3 The Verwaltungsverfahren7 The VwVfG applies to Verwaltungsverfahren (administrative proceedings), which is defined by 9 as the activity (Ttigkeit) of a Behrde (authority), which has external effect (Wirkung nach aussen); and is directed either (a) to the examination of the conditions for, the preparation and issue of a Verwaltungsakt (VA: administrative act; the large majority of cases) or (b) to the conclusion of an ffentlich-rechtlicher Vertrag (public contract).
A Behrde is defined for the purpose of the VwVfG as every Stelle (point), which undertakes functions of public administration ( l(iv)). A Verwaltungsverfahren can be and is, as a rule, conducted informally (formlos; 10).8 Formal proceedings can, however, be required by statute, in which case certain supplementary provisions apply ( 6371). The parties to (and conduct of) a Verwaltungsverfahren are dealt with in 1130 VwVfG.
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The relevant Behrde has discretion whether and when to conduct the Verwaltungsverfahren and investigates the facts itself ( 22, 1st sentence and 24(i)). The parties are referred to as Beteiligte (persons involved) and have rights to: information (Auskunft) as to their rights and duties ( 25); a hearing (Anhrung; 28);9 inspection of the file(s) (Akteneinsicht; 29);10 secrecy (Geheimhaltung; 30).
C THE VERWALTUNGSAKT (VA)11 1 Definition The important concept of the Verwaltungsakt is defined in 35, 1st sentence VwVfG and consists of the following elements:12 (a) jede Verfgung, Entscheidung oder andere hoheitliche Manahme (every direction, decision or other official measure); (b) von einer Behrde (by an authority); (c) zur Einzelfallregelung auf dem Gebiet des ffentlichen Rechts (to regulate an individual case in the area of public law);13 (d) mit unmittelbarer Rechtswirkung nach aussen (with direct external legal effect). Where a VA is addressed to a particular or distinguishable group of persons (Personenkreis) or relates to the public quality of a Sache or its use by the general public, it is known as an Allgemeinverfgung (general direction; 35, 2nd sentence). An example of an Allgemeinverfgung is the so-called dinglicher Verwaltungsakt, which is directed to the adoption/dedication (Widmung) of property (eg, a road) as an ffentliche Sache (public thing), ie, for a public purpose (Zweck).14 A Justizverwaltungsakt is a VA emanating from a judicial authority (Justizbehrde) in the field of judicial administration (Justizverwaltung).15 2 Content
The content of a VA must be sufficiently specific (hinreichend bestimmt). It can be issued orally, in writing or in other form, but, if in writing, reasons (Grnde) must be given.16 A VA can be supplemented or limited by a so-called Nebenbestimmung (collateral provision), eg, a Bedingung (condition) or Auflage (requirement).17 A VA can also: be provisional (vorlufig); be promised. The promise (Zusage/Zusicherung) must be in writing;18 cover preliminary matters only (eg, building approvals). It is then referred to as a Vorbescheid).
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Validity and Legality
A VA becomes wirksam (effective/valid) on its Bekanntgabe (notification) to the person to whom it is directed or who is affected by it and remains valid for so long and in so far as it is not withdrawn, revoked, otherwise (i.e. judicially) quashed or settled by lapse of time or otherwise.19 Exceptionally, however, a VA can be nichtig (void ab initio), in which case it is unwirksam.20 A VA is presumed valid, but the executive is bound by Article 20(iii) GG to act in accordance with law (the principle of the Rechtmigkeit der Verwaltung (Vorbehalt des Gesetzes)).21 A VA, which is not rechtmig (legal), is, therefore, rechtswidrig (illegal) or fehlerhaft (faulty). Once it has been challenged (angefochten), it can be rescinded (aufgehoben) by the (administrative) court; until then, the VA is known as being anfechtbar (challengable) or aufhebbar (voidable).22 With certain exceptions, a Widerspruch (formal objection) and Anfechtungsklage (writ of challenge) against a VA have suspensive effect (aufschiebende Wirkung): 80(i) VwGO.23 Accordingly, whether or not a VA is wirksam (valid) is a strictly separate question from that of its Rechtmigkeit (legality).24 The criteria for establishing the legality of a VA are: formal: was the issuing Behrde zustndig (competent)? Did it conduct the correct procedure (Verfahren)? Was the VA issued in the correct form?; material: did the Behrde observe the general principles of administrative law and, in accordance with the principle of the Rechtmigkeit der Verwaltung, act on the basis of and properly apply a valid norm?25 Bestandskraft, Rcknahme and Widerruf
A VA becomes bestandskrftig (finally binding) when it can no longer be challenged. The parallel of the concept of Bestandskraft is, in civil procedure, the concept of the Rechtskraft (legal force) of a judgment (Urteil).26 However, unlike the position after judgment in a civil case, the Rcknahme (withdrawal) and Widerruf (revocation) of a VA or the Wiederaufgreifen des Verfahrens (reconsideration of the proceedings) by the Behrde are possible in certain circumstances.27 5 Types28 are befehlend (require or forbid particular action, eg, a police order (polizeiliche Verfgung), a notice for the payment of fees (Gebhrenbescheid) or taxes (Steuerbescheid));
Administrative acts (VAs) are distinguished according to whether they:
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are rechtsgestaltend (create or amend a particular legal relationship, eg, naturalisation (Einbrgerung), appointment to an office (Ernennung)); are feststellend (effect a declaration as to particular circumstances, eg, as to status (eg, citizenship (Staatsangehrigkeit)) or rights); are begnstigend (favourable/advantageous, eg, grant of a permission (Erlaubnis) or (trading) licence (Konzession)); are belastend (burdensome/disadvantageous, eg, refusal or revocation/ withdrawal of a permission or licence); are Verwaltungsakte mit Drittwirkung (have effect on third parties, eg, building consent (Baugenehmigung)). Grant of an Erlaubnis or Genehmigung
A particular example of a rechtsgestaltende and begnstigende VA is the (grant (Erteilung) of an) Erlaubnis (permission),29 the usual basis for which is a Verbot mit Erlaubnisvorbehalt ((preventive) prohibition with the right to grant an Erlaubnis reserved). The question here is not whether there is an Ermchtigungsgrundlage for the action of the executive, but whether there is an Anspruchsgrundlage (legal basis) for the citizens claim, ie, is there an Anspruch auf Erla des begnstigenden Verwaltungsakts?30 The Erlaubnis is to be distinguished from the so-called Ausnahmebewilligung, Dispens or Befreiung, which grants the applicant an exception from the normal (repressive) prohibition of particular conduct. The grant of an Erlaubnis can either be gebunden (compulsory: where terms such as mu or ist zu (erteilen) are used) or frei (free, ie, the authority has Ermessen (discretion): where terms such as kann or darf are used). Decisions of a Behrde on the basis of Ermessen (Ermessensentscheidungen) can be examined by the administrative court: if the exercise of the Ermessen exceeds the gesetzlichen Grenzen (statutory limits; Ermessensberschreitung); if the Ermessen is not (fully) exercised (Ermessensnichtgebrauch / Ermessensunterschreitung); or if its exercise is abused (Ermessensmibrauch), ie, the authority does not act in conformity with the purpose of the norm (Normzweck).31
Ermessen must be exercised pflichtgem (in accordance with (legal) obligation) and fehlerfrei (free of faults).32 It is important to contrast Ermessen, which is part of the consequence (Rechtsfolge) of a norm and can only be controlled by the administrative court in certain circumstances,33 with the concept of the unbestimmter Rechtsbegriff (indefinite legal term), which is part of the norm itself, part of its Tatbestand. The interpretation by a Behrde of an unbestimmter Rechtsbegriff can always be fully re-examined by the court, except where the Behrde has so-called Beurteilungsspielraum (room for judgment).34
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A Bekrde can sometimes be compelled (verpflichtet) to take action in the event of a reduction of its Ermessen to zero (Ermessensreduzierung auf Null) where there is a particularly intensive threat to individual interests.35 Similarly, there is no room for free decision (Entscheidungsspielraum), if the relevant provision is an empowering norm (Befugnisnorm) rather than one granting discretion (Ermessensvorschrift). One should not always assume that an authority has discretion, even if the provision in question is one in which the word can is used (Kannbestimmung).36
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A AVAILABLE REMEDIES. THE VERWALTUNGSGERICHTSORDNUNG (VWGO) The addressee of a Verwaltungsakt can defend himself by informal Rechtsbehelfen (namely by a Gegenvorstellung (counter-response), by an Aufsichtsbeschwerde (complaint to the next higher Behrde) or even by a parliamentary petition1 or by formal Rechtsmitteln (namely by Widerspruch (objection)) and, usually thereafter, by proceedings before the Verwaltungsgericht (VG: administrative court)).2 Administrative court procedure is governed by the (federal) Verwaltungsgerichtsordnung (VwGO: Administrative Court Order) of 21.1.1960. There are three instances: the VG, the Oberverwaltungsgericht (OVG; administrative court of appeal)3 and, on the federal level, the Bundesverwaltungsgericht (BVerwG; Federal Administrative Court) in Berlin. Legal representation by a Rechtsanwalt is only compulsory before the BVerwG.4 The OVG is not only zustndig (competent) on an appeal (Berufung) from the VG, but also for the so-called Normkontrollverfahren (norm control procedure),5 in which, on application, the OVG can examine the validity of norms below a Landesgesetz (state statute), eg, local building plans (Bebauungsplne), which are passed by the Gemeinden in the form of Satzungen (bye-laws).6
B TYPES OF WRIT The main types of Klage (writ) issued at the VG are: the Gestaltungsklagen (actions to (re)organise a legal relationship, eg, the Anfechtungsklage (directed to the Aufhebung (annulment or quashing) of a VA)); the Leistungsklagen (actions claiming a Leistung (performance), eg, the Verpflichtungsklage (directed to the Erla (issue) of a VA)); and the Feststellungsklagen (actions to establish / declare a particular right or legal relationship; a special example is the so-called Fortsetzungsfeststellungsklage (an action to establish/declare that, after the event, a particular VA was illegal).7
C PRELIMINARY REQUIREMENTS Before an Anfechtungsklage or Verpflichtungsklage can be lodged, it is usually necessary for a Widerspruchsverfahren /Vorverfahren (objection proceedings/ preliminary proceedings) to have been conducted (on initiation by the complainant) and for a so-called Widerspruchsbescheid (objection notice, normally from the next higher Behrde) to have been issued.8
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The Widerspruchsverfahren is no judicial proceeding, but part of the Verwaltungsverfahren, ie, dealt with internally by the Widerspruchsbehrde, which examines not only the Rechtmigkeit (legality) of the VA (as does the VG), but also its Zweckmigkeit (expediency).9 The general clause 40(i) VwGO grants access to the administrative court (Verwaltungsrechtsweg) in all public law disputes of a non-constitutional nature, so long as jurisdiction is not expressly granted to another court by federal (or state) law.10 The conduct of the Widerspruchsverfahren and the availability of the Verwaltungsrechtsweg under 40(i) are only two of the preliminary requirements (conditions) for the admissibility (Zulssigkeit) of a Klage to the VG.11 The Klger (plaintiff) must also: claim (at least the possibility) that he is injured in his (subjective) rights (in seinen Rechten verletzt) by the VA, its refusal or the failure to grant it, ie, he must have socalled Klagebefugnis (authority to sue; locus standi ); a popular action (Popularklage) is thereby excluded;12 choose the correct type of Klage (Klageart); lodge his Klage in the correct form and within the appropriate time limit (Frist; usually one month from service of the Widerspruchsbescheid).13
The question of the Zulssigkeit of a Klage must be strictly separated from the question whether it is well founded (its Begrndetheit ). An Anfechtungsklage or Verpflichtungsklage is only begrndet (well founded), if the VA (or, in the case of a Verpflichtungsklage, its refusal or the failure to grant it) is illegal (rechtswidrig) and the plaintiff is thereby injured in his rights (in seinen Rechten verletz).14 The protection of the administrative court is not only available against VAs, but also against pure administrative action (schlichtes Verwaltungshandeln) in the form of so-called Realakte (real acts). Stoppage (Unterlassung) or disposal ((Folgen)Beseitigung) can be claimed.15
D THE HEARING IN THE ADMINISTRATIVE COURT16 As in criminal procedure, the Untersuchungsgrundsatz (inquisition maxim) applies before theVG.17 The court is responsible for the investigation of the facts of the matter (Ermittlung des Sachverhalts) itself. Thus, the court can require such evidence (Beweismittel) to be introduced into the proceedings as it considers necessary and is not bound / restricted by the parties submissions (Vorbringen) or by the form of their applications (Fassung der Antrge). However, the Verfgungsgrundsatz still applies in administrative proceedings (ie, the subject matter of the hearing remains at the disposal of the (private) parties) and the court cannot go beyond (or alter) what is sought by the application or Klage (the Klagebegehren or Klageziel).18
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The other maxims of civil procedure also apply, eg, the right to be heard, the publicity of the hearing and the concentration principle. As in civil procedure ( 299 ZPO), the parties are entitled to inspect the courts file (Gerichtsakte) and can take copies: 100 VwGO. The Untersuchungsgrundsatz is supplemented by the principle of the free assessment of evidence (Grundsatz der freien Beweiswrdigung). In particular, the court must reach its own (free) conviction from the total result of the proceedings (Gesamtergebnis des Verfahrens): 108(i) VwGO. Moreover, the court can only base its decision on such facts and evidence upon which the parties were given an opportunity to comment: 108(ii) VwGO. In contrast to civil procedure, the parties to administrative proceedings have no subjective burden of proof. However, this is subject to an important exception developed by the courts along the lines of civil procedure to deal with the situation where there is a non liquet, ie, a fact remains in doubt/cannot be proven. In such a case, the objective burden of proof has to be ascertained according to the substantive law. The so-called favourable norm principle (Normbegnstigungsprinzip) is applied, ie, the party seeking to derive a (favourable) legal position or right from particular facts (rechtsbegrndende Tatsachen) must prove them. In other words, if an uncertainty cannot be resolved in a partys favour, that party bears the consequences, unless statute otherwise provides. In the absence of an express provision regarding the burden of proof, the court takes into account the purpose and wording of the relevant norm and, in particular, policy considerations (including constitutional aspects).19 The administrative court can decide by way of: an Urteil (judgment; 107 VwGO; the normal situation); or a Beschlu (decision; 122 VwGO).
An oral hearing is usually required for an Urteil, but not for a Beschlu: 101(iii) VwGO. Another form of decision is the Gerichtsbescheid (court notice), which is (only) available in first instance proceedings, if the court is of the opinion that the matter does not reveal any particular difficulties of a factual or legal nature and the facts are clear: 84(i) VwGO. A Gerichtsbescheid has the same effect as an Urteil. It does not require an oral hearing, but there must be a prior Anhrung (hearing) of the parties. However, if an application for an (ordinary) oral hearing is made rechtzeitig (in time; ie, within one month after service), the Gerichtsbescheid is deemed not to have been issued: 84(iii) VwGO.
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XVI CRIMINAL LAW
A INTRODUCTION German criminal law is governed by the Strafgesetzbuch (StGB: Criminal Code) of 15.5.1871, variously reformed, amended and reissued. Criminal offences are also contained in numerous collateral statutes (Nebengesetze).1 The StGB is divided into two Teile (parts):2 1 The Allgemeiner Teil (AT: General Part; 1-79b), in turn divided into five Abschnitte (Sections). The AT contains general provisions and principles for all offences (Straftaten or Delikte). The Besonderer Teil (BT: Special Part; 80358), in turn divided into 29 Abschnitte. The BT contains a catalogue of individual Straftaten and their permissible punishment.
The StGB is based on the principle (Grundsatz) that an act (Tat or Handlung) can only be punished, if its punishability (Strafbarkeit) is fixed by statute (gesetzlich bestimmt) before the act is committed, ie, there can be no crime (or punishment) without (written) law: nullum crimen (nulla poena) sine lege (scripta).3 This principle of legality (Gesetzlichkeitsprinzip) is laid down in 1 StGB, which repeats Article 103(ii) GG, and means that: 1 the conditions for (Voraussetzungen) and consequences (Rechtsfolgen) of offences must be defined (bestimmt) by the legislature as exactly as possible (Bestimmtheitsgrundsatz); the retrospective application of offences to acts committed before the offence existed is forbidden (Rckwirkungsverbot);4 and an act cannot be punished by analogy to a particular offence (Analogieverbot).5
2 3
The strict binding of the legislature and judiciary to statute (Bindung an das Gesetz) reduces the risk of legal uncertainty (Rechtsunsicherheit), in the interest of the protection of the individual against arbitrary state rule (Staatswillkr).6
B TYPES OF OFFENCE7 The offences (Straftaten) of the StGB are divided into two categories ( 12): 1 2 Verbrechen (felonies), being those offences attracting a minimum punishment of one years imprisonment (Freiheitsstrafe); Vergehen (misdemeanours), being those offences attracting a minimum punishment of a lesser period of imprisonment or a fine (Geldstrafe).
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The main importance of the distinction is that an attempted Verbrechen is always punishable, whereas an attempted Vergehen only if expressly provided for.8 Lesser offences have been removed from the StGB and decriminalised (entkriminalisiert). They are termed Ordnungswidrigkeiten (minor offences) and are punishable (merely) by a so-called Geldbue (fine).9 The basis for an understanding of the BT is the concept of Rechtsgterschutz (protection of Rechtsgter, ie, assets of social (literally, legal) importance). It is a central principle that the function of criminal law is to protect Rechtsgter against injury (Verletzung) or threat (Gefhrdung). The BT contains three main groups of offences categorised according to the relevant Rechtsgut protected:10 1 2 3 offences against the state11 and community values (Gemeinschaftswerte);12 offences against the person;13 offences against property (Eigentum and Vermgen).14 C ELEMENTS OF AN OFFENCE15 The construction of norms in German criminal law follows the usual pattern of: Tatbestand (content); and Rechtsfolge (legal consequence).16
However, an act, which can be subsumed (subsumiert) under a (Straf-)Tatbestand is not of itself punishable. Independently of fulfilling the Tatbestand, the act must also be rechtswidrig (illegal) and schuldhaft (blameworthy). These three elements of Tatbestandsmigkeit (Tatbestandserfllung), Rechtswidrigkeit and Schuld form the crux of German criminal legal theory. The existence of a Straftat depends on the fulfillment of each of these elements.17 In English criminal law, the equivalent categories are, broadly, actus reus, illegality and mens rea (viz defences). 1 Tatbestandsmigkeit of the Handlung (a) When an act is tatbestandsmig To be tatbestandsmig, an act must: be a Handlung (ie, vom Willen getragenes menschliches Verhalten: human conduct carried by (free) will);18 fall within the catalogue of criminal offences in the BT or in a Nebengesetz (collateral law); fulfill all the Merkmale (elements) of the Tatbestand.19
A Handlung can be punishable either according to the activity (Ttigkeit), which is described as forbiddena so-called schlichtes Ttigkeitsdeliktor according to the result (Erfolg) caused (verursacht) by ita so-called Erfolgsdelikt.20
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In the latter case, there has to be a causal link between the Handlung and the Erfolg. By the dominant theory of causation (Kausalitt)the so-called quivalenztheorie (equivalence theory)21every condition without which the Erfolg would fall away22 is regarded as (equivalent/) causal for the Erfolg. (b) Crimes by omission A Tatbestand can be fulfilled not only by a Handlung (giving rise to a so-called Begehungsdelikt (crime by active conduct/crime of commission)), but also by an Unterlassung (omission), which is regarded as the equivalent of a Handlung. It is important to note here that a German criminal norm may be one of two types: either a norm, which requires certain action to be carried out (a so-called Gebotsnorm) a failure to act/omission being punishable as suchor, more usually, a norm, which forbids certain action or injury to a particular Rechtsgut (a so-called Verbotsnorm). The breach of a Gebotsnorm by omission is called an echtes Unterlassungsdelikt (genuine crime by omission), while the breach of a Verbotsnorm by omission is referred to as an unechtes Unterlassungsdelikt (artificial/qualified crime by omission). An unechtes Unterlassungsdelikt is only punishable, if: the Erfolg in a Tatbestand has arisen; the Tter (perpetrator) omitted to prevent the Erfolg, although it was possible for him to do so; the Tter had a special legal duty to act, a so-called Garantenpflicht.23
A Garantenpflicht can arise in various (unwritten) circumstances, for example: aus Rechtssatz (when it is provided for by law); aus Rechtsgeschft (when a Schutzpflicht (duty of protection) is assumed by Vertrag (contract)); aus vorangegangenem Tun (when it flows from prior conduct); or aus einer Lebensbeziehung (when a close personal relationship exists).24
An Unterlassungstter (perpetrator of an artificial/qualified crime by omission) is punishable, as if he had fulfilled the Tatbestand of a Begehungsdelikt, but the punishment (Strafe) can be reduced.25 (c) Acts by persons representing others By 14 StGb, if acts are committed on behalf of others by persons in a position of authority and a statute requires the existence of certain circumstances or the possession of special personal attributes (besondere persnliche Merkmale) as a precondition of punishability and such circumstances or special personal attributes pertain to, or, as appropriate, are possessed by the person represented, but not the person acting, then the statutory provisions also apply to die person acting. In other words, 14 StGB extends the net of potential criminal liability to persons acting vicariously for others, eg, the organs of a company, persons instructed to perform particular duties for die owner of a business. Even if the person represented does not
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act as such, those more directly involved lower down the chain can be the subject of punishment. 2 Rechtswidrigkeit of the Handlung (a) When a Handlung is rechtswidrig The mere fact that a Handlung fulfills the Tatbestand of a criminal norm does not, of itself, make the Handlung rechtswidrig (illegal) or, to use English legal terminology, turn it into an actus reus (criminal act). However, unless the Handlung is justified (gerechtfertigt) by another norm or principle, the fulfillment of the Tatbestand is, as a rule, regarded as indicating the illegality of the Handlung: die Tatbestandserfllung indiziert die Rechtsuridrigkeit. (b) Rechtfertigungsgrnde26 Whether or not a person has acted illegally is dependent on a further consideration: the (non-)existence and (non-)fulfillment of so-called Rechtfertigungsgrnde (justifying reasons). Rechtfertigungsgrnde supplement (ergnzen) the Tatbestand; they are socalled negative Tatbestandsmerkmale (negative elements of a Tatbestand) and can be both written (eg, in the StGB, StPO or BGB) and unwritten.27 The most important Rechtfertigungsgrnde in practice are: 3 Einwilligung: consent (volenti non fit inuiria);28 mutmaliche Einwilligung: presumed consent;29 Notwehr: self-defence;30 defensiver Notstand: defensive emergency;31 aggressiver Notstand: offensive emergency;32 rechtfertigender Notstand: justifying emergency;33 Ausbung von Dienstrechten oder Ausfhrung von rechtmigen Befehlen: exercise of official rights or implementation of legal orders;34 Wahrnehmung berechtigter Interessen: pursuit of just interests;35 soziale Adquanz: social adequacy;36 sonstige Eingriffsrechte: other intervention rights.37 Schuld (a) Meaning of Schuld Although it is dear that a Handlung is not a Straftat and is not punishable without the Schuld (blame/guilt) of the Tter (perpetrator), the concept of Schuld (culpa) itself is far from simple or clear. It does not fully equate to the similar, but narrower, English legal term mens rea (guilty mind). The dominant normative definition of Schuld regards Schuld as such a relationship (Beziehung) of the Tter to his Tat as can, on evaluation, be deemed
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vorwerfbar (reproachable), ie, a reprehensible attitude /frame of mind on the part of the Tter (towards the law) (verwerfliche (Rechts-)gesinnung).38 (b) Schuldfhigkeit In the normal case, the Tter is assumed to be schuldfhig (capable of blame). However, children (Kinder) under 14 are schuldunfhig39 and youths between 14 and 18 (Jugendliche) are schuldfhig depending on their moral and intellectual development.40 Those between the age of majority (18) and 21 are referred to as Heranwachsende (young persons) and can be treated as Jugendliche or as Erwachsene (adults) depending on the circumstances. The absence or reduction in Schuldfhigkeit due to physical or emotional defects is dealt with in 20 and 21 StGB.41 Usually, capacity is assessed at the time an offence is committed (bei Begehung der Tat). However, a special exception is the principle of actio libera in causa (an act free in origin): the blame /responsibility of a person is brought forward (vorverlegt) to the time of his prior conduct (actio praecedens), if he freely put himself into a condition of incapacity, foreseeing that he would commit a particular offence in that state. The Tter is punishable because he set in motion a course of events culminating in the commission of an offence.42 (c) Forms of Schuld43 Schuld can arise in two forms: Vorsatz (intent), the usual form of Schuld, known as Vorsatzschuld; Fahrlssigkeit (negligence).
Acts (Handlungen) are usually only punishable, if they are committed with Vorsatz (vorstzliches Handeln), ie, wilfully. The law must expressly say so, if negligent conduct (fahrlssiges Handeln) is punishable.44 Vorsatz may be defined as the knowledge of and desire for those (objective and subjective) circumstances /elements, which belong to the Tat: das Wissen und Wollen der Tatumstnde/Tatbestandsmerkmale, die zum gesetzlichen Tatbestand gehren. The Tter need not know the statutory details of the offence, provided, as a layman, he has evaluated his conduct as wrong (so-called Parallelwertung in der Laiensphre).45 Vorsatz is classified as either:46 dolus directus (unmittelbarer Vorsatz). This is the usual form of Vorsatz: the Tter knows that he is committing an offence and wants to do so. It is to be distinguished from Absicht (pure intention), which requires more than just Wissen und Wollen der Tatumstnde, ie, where the particular Erfolg itself is the prime motive of the Tter;47 dolus eventualis (bedingter (eventual) Vorsatz; the Tter does not want to commit an offence, but, for the purpose of his Handlung, takes such a possibility into account (nimmt die Mglichkeit in Kauf).48
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It is to be distinguished from bewute Fahrlssigkeit (conscious negligence), where the Tter hopes that things will go well and relies on (vertraut auf) the possible offence not occurring.49 Fahrlssigkeit is the exceptional form of Schuld. It can be bewut (conscious) or unbewut (unconscious), leicht (slight) or grob (gross).50 A person is fahrlssig, if he fails to act with care (Sorgfalt), despite the fact that, due to his personal abilities and qualities, he is in a position (in der Lage) to know that he should do so and that he can avoid the (foreseeable) Erfolg; he has the capacity of Wissenknnen und Vermeidenknnen.51 (d) Exclusion of Schuld Schuld can be excluded if a (written or unwritten) Schuldausschlieungsgrund (ground for exclusion of Schuld) exists.52 Thus, if the Tter is unaware of one of the Tatumstnde ( 16(i) StGB: so-called Tatumstands- or Tatbestandsirrtum), his Vorsatz and, therefore, unless there is Fahrlssigkeit on his part, his Schuld is excluded.53 The same applies, if the Tter mistakenly believes that his Handlung is justified by a Rechtfertigungsgrund (so-called Putativrechtfertigung).54 A Putativ- or Wahndelikt describes the non-punishable conduct of a Tter, who believes he is committing an offence, which, in fact, does not exist.55 Where there is a change in the course of events (Abweichung im Kausalverlauf) leading to the Erfolg, the Handlung of the Tter remains vorstzlich, unless the change is significant (erheblich; aberratio ictus). However, an error in obiecto or in persona has no effect on the Vorsatz of the Tter.56 If the Tter had no Unrechtsbewutsein (consciousness of the illegality of his conduct),57 Schuld can be excluded. Unrechtsbewutsein is not, however, an element of Vorsatz: it goes to the question of Schuld. If a Tter has no Unrechtsbewutsein due to an avoidable mistake (eg, he could be expected to inform himself about the illegality), his punishment can be reduced,58 but he has still acted vorstzlich. Schuld is only excluded, if the mistake was unavoidable. Both types of mistake (avoidable and unavoidable) are cases of so-called Verbotsirrtum ( 17 StGB). The Schuld of a Tter can also be excluded, if, in an immediate emergency, in which he has no other choice, a person commits an illegal act in order to ward off a danger to the life, limb or freedom of himself or persons near to him; he acts without Schuld ( 35(i) StGB; so-called entschuldigender Notstand). If he acts mistakenly (socalled Putativnotstand), he is only punishable, if his mistake (Irrtum) was avoidable (vermeidbar), but his punishment can be reduced ( 35(ii) StGB).59 To be distinguished from Rechtfertigungsgrnde and Schuldausschlieungsgrnde, the presence of either of which excludes the existence of a Straftat,60 are the Strafausschlieungs- or Strafaufhebungsgrnde, which exclude or lift the possibility of Strafe (punishment).61
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D CONSEQUENCES OF AN OFFENCE62 The Rechtsfolgen der Tat (legal consequences of the offence) are dealt with in the third Section of the AT ( 3876a StGB). Strafen 3844 StGB set out the possible Strafen (punishments), which can be imposed (verhngt). To be distinguished is the Hauptstrafe (a main punishment, which can be imposed by itself) and the Nebenstrafe (an accessory punishment).63 Hauptstrafen are the Freiheitsstrafe (imprisonment)64 and the Geldstrafe (fine).65 The Freiheitsstrafe can be either lebenslang (a life sentence) or zeitig (for a particular period between one month and 15 years).66 The Geldstrafe is the appropriate punishment for less serious crimes and is imposed in (a minimum of five and maximum of 360) Tagesstzen (daily rates) of between DM 2 and DM 10,000.67 A Freiheitsstrafe of less than six months is only imposed in exceptional cases (Ausnahmefllen), if essential (unerllich) as an ultima ratio (final measure) to impress the Tter (zur Einwirkung auf den Tter) or to defend the legal system (zur Verteidigung der Rechtsordnung).68 A Geldstrafe is the preferred punishment in practice. Where a Freiheitsstrafe imposed does not exceed one year, suspension of the sentence is possible for between two and five years (Strafaussetzung zur Bewhrung).69 The suspension of the rest of a zeitiger or lebenslanger Freiheitsstrafe is also possible where at least two-thirds of the sentence (or, as appropriate, 15 years) has been served.70 Where a Geldstrafe of not more than 180 Tagesstze has been imposed, the court can, under certain circumstances (eg, first offence), merely issue a warning and fix the punishment, but reserve actual sentence for a probationary period (Bewhrungszeit) of between one and three years (Verwarnung mit Strafvorbehalt).71 The court can also disregard imposing a Strafe altogether, if the consequences of the Tat for the Tter are so severe as to make the imposition of punishment obviously wrong (offensichtlich verfehlt): so-called Absehen von Strafe.72 The type and extent of the appropriate Strafe is dependent on the Schuld of the Tter: the Strafe must be schuldangemessen (appropriate to (the) Schud).73 Maregeln der Besserung und Sicherung Regardless of his Schuld, a Tter may pose a danger to society or require particular attention. This is the domain of the so-called Maregeln der Besserung und Sicherung (measures of improvement and security).74 The German criminal legal system is, therefore, zweispurig (two-tracked): a Tter can be sentenced to a Strafe and/or to a Maregel.75 The Maregel must be proportionate (verhltnismig).76 The possible Maregel are:
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placement in a psychiatric hospital;77 placement in a rejection institution (Entziehungsanstalt);78 placement in secure custody (Sicherungsverwahrung);79 supervision of conduct (Fhrungsaufsicht);80 withdrawal of driving licence (Entziehung der Fahrerlaubnis);81 occupational ban (Berufsverbot);82
Apart from the above, the court can also order other Manahmen, ie, Verfall (forfeiture of a pecuniary advantage), Einziehung (confiscation of Gegenstnde ) and Unbrauchbarmachung (neutralisation (rendering useless) of associated equipment).83
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CHAPTER XVII
XVII CRIMINAL PROCEDURE1
A INTRODUCTION Present day German criminal procedure is a mixture between an accusatorial and an inquisitorial system.2 This was not always so. Until the reforms of the 19th century, an inquisitorial approach prevailed.3 Today, German criminal procedure is governed by the Strafprozeordnung (StPO: Criminal Procedure Order) of 1.2.1877, variously amended and reissued. The StPO is supplemented by the provisions of the GVG concerning the criminal courts ( 1 StPO) and the Staatsanwaltschaft (public prosecutors office).4 The StPO is divided into seven Books: Book I: Allgemeine Vorschriften (general provisions; 1150). Book II: Verfahren im ersten Rechtszug (proceedings at first instance; 151295). Book III: Rechtsmittel (legal remedies / appeals; 296358). Book IV: Wiederaufnahme eines Verfahrens (reopening of proceedings; 359373a). Book V: Beteiligung des Verletzten am Verfahren (involvement of the injured party in the proceedings; 374406h). Book VI: Besondere Arten des Verfahrens (special types of proceedings; 407448). Book VII: Strafvollstreckung und Kosten des Verfahrens (enforcement of punishment and costs of the proceedings; 449473). German criminal procedure is dominated by various maxims or principles (Grundstze), of which the following should initially be noted: the Anklagegrundsatz (accusation principle): no judicial investigation (gerichtliche Untersuchung) of a criminal matter can take place without an (ffentliche) Klage ((public) complaint/indictment);5 the Unschuldsvermutung (presumption of innocence): a person charged with a criminal offence is presumed to be innocent until proven guilty; the Ermittlungsgrundsatz (inquisition principle): the court examines (inquires into) the facts of the matter itself; and the right to a fair hearing (Anspruch auf ein faires Verfahren).6
The parameters of the courts investigation are set by the Klage, ie, the court can only investigate and decide upon the alleged offence and person(s) accused in the Klage: 155(i)StPO. Unlike the position in civil proceedings, the applications contained in the Klage are not binding on the court 155(ii) StPO.
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The general public can notify the authorities (the court, the Staatsanwaltschaft or the police) of a Straftat in two ways,7 namely either: by means of a (Straf-)Anzeige (notice of an offence), which anyone can file (erstatten), orally or in writing (mndlich oder schriftlich); or by means of a (Straf-)Antrag (application for prosecution), which can only be lodged by a Verletzten (injured party) within three months of his Kenntnis (knowledge) of the Tat and the identity of the Tter.8
Although prosecution (Strafverfolgung) is usually undertaken (officially) by the state, certain offences must (and others can) be prosecuted on application (so-called Antragsdelikte).9 A Strafantrag must be lodged in writing.10 Prosecution may be statute-barred due to lapse of time (so-called Verfolgungsverjhrung).11 B THE STAATSANWALTSCHAFT 12 The Staatsanwaltschaft (state attorneys office) is the competent prosecution authority (Anklagebehrde) and possesses a so-called Anklagemonopol (prosecution monopoly).13 A Privatklage (private prosecution) is possible, however, in certain (less serious) cases of, for example, libel, personal injury, trespass and damage to property where the Staatsanwaltschaft does not consider prosecution as being in the public interest (im ffentlichen Interesse).14 The Staatsanwaltschaft is independent from the courts15 and has a hierarchical structure. Depending on the court to which they are attached,16 state attornies are variously described as: Amtsanwlte (district public prosecutors) (AG); Staatsanwlte (state prosecutors) (AG and LG); Oberstaatsanwlte (senior state prosecutors) (LG); Generalstaatsanwlte (general state prosecutors) (OLG); and Bundesanwlte (federal prosecutors) (BGH).
The most senior officer at the BGH is the Generalbundesanwalt (general federal prosecutor). The officers of the Staatsanwaltschaft are civil servants (Beamte) and have a duty to obey the directions of their superiors: 146 GVG. Supervision (Dienstaufsicht) is exercised by the federal and state justice ministries ( 147 GVG), but the limits of political influence over prosecuting authorities remain unclear.17 The Staatsanwaltschaft is obliged to intervene (einzuschreiten) with regard to all Straftaten capable of prosecution, so far as zureichende tatschliche Anhaltspunkte (sufficient factual clues) exist18 (the so-called Legalittsgrundsatz (legality principle),
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as opposed to the Opportunittsgrundsatz (opportunity principle), whereby, in certain cases, the Staatsanwaltschaft has a discretion not to pursue the matter).19 As soon as the Staatsanwaltschaft receives notice (Kenntnis) of a suspected Straftat whether by Anzeige or in another manner, it must investigate the facts (den Sachverhalt erforschen) in order to decide whether to lodge a Klage (the so-called Ermittlungsverfahren (investigation procedure) or Vorverfahren (preliminary procedure)).20 In doing so, the Staatsanwaltschaft must take into account not only incriminating, but also exonerating circumstances.21 The Staatsanwaltschaft can require Auskunft (information) from all public authorities (ffentlichen Behrden) and either itself conduct enquiries of any kind (Ermittlungen jeder Art) or arrange for the police to do so.22 The Staatsanwaltschaft can apply to the local Amtsgericht (District Court), if it considers that a particular richterliche Untersuchungshandlung (judicially ordered investigative act) is necessary (erforderlich)23 eg, a (krperliche) Untersuchung ((bodily) search),24 Beschlagnahme (seizure),25 Durchsuchung (search (of premises or persons)), or, subject to the issue of a Haftbefehl (arrest warrant), Untersuchungshaft (remand in (investigative) custody).26 C THE VERTEIDIGER27 A A suspect is entitled to avail himself of the assistance (Beistand) of a defender (Verteidiger) at every stage of the proceedings: 137(i) StPO. He can choose up to three Verteidiger: 137(i), 2nd sentence StPO. Moreover, during the main proceedings, the spouse or statutory representative of the accused has a right to be heard as a Beistand (assistant): 149 StPO.28 A suspect basically has freedom of choice regarding his Verteidiger, although only a Rechtsanwalt admitted at a German court or a teacher of law at a German university can be chosen without the permission of the court 138 StPO. In certain cases, a Verteidiger must be excluded: 138a-d StPO. To be distinguished from free selection of a defender (Wahlverteidigung) is appointment (Bestellung) of a compulsory defender (Pflichtverteidiger) by the presiding judge: 141ff StPO. The Pflichtverteidiger is selected by the judge from a list of Rechtsanwlte, although the lawyer desired by the suspect is usually accepted: 142(i) StPO. The lawyer appointed must accept the brief: 49(i) BRAO. An appointment must be withdrawn, if another Verteidiger is freely selected: 143 StPO. In certain circumstances, the participation of a (freely selected or appointed) defender is necessary (notwendig): 140(i) StPO. Necessary defence entails the presence of a Verteidiger throughout the main proceedings: 145 StPO.
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In other cases, the presiding judge must appoint a Verteidiger, if the latters participation is apparently required by: the seriousness of the offence; or the difficulty of the facts or law involved; or if it is clear that the suspect cannot defend himself ( 140(ii) StPO).29 A suspect can also apply for appointment of a Verteidiger, if Untersuchungshaft (investigative custody) has lasted for at least three months: 117(iv) StPO. D E A Verteidiger cannot, at the same time, represent more than one person accused of the same offence: 146, 1st sentence StPO. Apart from his general duties of conduct (eg, not to mislead the authorities (Wahrheitspflicht) and (towards his client) to maintain silence (Schweigepflicht)), a Verteidiger has the following main rights and duties in the preliminary procedure (Vorverfahren): Anwesenheitsrecht (right to be present). During an examination of the suspect by the Staatsanwaltschaft or the judge a Verteidiger has a (statutory) right to be present: 168c (i) StPO. Akteneinsicht (right to inspect the file): 147 StPO.30 Verkehr mit dem Beschuldigten (communication with the suspect): 148 StPO.31
A Verteidiger also has a right to refuse to give evidence (Zeugnisverweigerungsrecht) regarding anything, which is revealed to him by the suspect or which the Verteidiger learns of in his professional capacity: 53(i) No 2 StPO.
D THE POLICE32 It is also33 a function of the police to investigate Straftaten (not merely on instruction by the Staatsanwaltschaft) and take all immediately necessary steps (alle keinen Aufschub gestattenden Anordnungen) to prevent the obscuring of the matter (die Verdunkelung der Sache zu verhten).34 The police must then pass its file to the Staatsanwaltschaft without delay or, if it seems that richterliche Untersuchungshandlungen need to be carried out speedily, direct to the Amtsgericht (district court).35 Without the decision of a judge, the police itself has no right to detain a person in custody (ie, cause a deprivation of freedom (Freiheitsentziehung)) longer than until the end of the day following the persons seizure (Ergreifung; Article 104(ii) GG). A person suspected of an offence must be brought before the judge (the Vorfhrung vor den Richter) at the latest the day after his vorlufige Festnahme (provisional arrest; Article 104(iii) GG).36 In the absence of a pre-existing arrest warrant (Haftbefehl), presentation of the suspect takes place at the Amtsgericht for the area in which he is arrested ( 128(i) StPO).37
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The judge must forthwith (unverzglich) either issue an arrest warrant or placement order (Unterbringungsbefehl) or otherwise release the suspect (Article 104(iii), 2nd sentence GG and 128(ii) StPO).38
E ACTION FOLLOWING INVESTIGATION If the of the Staatsanwaltschaft (or police) provide sufficient cause (gengender Anla), the Staatsanwaltschaft can apply to the competent court by means of an Anklageschrift (=Anklage=Klage (bill of indictment)) for the opening of the main proceedings (Erffnung des Hauptverfahrens).39 Otherwise, it must terminate the investigation (Einstellung des Verfahrens).40 Alternatively, the Staatsanwaltschaft can apply for the issue of a Strafbefehl (punishment order) where a Vergehen is involved and a main hearing is not considered necessary.41 Before a Klage is lodged, the suspect is known as the Beschuldigter. Thereafter (and before the main proceedings are opened) he is referred to as the Angeschuldigter (person charged).42 If, from the results of the preparatory investigation, the Angeschuldigter appears sufficiently suspect of a Straftat (einer Straftat hinreichend verdchtig), the competent court decides to open the Hauptverfahren.43 The decision (which cannot be challenged by the accused, who is then referred to as the Angeklagter (person indicted))44 is known as the Erffnungsbeschlu.45 Once the Hauptverfahren is opened, the Klage cannot be withdrawn.46 If the court rejects the application for Erffnung from the Staatsanwaltschaft or passes the matter to a lower court, the Staatsanwaltschaft can raise immediate objection (sofortige Beschwerde).47 The Angeklagter must be notified at least one week before the Hauptverhandlung (main hearing (date)) by a Ladung (notice to attend).48 The Hauptverhandlung is dealt with in Section 6 of Book II ( 226275) StPO.
F HAUPTVERHANDLUNGSHAFT Provided a Hauptverhandlung begins within one week, a person caught in the act (auf frischer Tat) can be taken into Hauptverhandlungshaft (main hearing custody), if a Vergehen is involved, ie, the maximum possible punishment is one years imprisonment There must be a risk, on the basis of particular facts (bestimmte Tatsachen), that the person held would otherwise stay away from the Hauptverhandlung.49
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G THE MAIN PROCEEDINGS AND THEREAFTER (BOOK II (SECTION 6) BOOK IV STPO)50
H INVOLVEMENT OF THE INJURED PARTY (BOOK V STPO)51 Book V ( 374406h) is divided into four Sections: 1: Privatklage (private prosecution; 374394). By 380(i) StPO, it is a condition precedent to a private prosecution for trespass (Hausfriedensbruch), insult (Beleidigung), infringement of the right of secrecy of correspondence (Briefgeheimnis), personal injury (Krperverletzung), threatening behaviour (Drohung) and damage to property (Sachbeschdigung) that an attempt at conciliation (Shneversuch) first be undertaken before an official arbitrator (Schiedsmann).52 Nebenklage (collateral prosecution; 395402). Entschdigung des Verletzten (compensation for the injured party; 403406c). Sonstige Befugnisse des Verletzten (other powers of the injured party; 406d-406h).
2: 3: 4:
I SPECIAL TYPES OF PROCEEDINGS (BOOK VI STPO)53 Book VI ( 407448) is divided into four Sections: 1: 2: 3: 4: Verfahren bei Strafbefehlen (procedure in the case of punishment orders; 407 412).54 Sicherungsverfahren (security proceedings; 413416). Verfahren bei Einziehungen und Vermgensbeschlagnahmen (procedure in the case of forfeiture and seizure of assets; 430443). Verfahren bei Festsetzung von Geldbuen gegen juristische Personen und Personenvereinigungen (procedure in the case of fines being set against juristic persons and associations; 444).
J ENFORCEMENT OF PUNISHMENT AND COSTS OF THE PROCEEDINGS (BOOK VII STPO)55 Book VII ( 449473) is divided into two Sections: 1: 2: Strafvollstreckung (enforcement of punishment; 449463d). Kosten des Verfahrens (costs of the proceedings; 464473).
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CHAPTER XVIII
XVIII EMPLOYMENT LAW
A INTRODUCTION The three main fields of German employment law are Arbeitsvertragsrecht (individual employment contract law), kollektives Arbeitsrecht (collective employment law) and Arbeitsschutzrecht (work protection law). The latter two largely developed after 1900, due to the fact that the BGB only concerned itself with Dienstvertragsrecht (law relating to contracts of service).1 An employment relationship (Arbeitsverhltnis) is usually based on a contract of employment (Arbeitsvertrag) between an Arbeitgeber (employer) and an Arbeitnehmer (employee). A characteristic feature of a contract of employment is that an employee is personally/socially dependent (abhngig), ie, he is subject to direction by his employer (weisungsgebunden). Persons who are self-employed (selbstndig) are not employees, nor are persons, who provide independent services of a higher, commercial nature ( 675 BGB).2 An employment relationship gives rise to various rights and duties. Thus, for example, an Arbeitgeber (employer) has (largely statutory) duties of protection (Schutzpflichten) and a duty of care (Frsorgepflicht) towards the employee.3
B FORM AND TERMINATION OF A CONTRACT OF EMPLOYMENT4 1 An Arbeitsvertrag requires no particular form and can end by: Zeitablauf (effluxion of time); Tod des Arbeitnehmers (death of the employee); Aufhebungsvertrag (annulment agreement);5 or Kndigung (termination).6
Like any other Rechtsgeschft, an Arbeitsvertrag can also be void by operation of law (nichtig) or challengable (anfechtbar) on the grounds laid down in the BGB.7 2 Kndigung is a remedy available to each party to an employment relationship. It can be either ordentlich (in proper form)ie, befristet (with notice)or auerordentlich (summary)ie, fristlos aus wichtigem Grund (without notice for an important reason).8 In both cases, a Kndigung has to be in writing to be effective: 623 BGB.9 By 626(ii) BGB, a Kndigung aus wichtigem Grund must be declared within two weeks of knowledge of the facts (upon which the important reason is based). These facts must be such that, in all the circumstances of the case, it would be unacceptable (unzumutbar) for the terminating party, if the employment
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relationship were to continue until expiry of the notice period (Kndigungsfrist) or until the agreed contractual termination date: 626(i) BGB. However, no important reason is required for the termination of a relationship involving the provision of services of a higher nature (Dienste hherer Art) by a self-employed person holding a position of trust (Vertrauensstellung), eg, a doctor, lawyer or accountant: 627(i) BGB. An employee must, usually, receive a prior warning (Abmahnung) before dismissal.10 The befristete Kndigung is the usual means of terminating11 an Arbeitsverhltnis with no specific date of expiry (auf eine unbestimmte Zeit geschlossen). For such contracts of employment, the applicable Kndigungsfristen (notice periods) are laid down in 622 BGB. Thus, the normal minimum notice period is 4 weeks to the 15th or to the end of a calendar month, both for workers (Arbeiter) and for employees (Angestellte): 622(i) BGB. Once an Arbeitsverhltnis has lasted for two years or more, the Kndigungsfristen for termination by an employer increase in stages, up to a maximum of seven months to the end of a calendar month in the case of 20 years employment: 622(ii) BGB. During a trial (employment) period (Probezeit) of up to six months, the notice period is reduced to two weeks: 622(iii) BGB. Tariff agreements can contain different provisions and longer notice periods are possible by individual agreement, although the period for termination by an employee cannot be longer than that for an employer.12 3 If an employee has been employed for at least 6 months, he is protected against Kndigung by the Kndigungsschutzgesetz (KSchG; Employment Protection Law) of 10.8.1951 provided at least five (other) persons are (usually) employed in the relevant business.13 1(i) KSchG declares that an (ordentliche) Kndigung which is sozial ungerechtfertigt (socially unjustified) is rechtsunwirksam (of no legal effect). A Kndigung is sozial ungerechtfertigt, if it is not based on (bedingt durch) reasons in the person or conduct of the employee (Grnde in der Person oder in dem Verhalten des Arbeitnehmers) or on urgent requirements of the business (dringende betriebliche Erfordernisse: the so-called betriebsbedingte Kndigung): 1(ii), 1st sentence KSchG.14 When selecting employees for Kndigung due to dringende betriebliche Erfordernisse, the employer must still give sufficient consideration (ausreichende Rcksicht) to social aspects (soziale Gesichtspunkte), otherwise the dismissal is socially unjustified.15 If an employee considers his Kndigung as socially unjustified, he can lodge an Einspruch (objection) within one week at the Betriebsrat (works council), which can then attempt to reach a Verstndigung (understanding) with the employer.16 If this remains unsuccessful, the employee must within three weeks of his receipt of the Kndigung issue a Klage at the Arbeitsgericht (employment court) for a declaration (Feststellung) that the Arbeitsverhltnis was not dissolved by the Kndigung (a so-called Kndigungsschutzklage): 4(i) KSchG.17 The Kndigung becomes effective, if no Klage is issued.18 Even if the Arbeitsgericht concludes that the Arbeitsverhltnis was not dissolved
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by the Kndigung, the employee (or employer) can apply to the court to dissolve the Arbeitsverhltnis and order the employer to pay an appropriate settlement (eine angemessene Abfindung).19 An employers bankruptcy is governed by the Insolvenzordnung (InsO; Insolvency Order) of 5.10.1994 (in force since 1.1.1999).20 It contains provisions facilitating termination of contracts of employment (Kndigungserleichterungen). Thus, by 80(i) InsO, the employers assets pass to the Insolvenzverwalter (insolvency administrator), who assumes the employers rights and duties. A mandatory, shortened notice period of three months to the end of a calender month applies ( 113(i) InsO). However, an employees statutory rights to protection against Kndigung are unaffected (ie, they are insolvenzfest (insolvency-proof)). The transfer of a business (Betriebsbergang) is no justification for a Kndigung ( 613a (iv) BGB), but the new owner can carry out any necessary changes (Betriebsnderungen; 111ff BetrVG) for the purpose of the reconstruction (Sanierung) of the business.21 On termination of a contract of employment, an employer must, on request, supply a reference (Zeugnis) regarding an employees conduct and performance during his employment: 630 BGB. C THE BETRIEB AND BETRIEBSRAT22
The Betriebsrat (works council) is the elected representative of the employees of a Betrieb and is the most important institution of the constitution of a Betrieb (Betriebsverfassung). The applicable law is the Betriebsverfassungsgesetz of 15.1.1972 (BetrVG).23 The equivalent of the Betriebsrat in the public sector is the Personalrat; the applicable laws being the Personaluertretungsgesetze of the Bund and the Lnder.24 The term Betrieb is to be distinguished from the wider term Unternehmen (enterprise) Both describe an organisational business unit and are used interchangeably in daily speech. However, while an Unternehmen refers to a business in the general sense, a Betrieb is technically the individual (operational) business unit, the direct (place of) work/business. An Unternehmen can consist of various Betriebe.25 The involvement (Beteiligung) of employees in a Betrieb is commonly referred to as betriebliche Mitbestimmung, while their involvement in the organs of an Unternehmen as Mitbestimmung in den Unternehmensorganen.26 A Betriebsrat can be elected in all Betrieben with at least five permanent Arbeitnehmer. Usually, only employees, who have belonged to the Betrieb for six months, are capable of election (whlbar).27 The number of members of a Betriebsrat is dependent on the total number of adult employees in the Betrieb.28 The BetrVG does not apply to leitende Angestellte (leading employees)29 nor to socalled Tendenzbetriebe, ie, businesses, which directly and predominantly serve political, confessional, charitable, educational, scientific or artistic provisions or purposes of reporting or the expression of opinion.30
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D COOPERATION BETWEEN EMPLOYER AND BETRIEBSRAT 31 By 2(i) BetrVG, employer and Betriebsrat must work together in confidence and in cooperation with the trade unions (Gewerkschaften) and employer associations (Arbeitgebervereinigungen) for the benefit of the employees and the Betrieb (the Grundsatz der vertrauensvollen Zusammenarbeit (confidential cooperation principle)). The employer and Betriebsrat are Betriebspartner (business partners). Thus: (a) they must negotiate regarding contentious questions with the serious desire (mit dem ernsten Willen) to reach an agreement (Einigung) and must make suggestions (Vorschlge) to settle differences of opinion (Meinungsverschiedenheiten);32 (b) they are not entitled to take any measures of industrial action (Manahmen des Arbeitskampfes). However, industrial action between tariffhigen Parteien (parties capable of reaching a tariff agreement (Tarifvertrag), ie, trade unions and employer organisations) is still possible;33 (c) they must desist from actions, which interfere with the course of work or the peace of the Betrieb (Bettigungenaurai aie der Arbeitsablauf oder der Frieden des Betriebs beeintrchtigt werden: the so-called Pflicht zur Wahrung des Betriebsfriedens or Friedenspflicht;34 (d) they must desist from any party-political action (jede parteipolitische Bettigung) in the Betrieb.35 Employer and Betriebsrat can cooperate in various forms. They can reach a written Betriebsvereinbarung (business agreement)36 or merely settle the matter by oral consent (betriebliche Einigung, Betriebsabsprache or Regelungsabrede). Differences of opinion (Meinungsverschiedenheiten) can be referred to an internal standing or ad hoc Einigungsstelle ((compulsory) conciliation body), usually on the application or with the approval of both parties.37 It consists of equal numbers of representatives from each side, with an impartial chairman.38 The decision (Spruch) of the Einigungsstelle is usually only suggestive in nature, but can in certain cases replace the agreement between employer and Betriebsrat and is then binding.39
E THE RIGHTS OF THE BETRIEBSRAT
40
The Betriebsrat has rights of involvement (Beteiligung) and cooperation (Mitwirkung) in three main areas: in social, personnel and commercial matters (sozialen, personellen und wirtschaftlichen Angelegenheiten). Such rights are commonly classified, in ascending order of intensity, as including: an Informationsrecht (information right), ie, the Unterrichtung of the Betriebsrat is required; a Mitspracherecht (right of consultation), ie, the Anhrung or Beratung of the Betriebsrat is required;
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a Widerspruchsrecht (right of objection) of the Betriebsrat (typically in cases of personellen Einzelmanahmen (measures regarding individual members of staff); a Mitbestimmungsrecht or betriebliche Mitbestimmung in the narrow sense (right of co-decision), ie, the positive Zustimmung (approval) of the Betriebsrat is required.
The Mitbestimmungsrecht is the strongest right of the Betriebsrat and exists, for example, in social matters (ie, broadly in the field of collective working conditions) in the absence of a provision in a statute or tariff agreement.41 The rights of the Betriebsrat in commercial matters are set out in 106113 BetrVG. Most important here is the right of the Betriebsrat (in a Betrieb consisting of more than 20 employees) to be informed regarding any planned Betriebsnderung (change in the Betrieb), which could involve significant disadvantages (wesentliche Nachteile) for staff. The Betriebsrat is then entitled to negotiate regarding the practicalities and conclude a so-called Interessenausgleich (settlement of interests) and a Sozialplan (social plan) for those affected. The rights of the Betriebsrat in personnel matters are set out in 92105 BetrVG: 1 In a Betrieb with more than 20 adult employees, the Betriebsrat can, for example, on certain grounds refuse its approval to a recruitment (Einstellung) or transfer (Versetzung): it has a Widerspruchsrecht (right of objection).42 The Betriebsrat must be heard before any dismissal (Kndigung) by the employer. A dismissal declared without such hearing (Anhrung) is ineffective (unwirksam).43
The Betriebsrat can inform the employer of its doubts (Bedenken) regarding an ordinary dismissal within one week and regarding an extraordinary dismissal within three days.44 Further, it has a right of objection (Widerspruchsrecht) on certain grounds against an ordinary dismissal within the same period.45 In the event of a valid objection from the Betriebsrat and a Kndigungsschutzklage from the employee (within 3 weeks), the employee has a right to continue to be employed (Recht auf Weiterbeschftigung) on unchanged terms until conclusion of the dispute.46 Apart from Mitwirkung by the Betriebsrat, the individual employee also has rights to be informed and heard (Unterrichtungs- und Anhrungsrechte) and to lodge a complaint (Beschwerderecht).47
F MITBESTIMMUNG IN LARGE UNTERNEHMEN 48 There are special provisions in the BetrVG 1952 for Mitbestimmung in the Aufsichtsrten (supervisory boards) of Unternehmen (enterprises) with more than 500 employees.49 The Mitbestimmungsgesetz 1976 applies to Unternehmen having more than 2000 employees.
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G THE COALITIONS50 Collective employment law deals not only with organisational questions and rights to Mitbestimmung (BetrVG and Mitbestimmungsgesetz), but also with the relationship between trade unions (Gewerkschaften) and employer associations (Arbeitgeberverbnde), each of which is referred to as a Koalition (coalition). The importance of coalitions in German employment law lies in the fact that only they can conclude a Tarifvertrag (tariff agreement) and engage in an Arbeitskampf (industrial action).51 Tariff agreements are governed by the Tarifvertragsgesetz (TVG) of 25.8.1969. A tariff agreement can contain a normative and contractual part.52 Measures of industrial action (Kampfmanahmen) during the currency of a tariff agreement constitute a breach of the Friedenspflichtwhich forms part of the contractual part of the agreementand can give rise to a claim for damages.53 H ARBEITSSCHUTZRECHT54 Various statutory provisions govern safety at work in Germany and give protection against accident (Unfallschutz) and protection of health (Gesundheitsschutz). They are part of the field of employment law known as Arbeitsschutzrecht (work protection law) and are of a compulsory, public law nature (ffentlich-rechtlich).55 The observance of the norms of Arbeitsschutzrecht is subject to state control by the Gewerbeaufsichtsbehrden (business (trade) supervisory authorities) either alone or in conjunction with the police authorities of the relevant Bundesland (federal state). The Berufigenossenschaften (occupational cooperatives) also have rights of supervision. Provisions of Arbeitsschutzrecht include: 120a of the Gewerbeordnung (GewO; Business (Trade) Order). This provision obliges Gewerbeunternehmer (business (trade) enterprises) to take such steps as are necessary to maintain Betriebssicherheit (safety at the workplace). Thus, for example, they must provide and maintain work-rooms, equipment, machines and tools in such a way and generally see to it that employees are protected against dangers to life and health as far as the nature of the business permits. 120d GewO. The appropriate authorities are empowered to issue (ordnungsbehrdliche) Verfgungen ((official) directions) ordering such measures as are necessary and appear practicable to be carried out. By way of enforcement, the authorities can resort to various Zwangsmittel (compulsory measures),56 which must usually first be threatened (angedroht) in writing.57 Orders from the authorities are administrative law sanctions, which, in the first instance, fall within the jurisdiction of the administrative courts. Additionally, however, a deliberate or negligent contravention of an enforceable order (vollziehbare Anordnung) from the Gewerbeaufsichtsbehrde constitutes a minor offence (Ordnungswidrigkeit).58
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A fine of up to DM 10,000 can be imposed.59 9 of the Gesetz ber Ordnungswidrigkeiten (OWiG; Minor Offences Law). Organs (representatives) of a company, statutory representatives or persons instructed to direct a business by the owner can also themselves be the subject of regress. 618(i) of the Brgerliches Gesetzbuch (BGB; Civil Code). This provision contains a private law obligation to take measures similar to those mentioned in 120a GewO to protect the life and health of persons, who have contracted to provide their services under a Dienstvertrag (contract of service).60 The person entitled to the services (the Dienstberechtigter) has a non-excludable duty of protection (Schutzpflicht) and care (Frsorgepflicht).61 A blameworthy, so-called positive breach of contract (positive Vertragsverletzung) by the Dienstberechtigter can give rise to a claim for damages (Schadensersatz).62 The Verordnung ber Arbeitssttten (Arbeitsstttenverordnung; ArbStttVO; (Work Places Order). The ArbStttVO of 20.3.1975 is a Rechtsverordnung passed in accordance with 120e GewO. It contains comprehensive rules regarding the state of work places. 53(i) ArbStttVO provides that an employer must maintain the work place and ensure that defects, which are established, are rectified, if possible forthwith. If this cannot be done at once in the case of defects involving immediate danger, the relevant work must be discontinued. 53(ii) ArbStttVO provides (inter alia) that security installations for the prevention or removal of dangers must be regularly examined and tested. 5 and 6 of the Arbeitssicherheitsgesetz (ASiG; Work Safety Law). These provisions oblige an employer to appoint qualified work safety personnel (Fachkrfte fr Arbeitssicherheit) and set out their functions. 708 of the Reichsverskherungsordnung (RVO; Imperial Insurance Order). The Berufsgenossenschaft can issue regulations for the prevention of accidents (Unfallverhtungsvorschriften). 714(i) RVO. If, on an inspection by officials of a Berufsgenossenschaft, defects are discovered establishing an immediate threat of danger (eine unmittelbar drohende Gefahr), they can make immediately enforceable orders for the removal of the danger. Fines can be imposed. 719 RVO. This provides (inter alia) that in enterprises with more than 20 employees one or more safety officers (Sicherheitsbeauftragte) must be appointed. I ACCIDENTS AT WORK
In the early part of the 20th century, inspired by 242 BGB, increased importance was attached to employees and employers respective duties of loyalty (Treuepflichten)
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and care (Frsorgepflichten). Today, one is more inclined to speak of an employers business risk (Betriebsrisiko). In the particular context of an employment relationship, one considered it to be just and reasonable that an employee, who is usually the commercially weaker party, should not always be open to unlimited liability for breaches of duty (under the principle of PVV or tort). An employee should not be liable for every carelessness or inadvertence (Unachtsamkeit). A particular case-law development here, which is still of great practical relevance, has, therefore, been the concept of work, which is prone to cause damage (schadensgeneigte Arbeit), ie, activities which, by their nature, involve typical risks. According to the doctrine of schadensgeneigte Arbeit, employees engaged in this sort of work are entitled to indemnification (Freistellung) against claims / relief from (personal) liability (Haftungserleichterung), if their unintentional acts cause loss to the employer or third parties. Depending on the particular circumstances and the degree of blame (Grad des Verschuldens)63 on the part of the employee, there is a shifting of liability (Schadensverlagerung) for accidents at work (Arbeitsunflle/Betriebsunflle) onto the employer/third parties and, via insurance, onto the community at large.64 Furthermore, by 636 RVO, the employer himself is not liable for personal injuries (Personenschden) sustained by an employee due to an (unintentional) accident at work, unless the accident is caused deliberately (vorstzlich) by the employer or if it arises in the course of the employers Teilnahme am allgemeinen Verkehr (participation in general traffic), ie, outside the business. Apart from these exceptions, an employee, who suffers personal injury, only has social insurance claims against the Berufsgenossenschaft. He cannot claim damages directly against the employer.65 The employers limitation of liability (Haftungsbeschrnkung) also applies vis vis a colleague of the employee at work, who is injured by the employee in the course of his employment (betriebliche Ttigkeit): 637(i) RVO. The Reichsversicherungsordnung (RVO) of 19.7.1911 consolidated various social insurance laws introduced during the Bismarck era, which laid the basis for these rules. It came into force on 1.1.1912 and has occasionally been amended since. It is planned to incorporate the law concerning liability for accidents at work in Part VII of the Sozialgesetzbuch (Social Code).
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CHAPTER XIX
XIX BUSINESS LAW (WIRTSCHAFTSRECHT)1
A INTRODUCTION 1 Wirtschaftsrecht is business or commercial law in a general, wide sense, ie, law governing, directing and promoting business activity. The term embraces a diverse range of areas of law,2 some traditionally private and others of a public law nature, for example: commercial law (Handelsrecht);3 company law (Gesellschaftsrecht);4 business law in the narrow sense (Gewerberecht);5 employment law (Arbeitsrecht);6 law of banking (Bankrecht);7 business protection (gewerblicher Rechtsschutz), ie, trade mark and patent law (Warenzeichen- und Patentrecht) and law relating to industrial and other registered designs (Gebrauchs- und Geschmacksmuster);8 competition law (Wettbewerbsrecht).9
Wirtschaftsrecht includes the law relating to the various trade, industrial, professional and specialist organisations (associations and chambers (Verbnde und Kammern)) active in the German economy.10 In a broad, international sense, Wirtschaftsrecht also extends to the law of the EEC (europische Wirtschaftsgemeinschaft (EWG)).11 2 Wirtschaftsrecht is not the only principal term (Oberbegriff) in German business law. Of even more fundamental importance is the term Gewerbe, which is a subcategory of the term Beruf (occupation). A Gewerbe customarily means a particular (type of) business in the objective sense.12 The term Gewerbe is central to numerous areas of German law, private and public, but it has no common or, indeed, formal definition. Its elements are usually stated as being: any legal, outwardly visible (nach auen erkennbare), independent activity (selbstndige Ttigkeit); undertaken for a certain duration (auf eine gewisse Dauer angelegt); with a view to profit (mit Gewinnerzielungsabsicht).
For historical reasons, the extraction of natural produce from the land (so-called Urproduktion)13 and the exercise of a free profession (freier Beruf)the nature of which is regarded as being highly personal (hchstpersnlich)are not considered to be Gewerben.14 More specifically, one speaks of a Gewerbebetrieb,15 which means an exercised/
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operated business and incorporates trade (Handel), industry (Industrie), handicraft (Handwerk) and transport (Verkehr).16 The Gewerbeordnung (GewO)17 classifies every Gewerbe as either a so-called stehendes Gewerbe (general business) or a Reisegewerbe (travelling business), and contains special provisions for trade fairs (Messen), exhibitions (Austellungen) and markets (Mrkte). For a stehendes Gewerbe, there is a general duty of notification (Anzeige- or Anmeldepflicht) to the local Gewerbeaufsichtsamt (office of business supervision). Moreover, in the public interest, many types of Gewerbe require specific approval (Genehmigung), permission (Erlaubnis) or surveillance (berwachung).18 In particular, the grant of a business permit (Gewerbeerlaubnis) can depend on personal factorseg, evidence of ability (Befhigungsnachweis) or reliability (Zuverlssigkeit)and/or on business aspects (sachliche Gesichtspunkte). The general freedom to exercise a Gewerbe (Grundsatz der Gewerbefreiheit; laid down in 1 GewO) is, therefore, extensively qualified.19 Two other terms, also descriptive of areas of business law, are: Wirtschaftsverfassungsrecht;20 and Wirtschaftsverwaltungsrecht,21
in which, respectively, constitutional provisions play a role and in which the activity of the executive predominates (eg, building law (Baurecht), cartell law (Kartellrecht), environmental law (Umweltrecht), tax law (Steuerrecht) and the law relating to public subsidies (Subventionen)22 The common factor in Wirtschaftsverfassungrecht and Wirtschaftsverwaltungsrecht is that they form part of public law (ffentliches Recht). The designations reflect the increasing interest of the state in the running/regulation and supervision of the economy (Wirtschaftslenkung/Wirtschaftsaufsicht) and the growing impact (Einschlag) of public law provisions.23 The law relating to commercial (white-collar) crime (Wirtschaftsstrafrecht) is, strictly speaking, part of criminal law.24 In the face of increasingly sophisticated criminal methods, there is a growing tendency to commercialise criminal law as an instrument of control (indirect intervention). Thus, auditors (Abschlussprfer), board members (Vorstnde / Aufsichtsrte) and companies are often targets for criminal investigation.25 B LAW OF SECURITIES (WERTPAPIERRECHT)26
Securities (Wertpapiere) take a prominent role in the daily world of business and finance. It is, therefore, important to be familiar with the basic terminology. However, it is an area of law bristling with complex distinctions. Initially, it should be understood that one is not dealing here with securities in the sense of (real or personal) means of securing obligations (Sicherheiten), but with a subject, which, in English law, is treated under the heading of Negotiable Instruments.
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What is a Wertpapier? A Wertpapier is customarily defined as a document (Urkunde) which comprises or confirms a private law right, possession and presentation (Vorlegung) of the document being a precondition for the exercise (Geltendmachung) of the right.27 The underlying rationale is the desire, by documentation of a right (Verbriefung eines Rechts), to facilitate its use in commercial transactions (Verkehrsfhigkeit) and make it as transferable as a (corporeal) thing (Sache).28The type of right, which can be documented, can be contractual (schuldrechtlich) in origin (eg, a bill of exchange (Wechsel)); it can derive from the law of property (eg, a mortgage); or it can be a right of membership (Mitgliedschaftsrecht; eg, a share in a public company (Aktie)). Where a contractual claim/right (Forderung) is involved, documentation in the form of a Wertpapier serves various purposes:29 it facilitates fulfilment by the debtor of his obligation; it represents evidence of the creditors entitlement (Berechtigung);30 it protects the position of an assignee (Zessionar) of the claim against a transaction undertaken with the assignor/old creditor (Zedent);31 it protects the position of a bona fide transferee (gutglubiger Erwerber) of the claim.
Wertpapiere can be classified as follows, according to the person entitled to the relevant right:32 bearer securities (Inhaberpapiere), eg, bearer bonds (Inhaberschuldverschreibungen; 793808a BGB).33 Inhaberpapiere are transferable like movables and a transfer (bereignung) of the document operates to transfer the underlying Forderung as well. Bona fide acquisition of both is possible, even if an Inhaberpapier has been stolen or has otherwise gone astray (abhanden gekommen): 935(ii) BGB. One says: Das Recht aus dem Papier folgt dem Recht am Papier (the right to the document, rather than the right documented, is decisive); order securities (Orderpapiere). Orderpapiere offer a greater degree of safety. They combine the ease of negotiability of Inhaberpapiere with the benefits of naming the person entitled to exercise the right documented, by means of a clause enabling that right to be exercised either by the person named or at his order (Orderklausel). A transfer of an Orderpapier requires not only a transfer of the document itself (as in the case of an Inhaberpapier), but also that an indorsement (Indossament) from the previous holder appears on the document. The categories of possible Orderpapiere are limited by statute. Some securities (so-called geborene Orderpapiere) are automatically regarded as Orderpapiere, whether or not they contain the order clause (eg, bills of exchange and cheques). Others (so-called gekorene Orderpapiere) are only considered to be Orderpapiere, if they contain the clause; otherwise they are regarded as Rektapapiere.34
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Bearer shares in a public company (Inhaberaktien) are bearer securities. However, despite their title, shares issued in the name of a particular person (Namensaktien) are treated as (geborene) Orderpapiere, not as Namenspapiere;35 securities, which document a right belonging only to a specifically named person (Rektapapiere or Namenspapiere). Examples of Rektapapiere are mortgage and land charge certificates (Hypothekenund Grundschuldbriefe), the civil law documentary instruction (Anweisung; 783792 BGB) and the so-called qualified legitimatory documents (qualifizierte Legitimationspapiere; 808 BGB) eg, savings books (Sparbcher).36 Whereas bearer and order securities require a disposal (Verfgung) of the document itself according to property law principles, in the case of a Rektapapier the owner of the documented right is the person properly entitled: 952 BGB. An additional disposal of the document itself is not required for a valid transfer (bertragung) of the right; the right can be transferred without the document (merely) by assignment ( 398 BGB). One says: Das Recht am Papier folgt dem Recht aus dem Papier (the right documented, rather than the right to the document, is decisive or, to put it another way, the Forderung, rather than the document itself, is in the forefront).37 The dominant view is that the term Wertpapier is to be understood in a wide sense to include Rektapapiere.38 Wertpapiere can further be distinguished according to whether: they are means of payment (Zahlungsmittel), viz, cheques. Banknotes (Banknoten) are not Wertpapiere. They are legal tender (gesetzliche Zahlungsmittel), but document no (extraneous) right; they are means of obtaining credit (Kreditmittel), viz, bills of exchange; they are means of raising capital (Kapitalaufbringung) and of investment (Kapitalanlage), ie, so-called Effekten (Wertpapiere in the banking sense (stock)). Examples are shares (Aktien) and bearer bonds (Inhaberschuldverschreibungen), such as government bonds ((ffentliche) Anleihen) and bond certificates (Pfandbriefe) issued by mortgage banks (Hypothekenbanken). The common feature of Effekten is that they are issued in large quantities and are usually taken into collective deposit (Sammelverwahrung) by banks. The individual customer is not entitled to particular Wertpapiere, but has a share in joint ownership (Miteigentum nach Bruchteilen);39 they are means of facilitating trade with goods in circulation (Gterumlauf) by documenting rights to them, eg, a storage certificate (Lagerschein) and a bill of lading (Konnossement). Both of these are so-called Traditionspapiere, ie, they represent the goods, their delivery having the same effect as physical delivery of the goods themselves.40 Documents, which merely evidence a private right (eg, an IOU (Schuldschein)) Beweisurkundenand simple legitimatory documents (einfache Legitimationspapiere) ie, those where the right involved can be proved otherwise than by presentation(eg,
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Chapter XIX: Business Law (Wirtschaftsrecht)
a cloakroom ticket (Garderobenmarke), luggage receipt (Gepckschein) or repair docket (Reparaturschein)), are not Wertpapiere. Nor are so-called bearer signs (Inhaberzeichen), ie, cards (Karten), stamps (Marken) or tickets, which enable the holder to demand performance from the issuer (Aussteller), even if the holder is not the person actually entitled to do so: 807, 793(i), 2nd sentence BGB.41
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XX PRIVATE INTERNATIONAL LAW
A THE EGBGB The German rules governing conflicts of laws (private international law) are set out in Articles 338 of the Introductory Law to the Civil Code (the Einfhrungsgesetz zum BGB (EGBGB)). They specify the applicable legal system (law) where a case has a connection to the law of a foreign state (Article 3(i), 1st sentence). Articles 338 are contained in Part I (general provisions) of the EGBGB and are divided into five Sections: 1: 2: 3: 4: 5: References (Verweisungen): Articles 36. Law of natural persons and legal transactions (Recht der natrlichen Personen und Rechtsgeschfte): Articles 712. Family law: Articles 1324. Law of succession: Articles 2526. Law of obligations: Articles 2738.1 B POINTS TO NOTE It is important initially to note the following: (i) German private international law was reformed with effect from 1.9.1986. Where events/matters are concerned, which were concluded before that date (abgeschlossene Vorgnge), the previous German rules remain applicable: Article 220(i) EGBGB. (ii) By Article 3(ii) EGBGB, such provisions of agreements of international public law (ie, international treaties and conventions) as have been transformed into (national) German law take precedence over the provisions of the EGBGB. (iii) Articles 338 EGBGB comprise a collection of (national) collision norms (Kollisionsnormen), which assist in ascertaining the relevant applicable law. (iv) The applicable or governing law (lex causae) must be strictly distinguished from the law of the forum (lex fori), ie, the law of the place in which the matter is heard. The applicable law (choice of law) is a matter of substance and is not to be confused with questions of procedure (eg, admissibility of evidence, types of remedy available).2 (v) In order to determine the appropriate collision norm in a particular case, the legal issue involved must first be categorised. This is the process of characterisation (Qualifikation).3 (vi) The link between the relevant category/collision norm and the applicable law is the province of the connecting factors (Anknpfungspunkte), eg, citizenship (Staatsangehrigkeit), habitual or usual residence (gewhnlicher Aufenthalt), the place of commission of a tort (lex loci delicti) or the location of property (situs).4
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(vii) There is a fundamental distinction between the substantive legal provisions (Sachvorschriften) of a legal system and the system (die Rechtsordnung) as a whole (which includes its rules of international private law). The EGBGB can (and does) contain references (Verweisungen) to either.5 Whenever the EGBGB states that a matter is to be determined (alone) according to the Sachvorschriften of a (foreign) legal systemeg, maintenance under Article 18(i) EGBGBthere is no reference to that systems rules of private international law (Article 3(i), 2nd sentence).6 (viii) A reference in the EGBGB to the law (Recht) of another state is (normally) also a reference to that (other) states rules of private international law, which, therefore, have to be examined for a possible renvoi (Rckverweisung) to German law (Article 4(i)).7
C PERSONAL AND FAMILY MATTERS In fundamental contrast to the law of common law countriesin which the legal concept of domicile holds swayit is a consistent thread of German private international law that nationality (Staatsangehrigkeit) is the principal connecting factor to establish the applicable law in matters relating to natural persons (Section 2 (Articles 710 EGBGB)), in matters of family law (Section 3 (Articles 1324 EGBGB)) and succession (Section 4 (Articles 2526 EGBGB)).8 Indeed, where a person has more than one nationality, but is also a German, that status takes precedence (Article 5(i), 2nd sentence). In the interest of precision, German private international law avoids the difficulties associated with establishing domicile (viz, proof of intention (animus)) and, instead, places prime importance on a distinguishing element bestowed by the state (ie, citizenship) or, alternatively, the factual reality of usual residence (gewhnlicher Aufenthalt).9 Thus, for example, by Article 14(i) EGBGB, the general effects of marriage (die allgemeinen Wirkungen der Ehe) are governed: 1 2 3 by the law of the state to which both spouses belong (angehren) or last belonged, if one of them still belongs to that state; otherwise by the law of the state in which both spouses have, or last had, their usual residence, if one of them still has his or her usual residence there; or finally by the law of the state with which the spouses are otherwise jointly most closely connected (am engsten verbunden).10
In the case of marital property, however, the law to be applied is that, which governed the general effects of marriage at the time of conclusion of the marriage (bei der Eheschlieung): Article 15(i) EGBGB.11 Although under German private international law a persons domicile (Wohnsitz) is not decisive in order to establish the applicable law, it is important for the purposes
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of civil procedure ( 13 ZPO) and in international conventions (eg, the Brussels Convention (EuGV)). D THE LAW OF OBLIGATIONS Section 5 (Articles 2738 EGBGB) deals both with the position regarding contractual and non-contractual obligations (eg, tort). 1 Contractual Obligations The position regarding the law applicable to contractual relationships (Vertragsstatut)12 is, broadly, as follows: By Article 27(i), 1st sentence EGBGB, the parties are free to choose the law applicable to their contract. The choice can be express or, if implication is possible with sufficient certainty, can be implied from the terms of the contract or the circumstances of the case: Article 27(i), 2nd sentence.13 Irrespective of the parties choice, if the (rest of the) facts point to the law of one particular state, that states mandatory pro visions/rules (zwngende Bestimmungen) remain unaffected (ie, must still be applied): Article 27(iii) EGBGB.14 In the absence of a choice, the contract is governed by the law of the state with which it has the closest connections (engste Verbindungen): Article 28(i), 1st sentence EGBGB. By Article 28(ii), 1st sentence, it is presumed that the contract has the closest connections to the state in which: the party having to undertake the characteristic (act of) performance required by the contract (die charakteristische Leistung) usually resides; or if a company, association or juristic person is involved, its centre of administration (Hauptverwaltung) is situated.15
Contracts with private consumers in another state (Verbrauchervertrge) are subject to special rules: Article 29.16 By Article 30(ii) EGBGB, in the absence of a particular choice of law, contracts of employment and employment relationships are governed either: 1 2 by the law of the state in which the employee usually undertakes his work in performance of the contract, even if he is sent temporarily to another state; or in so far as the employee does not usually perform his duties in one and the same state, by the law of the state in which the employing branch is situated.
If, however, it appears from the totality of the circumstances that the contract of employment or employment relationship has closer connections to another state, the law of that state applies.17 By Article 32(i) EGBGB, the abovementioned applicable law is, in particular, decisive regarding (inter alia): interpretation of the contract;
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performance of contractual obligations; and consequences of full or partial non-performance of those obligations.
By Article 32(ii) EGBGB, in considering the manner of performance and the steps to be taken by a plaintiff in the event of faulty performance, account is to be taken of the law of the state in which performance takes place.18 In the field of contractual obligations, a reference to the law of a particular state is to the substantive provisions of that law (only): Article 35(i) EGBGB. There can, therefore, be no renvoi. If the formation (Zustandekommen) or material validity (Wirksamkeit) (not form!)19 of a contract or one of its provisions is in dispute, the question must be dealt with according to the law, which would apply, if the contract or the provision were valid (the putative applicable law): Article 31(i) EGBGB. However, by Article 31(ii) EGBGB, where the question of consent to the contract (Zustimmung) is in issue and it transpires from the circumstances that it would not be justified (nicht gerechtfertigt) to apply the putative law in the evaluation of the partys conduct, that party can rely on the law of his or her habitual residence (gewhnlicher Aufenthalt).20 2 Questions of Jurisdiction (Zustndigkeit)
When considering the provisions of the EGBGB, it is important, as a preliminary question, to bear in mind the interplay with the jurisdictional provisions of the ZPO. (a) Special venues For the purpose of contractual disputes, the court for the place of performance (Erfllungsort/Leistungsort) has (special) local jurisdiction: 29 ZPO.21 When parties in different countries of the European Union are involved, the place of performance is also decisive to establish which court has (international) jurisdiction: Article 5 No 1 EuGV. (b) Agreements By 29(ii) ZPO, an agreement regarding the place of performance only establishes a courts jurisdiction (Zustndigkeit), if the parties are (full) businessmen (Kaufleute). Moreover, in civil matters, an agreement regarding jurisdiction (Gerichtsstandsvereinbarung, Prorogation) is, in general, forbidden, unless it is made expressly and in writing after the dispute commences or is only meant to apply, if problems locating the defendant arise: 38(iii) ZPO. However, the parties can agree upon a competent court of first instance:22 if they are Kaufleute: 38(i) ZPO (this is in line with 29(ii) ZPO); or if one of the parties has no general venue in Germany ( 1317 ZPO), provided the agreement is at least confirmed in writing: 38(ii) ZPO.
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In the latter case, for the selection of a court within Germany itself, an existing German general or special venue takes precedence. Where parties in different countries of the European Union are involved, an agreement between the parties regarding (exclusive) jurisdiction (choice of jurisdiction) is possible under Article 17 EuGV. However, to be effective, it must at least be confirmed in writing or, in matters of international commerce, it must accord with (international) trade custom (Handelsbrauch): Article 17(i), 2nd sentence EuGV.23 3 Non-Contractual Obligations
As for the position regarding non-contractual obligations (eg, tort), the EGBGB only deals with torts committed by a German outside Germany. In such cases, the liability of the perpetrator cannot extend beyond the maximum laid down by German law: Article 38 EGBGB.24 Torts committed in Germany, whether by Germans or other persons, fall to be dealt with according to German law, if a plaintiff choses to bring proceedings before the German courts.25 Supplementary provisions are now contained in the Gesetz zum Internationalen Privatrecht fr auervertragliche Schuldverhltnisse und fr Sachen of 21.5.1999.26
E PROOF OF FOREIGN LAW In civil proceedings, the court is normally bound by a strict procedure for the taking of evidence (Beweisaufnahme; 355484 ZPO) and only certain types of evidence (Beweismittel) are permitted: the principle of Strengbeweis (strict evidence).27 However, by 293 ZPO proof of such foreign law (auslndisches Recht) as is unknown to the court is one area28 in which the judge has a free hand and is not limited to information supplied by the parties: the principle of Freibeweis (free evidence).29 The court conducts the investigation (Ermittlung) of its own motion (von Amts wegen), the aim being the establishment (Feststellung) of the relevant foreign law as it is actually applied abroad. The court can, for example, arrange for information to be requested under the European Convention concerning Evidence of Foreign Law of 7.6.1968.30 An appeal on a point of law (Revision) is possible (under 549(i) ZPO), if 293 ZPO or the rules of German private international law are breached.31
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CHAPTER XXI
XXI INTERNATIONAL LEGAL COOPERATION
A INTRODUCTION Cooperation in legal affairs is termed Rechtshilfe. It can be national or international (zwschenstaatlich).1 The conduct and provision of (international) legal assistance with foreign countries (Rechtshilfeverkehr mit dem Ausland) is a matter of Justizverwaltung (judicial administration) and falls within the jurisdiction of the Lnder.2 In civil procedure,3 international Rechtshilfe primarily refers to cooperation in the taking of (administrative) measures in the forefront of, or during, legal proceedings (eg, service of documents (Zustellung) or the taking of evidence abroad (Beweisaufnahme im Ausland)). International Rechtshilfe also extends to questions of the recognition and enforcement (Anerkennung und Vollstreckung) of foreign court decisions (Entscheidungen) or arbitration awards (Schiedssprche).4 More broadly, international Rechtshilfe can be understood in a further, interventionist sense. The aim of ensuring effective legal protection (Rechtsschutz) abroad can require the establishment of (alternative) procedures for facilitating the realisation (Durchsetzung) of substantive legal claims.5 For these purposes, there is a complex web of provisions in the ZPO and international treaties (Staatsvertrge). The latter can, in turn, be multilateral (eg, the well known Hague Conventions) or bilateral/special (Sondervertrge). Moreover, quite apart fromand superimposed onthese, are conventions (bereinkommen) or measures enacted on the level of the Council of Europe, the European Union and the United Nations.6 Thus, in any one case, research can involve a multitude of legal sources. B SOURCES OF LAW It is important to keep the sources of law relating to international civil procedure distinct: (i) The provisions relating to international procedure contained in the ZPO: 110113 (lodging of security by foreigners (Sicherheitsleistung durch Auslnder)); 199202 (service of documents abroad (Zustellung im Ausland));7 328 (recognition of foreign judgments (Anerkennung auslndischer Urteile));8 363364 (taking of evidence abroad (Beweisaufnahme im Ausland));9 722723 (enforcement of foreign judgments (Vollstreckung auslndischer Urteile));10 791 (enforcement of German judgments abroad).
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(ii) Bilateral treaties. (iii) The various Hague Conventions.11 (iv) Those Conventions emanating from supra-national organisations (eg, the United Nations and the European Union).12 Relevant provisions in (ii) to (iv) supercede the ZPO as special law (Sonderrecht), so far as they are ratified. (v) National implementing statutes (Ausfhrungsgesetze).13
C EXTRADITION (AUSLIEFERUNG)14 Auslieferung (ie, extradition at the request of a foreign state) is a particular form of international legal cooperation in criminal matters. In principle, it is not possible against Germans.15 Auslieferung is usually regulated by international treaties,16 although procedure in Germany is governed by national law.17 Extradition requires reciprocity (Gegenseitigkeit) between the requesting and the requested state. The question is: in the reverse situation, would the requesting state also order it? Certain other requirements must also be fulfilled: (i) Auslieferung can only be sought for a specific offence (the Grundsatz der Spezialitt (principle of speciality)). (ii) Auslieferung must be permissible (zulssig) according to the nature of the alleged offence. In particular, it is not available for a political offence, nor if the proposed prosecution is based on race, religion, nationality or political views. (iii) The alleged offence must be punishable with imprisonment of a maximum of at least one year under both the law of the requesting and of the requested state (the Grundsatz der identischen Norm (identical norm principle)).18 (iv) The alleged offence must (still) be subject to prosecution (verfolgbar) in both states. (v) Auslieferung must be authorised (bewilligt) by the justice authorities of the relevant Land or by the Federal Government. Auslieferung must be distinguished from Ausweisung (deportation) and from Abschiebung (physical removal) under the Auslndergesetz (AuslG; Law regarding Foreigners) or under the Asylverfahrensgesetz (AsylVfG; Law on Asylum Procedure).19
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CHAPTER XXII
XXII THE LEGAL PROFESSION AND COURT SYSTEM1
A THE JUDGES2 The position of judges in Germany is governed by the Deutsches Richtergesetz (DRiG: German Judges Law) of 8.9.1961, which is divided into four Parts: Part I: Part II: Part III: Part IV: The office of judge in the Bund and in the Lnder ( 1-45a). Judges in service of the Bund ( 4670). Judges in service of a Land ( 7184). Transitional and final provisions ( 85126).
Judges can be either Berufsrichter (professional judges) or ehrenamtliche Richter (honorary (lay) judges).3 Where honorary judges take part in criminal matters, they are referred to as Schffe.4 Civil matters are practically only dealt with by Berufsrichter. However, in the Handelskammer (chamber for commercial matters) in the Landgericht, a Berufsrichter presides with two honorary Handelsrichter (commercial judges). In accordance with Article 101(i), 2nd sentence GG (Grundsatz des gesetzlichen Richters), ehrenamtliche Richter (honorary judges) can only take part in a court hearing, if and as permitted by statute.5 They are selected on the basis of lists (Vorschlagslisten)6 and enjoy similar independence to that of the Berufsrichter.7 While they cannot preside over the hearing,8 they basically have the same rights as a Berufsrichter.9 The capacity to be a judge (Befhigung zum Richteramt) in the Bund and in every German Land is acquired simultaneously with qualification as a Rechtsanwalt by passing the first state examination (erste Staatsprfung), serving a Vorbereitungsdienst (preparatory period of service) of two and a half years as Referendar,10 and then passing the second state examination (zweite Staatsprfun).11 Professors of law at a German university can be judges.12 In his position as a judge (Richterverhltnis), a judge stands in the service of the Bund or a Land;13 he is not a Beamter (civil servant). The appointment (Ernennung) of a judge is usually for life (auf Lebenszeit), although an appointment for a particular period or on probation (auf Probe) is possible.14 Judges in the supreme federal courts (Bundesrichter) are appointed by the Bundesprsident on the recommendation of the Federal Minister of Justice or other competent Minister together with a Richterwahlausschu (judicial selection council).15 Judges in the Lnder are usually appointed merely by the competent Minister of the relevant Land.
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In the Bundesverfassungsgericht (Federal Constitutional Court), the 16 judges are chosen as to half by the Bundesrat and half by the Bundestag.16 Judges are independent (unabhngig) and only subject to the law (nur dem Gesetz unterworfen).17 The transfer or removal (Versetzung /Amtsenthebung) of a judge without his agreement is only possible in certain limited cases.18 Supervisory and disciplinary measures are subject to final decision by a Dienstgericht.19
B THE RECHTSPFLEGER20 In order to relieve the judges, certain judicial business is transacted by civil servants (Beamte) known as Rechtspfleger (legal executives). 3, 2024a and 2931 of the Rechtspflegergesetz of 5.11.1969 (RPflG) transfer to the Rechtspfleger various types of business (so-called bertragene Geschfte), for example: matters concerning Vereine (Vereinssachen); land register matters (Grundbuchsachen) and proceedings for Zwangsversteigerung and Zwangsverwaltung; the Verteilungsverfahren (distribution procedure);21 guardianship, family and care matters (Vormundschafts-, Familien- und Betreuungssachen);* probate and division matters (Nachla- und Teilungsssachen) and official custody of wills and Erbvertrgen;* commercial matters (Handelssachen);* bankruptcy and composition proceedings (Konkurs- und Vergleichsverfahren);* default notice procedure (Mahnverfahren); enforcement of judgments (Zwangsvollstreckung); and fixing of costs (Kostenfestsetzung).22
Certain of the above matters23 are subject to exceptions, which are reserved to be dealt with by the judge (dem Richter vorbehaltene Geschfte).24 A Rechtspfleger is not empowered to administer an oath, to threaten or order a persons detention (with certain exceptions) or to decide on an application to amend a decision taken by a clerk of the Geschftsstelle (business office) of the court.25 Moreover, only a judge can order a search of premises.26 The Rechtspfleger must submit a matter to the judge: if he wishes to deviate from an opinion of the judge of which he is aware; if the conduct of the matter gives rise to legal difficulties; if foreign law is involved; or if a close connection with a matter to be dealt with by a judge makes the submission expedient.27
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The appropriate legal remedy against the decision of a Rechtspfleger is the Erinnerung (reminder).28 The Rechtspfleger has power to correct his decision; otherwise, he must lay the Erinnerung before the judge. If the judge takes no action, he must in turn pass it to the next competent court (a so-called Durchgriffserinnerung (piercing Erinnerungr)).29
C THE COURT SYSTEM30 1 The Gerichtsbarkeiten31
The German judicature or judicial power (rechtsprechende Gewalt) is divided into various branches (Zweige), known as Gerichtsbarkeiten (jurisdictions). The types of Gerichtsbarkeit are: 2 the ordentliche Gerichtsbarkeit (ordinary jurisdiction); the besondere Gerichtsbarkeit (special jurisdiction); the Verwaltungsgerichtsbarkeit (administrative jurisdiction); and the Verfassungsgerichtsbarkeit (constitutional jurisdiction). The ordentliche Gerichtsbarkeit32
The ordentliche Gerichtsbarkeit comprises civil and criminal matters and the so-called freiwillige Gerichtsbarkeit (voluntary jurisdiction) in non-contentious civil matters. A particular example of the freiwillige Gerichtsbarkeit is the activity of the Amtsgericht as the court responsible for guardianship, probate and trade and land register matters. The basic statute governing the freiwillige Gerichtsbarkeit is the Gesetz ber die Angelegenheiten der freiwilligen Gerichtsbarkeit (FGG) of 17.5.1898.33 Where a matter of freiwillige Gerichtsbarkeit is involved, the court is responsible for undertaking the necessary investigations itself (von Amts wegen). A decision in a matter of freiwillige Gerichtsbarkeit is pronounced not as an Urteil (judgment), but in the form of a Beschlu or Verfgung (order or direction) and the hearing is not open to the public. An oral hearing is at the discretion of the court.34 The ordentliche Gerichtsbarkeit itself is dealt with in the Gerichtsverfassungsgesetz (GVG) of 27.1.1877. Apart from the Bundesgerichtshof (BGH; Supreme Federal Court) in Karlsruhe, all other courts of the ordentliche Gerichtsbarkeit (the ordentliche Gerichte) are courts of the Lnde. The hierarchy is as follows:35 the Amtsgericht (district court AG); the Landgerich (county court: LG); the Oberlandesgericht (county court of appeal: OLG); the Bundesgerichtshof (Federal Supreme Court: BGH).
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With the exception of the Amtsgericht all the above are, when sitting, collegial courts (Kollegialgerichte), ie, are composed of more than one judge. In Bavaria, above the OLG an Oberstes Landesgerich (supreme county court) exists.36 The competence (Zustndigkeit) of the ordentliche Gerichte is laid down in 13 GVG, whereby all civil disputes and criminal matters (alle brgerlichen Rechtsstreitigkeiten und Strafsachen) belong before the ordentliche Gerichte.37 3 The besondere Gerichtsbarkeit
Article 101(ii) GG provides that courts for special subject areas (besondere Sachgebiete) can only be formed by statute (Gesetz) The main example of such besondere Gerichte38 are the Arbeitsgerichte (employment courts), where the hierarchy is as follows: theArbeitsgericht (employment court (ArbG)); theLandesarbeitsgericht (county employment court (LAG)); and theBundesarbeitsgericht (Federal Employment Court (BAG)); in Erfurt).39
Special federal courts exist for patent and disciplinary matters.40 To be distinguished from the besondere Gerichte are Ausnahmegerichte (exceptional courts for particular cases); these are forbidden by Article 101(i) GG and 16, 1st sentence GVG. 4 The Verwaltungsgerichtsbarkeit
The Verwaltungsgerichtsbarkeit comprises three main areas: theallgemeine Verwaltungsgerichtsbarkeit (general administrative jurisdiction, ie, the jurisdiction of theVerwaltungsgerichte (administrative courts)); theSozialgerichtsbarkeit (the jurisdiction of the social (security) courts); theFinanzgerichtsbarkeit (the jurisdiction of the finance courts).
Apart from the Finanzgerichtsbarkeit (which comprises only two instancesthe Finanzgericht and the Bundesfinanzhof (BFH; Federal Finance Court in Munich)), the court hierarchy of the administrative and social (security) courts is three-tiered:41 respectively: and theSozialgericht (SG); theLandessozialgericht (LSG); theBundessozialgericht (BSG; in Kassel). theVerwaltungsgericht (VG); theOberverwaltungsgericht (OVG);42 theBundesverwaltungsgericht (BVerwG (in Berlin));
The competence of and procedure before the abovementioned administrative, social and finance courts is, respectively, dealt with by the Verwaltungsgerichtsordnung (VwGO), the Sozialgenchtsgesetz (SGG) and the Finanzgerichtsordnung (FGO).43
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Rechtspflege44
The term Gerichtsbarkeit is used not only in an organisational sense to refer to its various branches, but also in a functional sense as meaning the exercise of the administration of justice (die Ausbung der Rechtspflege). Rechtspflege is not only the domain of the judiciary (the activity of which is referred to as Rechtsprechung),45 but includes: the freiwillige Gerichtsbarkeit (voluntary jurisdiction in non-contentious civil matters);46 the activity of the Staatsanwalt (public prosecutor);47 the enforcement of judgments (Zwangsvollstreckung);48 the grant of legal advice (Rechtsberatung) under the Beratungshilfegesetz (BerHG) of 18.6.1980; the activities of the Notar (notary) and the Rechtsanwalt (lawyer).49
Another type of activity is Justizverwaltung. 6 Justizverwaltung
The term Justiz (judicature) covers both Rechtspflege and so-called Justizverwaltung (judicial administration). In everyday speech, it is also used to refer to the judicial power (rechtsprechende Gewalt/Rechtsprechung). Justizverwaltung covers a mixed-bag of residual activities not falling within Rechtspflege proper, qualified according to the character of the work involved. Thus, it includes, for example, (official) supervision of conduct in service (Dienstaufsicht) and (international) assistance in legal affairs (Rechtshilfe).50 Justizverwaltung is primarily the responsibility of the Lnderthe hierarchy of the Justizverwaltung and the conduct of Dienstaufsicht is laid down in 1318 of the Verordnung zur einheitlichen Regelung der Gerichtsverfassung (GVVO) of 20.3.1935. Administrative acts issued by judicial authorities (Justizbehrden) not in the field of Rechtspflege (ie, not, for example, contentious court decisions), but by way of Justizverwaltung, are referred to as Justizverwaltungsakte (judicial acts of an administrative nature). For this purpose, judicial authorities include the various Justice Ministeries (federal and state), the courts of the ordentliche Gerichtsbarkeit, the Staatsanwalt, the police, the Notar and the prison authorities (Strafoollzugsbehrden).51
D THE RECHTSANWALT52 1 sIntroduction
The law relating to German lawyers (Rechtsanwlte) is set out in the Bundesrechtsanwaltsordnung (BRAO; Federal Lawyers Ordinance) of 1.8.1959, as amended by the Gesetz zur Neuordnung des Berufrechts der Rechtsanwlte und der
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Patentanwlte (Law to Revise the Professional Rules Governing Lawyers and Patent Lawyers) of 2.9.1994. BRAO is divided into 12 Parts, of which the following are the most important: Part I: The status of the Rechtsanwalt ( 13). Part II: The admission (Zulassung) of the Rechtsanwalt ( 442). Part III: The rights (Rechte) and duties (Pflichten) of the Rechtsanwalt ( 4359b). Part IV: The Rechtsanwaltskammern (Lawyers Chambers) ( 6091). Parts VVII: Disciplinary provisions (ehrengerichtliche Vorschriften) ( 92161a). Part VIII: The Rechtsanwlte at the Bundesgerichtshof (Federal Supreme Court) ( 162174). Part IX: The Bundesrechtsanwaltskammer (Federal Lawyers Chamber) ( 175191). 2 Status of the Rechtsanwalt
By 1 BRAO, the Rechtsanwalt is an independent organ of the administration of justice (ein unabhngiges Organ der Rechtspflege). The Rechtsanwalt exercises a free profession (bt einen freien Beruf aus) and is not a trader (seine Ttigkeit ist kein Gewerbe).53 He is the appointed independent adviser and representative in all legal matters (der berufene unabhngige Berater und Vertreter in allen Rechtsangelegenheiten).54 Within the framework of the relevant legal provisions, everyone has the right to be advised and represented by a lawyer of his choice (durch einen Rechtsanwalt seiner Wahl).55 3 Admission as a Rechtsanwalt
The provisions concerning admission (Zulassung) as a Rechtsanwalt are set out in 442 BRAO. By 4 BRAO, admission is dependent on the acquisition of the Befhigung zum Richteramt (capacity to be a judge), fulfilment of the preconditions for admission as specified in the Gesetz ber die Ttigkeit europischer Rechtsanwlte in Deutschland (EuRAG; Law regarding the Activity of European Lawyers in Germany) of 9.3.2000 or the passing of the aptitude test (Eignungsprfung) for lawyers from other EU countries provided for in that Law.56 The Rechtsanwalt enjoys professional freedom of movement (Freizgigkeit) within Germany,57 but must be admitted at a particular court (bei einem bestimmten Gericht) of the ordentliche Gerichtsbarkeit.58 Admission is granted (erteilt) on application (auf Antrag) to the Justice Ministry of the relevant Land.59 A Rechtsanwalt must maintain his office (Kanzlei) within the area (Bezirk) of the Oberlandesgericht of his admission60 and, if admitted at an OLG, cannot be admitted at another court.61
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Usually, therefore, a Rechtsanwalt is admitted either at an Amtsgericht and/or Landgericht or at an OLG (the so-called principle of single admission (Singularzulassung)), although, in nine Lnder (Baden-Wrttemberg, Bavaria, Berlin, Bremen, Hamburg, Saarland, Sachsen, Sachsen-Anhalt and Thringen), the Rechtsanwalt is entitled to simultaneous admission (Simultanzulassung) at the OLG after five years admission at a court of first instance.62 Admission as a Rechtsanwalt at the Bundesgerichtshof (Federal Supreme Court) is dependent on selection by a Wahlausschu on the basis of Vorschlagslisten (lists). Admission to the BGH restricts practice to that court, the other supreme federal courts and the Bundesverfassungsgericht (Federal Constitutional Court).63 4 Relationship of the Rechtsanwalt to his Client64
The relationship of the Rechtsanwalt to his client (Mandant or Auftraggeber) is a socalled Geschftsbesorgungsvertrag within 675 BGB (an agreement of instruction for reward (entgeltlich), as opposed to a mere Auftrag ((contract of) instruction without payment). If a Rechtsanwalt does not wish to accept instructions, he must notify his refusal (Ablehnung) forthwith.65 In certain circumstances, he is forbidden from acting, eg, where he would breach his professional duties or in cases of (current or previous) conflicting involvement in the same matter.66 Where a Rechtsanwalt is in continuous employment (in einem stndigen Dienstverhltnis) for an employer (in the private sector)a so-called Syndikusanwalt he cannot represent that employer before a court in his capacity as Rechtsanwalt.67 A Rechtsanwalt can be appointed as a compulsory defence lawyer (Pflichtverteidiger).68 A Rechtsanwalt can decline to hand out his file (Handakte) until his fees (Gebhren) and disbursements (Auslagen) are paid; he must usually retain his file for five years after completion of the retainer.69 A Rechtsanwalt must maintain professional liability insurance (Berufshaftpflichtversicherung) for a minimum amount of DM 500,000. A clients claim for damages against the Rechtsanwalt out of their contractual relationship becomes statute-barred (verjhrt) at the latest three years after the end of the retainer.70 5 Rights and Duties of the Rechtsanwalt
4359b BRAO deal with the rights and duties (Rechte und Pflichten) of the Rechtsanwalt. Of particular importance is 43 BRAO: 43 Allgemeine Berufspflicht. Der Rechtsanwalt hat seinen Beruf gewissenhaft auszuben. Er hat sich innerhalb und ausserhalb des Berufes der Achtung und des Vertrauens, welche die Stellung des Rechtsanwalts erfordert, wrdig zu erweisen.
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43 General professional duty. The Rechtsanwalt must exercise his profession conscientiously. Both within and outside the profession, he must show himself to be worthy of the respect aznd trust which the position of Rechtsanwalt demands. The Gesetz zur Neuordnung des Berufsrechts der Rechtsanwlte of 2.9.1994 brought about significant changes to the law concerning the regulation of professional conduct (Berufsordnungsrecht). In particular, three new sub-paragraphs ( 43a-c) were added to 43. 43a BRAO lays down six basic professional duties (Grundpflichten): the duty to maintain professional independence (Pflicht zur Wahrung der beruflichen Unabhngigkeit); the duty of secrecy/silence (Pflicht zur Verschwiegenheit/Schweigepflichf) regarding anything of which the Rechtsanwalt becomes aware in the exercise of his profession (anlsslich seiner Berufsausbung); the duty to be relevant (Sachlichkeitsgebot), ie, not to make insulting or degrading remarks or consciously to disseminate untrue statements; the duty not to represent conflicting interests (Verbot der Vertretung widerstreitenden Interessen);71 the duty to take appropriate care of assets entrusted to the Rechtsanwalt (Pflicht zur erforderlichen Sorgfalt bei der Behandlung der ihm anvertrauten Vermgenswerte) and to pass on monies not belonging to him (fremde Gelder) to the person entitled or to pay them into a clients account (Anderkonto); and the duty of continuing education (Fortbildungspflicht).
43b BRAO deals with the question of lawyers publicity (Werbung). The provision supplements 43, from which a prohibition of publicity (Werbeverbot) is, in principle, derived. 43b permits publicity only insofar as it informs factually (sachlich) in form and content regarding the lawyers professional activity (ie, Informationswerbung) and is not directed to the obtaining of instructions in a particular case.72 43c BRAO enables a Rechtsanwalt to apply to the local Rechtsanwaltskammer for designation as a specialist lawyer (Fachanwalt) in (not more than two of) the following fields: administrative law, criminal law, employment law, family law, social law, tax law. The Gesetz zur Neuordnung des Berufsrechts der Rechtsanwlte also set in train an extension of the right of audience (Postulationsfhigkeit) of Rechtsanwlte, which has resulted in the abolition of the localisation principle ( 78 ZPO).73 Previously, the detailed rules of professional conduct (Standesrecht) had been contained in Richtlinien (Directives) of the Federal Lawyers Chamber (Bundesrechtsanwaltskammer (BRAK)) issued on 21.6.1973. However, following a decision of the BVerfG on 14.7.1987, the Richtlinien were considered unconstitutional. They have now been discarded and replaced by a Berufsordnung (BerufsO; professional code). The Berufsordnung (BORA) was passed on 29.11.1996 by a newly established Satzungsversammlung (rule-making assembly) of BRAK and came into force on
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11.3.1997, together with a Fachanwaltsordnung (specialist lawyers code), which details the requirements and procedure for becoming a specialist lawyer (Fachanwalt).74 The Berufsordnung supplements 43a-c BRAO and concretises the rights and duties of a Rechtsanwalt.75 It distinguishes general duties ( 25 BerufsO) and special duties ( 633 BerufsO). Thus, for example, a Rechtsanwalts duties when handling a brief (Mandat) are set out in 1118 BerufsO. The Rechtsanwalt must inform his client promptly (unverzglich) regarding all developments and items of correspondence, which are significant (wesentlich): 11. A Rechtsanwalt must not take up contact directly with the other side in circumvention of that partys lawyer (Umgehung des Gegenanwalts): 12.776 If a Rechtsanwalt receives a file for inspection from a court or authority (Akteneinsicht), he or she must ensure that unauthorized persons do not obtain knowledge of its contents: 19. In the case of cross-border activity (grenzberschreitende Ttigkeit) within the European Union, the CCBE Code of Conduct for Lawyers in the European Community dated 28.11.1998 has precedence (Vorrang): 29 BerufsO. The Berufsordnung is (only) displaced in the event of a clash.77 Apart from possible disciplinary consequences for breaches of the rules of professional conduct contained in BRAO and the Berufsordnung, certain conduct by a Rechtsanwalt is also penalised by the criminal law: breach of the duty of professional secrecy ( Verletzung der beruflichen Geheimhdtungspflicht; 203 StGB); overcharging (Gebhrenberhebung; 352 StGB); and party disloyalty, ie, acting for both sides in a matter in breach of trust (Parteiverrat; 356StGB).78
Independently of the statutory rules, within the framework of a retainer (Anwaltsvertrag) a Rechtsanwalt is subject to various implied contractual duties of care (Sorgfaltspflichten), which have been laid down by case-law. They include: 6 the duty to provide advice and information (Beratungs- und Informationspflicht); the duty to clarify/explain/warn (Aufklrungspflicht);79 the duty to carefully check the law (Pflicht zur sorgfltigen Rechtsprfung); the duty to choose the safest route in the interest of the client (Pflicht zur Wahl des sichersten Weges); the duty to follow the instructions of the client (Pflicht zur Befolgung der Weisungen des Mandanten); and the duty to handle the matter quickly (Pflicht zur zgigen Bearbeitung).80 The Rechtsaniualtskammer
The Rechtsanwlte admitted in the Bezirk (area) of an OLG comprise a Rechtsanwaltskammer (RAK; Lawyers Chamber).81
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The RAK is a public corporation (Krperschaft des ffentlichen Rechts) and is supervised in the observance of law and its rules and in the performance of its duties by the ministry of justice of the respective Land.82 Its organs are the Vorstand (board, elected by the Kammerversammlung (chamber assembly)) and the Prsidium (elected by the Vorstand).83 The Rechtsanwlte admitted at the BGH comprise a separate RAK.84 The Lawyers Chambers are united in a Bundesrechtsanwaltskammer (BRAK; based in Berlin), which is supervised by the Federal Minister of Justice.85 Its organs are the Prsidium, the Satzungsversammlung (rule making assembly) and the Hauptversammlung (main assembly), where each RAK is represented by its president.86 Each RAK is responsible for the professional supervision of its members (Berufsaufsicht). 7 Complaints87
Complaints (Beschwerden) against Rechtsanwlte are allocated by the Vorstand of the relevant RAK to various departments (Abteilungen). Where minor breaches of professional rules are involved (or anticipated), the Vorstand can, in ascending order of severity: supply information (Auskunft), give advice (Rat) or issue a recommendation (Empfehlung); issue a (disapproving) caution ((mibilligende) Bekhrung); or issue a reprimand (Rge).88
Alternatively, if the case is more serious, the Vorstand can apply89 to the Staatsanwalt (State Attorney) to initiate proceedings at a special lawyers court/court of honour (Anwaltsgericht/Ehrengericht)consisting of three lawyerswhich has power to issue a warning (Warnung); to give a direction (Verweis); to impose a fine (Geldbue) of up to DM 50,000; to impose an occupational ban (Berufsverbot) in certain fields for between one and five years; or to make an order of exclusion from the bar (Ausschliessung; striking-off). If such an order is expected, a provisional occupational ban is possible.90
The main hearing is held in private: 135 BRAO. The imposition of a sanction (ehrengerichtliche Manahme) is dependent on a blameworthy breach of duty (schuldhafte Pflichtverletzung) by the Rechtsanwalt, which can be based on intentional or negligent conduct, both inside and outside the profession. In the latter case (auerberufliches Verhalten), the relevant conduct must, according to the circumstances, be especially suited to impair the respect and trust (Achtung und Vertrauen) required for lawyers work or for the reputation of the legal profession
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(Ansehen der Rechtsanwaltschaft) in a significant way: 113(ii) BRAO. In other words, the conduct involved must be so contemptible (verchtlich; normally because it is illegal or threatened with a fine) that it is in the public interest that an Anwaltsgericht should intervene. With the exception of a breach of duty justifying an occupational ban or exclusion from the bar, sanctions in respect of a breach are no longer possible five years after the alleged breach (ie, they are then statute-barred): 115, 1st sentence BRAO. Moreover, where a punishment or equivalent measure has already been imposed on a Rechtsanwalt by another court or authority, an Anwaltsgericht must refrain from action with respect to the same conduct (wegen desselben Verhaltens) unless a disciplinary sanction against the Rechtsanwalt is additionally necessary to ensure the fulfillment of his duties and to safeguard the reputation of the legal profession: 115b BRAO. Proceedings in an Anwaltsgericht must be stayed, if a criminal prosecution for the same conduct is commenced: 118(i) BRAO. However, proceedings in an Anwaltsgericht are still possible, if the Rechtsanwalt is acquitted: 118(ii) BRAO. Appeals against judgments are to an Anwaltsgerichtshof (a division of the OLG) and, thereafter, to a specialist senate of the BGH (Senat fr Anwaltssachen). Admission matters (Zulassungssachen) must initially go to the Anwaltsgerichtshof. A Rechtsanwalt, who desires to draw a colleagues attention to a breach of professional duty, must (first) do so in confidence (vertraulich), unless the clients or the Rechtsanwalts own interests demand a different reaction: 25 BerufsO. 8 Legal Fees (a) Basis of calculation German lawyers fees (Gebhren) are governed by the Bundesgebhrenordnung fr Rechtsanwlte (BRAGO) of 26.7.1957. Except as otherwise provided in BRAGO, they are calculated according to the value of the matter (Gegenstandswert).91 In civil court proceedings and preparatory work therefore (vorgerichtliche Ttigket), the Gegenstandswert follows the value established for court fee purposes (referred to as the Streitwert).92 To assess the court fee value, the applicable provisions are 1234 of the Gerichtskostengesetz (GKG: Court Fees Law), which refer to 39 ZPO. In the absence of an applicable valuation provision in the GKG or ZPO, the Gegenstandswert follows (for valuation purposes only) the so-called Geschftswert (business value), which is the principle for calculation of court and notary costs in non-contentious civil matters (under the Kostenordnung (KostO), also of 26.7.1957).93 If, in turn, the provisions of the KostO do not assist and BRAGO does not contain a more special provision, the Gegenstandswert is to be calculated by the Rechtsanwalt according to fair discretion (nach billigem Ermessen). In the absence of sufficient factual points of reference for an estimate (Anhaltspunkte fr eine Schtzung) or if non-pecuniary matters (nicht vermgensrechtliche Gegenstnde) are involved, the value of the matter
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can be assessed by the lawyer at DM 8,000 (or at more or less, according to the circumstances), but not at more than DM 1 million: 8(ii), 2nd sentence BRAGO. Thus, the value of the matter in civil matters is referred to: in matters where the GKG or ZPO contain an applicable valuation provision, as Streitwert. The actual scale fees of lawyers are set out in 11(i) BRAGO and in the Gebhrentabelle (fee table) annexed and the fees of the court in 11(ii) GKG and in the Gebhrentabelle (fee table) annexed; in matters where the KostO applies, as Geschftswert. The actual scale fees of the court in matters of freiwillige Gerichtsbarkeit (voluntary jurisdiction) and the fees of notaries are set out in 32 KostO and in the Gebhrentabelle annexed. The fees of lawyers in cases where the KostO applies are based on the Geschftswert, but are due in accordance with the BRAGO fee table.
Each individual fee is referred to as eine (volle) Gebhr (one (full) fee). It is divided into tenths (Zehntel). (b) Civil proceedings and non-contentious matters In (contentious) civil proceedings, the fees of a Rechtsanwalt can be made up of one or more of several full Gebhren:94 1 2 3 4 a Prozegebhr (procedure fee) for dealing with the matter generally; a Verhandlungsgebhr (hearing fee) for the oral hearing; a Beweisgebhr (evidence fee) if evidence is taken; an Errterungsgebhr for merely raising the matter, eg, where an attempt to reach a settlement is made. This fee and the Verhandlungsgebhr are mutually exclusive.
In other (non-contentious) civil mattersie, non-court activity (auergerichtliche Ttigkeit)a Rechtsanwalt can claim 510 Zehntel of the following Gebhren:95 1 2 3 a Geschftsgebhr (business fee) for dealing with the matter generally;96 a Besprechungsgebhr (discussion fee) for being involved in certain activities;97 a Beweisaufnahmegebhr (taking of evidence fee) for being involved in the taking of evidence required by a court or authority. (c) Other proceedings The fees before administrative and finance courts follow those for civil proceedings.98 All administrative proceedings preliminary to court proceedings count as one matter.99 In criminal and social security proceedings Rahmengebhren (see (e) below) apply, scaled according to the court involved and the length of the hearing. In criminal matters, fees are differentiated according to whether the defence lawyer is privately selected or appointed by the court.100 Where proceedings at an employment court regarding termination of an employment contract are concerned, the value of the matter for fee purposes is 25% of the employees annual salary: 12(vii) ArbGG.
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(d) Level of fees The fees set out in BRAGO are minimum fees. A Rechtsanwalt can (only) demand (ie, enforce) higher fees, if this is agreed in writing.101 An Erfolgshonorar (fee based on the success of the matter) or quota litis (proportion of any amount recovered) is not permitted.102 Fees can be left to be established at the discretion of the board of the RAK103 or can, on application by the Rechtsanwalt or the client, be set by the court.104 The Gebhren compensate a Rechtsanwalt for the whole of his activity in a particular matter and can only be claimed once in the same matter. In court proceedings, fees can be claimed in every instance.105 The fees set out in 11(i) BRAGO increase in the event of an appeal (Berufung or Revision).106 For verbal or written advice (Rat) or (brief) information (Auskunft) unconnected to another chargeable activity, the Rechtsanwalt can charge (in civil matters) between one-tenth and ten-tenths of a full Gebhr and, where the matter relates to a fine or criminal matter, between DM 25 and DM 335. The fee for a first consultation (Erstberatung) is limited to not more than DM 350.107 For simple letters (einfache Schreiben), the Rechtsanwalt is only entitled to twotenths of a fall Gebhr.108 For the completion of a written opinion with legal reasoning (Gutachten mit juristischer Begrndung), the Rechtsanwalt is entitled to a fair fee (eine angemessene Gebhr) and the criteria for Rahmengebhren (see (e) below) apply.109 (e) Framework fees The fees set out in BRAGO can be merely banded (so-called Rahmengebhren (framework fees)).110 In that case, the fee within the appropriate band is calculated by the Rechtsanwalt nach billigem Ermessen (at his fair discretion) on consideration of all the circumstances, in particular: the importance of the matter (die Bedeutung der Angelegenheit); the extent and difficulty of the work involved (der Umfang und die Schwierigkeit der anwaltlichen Ttigkeit); and the capital (Vermgen) and income (Einkommen) of the client. (f) Legal assistance and legal aid Where no court proceedings are pending, the provision of assisted legal advice and representation (Beratungshilfe) to persons with a low income is governed by the Beratungshilfegesetz (BerHG). Lower Gebhren apply.111 Again different scale fees apply where legal aid for court proceedings (Prozekostenhilfe) is granted.112
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(g) Future reform The complexity of BRAGO has led to demands for a simplification of the law concerning legal fees. Accordingly, in October 2001, the Federal Ministry of Justice published a draft law, which is intended to replace BRAGO and comes into force in 2003. See: Burhoff in ZAP-Aktuell 21/2001, p 1308. The draft law is entitled Rechtsanwaltsvergtungsgesetz (RVG, Law regarding the Remuneration of Lawyers). The RVG essentially harmonises the fee structure in all (non-criminal) jurisdictional branches and recognises the increased importance of lawyers extra-court activity (consultation and mediation). Thus, in future, there will be only two possible types of fee in court proceedings: a procedure fee (Verfahrensgebhr) and an attendance fee (Terminsgebhr). On the settlement of a dispute out of court, a resolution fee (Einigungsgebhr) is introduced. The former Beweisgebhr and Vergleichsgebhr are dispensed with. In criminal matters, fees are increased and in proceedings involving fines (Bugeldverfahren) remuneration is to reflect the amount of the fine at stake. 9 The Partnerschaftsgesellschaft On 10 June 1994, a Gesetz zur Schaffung von Partnerschaftsgesellschaften (in force since 1 July 1995) was passed, enabling a Partnerschaftsgesellschaft (partnership (company)) to be registered at the local Amtsgericht. The Partnerschaftsgesellschaft is a special type of Personengesellschaft for members of the freie Berufe (free professions), such as Rechtsanwlte. The new law is supplemented by the provisions of the BGB regarding civil law partnerships ( 705 ff BGB) and contains various references (Verweisungen) to the HGB. As from 1st July 1997, the name of a professional firm with more than one member (a Soziett) can only be supplemented by the words and Partners, if it is organised as a Partnerschaftsgesellschaft or if its (other) legal form is clearly shown by means of a suffix.113 The Partnerschaftsgesellschaftsgesetz (Part GG) is set out, broadly, as follows: Definition of the Partnerschaftsgesellschaft; who can be a partner.114 Name of the partnership. Partnership agreement (Partnerschaftsvertrag). Notification (Anmeldung) for registration. Content of the entry in the register. Internal relationship (Innenverhltnis) between the partners. By 6(ii) individual (but not all) partners can be excluded from (internal) management (Geschftsfhrung). 7 External position (Auenverhltnis) of the partnership. By 7(i), the partnership (Partnerschaftsgesellschaft) arises (entsteht) on registration. Beforehand, it is treated as a GbR. 1 2 3 4 5 6
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7(ii) refers to 124 HGB, meaning that like the OHG, but unlike the GbR, the Partnerschaftsgesellschaft is a Rechtssubjekt and rechtsfhig, ie, capable of suing and being sued in its own name. The Partnerschaftsgesellschaft is a Gesamthandsgemeinschaft (joint community), but is approximated (angenhert) to a juristic person. By 7(iii), each partner has an unlimitable right of representation (Vertretungsbefugnis) in relation to third parties. By 7 (iv), a Partnerschaftsgesellschaft can provide legal advice (Rechtsberatung), provided it acts through admitted Rechtsanwlte. Moreover, a Partnerschaftsgesellschaft is postulationsfhig, ie, it has a right of audience at court. 8 Liability (Haftung). Where there is a Partnerschaftsgesellschaft, 8(ii) Part GG lays down a statutory concentration of liability (Haftungskonzentration) for professional mistakes on the partner with responsibility for the particular matter. In the case of a civil law partnership (GbR or BGB-Gesellschaft), on the other hand, the basic rule is that all partners are personally liable (ie, with their private assets (Privatvermgen)), as joint debtors, for the obligations of the partnership. However, by 51a(ii), 2nd sentence BRAO, liability can be concentrated on the member of the firm acting in the matter (also in standard business terms (vorformulierte Vertragsbedingungen)). There must be a signed agreement ( 51a(ii), 3rd sentence BRAO), which can limit the private assets available, but which cannot exclude partnership assets (Gesellschaftsvermgen).115 The limitation of liability (Haftungsbeschrnkung) to a maximum amount (Hchstbetrag) is dealt with in 51a(i) BRAO. Standard business terms can limit liability for simple negligence (einfache Fahrlssigkeit) to DM 2 million, ie, four times the minimum amount of professional liability insurance (currently DM 500.000). However, liability for gross negligence (grobe Fahrlssigkeit) can only be restricted up to the abovementioned minimum figure by an individual (negotiated) agreement (Vereinbarung im Einzelfall). In both cases, liability can be limited to higher amounts, provided appropriate insurance cover exists. 9 Termination (Auflsung) of the partnership; departure (Ausscheiden) of a partner. 10 Liquidation and limitation period for claims (Verjhrung).116 E THE NOTAR117 (i) Notaries are governed by the Bundesnotarordnung (BNotO; Federal Notaries Order) of 24.2.1961. They are appointed by the justice ministeries of the Lnder and hold an independent public office.118 Appointment is subject to a Bedrfnisprfung (test of need), ie, only so many notaries are appointed as are required for an orderly administration of justice.119 Notaries provide impartial assistance (unparteiische Betreuung) to both sides in the area of so-called vorsorgende Rechtspflege (precautionary administration of justice).120
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(ii) A Notar is competent to undertake the matters set out in 2024 BNotO. The principal responsibility of the Notar is the (public) documentation ((ffentliche) Beurkundung) of various transactions involving declarations of will (Willenserklrungen), such as: the conclusion of a contract for the sale or purchase of land ( 313 BGB); the making of a Schenkungsversprechen ((contractual) promise of a gift (for the future) ( 518 BGB), other than one conditional on survival after the donors death (to which the provisions of the BGB regarding Verfgungen von Todes wegen (ie, wills, contracts of succession) apply: 2301 BGB); the making of an ffentliches Testament (public will; 2232 BGB); the conclusion of an Erbvertrag (estate contract; 2276 BGB); the assurance in lieu of oath (eidesstattliche Versicherung) necessary in order to prove certain particulars required for the grant of an Erbschein (certificate of inheritance; 2356(ii) BGB); the establishment of a GmbH (limited company) or AG (public company) ( 2(i) GmbHG and 23(i) AktG).
(iii) The Beurkundungsgesetz (BeurkG) of 28.8.1969 contains the procedural rules regarding documentation. A Niederschrift (written record) of the proceedings must be made. The original of the Niederschrift is normally kept by the Notar and listed in an annual Urkundenrolle (roll of documents).121 The copies (Ausfertigungen) are distributed as required. When undertaking a Beurkundung, notaries have certain duties (so-called Prfungsund Belehrungspflichten; 1721 BeurkG), in particular: to check the facts and to check that the transaction is legal and accords with the true will of those involved; to take care that a person involved is not prejudiced through inexperience; to advise those involved of the legal effect of the transaction (die rechtliche Tragweite des Geschfts); and to ensure that declarations are documented clearly and in no uncertain terms (klar und unzweideutig). (iv) Notaries can also provide certifications (Beglaubigungen) of signatures and copy documents and certificates (Bescheinigungen) of entries in public registers by means of a Vermerk (note under seal): 3943 BeurkG. The taking of oaths (Eide) and assurances in lieu of oath (eidesstattliche Versicherungen) by a notary is limited, respectively, to cases requiring this abroad and circumstances in which an allegation of fact or a statement needs to be substantiated to a Behrde (authority) or sonstige Dienststelle (other public office).122 (v) A breach of the notarys official duties (Amtspflichtverletzung) can lead to a claim for damages against him.123 Like the Rechtsanwlte, the notaries of a particular Bezirk (area) comprise a Notarkammer (Notarie Chamber).124
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(vi) Notaries costs (fees and disbursements) are dealt with in the Kostenordnung.125 (vii) The ZPO contains certain statutory rules laying down the evidential force (Beweiskraft) to be given to documents (Urkunden): 415418 ZPO. They extend to public and private documents, as appropriate. The rules are exceptions to the principle of the free assessment of evidence and bind the court: 286(ii) ZPO. Thus, a public document (ffentliche Urkunde)ie, a document concerning a declaration made in the presence of a public authority (ffentliche Behrde) or a person holding public office (eg, a Notar) and executed in the prescribed formprovides full evidenceon a formal levelof the event documented (not, however, as to the substantive content of the document, its interpretation or legal significance!): 415(i) ZPO. If it can be proven that the relevant event was incorrectly documented, such counterevidence (Gegenbeweis) is admissible: 415(ii) ZPO. Further, a public document attesting to/reporting on the existence/occurrence of a particular fact/event, which has been personally perceived by a public authority or officeholder (eg, a certificate, official notification or protocoll)a so-called Zeugnisurkundeprovides full evidenceon a formal levelof the relevant fact/ event: 418(i) ZPO. The notarial certification of a signature to a private document provides full evidenceon a formal levelthat the statements contained in the relevant document emanate from the signatory: 416 ZPO. Here too, however, counter-evidence can be presented, if available, as to the genuineness (Echtheit) of the document, its content, effect or substantive evidential value.126
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NOTES
PREFACE TO THE THIRD EDITION
1 2 3 See Preface to the Second Edition, Note 11 B. See Preface to the Second Edition, Note 7. See the article by Gil Carlos Rodrguez Inglesias in the Frankfurter Allgemeine Zeitung (FAZ) of 3.5.2000: Ein Eckpfeiler der Integration. See also Chapter XVI, Note 3 C.
PREFACE TO THE SECOND EDITION (WITH CORRECTIONS)

1 In Germany, the study of law is referred to as a science (Rechtswissenschaft). The equivalent term in English is usually jurisprudence, although that properly describes legal philosophy. There is still much truth in Kelsens Pure Theory of Law in so far as it analyses the (national) German legal order. However, it would be going too far to describe German law today merely as an objective science, sapped of all ideological, sociological or natural law content. See this Preface, Note 9; Chapter I, Note 17; Chapter XXII, Note 10. Notable German jurists engaged in the search for new methods since 1945 are Viehweg, Esser, Luhmann and Larenz. See Wesel (JW), Chapter XIII. See also: Kommers, Part I, Chapter 2 (Constitutional InterpretationBackground) and Chapter 4 (Judicial versus Legislative Authority). It is perhaps too ideological to claim, as Wesel does, that a precise legal language is the product of greater egoism and social injustice (in Germany). I would submit that one of the main reasons for the more precise German legal language is simply the fact that there are cultural (and linguistic) differences between German and English people. Moreover, the German language generally is characterised by a tendency (sometimes overdone) to combine words, thereby giving rise to a rich (and lengthy) vocabulary. See Wesel (FR), Chapter 1; Coing, Chapter III. See also: this Preface, Note 10; Chapter I, Note 16; Chapter X, Note 62. National popular opinion opens the barriers, but also sets the limits to absorption by a particular legal system of foreign, supra-national or international rules. Moreover, history teaches what can happen, when law is allowed to become a vehicle for oppression or a shroud for naked political intervention. Zweigert and Ktz (Chapter 3 VI) point to function as the start-point and basis of all comparative law. What then of (national) language? Language is the basis of human understanding and an inextricable element of society. Despite the occasional conflict of languages, there is no prospect of their abolition, nor, in practice, is there a way around them. To reduce the importance of language is, ultimately, to ignore its role as a means of communication. See the article by Tony Weir in ZEuP 1995, p 368: Die Sprachen des europischen Rechts. Eine skeptische Betrachtung and the article by Pierre Pescatore in ZEuP 1998, p 1: Recht in einem mehrsprachigen Raum. See also Notes 10 and 12 in this Preface. For a comparative assessment of the development of the European Union, see the article by Martfred Zuleeg (a former German judge of the European Court and Professor at the University of Frankfurt) in Am J Comp L 1997, Vol 45, p 505: What holds a nation together? Cohesion and Democracy in the United States of America and in the European Union. Zuleeg rightly points out that communication is facilitated by technology. However, culture and human understanding is a much more complex phenomenon (see Note 10, below). Zuleeg is merely scratching the surface. In another article (The European Constitution under constitutional constraints: the German scenario; Eur L Rev 1997, Vol 22, p 19), Zuleeg explores the German Federal Constitutional Courts thinking on European integration and reviews its case-law on the subject since 1967. He takes issue with the Maastricht Judgment of 12.10.1993 and criticizes the strong political credo and will of the Reporting Judge in the case, Paul Kirchhof, who is also Professor at the University of Heidelberg. In particular, Zuleeg fears a usurpation of power by national authorities, ie, a snowball effect, if a national court were to declare European Community law inapplicable in its territory.
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However, it is revealing that, in his article, Zuleeg states (p 20): The constitution of the European Communityis rather complex, but it exists. Herein lies the hidden question: if the constitution is so complex, that only experts understand it, what is to stop, for example, the so-called fundamental principle of the European Union (viz. subsidiarity), whereby decisions are to be taken as closely as possible to the citizen (brgernah), from eventually becoming a dead letter? The answer according to Zuleeg is, presumably: spreading the gospel of cohesion among the people of Europe (ie, the ordinary man in me street). To this, one might respond: people may have different views on the meaning of democracy, but the nature of man is the same everywhere: personal freedom and self-interest are often ultimately the decisive factors and not the supposed common bond of a political or religious doctrine. The following saying springs to mind: Der Mensch denkt an sich selbst zuletzt. Man thinks of himself last. Or should it read: Der Mensch denkt an sich, selbst zuletzt. Man thinks of himself, even finally. 6 7 See the article by Hans-Peter Schneider entitled Grenzen der Rechtsangleichung in Europa in the Frankfurter Allgemeine Zeitung (FAZ) of 16.10.2000. At the European Council in Nice on 7.12.2000, a European Charter of Basic Rights was proclaimed along the lines of the European Convention on Human Rights. The Charter was prepared by a convent of 62 persons under the Chairmanship of the former German President, Roman Herzog. ft is intended as a forerunner of a European Constitution. However, at the moment, the influence of the Charter is limited, as it only applies directly to the institutions and staff of the European Union (Article 51). Thus, there is a school of thought that it could prove to be a castle in the air. See the article by Katja Gelinsky entitled Ein Luftschloss?, in the Frankfurter Allgemeine Zeitung (FAZ) of 28.9.1999. See also: the article by Hans-Werner Rengeling in the Frankfurter Allgemeine Zeitung (FAZ) of 21.7.1999: Eine Charta der Grundrechte; Note 12 in this Preface. Zweigert and Ktz (Chapter 14 II) praise the Swiss Civil Code as a model for the legal unification of Europe. It is much less concerned with legal certainty than the BGB (with its demanding, difficult, and pedantic techniques, its precise, disciplined, and artificial language) and provides judges with greater freedom of decision. In response, one might argue that, on the contrary, the highly sophisticated nature of German law is a necessary corollary to the complexity of human relationships, that it reflects a desirein Germanyto create a legal system of high authority and constant quality (gleichbleibende Qualitt) and that, in fact, by being as far as possible predictable (vorhersehbar), it gives individual members of society greater flexibility, since it gives less room to the idiosyncracies of others (judges). If one wants to do things thoroughly (grndlich), there is no short-cut. Although, for a variety of reasons, the leaders of the member states are currently holding back from establishing a (super-)state as such, the European Unions legal order is increasingly asserting itself. The EU may not be innately sovereign, but it has organs (institutions) for the creation, declaration and enforcement of law and is, therefore, arguably already a State in Kelsens sense, except in name (see The Pure Theory of Law (1960), translated by Max Knight, pp 286ff). In Germany, the current political debate centres on the need for structural reform of the EU and a more transparent distribution of power (Machtverteilung) between the EU and the member states. With the expansion of the EU, it will be important to ensure that the organisation does not become unwieldy and remains capable of acting (handlungsfhig). See the article by Wolfgang Schuble and Karl Lamers in the Frankfurter Allgemeine Zeitung (FAZ) of 4.5.1999: Europa braucht einen Verfassungsvertrag. The desirability of reforming encrusted structures is also one of the recurring themes with regard to the national German legal system, so as to satisfy increasing public demand for a quicker and simpler resolution of disputes, whilst retaining the authority of the State and despite the complexities of a globalised information society (Informationsgesellschaft). A In the Foreword to the first issue of ICLQ in January 1952, Lord Denning referred to the clockwork statutes of the federalists and to Germanys legal structure as a castle in the air. His comments reveal that, at that time at least, mere was a deep English suspicion of continental methods. Even today, the alien nature of codified systems often mystifies common lawyers used to a more fluid approach. See Note 3 in this Preface; Chapter I, Note 13.
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B See also the powerful article by Pierre Legrand in ICLQ 1996, Vol 45, p 52: European Legal Systems are not Converging. Legrand makes the following points: (i) The difference between legal cultures goes much deeper than the legal systems themselves. A legal system is manifested on the surface by rules. However, these reveal little about a given legal system and its deep structures. (ii) In reality, rules encode (historical) experiences; they embody a whole culture/view of the world (Weltanschauung) and a set of values (Werte). Law is a social subsystem and cannot be artificially separated from other human sciences. Habits and customs are equally important, a fact often forgotten by comparative lawyers. Thus: Law simply cannot be captured by a set of neatly organised rules The law and the rules do not coexist There is much law to be tound beyond the rules. By adhering to a law-as-rules representation of the legal world, much comparative work has effectively become an epistemological barrier to legal knowledge. In other words, comparative legal studies leads the lawyer astray by suggesting that to have knowledge of the law is to have knowledge of the rules (and that to have knowledge of the rules is to have knowledge of the law!). In its quest for rationality, foreseeability, certainty, coherence and clarity, much comparative work, therefore, strikes a profoundly anti-humanist note. (iii) The leeal cultures of the common law and civil law systemstheir cognitive structure or underlying mentalitare irreducibly different, despite their adjacence within the European Community. In Legrands view, European legal systems ..have not been converging, are not converging and will not be converging. Indeed, convergence between them is impossible, notably on account of the following factors: (a) The reasoning of the common lawyer is empirical and inductive (ie, proceeds from particular facts), while that of the civil lawyer is abstract and institutional. In other words, to the common lawyer, law is a pragmatic craft, rather than a science. (b) The common lawyer disdains systematisation and is more concerned with the resolution of the concrete problem before him (ie, common law is reactive and not, like the civil law, proactive or protective). (c) Common law rules have no coercive effect and are subject to legitimate change by judges (ie, by case-law). (d) To the common lawyer, the facts of legal cases are much more important than concepts or propositions, ie, legal knowledge emerges not from rules, but from factual situations. (e) Civil lawyers speak as a matter of course of subjective rights, whereas the tradition of the common law is that one has no rights, unless one is protected by a cause of action (as disclosed by the facts). (f) Common law has its roots in (past) custom and is not the product of a particular time. Because custom is the pre-eminent value underlying the doctrine of precedent, the judge does not decide for the community; rather, he remembers the community to itself. On the other hand, reliance on custom nurtures a static approach to law. Legrands (pessimistic) analysis is that European legal unity is a chimera, ie, all attempts at convergence between the European legal systems are doomed to fail. Based on our experiences and knowledge, that may well be so. However, one might equally argue that peace, justice and understanding are impossible to achieve. These were, and still are, the realand even more importantmotives behind the European ideal. If we do not accept these, we are depriving future generations of hope and allowing our own (encrusted) views to dictate the future. As Legrand astutely observes, law is a hybrid of technical reasoning and political power. This will remain the case, whether or not European legal convergence is achieved. 11 A EU legislation is continuing to sprout merrily and is also starting to create uniform rules of civil law and procedure. Recent examples are: (i) The so-called E-Commerce Law, which implements EU Directive 2000/ 31 dated 8.6.2000 and came into force on 1.8.2001. It modernises the provisions in the BGB and elsewhere concerning the form of legally-effective acts. See Chapter X, Note 54. (ii) The Law regarding Long-Distance Transactions (Fernabsatzgesetz; FernAbsG), which implements EU Directive 1997/7 and came into force on 30.6.2000. The FernAbsG strengthens the rights of consumers in transactions concluded by long-distance means of communication. See the Expos in Chapter X (after 515 BGB). (iii) The uniform guarantee period (Gewhrleistungsfrist) of two years for purchasers of new consumer goods (Verbrauchsgter), which applies throughout the European Union from 1.1.2002. A purchaser of such goods is able to daim repair or replacement from the vendor or manufacturer, if a contractual infringement (Vertragswidrigkeit) existed at the time of sale.
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In accordance with the relevant EU Directive (1999/44), there is a (rebuttable) presumption in favour of the purchaser that a contractual infringement existed at the time of sale, if the infringement comes to light within six months thereafter, ie, there is a reversal of the burden of proof (Umkehr der Beweislast). The guarantee period for second-hand goods is one year. See the reports in the Frankfurter Allgemeine Zeitung (FAZ) of 18.4.1999 and 27.4.1999; Albrecht, ZAP, Fach 25, p 93. Cf the guarantee provisions in the BGB ( 459ff). (iv) the EU-wide provisions whereby divorce/nullity decisions and decisions in parental care matters are reciprocally recognised throughout the EU (EU Regulation 1347/2000). These took effect on 1.3.2001. See Chapter XIII, Note 148. (v) the EU-wide provisions laying down a uniform procedure for service of judicial and non-judicial documents (EU Regulation 1348/2000). These took effect on 31.5.2000. See Chapter XXI, Note 7. Other proposed measures are: (vi) the establishment of a pan-European procedure for debt recovery. See Chapter XIII, Note 163; (vii) the establishment of a pan-European criminal law system. See (1999) Gazette, 96/11, p 12. On the national level, too, the enactment of proposals to modernise the German law of obligations is imminent (viz the Gesetz zur Modernisierung des Schuldrechts, which is due to come into force on 1.1.2002). See the survey by Henssler in ZAP, Fach 2, pp 291ff. Another significant proposal is the amendment of 253 BGB and the repeal of 847 BGB to allow damages for pain and suffering (Schmerzensgeld) to be awarded generally, ie, also in cases of contractual claims and strict liability. Cf Chapter X, Note 227. There is currently enthusiasm for legislative reform on a grand scale, but it is naive to think that, by shaking the foundations of German lawlike a bull in a china shopthe key, traditional institutions and mechanisms of the system (eg, the German legal language) will thereby simply be exorcized. More importantly, even if consensus can be reached regarding principles of the law of contract perceived to be common to certain EU member states, it cannot hope to deal with the innumerable and sometimes controversial points of detail, which are often decisive in practice. It may be a starting point, but the road to a European Civil Code will be long and stony. See the articles in the Frankfurter Allgemeine Zeitung (FAZ) of 20.11.2000 (Geplante Zivilrechtsreform stt auf Kritik), 23.12.2000 (Die Schuldrechtsreform hlt Schritt mit internationalem Recht) and 2.7.2001 (Das BGB vor der Neuordnung). See also Chapter X, Note 92. With effect from 1.1.2002, civil procedure in Germany is also due for a radical shake-up (viz. the Gesetz zur Reform des Zivilprozesses). The intention is to strengthen hearings at first instance and limit the possibilities for appeals. Even if the changes succeed in reducing the workload of the judiciary, there is a risk that lawyers will ultimately be buried by a mass of detail and lose signt of the larger picture. Ignorance, uncertainty and more injustice may be the result. In particular, in the fervour to keep up to date, lawyers (and their clients) will have to be more wary than ever not to fall foul of procedural stumbling-blocks (Stolpersteine), which invariably slow down progress. The slightest upset in the delicate balance between transparency and confusion can make proceedings unpredictable. See Schneider, ZAP, Fach 13, p 1063; Scneider, ZAP-Kolumne, 23.1.2002, p 67; Chapter XIII D 2 (c) (v) and (vi); Chapter XIII D 2 (e); Chapter XIII D 3.
12
The European Union aspires to becoming a lasting legal order. As yet, however, there is (still) no true basic norm for the EU, despite the supra-national triumphs since 1945. The ultimate roison-detre for the EU (if it has one at all) can only lie in the defence, rather than the spread, of common interests and values (Werte). These common interests and valueswhich have eluded so many previous generationsare necessarily subjective. Even if this (fundamental) criticism is put aside, the EU will have to face questions of substance and continually follow a human and individualist approach, if it is to survive as a legal system. Coordination of laws, purposive interpretation, divisions of sovereignty, the establishment of a bureaucracy, reciprocal recognition of judgments and refinements to the EUs legal form (viz subsidiarity)reminiscent or the hierarchical structure (Stufenbau) of Kelsenare only one, albeit important side of the equation. To put the key issue in the words of the historical schoola legal system can only succeed, if it is in harmony with the internal convictions (collective values) of the people to whom it is addressed; it cannot be imposed. Moreover, consensus in international relations is notoriously difficult to achieve. See Chapter I, Notes 10, 13 and 16; Chapter XVI, Note 3 C; Chapter XX, Note 12; Chapter XXI; dEntrves, Additional Essay A, IV.
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The protection of values is also the bedrock of NATO and the Council of Europe. See the articles by Javier Solana entitled Es geht urn die Verteidigung unserer Werte and by Leni Fischer entitled Das demokratische Gewissen in the Frankfurter Allgemeine Zeitung (FAZ) of, respectively, 24.4.1999 and 5.5.1999. See Chapter XIII, Note 18; Chapter XX Note 12.
13
CHAPTER I
1 See generally: Dulckeit/Schwarz/ Waldstein; Haft; Honsell; Kaiser (Section I, Chapter 1); Kbler; Laufs; Model/Creifelds/Lichtenberger, Part I B (1125); Schunck/De Clerck, Part I, Chapter 18; Wesel (JW). See also Creifelds under Code civil, Constitute Criminalis Carolina, Deutsches Reich, Grotius, Heiliges Rmisches Reich Deutscher Nation, Historische Rechtsschule, Jhering, Naturrecht, Pufendorf, Reichskammergericht, Reichsverfassung, Rmisches Recht, Rezeption, Sachsenspiegel and Savigny. See Honsell, 2 II According to a quotation from Gaius in the Institutes (160 AD), the division of law was into ius civile (civil law, ie, the special law of a particular state) and ius gentium (law common to all mankind, ie, law observed by all nations (public international law)). Unlike Gaius, who based ius gentium on natural reason, Ulpian distinguished a separate category of ius naturale (natural law) as a form of law belonging to all animals and not peculiar to the human race. Ulpian also explained the difference between ius privatum (private law) and ius publicum (public law), a distinction which originated during the Roman Republic and has gradually become more important. See Chapter IX, Note 1; Haft, Part C, 2; Honsell, 3 II-III; Wesel (JW), Chapter IV. Regarding natural law, see Notes 9 and 10 in this Chapter. It was said: Quidquid non agnoscit glossa, non agnoscit curia (what is not acknowledged by the gloss is not acknowledged by the court). It was said: Nemo bonus iurista nisi bartolista (noone is a good jurist, if he does not follow Bartolus). In England, where a case-law system (Fallrecht) has dominated since the 13th century, the influence of Roman law has been limited. The distinction between common law and equity reflects the Roman law distinction between ius civile and ius honorarium; under the latter, the magistrate (praetor) was able to apply aequitas (fairness) when reaching his decision. See Haft, Part C, 3 and 5; Honsell, 2 III-IV; Laufs, Chapter III; Wesel (JW), Chapter V; Youngs (CL), Chapter 2, Part I, Sections C and D. The (first) German Empire is regarded as having been founded with the coronation of Otto I in Rome in 962 AD and was first referred to as the Holy Roman Empire (of the German Nation) towards the end of the 15th century. The Holy Roman Empire ended in 1806 following the establishment of the Rheinbund (Rhein Confederation) between various German principalities having allegiance to France. After the defeat of Napoleon at Waterloo, the Rheinbund was superceded by the Deutscher Bund (German Confederation), which was established at the Congress of Vienna in 1815. The Deutscher Bund lasted until 1866, when, following Austrias defeat by Prussia (under Bismarck) at Kniggrtz, Prussia and the other north German states formed the Norddeutscher Bund (North GermanConfederation). Following Prussias victory over France in the war of 1870/71 and the accession of the south German states, the (second) German Empire was proclaimed at Versailles on 18.1.1871. It lasted until the declaration of the Weimar Republic on 9.11.1918. See Creifelds under Rheinbund, Deutscher Bund and Norddeutscher Bund; Katz, Part II, 4 VI and 5 II ; Model/Creifelds/Lichtenberger, Part I A (9), I B (1217). See Note 14 in this Chapter; Chapter XVII, Note 3. See also Haft, Part C, 4; Laufs, Chapter IV, 4. Natural law (ius naturale/Naturrecht) is effectively a form of law or set of (unwritten) principles based on the nature of man (Natur des Menschen) and on what is always good and equitable (quod semper bonum et aequum est), in contrast to positive law (statute/Gesetz). The doctrine is intertwined with the search for a definition of law itself (ius/Recht), bearing in mind its supreme touch-stone, justice (iustita/Gerechtigkeit). According to Cicero, law is right reason in agreement with nature; it is universal, eternal and immutable (De Republica, III xxii, 33). Or, to quote the famous dictum of Grotius, Natural law retains its validity even if God does not exist. However, natural law is not a Roman invention, but originated in Greek philosophy. The Sophist teachings of the 5th century BC (Protagoras), with their separation of (antithesis between) law and nature and subjective
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views of the truth (concentration on manMan is the measure of all things), were followed by the idealist doctrines of Plato and Aristotle in the 4th century BC in their writings on justice, law and the state. Subsequently, it was the notion of the Stoics (picked up by Cicero) that natural law and ius gentium (law common to all mankind) were the same. See Creifelds under Naturrecht; Coing, Chapter I, I; dEntrves, Chapter 2; Haft, Part F, 2; Honsell, 4; Wesel (JW), Chapter VI. According to Rousseau, the connecting link between natural law and positive law is the social contract (Gesellschaftsvertrag). See the following Notes (10 and 11) in this Chapter. It was also followed, at the end of the 18th century, in the rationalist philosophy of Hegel, although Hegel completely reversed previous thinking on natural law. To him, the highest embodiment of ethical life was the national State. See Chapter II, Note 1. In England, in the wake of the Civil War (16421645), there were conflicting views on the position of the state. Whilst for Locke (Two Treatises on Government (1690)) the recognition of human rights (and their protection by government) was crucial, Hobbes presented a different view in his work Leviathan (1651): protection by the state was necessary for mans own good, because mans natural condition was anti-social, wolf-like (homo homini lupus) and belligerent (bellum omnium contra ones). The state was the supreme monster, born of humans natural fear. The positive law of the state was justified by its authority and required to be obeyed (auctoritas non veritasfacit legem). Hobbes theory flourished most successfully in France during the reign of Louis XIV (16611715). Indeed, it can still be said to be the justification for the concept of the unrestricted sovereignty of Parliament in England, where there is no written constitution. However, positive law (ie, according to the imperative definition, a command from a sovereign (Austin)) is not the only form of law. Natural law can have a radiating effect (Ausstrahlungsivirkung) on the positive law of a particular legal system. It serves to underpin me requirement that law should correspond to nature, equity and justice. To use the imagery of dEntrves, natural law is the attempt to bridge the chasm between is and ought (Hume), between fact and value (ie, a moral or normative rule). In particular, natural law is the unwritten source of human rights and (still) performs a vital role whenever it is necessary to justify resistance against abuses of state power (ie, natural law can establish limits to the normal duty of obedience towards the state). Unlike positive law, the principles of natural law are ageless. It is important to note here that, in most European languages (but not in English), the Latin word ius (Recht) can have two meanings, objective and subjective, law and right. Although Hobbes appreciated that there was a difference, to him ius (which he translated as right, ie, liberty) was not a precondition for law (lex). Modern civilisation generally takes a different view. See Coing, Chapter I, IV and Chapter V; dEntrves, Chapters 4 and 5 and Additional Essay A, III; Haft, Part D, 4 to 6,8; Wesel (FR), Chapter 2 (Verfassungen). See also: Chapter X Note 22. In German drama, the classical French theatre of the 17th century was initially the yardstick (Gottsched). However, by the middle of the 18th century, English theatre was considered the more appropriate example to follow (Lessing). In France at this time, the philosophy of Rosseau, with its view of man as fundamentally good and its attacks on social institutions, was gathering hold. According to Rousseau, man should strive proximity to nature and not be guided by reason. Rousseaus ideas influenced the German authors of the Sturm und Drang (storm and stress) movement (Herder, Goethe), who reacted against discipline and modelled their creativity on Shakespeare. Schillers early plays were also works of social protest. The French Revolution threw up the problem of freedom and Schillers later tragedies focussed on the conflict between human instinct (free will) and moral duty. In German literature, this period (17851805) is referred to as Classicism. In the quest for moral rectitude (or at least a harmonious balance between feeling and reason), art acquired an educational function and the achievement of beauty was considered of paramount importance. The period of Classicism, with Weimar as its cultural centre, merged into that of Romanticism, which flowered briefly in the early years of the 19th century (Brentano, Eichendorff, Kleist). Its view of the world was no longer founded on universal ideals; it was one of personal imagination, of yearning (Sehnsucht). Patriotic and national feeling were stimulated by folk poetry (Volkslieder). Later in the 19th century, the Romantic School lost its appeal and German literature followed the European trend to realism (Balzac, Dickens, Tolstoy), albeit on a more regional level (Poetic Realism), in the particularly German genre of the Novelle (Ludwig, Stifter, Storm). According to Kant, law is the embodiment of the conditions under which the arbitrary will (Willkr) of one (person) can be united with that of another according to the general law of freedom. See Haft, Part D, 7; Wesel (FR), Chapter 8.
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13 Regarding these see Haft, Part C, 6 and 7; Laufs, Chapter VI, 1 and 2. Codes (ie, systematic presentation of law according to principles) are typical for continental European countries. By this method, as Savigny taught, legal relationships are allocated to particular legal institutions (Rechtsinstitute)the systemwhich in turn find their expression in (positive) norms. Despite occasional views to the contrary, it remains a characteristic of German law that it is a system designed for lawyers (Juristenrecht). German law attaches very little importance to judge-made law (Richterrecht) in marked contrast to the situation in common law countries. This perhaps accounts for the adversarial nature of legal proceedings in England. In Europe as a whole, the extent to which the many diverse legal systems and fundamentally different cultures (values) can be cross-fertilised remains to be seen. Although, at present, it (still) appears doubtful, the establishment of a common legal order via the European Union is not beyond contemplation. It will then be of paramount importance that the bridge over the culture gap is built as stably as possible and that the attendant complexities are weathered in a spirit of good will. Certainly, however, Germanys participation in the European Union (Article 23 GG) will have a vitalising effect on legal thought and on the existing approach to the creation and application of law. See Preface to Second Edition; Chapter I, Note 6; Coing, Chapter III, 16, Chapter III, IV 3 and Chapter VI, VI. In the field of criminal law, Feuerbach laid the foundation for modern criminal legislation. He drafted the Bavarian Criminal Code of 1813 and coined the phrase Nulla poena sine lege: there can be no punishment without law, ie, punishability depends on the strict text of criminal legislation, which, therefore, requires exact drafting. Feuerbach, the purpose of punishment was general prevention of crime. In contrast, von Liszt later developed the theory of the special prevention of the particular criminal, for whom the Criminal Code was the Magna Charta. See Haft, Part E, 2 and 9; Wesel (JW), Chapter X; Creifelds under Strafzweck. In keeping with the status of the Deutscher Bund as a mere Staatenbund (confederation of (independent) states), there were numerous regional laws in force in Germany at the time. Although a customs union (Zollverein) was created between German states in 1834, the unification of German law first only really set in with the establishment of the (second) German Empire in 1871 (eg, the Strafgesetzbuch and Allgemeines Deutsches Handelsgesetzbuch (ADHGB) of 1861 and the Zivilprozeordnung, Strafprozeordnung, Gerichtsverfassungsgesetz and Konkursordnung of 1877). See Kbler, 7 B I 2 and Laufs, Chapter VII, 3 To Savigny, law, like language, exists from time immemorial. It is the expression of a particular culture and point of view (Anschauung). An English forerunner of Savigny on the political level was Edmund Burke, whose Reflections on the French Revolution (1790) stress the importance of history and national traditions on constitutional development see Coing, Chapter IV 3 and 4. Regarding Savigny and the historical school see LB Curzon, SLRY (1998) p 142; Haft, Part E, 1; Laufs, Chapter VII, 2; Wesel (JW), Chapter VII. Another critic of Begriffsjurisprudenz and positivism was Otto von Gierke (18411921), whose Genossenschaftstheorie stressed the importance to German law of the social (cooperative) component. To the members of the free school (Ehrlich, Weber), law depends not on words, but on social acceptance and social facts (sociology of law). This empirical view (living law) was further developed in the functional approach of the American realists (Pound). In contrast, it was the positivist Pure Theory of Law of Kelsen that the legal system is based on norms (and ultimately on a Grundnorm) and that these are open to judicial interpretation. That such interpretation can be unlimited was demonstrated by Rthers in his book Die Unbegrenzte Auslegung (1968,5th Edition (1997)) following the perversion of positivism during the Nazi tyranny. Regarding Jhering, von Gierke, Weber and Kelsen, see Haft, Part E, respectively 3, 5, 7 and 8. See also: Creifelds under Gierke, Otto von and Weber, Max; Kbler, 7 B13; Laufs, Chapter IX 2; Wesel (FR), Chapters 8. Regarding positivism see Creifelds under Rechtspositivismus; Coing, Chapter I, VIII; dEntrves: Additional Essays; Haft, Part F, 6. Regarding Begriffsjurisprudenz see Creifelds; Haft, Part F, 8; Kommers, Part I, Chapter 2 (Constitutional InterpretationBackground). Regarding Interessenjurisprudenz see Engisch, Chapter VIII; Haft, Part F, 9. Regarding the free school, see Haft Part F, 10; Chapter II Note 23, below. Regarding the perversion of law under the Nazis see Laufs, Chapter XI See also Note 10 in this Chapter. The origins of Interessenjurisprudenz can be traced to the (English) theory of utilitarianism of Jeremy Bentham: see Coing, Chapter I VI.
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Coing (Chapter III, II) points out that the purpose of law is to provide a mechanism for the peaceful resolution of conflicts of interest (viz Interessenjurisprudenz) and to satisfy the human desire for legal certainty (Rechtssicherheit) and the maintenance of traditions (viz the historical school/common law). However, Coing makes the valid (and topical) criticism that, when it comes to the realisation of legal rights, the historical school is too idealistic and ignores the real forces at work: arguments concerning new laws (Auseinandersetzungen mn neue Gesetze); historical upheavals (Umbche in der Geschicht); and the creative contribution of great personalities (das schpfer ische Element groer Persnlichkeiten). In this connection, Coing draws attention to Jherings monograph Der Kampf ums Recht (The Struggle for Law (1872)). See Honsell, 1.
18
CHAPTER II
1 At the end of the 19th century, the German jurist Jellinek identified two meanings of the term statethe legal (public law/state law) sense and the sociological sense. According to the former, which is still dominant in German state doctrine (Staatslehre), a state is the highest form of territorial corporation (Gebietskrperschaft) and consists of three elements: a state territory (Staatsgebiet), a state people (Staatsvolk) and state power (Staatsgewalt). The latter meaning is well explained by Kommers (Part I, Chapter 2 (Structure and PrinciplesState and Morality): The German Staat and the English state are not equivalent terms. Der Staat is more than the body politic. It represents, in Kant, the perfect synthesis between individual freedom and the objective authority of law, and, in Hegel, a moral organism in which individual liberty finds perfect realization in the unified will of the people: not arbitrary will, but rather the power of reason actualizing itself in will. In brief, the Staat is considered to be a superior form of human association, a uniting of individuals and society in a higher synthesis, a reality in which the individual has and enjoys his freedom, (albeit) on condition of his recognizing, believing in, and willing that which is common to the whole. The justification for the state is the subject of various theories (Staatstheorien). See Creifelds under Staat; Katz, Part II, 3; Schunck/De Clerck, Part I (Chapters 13 and 57) and Part II, Section A (Chapter 3). The Bund and its member states (Gliedstaaten) together form the Gesamtstaat (whole state). Each has a duty of friendly cooperation and consideration for the other in the interest of the whole (Bundestreue). If a Land does not perform its federal duties (Bundespflichten), the Federal Government can, with the consent of the Bundesrat, take the necessary action to secure the loyalty of the Land (Article 37 GG: Bundeszwang). See Battis/Gusy, Part A, 4 1; Baumann (ER), Part IV, 13 II 2 (a); Creifelds under Bundesstaat, Bundestreue and Bundeszwang; Katz, Part II, 4; Kommers, Part II, Chapter 3 (Territorial OrganizationThe Nature of German Federalism; Doctrine of Federal Comity (The Television I Case (1961)); Schunck/De Clerck, Part I, Chapters 8 and 9; Youngs (CL), Chapter 1, Part IV 3. Regarding the duty of the authorities of the Bund and the Lnder to give each other legal and official assistance, see Chapter XXI, Note 1. A An essential characteristic of a federal state is the decentralisation (distribution (Verteilung)) of power. The likelihood of a single body becoming omnipotent is thereby reduced. In Germany, the key principle is contained in Article 30 GG: Die Ausbung der staatlichen Befugnisse und die Erfllung der staatlichen Aufgaben ist Sache der Lnder, soweit dieses Grundgesetz keine andere Regdung trifft oder zult. The exercise of state authority and the fulfilment of state functions is a matter for (the responsibility of) the Lnder, so far as this Basic Law does not make or allow for any other provision. Apart from a horizontal separation of powers by means of provisions regarding the respective competences (Zustndigkeiten) of the Bund and the Lnder in the fields of legislation (Gesetzgebung: Articles 70ff GG), administration (Verwaltung: Articles 83ff GG) and judicature (Rechtsprechung: Articles 92ff GG), the Basic Law also achieves a vertical separation (balance) of powers between the Bund and the Lnder by the vehicle of the Bundesrat (Federal Council).
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Notes
See Battis/Gusy, Part A, 4 1; Creifelds under Bundesrat; Katz, Part III, 10 (Schaubild 6 (flowchart 6)); Maunz/Zippelius, Section 3, 1516; Chapters III and V B. B The individual (sovereign) powers exercisable by the Bund and the Lnder are referred to as Hoheitsrechte or staatliche Befugnisse. See Creifelds under Hoheitsrechte. C Regarding the transfer of sovereign powers to international organisations (such as the European Union) see Articles 23 and 24 GG; Kommers, Part II, Chapter 3 (German Federalism and the European Union (3.10 The Maastricht Case (1993)). See also Creifelds under Internationale Organisations. See Schunck/ De Clerck, Part II, Section A, Chapter 16; Youngs (CL), Chapter 2, Part IB (I) and (II). The immediate precursors of the Grundgeset were the constitution of the (unified) German Empire of 16.4.1871 and the constitution of the Weimar Republic (the Weimare (Reichs-)Verfassung) of 11.8.1919. The latter lasted until the Ermachtigungsgesetz (Enablement Law) of 243.1933 empowered Hitler to override it. The constitution of the Weimar Republic had, for the first time, enacted (in its second part) a catalogue of Grundrechte (Basic Rights). However, many of these were leerlaufend (ie, had no practical effect) and they were later suspended by Hitler. At a meeting of the National Assembly in the Paulskirche in Frankfurt am Main in 1848 a catalogue of Grundrechte had been formulated and a national constitution agreed upon, but they never came into force. See Creifelds under Reichsverfassung and Leerlaufende Grundrechte, Katz, Part H, 5 II. Regarding the Paulskirche assembly see also: Creifelds under Nationalversammlung and Laufs, Chapter VIII, 2. Regarding the federal legislative procedure see, for example: Battis/Gusy, Part A, 7 III 2; Katz, Part IV, 20III; Chapter VII, Note 3. Regarding the exclusive and concurrent legislative powers of the Bund and its authority to pass framework laws, see Kommers, Part It, Chapter 3 (Division of PowersNational Powers and Cooperative FederalismFramework Laws). See also Chapter V, Note 6. For a review of the relationship between the Bund and the Lnder see Wesel (FR), Chapter 2 (Der Bund und die Lande). Wesel points out that in the field of legislation, the Lnder are merely left with residual areas (Restbestande; eg, police and building law) and that decisions of the (federal) courts of the Bund have a significant influence on the judicature in the courts of die Lnder. Only in the area of administration do the Lnder remain predominant. See Chapter II C, below; Creifelds under Bundesrecht bricht Landesrecht; Katz, Part IV, 20 II; Model/Creifelds/Lichtenberger, Part I D n (54 57); and the comments under Article 31 GG and Articles 7078 GG in the Sourcebook, Chapter 2. However, it should not be forgotten that the Lnder are states vested with their own sovereign powers. The Federal Constitutional Court has no authority to review a state government decision, if there is no infringement of the Basic Law: see Kommers, Part n, Chapter 3 (The Startbahn West Case (1982)). In cultural affairs and education matters (Bildungswesen), the Lnder have primary authority (Kulturhoheit). Broadcasting also falls outside the jurisdiction of the Bund. See Creifelds under Kulturhoheit der Lnder; Kommers, Part H, Chapter 3 (3.2 The Television I Case (1961)). The executive is a term describing one function of a state. In English, the German words Verwaltung (a function of state) and Regierung (an organ of state) can both be translated as government. However, the terms state and government are not synonymous. See Note 1 in this Chapter; Creifelds under Regierung; Schunck/De Clerck, Part I (Chapter 15) and Part H, Section A (Chapter 17). For didactic purposes, this sequence is followed in Chapters III and IV. A part of a Behorde (or, indeed, a Behorde itself) is frequently described as an Amt (office). See Bull, Section L 3 and 4; Erichsen, Part VII, 56; Maurer, Part 6, 21. Regarding the term Verwaltung, its forms and functions see Bull, Section I, 1 and 2 7; Erichsen, Part I, 12; Katz, Part IV, 21; Maurer, Part 1, 1. Administration by the Lnder is the norm: see Creifelds under Verwaltungskompetenz, Chapter V B and Chapter XIV A. The authorities (Behbrden) involved in administration by the Bund are described in Chapter IV. See Creifelds under Mittelbare Staatsverwaltung; Erichsen, Part VII, 57; Maurer, Part 6, 2223; Scholler, 2 VI (diagram 2). See also Chapter IV, below.
4 5
10
11
229

Public Krperschaften, Anstalten and Stiftungen are all juristische Personen des ffentlichen Rechts (juristic persons of public law). Rehbinder (Chapter II, 17 III) defines them as follows: Krperschaften des ffentlichen Rechts are Verbnde mit Rechtspersnlichkeit (associations with legal personality); Anstalten are organisationally independent Verwaltungseinheiten (administrative units); Stiftungen are mit Rechtspersnlichkeit ausgestattete Vermgensmassen (accumulations of assets endowed with legal personality). They are dedicated to a particular purpose (Zweck). Krperschaften des ffentlichen Rechts have members (Mitglieder). According to the criteria governing membership, they can be Gebietskrperschaften (territorial corporations; eg, the Gemeinden (local communities)) or Personalkrperschaften (personal corporations; eg, the various professional and commercial chambers (Kammern) and high schools (Hochschulen). See Creifelds under Krperschaften des ffentlichen Rechts and Selbstoerwaltung. The Bundesbank (Federal Bank (in Frankfurt am Main)) is a bundesunmittelbare juristische Person des ffentlichen Rechts (a public corporation under the direct control of the Bund). See Creifelds under Bundesbank; Chapter IV, Note 2. Anstalten have users (Benutzer). Depending on their degree of independence, Anstalten can have full, partial or no legal capacity ie, they can be (voll)rechtsfahig (eg, the radio and television stations (Rundfunkund Fernsehanstalten); the Bundesanstalt fr Arbeit (Federal Office of Employment)), teilrechtsfahig or nichtrechtsfhig (eg, schools, hospitals, museums). See Creifelds under Anstalten des ffentlichen Rechts. Regarding juristic persons of private law see Chapter XIA 3. In private law, apart from the Stiftung (foundation; 8088 BGB), the main types of juristic person are all corporately organised and have members. Indirect state administration can also take the form of the secondment (Beleihung) or instruction (Beauftragung) of private persons (natural or juristic). Usually, however, the (initial) decision whether such persons wish to participate or undertake public functions is their own. See Maurer, Part 6, 23 V. A related distinction is that between Eingriffsverwaltung (intervention administration) and Leistungsverwaltung (service administration). Eingriffsverwaltung is a type of hoheitliche Verwaltungstttigkeit, the prime example being the activity of the police. Leistungsverwaltung today covers wide areas of state supply and support, for example in the field of social security, health, education and transport. Its common purpose is the provision of services for the welfare of members of the public (Daseinsvorsorge). Leistungsverwaltung can be exercised both hoheitlich (eg, the grant of a state benefit) and fiskalisch (eg, the grant of a loan). See Chapter VIII, Note 6; Chapter X, Notes 21 and 224; Chapter XVII, Note 32. See also: Creifelds under Eingriffsverwaltung, Fiskus, Hoheitsaufgaben, Leistungsverwaltung and Verwaltungsprivatrecht; Erichsen, Part I, 2 and Part III Section 4 ( 3132); Giemulla/Jaworsky/ Mller-Uri, Book I, Chapter 3 A. In the EU, there is an increasing tendency to regulate the provision of public services on a centralised, panEuropean basis. This will have an effect on the structures and institutions of Daseinsvorsorge in Germany, which will inevitably have to adapt. However, such issues should not upset the social order in the memberstates, despite occasional unrest in the Lnder. See the report in the Frankfurter Allgemeine Zeitung (FAZ), 27.3.2000 (p 2). See Chapter VI, Note 3. See Stober, 6 IV. There can be no Flucht in das Privatrech. The executive is also bound to observe the basic rights, if it acts fiscally. See Battis/Gusy, Part B, 10 II; Hesse, Part III, Section 1, 111. A recent example of fiscal activity by the executive is the Postneuordnungsgesetz of 14.9.1994, whereby the German Federal Post (Deutsche Bundespost) was (organisationally) privatised and split into three separate public companies: the Deutsche Post AG, Deutsche Postbank AG and Deutsche Telekom AG. The assets of these three companies are held by a newly created Federal Institute for Post and Telecommunication (ZBundesanstalt fr Post und Telekommunikatio). By the Telekommunikationsgesetz (TKG) of 25.7.1996, telecommunication and post services are now regulated by a new (upper federal) authority, which also remains under the supervision of the relevant Federal Ministry (Bundesministerium fr Wirtschaft). See Creifelds under Postwesen und Telekommunikation, Bundespost, Postneuordnung, Post, Postbank, Telekom, Telekommunikationsgesetz and Regulierungsbehrde fr Telekommunikation und Post. See Chapters VII, Note 10, IX A, XIII, Note 46 and XV C; Bull, Section II, 6 7; Maurer, Part 1, 1 II 4, 3 II
12
13 14 15
16
230
Notes
3, 3 III 4 (d); Part 4, 17 I, Part 6, 23 II 2 (e) and Part 7, 25 VI Erichsen, Part III, 3132 and Part V, 44; SchmidtAmann, uv ParII H, 1II; Stober, 6 V. Regarding the judicature see Schunck / De Clerck, Part II, Section A, Chapter 19. See also: Chapter VII, Note 4 and Chapter XXII C Article 20(iii) GG describes certain elements of a Rechtsstaat. However, the term itself (which dates from the 19th century) is not defined in the Basic Law and, indeed, is only mentioned in Article 28(i) GG. See Wesel (JW), Chapter DC and Wesel (FR), Chapter 2 (Die Staatsfundamentalnorm des Artikels 20) and Chapter 5 (Das Privatrecht als Modell). Wesel points out that the opposite of a Rechtsstaat is a Polizeistaat (police state) and that the primary function of administrative law is the protection of the (assets of the) individual against the state (Individual(guter)schutz). Regarding Articles 20, 28 and 79(iii) GG see the comments under those Articles in the Sourcebook, Chapter 2. See also: Battis/Gusy, Part A, 27; Creifelds under Verfassungsnderung; Erichsen, Part I, 3 I; Hesse, Part II ( 48); Katz, Part III, 712; Maunz/Zippelius, Section 3, 13; Youngs (CL), Chapter 1, Parts III and VIII. Proportionality and legal certainty are two general principles of law, which are recognised by the European Court of Justice as a source of Community law. See Hartley, Part II, Chapter 5; Jarass/ Pieroth, Article 20, D IV and V. Hartley points out that the European Court would apply such general principles, even if the EC Treaty did not exist. This is reminiscent of the famous dictum of Grotius (see Chapter I, Note 9). Vertrauensschutz is also of particular importance where administrative acts are concerned (for example, in the field of social security law (Sozialrecht); see the article by Klaus Louven in ZAP 4/99, Fach 18, p 545). See Kommers, Part II, Chapter 5 (Political Representation and Democracy). The Basic Law only provides for plebiscites (Abstimmungen /Volksentscheide) in the case of a new division of the federal territory (Neugliederung des Bundesgebietes (Article 29 GG)). See Wesel (FR), Chapter 2 (Volksabstimmungen). Regarding the reorganisation of the former states of Baden and Wrttemberg in 1952, see Kommers, Part II, Chapter 3 (3.1 The Southwest State Case (1951)). Regarding the (wider) term Justiz (which also means judicature) see Chapter XXII C 6. This is the horizontal separation of powers. See Chapter II, Note 3. The principle of the separation of powers was first expounded by Montesquieu in his famous work De lEsprit des Lois (1748). In keeping with Montesquieu, Sieyes later drew a distinction between the constituted organs of state power (pouvoirs constitues) and the people as the pouvoir constituant, ie, having the power to decide upon the constitution. In Germany,despite occasional authoritarian/centralist fixations to the contrarythe rank of the constitutional organs is (officially) equal. The concept of the supremacy of Parliament, as in England, is unknown. See Wesel (FR), Chapter 2 (Die Rangordnung der drei Staatsgewalten). Law includes the Basic Law (see generally Battis/Gusy, Chapter 6 and Chapters VH B and XIV A). The significance of the words und Recht in Article 20(iii) GG is that they make dear that the judiciary (and the executive) must not only apply (positive) norms (Gesetze), but must also observe (overriding) principles of law (justice). Article 20(iii) represents, on the one hand, a binding of the judiciary (and executive) to the system (rules), but also an acknowledgement that no system can be complete (vollstndig), no Gesetz (statute) can cover all eventualities. Thus, where political/legislative excesses are put in question, the courts sometimes fall back on die dichotomy between Gesetz and Recht as a safety valve. Article 20(iii) GG enables a judge, in a particular case, to solve the problem of gaps in the system (Lcken im Gesetz) which so occupied the free school (Kantorowicz)by further development of the law (richterliche Rechtsfortbildung). See The Shootings at the Berlin Wall Case (Sourcebook, Chapter 7); the discussion in Wesel (FR), Chapter 8 (at the end). However, the words Gesetz und Recht conceal wider problems: In what circumstances can a Gesetz be treated as invalid (ungltig)? In what circumstances can gaps (Lcken) in a Gesetz be filled / corrected? What amounts to a (permissible) correction (Berichtigung) of a Gesetz? When is such a decision illegal (contra legem)? Regarding these questions see Coing, Chapter VI, V; Engisch, Chapters VII and VIII; Kommers, Part II, Chapter 4 (Judicial versus Legislative Authority). See also Chapter XIII, Note 18, below.
17 18
19
20
21 22
23
231

24 Regarding the principle of the Gesetzmigkeit der Verwaltung see Bull, Section II, 6 1 to 3; Erichsen, Part I 3 II 1; Giemulla/Jaworsky/Mller-Uri, Book I Chapter 3 B; Maurer, Part 2, 6; Chapter VIII, Note 14; Chapter XIV, Notes 21 and 25. Hesse (Part II, 6 II 1) distinguishes between the Vorrang des Gesetzes and the Vorrang der Verfassung priority of the constitution), both being part of the wider principle of the primacy of law (Primat des Rechts). See Model/Creifelds/Lichtenberger, Part I D IV (63); Hesse, Part III, Section 2 ( 1314); Kommers, Part E, Chapter 4; Youngs (CL), Chapter 1, Parts V and VIII. Certain fundamental principles regarding the political parties are set out in Article 21 GG. For further information see Creifelds under Parteien; Hesse, Part II, 5 II 6; Katz, Part III, 13, Kommers, Part II, Chapter 5 (Political Parties and the Party State); Maunz/Zippelius, Section 3, 12; Schunck/De Clerck, Part II, Section A, Chapter 3 VII; the comments under Article 21 GG in the Sourcebook, Chapter 2; Youngs (CL), Chapter 1, Part XV. Regarding the German electoral system, see also: The All Germany Election Case (Sourcebook, Chapter 2); Creifelds under Wahlrecht (ffentliches); Katz, Part III, 14; Kommers, Part II, Chapter 5 (Elections and Voting); Maunz/Zippelius, Section 5, 31; Youngs (CL), Chapter 1, Part X. See Creifelds under Unabhngigkeit des Richters and Chapter XXII A. See Chapter VIII. See Chapter VIII C See Hesse, Part III, Section 4 ( 22); Kommers, Part I, Chapter 2 (Structure and PrinciplesThe Nature of the Polity) and Part II, Chapter 5 (Militant Democracy); the comments under Article 21 GG in the Sourcebook, Chapter 2; Chapter XVII, Note 32. For a useful summary of constitutional principles, which are regarded as fundamental in Germany, see 92(ii) StGB. Regarding the current international position of the Bund and, in particular, the relationship between German, European Community and (other) public international law see Stein, Part IX, 3839; Katz, Part II, 6 IV; Articles 2327 GG; the comments under Article 23 GG in the Sourcebook, Chapter 2; Note 34, below. See also: Kommers, Part II, Chapter 3 (German Federalism and the European Union (3.10 The Maastricht Case (1993)) and Part II, Chapter 4 (Executive-Legislative Tensions in Foreign and Military Affairs). Regarding competence and procedure in the conclusion of treaties see Seidl-Hohenveldern, Section II, Chapter 2 (1617). The Zustimmungsgesetz is sometimes also called the Ratifizierungsgesetz (ratification law): see Battis/Gusy, Part A, 2 II (4243). Cf an implementing law (see next Note). A In this respect, the position in Germany and England is the same. In theory, for example, the European Convention on Human Rights (Europische Menschenrechtskonvention) of 4.11.1950, the EEC Treaty of 27.3.1957 and the Maastricht Treaty on European Union (Maastricht-Vertrag) of 7.2.1992 could all be repealed. However, there remain vital differences: In Germany, treaties are incorporated into the German legal order in their original form ie, they are integrated (eingeordnet) as such in the hierarchy of norms. To use Hartleys phrase (Chapter 7, page 198), there is assent (as distinct from enactment). Implementing laws (Ausfhrungsgesetze) only deal with ancillary matters (eg, questions of procedure) and thereby ensure the smooth functioning of the treaty. In England, treaties only become valid (and applicable) within the (national) legal order in so far as a special, incorporating Act of Parliament permits (sovereignty of Parliament!). International norms are replaced by national ones. Whatever system is adopted, it is crucial that a treaty is incorporated in its agreed, authentic text and that the will of its authors is reflected accurately. Linguistic tampering must be kept to a minimum. Under the English method, there is additionally always the risk that, quite apart from the treaty itself, the words of the incorporating Act of Parliament can give rise to ambiguity and uncertainty. See Seidl-Hohenveldern, Section II, Chapter 8, 41 C III; Verdross/Simma, Part III, Chapter 5, Sections 13. The English judiciarys orthodox (dualist) position towards international treaties was stated as recently as 1990 by Lord Oliver in the House of Lords (The International Tin Council Case [1990] 2 AC 418, p 500): A treaty is not part of English law until it has been incorporated into the law by legislation It is outside the purview of the court (ie, unenforceable) not only because it is made in the conduct of
25 26
27 28 29 30
31
32 33 34
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foreign relations, which are a prerogative of the Crown, but also because as a source of rights and obligations, it is irrelevant. C In the United Kingdom, (supra-national) European Community law always prevails until such time as an intentional and express repudiation of the EEC Treaty is passed by Parliament: MacCarthys Ltd v Smith ([1979] 3 All ER 325, p 329, per Lord Denning MR). Moreover, despite the (apparently insurmountable) difficulties in entrenching legislation in Britain, the incorporation or the European Convention on Human Rights into UK law is evidence of a shift of position in the United Kingdom towards European legal principles. It is to be welcomed as a further step in assuaging opposition to, and facilitating, European cooperation. Similar tactical factors played a part in the framing of the 10 Amendments to the US Constitution (the US Bill of Rights) in 1791. See Hartley, Part III, Chapter 8 (The National Reaction); Loveland, Chapters 1, 2 and 14 IV; Chapter XVI, Note 3; Chapter XXI. Article 25 GG only grants precedence to the general rules of public international law (ie, those observed by the majority of states in the world), not supra-national or regional law. For examples, see Jarass/Pieroth, Art. 25,2(b). If a court has any doubt whether a rule of public international law forms part of federal law, it must refer the question to the federal constitutional court: Article 100(ii) GG. Regarding the relationship of public international law and national law and the primacy (Vorrang) of the former (ie, the monism / dualism debate) see Seidl-Hohenveldern, Section II, Chapter 8 ( 4041); Hartley, Part III, Chapter 7 (The First Requirement); Youngs (CL), Chapter 1, Part VII.
35
CHAPTER III
1 See Baumann (ER), Part IV, 13 II 2; Creifelds under Organe der BRep, Verfassungsorgane and Zweikammersystem; Wesel (FR), Chapter 2 (Die Obersten Staatsorgane); Model/Creifelds/ Lichtenberger, Part I D III (5862); Hesse, Part III, Section 3 ( 1519); Katz, Part IV, 1519; Maunz/Zippelius, Section 5, 3034; Schunck/De Clerck; Part II, Section A, Chapters 1115. In Germany, the Federal Government is appointed by the Federal Parliament (parliamentary democracy). Cf USA (presidential democracy). See Wesel (FR), Chapter 2 (Parlamentarische Demokratie). See also: Creifelds under Gesetzgebende Gewalt, PrZsidialdemokratie and Staatsoberhaupt; Kommers, Part II, Chapter 5 (Parliamentary Democracy). The Bundesrat is a (perpetual) organ of the Bund (ie, a federal organ) and not a joint organ of the Lnder: see Battis/Gusy, Part A, 4 2. Unlike the Bundestag, the Bundesrat is not directly elected and has no set term of office. The constitution of the Bundesrat is dealt with in Article 51 GG: the members of the Bundesrat are appointed by the governments (not parliaments!) of the Lnder; each Land has a certain number of votes (Stimmen) in the Bundesrat, depending on the number of its inhabitants (Einiwhner); the votes of each Land must be cast unanimously (einheitlich). By Article 53 GG, the Federal Government is entitled (and, on request, obliged) to take part in the meetings of the Bundesrat and its committees (Ausschsse). The Federal Government has a right to be heard at all times (jederzeit) and must keep the Bundesrat regularly informed regarding its business. Similarly, the Federal Government (and members of the Bundesrat) also have access to all meetings of the Bundestag and its committees: Article 43(ii) GG. The rights of involvement of the Bundesrat in the federal legislative procedure place the Bundesrat in a strong and influential position. See Articles 7678 GG; Kommers, Part II, Chapter 3 (Powers of the Bundesrat3.8 The Bundesrat Case (1975)); Zustimmungsgesetz. The Federal Assembly is responsible for the election of the Federal President every five years: Article 54 GG. See Chapter VII C, below; Kommers, Part I, Chapter 1 (The Federal Constitutional Court); Wesel (FR), Chapter 2 (Der Hitter der Verfassung); the comments above Article 93 GG in the Sourcebook, Chapter 2.
4 5
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CHAPTER IV
1 2 See Katz, Part IV, 21 V; Chapter II C; Chapter XIV A. Eg, the Bundesaufsichtsamt fr das Kreditwesen (Federal Supervisory Office for the Credit System), the Bundesbank (Federal Bank), the Bundesanstalt fr Arbeit (Federal Office of Employment), the Bundeskartellamt (Federal Cartel Office) and the Kraftfahrt-Bundesamt (Federal Motor Vehicle Office). The status of the Bundesbank as a bundesunmittelbare juristische Person des ffentlichen Rechts is something of a misnomer, since it is an independent body and not subject to control/direction by the Federal Government in the exercise of its functions. However, the Bundesbank must support the general economic policy of the Government and it has a duty of consultation. See 1213 BBankG. A list of the most important Bundesoberbehorden was formerly printed as an appendix to the GG in Sartorius I. They have varying degrees of (legal) independence. See also: Creifelds under Bundesanstalt, Bundesoberbehorden and Mittelbare Staatsverwaltung. Bundesauftragsverwaltung is also indirect state administration. See Chapter V, Note 7. For the structure of federal authorities see Creifelds under Verwaltungsbehrden 1: Bundesbehrden. See also: Katz, Part IV, 21; Model/Creifelds/Lichtenberger, Part I E (91110).
CHAPTER V
1 The steps on the route to reunification between 9.11.1989 and 3.10.1990 are set out chronologically in Katz, Part II, 6 III. Amongst the various treaties (of public international law) signed during that period, the following should be mentioned here: the Vertrag ber die Schaffung einer Whrunvs- Wirtschafts- und Sozialunion (Treaty regarding the creation of a currency, economic and social union), the so-called Staatsvertrag (State Treaty) of 18.5.1990; the Vertrag ber die Herstellung der Einheit Deutschlands (Treaty regarding the establishment of the unity of Germany), the so-called Einigungsvertrag (Treaty of Union) of 31.8.1990. The main purpose of the Einigungsvertrag was to achieve the harmonisation of law (Rechtsangleichung) between East and West German; the Vertrag ber die Abschlieende Regelung in bezug auf Deutschland (Treaty of final settlement regarding Germany), the so-called Two-Plus-Four Treaty of 12.9.1990. The Two-Plus-Four Treaty dealt with the public international law aspects of reunification and was signed in Moscow by East and West Germany, the United States, France, the United Kingdom and the Soviet Union. It terminated the rights of the four powers over Germany and thereby superceded the former so-called Deutschlandvertrag (Germany Treaty) of 26.5.1952 between West Germany and the three allies. The TwoPlus-Four Treaty restored full sovereignty to Germany as a whole (Article 7). See Creifelds under Abschlietende Regelung in bezug auf Deutschland and Einigungsvertrag; ChapterII H. See Chapter II, Note 20. Regarding the constitutions of the Lnder, see Schunck / De Clerck, Part II, Section B. Despite the homogeneity clause, the Lnder have a significant degree of procedural flexibility. See Kommers, Part II. Chapter 3 (Division of PowersState Government and the Principle of Homogeneity (The Startbahn West Case (1982)). See Chapter VII C. The presumption in favour of the competence of the Lnder also extends to the passing of laws (legislation; Article 70 GG). See Chapter II B. In accordance with the subsidiarity principle (Subsidiarittsprinzip), the presumption comes into play whenever, in the subject-area/matter (Sachgebiet /Materie) concerned, there is no express allocation (Zuweisung) in the Basic Law itself of the relevant function to the Bund. Even if the Bund has (federal) legislative competence, the Lnder are presumed to remain responsible for administration. Thus, although the Bund has (federal) power to grant the Lnder financial aid (Finanzhilfe) for particular investments (Article 104a (iv) GG), this cannot impair the freedom of decision of the Lnder regarding the carrying out of their own duties. See Kommers, Part II, Chapter 3 (3.7 The Financial Subsidies Case (1975)). In certain limited situations, the Bund has unwritten (implied) legislative power ( ungeschriebene Gesetzgebungszustndigkeit) ie:
2 3 4
5 6
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Notes
where there is a substantive connection (Sachzusammenhang) between the matters to be regulated; where there is a so-called annexe competence (Annexkompetenz); or because of the (intrinsic) nature of the matter (kraft Natur der Sache). See Chapter II, Note 3; Hesse, Part II, 7 II; Katz, Part III, 12 III; Part IV, 20 II and 21 II. See Chapter II C and Chapter XIV A. Implementation of federal laws im Auftrage des Bundes (on instruction by (on behalf of) the Bund) is dealt with in Article 85 GG. The supreme federal authorities then have a right of direction (Weisungsrecht) vis vis the authorities of the Lnder. The Weisungsrecht is also of importance in the context of state supervision (Staatsaufsicht) over local authorities and other public corporations and institutions. See Creifelds under Weisungsrecht; Chapter VI, Note 11; Kommers, Part II, Chapter 3 (3.5 The Kalkar II Case (1990)). See Scholler, 2 VI (diagrams 6 and 7). 9 For further information regarding the Lnder, their respective organs and authorities, see Model/Creifelds/ Lichtenberger, Part I, Sections F and G (114140); Creifelds under Lnder and under Verwaltungsbehrden 2: Landesbehorden.
CHAPTER VI
1 See Creifelds under Kreis and Gemeinde. Scholler ( 2 II) defines Kreise as Zusammenschlsse der im Kreisgebiet bestehenden (kreisangehrigen) Gemeinden. A Gemeindebezirk is part of a Gemeinde. In England, its counterpart is a borough. See Creifelds under Gemeindebezirk. The term Gemeindeverband (Gemeinde association) is used to describe a conglomeration of territorial corporations above Gemeinden, eg, Kreise and so-called Gesamtgemeinden. See Creifelds under Kommunalverbnde. Cf Zweckverband. Katz ( 4 VI) defines the EU (EEC) as a Zweckverband souverner Nationalstaaten. See Maurer, Part 6, 2315; Schmidt-Amann, Section I; Stober, 7 III (c). See Creifelds under kreisfreie Stdte. They are Landesgesetze: see Creifelds under Landkreisordnungen and Gemeindeordnungen. This institutional autonomy is protected by the right of local authorities to lodge a constitutional complaint (Article 93(i) No 4b GG). The state is not allowed to infringe the essence (Wesensgehalt) of communal autonomylocal government retains an area of core functions (Kernbereich). See Kommers, Part II, Chapter 3 (Local Self-Government); Stober, 3 II and IV. Such functions include: town planning (Stadtplanung); promotion of the local economy (Wirtschaftsfrderung); Zmaintenance of public savings banks (Sparkassen); provision of social support (Sozialhilfe); responsibility for youth welfare (Jugendhilfe); local transport (Verkehr); supply of energy (Versorgung mit Energie); disposal of refuse (Entsorgung von Abfall); protection of the environment (ZUmweltschutz); service of local needs in the fields of education (Bildung), culture (Kultur) and sport. See Stober, 6 II. Private firms in competition with Gemeinden, which engage in commercial activity (wirtschaftliche Bettigung), are traditionally in a weak position: see Stober, 11IV. The Gemeinden are free to decide upon the form of ffentliche Einrichtungen. A particular sub-category is the Anstalt (institution). See Stober ( 6 III), who refers to ffentliche Einrichtungen as a key concept (Schlsselbegriff) of local Daseinsvorsorge. See also Chapter II C.
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7 In reality, however, the functions of the Gemeinden (and the Kreise) are not only voluntary (freiwillige Aufgaben), but often compulsory (Pflichtaufgaben): see Maurer, Part 6, 23 I 3 and 5 (a). Functions may also be allocated to them: see below. See Creifelds under Satzung and Satzungsgewalt (-befugnis); Erichsen, Part II, 7 VI; Scholler, 6; Stober, 8. Cf Gesetz. Regarding the possible types of local government constitution in Germany (eg, the Norddeutsche Ratsverfassung, the Sddeutsche Ratsverfassung and the Magistratsverfassung ), see Creifelds under Gemeindeverfossung; Stober, 2. See Creifelds under Kreistag and Landrat. If functions are allocated to a local authority, the states power of supervision extends not only to questions of the legality (Gesetzmigkeit) of particular actions (so-called Rechtsaufsicht), but also to questions of their appropriateness (ie, to the exercise of the local authoritys discretion; so-called Fachaufsicht). See Creifelds under Staatsaufsicht; Scholler, 12; Chapter V, Note 7; Stober, 12. See generally: Creifelds under Kommunen and Kommunalrecht; Maurer, Part 6, 22 II and 23 I; Scholler, 2 II, 2 VI (diagrams 6 and 7) and 3 VI.
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CHAPTER VII
1 Regarding the Grundgesetz generally see, for example: Battis/Gusy, 1 II; Hesse, Part I, 3; Katz, Part II, 6; Kommers, Part I, Chapter 2 (Structure and Principles); Wesel (FR), Chapter 2 (Das Banner Grundgesetz); Youngs (CL), Chapter 1. These Articles are arranged in the Sourcebook (Chapter 2) as follows: Article 20. Political parties (Article 21). Flag (Article 22). International relations (Articles 2327). The states (Articles 2831). External relations (Article 32). Citizens rights (Article 33). Officials and authorities (Articles 3436). Coercion by the Bund (Article 37). These Articles are arranged in the Sourcebook (Chapter 2) as follows: Legislative powers and procedure (Articles 7078). Altering the constitution (Article 79). Regulations (Article 80). Special cases (Articles 80a-81). Coming into force (Article 82). These Articles are arranged in the Sourcebook (Chapter 2) as follows: The courts (Article 92). The Federal Constitutional Court (Articles 9394). The federal courts (Articles 9596). Judges (Articles 9798). Constitutional issues (Articles 99100). Special courts (Article 101). Criminal law and the right to be heard (Articles 102103). Freedom (Article 104). Regarding the judicature see, for example, Katz, Part IV, 23; Maunz/Zippelius, Section 5, 35. For a survey of the financial order (Finanzordnung) in Germany see Katz (Part IV, 22), who describes it as a cornerstone of the federal system (Ecksetein des fderativen Systems); Maunz/Zippelius, Section 6, 42; Schunck/De Clerck, Part II, Section A, Chapter 20. Sections VIIIa (Articles 91a-91b) and Xa (Articles 115al) of the Basic Law deal with, respectively, joint matters (Gemeinschaftsaufgaben) in which there is cooperation (Mitwirkung) by the Bund and matters of national defence (the Verteidigungsfall (defence situation)).
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7 Regarding the hierarchy of norms in Germany see Battis/ Gusy, Part A, 6 II 3; Katz, Part I, 1 III; Chapter XIV A. Regarding constitutional interpretation, its limits and the principle of verfassungskonforme Auslegung see Hesse, Part I, 2; Katz, Part II, 5IV; Kommers, Part I, Chapter 2 (Constitutional Interpretation). Regarding (specifically) interpretation of the basic rights see Bleckmann II, 8; Katz, Part V, 24 IV. Regarding the validity and legality of a VA, see Chapter XIV C 3. Unless and until it is withdrawn, revoked, annulled or has otherwise been dealt with, a VA remains valid, even if it is illegal ( 43(ii) VwVfG). However, an illegal norm is usually void: see Schwerdtfeger, Part 2, 5 II 3(c). Regarding the validity of norms, see generally Schwerdtfeger, Part 5 ( 2328). Regarding the various methods of norm-control, see Section C, below and Maunz/Zippelius, Section 6, 41 IV Norm-control forms part of the broader right of judicial review (the richterliches Prfungsrecht). Its historical antecedent in Germany is constitutional review. See Kommers, Part I, Chapter 1 (Origin). In England, judicial review is a particular remedy in administrative law and has no constitutional connotation (although this may change, following incorporation of the European Convention on Human Rights into English law). Whereas access to the administrative courts is available pursuant to a general clause ( 40(i) VwGO), the categories of case in which the constitutional courts have jurisdiction are precisely specified (Enumerationsprinzip (enumeration principle)); a matter not falling within a particular category is unzulssig (inadmissible). Cf Chapter XV C (Note 10) and see Creifelds under Verfassungsstreitigkeiten (a)(n); Kommers, Part I, Chapter 1 (Jurisdiction); Model/Creifelds/Lichtenberger, Part I D IV (7274). In Baden-Wrttemberg, Bremen, Hessen and Niedersachsen, the constitutional court of the Land is called the Staatsgerichtshof. See also Creifelds under Verfassungswidrigkeit von Gesetzen. Another name for the konkrete Normkontrolle is the Vorlageverfahren (reference procedure). It is a form of compulsory judicial review. The court must only refer, if: it is convinced that the relevant norm is unconstitutional (ie, void or incompatible with the relevant constitution); no verfassungskonforme Auslegung of the norm is possible (ie, it cannot be interpreted in conformity with the relevant constitution); and the validity (Gltigkeit) of the relevant norm is vital to the courts decision (entscheidungserheblich). If the matter is referred to the constitutional court, the proceedings must be stayed. See Jarass/Pieroth, Article 100, I; Chapter XIII, Note 71. The incidental decision of a court is merely binding on the parties: cf 121 VwGO and 322 ZPO. A norm below a Landesgesetz (state statute) can also be challenged in the OVG under 47 VwGO (the socalled norm-control procedure (Normkontrollverfahren): see Chapter XV A. If the OVG declares the norm void, its decision is of general effect (allgemein verbindlich: 47(vi), 2nd sentence VwGO). See Gallwas, Chapter 12 (12.1.3 and 12.1.4). Similarly, to avoid duplication of proceedings (Doppelprozess), courts of all jurisdictions can decide (other, non-constitutional) preliminary questions (Vorfragen)eg, the interpretation of European Union law incidentally themselves. See Schmitt Glaeser, Part I, 2 II C 5; Chapter XIII, Note 70. 90(ii), 2nd sentence BVerfGG contains an exception to the usual requirement of the exhaustion of normal legal channels (Erschpfung des Rechtswegs): the Federal Constitutional Court can hear a constitutional complaint immediately, if it is of general importance or if a severe and unavoidable disadvantage would accrue to the complainant, if the complainant were referred in the first instance to ordinary legal proceedings. See The Investment Aid Act Case (Sourcebook, Chapter 3). See Maunz/Zippelius, Section 6, 41 V; the comments under Article 93 GG in die Sourcebook, Chapter 2. A constitutional complaint is an extraordinary, final and subsidiary legal remedy (Rechtsbehelf). It is not a substitute for any appellate remedies (Rechtsmittel), which might be available under the relevant procedural code. See the article by Holger Zuck in ZAP 8/95, Fach 19, p 305.
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Where a court decision is involved, Zuck recommends that, if it is uncertain whether a particular procedural Rechtsmittel is absolutely hopeless (vllig aussichtslos) or is clearly inadmissible (offensichtlich unzulssig), one should lodge a constitutional complaint on a precautionary basis (vorsorglich) parallel to the relevant procedural remedy. If the procedural remedy proves unsuccessful, a further complaint can later DC lodged against that (second) decision. The address of the Federal Constitutional Court is: Bundesverfussungsgericht, Schlobezirk 3, 76133 Karlsruhe. 16 Not every wrong decision by a court or wrong application of the law justifies a constitutional complaint. There must be an element of arbitrariness (Willkr), ie, the court must have fundamentally failed to appreciate or deliberately ignored the importance and influence of the basic rights in the relevant case. B Before accepting a constitutional complaint for decision, the Federal Constitutional Court conducts a preliminary examination (Vorprfungsverfahren). Most complaints founder at this hurdle. There are only two grounds for acceptance ( 93a (ii) BVerfGG): either (a) the complaint concerns a matter of fundamental constitutional importance; or (b) acceptance is expedient in order to give effect to one of the (basic) rights within 90(i) BVerfGG, eg, the complainant would suffer a particularly serious disadvantage (besonders schwerer Nachtein), if the court declined to decide the matter. In other words, the relevant infringement of basic rights must be weighty (gewichtig) or affect the complainant detrimentally in an existential manner. See the article by Holger Zuck in ZAP 8/95, Fach 19, p 305. C Where a provision in a statute (Gesetz) requires a particular act of implementation (Vollzugsakt) by the executive, a complaint against the statutory provision itself can only be brought before the Federal Constitutional Court exceptionally (ausnahmsweise). The complainant must usually wait for the implementing measure and thenin accordance with the subsidiarity principle (Subsidiarittsprinzip)(first) challenge it in the administrative court, since it is only at the stage of the implementing act that the complainant can allege that he is directly affected (unmittelbar betroffen) and that the implementing act amounts to an attack (Eingriff) on his legal sphere (Rechtssphre). See Kriele, Fall 19 (the Voikszhlung (public census) decision of the Federal Constitutional Court of 15.12.1983; Aus den Grnden: B); the decision of the Federal Constitutional Court of 21.6.1996 regarding Rechtschreibreform (reform of written German) (ZAP-Aktuell, 10.7.1996, p 632). Within the context of the European Community, the subsidiarity principle has been elevated by the Maastricht Treaty on European Union (and subsequently by Article 23 GG) to the level of a binding legal principle. See Kommers, Part II, Chapter 3 (German Federalism and the European Union (3.10 The Maastricht Case (1993)). As, for example, in Kriele, Fall 3 (the Lth/Harlan decision of the Federal Constitutional Court of 15.1.1958; also referred to in Chapter VIII, Notes 7 and 12, below). As, for example, in Kriele, Fall 4 (the Apotheken (chemists) decision of the Federal Constitutional Court of 11.6.1958). See the comments in connection with that case under Article 12 GG in the Sourcebook, Chapter 3. Alternatively, the Federal Constitutional Court can declare the (provision in the) statute compatible (vereinbar) or incompatible (unvereinbar) with the Basic Law. See 31(ii) BVerfGG; Battis/Gusy, 7 V (305); Kommers, Part I, Chapter 2 (Judicial Review in OperationForm and Effect of Decisions); and the following cases: Kriele, Fall 18 (Naauskiesung (wet gravelling)). In connection with that decision, also referred to as The Groundwater Case (1981) (Kommers 6.4), see the comments on expropriation (Enteignung) under Article 14(iii) GG in the Sourcebook, Chapter 3. Kriele, Fall 11 (Numerus clausus). A numerus clausus (fixed number) of university admissions may be incompatible with the Basic Law. Training (Ausbildung) is the first stage to the exercise of a profession (Beru/sausbung) under Article 12(i) GG. See also Chapter VIII, Note 6. The Housework Day Case (Sourcebook, Chapter 3). An Organstreit can also be initiated by a parliamentary grouping (Fraktion) or political party. See Hesse, Part III, Section 3, 19 II 2. For the application to be admissible, the applicant must allege that a measure or omission of the other party injures its rights and obligations under the Basic Law or that it is directly endangered by it: 64(i) BVerfGG. A
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19
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A measure includes a Federal Government decision (Beschlu der Bundesregierung): see The Bosnia Flight Exclusion Zone Case (Sourcebook, Chapter 2). See Maunz/Zippelius, Section 6, 41 III; Youngs (CL), Chapter 1, Part XVI3.
20
CHAPTER VIII
1 2 Regarding the nature of the basic rights, the entitlement to claim them and their effect see the Sourcebook, Chapter 3 (Introduction); Youngs (CL), Chapter 4, Part I, Sections A-C In the Basic Law, the structural principles of state follow the basic rights and commence in Article 20. This is a reaction to the crimes of the Nazi period and should be compared with the position under the constitution of the Weimar Republic and the so-called Paulskirche Verfassung. See Wesel (FR), Chapter 2 (Menschenrechte) and Chapter II, Note 5, above. Basic rights must be distinguished from statutory provisions, which merely set out a state programme or aim (so-called Programmtze or Staatszielbestimmunge). In turn, these are also to be distinguished from one another: the former are informal statements of intention, while the latter are legally binding. Both, however, are a form of political signpost. See Katz, Part III, 7 and Part V, 251: Freedom rights typically comprise the following elements: a guaranteed area (Gewhrleistungsbereich); an area setting out limits (Vorbehaltsbereich). Such limits can be: general (eg, Articles 2(i) and 8(ii) GG); qualified / specific (eg, Articles 5(ii) and 9(ii) GG); or omitted (eg, Articles 4(i),5(iii) and 8(i)GG); rules themselves laying down limits to those limits (SchrankenSchranken). See Battis/Gusy, Part B, 12 II; Bleckmann II, 5; Gallwas, Chapters 3 and 4; Katz, Part V, 26; Limitation of Basic Rights, below. The legislature can concretise institutional guarantees, provided their essential structure (wesentliche Struktur/ Wesensgehalt) is not infringed. However, institutional guarantees do not bestow individual rights as such. They provide less protection. There is a school of thought that institutional guarantees should be used as a means of dealing with social problems (viz asylum). Whether this will be successful is doubtful. See Battis/Gusy, Part B, 9; Bleckmann II, 11 (Die Funktionen der Grundrechte); Katz, Part V, 25 II; Kommers, Part I, Chapter 2 (Constitutional InterpretationAn Objective Order of Values); The Film Director Case (Lth/Harlan) (Sourcebook, Chapter 6). This is achieved by an Umdeutung (fresh interpretation) of the basic rights, eg, of Article 3(i) GG. See Bleckmann II, 11 II. Leistungsrechte can be enforced by the administrative courts, ie, they are einklagbaf. See Wesel (FR), Chapter 5, which deals with the distinction between Eingnffsverwaltung and Leistungsverwaltung (Daseinsvorsorge), a distinction first drawn in 1938 by Ernst Forsthoff in his book Die Verwaltung als Leistungstrger. By way of example, Wesel draws attention to a case decided by the Federal Administrative Court in 1954 (BVerwGE 1,159; Frsorgeuntersttzung (welfare support)). See also Chapter II, Note 12 and Chapter X, Note 21. In the Numerus clausus case Leistungsrechte were referred to as Teilhaberechte (rights to participate (in state services)). See Chapter VII, Note 18. A See Battis/Gusy, Part B, 10 II; Hesse, Part II, Section 1, 11 II; Kommers, Part I, Chapter 2 (Constitutional InterpretationTheory of Basic Rights); Kriele, Fall 3 (Lth/Harlan; Aus den Grnden: BII14). Particularly instructive is Gallwas (Chapter 6): (i) The process of balancing (Abwgung; see Notes 10 and 20 B, below) enables a collision between (private) interests to be resolved. (ii) The starting point in the process is the states duty of care and protection (Achtungs- und Schutzpflicht) not only for the interests of society as a whole, out also for those of each individual. (iii) Even though a dispute between private persons may be influenced by basic rights, it remains (materially and procedurally) a civil law dispute (brgerlicher Rechtsstreit).
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(iv) A person entitled to a basic right may be the target of a private law daim (privatrechtlicher Anspruch) or he may (in the first instance) want to use private law as a sword to protect himself against an infringement. B For examples of the indirect (secondary) effect of basic rights in cases involving claims for tort see the Sourcebook, Chapter 6: The Publication of a Letter Case; The Newspaper Delivery Obstruction Case; and The Film Director Case. In the first case, Articles 1 and 2 GG played a part; in the second, Articles 5 and 8 GG were considered, whilst in the third, Article 5 was decisive. In The Film Director Case the basic rights were vividly described as having an Ausstrahlungswirkung (radiation effect) on private law. However, their influence extends to all areas of law. See the Sourcebook, pages 440 and 444; Youngs (CL), Chapter 4, Part I, Section C 3. Thus, for example, Article 5(i) GG (freedom of speech) can be invoked not only in the context of civil law provisions (eg, 823, 826 and 1004 BGB), but also against administrative acts and criminal convictions (eg, 130,185ff StGB). See Kommers, Part III, Chapter 8 (Freedom of Expression: Guiding Principles) and the following cases: The Film Director (Lth) Case (1958) (Kommers 8.1); The Schmid-Spiegel Case (1961) (Kommers 8.2); The Blinkfer Case (1969) (Kommers 8.3); The Campaign Slur Case (1982) (Kommers 8.4); The Holocaust Denial Case (1994) (Kommers 8.5); The Tucholsky Cases (I/II) (1994/5) (Kommers 8.6). The Tucholsky cases demonstrate the particular difficulty which Germans seem to have in handling ambiguous phraseology (soldiers are murderers)ie, should it be classified as (protected) opinion/ criticism, insult or fact?and the need to keep everyday German and German legal language distinct. See Notes 20 and 26 in this Chapter; Chapter XVI, Note 35; Kommers, Part III, Chapter 8 (The seminal character of Lth). See Bleckmann II, 9 and 10; Katz, Part V, 27. The carrier of a basic right is a person entitled to claim its benefit, while the addressee of a basic right is a person bound by it. See Note 4, above; Bleckmann II, 12; the Sourcebook, Chapter 3 (Limitations on the Basic Rights); Katz, Part V, 2829; Youngs (CL), Chapter 4, Part I, Section D. As in Kriele, Fall 8 (the Mephisto (Grndgens/Mann) decision of the Federal Constitutional Court of 24.2.1971; Aus den Grnden C IV). See Battis/Gusy Part B, 12 II 4. Regarding the process of Abwgung (balancing), which had to be carried out by the Federal Constitutional Court in the context of an application for an einstweilige Anordnung (temporary order) under 32 BVerfGG, see The Bosnia Flight Exclusion Zone Case and The East German Politicians Trial Publicity Cases in the Sourcebook, Chapters 2 and 3. The question of a conflict (collision) between the basic rights of different Grundrechtstrger (= Grundrechtskollision) is to be distinguished from the situation where there is concurrence of various basic rights (=Grundrechtskonkurrenz), ie, where the conduct of one and the same person falls within the ambit of more than one basic right. The issue in both cases is the same: Which basic right takes precedence (is stronger)? However, the problem is resolved in different ways: in the former situation, there is a Gterabwgung, while in the latter the principle of the maximum efficiency of (all) basic rights (Grundsatz der maximalen Grundrechtseffektivitt) is applied. See Bleckmann II, 14; Katz, Part V, 24 IV. See Battis/Gusy, Part B, 12 III; Gallwas, Chapter 3 (3.4). As in The Film Director Case (Sourcebook, Chapter 6; Kriele, Fall 3 (Lth/Harlan; Aus den Grnden: B II 2)). Together with Article 19(i) GG, Article 19(ii) GG protects basic rights against inner erosion (Aushhlung) through Gesetzesvorbehalte. See Hesse, Part III, Section 1, 10 IV 1. In the context of die development of the European Union, the possible emptying (Entleerung) of basic
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rights was a preliminary issue in The Maastricht Case. It remains a potential danger and should be taken seriously. The status and content of the Verhltnismigkeitsgrundsatz (principle of proportionality) are explained in the Sourcebook, Chapter 3. Application of the principle is also illustrated by The Arrested Admiral Case (rules about arrest) and The Shootings at the Berlin Wall Case (law of the former DDR; Sourcebook, Chapter 7). See also: Battis/Gusy, Part B, 12 III 3 and 4; Creifelds under bermaverbo; Chapter II, Note 24; Chapter XIV, Note 31; Kommers, Part I, Chapter 2 (Constitutional InterpretationProportionality); Youngs (CL), Chapter 4, Part I, Section E. The legislature can, by Gesetz, empower the executive (government or ministers) to issue a Rechtsverordnung (statutory instrument). However, in accordance with the Rechtsstaat principle (Gesetzmigkeit der Verwaltung), the Gesetz must specify the content, purpose and extent of the authorisation (Inhalt, Zweck und Ausma der Ermchtigung) and it must be stated in the Rechtsverordnung itself upon what legal basis (Rechtsgrundlage) it is being issued: Article 80(i) GG. See Creifelds under Rechtsverordnung and Wesentlichkeitsvrinzip; Katz, Part IV, 20 IV; Kommers, Part I, Chapter 4 (Delegation of Legislative Power). See also the comments under Article 80 GG in the Sourcebook, Chapter 2 and Zustimmungsgesetz. See, for example, Katz, Part V, 30. See also the Sourcebook, Chapter 3 (The Basic Rights Themselves), where, successively, Articles 13, 614 and 1519 GG are treated. Although Article 93(i) No 4a GG refers to specific (basic) rights and is in this respect narrower than the Rechtsschutzgarantie, it includes acts of the legislature and the judiciary. The term ffentliche Gewalt in Article 93(i) No 4a GG is, therefore, wider than in Article 19(iv) GG. The Justizgewhrungsanspruch includes a right to effective legal protection (effektiver Rechtsschutz), a fair hearing (faires Verfahren) and a right to be heard (rechthches GehZ): Article 103(i) GG and Article 6 EuMRK. Although by 184 GVG the court language is German, 185 GVG obliges the court to provide an interpreter (Dolmetscher), if a person, who does not have command of German (der deutschen Sprache nicht mchtig), is involved in a hearing. In criminal proceedings, a person charged has the right to receive a translation (bersetzung) of the bill of indictment (Anklageschrift): Article 6(iii)a EuMRK. Moreover, the final submissions and applications of the prosecution and defence must be explained to the accused by the interpreter: 259(i)StPO. In civil matters, the submission of a translation of an Urkunde (document) by an authorised translator (ermchtigter bersetzer) can be ordered: 142(iii) ZPO. Indeed, the fundamental prohibition of discrimination on linguistic grounds codified in Article 14 EuMRK and Article 3(iii) GG should justify the provision of a translation of important written items into or out of a foreign language (Fremdsprache) by a court of its own motion (von Amts wegen)ie, from public fundsif a foreigner can show that his financial plight (finanzielle Notlage) is such that he is unable to provide them himself. See Geimer, Part 5 and Part 10 X; Jarass/Pieroth, Article 20, D VI and Article 103, AIV 2; Katz, Part V, 25 II 5; Schack, 12 VIII (Sprachprobleme); Note 36 in this Chapter; Chapter XVII, Note 29. See Kommers, Part III, Chapter 7 (The Dignity of Persons). A Article 2(i) GG guarantees a comprehensive basic right of general freedom of action (allgemeine Handlungsfreiheit). It has three limits (Schranken): the rights of others (die Rechte anderer); the constitutional order (Zdie verfassungsmafiige Ordnung); the moral code (das Sittengesetz). The constitutional order is, for practical purposes, the most important limit. It comprises every statute (Gesetz), which is formally and materially in conformity with the constitution. Article 2(i) GG is an Auffanggrundrecht ie, it springs in on a subsidiary basis, if there is no ascertainable infringement of the protected area of another (more) specific freedom right (Spezialfreuieitsrecht). B The judiciary has derived a general right of personality (allgemeines Persnlichkeitsrecht) (privacy) from the rights enshrined in Articles 1(i) and 2(i) GG. It provides protection to valuable aspects / qualities/ attributes (Eigenschaften) of the human personality (Persnlichkeitsgter) not already protected elsewhere (eg, by 823(i) BGB) and forms a final barrier against the erosion/penetration of privacy in the personal domain. The right has constitutional rank and includes a right to informational self-determination (informationelle Selbstbestimmung).
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In the event of a conflict between a persons own sphere of personality igensphre der Persnlichkei) and the legitimate interests of others, it must (again) be resolved by balancing (Abwgung). Thus, for example, the allgemeines Persnlichkeitsrecht affords protection against the unauthorized transmission of confidential data and the distorted reproduction of private correspondence: see The Publication of a Letter Case (Sourcebook, Chapter 6; the right was first recognized in this case (1954)). It also covers a damaging comment (schdigende Bemerkung) or statement of opinion (Meinungsuerung). . Intentional defamation can be the subject of criminal prosecution for Beleidigung (insult; 185 StGB). The allgemeines Persnlichkeitsrecht is treated as a sonstiges Recht (other (absolute) right) under 823(i) BGB. It is a framework right (Rahmenrecht) and supplements the special personality rights (besondere Persnlichkeitsrechte) expressly mentioned in 823(i) BGB ana in other statutory provisions (eg, the right to ones name ( 12 BGB) and the right to ones picture ( 22ff KUG)). The following remedies can be claimed for an unlawful and blameworthy infringement (Verletzung) of the allgemeines Persnlichkeitsrecht: damages (Schadensersatz) for financial loss ( 823(i)/ (ii) or 826 BGB); damages for (immaterial) pain and suffering (Schmerzensgeld), if the breach is particularly serious ( 847 BGB analogously); disposal of the impairment (Beseitigung der Bedntrachtigung) as appropriate, eg, by way of retraction (Widerruf) ( 1004 BGB analogously); restraint (Unterlassung) for the future (1004 BGB analogously). Provisional legal protection (vorlufiger Rechtsschutz) by way of injunction (einstweilige Verfgung) is possible. See Schuschke, ZAP 9/2000, Fach 14, p 361. Apart from these (civil) remedies, a defamatory statement of opinion or fact can also be the subject of a criminal prosecution as Beleidigung (insult): 185ff StGB. However, an application for prosecution (Strafantrag) must usually be lodged: 194 StGB. See Chapter XVI, Note 35. If a statement of fact in a printed publication (Druckschrift) is involved, the press laws (Pressegesetze) of the Lnder provide for a right to the printing of a response/correction (Gegendarstellung/ Berichtigun). The civil and criminal law also make available sanctions for dissemination of certain types of untrue factual statements: see 824 BGB (Kreditgefhrdung (harm to financial status)), 164 StGB (falsche Verdchtigung (false suspicion)) and 186187 StGB (zble Nachrede (offensive gossip) and Verkumdung ((malicious) defamation)). See Creifelds under Persnlichkeitsrecht, Unterlassungsanspruch, Presserecht and Gegendarstellung; Battis/Gusy, Part B, 12 II 2 and 4 and 12 III 3 (at 466); Brox (BS), Chapter 8, 37 A I 3 and III; Fikentscher, Section 16, Part 1, 103 II 2; Gallwas, Chapters 5 and 10; Hesse, Part III, Section 1, 121 (at 428); Ktz, Part E; Chapter X Note 23; Youngs (CL), Chapter 5, Part II, Sections G and H and Chapter 6, Part VI, Section B (6). Regarding the term sonstiges Recht under 823(i) BGB see The Newspaper Delivery Obstruction Case and The Air Traffic Controllers Strike Case. Regarding Article 2(i) GG, see also: Kommers, Part III, Chapter 7 (The Right to Personality and Privacy and Physical Integrity) and the following cases: The Mephisto Case (1971) (Kommers 7.2); The Elfes Case (1957) (Kommers 7.4); The Volkszhlung (public census) Case (1983) (Kommers 7.6); The Soraya Case (1973) (Kommers 4.2). To be distinguished from infringements of the honour/reputation (EhreIRuf) of another person are false statements regarding a persons property or business interests. The English tort of malicious falsehood (slander of title/slander of goods; cf defamation) has no single equivalent in German law. In such cases, protection is provided primarily by 823(i) BGB which also treats the Recht am eingerichteten und ausgebten Gewerbebetrieb (right to an established and exercised business) as a sonstiges Rechtby 824 BGB and by 826 BGB. The Law against Unfair Competition (UWG) also provides protection against unfair business practices for which, in English law, remedies are often provided by the general law of torts (eg, inducing breach of contract interference with trade, passing off). By 1 UWG, the principal general clause, anyone who, for the purpose of competition (zu Zwecken des Wettbewerbes), undertakes actions which contravene good morals (gute Sitten) is open to claims for stoppage (Unterlassung) and damages (Schadensersatz). Stoppage is also available, if misleading representations (irrefhrende Angaben) are made regarding business conditions (geschftliche Verhltnisse): 3 UWG.
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The right to daim stoppage under 1 and 3 UWG is available not only to business competitors, but also to trade and consumer associations (Verbnde) and chambers of commerce: 13(ii) UWG. Attacks on the reputation of a business are covered by other provisions in the UWG. Thus, the making of a damaging factual statement regarding (inter alia) the business or goods of another for the purpose of competition gives rise to claims for damages and stoppage, if the statement is not demonstrably true (nicht erweislich wahr): 14(i) UWG (so-called Anschwarzung (blackening (of the name) or a business)). If an untrue statement is made contrary to better knowledge (wider besseres Wissen), criminal penalties result 15(i) UWG. 14 and 15 UWG are the business equivalents of 186187 StGB. Procedurally, the usual method to obtain stoppage is to apply for an injunction (einstweilige Verfgung) under 935ff ZPO. When such an application threatens, the party potentially affected can file a socalled Schutzschrift (protective pleading) at court as a precautionary measure, to ensure that the matter is not decided without an oral hearing (see 937(ii) ZPO). By 21 (i) UWG, the basic limitation period for claims for damages and stoppage is six months from the time at which the claimant has knowledge of the conduct in question and of the identity of the person responsible. In the case of a claim for damages, however, the period does not begin to run before damage (Schaden) has occurred ( 21(ii) UWG). Claims in tort can sometimes become relevant because of the longer limitation period ( 852 BGB). However, the general rule is that the protection of individual interests afforded by the law of tort (eg, the right to an established and exercised business) is overriden by the UWG, in so far as the UWG contains special provisions. In other words, 823ff BGB only come into play on a subsidiary basis. See Creifelds under Ehre, Unerlaubte Handlung, Unlauterer Wettbewerb, Anschwrzung, Einstweilige Verfgung and Schutzschrift; Dannemann, Section V, 3; Meyer, Part 6, 13; Rittner, Part 1, 1 C I; Youngs (CL), Chapter 5, Part II, Section L rs, Part III, Chapter 7 (The Right to Life); Youngs (CL), Chapter 4, Part II A. This basic right incorporates the principlesbinding on the legislature, executive and judiciarythat: persons are entitled to equal treatment (Gleichbehandlungsgrundsatz); and that when reaching a decision, it is forbidden to take into account aspects (Gesichtspunkte) or considerations (Erwgungen) which are arbitrary (willkrlich) or irrelevant (sachfremd). See Creifelds under Gleichheit vor dem Gesetz, Gleichbehandlungsgrundsatz and Willkrverbot; Chapter XIII, Note 18; Chapter XIV, Note 34. The question whether unequal treatment (Ungleichbehandlung) is justified in a particular case is linked to the principle of the prohibition of arbitrariness (Willkrverbot). The issue within Article 3(i) GG therefore boils down to the age-old problem of (social) justice ((soziale) Gerechtigkeit) or, as is more elegantly formulated, of the right; to equality of opportunity (Chancengleichheit)and, ultimately, to the question of the role of the welfare state (Sozialstaat). See Battis/Gusy, Part B, 13 III and IV; Bleckmann II, 11 II; Hesse, Part III, Section 1, 12 II; Kommers, Part III, Chapter 6 (Equality and the Social Economy); Youngs (CL), Chapter 4, Part V, Sections. Article 3(ii) GG was the appropriate Prfungsmaftstab (standard against which the statutory provision in question was examined) in The Housework Day Case (Sourcebook, Chapter 3). See Kommers, Part III, Chapter 9 (The Free Exercise of Religion); Youngs (CL), Chapter 4, Part VI, Section C. Conscription is dealt with in Article 12a GG. See Youngs (CL), Chapter 4, Part XI3. One of the limits to Article 5(i) GG are the allgemeine Gesetze (general laws). Whether such laws (which can include norms of civil law) take precedence in a particular case is difficult to establish. For guidelines (Abwgungsfaktoren) see Battis/Gusy, Part B, 12 II 3 where relevant excerpts from The Film Director Case are also quoted. Informationsfreiheit (freedom of information) is a corollary to the basic right of Meinungsaufterung (freedom of expression). Changes in technology will create new areas of work for the legislature and the courts (balancing of freedom of information against the position (interests) of information providers). See Kommers, Part III, Chapter 8 (Freedom of Expression: Guiding Principles and Speech, Pereonhood, and Social Morality); Youngs (CL), Chapter 4, Part VI, Section B. See also Note 7 in this Chapter. See Kommers, Part III, Chapter 8 (Artistic and Academic Freedom).
21 22
23 24 25 26
27
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Artistic freedom is not unlimited and must be balanced against human dignity, which does not end with death: The MephistoCase(Kommers 8.12). See Kommers, Part III, Chapter 9 (Marriage and Family Rights); Youngs (CL), Chapter 4, Part VI, Section A. See Kommers, Part III, Chapter 9 (Establishment); Youngs (CL), Chapter 4, Part IX, Section A. See Kommers, Part III, Chapter 6 (Occupational LibertiesFreedom of Economic Association and the Rights of Labor); Youngs (CL), Chapter 4, Part VII, Section B. See The Elfes Case (1957) (Kommers 7.4). See Kommers, Part III, Chapter 6 (Occupational Liberties); Youngs (CL), Chapter 4, Part IX, Section B. See Kommers, Part III, Chapter 6 (The Right to Property); Youngs (CL), Chapter 4, Part VIIL In October 2000, Article 16 GG was amended to enable German citizens to be extradited to an international (criminal) court and to other member states of the EU, subject to there being statutory grounds therefore and provided fundamental principles (rule of law) are safeguarded. See Chapter XXIC. See Chapter XXI, Note 19. In addition to the basic rights listed in Articles 117 GG, the Basic Law also contains the following rights: the (ultimate) right of all Germans to resist anyone attempting to overturn the constitutional order (Article 20(iv) GG: the Widerstandsrecht); the right of persons involved in legal proceedings to a proper judge as laid down by statute (Article 101(i), 2nd sentence GG: the Anspruch aufeinen gesetzlichen Richter); the right of persons involved in legal or administrative proceedings to a proper hearing in accordance with law (Article 103(i) GG: the Anspruch aufrecntliches Gehr); the right of the perpetrator of a crime only to be punished, if punishability is fixed by statute before the act is committed (Article 103(ii) GG: nulla poena sine lege); the right of the perpetrator of a crime not to be prosecuted or punished more than once for the same crime (Article 103(iii) GG: ne bis in idem); the right of a person not to be deprived of his or her freedom except on the basis of and in the manner prescribed by a formal statute (Article 104(i) GG: the formelle Freiheitsgarantie (formal guarantee of freedom), which supplements Article 2(ii), 2nd sentence GG). Regarding these specific rights (apart from the Widerstandsrecht), sometimes referred to as justizielle Grundrechte (judicial basic rights), see Chapter XXII A; Chapter XIII B I; Chapter XIV B 3 ( 28 VwVfG); Chapter XVIA (Notes 3,4 and 5); Chapter XIII C D (Note 15); and Chapter XVII D. See also: Youngs (CL), Chapter 4, Part IV. For further information regarding the basic rights generally see, for example: Battis/Gusy, Part B ( 814); Baumann (ER), Part IV, 13 II 3; Hesse, Part III, Section I ( 912); Katz, Part V ( 2430); Kommers, Part III (Chapters 69); Maunz/Zippelius, Section 4 ( 1729) and Section 6 ( 40 II); Schunck/De Clerck, Part II, Section A (Chapter 2)); Model/Creif elds/Lichtenberger, Part I, Section DI (4653); Creifelds under Grundrechte; Gallwas; Jarass/Pieroth; Kriele.
28 29 30 31 32 33 34
35 36
CHAPTER IX
1 Publicum ius est, quod ad statum rei Romanae spectat, prmatum quod ad singulorum utilitatem (attributed to Ulpian). See Chapter I, Note 3; Baumann (ER), Part I, 2 II 1; Katz, Part I, 2; Khler, Part 1, 2; Rehbinder, Chapter II, 131-III and Chapter IV, 26, where codified law and case law are compared. See Chapter XIX A. See Schwab (Einfhrung), Part I, Chapter 2 A. The various branches and statutes of public and private law are listed in the Appendix to Creifelds. See also: Baumann (ER), Part I, 2 II; Rehbinder, Chapter II, 13 V and VI; Schwab (Einfhrung), Part I, Chapter 4.
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5 A critique of the various theories is contained in Maurer, 3 III. See also: Bull, Section I, 2 6; Creifelds under Verwaltungsprivatrecht; Rehbinder, Chapter II, 13 IV; Wesel (FR), Chapter 5 (Von der Vertikalen zur Horizontalen); Chapter II C (Note 16) and Chapter XXII C 2. The characteristic feature of compulsory norms is that they lay down restrictions on freedom of contract for policy reasons. They are common in public law and in fields where, in the interest of legal certainty, the choice of legal form or type has to be limited (eg, in the law of property and the law of succession), or where business fairness requires that avoidance and exploitation should be prevented (eg, in consumer credit law and employment law). Other examples are 138 BGB, the AGBG and the FernAbsG. See Creifelds under Vertrag II; Lwisch, 1; Schellhammer (ZR), Book 3, Part 33, Chapter 4 2; Schwab (Einfhrung), Part I, Chapter 2 D; Chapter X B 1 6; Youngs (CL), Chapter 2, Part II ((Classification of Law). In the field of private international law, contractual obligations remain subject to compulsory norms of German law, whatever the law actually applicable to the contract: Article 34 EGBGB. The applicability of mandatory rules is also expressly preserved by the Rome Convention 1980: see Chapter XX, Note 14.
CHAPTER X
1 General summaries for initial reading can be found in Baumann, Part II ( 38); Khler, Part 1, 3; Model /Creifelds /Lichtenberger, Part 3 F (302362); Schwab (Einfhrung), Part I, Chapter 2 A-B; Westermann (Grundbegriffe). See also Creifelds under Brgerliches Recht. Regarding the term Rechtsquelle see Katz, Part I, 1 II; Khler, Part 1, 1 E; Chapter XIV A. For the historical background see Chapter I; Kbler, 7 B III; Laufs, Chapter IX, 2; Wesel (JW), Chapter VII. To be recommended is also the article by Ernest Schuster in the Journal of the Society of Comparative Legislation (Vol 1, 18967, p 191)the forerunner of ICLQwhere the (draft) German Civil Code is described in English. See Baumann (ER), Part II, 3; Kallwass, Section 1 ( 24); see also the diagram in Klunzinger (Einfhrung), Part I ( 2, Section I; Die im BGB geregelten Sachgebiete). See generally: Brox (AT); Creifelds; Kaiser, Part I; Kallwass, Section 1, 8; Klunzinger (Einfhrung), Part II ( 420); Khler; Lwisch; Mensler; Meyer, Part 1, 2 A II; Model/Creifelds/Lichtenberger, Part 3 F (303 310); Reich/Schmitz, Chapter 2 A-F; Rthers; Schellhammer (ZR), Book 3 (Parts 3343); Westermann (Grundbegriffe), Chapters 17. See Baumann (ER), Part II, 51; Rthers, Chapter 4, 1315; and the comments on the legal capacity of persons and the right to (use of) a name ( 12 BGB) in the Sourcebook, Chapter 4 (following The Injured Foetus Case). Rechtsfhigkeit is to be distinguished from Handlungsfhigkeit (capacity to act), ie: Geschftsfhigkeit (capacity to undertake a Rechtsgeschft; see below); Deliktsfhigkeit (capacity to commit a delict (tort); 827, 828 BGB) (in criminal law: Schuldfhigkeit; 19, 20 StGB); and Verschuldensfhigkeit (capacity for fault; 276(i), 3rd sentence BGB). See Creifelds, eg, under Handlungsfdhigkeit; Note 126 D in this Chapter; Chapter XVI, Note 39; Youngs (CL), Chapter 5, Part III, Section A. See the diagrams in Baumann (ER), Part II ( 5, Section V) and Klunzinger (Einfhrung), Part II, Chapter 1 (4, Section I). See also: Khler, Part 3, 89; Meyer, Part I, 3 A; Rehbinder, Chapter II, 141; Schwab (Einfhrung), Part II, Chapters 13. A natural person can acquire rights before birth: see The Injured Foetus Case (Sourcebook, Chapter 4). A Kaufmann has a Handels- or Haupt- fniederlassung, while a Handelsgesellschaft (eg, an OHG, KG or a GmbH) has a Sitz: see 29 and 106(i) HGB; Chapter XIA 5, below. A Zweigniederlassung is a branch (office). See 13,13a-c HGB; Gierke/Sandrock, Section 1, Chapter 3 (14). The Sitz of an OHG (or KG) must be at its principal place of management (Ort der Geschftsfhrung). This contrasts with 24 BGB, under which the Sitz of a Verein can be freely selected. The terms Wohnsitz and Sitz are also of fundamental importance in the Brussels Convention (EuGV) 1968 ie, for the purpose of the (international) jurisdiction of the German courts in civil and commercial matters (and thus for the recognition or enforcement of a foreign (European) judgment).
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See Chapter XIII, Notes 28 C and 171; Creifelds under Wohnsitz; Dannemann, Part VI 1(a); the article by Johannes Schmidt in ZAP 14/95, Fach 13, p 343; Collier, Part II, Chapter 10 (e) (ii), where the position in the UK (ie, under the Civil Jurisdiction and Judgments Act 1982) is explained. Regarding the Sitz of a Handelsgesellschaft, see the previous Note and Chapter XI A. In English private international law, a person has a domicile (of origin) from birth. The term domicile is usually synonymous with permanent home. A new domicilea so-called domicile of choicecan be acquired by actual (physical) presence in a place with the intention to stay there permanently (or at least indefinitely). If the domicile of choice is lost, the domicile of origin revives. However, it is not possible to have more than one domicile at the same time. See Collier, Part I, Chapter 5. In German law, by contrast, a person can have several Wohnsitze or be without a Wohnsitz (wohnsitzlos). In the latter situation, his (habitual) residence is normally decisive for legal purposes (see, for example, 132 BGB and 16 ZPO). See Baumann (ER), Part E, 6, Khler, Part 4, 1011 and Rthers, Chapter 3, 1012. See also the diagram in Kaiser, Section I, Chapter 8. In English law, the fundamental classification of property generally (Gegenstnde /Rechtsobjekte) is between real property (land/real estate) and personal property. The term chattel covers all (personal) property other than a freehold interest in land. The further common law classification of personal property as either choses in possession or choses in action corresponds with the basic German law distinction between Sachen and Rechte (ie, corporeal and incorporeal property). In German law, the distinction between movables and immovables is made within the term Sachen. See Note 233 in this Chapter. The Rechtsobjekte belonging to a Rechtssubjekt constitute its Vermgen (assets). Subject to certain exceptions ( 850ff ZPO), the Vermgen is available for creditors. See Rthers, Chapter 3, 12, where the similarly vague (commercial) term Unternehmen (enterprise, business) is also explained. Regarding the term subjektives Recht, see Rehbinder, Chapter II, 14 II-IV, 1516; Rthers, Chapter 2, 4. See Khler, Part 2, 7 and Rthers, Chapter 2, 8. Regarding the former two, see Rthers, Chapter 2, 6 and Note 255 in this Chapter; regarding the latter, see Rthers, Chapter 2, 7 and Note 47 C in this Chapter. See Baumann (ER), Part II, 8 II; Khler, Part 2, 5 II; Rthers, Chapter 2, 5; Schwab (Einfhrung), Part III, Chapters 16. See also the diagram in Klunzinger (Einfhrung), Part II, Chapter 1 ( 5, Section II; Subjektive Rechte). Rehbinder (Chapter II, 15) explains the distinction between an Anspruch (cause of action) and a subjective legal right. Whilst today the former (ie, the remedy) is treated as flowing from the rightubi ius, ibi remediumhistorically an Anspruch was the precursor of a subjective legal right. As a present-day example of the Schlu vom Anspruch aufdas Recnt, Rehbinder refers to 823(i) BGB. The position in Scotland is similar. Despite English influence, civil law in Scotland rests more on generalised rights than in England and the remedy depends on die right rather than, as in English tradition, the right on the remedy See The legal system of Scotland, in Britains Legal Systems ((1993) (HMSO)); Preface to the Second Edition, Note 10 B; Note 18 in this Chapter. See Chapter VIII, Note 20. Very many civil claims are based on Anspruchsgrundlagen contained in the norms (referred to as Anspruchsnormen) of the BGB. However, the great majority of the norms of the BGB (indeed, all those in the Allgemeiner Teil) themselves do not form the basis for claims. They are merely accessory norms (Hilfsnormen), which supplement or modify the Anspruchsnormen. See Rehbinder, Chapter II, 11. An Anspruchsnorm can often be recognised by its formulation: usually, kann verlangen (can demand) oras the counterpart of a right is an obligation (Verpflichtung)ist verpflichtet.. (is obliged) or haftet fr (is liable for). An Anspruch can be distinguished according to whether it is: contractual (schuldrechtlich); real (sachenrechtlich or dinglich); based on family law (familienrechtlich); or based on the law of succession (erbrechtlich). Apart from originating from an Anspruchsnorm, an Anspruch can also arise out of a Rechtsgeschft (legal transaction) directly or be based on a supplementary principle developed outside the BGB (eg, the principle
10 11
12
13 14 15 16
17 18
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Notes
of culpa in contrahendo ((cic) blame during (in the course of) (preliminary) negotiations (quasi-contract)) or positive Vertragsverletzung ((PVV) positive breach of contract)). A lawyer, who has to check (prfen) whether a person has an Anspruch (claim) against another person, must always ask himself: Wer will was, von wem, und woraus? (Who wants something, from whom, and based on what?). See Brox (AT), Part III, 30 II and III; Creifelds under Anspruch (and actio); Fikentscher, Introduction, 1 I; Khler, Part II, 6 I; Klunzinger (Einfhrung), Part I ( 3, Section IV); Reich/Schmitz, Chapter 2 A; and the appendix to Schwab (Einfhrung), where tables of important Anspruchsgrundlagen in the BGB are set out. See also: Notes 47 C, 126 C and 135 in this Chapter post; Wesel (FR), Chapter 3 (Allgemeine Begriffe): Wesel explains that before Windscheid coined the term Anspruch in 1851, the prevalent thinking was in terms of particular procedural actions. He compares this with the present day situation: today, an Anspruch is something which exists auerhalb der Gerichte (outside the courts) von Mensch zu Mensch (from person to person). In English law, too, the forms of action (ie, choice of the correct type of writ) remained important until the 19th century. See Note 16 in this Chapter. Gestaltungsrechte can arise from statute or contract and are often subject to exclusion periods (Ausschlufristen) ie, they can only be exercised within certain statutory or contractually agreed time limits. For the avoidance of uncertainty, they must be exercised unconditionally (bedingungslos). See Lwisch, 18; Rthers, Chapter 2, 9 III. Einwendungen are legal objections, which must be taken into account by a court of its own motion (von Amts wegen). Einwendungen are distinguished according to whether they are rechtshinderndie, negate the very existence of an Anspruch (eg, nullity of a contract)or rechtsvernichtendie, destroy an Anspruch, which is acknowledged to exist (eg, performance of a contract; set-off). Einreden, on the other hand, do not attack the Anspruch as such, but allege facts preventing it from being realised (rechtshemmend)ie, an Einrede provides the debtor with a right to decline performance (Leistungsvenoeigerungsrecht) either temporarily (eg, due to a respite (Stundung)) or permanently (eg, because of limitation (Verjhrung)). To make matters more complicated, the ZPO refers to both Einwendungen and Einreden as merely Einreden. An Einrede is an allegation of fact, rather than an objection made on procedural grounds, ie, the assertion of an obstacle to the proceedings (Prozehindernis). See Creifelds under Einrede, Klunzinger (Einfhrung), Part I, 3 (Section IV), where the types (and examples) of Einwendungen and Einreden are set out; Khler, Part 2, 6; Medicus (BR), Section VI, 29. See also: Note 93 in this Chapter; Chapter XIII, Note 107. See Chapter VIII, Note 6, above and Maurer, Part 2, 81. Maurer describes the Frsorgeuntersttzung case as a fundamental decision and refers to the problem of basic rights as Leistungsrechte. Strictly speaking, Rechte und Pflichten (rights and duties) are the Rechtsfolgen (legal consequences) arising from a Rechtssatz (legal provision, ie, one laid down in a Gesetz (statute)). A Rechtsverhltnis is, more correctly, (merely) a Lebensbeziehung (an actual relationship in everyday life). The typical structure of a Rechtssatz is that particular Rechtsfolgen are attached (geknpft) to and conditional on the fulfillment of a specific Tatbestand (substantive part/ content (of a norm)). One speaks of the (preconditions (Voraussetzungen) for the applicability of a legal provision and of the elements (Merkmale) of a particular Tatbestand. For a proper understanding of German law, the (abstract) concepts of Tatbestand and Rechtsfolge are fundamentally important. For further details, see the discussion in Engisch, Chapter II Engisch points out that a Rechtssatz lays down what ought to occurit is a Sollenssatz and is usually expressed as an imperative (ie, leads to Pflichten). A different type of Rechtssatz is one which consists of the grant (Gewahrung) of a subjektives Recht. See also: Creifelds under Rechtsverhltnis; Meyer, Part I, 3 C; Schwab (Einfhnmg), Part III, Chapter 5 E; Chapter X C 2 2 (Note 105) and Chapter XVIC (Note 16). Vertragsfreiheit is guaranteed by Article 2(i) of the Basic Law (as part of the basic right of general freedom of action (allgemeine Handlungsfreiheit)). It is also presupposed by 305 BGB. However, Vertragsfreiheit is not unlimited (schrankenlos); it is subject to the same limits as set out in Article 2(i) GG. Thus, for example, a marriage contract (Ehevertrag) which is unfairly burdensome to one party only (einseitig belastend), which exploits that partys inferiority (Unterlegenheit) and which infringes constitutional norms can be subjected to judicial control (richterliche Inhaltskontrolle): ZAP-Aktuell 5/01, p 246; ZAP EN-Nr 170/01.
19
20
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23
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Indeed, in recent times the reality is that the area remaining for private autonomy has been continually restricted by statutory encroachments (eg, in the field of employment law). Moreover, agreements. See Flume, Chapter I, 1; Rthers, Chapter 1, 3; Kallwass, Section 2, Chapter 1 ( 912); Ktz (EVR), Part A, 8; Schellhammer (ZR), Book 3, Part 33, Chapters 1 and 2. See also: Chapter VIII, Note 20; Chapter IX B; Chapter X, Note 80 and D 2 (ii). For a critique of the problem of Vertragsfreiheit, see Wesel (FR), Chapter 3 (Vertrag). Other terms to be distinguished are: Apart from originating from an Anspruchsnorm, an Anspruch can also arise out of a Rechtsgeschft Abschlufreiheit, ie, the right to conclude a Vertrag with whomever one pleases; and, as its opposite; the principle of Kontrahierungszwng (compulsory contracting), whereby, very exceptionally, a monopoly or other dominant organisation can be compelled to enter into a contract with an applicant. See Khler, Part 5, 12 I and II, 15 V and 20; Medicus (AT), Part 2, 10 and 11; Schellhammer (ZR), Book 3, Part 33, Chapter 3. See generally: Baumann (ER), Part II, 7 II-III; Brox (AT), Part II, 427; Gernhuber/Grunewald, Part 1; Khler, Part 5, 1222; Reich/Schmitz, Chapter 2 B; Rthers, Chapter 7; Schwab (Einfhrung, Part V. See also the diagram in Klunzinger (Einfhrung), Part II, Chapter 2 ( 7, Section IV; Menschliches Handeln) and the Sourcebook, Chapter 4 (Legal Transactions). For a discussion of the history and Problematik of the terms Rechtsgeschft and Willenserklrung see Flume, Chapter I, 2 4 and 5. Schuster (see Note 2 in this Chapter) defines Rechtsgeschfte as manifestations of human volition which intend to create, alter, transfer or release rights and, following the term used by Sir Frederick Pollock, translates Rechtsgeschft as act in the law. Wesel describes the most important Rechtsgeschft (the Vertrag (contract)) as die Verwandlung des Willens in Recht (the transformation of will into law). See Wesel (FR), Chapter 3 (Vertrag). See also: Notes 62,101,106 and 132 in this Chapter; Chapter XX, Note 19. See Baumann (ER), Part II, 7 I; Flume, Chapter I, 9. The concepts of Rechtsgeschft and Rechtshandlung can also be translated as juristic act and legal act (as in Zweigert and Ktz, Part II A I (Chapter 311). See Baumann, Part II 6 III 2 (a). Examples of gesetzliche Vertreter are: parents of minors, guardians and members of an OHG. The organs of a juristische Person (juristic person) are not, strictly speaking, gesetzliche Vertreter: they act for the juristische Person itself and are not its representatives. However, the Vorstand (board of directors) of a Verein is treated as a gesetzlicher Vertreter ( 26(ii) BGB) and the Geschftsfhrer (director(s)) of a GmbH hold(s) a corresponding position ( 35 GmbHG). See Creifelds under Stellvertretung (Vertretungsmacht); see also Chapters XI A, XI B and XI C 3 (b) (ii) and (iii); Note 30 in this Chapter and Chapter XIII, Notes 49 and 56. See Chapter XIII D 1 (f) (iv) ( 7890 ZPO). The German law of representation and the position where there is an undisclosed principal is discussed by Zweigert and Ktz, Part II AI (Chapter 39IV-VI). See Ktz (EVR), Part A, 6; Youngs (CL), Chapter 6, Part X 3; Zweigert and Ktz, Part II AI (Chapter 32 (entitled Contractual Capacity)). See Flume, Chapter XI, 54; Zweigert and Ktz, Part II AI (Chapter 39 III); Chapter XIII, Notes 48 and 55, below. Like a contract concluded by a minor without prior consent, a contract concluded by an unauthorised agent (Vertreter ohne Vertretungsmacht/Falsus procurator) is schwebend unwirksam (in abeyance), ie, its validity is dependant on the subsequent consent (Genehmigung) of the principal: 177(i) BGB. Identically to 108(ii) BGB, 177(ii) BGB entitles the other party to demand a statement from the principal regarding the latters Genehmigung. If it is not declared within two weeks, consent is deemed to be refused and the contract is void. Under the HGB, this rule is modified, in order to protect the other party in a commercial transaction. If a contract is concluded by a trading assistant (Handlungsgehilfe) or mercantile agent (Handelsvertreter) without authority to do so, the principals refusal of consent must be declared forthwith (unverzglich) after being informed of the transaction. Otherwise, the principals silence (Schweigen) is regarded as consent. See 75h and 91a HGB; Notes 40 and 71 in this Chapter; Chapter XI, Note 37; Chapter XIII, Notes 77 and 61. Regarding the liability of an unauthorised agent to the other party, if consent is refused, see 179 BGB. Regarding unauthorised agency where a unilateral transaction (einseitiges Rechtsgeschft) is involved, see 180 BGB.
24
25 26 27
28 29 30 31
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32 33 34 35 See Note 245 in this Chapter. See Chapter X C 3 (g) (Title 24) and Note 246 in this Chapter. See Chapter XIII, Notes 31 and 32. Whilst 116124 BGB refer to the nullity and challengability of a Willenserklrung, 125,134,138 and 139144 BGB refer to the nullity of a Rechtsgeschft. See also Notes 45,50 and 51 in this Chapter. A Rechtseeschft, which is nichtig ((null and) void), is referred to as being absolut unzwirksam (absolutely ineffective). To be distinguished therefrom is a Rechtsgeschft, which is schwebend unwirksam (in suspense (pending the consent (Genehmigung) of another person or authority), or a Rechtsgeschft, which is relativ unwirksam (relatively ineffective). See Creifelds under Umvirksamkeit eines Rechtsgeschfts; Flume, Chapter VII, 30; Khler, Part 5, 22. For a table of the norms in the AT underlying Unwirksamkeit and Anfechtbarkeit setting out their different effects see Schulte, Vol 1, Chapter 3 VI. References in Title 2 are sometimes to a Willenserklrung and sometimes to a Rechtsgeschft (see the breakdown of 116144 at the beginning of Chapter X B 2 (b). See Rthers, Chapter 6, 18; Creifelds under Willenserklrung I; Kallwass, Section 2, Chapters 2 and 3 (1322). In English law, this is referred to as the intention to create legal relations. See the comments under Declaration of Will (The concept) in the Sourcebook, Chapter 4; Youngs (CL), Chapter 6, Part IV 3. An additional element is sometimes said to be the so-called Erklrungsbewutsein (consciousness of the declaration), but the dominant school of thought does not regard this as essential. However, Khler (Part 5, 14 II and 15 III 2) is of the view that a declaration made without Erklrungsbewutsein is either not binding or challengable by analogy with 119 (i), 2nd alternative BGB. Such a Willenserklrung is a so-called stillschweigende Willenserklrung (ie, a Willenserklrung durch schlssiges, konkludentes Handeln) and is to be distinguished from pure (conscious) silence. See Creifelds under Willenserklrung 12; Flume, 5 24; Ktz (EVR), Part A, 2 C II Thus, a Willenserklrung exists, if a person making a declaration, acting with appropriate care and in accordance with business custom, could have perceived it as such and it was so understood by the recipient: see The Unintended Declaration of Will Case (Sourcebook, Chapter 4). See Notes 31 and 71 in this Chapter; the exceptions listed under Declaration of Will (the concept) in the Sourcebook, Chapter 4. See Creifelds under Willensmngel and below under Nullity and challengability of a Willenserklrung. See Meyer, Part II, 412; Rthers, Chapter 6, 20; Kallwass, Section 2, Chapter 4 ( 2324). A preliminary requirement is that the person making the Willenserklrung could and did reckon with it reaching the correct recipient: see The Misdirected Withdrawal Declaration Case (Sourcebook, Chapter 4). Actual knowledge on the part of the recipient is not required. It suffices, if the Willenserklrung is in the area of control of the recipient (Machtbereich des Empfngers) and the recipient can fairly be expected to become aware of it. See Brox (AT), Part II, 61; Khler, Part V, 16; Rthers, Chapter 6, 19; Schellhammer (ZR), Book 3, Part 35; Zweigert and Ktz, Part II AI (Chapter 37 III); the comments under 133 BGB and 157 BGB in the Sourcebook, Chapter 4 and Chapter 5. We are here concerned with the interpretation of a Willenserklrung (Rechtsgeschft). To be distinguished is the question (methods) of statutory interpretation (Gesetzesauslegung (Methodenlehre)), which is an entirely different complex. See Notes 47 E and 105 in this Chapter; Creifelds under Auslegung; Khler, Part 1, 4 III; Schwab (Einfhrung), Part I, Chapter 5; Youngs (CL), Chapter 2, Part I, Section B (III) and Chapter 6, Part XIII, Section B. See Khler, Part V, 14 IV 1: challengability of a Willenserklrung under 119, 120 BGB is not available, if there is no (unconscious) divergence between Wille and Erklrung and (prior) interpretation leads to an acceptable result. In the absence of evidence to the contrary, there is no room for interpretation, if the joint will of the parties (der bereinstimmende Wille der Parteien) can be established or if the wording or the text is dear (eindeutig). An important aspect here is the principle of the protection of trust (Vertrauensschutz). See Schneider, ZAP 3/00, Fach 13, p 943ff ( 24 V). Moreover, what the parties have stated can stand, even if (objectively) wrongly expressed, if the parties understand what is meant: falsa demonstratio non nocet (cf 155 BGB post).
36 37 38
39
40 41 42 43
44
45
46
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47 A The principle of Treu und Glauben forms the basis for implying terms into contracts by means of ergnzende Auslegung (supplementary interpretation). The question is: what is the hypothetical will of the parties (hypothetische Parteiwille), ie, what would they have agreed in the circumstances? In matters of interpretation, straddled by 133 and 157 BGB, German law proceeds from the concept of the Willenserklrung. The content of an obligation is a particular Leistung. The approach of English law is different: contracts are analysed as comprising terms, which are then distinguished as being either express or implied. Precontractual statements are referred to as representations; in German law, in the absence of other special statutory provisions, these fall within the principle of culpa in contrahendo or are dealt with under 119123 BGB. See Notes 75 and 135 in this Chapter; Chapter X C 3 (a); Youngs (CL), Chapter 6, Part XIII, Section D. The phrase Treu und Glauben is also used in 242 BGB: Der Schuldner ist verpflichtet, die Leistung so zu bewirken, wie Treu und Glauben mit Rcksicht auf die Verkehrssitte es erfordern. The debtor is obliged to effect performance in such a manner as trust and good faith require, taking custom /common practice into account. 242 is one of the best known paragraphs of the BGB. See the comments under 242 BGB in the Sourcebook, Chapter 5. Although, strictly, 242 is a norm of the law of obligations and, in terms, only refers to the Schuldner (debtor/obligor), it is acknowledged to express a general leeal principle (allgemeiner Rechtsgrundsatz) of bona fides (good faith) of application throughout the German legal system: persons must conduct themselves fairly when exercising their rights and performing their duties. 242 is a general clause (Generalklausel), which can supplement, limit or amend the content of a claim (Anspruch). It does not itself constitute the basis for a claim (Anspruchsgrundlage). 242 has three functions, as follows: 1 to supplement the duties (Pflichten) of parties to a Schuldverhltnis (the Ergnzungsfunktion (supplementary function)); 2 to control and limit (beschrnken) the exercise of rights (the Kontrollfunktion (control function)); and 3 exceptionally, to enable a correction and adaptation (Anpassung) of legal relationships and even the development of the law by the judiciary (richterliche Rechtsfortbildung) (the Korrekturfunktion (corrective function)). Thus, under 1, parties to a contractual relationship have certain accessory or supplementary duties (Nebenpflichten), for example: a duty of consideration (Rcksichtspflicht) towards the other party; a duty of protection (Schutzpflicht) towards each other; a duty to give the other party necessary clarification (Aufklrungspflicht) and information (Auskunftspflicht); a duty of cooperation (Mitwirkungspflicht); and a general duty of faithful performance (Leistungstreuepflicht). A breach of a Nebenpfticht is one of the main grounds for a claim for positive breach of contract (positive Vertragsverletzung (PVV)) and culpa in contrahendo (etc). See, respectively, in this Chapter, Note 126 C and Note 135. See also The Allergy to Hair Tonic Case in the Sourcebook, Chapter 5. Under 2, it constitutes a prohibited exercise of a right (unzulssige Rechtsausbung; also referred to as an abuse of a right (Rechtsmibrauch)). if the exercise of the right is disproportionate (unverhltnismig), excessive (bermig) or grossly unjust (grab unbillig); if the person seeking to exercise the right would thereby benefit from his own prior dishonest conduct (unredlichesfrheres Verhalten);or if the person seeking to exercise the right would thereby place himself in conflict with his prior conduct (venire contra factum proprium). The equivalent rule in English law is estoppel. A sub-category here is the legal institute of Verwirkung (the forfeiture of a right (of the claimant)). Under 3, 242 has been used to permit a flexible reaction in abnormal situations (the German hyperinflation in 1923), in cases or the Wegfall der Geschftsgrundlage (falling-away (collapse) of the basis of the transaction (frustration)) and in times of legal emergency (Rechtsnotstand). The doctrine of the Geschftsgrundlage (clausula rebus sic stantibus) is a development of the judiciary and can come into play as a supplement to 119 BGB, if:
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Notes
at the time the transaction was concluded, the parties proceeded on the basis of certain (in the event, wrong) conceptions (Vorstellungen) or important considerations; the conceptions or considerations turn out to have been absent/missing or have meantime changed, collapsed or disappeared (ie, there is a Fehlen, nderung or Wegfall of the Geschftsgrundtage); and it would be unacceptable (unzumutbar) to enforce the transaction as it stands. The primary relief available is adaptation (Anpassung) of the transaction to the actual (unforseen) situation by way of supplementary interpretation (ergnzende Auslegung ( 157 BGB)) or, if that fails, its termination (by means of Rcktritt or Kndigung). However, the doctrine is not lightly invoked and is subject to: the overriding principle of die sanctity of contract ie, that agreements must be kept (pacta sunt servanda); the rule that mistaken motives (Motivirr tmer) are normally irrelevant (exception: 119(ii) BGB); and any statutory or contractual provisions or customs concerning the distribution of risk (Verteilung des Risikos) between the parties. See Klunzinger (Einfhrung), Part III, 24 I; Brox (AS), Chapter 4, 6; Fikentscher, Section 3, 27; Gernhuber/Grunewald, Part 2 ( 13) and Part 3 ( 20); Medicus (AT), Part 3, 16. See also: Creifelds under Geschftsgrundlage; Medicus (BR), Chapter 1, 7; Schwab (Einfhrung), Part III, Chapter 6 B and Part V, Chapter 6 H; Note 126 C in this Chapter. E Regarding the wide field of ergnzende Auslegung ie, the filling of gaps (Lcken) in a Rechtsgeschft, see Brox (AT), Part E, 6 E; Ktz (EVR), Part A, 7 V; Schellhammer (ZR), Book 3, Part 35, Chapter 4. To be strictly distinguished is so-called Rechtsfortbildung (development of (the) law (by the judiciary)), ie, the filling of gaps in a statute (Lcken im Gesetz), eg, by analogy (Analogie) or opposite conclusion (Umkehrschlu/argumentum e contrario). See Note 44 in this Chapter; Chapter E, Note 22; Khler, Part 1, 4IV. The effect of Anfechtung is retrospective (rckwirkend/ex tunc). The wording of 142 BGB (which refers to an anfechtbares Rechtsgeschft) is incorrect, as only a Willertserklrung is challengable (see 119,120 and 123 BGB). Because of the abstraction principle, Anfechtung usually only affects the validity of the obligational transaction (the Verpflichtungsgeschft); the property level remains abstract. Restitution is effected via the law of unjust enrichment ( 812ff BGB). See, in this Chapter, Notes 33,35,102,138 and 245. Regarding the difference between the terms Anfechtbarkeit and Nichtigkeit in administrative law, see Chapter XIV C 3. 116124 BGB detail various situations in which a Willenserklrung is defective (fehlerhaft) due to defects of will (Willensmngel). Such defects can arise consciously ( 116118) or unconsciously (119,120). See Creifelds under Willensmngel; Flume, Chapter VI ( 1929); Klunzinger (Einfhrung), Part II, 14; Khler, Part V, 14 I; Medicus (BR), Chapter 1, 6; Meyer, Part E, 5 A III; Rthers, Chapter 7, 24. A reservation (Vorbehalt, protestatio) must be declared to be effective. No account is taken of it if it does not accord with the external circumstances: protestatio facto contraria (non valet). See Creifelds under Willenserklrung and The Bus Station Case (Sourcebook, Chapter 5). See Creifelds under Anfechtung von Willenserklrungen. See also: Dannemann, Section E, 9; Flume, Chapter VII, 31; Ktz (EVR), Part A, 10 and 11; Zweigert and Ktz, Part II AI (Chapter 38 (entitled Mistake, Deceit, and Duress)); Meyer, Part E, 5 AIV; the comments under 119123 BGB in the Sourcebook, Chapter 4; Youngs (CL), Chapter 6, Part XII, Sections C-F. See Notes 47 A, 58 C and 135 B in this Chapter. See Fikentscher, Section 2, 22. The following new forms have been added by the Law to adapt the Provisions of Private Law concerning Form dated 13.7.2001 (the so-called E-Commerce Law), which implements EU Directive 2000/31 dated 8.6.2000: electronic form ( 126(iii) and 126a BGB); text form ( 126b BGB). These categories of form represent alternatives to strict written form (Schriftform) where statutory provisions so prescribe/allow. Electronic form requires that a special electronic signature be appended to an
48
49
50
51
52 53 54
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electronically-transmitted document. Text form merely describes a (paper or electronic) document in legible written characters. In future, therefore, originating characteristics other than a personal, human signature (Unterschrift) will apparently suffice to prove the origin of a document and to fulfil the formal requirements for a Rechtsgeschft. Where cross-border electronic transactions are concerned, the so-called country of origin principle (Herkunftslandprinzip) applies and electronic transactions emanating from Germany apparently only need to fulfill formal (and substantive!) German law. See ZAP-Aktuell, 22/00, p 1327; ZAP-Aktuell, 5/01, p 244 and p 251; ZAP EN-Nr 457/2001; Chapter XX, Note 19. 55 See Creifelds under Form(erfordernisse, -vorschriften). The requirement of a particular form (Formzwang) in a statute serves various purposes; see Ktz (EVR), Part A, 5; Rthers, Chapter 7, 23 IV. 56 This is the rule; exceptions are very limited. See Meyer, Part II, 5 A I; Rthers, Chapter 7, 23 VII; Zweigert and Ktz, Part II AI (Chapter 34 (entitled Formal Requirements)); and the comments under 125127 BGB in the Sourcebook, Chapter 4. See Flume, Chapter V, 17; Youngs (CL), Chapter 6, Part XII, Section B (I) 3. A A Rechtsgeschft is sittenwidrig (immoral), if, on a comprehensive assessment (Gesamtwrdigung) of its content, motive or purpose (Inhalt, Motiv oder Zweck), it violates the feeling of propriety of all fair and right thinking persons (das Anstandsgefhl aller billig und gerecht Denkenden). This can cover a wide range of cases eg, abuse of a dominant commercial position (Ausnutzung einer wirtsdiaftlichen Machtstellung), unduly fettering/restraining contracts (Knebelungsvertrge), exorbitant loans (Darlehen) and the taking of excessive security (bersicherung). Thus, if a spouse or close relative acts as surety or accepts joint liability and is subject to crassly excessive financial strain (krasse finanzielle berforderung), there is an actual presumption (tatschliche Vermutung) that the lender has exploited that persons emotional relationship to the debtor. The burden of rebutting the presumption is then on the lender. See ZAP EN-Nr 136/01; ZAP EN-Nr 497/01; Chapter XIII, Note 10. Cf Barclays Bank v OBrien [1994] 1 AC 340 (HL). B Where the exploitation/unfair advantage is particularly marked (ie, there is an aufflliges Miverhltnis (conspicuous imbalance/incongruity)), such a transaction constitutes Wucher (extortion; 138(ii) BGB), which can also be punished as a criminal offence ( 302a StGB). See Creifelds under Sittenitridrigkeit and Wucher; Note 245 in this Chapter; the comments under 138 BGB in the Sourcebook, Chapter 4; Youngs (CL), Chapter 6, Part XII, Section B (2) and Section E. See also: Flume, Chapter V, 18; Khler, Part 5, 20; Ktz (EVR), Part A, 9; Meyer, Part II, 5 A II; Rthers, Chapter 7, 251 and III; Zweigert and Ktz, Part IIAI (Chapter 35 (entitled Illegality and Immorality)). C The equivalent doctrines in English (contract) law are (economic) duress and undue influence. However, in German legal terminology, Ntigung only refers to the criminal offence of coercion/ duress ( 240 StGB). Cf also the terms Drohung (threat; 123 BGB) and Notstand (emergency; 228, 904 BGB; 34, 35 StGB). D Loss caused by intentional immoral injury (vorstzliche sittenwidrige Schdigung) can be recovered in tort ( 826 BGB). See Note 220 in this Chapter. The term Willensbereinstimmung (correspondence of Willenserklrungen) is also used. Exceptionally, a contract can be concluded in certain cases of so-called alternative conduct (sonstiges Verhalten), eg, where an expired contract is merely continued (fortgesetzt) or where the conclusion of the contract is effected by silence. See Chapter X B 2 (c): Rules governing offer and acceptance. For an example in English law, see Clarke v Dunraven [1897] AC 59 (HL). See Rthers, Chapter 8, 27. Thus, in German leeal language, the term Vertrag has a wider meaning than the term contract in English law, even though it is equivalent in translation. It is a sub-category of the general term Rechtsgeschft. The contractual version (ie, that within Book II BGB) is only one type of Vertrag. See Flume, 3313; Notes 24,101,106 and 132 in this Chapter. Just as the English law of contract is dominated (beherrscht) by the doctrine of consideration, so is German civil law the product of highly developed, systematic, scientific and logical thought patterns. Even if one puts linguistic differences aside for the moment (and these are significant enough), it is extremely questionable whether a constituent element of a particular system of law (such as the doctrine of
57 58
59 60
61 62
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Notes
consideration), which has evolved organically, should, at a stroke, be excised or a continental legal concept such as Rechtsgeschft implanted into the English legal order. This would mean, at the very least, that other formal terminology would also have to be introduced. A contract in England is, technically, simply not the same as a Vertrag in Germany. To quote Cheshire, Fifoot and Furmston: The common law has long stressed the commercial flavour of its contract. An Englishman is liable, not because he has made a promise, but because he has made a bargain. (Chapter 3, Part 1). Further: The underlying assumption of English law is that a contract is a bargain. If a person furnishes no consideration, he takes no part in a bargain: if he takes no part in a bargain, he takes no part in a contract. (Chapter 4, Part 3). Thus, in England, the doctrine of consideration (ie, some value in the eyes of the law) as a test of enforceability is inextricably intertwined with the concept of a bargain. In German law, a Vertrag is a purer concept. In German legal language, the closest equivalent to the English concept of a bargain is the gegenseitiger Vertrag, which is but one variety of a Vertrag. See Note 106 in this Chapter. For a comparative survey regarding the requirements for binding contracts in English law and on the continent (including a critique of the English doctrine of consideration) see Ktz (EVR), Part A, 4 (Seriosittsindizien). See also: Youngs (CL), Chapter 6, Part VI. See generally: Youngs (CL), Chapter 6, Part III, Sections A, B and D. This also applies to the content of a Leistung. See Creifelds under Leistung; 315319 BGB. An Angebot is referred to in 145153 BGB as an Antrag. See Khler, Part 5, 15 II; Ktz (EVR), Part A, 2 BI and 3; Youngs (CL), Chapter 6, Part VIII3. This rule corresponds to the requirement of certainty in English contract law. To be distinguished is a statement made in the course of contractual negotiations (Vertragsverhandlungen) or (pure) information (eg, in brochures or advertisements), ie, a so-called invitation to treat (Aufforderung zur Abgabe eines Angebots=invitatio ad offerendum). See Note 38 in this Chapter; the comments under 145 BGB in the Sourcebook, Chapter 5. Regarding liability for breach of duty in the precontractual phase (Vertragsanbahnung) see Note 135 in this Chapter. This is not the case in English law. See Dickinson v Dodds (1876) 2 Ch D 463 (CA). See Dannemann, Section II, 2; Ktz (EVR), Part A, 2 B IV; Zweigert and Ktz, Part II A I (Chapter 33 (entitled Offer and Acceptance) IV and V). A withdrawal (Widerruf) must reach the other party before or at the same time (as the offer): 130(i) BGB. Like an offer, it is an empfangsbedrftige Willenserklrung. Zugang (communication/receipt) is, therefore, normally required. There is no postal rule, whereby an acceptance is (already) treated as effective when put in the post (cf English law). See Note 43 in this Chapter. See Ktz (EVR), PartA, 2 C III and IV. Thus, relationships can be construed as contracts on the basis of pure factual conduct (tatschliches Verhalten) or socio-typical behaviour (sozialtypisches Verhalten), even in the absence of an express declaration (of acceptance): see The Hamburg Parking Case and The Bus Station Case (Sourcebook, Chapters). However, this doctrine (established in 1941 by Haupt) is open to the criticism that it runs contrary to the principle that persons who are not geschftsfhig require protection (Schutz des Nichtgeschftsfhigen). See Brox (AS), Chapter 3, 4 III; Creifelds under Faktischer Vertrag and Schuldverhltnis; Flume, 8; Rthers, Chapter 8, 27IV. For an English case, in which the creation of a contract by conduct was recognised, see Brogden v Metropolitan Railway (1876) 2 App Cas 666 (HL). This is the case in the circumstances laid down in 362 HGB and where a Kaufmann receives a commercial letter of confirmation (kaufmnnisches Besttigungsschreiben). However, an Auftragsbesttisung (confirmation of order) is merely the same as an acceptance. See Creifelds under Besttigungsschreiben and Vertrag I; Meyer, Part II, 4 B; Note 40 in this Chapter. See also Chapter XXII, Note 74. See Youngs (CL), Chapter 6, Part III, Section E. See Note 46 in this Chapter; Youngs (CL), Chapter 6, Part VIII. Bedingung is a legal term, which here forms part of the Rechtsgeschft doctrine. In other legal fields, Bedingung can have a different meaning (eg, in criminal law, cause).
63 64 65 66
67
68
69 70
71
72 73 74
253

See Chapter XVI, Note 22; Flume, Chapter IX ( 3842). Regarding the different types of Bedingung and their legal consequences see Rthers, Chapter 8, 28 II and IV. See also Note 245 in this Chapter. In English law, such a condition is called, respectively, a condition precedent or a condition subsequent. The word condition is traditionally used in English contract law in the sense of a vital term of the contract (or, as is sometimes said, a term, which goes to the root of the contract), as opposed to a warranty, which is a less important term, breach of which only gives rise to a right to damages. The resultant problems of classification sometimes occupy the English courts. In English law, however, the word condition is also applied in its orthodox (continental) sense, for example when agreements are expressed to be made subject to some future (external) event. See Note 47 A in this Chapter; Charlesworth, Part 1, Chapter 3; Cheshire, Fifoot and Furmston, Chapter 6, Part 3 (The relative importance of contractual terms); Youngs (CL), Chapter 6, Part XIII, Section A. See below (Chapter XB 2 (e)). Regarding Allgemeine Geschftsbedingungen see Dannemann, Part II, 5; Klunzinger (Einfhrung), Part II, 10 III; Khler, Part 5, 23; Schulte, Vol 2, Chapter 4; Schwab (Einfhrung), Part V, Chapter 5; Zweigert and Ktz, Part II A I (Chapter 31 III). See also: Creifelds under Allgemeine Geschftsbedingungen; the comments regarding the AGBG under 242 BGB in the Sourcebook, Chapter 5; Youngs (CL), Chapter 6, Part XIII, Section C. See Chapter XD 2 (iv). Aliter in the event of bonafide acquisition. See Note 76 in this Chapter, above. See also: Brox (AS), Chapter 3 ( 4 II); Brox (AT), Part 2, Chapter 2 ( 9); Fikentscher, Section 3, 26 VI; Medicus (BR), 4IV; Rthers, 3 II 3. See Chapter IX B. Terms can qualify as AGB regardless of the type of contract and even if they simply comprise a standardform confirmation (formularmssige Besttigung). However, formula clauses (formelhafte Klauseln) or (notarial) precedents do not normally fall under the AGBG, unless mass transactions (Massenvertrge) are involved. It suffices, if the user is earnestly prepared to negotiate (verhandlungsbereit) and the other party actually makes use of the possibility of influencing the content of the contract. Inconsistent oral arrangements entered into by a representative are binding, unless it is apparent (erkennbar) to the other party that the representative lacks appropriate authority (Vertretungsmacht), in which case 177ff BGB apply. The necessity for agreement is significantly reduced where a businessman (Kaufmann) is concerned, who knows or ought to be aware of particular AGB (eg, due to a previous course of dealing (dauernde Geschftsbeziehung)) or who accepts them without objection. In particular, AGB are deemed to be incorporated even without specific agreement, if they are usual in the relevant line of business (branchenblich) or accord with commercial custom (Handelsbrauch). Clauses in notarially documented agreements can be surprising, if the Notary fails to give a sufficient caution (Belehrung) regarding their legal effect ( 17(i) BeurkG). One can fall back on 9 AGBG, if a clause is not caught by 1011. The following are specifically prohibited in 11 AGBG: (a) Clauses which exclude or limit liability for loss due to an intentional or grossly negligent breach of contract by the user, his statutory representative or assistant (including loss arising from conduct during contractual negotiations): 11 No 7 AGBG. 11 No 7 AGBG applies by analogy to clauses excluding liability for tort (ie, claims for damages under 823,831 BGB). See also 276(ii) BGB. (b) Clauses which exclude or limit the right of the other party to rescind the contract or claim damages in the event of delay or impossibility of performance caused by the user: 11 No 8 AGBG. (c) Clauses which exclude or limit guarantee rights (Gewhrleistungsansprche) of the other party in respect of things or services, which are newly manufactured or supplied: 11 No 10 AGBG. (d) Clauses which exclude or limit the users liability for damages under 463, 480(ii), 635 BGB in a contract of sale, for services or for work and materials, where the user has given an assurance regarding a particular quality (Eigenschaftszusicherung): 11 No 11 AGBG. See Schuster (Note 2 in this Chapter), Section I (4)(7).
75
76
77 78 79
80 81
82 83
84
85 86 87
88
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Notes
89 90 91 92 See Creifelds under Frist. In criminal proceedings, such an application is also possible, if a hearing date is missed. See Creifelds under Wiedereinsetzung in den vorigen Stand; Chapter XIII, Note 76. See Lwisch, 19; Note 47 C in this Chapter. See Dannemann, Section II, 13; Schulte, Vol 1, Chapter 10 XI; Youngs (CL), Chapter 6, Part XVI3. In German law, limitation of actions (Verjhrung) is not a procedural rule. The subject is contained in the BGB and is, therefore, part of the substantive law. This classification is now recognised in England by the Foreign Limitation Periods Act 1984. See Collier, Part I, Chapter 6. Changes to this area of law (in particular, a reduction of the normal limitation period to three years) are due to come into effect on 1.1.2002. See Reinelt, ZAP-Kolumne 15/01, p 931; Bereska, ZAP, Fach 2, p305. See Note 20 in this Chapter. See Dannemann, Section II, 13 and Section III 3 (h). See also: Preface to Second Edition, Note 11; Chapter XIC 5. See Neuhaus, ZAP, Fach 4, p 669. Regarding a gratuitous loan (Leihe) see 606 BGB. See Dannemann, Section II, 13; Youngs (CL), Chapter 5, Part VII 3. See Chapter XF 4 (g)(i). In the absence of contrary arrangement or provision regarding the time for performance (Leistungszeit), performance can be required by the creditor or undertaken by the debtor immediately (sofort ): 271(i) BGB. If the debtor has an immediate duty to perform (Leistungspflicht), the Leistung is referred to as being fllig (due). By means of a Stundung, the Flligkeit (time at which the Leistung is due) of the Leistung can be postponed. See Klunzinger (Einfhrung), Part III, Chapter 2 ( 261); Creifelds under Leistungszeit; Note 124 in this Chapter. But see 11 No 10(f) AGBG. For further information, see generally Creifelds; Kaiser, Parts II-IV; Klunzinger (Einfhrung), Parts III and IV ( 2157); Brox (AS) and (BS); Medicus (AT) and (BT); Model/Creifelds/Licntenberger, Part 3 F (311 332a); Fikentscher; Schellhammer (ZR), Books 1 and 2 (Parts 132); Reich /Schmitz, Chapters 3 and 4; Schlechtriem (AT) and (BT); Westermann (Grundbegriffe), Chapters 813. In common parlance the term Vertrag usually only refers to the establishment of Verpflichtungen (in a Vervflichtungsgeschft). However, its main constituent element is an Einigung (Willensubereinstimmung): in German legal language it includes Verfgungen. See Schulte, Vol 1, Chapter 211; Zweigert and Ktz, Part II A I (Chapter 31 II); Note 62 in this Chapter 3, below. See the diagrams in Klunzinger (Einfhrung), Part II, Chapter 2 ( 9, Section II; Kausale und abstrakte Rechtsgeschfte and Abstraktionsprinzip) and Chapter X D 2 (v) post. See also: Kallwass, Section 2, Chapter 5 ( 25); Reich/Schmitz, Chapter 2 C; Schellhammer (ZR), Book 3, Part 34, Chapter 2; Schwab (Einjkrung), Part V, Chapter 2. The difference between a Verpflichtung and a Verfgung is succinctly put by Medicus (BR), 3 I 3: Die Verpflichtung bindet, die Verfgung wirkt (the obligation binds, the disposition takes effect). See Meyer, Part E, 4 III. See Fikentscher, Section 9, 66 III; Wesel (FR), Chapter 3 (Kauf). See also: Chapter X D 3 (c) (ii)/(iii) The components of a transfer of ownership. A Verpflichtung zur bereignung can be based not only on a contract of purchase (Kaufoertrag), but also on other types of Vertrag (eg, a contract for services (Werkvertrag: 631 BGB) or a contract of work and materials (Werkli/erungsvertrag: 651 BGB). Regarding these, see, respectively, Notes 166 and 234 in this Chapter. See also Meyer, Part II, 6 A. A transfer of ownership is only one type of Verfgung: see Schulte, Vol 1, Chapter 1 V. In order to assess whether the application (Anwendung) of a legal provision (Rechtssatz) or norm is possible in a particular case, one must interpret the relevant provision/norm (Auslegung) and establish whether the Sachverhalt (set of facts) involved can be subsumed under it (so-called Subsumtion). The process of Subsumtion is part of German lawyers daily work or, in the words of Wesel, their ABC see Wesel (JW), Chapter I (Dos Arbeitsfeld des Juristen).
93 94 95 96 97 98
99 100
101
102
103 104
105
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See also: Chapter X B 1 4 (Note 18); Chapter X B 1 5 (Note 22); Chapter X B 2 (b) (Note 44); Chapter XIII, Note 67; Chapter XVI C (Note 16); Creifelds under Auslegung (Interpretation) I and Rechtsanwendung; Baumann (ER), Part I, 4; Engisch, Chapters III-V; Honsell, 2 III; Klunzinger (Einfhrung), Part I, 3 I-II; Lwisch, 4 and 5, pages 915; Rehbinder, Chapter II, 12; Schwab (Einfhrung), Part I, Chapter 1 D and Chapter 2 C. A Schuldverhltnis aus Rechtsgeschft (obligation created by legal transaction) can be einseitig begrndet (based on the declaration of (only) one participant)examples being Auslobung (public offer of reward; 657 BGB) and Vermchtnis (legacy; 1939 BGB)or, usually, zwei- oder mehrseitig begrndet (based on the declarations of two or more participants) - as in the case of a Vertrag (see 305 BGB). Vertrag can be distinguished according to whether it is: contractual (schuldrechtlich). Such a Vertrag can be: einseitig verpflichtend (unilaterally obliging)the sole example being a Schenkungsversprechen (promised gift; 518 BGB); for examples of unilateral contracts in English law, see Carlill v Carbolic Smoke Ball Co (1893) 1 Q.B. 256 (CA); Errington v Errington and Woods [1952] 1 KB 290 (CA). usually, zwei- oder mehrseitig verpflichtend (bilaterally or multilaterally obliging). The latter type of Vertrag is, in turn, classified as either: gewhnlich (usual) or unvollkommen (incomplete); or gegenseitig (mutual / reciprocal) or synallagmatisch (synallagmatic). Many very common contracts dealt with in the BGB are gegenseitige Vertrge eg, Kauf, Tausch, Miete, Pacht, Dienst- and Werkvertrag. There is a synallagma, ie, the (reciprocal) Leistung of each party is dependent on that of the other party. The rationale of such contracts (of exchange (Austauschvertrage)) is best expressed by the Latin phrase Do ut des (I give, so that you give). See Creifelds under Gegenseitiger Vertrag; Gernhuber/Grunewald, Part 3 ( 17); Medicus (BR), Section I, Chapter 2 (12). 323325 and 326 BGB contain special provisions where there is a Leistungsstrung (disturbance in performance) in a gegenseitiger Vertrag (ie, Unmglichkeit or Verzug, respectively). See Note 126 E and F in this Chapter: based on the law of property (sachenrechtlich or dinglich); based on family law (familienrechtlich); based on the law of succession (erbrechtlich); or based on public law (ffentlich-rechtlich), rather than on private law (privatrechtlich). Regarding the fields in which a Vertrag can be found and the types of Vertrag, see Creifelds under Vertrag III, IV and V. See also Note 62 in this Chapter. Whereas a Rechtsgeschft requires Geschftsfhigkeit, the parties to a Schuldverhltnis need only be rechtsfhig: see Creifelds under Schuldverhltnis. Schuldverhltnisse are classified in detail in Fikentscher, Section 1, Subsection 2, 1013 and in Section 8, Introduction, 64. Dealt with in 823853 BGB. A detailed comparative study of the German law of tort is contained in Zweigert and Ktz, Part II C (Chapters 47-50). Dealt with in 812822 BGB. A detailed comparative study of the German law of unjust enrichment is contained in Zweigert and Ktz, Part II B (Chapters 45 and 46; see also Chapter 36IV). The characteristic of a gesetzliches Schuldverhltnis is that, in the absence of a Rechtsgeschft, there is an infringement of another persons interests and statute has to intervene: see Klunzinger (Einfhrung), Part IV, Introduction before 55. The following description of the arrangement of Sections 17 of Book II of the BGB is broad and cursory. It is intended as a framework for the English-speaking beginner, for whose purposes I consider that it suffices. In order to understand the system of Sections 17, the reader is recommended to compare my (inofficial) groupings of 241853 BGB with the text of the BGB itself. A study of each individual paragraph (in conjunction, if required, with a German textbook and /or commentary) is unavoidable, if further explanation is desired. The content of this Note is similarly applicable not only to my coverage of the other parts of the BGB, but also to my treatment of other German statutes in this book. See Klunzinger (Einfhrung), Part III, Chapter 2 ( 24426); Meyer, Part 1, 2 A III 1; Youngs (CL), Chapter 6, Parts XIII-XV. A Leistung (and the relevant Leistungspuidnt) can be classified according to whether it is main (ie, a Hauptleistung(-spflicht)) or accessory (ie, a Nebenleistung(-spflicht)), Both are so-called primare Leistungspflichte (primary duties of performance).
106
107 108
109
110 111
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Notes
Performance of a Nebenleistungspflicht can be independently enforced by court action (ie, it is selbstndig einJdagbar). To be distinguished from Hauptleistungspflichten and Nebenleistungspflichten are: so-called secondary duties of performance (sekundre Leistungspflichten, eg, the payment of damages), which arise following breach of a primary duty of performance; Nebenpflichten (accessory duties), which cannot be independently enforced; and Obliegenheiten (informal duties), which the person concerned should observe in his own interest (im eigenen Interesse), but which cannot normally found a claim for the other party. See Jauernig (BGB), 241, Note 4; Kaiser, Part II, 3 and 13 (at the end); Creifelds under Obliegenheit; Gernhuber/Grunewald, Part 3 ( 16); Medicus (BR), Section I, Chapter 2 ( 11); Notes 47 C, 126 F and 159 in this Chapter; Leistung. See Note 106 in this Chapter. A useful aid to understanding the term Gegenleistung (quid pro quo) is the phrase als Gegenleistung (fr).., the English translation of which is in return (for). See Schulte, Vol 2, Chapter 5 III 1. As 362(i) BGB puts it, the Bewirkung (effecting) of the Leistung ie, the Leistungserfolg. Conversely, Nichterfllung is the failure to effect the Leistung/fulfil the Leistungspflicht, ie, failure to perform / non-performance / breach. In 362(i) BGB the word Schuldverhltnis is meant in this (narrow) sense: see Fikentscher, Section 4, 3813. Regarding the meaning of the term Schuldverhltnis, see eg, Brox (AS), Chapter 2, 2 and Fikentscher, Section 1, Subsection 1 ( 71). A Schuldverhltnis is to be distinguished from a Geflligkeitsverhltnis (a relationship of grace and favour), which is merely socially, but not legally, binding. See Chapter X B 2 (b) (The term Willenserklrung). Regarding the meaning of the term Leistung, see Fikentscher, Section 1, Subsection 1 ( 8). Regarding the special meaning of the term Leistung in 812ff BGB and its meaning in 326 BGB, see under Leistun in Appendix A. A check-list for determining the content of a Schuldverhltnis (aus Rechtsgeschft) is set out in Fikentscher, Section 3, 26 V and X. Where the object of performance (Leistungsgegenstand) is generically characterised (der Gattung nach bestimmt) it is referred to as a Gattungsscnuld (generic debt) in contrast to a Stuckschuld (specific or individual debt). A Gattungsschuld is defined in 243(i) BGB: the obligation of the Schuldner is to supply a Sache of mittlerer Art und Gte (medium type and quality). The Schuldner is said to have a Beschaffungspflicht (duty of acquisition). The distinction between a Gattungsschuld and a Stckschuld has important consequences. Where there is a Stckschuld, the Glubiger carries the risk of performance. It there is a Gattungsschuld, by 279 BGB the Schuldner remains liable to deliver the object owed until exhaustion of the Gattung, even if he is not responsible for the (post-contractual, subjective) impossibility of performance. This is an exception to 275(i) BGB (see Note 126 F in this Chapter). However, once the Schuldner has done what is necessary to concretise the object of performance (das zur Leistung einer solchen Sache seinerseits Erforderliche getan) his obligation is limited to that (particular) Sache: 243(ii) BGB. The risk of performance (Leistungsgefahr) then passes to the Glubiger. See Note 234 B in this Chapter. Three remaining points should be noted: where there is a Gattungsschuld, the Leistungsgefahr also passes to the Glubiger, if he delays acceptance: 300(ii) BGB; where there is a Geldschuld (money debt), the Schuldner must ensure that the money owed actually reaches the creditor 270 BGB (there is a Schickschuld); where there is a generic purchase (Gattungskauf) and the Sache is defective, the purchaser does not have to make use of his rights to claim rescission (Wandlung) or a reduction in price (Minderung) under 462 BGB. Instead, he can insist on proper contractual performance and demand further delivery (Nachliejerung) of a thing free of defects (mangelfreie Sache): 480 BGB. See Creifelds under Gattungsschuld; Baumann (ER), Part II, 6 II 2 (b); Brox (AS), Chapter 4, 71; Gernhuber/ Grunewald, Part 5 ( 241); Kaiser, Part III, Section 1, 6; Klunzinger (Einfhrung), Part III, Chapter 2, 25 I; Medicus (AT), Part 3, 19; Medicus (BR), Section I, Chapter 2, 13 II 3; Schwab (Einfhrung), Part V, Chapter II E (c).
112
113 114
115
116
257

117 118 See eg, Brox (AS), Chapter 4, 81; Medicus (AT), Part 3, 18. The BGB draws a fundamental distinction between loss which relates to a persons assets (Vermgen)ie, material loss (materieller Schaden)and loss which is merely immaterial or ideal (ideel). 253 BGB excludes claims for immaterial loss, except in cases laid down by statute. Thus, German law generally only compensates material loss. See eg, Creifelds under Schadensersatz; Brox (AS), Chapter 7, 2427; Medicus (AT), Part 7 (5260). 249ff BGB only govern the extent and type of compensation for loss (Schaden). The provisions say nothing about the basis of liabilityie, the duty to compensate (Verpflichtung zum Schadensersatz) -which can arise from contract or statute. Moreover, it is an unwritten precondition of liability for damages under 249ff BGB that the relevant loss must be attributable (zurechenbar) to the other party, ie, mere is a duty to compensate only if and so far as the loss is caused (verursacht) by an event (Ereignis), for which the other party is responsible (haftet). There must be a causal connexion (Kausalzusammenhang) between the two. See Note 227 in this Chapter. See Youngs (CL), Chapter 5, Part IV C 3 and Chapter 6, Part XV B 3. See eg, Brox (AS), Chapter 4, 9. See eg, Brox (AS), Chapter 4, 7 II. See eg, Brox (AS), Chapter 4, 11 and 121; Medicus (AT), Part 3, 17. 271(i) BGB lays down no hard and fast rule for the time of performance. If the parties do not agree on a time for performance or it cannot be determined by statute, it must be gleaned from the circumstances (aus den Umstnden). See Schulte, Vol 2, Chapter 1 VII; Note 98 in this Chapter. See eg, Medicus (AT), Part 3, 22. A A Schuldverhltnis gives rise to a Leistungsverpflichtung on the part of the Schuldner ( 241 BGB; see above). B The BGB only deals with two types of Leistungsstrung: If the Schuldner does not carry out the Leistung (performance) required of himie, in the event of Nichterfllung (non-performance) there is a Leistungsstrung (disturbance/irregularity in performance). Unmglichkeit (impossibility); the BGB distinguishes between anfngliche (initial) and nachtrgliche (subsequent) Unmglichkeit; and Verzug (delay); the BGB distinguishes between Verzug des Schuldners (delay on the part of the debtor) and Verzug des Glubigers (delay on the part of the creditor). C Outside the BGB, the principle of positive Vertragsverktzung (PVV; positive breach of contract) and the doctrine of the (Wegfall der) Geschftsgrundlage ((falling away (collapse) of the) basis of the transaction (frustration) were developed to handle situations requiring relief not falling within impossibility or delay A claim seeking a remedy for positive breach of contract (PVV) requires an existing Schuldverhltnis (obligation)rechtsgeschftlich or gesetzlichand is mainly used in cases of Schlechtleistung (bad performance) and Verletzung einer Nebenpflicht (breach of an accessory duty). PVV is excluded, to the extent that a claim under a Gewahrleistungsvorschrift (guarantee provision) of the BGB is available, as, eg, in a contract of sale (Kauf) or rental (Miete). See Jauernig (BGB), 276 V; Notes 47 C and 188 in this Chapter. D The liability (Einstehenmssen /Haftung) of a Schuldner for a Leistungsstrung usually depends on the Schuldners Verschulden ((blame) also referred to as Vertretenmiissen). The question is: is the Leistungsstrung the fault of (due to) the Schuldner (von ihm zu vertreten)? The civil law concept of Verschulden is defined in 276 BGB: in so far as there is no different provision, a Schuldner is liable for Vorsatz (intent) and for Fahrlssigkeit (negligence). A person acts negligently, if he does not observe the (normal) degree of care which social contact requires (die im Verkehr erfbrderliche Sorgfalt). Apart from being a component of most Leistungsstorungen, Verschulden is a condition for liability under the (unwritten) principle of culpa in contrahendo (etc; see Notes 18 and 135 in this Chapter), for PVV and also a requirement for a claim in tort (unerlaubte Handlung; 823 ff BGB). However, while, as a rule, both in contract and in tort there can be no responsibility without blame (keine Verantwortlichkeit ohne Verschulden), liability independent of blame (verschuldensunabhngige Haftung) can arise by agreement of the parties or by statute (Garantiehaftung; Medicus (AT), Part 5, Section 1, 29 and 31 II). In particular, in certain cases, there is, exceptionally, Haftung ohne Verschulden (ie, the Schuldner is
119
120 121 122 123 124
125 126
258
Notes
liable without Verschulden/in any event), eg, for faulty goods (under 459 ff BGB)so-called Erfolgshaftung (liability for the result)or for the various situations in which Gefahrdungshaftung (strict liability) is laid down by statute (eg, in the case of road and rail traffic accidents (Verkehrsunflle) and where the keeper of an animal (Tierhalter) is liable for damage caused by it ( 833 BGB)). Thus, in the German law of obligations, there are two major branches/principles of liability -liability for fault (Verschuldenshaftung) and strict liability (Gefhrdungshaftung). See Fikentscher, Section 5, 53 and Section 16, 109. For a list of common Anspruchsgrundlagen in traffic accident cases, see Grneberg, ZAP 12/00, Fach 9, p 567 (Section I). See also Note 222 E in this Chapter. Regarding capacity, see Note 5 in this Chapter. The BGB distinguishes between a Leistungsstrung in the case of an einseitiges Schuldverhltnis (unilateral obligation; 275304, 306309 BGB) and a Leistungsstrung in the case of a gegenseitiger Vertrag (mutual/reciprocal/synallagmatic contract; 320327 BGB). Regarding the former, the question that arises is (apparently) simple: Wie verndert sich die Pflicht zur Leistung durch die Leistungsstrung? How is the duty of performance altered (affected) by the Leistungsstrung? (Medicus (AT), Part 5, Section 2, before 33). Thus, if, at the time the contract is concluded, performance is objectively (initially) impossible (anfnglich unmglich), the contract is void: 306 BGB. However, 306 BGB does not apply, if performance is only (subjectively) impossible for the Schuldner. In such a case, the contract is completely valid and the Schuldner cannot avoid liability (so-called Garantiehaftung fr anfngliches Unvermgen). The BGB contains complex rules setting out the consequences for the Schuldner of a Leistungsstrung and the effect of a Leistungsstrung in the case of a gegenseitiger Vertrag, ie, the position (and rights) of the Glubiger (creditor) and the fate of his Gegenteistung (counter-performance). Thus, for example, if, after conclusion of a contract, a Leistung (subsequently) becomes -objectively or subjectivelyimpossible (nachtrglich unmglich) without blame on the part of the Schuldner, he is freed from the obligation to perform (von der Verpflichtung zur Leistung frei): 275(i) BGB. The Glubiger carries the risk of performance (Leistungsgefahr). Regarding the position in the case of a Gattungsschuld, see Note 116 in this Chapter. If neither party is to blame for the impossibility (ie, it is fortuitous (zufllig)), the Schuldner loses his claim to the Gegenleistung: 323(i) BGB; he carries die price risk (Preisgefahr). To be contrasted with the situationin a gegenseitiger Vertragwhere the Leistung is irnpossible, is the position where there is delay (Verzug) on the part of die Schuldner. By 326 BGB, die Glubiger has various (alternative) remedies: subject to the setting of an appropriate deadline (angemessene Frist), the Glubiger can claim damages or rescission. Both result in the contract being transformed into a winding-up relationship (AbwickLungsverhltnis). No deadline is required, if performance of the contract is (objectively) no longer of interest to the Glubiger: 326(ii) BGB. By 327 BGB, 346356 BGB are of corresponding application to the (statutory) right of rescission in 326 BGB; the Glubiger can, instead, opt to uphold die contract, demand performance (Erfllung) and claim recovery of the loss due to the delay (Verzugsschaden): 286(i) BGB. Verzug is defined in 284285 BGB. Verschulden (blame) is necessary. Moreover, for die purpose of 326 BGB, the delay must relate to the performance of a main obligation (Hauptpflicht) See Notes 111 and 127 in this Chapter. See generally Fikentscher, Section 5 ( 45). Cf 361 BGB. The Schuldner usually carries the risk of (receipt of) the price (Preisgefahr) until he has completely performed (ie, until Erfllung). Regarding the time of transition of (price) risk (Gefahrbergang) in die case of a Kaufoertrag see 446, 447 BGB; in die case of a Werkvertrag see 644646 BGB. It is important to understand that these are special provisions (Sonderregeln)/ exceptions to 323 BGB and only deal with die situation where there is a fortuitous destruction or deterioration (zuflliger Untergang oder Verschlechterung) of the Sache or WerK after conclusion of die contract. In such circumstances, there is a transition of (price) risk to the purchaser or customer usually from the moment of bergabe (delivery; 446 BGB) or Abnahme (acceptance; 644 BGB), as appropriate. If, however, one of the parties is responsible for the destruction or deterioration (ie, the subsequent impossibility is his fault (von ihm zu vertreten)), the normal rules regarding the Preisgefahr in 324 and 325 BGB apply.
259

See Creifelds under Gefahr(tragung); Brox (BS), Chapter 1, 4 and Chapter 3, 22; Fikentscher, Section 9, 67 and Section 11, 80; Medicus (BR), Section I, Chapter 1, 13 IV; Schulte, Vol 1, Chapter 5IV and VI and Vol 2, Chapter 6 III; Youngs (CL), Chapter 6, Part XIV, Section C 3. Whenever there is no proper performance (Leistung) of an existing (contractual) obligation (Schuldverhltnis), the following questions, therefore, become important: What type of disturbance in performance (Leistungsstrung) is involved? Who is responsible for it? The obligee (Schuldner) or his assistant (Erfllungsgehilfe; 278 BGB)? Does that persons conduct fall within the dfinition of fault (Verschulden) in 276(i) BGB? Who bears the burden of proof (Beweislast)? Are any special statutory provisions relevant? What remedies can be claimed? The question of the burden of proof is now dealt with in more detail. The general principle regarding the (reversal of the) burden of proof (Beweislastumkehr) in cases of (subsequent) impossibility (nachtrgliche) Unmdglichkei ana delay (Verzug) is laid down in 282 and 285 BGB, respectively It is also of corresponding application to cases of PVV and culpa in contrahendo ie, it applies to all types of obligation, other than tort. Under these provisions, contrary to the general rule that all preconditions for a particular Anspruch (claim) must be established by the claimant, the Schuldner carries the burden of proving that he was not at fault within the meaning of 276, 278 BGB, ie, that the Leistungsstrung was not caused by circumstances for whicn he was responsible. In other words, once a Leistungsstrung is established, the Schuldners fault (Verschulden) is (rebuttably) presumed and it is for him to present exonerating evidence (Entlastungsbeweis). The rule in 282 BGB applies both if performance (Erfllung) is being claimed (and the Schuldner relies on 275(i) BGB as a defence) and if damages for non-performance (Schadensersatz wegen Nichterfllung; 280,325 BGB) are being sought. In the latter situation, the Glubiger has to prove both the impossibility (of performance) itself and the causation (Kausalitt) between the impossibility and the damage suffered. Prima facie evidence (Anscheinsbeweis) can ease the burden of proof, both for the Schuldner and Glubiger. However, the Schuldner bears the burden of any remaining doubt, if the cause of a Leistungsstrung is unclear, but falls within his area of responsibility (Veraniwortungsbereich). The burden cannot be shifted onto the other party by standard business terms: 11 No 15 (a) AGBG. By 283 BGB, if the Glubiger obtains a finally binding judgment for performance and sets an appropriate time limit (Frist), damages for non-performance can be claimed without having to prove impossibility. After expiry of the time limitwhich can be set by the court on application ( 255 ZPO)the claim to performance (Leistungsanspruch) is converted into one for damages (Schadensersatzanspruch) . 325(ii) BGB extends 283 BGB, where a gegenseitiger Vertrag is concerned. See Fikentscher, Section 5, 44 II, 3; Jauernig (BGB), 282,283; Chapter XIII, Note 10. 282 BGB does not apply to employees engaged in risky activities (schadensgeneigte Arbeit). See Chapter XVIII I. In the case of tort claims, on the other hand, the injured plaintiff usually carries the burden of proof of fault although a Beweislastumkehr (reversal of the burden of proof) has been established by the courts in medical negligence actions (for a grober Behandlungsfihler (gross medical error)) and in cases involving product liability (eg, in The Fowl Pest case; see Youngs (CL), Chapter 5, Part I, Section G). However, under the Produkthaftungsgesetz (Product Liability Law; ProdHaftG), proof of blame is not required. By 1 ProdHaftG, subject to certain exceptions, the manufacturer (Hersteller) of a faulty product (fihlerhaftes Produkt) is (strictly) liable for damages, if the fault causes death or injury to body or health, even if the manufacturer is not to blame for the fault (ie, even if he discharges the (reversed) burden of proof (sich entlastet) for a claim under 823 BGB). The claimant need usually only prove the fault (Fehler), the damage (Schaden) and the causal link (urschlicher Zusammenhang) between them ( l(iv) ProdHaftG). The manufacturer is also liable, if the faulty product causes damage to (other) property (Sachbeschdigung), provided such (other) item of property was intended for private use or consumption and was mainly so used. However, the claimant must bear the first DM 1125 of the damage himself ( 11 ProdHaftG). In accordance with 3 ProdHaftG a product is faulty, if it does not provide the safety (Sicherheit) which can justifiably be expected of it bearing in mind all the circumstances, in particular:
260
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(a) its presentation; (b) the use which can fairly be reckoned with; and (c) the time at which it was placed into circulation (in den Verkehr gebracht). A product is not faulty merely because an improved product (verbessertes Produkt) was later placed into circulation ( 3(ii) ProdHaftG). Moreover, liability can be reduced in the event of contributory negligence ( 6(i) ProdHaftG) and no damages for pain and suffering (Schmerzensgeld) can be recovered. See Note 227 in this Chapter. The limitation period for a claim under 1 ProdHaftG is three years from the time knowledge of the damage, the fault and the identity of the manufacturer was, or should have been, obtained. The limitation period is prevented from running so long as negotiations regarding the damages payable remain pending ( 12 ProdHaftG). Claims under 1 ProdHaftG basically expire 10 years after the faulty product was placed into circulation ( 13 ProdHaftG). Liability under other provisions (eg, 823 BGB) is unaffected by the ProdHaftG ( 15(ii)). In so far as it applies, the ProdHaftG provides a claimant with additional protection. In English law, Part I of the Consumer Protection Act 1987 imposes strict liability for personal injury and damage to property caused by defective products. Like the ProdHaftG, it was enacted pursuant to an EC Council Directive (of 25.7.1985). See Creifelds under Produkthaftung; Chapter XIII, Note 10 4; Dannemann, Section IV, 4(b); Youngs (CL), Chapter 5, Part II, Section F; Zweigert and Ktz, Part II C, Chapter 491 and V. K See generally: 275304, 306309 and 320327 BGB; Creifelds under Leistungsstrungen, Unmglichkeit der Leistung, Schuldnerverzug, Glubigerverzug, Verschulden, Haftung, Positive Vertragsverletzung, Geschftsgrundkge, Gefhrdungshaftung and Gegenseitiger Vertrag. See also the very detailed coverage of the topic of Leistungsstrungen in Zweigert and Ktz, Part II A I (Chapter 43 (entitled Breach of Contract) and Chapter 44 (entitled The Effect of Supervening Events)) and the innumerous German textbooks and commentaries on Schuldrecht (Allgemeiner Teil) eg, Brox (AS), Chapter 6, 1823; Fikentscher, Section 5 ( 4148); Kallwass, Section 3, Chapter 2 ( 4145); Medicus (AT), Part 5 ( 2846); Meyer, Part E, 5 B and D; Schulte, Vol 2, Chapter 1. L Regarding strict liability in tort (Gefhrdungshaftung) see the comments under Strict Liability and Animals in the Sourcebook, Chapter 6; Dannemann, Section IV, 4; Youngs (CL), Chapter 5, Part I, Section D; Zweigert and Ktz, Part II C, Chapter 49 II. On 1.5.2000, the Gesetz zur Beschleunigung flliger Zahlungen (Law to Accelerate Due Payments) brought into force changes to 284 and288 BGB. By the new 284(iii) BGB, once a money debt has become due (flling) Verzug (delay) (only) arises automatically (ie, by operation of law) 30 days after receipt of a bill (Zugang einer Rechnung) or an equivalent demand for payment (Zahlungsaufforderung). A prior warning (Mahnung) is no longer necessary nor sufficient to establish delay. The rule in 284(iii) BGB is dispositive, but it cannot be derogated from in a consumer contract (Verbrauchervertrag) to the disadvantage of a consumer. In an individual contract (Individualvertrag), however, it can, eg, be agreed that the 30 day (grace) period for payment (Zahlungsfris) be shortened or that a Mahnung (still) be permitted. Maturity (Flligkeit) alone does not always suffice to establish delay. According to 284(ii) BGB, only in respect of payments recurring on particular fixed dates (wiederkehrende Geldleistungen)ie, where an ongoing obligation (Dauerschuldverhltnis) existsdoes delay arise when the payments become due (fllig). The provision does not extend to one-off payments (Einmalzahlungen), even if these are owed on a certain date (kalendermig bestimmt). See Hertel, ZAP 10/00, Fach 2, p 275. Hertel criticizes that the new provisions have turned the previous law on its head (aufden Kopf) and diverge from a draft EU Directive to combat delays in payment (dated 3.12.1998). In particular, Hertel points out that the new 284(iii) BGB is meant to be exhaustive (abschlieend), but its wording is too broad and requires teleological reduction. See also: Stollenwerk, ZAP-Aktuell 3/01, p 125. After 1.5.2000, the statutory rate of interest during delay is 5% over the base rate (Basiszinssatz). of the German Federal Bank ( 1 Diskont-berleitungs-Gesetz). This rate applies correspondingly to interest on money debts, which are the subject of court proceedings (Prozezinsen), from the time the proceedings are legally pending: 291 BGB. See Youngs (CL), Chapter 6, Part XIV, Section D. See Meyer, Part 1, 2 A III 2. See Note 106 in this Chapter.
127
128
129 130 131
261

132 305 BGB presupposes the principle of freedom of contract (Vertragsfreiheit). It lays down the basic rule that, unless statute otherwise provides, an obligation created by legal transaction can only be established or amended by way of a contract (Vertrag) between the parties. 305 thus forms the basis for all types of contractual obligation. See Notes 23, 106 and 159 in this Chapter; Brox (AS), Chapter 3, 31 and 4 I; Jauernig (BGB), 305; Medicus (AT), Part 2, 9. See eg, Brox (AS), Chapter 4, 5 II; Medicus (AT), Part 3, 21. See below, Title 5. A See Creifelds under Vertrag zugunsten Dritter. See also: Brox (AS), Chapter 8, 28; Fikentscher, Section 3, 371-VI; Gernhuber/Grunewald, Part 3 ( 18); Ktz (EVR), Part B, 13; Medicus (AT), Part 9, 66; Schulte, Vol 1, Chapter 10 VII; Zweigert and Ktz, Part II AI (Chapter 41 (entitled Contracts for the Benefit of Third Parties)). A variation of the Vertrag zugunsten Dritter is the concept of the Vertrag mit Schutzwirkung zugunsten Dritter (contract with protective effect in favour of a third party), which derives from 242 BGB and has been developed by case-law. In The Fall in the Supermarket Case (Sourcebook, Chapter 5) the defendant would have been liable (for damages) under the principle of culpa in contrahendo to the mother of the plaintiff child, had the mother herself been injured. As it was, the plaintiff was able to base her (contractual) claim for breach of accessory duties (Zvertragliche Nebenpflichten) on her mothers (precontractual) position: there was a Vertrag mit Schutzwirkung zugunsten Dritter. The motivation for this outcome lay in the different limitation periods for claims in contract and tort ( 195 as against 852 BGB) and the reversal of the burden of proof ( 282 BGB). By means of the concept of the Vertrag mit Schutzwirkung zugunsten Dritter, the protective duties/ duties of care (Schutzpflichten) emanating from a contract are extended to a person outside the direct contractual relationship in circumstances, in which it is apparent to (erkennbar), or foreseeable by (voraussehbar), the obligor that the obligee typically has an interest in the inclusion (Einbeziehung) of such a person in the protective sphere of the contract (Schutzbereich des Vertrages). One speaks of the proximity of the third party to the act of performance (Leistungsnhe). The consequence is that the third party has a personal claim for damages (PVV / cic) against the obligor, if the relevant duties are breached. The extent of the Schutzpflichten of an obligor in a particular case is unclear, but one criterion is whether it is acceptable (zumutbar) for the obligor to bear (increased) liability. Moreover, the third partys claim can be affected by exclusion clauses (see the AGBG) and can be reduced due to contributory fault on the part of the obligee: 254 BGB. The concept has been applied to contracts of all kinds, eg, building contracts, contracts for services, tenancy agreements, travel contracts and contracts with professional advisers. In particular, the concept makes up for the deficiencies of tort law. Thus, claims for vicarious liability can be brought on a contractual basis in conjunction with 278 BGBwhich imputes the fault of an Erfllungsgehilfe to the obligorinstead of seeking to rely on 831 BGB, which provides an imperfect cause of action, because it is possible for the target principal to supply exonerating evidence (Entlastungsbeweis). See Notes 215 and 222 in this Chapter; Fikentscher, Section 3, 37 VII; Medicus (AT), Part 9, 67; Schulte, Vol 3, Case 28 (Elektrogerte). B The Termination of Negotiations Case (Sourcebook, Chapter 5) is an illustration of the application of the principle of culpa in contrahendo where precontractual negotiations are broken off without good reason. In that case, the plaintiffs justified expectation that a licence would be granted to it was disappointed. Similarly, wasted costs can be claimed on the basis of culpa in contrahendo, if a property purchase falls through (ZAP EN-Nr 708/99) or if significant disputes concerning the property are not revealed (ZAP EN-Nr 37/00). Other fruitful areas for claims based on culpa in contrahendo are the failure (omission) to fulfil a duty of disclosure (Aujklrungspflicht, eg, on the sale of a business (ZAP EN-Nr 472/01)) and negligent misrepresentation (fahrlssige Tuschung) . The equivalent German concept for fraudulent misrepresentation (deception) is arglistige Tuschung ( 123 BGB). The principle of culpa in contrahendo was established by Jhering in 1861. Its underlying rationale is that entry into precontractual negotiations (Vertragsverhandlungen) gives rise to a quasi-contractual relationship of trust (vertragshnliches Vertranensverhltnis) between the parties. This in turn results in duties of care (Sorgfaltspflichten) and of consideration (Rcksichtnahme) towards each other, which exist even if the negotiations ultimately fail (scheitern) and there is no preliminary contract (Vorvertrag) or other express agreement. A blameworthy breach (schuldhafte Verletzung) by one of the parties of
133 134 135
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Notes
these duties will entitle the other to compensation (Schadensersatz). The blameless party (vertragstreue Partei) may, eg, have made other arrangements (Dtspositionen) in reliance on the negotiations. See Notes 18, 47 A, 66 and 126 D in this Chapter; Creifelds under Vertrag III; Dannemann, Section II, 11; Ktz (EVR), Part A, 1 III and 2 D; Medicus (AT), Part 2, 14; Youngs (CL), Chapter 6, Part III C, Part V and Part XIIF and G. C Culpa in contrahendo is available quite apart from claims for mistake, deception or threat ( 119123 BGB) or tort ( 823ff BGB). However, like PVV, cic only applies in the absence of special statutory provisions. Thus, for example, false information specifically regarding the object of a contract of sale or rental falls under 459ff BGB and 538 BGB, respectively. One of the reasons for cic is that vicarious liability in tort can often be avoided under 831 BGB, ie, where injury is caused not by the defendant, but by his servants or employees, the plaintiff would otherwise be left without a remedy. See Jauernig (BGB), 276 VI; Schulte, Vol I, Chapter 5 XI; Note 222 in this Chapter. D Culpa in contrahendo is accepted as a principle of customary law (Gewohnheitsrecht), although it can also be regarded as flowing from 242 BGB. See Fikentscher, Section 2, 20IV. By 329 BGB, in the event of doubt, an Erfllungsubernahme (ie, a (merely internal) promise of performance between an old and a new debtor) does not give the creditor a right to demand performance. It is therefore not a genuine contract for the benefit of a third party. Cf Schuldbernahme. See Note 157 in this Chapter. See eg, Brox (AS), Chapter 4, 10. The effect of rescission (Rcktritt) is that for the future (ex nunc) the contract is converted into/replaced by a so-called Rckgewahrschuldverhaltnis, ie, an obligation on each side to return what was received, or, in the case of services or the use of a thing, their value (Werf): 346 BGB. Rescission itself leaves the property law consequences of the transaction unaffected. The effect of Anfechtung (challenge), on the other hand, is that the contract is nullified (ie, destroyed, not converted) ab initio (ex tunc). Retrospective winding-up (Ruckaburicklung) is effected via the unjust enrichment provisions ( 812ff BGB). See Creifelds under Rcktritt vom Vertrag; Notes 48,147 and 245 in this Chapter; Brox (AS), Chapter 5, 17; Fikentscher, Section 5, 48 II; Gernhuber/Grunewald, Part 5 ( 25); Schulte, Vol 1, Chapter 10 IX. Regarding the position in English law ie, the right of an innocent party to terminate a contract for anticipatory (repudiatory) or actual (fundamental) breach/default, see Cheshire, Fifoot and Furmston, Chapter 18, Parts 6 and 7. In English law, the term rescission is commonly used to refer to one of the remedies for misrepresentation. See Cheshire, Fifoot and Furmston, Chapter 9, Part 1 D. See Creifelds under Fixgeschft; Fikentscher, Section 5, 45IV. If the transaction is a Fixhandelskauf (fixed time trade purchase), rescission or damages can be claimed. However, if damages are sought blame must be shown. See 376(i) HGB; Capelle / Canaris, Part E, Section 5, 29IV. See Note 266 in this Chapter. See generally Jauernig (BGB), 346ff; Kaiser, Part II, Chapter 20; Medicus (AT), Part 6, 4849. See Klunzinger (Einfhrung), Part III, Chapter 3 ( 3233); Brox (AS), Chapter 5, 1316; Fikentscher, Section 4 ( 3840); Gernhuber / Grunewald, Part 5 ( 26); Medicus (AT), Part 4 ( 2327). Regarding the difference in meaning between Erfllung and Leistung see this Chapter at Note 114. See Medicus (AT), Part 6 ( 4751); Schwab (Einfhrung), Part V, Chapters 68. See Nullity and Challengability of a Wzzlenserttarung and Form and nullity of a Rechtsgeschft in this Chapter. See Nullity and Challengability of a Willenserklrung in this Chapter. Kndigung only operates for the future (ex nunc). There is no retrospective exchange of Leistungen (Rckaustausch) as in the case of rescission (Rcktritt). See Medicus (AT), Part 6, 50; Chapter XVIII, Notes 6 and 7; Note 138 in this Chapter. See Note 75 in this Chapter. See Note 47 in this Chapter. An Aufhebungsvertrag is often used as a means of terminating a contract of employment. See Chapter XVIII, Note 5. Novation is the replacement of one debt by another (Schuldersetzung).
136
137 138
139
140 141 142 143 144 145 146 147
148 149 150
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151 152 153 154 155 156 See Note 126 in this Chapter. See the previous page in this Chapter (Title 5). See Schulte, Vol 1, Chapter 10 VI. See Schulte, Vol 1, Chapter 10IV. See eg, Brox (AS), Chapter 8, 29; Medicus (AT), Part 8 ( 6165); Schulte, Vol 1, Chapter 10 II. See also Zweigert and Ktz, Part II AI (Chapter 40 (entitled Assignment)). The provisions regarding contractual assignment are of corresponding application to assignment of a claim by operation of law (cessio legis), eg, under 774 BGB, 67 VVG, 116 SGB (Book X). See Fikentscher, Section 6, 58. Under a Schuldbernahme, there is an exchange of debtors (substitution). Schuldbeitritt or Schuldmitubernahmenot dealt with in the BGBdescribes the situation where a new (additional) debtor joins the old one. It results in a Gesamtschuld (joint debt) and can arise by agreement or, in certain cases, by statute. Neither a Schuldbemahme or Schuldbeitritt require a particular form. See Creifelds under Schuldbernahme and Schuldmitbernahme; Brox (AS), Chapter 8, 30; Meyer, Part III, 7 B II; Schulte, Vol 1, Chapter 10 III; Notes 136,177 and 238 in this Chapter. See eg, Brox (AS), Chapter 9, 3133; Medicus (AT), Part 9 ( 6869); Schulte, Vol 1, Chapter 10 X. See generally Creifelds; Fikentscher, Sections 816 ( 64114); Kaiser, Parts III and IV; Klunzinger (Eirrfuhrung), Part IV ( 4357); Brox (BS); Medicus (BT); Meyer, Part 1, 2 A IV; Model/Creitelds/ Lichtenberger, Part 3 F (315332); Reich/Schmitz, Chapter 4. When referring to the special part of Book II of the BGB, the following points must always be borne in mind: The various different types of rechtsgeschftliche Schuldverhltnisse set out in 433808a BGB are only examples. They are not comprehensive; others (atypical or mixed contracts) are possible: 305 BGB. They often develop independently of the BGBsee Chapter XI, Note 42. Regardless of how a rechtsgeschftliches Schuldverhltnis is described by the parties, the question of now it is to be classified for legal purposes is dependent solely on what they agree are their Hauptpflichten (main obligations). See Note 111 in this Chapter. For the purposes of the BGB, the following types of contract (ie, obligational relationships arising from a Rechtsgeschft) are commonly distinguished: contracts for the disposal of an asset (Veruerungsvertrge) ie, Kauf, Tausch and Schenkung; contracts for the grant of the use of an asset (Gebrauchsberlassungsvertrge), ie, Miete, Pacht, Leihe and Darlehen; contracts involving the undertaking of an activity (Ttigkeit) for someone else, ie, Dienstoertrag, Werkvertrag, Reisevertrag, Maklervertrag, Auftrag, Geschftsbesorgungsvertrag and Verwahrung. It is important to note here that, in Roman law, contracts of service (Diensivertrge) and contracts for services (Werkvertrge) were classified as forms of a group of contracts described as locatio conductio (hire). Locatio conductio (lit the placing of something at the disposal of another) was treated as a unified concept along the lines or a contract of sale, but was given much less attention. See Fikentscher, Section II, 78; Honsell, 48; Nicholas, Chapter IV, 1,2 (b) 2. Similarly, in German law, the law relating to contracts of service was given sparse treatment in the BGB, with the result that the law of employment (Arbeitsrech) has largely developed outside the Civil Code. See Chapter XVIII, below: contracts for the advancement of a common purpose (gemeinsamer Zweck) in the form of a company (Gesellschaft); and contracts comprising special promises (besondere Versprechen), ie, promising a certain Leistung (ie, Leibrente, Spiel and Wette) or entered into in order to settle, establish or secure certain obligations (eg, Vergleich, Schuldversprechen, Anweisung, Burgschaft, Garantievertrag andSicherungsvertrag). See Creifelds under Vertrag 2; Fikentscher, Section 8 ( 6465); Schellhammer (ZR), Book 3, Part 33, Chapter 4 2 and Book 1, Parts 121. See Brox (BS), Chapter 1, 17; Fikentscher, Section 9, 6672; Meyer, Part II, 45; Schulte, Vol 2, Chapter 5. See Brox (BS), Chapter 1, 8; Fikentscher, Section 9, 73. See Brox (BS), Chapter 2, 913; Fikentscher, Section 10, 7475; Meyer, Part II, 6 D. See Brox (BS), Chapter 2, 15; Fikentscher, Section 10, 76. See Brox (BS), Chapter 2, 16; Fikentscher, Section 10, 77; Meyer, Part III, 7 A.
157 A
158 159
160 161 162 163 164
264
Notes
165 166 See Brox (BS), Chapter 3, 1719; Fikentscher, Section 11, 79; Meyer, Part II, 6 B; Chapter XVIII H (Note 60). Conclusion of a Werkvertrag. Apart from the general requirements of 104ff and 145ff BGB, 631(i) BGB makes it dear that conclusion of a Werkvertrag depends on agreement between the parties regarding the particular Werk (work) to be produced/supplied and the fee (Vergtung) to be paid by the customer (Besteller) to the manufacturer/ producer (Unternehmer). If no specific (or specifiable) fee is agreed, but one is to be expected in the circumstances, a fee is deemed to be implied: 632(i) BGB. The fee is assessed at the official rate for the particular work (Taxe), or, if none, at the usual level in the relevant business: 632(ii) BGB. (Cf English law, which allows reasonable remuneration to be claimed on a quantum meruit. See Cheshire, Fifoot and Furmston, Chapter 22, Part 2 A 6.) Object of a Werkvertrag The object of a Werkvertrag is defined in 631(ii) BGB. It includes not only the production or alteration of a thing (die Herstellung oder Vernderung einer Sache), but also the achievement of a (particular) (successful) result by means of work or the provision of service (eindurch Arbeit oder Dienstleistung herbeizufhrender Erfolg). Thus, a Werkvertrag can include a wide range of agreements, which, at first sight, might not be considered as a homogeneous group. The linking factor, however, is the concept of an Erfolg. Classification Although it is easy to state that the provision of services (Dienstleistung) is the dominant element of a Dienstvertrag and that the achievement of an Erfolg is characteristic of a Werkvertrag, classification of a particular contract as a Dienst- or Werkvertrag can prove difficult. The real distinction lies in the fact that, in the case of a Werkvertrag, payment is only due in the event of an Erfolg, ie, the producer bears the commercial risk (Unternehmerrisiko or Erfolgsrisiko). In a Dienstvertrag, no Erfolg is (technically) required (eg, normally, in the case of a contract (of treatment) with a doctor (Arztvertrag /Benandlungsvertrag) or lawyer (Anwaltsvertrag)). Certain types of Werkvertrag are the subject of special rules (eg, those listed in 407460 HGB (concerning shipment (Spedition), storage (Lagerung) or transport (Befrderung) of goods), the Reisevertrag (travel contract; 651a-651k BGB) and the Bauvertrag (building contract; see below). If die producer has to supply his own materials for production of the Werk, the contract is one of work and materials (Werklieferungsvertrag), which is normally governed by the provisions relating to sale of goods: 651 (i) BGB. On the other hand, the provisions regarding contracts for services ( 631ff BGB) apply, if an individualised Sache is to be produced. The same is the case, if the materials involved are only accessory ingredients (Zutaten) and their supply is not a significant element of the contract: 651(ii) BGB. The element of reward It is important to note that both a Dienstvertrag and a Werkvertrag are undertaken in return for reward (entgeltlich), while an Auftrag (gratuitous contract of instruction) is not remunerated. All three are examples of a contract for me carrying out of an activity (Ttigkeit) for another person. Thus, an Auftrag requires an intention to create legal relationsit is a Geflligkeitsvertrag, not a Geflligkeitsverhltnis (relationship of grace and favour). In turn, an Auftrag must be distinguished from a Geschftsbesorgungsuertrag (commercial mandate; 675(i) BGB)this involves the independent undertaking of a transaction (Geschft) for another person in return for reward, on the basis of a Dienst- or Werkvertrag. The relevant activity must relate to that other persons economic interests (Vermgensinteressen) and be undertaken by someone in a position of trust (Vertrauensstellung), eg, a lawyer, accountant, bank or trustee. Assuming that a contract can be classified as a Werkvertrag, what are the duties of the parties? What is their position before and after acceptance and what remedies are available, if there is a breach of contract? On whom is the burden of proof? Duties of the parties The producer (Unternehmer) has two main duties: manufacture of the Werk (= Herstellung); and delivery of the completed Werk to the customer (= Ablieferung). In particular, by 633(i) BGB, the producer must manufacture the Werk in such a way that it has any relevant guaranteed qualities (zugesicherte Eigenschaften) and does not have any faults (Mngel), such that the value or fitness for normal use of the Werk (or its contractually presumed use) are not suspended or reduced.
265

The customers main duties are to pay the agreed price (die vereinbarte Vergtung) and to accept the work. Importance of acceptance Acceptance (Abnahme) is of crucial importance. The customer is only obliged to accept the Werk, if the producer has manufactured it in accordance with the contract (vertragsmssig): 640(i) BGB. Until then, the customer can refuse acceptance ( 320(i) BGB), but not if detects are minor /insignificant (geringfgig/ unwesentlich). On acceptance, the customer is liable to pay the price: 641(i) BGB. The producer can request part payments on account (Abschlagszahlungen/Teilzahlungen): 632a BGB. Meaning of acceptance Acceptance is considered as usually consisting of two elementsthe acquisition of physical possession of the Werk and the express or implied approval of it by the customer as being essentially in conformity with the contract (Billigung). For this purpose, it suffices, if the customer, by his conduct, acknowledges that the condition of the Werk is to his satisfaction. If physical acceptance is not possible, due to the nature of the Werk, its function is taken by the moment of actual completion (Vollendung): 646 BGB. Breaches of contract Before acceptance, the general rules in the BGB regarding disturbances in performance (Leistungsstrungen)ie, 323ff BGBapply. Thus, if the producer is responsible for impossibility of performance or a delay in delivery, the customer can claim damages under 325 or 326 BGB, respectively The general limitation period of 30 years applies. After acceptance, the general rules are ousted. The customers principal and secondary rights, if there is a fault in the Werk, are laid down in 633ff BGB. Much shorter limitation periods then apply: 638(i)BGB. In appropriate circumstances, other remedies remain possible, eg, claims for damages under the principles of culpa in contrahendo and PVV for breach of accessory duties (Nebenpflichten) in the pre-and postcontractual phases. Rights of the customer What rights does the customer have, if a Werk does not conform to the contract? Before acceptance, the customer can claim performance /renewed manufacture (Neuherstellung) under 631 BGB. Alternatively, he can request removal of the defect (Beseitigung des Mangels)ie, repair (Nachbesserung)under 633(ii) BGB or, if this is overdue, carry out the repair himself: 633(iii)BGB. If attempts at repair fail, the rights of the customer before acceptance are those set out in 325, 326 BGB. Additionally, the customer can rescind the contract in the event of delayed manufacture, even without blame (Verschulden) on die part of the producer: 636(i) BGB. After acceptance, the customers (secondary) rightshis guarantee claims (Gewhrleistungsansprche) are set out in 634, 635 BGB. By 634 BGB, generally after expiry of an appropriate time limit (angemessene Frist), the customer can daim rescission of the contract (so-called Wandlung) or reduction of the price (so-called Minderung). 465467 and 469475 BGB, which relate to contracts of sale, are of corresponding application. By 635 BGB, if the producer was responsible for the relevant defect, the customer can, instead of seeking Wandlung or Minderung, claim damages against the producer. 635 BGB covers loss directly or closely related to the fault (so-called Mangelscnaden ), but more distant, consequential loss (so-called Mangelfolgeschaden) falls under PvV. The distinction is important, because while Mangelschaden is subject to the (short) limitation periods in 638 BGB, a claim for Mangelfolgeschaden only becomes time-barred after 30 years. By 640(ii) BGB, if, despite knowing of a defect, the customer unreservedly accepts the Werk, he loses his rights under 633, 634 BGB. However, claims under 635 BGB, PVV, tort or product liability remain possible. Burden of proof Before acceptance, the customer must prove the content of the contract. The producer must move proper performanceie, that the Werk is free of faults (mangelfrei)and that the Werk was manufactured in time (rechtzeitig) . This can be established by means of a certificate of completion (Fertigstellungsbescheimgung): 641a BGB.
266
Notes
After acceptance, the customer has the burden of proving divergences from the contract and any faults in the Werk. ^ The producer has the burden of proving that acceptance has taken place, if it is disputed. See Brox (BS), Chapter 3, 17 III and 2025; Fikentscher, Section 11, 7982; Meyer, Part II, 6 A; Schulte, Vol 2, Chapter 6; Notes 126,189 and 234 in this Chapter; Chapter XVIII, Note 60. BGBorVOB? In the building industry, an important role is played by the Verdingungsordnung fr Bauleistungen (VOB), which contains (internal) administrative regulations for the award of building contracts by the public sector. Part B of the VOB sets out standard terms of business, which can, by agreement, govern a private contract for building work. In such a case, the provisions in the BGB concerning contracts for services ( 631ff BGB) are ousted. See Creifelds under Verdingungsordnungen. Regarding building contracts, see further: Lepp, ZAP 14/89, Fach 5, p 17 (performance and guarantee); Lepp, ZAP 3/90, Fach 5, p 47 (consequential loss); Neuhaus, ZAP 17/00, Fach 5R, p 223 (recent developments). See Fikentscher, Section 11, 84. See Fikentscher, Section 11, 85. See Brox (BS), Chapter 4, 26; Fikentscher, Section 11, 8182; Meyer, Part E, 6 CIII See also: Note 166 in this Chapter; Auftrag. The rationale behind Geschftsfhrung ohne Auftrag (GoA). The rationale underlying 677ff BGB is that, although, generally, persons are not altruistic and have e business of others without authorisation, it ca no right to interfere with the business of others without authorisation, it can happen that, despite the absence of a formal legal relationship or a pre-existing, express permission, action in another persons interest is desirable or necessary in circumstances in which, normally, someone else would be responsible to undertake it. If so, it is right and proper that those who honourably intervene on behalf of other persons and thereby incur expenditure be granted relief/ reimbursement. Within the German law of obligations, the subject of GoA is traditionally dealt with after the law of contract, but before tort and unjust enrichment. It is a distinct basis of equitable, quasi-contractual liability. When 677ff BGB apply. Action taken for someone else is only governed by 677ff BGB, if the following elements are fulfilled: (i) other (contractual or statutory) authority for the action must be lacking; (ii) the relevant matter must objectively fall within the competence of another person, ie, it must fall within someone elses area of interest/ responsibility (there must be a fremdes Geschft); (iii)there must be an intention to undertake the matter for the other person (Fremdgeschftsfhrungswille). 677ff BGB do not apply, if the person conducting the matter (the Geschftsfhrer) does so under a mistaken belief that he is thereby looking after his own business: 687(i) BGB. In particular, the provisions are not intended to encourage busy-bodies or know-alls (Besserwisser), nor are they meant to benefit someone, who realises that he is not entitled to act at all, ie, who usurps his position (Geschftsanmaung; 687(ii) BGB). These cases of Eigengeschaftsjuhrung (self-transaction) are not protected. Position of the parties When 677ff BGB apply, the primary duty of the Geschftsfhrer is laid down in 677 BGB: a person, who undertakes a matter for someone else without authority, owes proper execution of the matter (ordnungsgeme Ausfhrung). He must observe the interests of the principal (the Geschftsherr) and must take into account that persons real or presumed wishes (wrklicher oder mutmalicher Wille). The Geschftsfhrer also has various secondary dutieseg, to notify the Geschftsherr as soon as possible, to await instructions (except in an emergency) and to hand over to the Geschftsherr anything he recovers in the course of the GoA: 681 BGB. Blameworthy breach of these duties can give rise to a claim for damages under general principles ( 280ff, 284ff, 823ff BGB; PVV). However, if the purpose of the GoA is to avert an imminent danger (dringende Gefahr), the Geschfisfhrer is only liable for intent or gross negligence: 680 BGB. If the assumption of the matter by the Geschftsfhrer accords with the wishes of the Geschftsherr, the GoA is regarded as justified (berechtirt) ana the Geschaftsfuhrer can claim reimbursement of his expenses (Ersatz seiner Aufwendungen) from the Geschftsherr: 683, 670 BGB. He can also claim typical consequential losses. GoA is normally justified in rescue cases. However, whether action by a public authority can be deemed GoA, thereby allowing reimbursement of costs, is controversial, as is the application of GoA in circumstances where the Geschftsfhrer has an existing contract with a third party.
167 168 169 170
267

If, on the other hand, the Go A is unjustified (ie, the action was undertaken against the principals wishes and this was apparent to the Geschftsfhrer), damages can be claimed against the Geschftsfhrer by the Geschftsherr: 678 BGB. The claim is regardless of whether or not the Geschftsfhrer was otherwise at fault; it supplements other possible claims for damages based on tort or unjust enrichment. The only exception is laid down in 679 BGB: the contrary wishes of the Geschftsherr are irrelevant, if the Geschftsherr has a duty in the public interest or a statutory duty of maintenance, which would not be fulfilled in time, if the relevant action were not taken. Go A would then be justified. A Geschftsherr, who has been enriched by an unjustified Go A, must return everything received because of the GoA: 684,1st sentence BGB. However, the Geschftsherr can subsequently approve the GoA, in which case the GoA then becomes justified: 684,2nd sentence BGB. See Brox (BS), Chapter 6, 31; Fikentscher, Section 11, 83; Gernhuber/Grunewald, Part 6 ( 27); Medicus (BR), Section E, 17; Meyer, Part E, 6 C III. See Brox (BS), Chapter 4, 27; Fikentscher, Section 11, 86. The equivalent concept to Verwahrung in English law is die contract of bailment. See Charlesworth, Part 7, Chapter 24. See Fikentscher, Section 11, 87. See Chapter XI A; Fikentscher, Section 12, 88; Meyer, Part IV, 9 B I. See Chapter XI A; Fikentscher, Section 12, 89. See Fikentscher, Section 13, 90. See Brox (BS), Chapter 5, 30; Fikentscher, Section 13, 91. A The purpose of a Burgschaft is to secure performance of a main obligation (Hauptverbindlichkeit) by a (third party) debtor: 765(i) BGB. The declaration of surety (Brgschaftserklrung) must be given in writing by the guarantor: 766, 1st sentence BGB. However, cf 350 HGB. A contract of guarantee (Garantievertrag; ie, indemnity) is not dealt with in the BGB and creates a separate, new obligation beyond (mere) performance of the main obligation. It need not be in writing. Liability under a Garantievertrag is strict and does not depend on fault. See Creifelds under Burgschaft and Garantievertrag; Brox (BS), Chapter 5, 28; Fikentscher, Section 13, 92; Lauer, ZAP, Fach 8, p 257; Meyer, Part III, 7 BI and III; Notes 157 and 159 in this Chapter. B In English law, by the Statute of Frauds 1677, Section 4, a contract of guarantee (ie, any special promise to answer for the debt, default or miscarriage of another person=the equivalent of a Brgschaft) is unenforceable (not invalid!), unless it is evidenced by a note or memorandum in writing, signed by the person to be charged or his authorised agent. By a similar provision (Section 40, Law of Property Act 1925), a contract for the sale or other disposition of an interest in land was unenforceable, unless there was such evidence. Such a contract must now be made in writing: Section 2, Law of Property (Miscellaneous Provisions) Act 1989. Regarding the contract of guarantee in English law, see Charlesworth, Part 7, Chapter 25. See Brox (BS), Chapter 5, 29; Fikentscher, Section 13, 93. See Fikentscher, Section 13, 94. See Fikentscher, Section 13, 95; Meyer, Part III, 8 B E. See Fikentscher, Section 13, 96. See Brox (BS), Chapter 7, 3235; Fikentscher, Section 15 ( 98101); Gernhuber/Grunewald, Part 6 ( 2931); Loewenheim; Medicus (BR), Section V, 2628. Regarding the law of torts, see generally: Notes 219224 in this Chapter; the comments under 823 BGB in the Sourcebook, Chapter 6; Brox (BS), Chapter 8, 3642; Dannemann, Part IV; Fikentscher, Section 16 ( 102114); Kaiser, Part IV, 16; Ktz; Schwab (Einfhrung), Part IV, Chapters 28; Kallwass, Section 3 ( 34 38); Medicus (BT), Part 10, 135148; Medicus (BR), Section IV ( 2425); Meyer, Part 5, 11 B and C; Youngs (CL), Chapter 5; Zweigert and Ktz, Part E C, Chapter 47. Regarding contributory negligence (Mitverschulden) see 254 BGB. In a road traffic accident, 254 BGB normally applies: 9 StVG. However, if damage is caused by several vehicles, 254 BGB is ousted by 17(i) StVG. See Grneberg, ZAP 3/01, Fach 9, p 605 (Section I) and ZAP 8/01, Fach 9, p 615. Regarding defamation and business-related conduct, see Chapter VIII, Note 20. Regarding the burden of proof of fault, see Note 126 J in this Chapter. See Chapter X, Note 104; Fikentscher, Section 9, 66 VII; Meyer, Part E, 4 A II.
171 172 173 174 175 176 177
178 179 180 181 182 183
184
268
Notes
185 A Rechtsmangel (defect in title) must be distinguished from a Sachmangel (fault in a Sache). Regarding the latter, see Notes 188 and 189 in this Chapter. 434438 and 439443 BGB deal with Rechtsmngel, ie, the situation where the vendor fails to supply the full, unencumbered right to the relevant Sache or Recht sold or, as is also said, fails to fulfill his duty to procure title (Rechtsverschaffungspflicht) in accordance with 433(i) BGB. See Fikentscher, Section 9, 69; Jauernig (BGB), 434ff. B A Sachmangel must, in turn, also be distinguished from a Falschlieferung (wrong delivery or aliud), since the normal 30 year limitation period (only) applies to the latter. See Dannemann, Part in 3 (b); Chapter XI, Note 69. C In the English law concerning sale of goods, the purchaser is protected against both kinds of defect (defects in title and defects of quality or fitness for purpose) by the mechanism of (statutorily) implied terms. However, terms regarding quality and fitness are only implied by s 14(2) and s 14(3) Sale of Goods Act, if the vendor sells the goods in the course of a business. In a private transaction, therefore, a buyer of goods must exercise (more) care ie, in such a situation, English law continues to adhere to the principle of caveat emptor (let the buyer beware). See Note 47 A in this Chapter; Charlesworth, Part 3, Chapter 15. See Chapter X, Note 126 G; Fikentscher, Section 9, 67 IV. See Note 238 in this Chapter. These guarantee provisions (Gewhrleistungsvorschriften) are special rules (Sonderregeln), which largely replace the general provisions of the BGB regarding Leistungsstrungen ( 320ff) from the moment of transition of risk (Gefahrbergang). The guarantee provisions extend to both movables and immovables (ie, Sachen generally), so that the translation, which derives from the equivalent field of English law,sale of goodsis not strictly correct. The provisions apply regardless of blame (Verschulden) on the part of the vendor. See the following Note. See also: Brox (BS), Chapter 1, 5; Creifelds under Gewhrleistung; Fikentscher, Section 9, 6870; Gernhuber/Grunewald, Part 2 ( 14); Jauernig (BGB), 434ff, 459ff; Meyer, Part II, 5 C. Regarding the relationship between the Gewhrleistungsvorschriften and other remedies (the question of concurrence (Konkurrenz)), ie: the principle of culpa in contrahendo (Note 135 in this Chapter); PVV (Notes 47 C and 126 C in this Chapter); the provisions concerning Anfechtung (challenge) ( 119123 BGB); claims in tort (Notes 183 and 219 in this Chapter); product liability (Produkthaftung), ie, the liability of the manufacturer (Hersteller) of a movable (Notes 126 J and 222 in this Chapter); See Brox (BS), Chapter 1, 5 VI; Fikentscher, Section 9, 70 IX; Jauernig (BGB), 459 IV. A Pursuant to 459 BGB, the principal norm, the vendor of a Sache (movable or immovable) has a twofold liabilityhe not only guarantees to the purchaser that, at the time of transition of risk, the Sache is not affected by faults (Fenler), such that the value or the fitness for normal use of the Sache (or its contractually presumed use) are not suspended or (significantly) reduced. The vendor is also liable for guaranteed qualities (zugesicherte Eigenschaften) of the relevant Sache. A Sache is faulty (fehlerhaft), if there is a deviation (Abweichung) between the actual and usual (or contractually presumed) condition of the Sache, to the detriment of the purchaser. The test is subjective. See Medicus (BR), Section I, Chapter 2 ( 15). B If a Sache is faulty and the vendor is not relieved from liability under 460 BGB, the purchaser can claim either rescission of the purchase (Rckgngigmachung des Kaufes, so-called Wandlung) or reduction of the purchase price (Herabsetzung des Kaufpreises, so-called Minderung): 462 BGB. If a Sache lacks a guaranteed quality (zugesicherte Eigenschaft) at the time of sale, or if a fault was fraudulently concealed (arglistig verschwiegen) by the vendor, the purchaser has an alternative remedy. Instead of seeking Wandlung or Minderung, he can claim damages (Schadensersatz): 463 BGB. However, 463 BGB only enables damages to be recovered for loss directly involving the Sache itself (so-called Mangelscnaden); other consequential loss (Mangelfolgeschaden) can fall within PVV, if it was caused by the fault (Verschulden) of the vendor. C A vendor can exclude or limit his liability for faulty Sachen by way of (express or implied) agreement but such an agreement is void, if the relevant fault is fraudulently concealed by the vendor: 476 BGB. Moreover, the parties can agree that the vendor (first) be allowed to attempt correction/repair of the defect (Nachbesserung). Such a remedy is available to a customer as of right in the case of a Werkvertrag (contract for services), as a means of achieving the removal of the defect (Beseitigung des Mangels): 633(ii) BGB. See also 11 No 10 AGBG. A
186 187 188
189
269

Liability can also be extended by an (independent) contract of guarantee (Garantievertrag). See Notes 126 D and 177 in this Chapter; Jauernig (BGB), 4591. D Regarding Wandlung, see 467 BGB; the limitation period for claims, see 477 BGB; Preface to Second Edition, Note 11; Note 185 in this Chapter; the special position of a purchaser in a generic purchase, see 480 BGB and Note 116 in this Chapter. See Chapter X C 3 (b) Title 5. See Fikentscher, Section 9, 71. See Fikentscher, Section 9, 72. See Thorsten Vehslage, ZAP, Fach 3, p 169; ZAP-Aktuell, 15/00, p 938. See Fikentscher, Section 9, 73. See Note 265 in this Chapter. Ownership of the fruits is acquired by the lessee under 956957 BGB. See Note 106 in this Chapter. See Creifelds under Leasingvertrag and Mietkauf; Fikentscher, Section 9, 71 V 7; Meyer, 6 D IV; Note 238 in this Chapter. Regarding the different types of licence, see Creifelds under Lizenzvertrag. See also: Meyer, 6 D V; Chapter XI, Note 42. Regarding the remedies available to the lessor, if the lessee does not comply with the contractually required use, see 550 and 553 BGB ( 541,543 BGB). Regarding the position of the borrower under a contract of Leihe, see 603(i) and 605 No 2 BGB. SeeGather, ZAP 5/95, Fach4, p 339. Whether the condition of the rented item is defective is assessed subjectively. Fehler is a wide term. The same applies, if the object of the rental agreement lacks a particular guaranteed quality (zugesicherte Eigenschaft) or if such a characteristic later falls away: 537(ii) BGB. 566 BGB ( 550 BGB) extends to residential accommodation (Wohnraum) and other premises (Rume). Note, in these cases, 564a-564b BGB ( 568,573 BGB). The first possible termination date is the end of the first year: 566, 2nd sentence BGB. See Medicus (BT), Part 2 89 II. , If the lessee continues to use the rented item after expiry, the rental agreement is deemed to continue for an unspecified period, unless the lessor or the lessee express a contrary intention within two weeks: 568 BGB ( 545 BGB). See Fikentscher, Section 10, 74 III; Medicus (BT), Part 2, 88V. The same used to apply, if the rental agreement was entered into for a limited period (Zeitmietvertrag): 556b (i) BGB (repealed). The tenant could request continuation of such a tenancy for an indefinite period, if he did so in writing not later than two months before expiry of the agreement. In future, however, the tenancy renews itself automatically until terminated by one of the parties, unless there is a written reciprocal waiver of termination (wechselseitiger Kndigungsverzicht): 564c (i) BGB. A See Fikentscher, Section 10, 74IV; Medicus (BT), Part 2, 90. The purpose of 564b BGB ( 573 BGB) is to protect a tenant, who abides by the contract (ie, is vertragstreu). Thus, a contrary agreement, which disadvantages the tenant, has no effect: 564b (vi) BGB. Moreover, the landlorabears the burden of proof of his justified interest and cannot usually bring forward grounds not stated in the written Kndigung: 564b (iii) BGB. 564b BGB ( 573 BGB) does not apply: (1)to short-term accommodation (ie, let out for temporary use (zu vorbergehendem Gebrauch); (2)to accommodation in a building also occupied by the landlord, unless the accommodation is intended for permanent use by a family; and (3)to accommodation in a student or youth hostel. ( 564b (vii) BGB) ( 549 BGB). B A tenant of residential accommodation is also not protected against termination, if the rental agreement is entered into for a limited period and, at the time of conclusion of the agreement, the landlord declares in writing that, after expiry of the tenancy, he intends either to use the premises for himself or his family, to do away with the premises or carry out significant conversion or renovation work thereto or to re-let the accommodation to members of staff (a so-called qualified tenancy for a limited period
190 191 192 193 194 195 196 197 198 199
200 201 202 203 204 205 206
207 208
209
270
Notes
without securityV The tenancy ends, if the landlord then confirms the position at the tenants request three months before expiry of the term: 564c (ii) BGB ( 575 BGB). The landlord bears the burden of proof that the relevant grounds exist. See Horst, ZAP 11 / 95, Fach 4, p 359; ZAP Mandanten-lnformation 1 / 2001, p 4. C By 5 Wirtschaftsstrafgesetz (WiStG) 1954, which makes sundry business infringements punishable, the overcharging of rent (Mietyreisberhhung) for residential premises constitutes a minor offence (Ordnungswidrigkeit). A fine of up to DM 100,000 can be imposed. There is overcharging within 5 WiStG, if the relevant rent is disproportionately high (unangemessen hoch), ie, broadly, 20 or more above the comparable local rent (ortsubliche Vergleichsmiete). If 5 WiStG is infringed, the rental agreement is void for civil law purposes ( 134 BGB) and a claim for repayment of overpaid rent can be made on the ground of unjust enrichment ( 812ff BGB). See Kossmann, ZAP 21 / 00, Fach 4, p 615. Where the custodian is a public authority, one speaks of an ffentlich-rechtliche Verwahrung. The provisions in the BGB apply analogously, with the exception of 690. Sums held in a current bank or post office account (Girokonto) are normally classified as irregular contracts of custody. Savings accounts (Sparkonten), on the other hand, are deemed to be loans. Deposit of securities (Wertpapierverwahrung) with banks is governed by the Depotgesetz (Deposit Law) of 4.2.1937, unless it is expressly agreed that they should be held under an irregular contract of custody: 700(ii) BGB. Both the deposit of money (Einlagengeschft) and the deposit of securities (Depotgeschft) at credit institutions (Kreditinstitute) are banking transactions (Bankgeschfte), to which the Law concerning the Credit System (Kreditwesengesetz (KWG)) of 11.7.1985 applies. See Creifelds under Bankeinlagen, Bankgeschfte, Depotgeschft and Kreditinstitute. See Chapter XVIII B. See the article by Heil and Scherer, ZAP, Fach 17, p 363. See Notes 104 and 234 in this Chapter. The general rule is that the giving of advice or recommendation is regarded merely as a non-committal social favour (unverbindliche Geflligkeit), which is not intended to create legal relations. However, the provision of information (Auskunft) by persons having particular expertise (Sachkunde) within the context of their profession or business is, usually, binding. To establish Liability, there does not have to be an express contract; liability can be based on an accessory duty (Nebenpflicht), a relationship of trust (Vertrauensverhltnis), a contract with protective effect (if a third party is involved), or tort ( 826 BGB). Thus, eg, a bank must be careful to ensure that any information or advice it gives regarding investments is correct (richtig) and complete (vollstndig). Depending on the circumstances, there can be a duty on a bank to draw attention to significant risks (wesentlicne Risiken) involved in a particular transaction or even to reveal its own existing knowledge, which gives the bank an informed advantage (Wissensvorsprung). Note 135 in this Chapter; Jauernig (BGB), 676; Lauer, ZAP, Fach 8, p 335; ZAP EN-Nr 722/ 2000. See ZAP-Aktuell, 25.8.1999, p 812; Note 166 in this Chapter. See Chapter XIB. See Chapter XI B. It is important initially to understand that the German law of torts is principally directed at the protection of certain legal assets (Rechtsgter; ie, assets/rights considered by the legal system as worthy of protection) against infringement and that negligence (Fahrlssigkeit; defined in 276 BGB) is merely a possible form of such an infringement. In English law, on the other hand, negligence is a separate tort constructed around the concept of a duty (of care). See Note 183, above. 823 BGB contains two heads of liability: one general ( 823(i)) and the other based on breach of a protective statute (Schutzgesetz) ( 823(ii)). 823(i) BGB provides a remedy for injury to particular Rechtsgter. It covers not only active conduct, but also omissions (Unterlassen). See Note 222 B, below. Liability under 823(i) was successfully established in: The Fowl Pest Case; The Publication of a Letter Case; and The Newspaper Delivery Obstruction Case. (See the Sourcebook, Chapter 6). Under 823(ii) BGB, a plaintiff can claim damages against another person for deliberate or negligent breach of a provision in a Schutzgesetz (protective statute) if:
210 211
212 213 214 215
See 216 217 218 219
271

the provision has as its purpose the protection of individual persons (Individualschutz); the plaintiff belongs to the protected class (geschiztzter Personenkreis); and the plaintiffs interest (eg, his bodily health) is protected by the norm. 823(ii) BGB is not limited to specific, subjective rights, but covers any individual interests. See Brox (BS), Chapter 8, 37 B; Fikentscher, Section 16, 104; Medicus (BT), Part 10, Section 1, 142. These further Anspruchsgrundlagen are directed towards compensation for: harm to financial status ( 824 BGB); and harm contrary to morality ( 825826 BGB). (Sourcebook, Chapter 6). 826 BGB provides protection against vorstzliche sittenwidrige Schdigung (intentional immoral injury). 826 is a general clausea mopping-up provision (Auffangtatbesiand)which can come into play in conjunction with norms both inside and outside the BGB (eg, unfair competition rules). However, the dominant view is that it is ousted by 839 BGB. 826 BGB requires damage (Schaden) to another person, caused intentionally (vorstzlich) and (objectively) in breach of good morals (gegen die guten Sitten). Unlike 823(i) BGB, no injury to a particular legal asset (Rechtsgut) is necessary and 826 protects a persons wealth (Vermogen) as such. The same remedies are available under both provisions. The relevant conduct, which falls within 826, can be objectionable (verwerflich) according to its form or purpose (Zweck) and can be directed either against a business partner or a third party (eg, an authority). Due to continual changes in social values (Werte), the categories of situations covered by 826 are not closed, although 82b is predominantly applied in the commercial field, if claims on other grounds fail. Thus, for example, 826 can cover. fraudulent deception (arglistige Tuschung / Irrefhrung); breach of trust by a trustee (Vertrauensbruch eines Treuhnders); inducement to breach of contract (Verleiten zum Vertragsbruch); payment of slush money (Schmiergeld); abuse of position (Ausnutzung einer Stellung); fraud on creditors (Glubigerbenachteiligung). See Brox (BS), Chapter 8, 37 C; Fikentscher, Section 16, Part 1, 105; Jauernig (BGB), 826; Medicus (BT), Part 10, Section 1, 143; Dannemann, Section IV, 3; Youngs (CL), Chapter 5, Part II, Section I. See Youngs (CL), Chapter 5, Part III, Section B. A Vicarious liability for acts of directors or persons employed can be alleged both in conjunction with a contract ( 31 BGB; 278 BGB) and in tort ( 831 BGB). The contractual remedy is stronger, as under 831 BGB an employer can be relieved from liability, if he observes the necessary degree of care (although he still has a general duty of supervision (Aufsichtspflidit). Moreover, for 831 BGB to apply, the employer must have a right of direction (Weisungsrecht) over the person concerned. The acts of independent contractors are, therefore, not covered. See Note 135 A in this Chapter. B Regardless of relief from liability under 831 BGB, an employer can be open to a direct claim for damages in tort under 823(i) BGB for failure to observe a duty of safety (Verkehrssicherungspfticht) or a duty of supervision (Aufsichtspflicht). In this connection, it is important to appreciate that a claim under 823(i) BGB has four distinct components: (a) there must be injury to one of the legal assets/rights protected by that paragraph (Rechtsgutsverletzung); (b) the damage must be attributable (zurechenbar) to the defendant; (c) the conduct of the defendant must be unlawful (rechtswidrig); and (d) the conduct of the defendant must be blameworthy (schuldhaft), ie, intentional or negligent. Components (a) and (b) constitute the Tatbestand of the norm, while (c) relates to Rechtswidrigkeit and (d) raises the issue of Schuld. (It is useful to compare the similar construction of the norms of criminal law; see Chapter XVI C.) Whether damage is due to the breach of a Verkehrssicherungspflicht falls within component (b) ie, it goes to the question of causation. The underlying rationale of the doctrine of the Verkehrssicherungspflicht is that anyone who creates a source of danger (Gefahrenquelle) or allows one to persist must take appropriate precautionary steps (Vorkehrungen) to ensure that third parties come to no harm (cf the Garantenpftich in criminal law, Chapter XVIC 1 (b)). For example, persons who are in charge of premises (eg, a building (site) or childrens playground) or who organize sporting events (Sportveranstaltungen) have a duty to act to prevent/ward off danger (Gefahrabwendungspflicht) (to visitors/spectators).
220
221 222
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Notes
Members of a profession (eg, an architect or doctor) can also be exposed to liability in tort, if they fail to maintain the standards to be expected of them (Berufspflichten) and cause harm to others. Generally, any place, thing or activity, at which members of the public are present, with which they come into contact or upon which they rely can be a potential hazard. Adequate protective measures must be taken. The Fallen Telegraph Pole Case (Sourcebook, Chapter 6) is instructive. In that case, a motorcyclist was seriously injured when he drove into a telegraph pole lying across a road at night. The pole belonged to the defendant Post Office and the question was whether there had been a blameworthy omission by the defendant to observe a Verkehrssicherungspflicht. The plaintiff alleged both delayed removal and defective maintenance of the fallen telegraph pole. In the context of the first limb (delayed removal), the exception to 831 BGB was successfully invoked. A claim under 823 BGB on that ground was also rejected, because there was no apparent organisational fault (Organisationsverscnulden), ie, no failure to observe a duty of supervision. On the question of defective maintenance, however, the facts still required to be clarified. It was possible that defective maintenance was a contributory cause of the accident. The matter was, therefore, referred back (to the lower court) and the burden of proof reversed. See Youngs (CL), Chapter 5, Part IF 3, Part II E 3 and Part III C 3. The burden of proof can also be eased. Thus, if a tree on a roadside is rotten and a passer-by is injured by falling branches, there is prima facie evidence (Anscheinsbeweis) that the accident was caused by the breach of a Verkehrssicherungspflicht. See Chapter XIII, Note 10; ZAPEN-Nr 462/2001. C Where a juristic person is represented by a person holding the position of an organ (Organstellung), blameworthy conduct by the relevant individual is attributed to the body represented, which is regarded as having a duty of safety (Verkehrs(sicherungs)pfticht) or duty of organisation (Organisationspflicht). The claim against the juristic person is founded on 823(i), 31, 30, 89(i) BGB, thereby avoiding 831 BGB. See Kaiser, Part IV, 3. D The concept of the Verkehrs(sicherungs)pflicht also plays a central role in the German law of product liability, where it is broken down into various sub-duties. See Dannemann, Section IV, l(c) and 4(b); Jauernig, 823, Section VIII E. E Road traffic (Straenverkehr) is governed by special norms (StVG, StVO, StVZO). If harm is caused, persons involved can be subject to strict liability (Gefhrdungshaftung)as, for example, the keeper (Halter) or driver (Fhrer) of a motor vehicle (Kraftfahrzeug) under 7 and 18 StVG, respectivelyand/or, provided fault (Verschulden) can be shown, to a claim in tort. Additional rights are expressly preserved by 16 StVG. The basis for liability in tort is 823(i) BGB, where there is a failure to observe a Verkehrssicherungspflicht or, as appropriate, 823(ii) BGB in conjunction with the relevant norm of road traffic law, provided it can DC classified as a Schutzgesetz (protective statute). See Grneberg, ZAP 12/00, Fach 9, p 583 (Section II 3); Medicus (BT), Part 10, Section 2, 146. F Regarding Verkehrs(sicherungs)pflichten generally, see Jauernig, 823, Section IIB 4. See Youngs (CL), Chapter 5, Part II E 3. Whereas liability for the official activity (hoheitliches Handeln) of a civil servant is assumedas a matter of public lawby the State on the basis of Article 34 GG (in conjunction with 839 BGB; Staatshaftung), the breach of an official duty (Amtspflicht) by a civil servant acting fiscally or in private law form can result in his personal (private) liability (Eigenhaftung) 839(i) BGB. However, a civil servant can only be held personally liable for negligence (Fahrtssigkeit), if there is no alternative means of obtaining redress (Keine anderweitige Ersatzmglichkeit) 839(i), 2nd sentence BGB eg, under 8230), 31/ 89(i) BGB against his employer/master (Dienstherr), ie, where the civil servant has acted as an organ (in a representative capacity). 839 and 823 (or 831) BGB are mutually exclusive, ie, where 839 applies, a claim cannot also be based on those other provisions. See Chapter II C and Chapter XIII D1 (e); Creifelds under Staatshaftung; Fikentscher, Section 16, 106 IV; Kaiser, Part IV, 6; Jauernig (BGB), 839 I-III; Medicus (BT), Part 10, Section 3, 150; Note 222 in this Chapter. Liability under Article 34 GG (in conjunction with 839 BGB) was established in The Air Traffic Controllers Strike Case (Sourcebook, Chapter 6). See Youngs (CL), Chapter 5, Part III, Section B.
223 224
225
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226 Usually, only a person, whose Rechtsgter (legal assets) have been infringed can sue in tort. 844 and 845 BGB contain limited exceptions to this principle for a particular group of persons ie, those who had a right to maintenance (Recht auf Unterhalt) against the deceased ( 844 BGB) or to whom the deceased owed services ( 845 BGB). See Jauernig (BGB), 844846 (preliminary comments); Youngs (CL), Chapter 5, Part VI, Section B (5) (a) In principle, damages (Schadensersatz) can be claimed under the BGB ( 249ff) regardless of whether the loss involved is pecuniary loss (Vermgensschaden, ie, loss which can be expressed in terms of money) or non-pecuniary loss (Nichtvermgensschaden). However, general damage to wealth (allgemeiner Vermgensschaden) pure economic lossis not protected. Moreover and more importantly, compensation in money for immaterial loss (immaterieller SchadenI Nichtvermgensschaden in the narrow sense) is limited; it is only available in those cases prescribed by statute: 253 BGB. (b) A major exception to the exclusion of immaterial loss is contained in 847(i) BGB (ie, the law of tort): a person, whose body or health has been injured or who has been deprived of his freedom can claim an equitable amount in money (eine billige Entschdigung in Geld)ie, damages for pain and suffering (Schmerzensgeld)for his immaterial, non-pecuniary loss. Further, damages for pain and suffering can also be awarded, if there is a (serious) infringement of the allgemeines Persnlichkeitsrecht. See Chapter VIII, Note 20 C. 847(i) BGB only applies to injuries resulting from a tort within 823ff BGB. It does not apply to contractual claims nor to cases of strict liability (eg, under the Straenverkehrsgesetz (Road Traffic Law) or the Produkthaftungsgesetz (Product Liability Law); regarding the latter, see Note 126 J in this Chapter). See also Preface to Second Edition, Note 11 B. In the case of road traffic accidents giving rise to a claim for Schmerzensgeld, tables have been developed to help calculate the proper amount, based on court decisions. See Schneider and Biebrach, ZAP 21/95, Fach 9, p 389; ZAP Justizspiegel, 6/01, p 301; Chapter XIII, Note 96. In German law, third parties (eg, dependants who suffer nervous shock) have no claim to damages for pain and suffering in their own right. See Jauernig (BGB), 847; Creifelds under Schmerzensgeld and Produkthaftung; Youngs (CL), Chapter 5, Part VI, Section B (4). (c) Regarding the meaning of the term Vermgensschaden, the extent of the loss recoverable (the so-called Interesse (interest)) and its calculation, see Creifelds under Schaden, Schadensersatz 2; Fikentscher, Section 5, 49, 50 and 55 and Section 16, 111 and 113; Jauernig (BGB), vor 249253. Regarding (pure) economic loss, see Youngs (CL), Chapter 5, Part VI, Section B (3). See Note 96 in this Chapter. For further information, see generally Creifelds; Kaiser, Part V; Kallwass, Section 4, Chapters 16 ( 5879); Klunzinger (Einfhrung), Part V ( 5866); Medicus (BR), Section III ( 19); Meyer, Part 1, 2 A V; Model/ Creifelds/Lichtenberger, Part 3 F (333340); Reich/Schmitz, Chapter 5; Westermann (Grundbeeriffe), Chapters 1418; Westermann (SR), Vol I (General Principles and Movables) and Vol II (Immovables); other textbooks eg, Schwab/Prtting; Wolf. See Chapter X D 3 (c) (i), below; Nicholas, Chapter III 1 (Fundamental Distinctions). The equivalent terms to Besitz and Eigentum in Roman law are possessio and dominium. See the diagram in Klunzinger (Einfhrung), Part V, Chapter 1 ( 58, Section III; Regelungsbereiche des Sachenrechts). Eigentum can exist in two main forms: sole ownership (Alleineigentum) or joint ownership, which, in turn, exists as either Miteigentum (nach Bruchteilen) (910081011 BGB) or as Gesamihandseigentum. A further category is the eigentumshnliches Recht (quasi-proprietary right)ie, a real right treated as though it were the equivalent of ownership. The main example is me Erbbaurecht (heritable building right). It can be disposed of and encumbered like a piece of land (Grundstck) and is therefore also referred to as a grundstcksgleiches Recht. See Baur/Stmer, 3 II, 15 III 3; Chapter XI A. See the diagram in Klunzinger (Einfhrung), Part V, Chapter 3 ( 64, Section II; Sonstige dingliche Rechte). Regarding the various types of security over movables and immovables, see also: Kallwass, Section 4, Chapter 3 ( 65); Wolf, Chapter 5 (Sicherungsrechte; 2835). See Creifelds under Grundstck and Grundstcksrechte. Bewegliche Sachen (movables) are commonly translated into English as goods, although they can also be referred to as chattels. See Notes 11 and 234 in this Chapter. See also Waren. A To be distinguished is the (subjective) term Gattungsschuld (generic debt; 243 BGB), which describes a particular obligation. It usually involves a vertretbare Sache, but this does not have to be so: see Rthers, Chapter 3, 10 III.
227
228 229
230 231
232
233
234
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Notes
Whether a Sache is vertretbar or not is important for the distinction between a Lieferungskauf (delivery sale) and a Werklieferungsvertrag (contract of work and materials). Thus, if a vertretbare Sache is to be produced and delivered (eg, one which is catalogued or normed in some way), the sale of goods provisions ( 433ff BGB) apply, whereas a contract for delivery of a Sache with particular individualised characteristics is treated as a Werkvertrag (contract for services) and 633ff BGB apply. See 651(i) BGB; Schulte, Vol 2, Chapter 6 II. B In English law, too, there is a fundamental distinction between a contract of sale of goods, which is governed by the Sale of Goods Act 1979 (SGA), and a contract, the substance of which is the provision of services (with goods supplied)a contract for work and materialswhich is governed by the Supply of Goods and Services Act 1982. A contract for the sale of goods is a contract by which the seller transfers or agrees to transfer the property in goods to the buyer for a money consideration called the price (s 2(i) SGA). The term goods includes all chattels personal, other than things in action and money (s 61 SGA). In a contract for the sale of goods, risk normally passes with property (ownership) and depends on whether the goods are classified as specific goods or unascertained goods. Moreover, the seller can only sue for the price, if property has passed to the buyer (cf 446 BGB, under which the moment of bergabe (delivery) is decisive). Otherwiseunless the price is payable on a specified datethe seller is limited to a claim for damages for non-acceptance. See Charlesworth, Part 3, Chapter 15. C In England, contracts for the sale of land are governed by the Law of Property Act 1925, as amended. A transfer of ownership of (real) property is called a conveyance. When land is sold, the conveyance includes the land, but (normally) not the chattels. See the previous Note. An example of a verbrauchbare (and vertretbare) Sache is money, which, if given by way of loan (Darlehen), must be returned in equivalent form: 607(i) BGB. Ansprche (claims) are relative rights, even if they have no obligational basis and serve to protect a real right, from which they flow (so-called dingliche Ansprche). However, provisions of Books I and II of the BGB (eg, 194, 242, 249, 273, 281) can be of analogous, ancillary or supplementary application to relationships governed by Book in. See Note 266 in this Chapter; Schwab (Einfhrung), Part IV, Chapter 4 E; Westermann (SR), 2 III, 5; Wolf, Chapter 3 (13). The principle of speciality does not apply in Book II (law of obligations). Thus, eg, a Sachgesamtheit can be the subject of a contract of sale. However, a transfer of ownership (bereignung) can only take place in respect of each individual Sache and in the appropriate form. The Sache in question must be (sufficiently) specified (bestimmt) and not merely capable of specification (bestimmbar). See Baumann (ER), Part II, 6 II 3 (b); Klunzinger (Einfhrung), Part V, 591 and Part IV, 44 II 4. In English law, this type of arrangement is referred to as a conditional sale agreement. A conditional sale agreement falls under the Consumer Credit Act 1974, when it is a (regulated) consumer credit agreement. See Charlesworth, Part 3, Chapters 16 and 17. In Germany, the equivalent statute is the Verbraucherkreditgesetz (VerbrKrG; Consumer Credit Law) of 17.12.1990. The VerbrKrG is more comprehensive than the previous law relating to instalment business (Abzahlungsgeschft, Teilzahlungsgeschft). The VerbrKrG also covers hire-purchase (Mietkauf) and leasing arrangements. See Creifelds under Eigentumsuorbehalt, Kreditvertrag, Mietkauf and Leasingvertrag, The VerbrKG extends by analogy to an accession by an additional debtor (Schuldbeitritt), but not to a guarantee (Burgschaft) by a consumer of a commercial loan. See Scherer/Mayer, ZAP 13/98, Fach 8, p299. Regarding the different forms of Eigentumsvorbehalt, see Schwab /Prtting, Chapter 3, Section 3, 30. Regarding the financing of instalment business, see Creifelds under Teilzahlungskredite. See also Notes 77,239 and 245 in this Chapter. See Creifelds under Anwrtschaft and Anwartschaftsrecht; Rthers, Chapter 2, 5 IV. Rthers points out that an Anwartschaftsrecht can be directed not only to the acquisition of a dingliches Recht, but also to the acquisition of a relative right. Regarding Eigentumsvorbehalt see generally: Brox (BS), Chapter 1, 61; Fikentscher, Section 9, 71 V 14; Schulte, Vol 2, Chapter 5 VII; Wolf, Chapter 5, Section 1 ( 29). See Chapter XC 22. The BGB also provides for two types of schuldrechtliche Verfgungen in Book II (law of obligations):
235 236
237
238
239
240 241
275

Abtretung (assignment; 398); and Erlaf? (remission of debt; 397). See Schellhammer (ZR), Book 3, Part 33, Chapter 4 3. The transfer of a right is also referred to as a Verufterung (disposal). See 185 and 816 BGB. See also: Note 262 in this Chapter; Creifelds under Verfgung eines Nichtberechtigten, Ermchtigung and Unwirksamkeit eines Rechtsgeschfts; Wolf, Chapter 4, 17 IV. An order for the compulsory sale of land by auction (Zwangsversteigerung) or compulsory administration (Zuwngsverwaltung) constitutes a seizure (Beschlagnahme) ofthe land: 20,148 ZVG. Like the distraint lien (Pfndungspfandrecht) over movables, it results in the object of enforcement being taken under public control (Verstrickung). See Chapter XIII, Note 179. This is the normal position. However, a Verfgung can be made subject to a condition (Bedingunsf). Thus, in the case of an Eigentumsvorbehalt, the condition under which property is transferred is full payment of the purchase price. If it is not paid or instalments are not paid on time, the property transfer (bereignung) is void and the owner can claim return of the Sache under 985 BGB. The vendor can extricate himself from the contract of sale by claiming rescission (Rcktritt): 455 BGB. Until the right of rescission is exercised, the contract of sale itself (= Verpflichtungsgeschft ) is completely valid. To be distinguished is the situation where a transfer of property is subject to the validity of the contract of sale. Such a (resolutive) condition (auflsende Bedingung), whilst theoretically permissible (under 158(ii) BGB; only for movables: 925(ii) BGB), would amount to a breach of the abstraction principle. The only other situations in which, exceptionally, the abstraction principle is breached are: where the same defect nullifies both the Verpflichtungsgeschft and the Verfugungsgeschaft (so-called Fehleridentitt (identical defect)), ie, in a case of: Geschftsunfhigkeit ( 105 BGB); arglistige Tuschung or widerrechtliche Drohung ( 123 BGB); or Wucher (usury) ( 138(ii) BGB). In such cases, the property transfer is also void and return of the Sache can be claimed under 985 BGB (ie, apart from a claim under 812(i), 1st sentence, 1st alternative BGB). where the parties agree that the Verpflichtungsyeschaft and the Verfugungsgeschaft are to be a unified transaction (so-called Geschftseinheit, falling under 139 BGB). See Klunzinger (Einfhrung), Part V, Chapter 1, 59 III; Lwisch, Part 3, 14, Case 76; Meyer, Part II, 5 A V; Schwab (Einfhrung), Part V, Chapter 8 D b; Westermann (SR), Vol I, Book I, 4IV. See Chapters X B 2 (a) and X C 3 (g) (Title 24); Appendix A under Ungerechtfertigte Bereicherung, Leistungskondiktion and Nichtleistungskondiktion. See also Wolf, Chapter 4 ( 17); Zweigert and Ktz, Part II AI (Chapter 36 IV) and Wesel (FR), Chapter 3 (Eigentum). Wesel points out that the abstraction principle is the creation of the 19th century jurist Savigny. Wesel describes it as a high point of juristic acrobatics. See Note 109 in this Chapter. Regarding Besitz see generally: Creifelds; Kaiser, Part V, 5; Klunzinger (Emfhruns), Part V, Chapter 2, 60; Nicholas, Chapter III, 2; Rehbinder, Chapter II, 16; Schwab/Prtting, Chapter 1 ( 311); Westermann (Grundbegriffe), Chapter 14; Westermann (SR), Vol I, Book II ( 827); Wolf, Chapter 2, 8. See also Note 266 D in this Chapter. Regarding real property law and the Land Register, see generally Schwab/Prtting, Chapter 2 (1221). The transaction must be a Verkehrsgeschft, ie, at arms length between different persons. See Westermann (SR), Vol II, Book VI, 101; Wolf, Chapter 4, 20 II. However, Article 14 GG does not protect a persons Vermgen (wealth) as such: see The Investment Aid Act Case (Sourcebook, Chapter 3). See the comments under Article 14 GG in the Sourcebook, Chapter 3; Schwab/Prtting, Chapter 3, Section 1, 24. The pieces of land do not have to be neighbouring properties (Nachbargrundstcke). Cf 907924 BGB. See Schwab /Prtting, Chapter 3, Section 1, 25; Youngs (CL), Chapter 5, Part E, Section B.
242 243 244
245
246
247 248
249 250 251 252 253
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Notes
254 Other provisions which play a central role in the protection of neighbours against nuisances are: 859,862,910 and 1004 BGB. Claims under 823 BGB are also possible. See die article by Hans Reinold Horst in ZAP 3/99, Fach 7, p 159, which contains a survey of the specific types of nuisance mentioned in 906 BGB. See also: Note 266 in this Chapter; Creifelds under Immissionen, Nachbarrecht and Aufopferungsanspruch. See the diagram in Klunzinger (Einfhrung), Part V, Chapter 2 ( 62, Section I; rechtsgeschftlicher Eigentumserwerb). See also: Gernhuber/Grunewald, Part 8 ( 3637); Kaiser, Part V, 7; Schwab/Prtting, Chapter 3 ( 26 and 29); Westermann (Grundbegriffe), Chapter 15; Wolf, Chapter 4, Section 1 ( 18) and Section 2 ( 22). A transferee can usually only acquire the same legal position as that of the transferor: Nemo plus iuris ad alium transferre potest, quam ipse habet (nemo dat, quod non habet). The right of the transferee is said to be abgeleitet (derived) from his predecessor (Rechtsvorgnger). A transfer of ownership is an example of a Rechtsnachfolge or Sukzession (succession). See Creifelds under Rechtsnachfolge, Rechtserwerb and Nemo plus iuris and the discussion of 929 BGB and the abstraction principle in Wesel (FR), Chapter 3 (Eigentum). See also Kallwass, Section 4, Chapter 5 (74). The nemo dat rule also applies in Fjiglish law. See Note 260 in this Chapter. A The Auflassung (conveyance) of a piece of land (Grundstck) is independent of, and must be strictly distinguished from, the underlying obligational transaction (eg, a contract of sale (Grundstckskaujvertrag)). That transaction must normally (also) be notarially documented: 313 BGB. An Auflassung must be declared before a competent authority (eg, any German notary) in the presence of both parties: 925(i), 1st sentence BGB. The notary must draw up a written record of the proceedings (Niederschrift ber die Verhandlung), which must be read out to the participants in the presence of the notary, be approved by the parties, signed by them personally and finally by the notary: 13 BeurkG. The Niederschrift thereby becomes a public document (ffentliche Urkunde). An Auflassung cannot be conditional or limited in time: 925(ii) BGB (cf English conveyancing practice, which allows execution of a deed as an escrow). Thus, a retention of title (Eigentumsvorbehalt), as in the case of movables, is not possible. However, the grant of a (revocable) power of attorney (Vollmacht) is permitted and does not require notarial form: 167(ii)BGB. Once the Auflassung has been notarially documented, the parties are bound (ie, the real agreement is not freely revocable): 873(ii) BGB. The effect of Auflassung is that the purchaser acquires a (real) right of expectancy (dingliches Anwartschaftsrechf), but it does not operate as a restriction on die vendors right of disposal of the property (Verfgungsbeschrnkung). The purchaser can secure his (obligational) right to change of ownership by means of a priority notice (Vormerkung) in the land register: 883(i) BGB. If a participant has insufficient command of German or the relevant language of die proceedings, this should be stated in the Niederschrift, which must then be translated (orally) instead of being read out. A written translation can be supplied on request: 16(ii) BeurkG. The Urkunde itself is usually prepared in German, but it can be drawn up in a different language, if the parties so desire and the notary has the necessary capability: 5 BeurkG. See Chapter XXII E. B An Einigung under 929,1st sentence BGB (ie, over movables) requires no form and need not be express. In practice, it is frequently effected together with the (underlying) obligational contract by implied conduct (schlssiges Verhalten). However, it must be clear from the parties agreement that ownership is intended to pass. This, in turn, hinges on an interpretation of the actions/declarations of will of the parties and the classification/ nature of die (obligational) contract (ie, is the transfer of ownership one of die main duties of performance (Hauptleistungspflichten)?). In particular, despatch and receipt of goods (Versendung und Entgegennahme von Waren) of itself does not, as a rule, suffice, unless an offer and acceptance of transfer of ownership can be established. See Notes 104, 111 and 159 in this Chapter. Another name for a Besitzkonstitut is Besitzmittlungsverhltnis (possession mediation relationship), whereby the new owner is placed in indirect possession (mittelbarer Besitz): 868 BGB. As part of a Verfgung, the Besitzkonstitut / Sicherungsubereignung is strictly abstract and separate from the underlying, causal Sicherungsvertrag / Sicherungsabrede (security agreement). Regarding Sicherungsubereignung see generally: Jauernig (BGB), 930, 5; Schulte, Vol 1, Chapter 4IV; Schwab/ Prtting, Chapter 3, Section 3 ( 31); Westermann (SR), Vol I, Book IV ( 44); Wolf, Chapter 5, Section 1 ( 30). See also Note 280 D in this Chapter.
255
256
257
277

The equivalents of bergabe and Besitzkonstitut in Roman law are, respectively, traditio and constitution possessorium. See Nicholas, Chapter III, 34. In English law, the equivalent institution to a Sicherungsubereignung is a conditional bill of sale. Under the Bills of Sale Act 1882, it requires registration and must be in a particular form. See Schwab/Prtting, Chapter 3, Section 3 ( 32). Failure to make proper enquiries can amount to gross negligence (grobe Fahrlssigkeit), if there is a Nachforschungspflicht: see Schulte, Vol 3, Case 22 (Taxi ohne Brief). 932 BGB (only) protects a bona fide belief as to ownership, not (as to) other circumstances: see Schulte, Vol 1, Chapter 4 VII Exceptions: money, bearer securities and things sold at public auction. See Kallwass, Section 4, Chapter 4 ( 70 I-III); Westermann (SR), Vol I, Book IV ( 4550); Wolf, Chapter 4, Section 2 ( 23). Wesel (FR), Chapter 3 (Eigentum) is of the opinion that, due to the enactment of 932 BGB on 1 January 1900, the abstraction principle underlying 929 BGB has become superfluous. However, merely because the interests of trade must sometimes outweigh legal certainty (Rechtssicherheit) does not mean that legal certaintywhich the abstraction principle seeks to achieveshould be abandoned. Similarly, in English law the basic rule of nemo dat, quod non habet is enacted in s 21 SGA, ie, the sale of goods by a person, who is not the owner (or is not authorised by the owner) does not pass title (ownership) to the buyer. However, the rule is subject to various exceptions (inter alia, in ss 2325 SGA), which protect the position of a bona fide purchaser for value without notice. See Charlesworth, Part 3, Chapter 15. See the complex provisions in 933 and 934 BGB. See also: Kallwass, Section 4, Chapter 4 ( 71 I); Schulte, Vol 1, Chapter 4 VII See Note 243 in this Chapter and Schulte, Vol 1, Chapter 4 VIII. See the diagram in Klunzinger (Einfhrung), Part V Chapter 2 ( 63, Section I; gesetzlicher Eigentumserwerb). See also Kallwass, Section 4, Chapter 2 ( 6364); Schwab/Prtting, Chapter 3, Section 3 ( 3343); Westermann (SR), Vol I, Book IV ( 5160). In English law, as under 946 BGB, chattels can become part of the land (ie, fixtures), if they are affixed to the land. See Note 11 and Section D1 in this Chapter. By 950(i), 1st sentence BGB, where materials are processed or remodelled into a new movable, the manufacturer (Hersteller) becomes owner of the new Sache, unless its value is significantly less than the value of the original materials (Ausgangsstoffe), ie, if the original materials are worth significantly more, their owner becomes owner of the new Sache. Although 950 BGB is not really dispositive and lays down an objective test, case-law allows the parties to agree, by means of a processing clause (Verarbeitungsklausel), that the supplier of materials (Stofflieferanf) becomes owner of the new Sache. This is important where a sale under retention of title (Kauf unter Eigentumsvorbehalt) is concerned. If materials are processed in the context of a contract for services (Werkvertrag), the customer (Besteller) is regarded as the manufacturer and acquires ownership, but not if the producer has to supply the materials (ie, in the case of a contract for work and materials (Werklieferungsvertrag; 651 BGB)). See Creifelds under Verarbeitung. The fruits (Frchte) of a Sache are defined as its produce (Erzeugnisse) and output (Ausbeute), while the fruits of a Recht are its Ertrag (yield): 99 BGB. The term Nutzungen (benefits, profits) refers to both the fruits of a Sache or Recht and to such advantages (Vorteile) as use of the Sache or Recht brings: 100 BGB. See Creifelds under Frchte. A The claim under 985 BGB applies to both movables and immovables. In the former situation, it is directed to Herausgabe (return), in the latter to Rumung (eviction). B 9871003 BGB deal with the so-called Eigentmer-Besitzer-Verhltnis (the relationship between the owner and the person in possession of a Sache). Apart from the owners claim to return of the Sache under 985 (the Herausgabeanspruch), a person in illegal possession (an unrechtmiger Besitzer) can alsounless he is in good faith (gutglubig) be subject to accessory claims (Nebenansprche) from the owner for release of benefits (Nutzungsherausgabe) and damages (Schadensersatz): 987993. A person in possession (Besitzer), who has incurred expenditure (Verwendungen) on a Sache, can counter-claim against the owner for reimbursement (Verwendungsersatz: 994) and has a right of retention (Zurckbehaltungsrecht) until he is satisfied ( 1000).
258 259
260
261 262 263
264
265
266
278
Notes
See Notes 18 and 245 in this Chapter; Gernhuber/Grunewald, Part 6 ( 28); the diagram in Klunzinger (Einfhrung), Part V, Chapter 2 ( 61, Section II; Schutz des Eigentums); Kaiser, Part V, Chapters 2, 3, 4 and 6; Kallwass, Section 4, Chapter 6 ( 7879); Schwab/Prtting, Chapter 3, Section 4 ( 4447); Wolf, Chapter 3 ( 1014). C The claim under 1004 BGB (also referred to as the actio negatoria (negatory action) or Abwehrklage (defensive counter-action)) is directed against any interference (Beeintrachtigung) with ownership, short of removal or withholding. Unlike a claim (for damages) in tort, it does not require proof of fault (Verschulden). Strictly, 1004 BGB only protects Eigentum (ownership). However, it extends, eg, to easements ( 1027 BGB) and pledges of movables ( 1227 BGB), and similar statutory provisions exist in commercial law with regard to business protection, competition and copyright (Urheberrecht). Most importantly, 1004 BGB is of corresponding application to the various (absolute) rights/legal assets (Rechtsgter) other than Eigentum specified in 823(i) BGB, to the general right of personality (allgemeines Persnlichkeitsrecht) and to the right to an established and exercised business (Recht am eingerichteten und ausgebten Ge werbebetrieb ). In these cases, the claim is referred to as an actio auasinegatoria (quasinegatory action). See Chapter VIII, Note 20 C; Fikentscher, Section 16, 114; Gernhuber/Grunewald, Part 4 ( 2223); Jauernig (BGB), 1004; Youngs (CL), Chapter 5, Part VIA 3. Equivalent proprietary remedies in English law to 985 and 1004 BGB (where chattels are involved) are specific restitutionenforceable by so-called Writ of Deliveryand (damages for the tort of) conversion. The former is a discretionary remedy and can only be granted, if the chattel concerned is of special value and not merely an ordinary article of commerce. The English tort of trespass to chattels (interference with goods) involves an interference with possession of chattels, rather than ownership. In German law, possession is protected primarily by the law of property (Book in of the BGB). Under 858(i) BGB, withdrawal or disturbance of possession, if not permitted by statute, constitutes verbotene Eigenmacht (illegal self-assumption). Under 861 (i) BGB, if possession is withdrawn, the person dispossessed can claim restoration (Wiedereinrumung). Under 862(i) BGB, if possession is disturbed, removal of the disturbance (Beseitigung) and/or restraint of further disturbances (Unterlassung) can be claimed. The remedies in 861862 correspond to those available to the owner of a Sache under 985 and 1004 BGB. A person in legitimate possession or who acquired it bona fide and for value is also protected by the German law of torts. Such forms of possession (ie, the rights themselves) are regarded as sonstige Rechte within 823(i) BGB; interference can give rise to a claim to damages. See Creifelds under Besitz and Besitzschutz; Note 248 in this Chapter; Youngs (CL), Chapter 5, Part II, Section B. See 741ff BGB, Creifelds under Miteigentum; Note 231 in this Chapter; Chapter XI A. A particular form of Miteigentum nach Bruchteilen is the ownership of an apartment/flat (Wohnungseigentum). See Schwab/Prtting, Chapter 5 ( 72-SO). See Baur / Stmer, Part III, Chapter 4, 35. Regarding Grundpfandrechte see Creifelds under Grundpfandrechte, Hypothek and Grundschuld; Kaiser, Part V, 9; Klunzinger (Einfhrung), Part V, Chapter 3 ( 66 II); Schwab/Prtting, Chapter 4, Section 1 ( 51 65); Westermann (Grundbegriffe), Chapter 17; Westennann (SR), Vol H Book VI Part IV ( 107136); Wolf, Chapter 5, Section 2 ( 3235). See Chapter X D 2. In other words, the legal aura (Rechtsschein) of the Land Register is fictitiously extended to the claim, since a mortgage is an accessory real right. See Jauernig (BGB), 1138; Westermann (SR), 122. See Westermann (SR), 130. See Westermann (SR), 1351. The Sicherungsabrede constitutes the legal basis (causa) for the grant of security and must be strictly distinguished from the credit and property levels of the transaction. It sets out the terms of the deal and the rights and obligations of the parties. See Westermann (SR), 131. See Westermann (SR), 132 III See Westermann (SR), 133 II.
267
268 269 270
271 272
273 274 275
276 277
279

278 If no security arrangement is reached, or no claim comes into existence, a claim to return of the Grundschuld can be made under 812 BGB. See Westermann (SR), 130 II, 131 III. See Westermann (SR), 133 IIIV. A Section 9, Title 1 distinguishes between a Pfandrecht created (bestellt) by Rechtsgeschft ((contract) a so-called Faustpfandrecht) and a statutory Pfandrecht (gesetzliches Pfandrecht). The provisions regarding a Pfandrecht created by Rechtsgeschft ( 12051256 BGB) are of corresponding application (entsprechende Anwendung) to a Pfandrecht, which has arisen by statute (ein kraft Gesetzes entstandenes Pfandrecht): 1257 BGB. Examples of statutory Pfandrechte are: in the BGB, the liens of the landlord ( 559), the manufacturer ( 647) and the innkeeper ( 704); in the HGB, the liens of the Spediteur (carrier (forwarder): 410) and the Frachtfuhrer (freighter: 440). B A Pfandrecht over movables is defined in 1204(i) BGB as securing a contractual claim (Forderung) and entitling the creditor ((Pfand)glubiger) to seek satisfaction (Befriedigung) out of the thing pledged (aus aer Sache). Satisfaction is achieved by means of sale ((Pfand)verkauf) once the contractual claim is due (fallig): 1228ff. A Pfandrecht is strictly accessory (linked) to the contractual claim, which it secures (so-called Akzessoriett). Thus, it can only be transferred with the Forderung and ends (is discharged: erlischt) with it: 1250(i) and 1252. C Another type of lien is the Pfndungspfandrecht (distraint lien), which arises (under public law) where enforcement (Zwangsvollstreckung) in movable assets takes place: 804(i) ZP. See Note 244 in this Chapter. D Where movables are concerned, the creation of a Pfandrecht usually requires actual delivery (bergabe) of the Sache to the creditor. This has resulted in the institute of the Pfandrecht largely being displaced as a form of security by the more practical Sicherungsbertignung, where the debtor need not part with possession. See Note 257 in this Chapter. However, the contractual Pfandrecht is still of commercial significance in Lombard transactions (Lombardgeschft) and pawnbroking (Pfandleihe). See generally: Creifelds under Lombardgeschft, Pfandrecht, Pfandleiher, Pfndung and Pfndungspfandrecht; the diagram in Klunzinger (Einfhrung), Part V, Chapter 3 ( 66 I (Pfandrechte) and 66 III-IV); Schwab/Prtting, Chapter 4, Section 2 ( 6671); Westermann (SR), Vol I Book V ( 6173); Wolf, Chapter 5, Section 1 ( 31). E The equivalent concepts to a contractual and statutory Pfandrecht in English law are pawn and lien. See Charlesworth, Part 7, Chapter 24. For further information, see generally: Creifelds; Model/Creifelds/Lichtenberger, Part 3 F (341352); Westermann (Grundbegriffe), Chapter 19; various textbooks, eg, Beitzke/Lderitz; Schwab (F). See Gterrecht. See Chapter XIII D 6 and Unterhalt For further information, see generally Creifelds; Model/Creifelds/Lichtenberger, Part 3 F (353362); Westermann (Grundbegriffe), Chapter 20; various textbooks eg, Brox (ER); Leipold. See also Chapter XXII E. See Brox (ER), Section L 2 II. See generally: Brox (ER), Section II, Chapter 1, 47; Leipold, Part 2, 48. For a surviving spouse, who is statutory heir, it can be advantageous to claim the actual gain and the small compulsory portion instead of the increased statutory entitlement. See Leipold, Part 2, 6 III 5. See generally: Brox (ER), Section II, Chapter 1, 3 and Chapter 2, 8; Leipold, Part 3, 9ff. However, the claims of dose dependants exduded from inheritance to a compulsory portion of the estate (Pflichtteil) remain unaffected. See Section 4 (g), below. For a list of possible letztwillige Verfgungen, see Leipold, Part 3, 121. However, the performance (Leistung) required pursuant to a legacy (Vermchtnis) can be left to the fair discretion of a third party, provided the testator specifies the purpose (Zweck) of the legacy: 2156 BGB. See Leipold, Part 3, 91 and 10 E. See generally: Brox (ER), Section E, Chapter 2, 913; Leipold, Part 3, 1013. See Brox (ER), Section E, Chapter 2, 9; Leipold, Part 3, 101. See Brox (ER), Section E, Chapter 2, 1012; Leipold, Part 3, 111-IV.
279 280
281 282 283 284
285 286 287
288 289 290 291 292 293 294 295
280
Notes
296 297 298 299 300 301 302 See Brox (ER), Section E, Chapter 2, 13; Leipold, Part 3, 11 V. See Brox (ER), Section E, Chapter 2, 16 I-II. See Leipold, Part 3, 12 IV. See Leipold, Part 3, 12 III 2. See also 2087 BGB, referred to in Section 4 (c), below. See Leipold, Part 3, 12 II. See Leipold, Part 3, 13 E. A disposition can, for example, infringe 138(i) BGB if its sole or dominant purpose (Zweck) is the advancement of or reward for extra-marital sexual relations (ehebrecherische Beziehungen). Thus, the appointment of a lover as heir can be void (a so-called Geliebten-Testament), unless, in the particular circumstances, the disposition was (also) based, at least partially, on honourable motives (ehrenwerte Motive). See Brox (ER), Section II, Chapter 2, 18 IV; Leipold, Part 3, 9 II and 131. See Leipold, Part 3, 14 IV. See Creifelds under Berliner Testament. The inflexibility of a Berlin will can be disadvantageous for tax purposes. See Leipold, Part 3, 151III. See Leipold Part 3, 15V. See Leipold, Part1, 2 VI and Part 4, 211. See generally: Brox (ER), Section IV, 2931; Leipold, Part 4, 21. See Chapter XI A; Brox (ER), Section IV, 291II. Both the obligation to dispose (Verpflichtung) and the disposition itself (Verfgung) must be notarially documented: 2033,2371 BGB. See Brox (ER), Section IV, 29 III. See Brox (ER), Section IV, 30. See Brox (ER), Section IV, 31 II. See Brox (ER), Section III, Chapter 1, 231; Leipold, Part 3, 12 III 1. See Leipold, Part 3, 12 III3. See Creifelds under Anwachsung; Brox (ER), Section III, Chapter 1, 23 III. See Brox (ER), Section III, Chapter 1, 24; Leipold, Part 4, 191. See Brox (ER), Section III, Chapter 2, 25; Leipold, Part 4, 19 II. See Brox (ER), Section II, Chapter 3, 20; Leipold, Part 4, 18 II. See Brox (ER), Section V, 32. See Leipold, Part 4, 24 II1. Regarding the possible defences available to an heir against a claim to a compulsory portion, see Rinsche, ZAP 23/00, Fach 12, p 101. See Chapter X B 4 (c). See Brox (ER), Section V, 32 VI. See Brox (ER), Section V, 32 II. See Leipold, Part 4, 2412 and 3. See Brox (ER), Section V, 32IV. See Section 3 (a) (ii) above; Leipold, Part 4, 24 II 2. See Leipold, Part 4, 24 II 3. See Leipold, Part 4, 24 II 4. See Brox (ER), Section V, 32 VII; Leipold, Part 4, 24 III. See Brox (ER), Section III, Chapter 3, 2728; Leipold, Part 4, 22. If estate administration (Nachlavenvaltung) has been ordered, similar treatment is accorded to transactions undertaken by the heir before acceptance: 1978(i) BGB. See Brox (ER), Section II, Chapter 3, 22 VII; Leipold, 1815. Instead of giving up his rights to the estate entirely, the disclaiming person can, by agreement, disclaim against payment of a lump sum (Abfindung). However, challenge is possible: 1956 BGB.
303 304 305 306 307 308 309 310 311
312 313 314 315 316 317 318 319 320 321
322 323 324 325 326 327 328 329 330 331 332 333 334 335
281

336 337 See Chapter X, Note 39. A similar concept in English law is the executor de son tort, although that relates to an executor, not an heir. An application for a certificate of inheritance is regarded as acceptance of the inheritance. See Brox (ER), Section II, Chapter 3, 22 V. Challenge is possible, if acceptance or disclaimer is caused by mistake (Irrtum) or threat (Drohung). The same applies, for example, if the heir misses the period for disclaimer ( 1956 BGB), because he does not realise that the estate is over-indebted (berschuldet) . This constitutes a mistake as to quality (Eigenschaftsirrtum). See Brox (ER), Section II, Chapter 3, 22 VI. See generally Brox (ER), Section VII, 3742; Leipold, Part 4, 20 and 21 IV. See Section 5 (e), below. Regarding acts of prior administration by the heir(s) see Note 332 in this Chapter. The executor can also himself apply for a certificate of appointment (Testamentsvollstreckerzeugnis): 2368 BGB. Regarding the Erbschein, its grant (Erteilung) and revocation (Einziehung), see the article by Hartwig Sprau in ZAP 21 / 97, Fach 12, p 53. See Brox (ER), Section VI, 35; Leipold, Part 4, 18IV. The provisions regarding guardianship (Vormundschaft; 1773ff BGB) are of corresponding application: 1915(i) BGB.
338
339 340 341 342 343 344 345
CHAPTER XI
1 On Handelsrecht (commercial law) see generally: Baumann (ER), Part III, 9; Capelle/Canaris; Hofmann; Klunzinger (Grundzge) (HR); Meyer, Part 1, 2 B; Model/Creifelds/lichtenberger, Part III G (363379). On Gesellschaftsrecht (company law) see generally: Eisenhardt, Chapters 16; Hueck, Sections 1 and 2 ( 119); Klunzinger (Grundziige) (GR), Chapters 1,2 and 4; Kraft/Kreutz, Parts A-G. See Chapter XIX A 2. See Eisenhardt, Chapter 1, 2 I; Kallwass, Section 7 ( 107). See also: die diagrams in Klunzineer (Einfhrung), Part II, Chapter 1 ( 4, Section I; Personenzusammenschlsse ) and in Schulte, Vol 1, Chapter 9 I (Personenvereinigungen des Privatrechts); Chapter XXH D 9. The distinguishing factors of a Gesellschaft des brgerlichen Rechts are: it is established by agreement (Vertrag); it is aimed at the achievement of a particular joint purpose (Erreichung eines gemeinsamen Zwecks: 705 BGB); it has no separate legal personality (ie, it is not rechtsjuhig). See Section B 3 and Note 51 in this Chapter. Not dealt with in this Chapter. Another type of Gesellschaft, also governed by a separate statute, is the Genossenschaft (cooperative (association/ society)), which is a form of trading Verein established for one of the purposes set out in l(i) of the Genossenschaftsgesetz (GenG; Law relating to Genossenschaften, eg, acquisition, production and/or sale of agricultural and/or other products; banking. Its function is the advancement (Forderung) of the livelihood or commercial interests (Erwerb oder Wirtsdutft) of its members (Genossen) by means of a communal business (gemeinschaftlicher Geschftsbetrieb). A Genossensdwft requires registration in the Genossensdiaftsregister (register of Genossenschaften) -kept at the Amtsgericht (District Court; 10 GenG)and is then referred to as a registered cooperative (eingetragene Genossenschaft (eG)). See Kraft/Kreutz, Part AIV. Restrictions on the right to terminate (Aufhebungsrecht) have limited effect: 749(ii)-751 BGB. See Eisenhardt, Chapter 3, 9; Hueck, Section 1, 1. Regarding juristic persons of public law see Chapter IIC (Note 11). For an interesting historical comparison of the different forms of Personenvereinigung in Roman and German law see Hueck, Section 1, 2 VI. See Creifelds under Verbnde, Kammer and Lobbyismus.
2 3
6 7 8 9 10 11
282
Notes
12 A members share of the assets (Gesellschaftsvermgen) of a Gesamthandsgemeinschaft (or a GmbH see Chapter XII C) is known as the Geschaftsanteil or Vermdgensanteil. To be distinguished from the Geschftsanteil is the Kapitalanteil, which is a bookkeeping term referring to the (arithmetic) capital value of a members share of the assets of an OHG or KG. B If the members agree, a members share in a Gesamthandsgemeinschaft as a whole (im Ganzen) -the Gesellschaftsanteircan be transferred together with his or her share of the assets. However, asset disposal isolated from disposal of membership is not possible ( 719 BGB). A members share in the Gesellschaftsvermgen is available to his or her creditors. See Creifelds under Geschftsanteil and Kapitalanteil; Hueck, Section 1, 3 II; 725 BGB; 859(i) ZPO. The relationship between the owners of flats (Wohnungseigentmer) is a Gemeinschaft, but not a Gesam thandsgemeinschaft. See Creifelds under Wohnungseigentum; 10(i) WEG; Schwab/Prtting, Chapter 3, Section 5, 49. The provisions regarding the Gemeinschaft (nach Bruchteilen) apply to all cases of Rechtsgemeinschaft ie, whenever a right is owned gemeinschaftlich by various persons: 741 BGB. This can include a Gesellschaft with a Gesellschaftsvermgen. However, 742758 BGB only have subsidiary application in the absence of other (statutory (or contractual)) provisions. See Eisenhardt, Chapter 3, 9; Hueck, Section 1, 1 II; Kraft/Kreutz, Part D12 (c). Regarding Miteigentum (nach Bruchteilen) see Creifelds under Miteigentum and the (special) provisions in 10081011 BGB. Only a non-commercial association (a so-called Idealverein) can be registered in the Vereinsregister at the Amtsgericht: 21 BGB. See generally Meyer, Part 4, 9 and 10. The assets of a juristische Person are regarded as belonging not to its members, but to the juristische Person itself and it is only that Gesellschaftsvermgennot the private assets of the memberswhich is available to creditors for the satisfaction of the obligations of the company (the principle of separate corporate personality or separation principle (Trennungsprinzip)). See 13(ii) GmbHG; l(i), 2nd sentence AktG; cf Salomon v Salomon & Co Ltd [1897] AC 22. Exceptionally, however, the members of a juristische Person can be held personally liable for obligations of the company on the basis of 242 or 826 BGB. The veil of incorporation is lifted (so-called Durchgriffshaftung). See Creifelds under Durchgriffshaftung; Eisenhardt, Chapter 9, 41 II; Hueck, Section 3, 36 II 5. A Stille Gesellschaft (silent partnership) is also a Personengesellschaft, but not a Handelsgesellschaft. Regarding Personengesellschaften, see Hueck, Section 2, Chapters 14 ( 519); Klunzinger (Grundzge) (GR), Chapter 2 ( 47); Kraft/Kreutz, Parts D-G; Meyer, Part I, 3 AI and Part 4, 9 B. Regarding Kapitalgesellschaften, see Klunzinger (Grundzge) (GR), Chapter 3 ( 8 and 11); Kraft/Kreutz, Parts J and L; Meyer, Part 4, 10 A. Regarding the fundamental distinction BGB-Gesellschaft/Verein see Eisenhardt, Chapter 2 ( 45); Hueck, Section 1, 1 III and 2; Kallwass, Section 7, Chapter 1 ( 108); Kraft/Kreutz, Part A III 1. The relationship between members of a Personengesellschaft can be purely internal (a so-called Innengesellschaft (internal company)), eg, the stille Gesellschaft and the so-called Gelegenheitsgesellschaft (ie, where a BGB-Gesellschaft is formed for a casual or short-term purpose). See, in particular, Hueck, Section 1, 2 III. The Komplementr has the same position as the Gesellschafter of an OHG and is usually responsible -to the exclusion of the Kommanditistfor managing the KG and representing it towards third parties. However, exceptions are possible. See Eisenhardt, Chapter 5 ( 19). See Eisenhardt, Chapter 5 ( 20); Klunzinger (Grundzge) (GR), Chapter 4 ( 13). In the case of a private limited company (GmbH), the Sitz of the company must usually be at the place, where the company has an operational business unit (Betrieb; see Chapter XVIII C), where its management (Geschftsleitung) is situated or where its administration (Verwaltung) is located: 4a(ii) GmbHG. Regarding the Wohnsitz ((place of) residence) of a natural person, see Chapter X B12. Regarding the parties to a Gesellschaftsvertrag, its form, content and interpretation, see Kraft/Kreutz, PartCIl. See also Chapter XII B, below. A
13
14
15 16
17
18
19 20
21
283

22 23 24 25 Note the parallel to ll(ii) GmbHG (see Chapter XII B, below). See Eisenhardt, Chapter 3 ( 6). See generally Hueck, Section 2, Chapter 1, 79. In other words, the extent (Umfang) of the power of representation of members can be limited in the company agreement. Any such limitation (Beschrankung) must be made apparent (erkennbar) to the relevant third party. However, in the case of a private limited company (GmbH), restrictions in the company agreement on a directors power of representation have no external effect: 37(ii) GmbHG. Frequently, therefore, to safeguard the interests of a GmbH, the involvement of two persons is required as signatories for a particular transaction (the four-eye principle (Vier-Augen Prinzip). However, liability cannot be limited by tampering with the firm name. See Nothoff, ZAP, Fach 15, p 333; ZAP EN-Nr 729/99; Notthoff, ZAP, Fach 15, p 303. See generally Baumann (ER), Part III, 9 and Capelle / Canaris, Part 1. See generally Capelle / Canaris, Part 2. Not dealt with in this text. See Capelle/Canaris, Part 1, Section 1 ( 23); Gierke/Sandrock, Section 1, Chapter 1 ( 68, 10); Hofmann, Part B; Kallwass, Section 5 ( 8386); Klunzinger (Grundzge) (HR), Chapter 2, 6; Meyer, Part I, 3 A II VI. With effect from 1.7.1998, the HGB has been reformed by the Handelsrechtsreformgesetz (Commercial Law Reform Act). As before, l(i) HGB provides that a Kaufmann is a person who engages in a Handelsgewerbe (trading business). However, in the amended l(ii) HGB, there is no longer a list of basic trading activitiesa Handelsgewerbe is now defined as every exercised business (Gewerbebetrieb), unless, according to the type and extent of the enterprise (Unternehmen), a properly organised business (ein in kaufmnnischer Weise eingerichteter Gewerbebetrieb) is not required. The term Handelsgewerbe is thus much broader than beforeit covers the service sector (Dienstleistungsunternehmen) and so-called Urproduktion. 4 HGB (concerning the Minderkaufmann) has been repealed and the former distinction between a Mukaufmann and a Sollkaufmann has become obsolete. Instead, the new 2 HGB provides that a small businessman (Kleingeiverbetreibender) can voluntarily register as a Kaufinann (Kannkaufmann). The term Gewerbe and its type and extent (Art und Umfang) remain central to the establishing whether a business falls within the HGB. However, classification is difficult, since there are no standard criteria. Once there is a Gewerbebetrieb, a Handelsvewerbe is (rebuttably) presumed to exist; the burden of disproving this falls on the (non-registered) businessman. There have also been changes for civil law companies (BGB-Gesellschaften) exercising a Gewerbe and for personal trading companies (OHG/KG). See Chapter XIX A 2; the article by Torsten Schne in ZAP 23/98, Fach 15, p 267. See Capelle/Canaris, Part 1, Section 2 ( 4) and Section 4 ( 10 I); Gierke/Sandrock, Section 1, Chapters 2 and 3 ( 17); Hofmann, Parts C and D; Klunzinger (Grundzge) (HR), Chapter 3, 11 and 13. 15 HGB sets out certain important rules regarding the effect (or lack) of an Eintragung (registration) and Bekanntmachung (publication) of a particular fact, which requires registration (an einzutragende Tatsache) in the Handelsregister, and of an incorrect publication (unrichtige Bekanntmachung) in the necessary journals (see 10 HGB): by 15 (ii) HGB a third party is bound by the (proper) registration and publication of a (correct) fact (except within 15 days of publication, provided the third party proves that he neither knew nor should have known the fact); by 15 (i) HGB a fact which is not registered and published cannot be held against a third party acting in good faith (so-called negative Publizitt (negative publicity): one can rely on the silence of the Handelsregister); by 15 (iii) HGB a fact which is unrichtig bekanntgemacht (incorrectly published) can be relied upon in the form of its publication by a third party acting in good faith (so-called positive Publizitt (positive publicity): one can rely on the information as published in the relevant journal(s) unless one knows it is incorrect). See Creifelds under Handelsregister; Capelle/Canaris, Section 2, 5; Klunzinger (Grundzge) (HR), Chapter 3, 13 III and IV.
26 27 28 29 30
31
32
284
Notes
Besides the details which have to be filed at the Handelsregister for registration purposes, every business must notify its business address (Geschftsanschrift) and any subsequent changes. See Schumacher, ZAP, Fach 15, p 335 (at p 339). See Capelle/Canaris, Part 1, Section 6 ( 1415); Gierke/Sandrock, Section 1, Chapters 4 and 5 ( 2125); Hofmann, Part F; Klunzinger (Grundzge) (HR), Chapter 2, 8. A procurist cannot dispose of, or charge, real property, unless specifically authorised: 49(ii) HGB. A procurist must indicate his status when signing on behalf of a firm: 51 HGB. The name of a procurist is commonly preceded by ppa or pp (per procura or per proxy). Like a procurist, a Handlungsbevollmchtigte must indicate his status when signing on behalf of a firm (eg, by using the abbreviations iA (im Auftrag) or i.V (in Vertretung). However, he must desist from using any designation indicating a procura: 57 HGB. Regarding the protection of a third party against unauthorised transactions, see also Chapter X, Note 31. These provisions should systematically belong to the law of employment. SeeChapter XVIII, Note 2(a); Capelle/Canaris, 111 (c); Hofmann, Part F III. See Capelle/Canaris, Part 1, Section 7 ( 17 and 19); Gierke/Sandrock, Section 1, Chapter 6 ( 26,27 and 29); Hofmann, Part G; Klunzinger (Grundzge) (HR), Chapter 2, 9. If a Handelsvertreter is not genuinely self-employed (ie, his self-employment is pretended (Scheinselbstndigkeit)), he is treated as an Angestellter (employee). See ZAP EN-Nr 558/98. See also: Chapter XVIII, Note 2(b). A Handelsmakler normally holds a neutral position between the parties. He is involved full-time/ professionally (gewerbsmig) in the negotiation/referral of commercial contracts (die Vermittlung von VertrgenberGegenstnde des Handelsverkehrs ) for others ( 93(i) HGB). See Creifelds under Handelsmakler. An estate agent (Grundstcksmakler) is not a Handelsmakler, but a so-called Zivilmakler (under 652 BGB). An insurance broker (Versicherungsmakler) is a Handelsmakler, but an insurance agent (Versicherungsagent or Versicherungsvertreter) is a Handelsvertreter. See Creifelds under Versicherungsmakler, Versicherungsvertreter and Makler. Though not mentioned in the HGB, the following persons have evolved from business practice and are also engaged in the marketing (Absatz) of products: the Eigen- or Vertragshndler (authorised dealer/distributor), who distributes (vertreibt) goods (Waren) for a particular manufacturer (Hersteller) or supplier (Lieferant) in his own name and for his own account (auf eigene Rechnung). The Vertragshndler is integrated (eingegliedert) to a greater or lesser degree in the manufacturers or suppliers organisation; the franchisee (Franchisenehmer), who, within the framework of an ongoing contractual relationship (Dauerschuldverhltnis), is granted a licence (Lizenz) to market particular branded goods (Markenwaren) or services (Dienstleistungen) using the name of the franchisor (Franchisegeber). See Creifelds under Vertragshndler, Franchisevertrag and Lizenzvertrag; Capelle/Canaris, Part I, Section 7 ( 18); Hofmann, Part G II. Regarding the international position of Handelsvertreter and Vertragshndler and the effect of EEC law, see the Lawyers Handbook, Part B XIII, 1,3. See generally Eisenhardt Chapter 4 ( 1017). See generally Eisenhardt Chapter 5 (1823). See Note 17 in this Chapter. See Klunzinger (Grundzge) (GR), Chapter 2, 5; Kraft/Kreutz, Part E. See also 29 and 31 HGB. However, the vetoing member can sue for a restraining order (Unterlassung). Creditors should be careful to sue the members as well: 129(iv) HGB. Following a judgment of the BGH on 29.1.2001, this rule now appears to be obsolete. The procedural distinctions between a BGB-Geseuschaft and an OHG have been wiped away and a BGB-Gesellschaft is now treated in the same way as an OHG. However, a judgment against particular members of a BGB-Gesellschaft is still required, if enforcement in their private assets (Privaivermgen) for obligations of the company contracted during their membership is sought. See ZAP-Aktuell, 3/01, p 122; Sieg, ZAP, Fach 15, p 355.
33 34 35 36
37 38 39 40
41
42
43 44 45 46 47 48 49 50 51
285

See also: Section B 3 in this Chapter; Chapter XXII, Notes 115 and 116. See 105(ii)HGB and 730740 BGB. See Klunzinger (Grundzge) (GR), Chapter 2, 6; Kraft/Kreutz, Part F. See Capelle/Canaris, Part 1, Section 5 ( 1213); Hofmann, Part E; Klunzinger (Grundzge) (HR), Chapter 3, 10. See Creifelds under Handelsgeschaft; Hofmann, Parts H and J; Kallwass, Section 5, Chapter 2 ( 8788); Klunzinger (Grundzge) (HR), Chapter 4, 1417. See Capelle/Canaris, Part 2, Sections 14 (2028). The term Schuldschein in 344(ii) HGB includes any type of document, which confirms or evidences an obligation on the part of a Kaufmann, eg, bills of exchange, guarantees and commercial securities (listed in 363 HGB). These include trade terms (Handelsklauseln), eg, Incoterms. See Creifelds under Handelsbrauch and Handelsklauseln. Cf246BGB. Cf 288 BGB. Normally, a Zahlungsaufforderung (demand for payment) and Verschulden (fault) on the part of the debtor are also necessary. See Chapter X, Note 127. Cf 343(i) BGB. Cf 932 BGB. See Capelle/ Canaris, Part 2, Section 5 ( 29). See Capelle/ Canaris, Part 2, Section 5 ( 30). See Capelle / Canaris, Part 2, Section 5 ( 31). See Capelle/ Canaris, Part 2, Section 5 ( 32). See Capelle/Canaris, Part2, Section 5 (33). See Capelle/Canaris, Part 2, Section 5 ( 34). This also applies in the event of a wrong delivery (Falschlieferung), unless the difference is obviously (offensichtlich) so significant that the vendor must have realised that the purchaser could not possibly accept the goods: 378 HGB. See Creifelds under Mngelrge and Untersudiungspflicht. The undertaking of remedial works (Nachbesserungsarbeiten) by the vendor does not relieve a purchaser from his duty to examine the goods promptly thereafter. ZAP, Fach 3, p 177 (computer software).
52 53 54 55 56 57
58 59 60 61 62 63 64 65 66 67 68 69
70
CHAPTER XII
1 2 3 4 5 By 31 BGB, for example, if the conduct of an organ of a Verein causes loss, the Verein is liable. See Eisenhardt, Chapter 7, 31 II; Meyer, 10 A15. See generally: Eisenhardt, Chapter 9, 37; Hueck, Section 3, 351-II; Kraft / Kreutz, Part CI5. See Hueck, Section 3, 35 II 1. See Hueck, Section 3, 35 II 2. See Creifelds under Grndungsgesellschaft; Eisenhardt, Chapter 9, 37 II 3. 11 (ii) GmbHG also applies, if the person acting exceeds his authority ie, it takes precedence over 179 BGB. See Hueck, Section 3, 35 II 3. See Hueck, Section 3, 35 II 4. See generally Kraft/ Kreutz, Part L III. Authorised capital (genehmigtes Kapital) is not a term known to German law. The equivalent in the case of a public limited company (AG) is the Grundkapital (basic capital), the minimum nominal amount of which (Nennbetrag) is Euro 50.000 ( ): 7 AktG. See Creifelds under Einlage. In the case of a public limited company (AG), the word Aktie represents both a persons membership (Mitgliedschaft) and that persons share (Bruchteil) of the Grundkapital. Before the Stckaktiengesetz of 25.3.1998, Aktien had to be issued for a particular nominal value (Nennwert). However, this is no longer necessary and so-called Quotenaktien or Stuckaktien (single shares, which participate proportionately in the basic capital) are now permitted: 6 AktG.
6 7 8 9 10 11
286
Notes
12 13 14 See generally Kraft/ Kreutz, Part LIV. The company agreement can limit the right to revoke a directors appointment to an important reason: 38(ii) GmbHG. See Hueck, Section 3, 23IV See also Chapter XVIII, Note 2. A director of a GmbH is usually regarded as an employee for tax purposes, so that wages tax (Lohnsteuer) has to be deducted from his remuneration. See Braun, ZAP, Fach 20, p 281. The external power of representation of a director is unlimited and unlimitable (unbeschrnkt und unbeschrnkbar). See Chapter XI, Note 25. See Kerkhoff, ZAP, Fach 15, p 227; ZAPEN-Nr 175/2001. See Schumacher, ZAP, Fach 15, p 335 (at p 341).
15
16 17
CHAPTER XIII
1 As from 1.1.1992, 645687 ZPO, which formerly dealt with matters relating to Entmundigung (tutelage), have been repealed, as has 6 BGB in which Entmundigung was defined. Adults can now be placed under Betreuung (care and attendance/companionship). See 18961908i BGB. See Baumann (ER), Part VI, 18 II; Baur/Grunsky, 4; Jauernig (ZP), Book 2, Chapter 4 ( 2429); Model/ Creifelds/Lichtenberger, Part III C (234). This includes the right to make legal submissions (Rechtsausfhrungen) and to state ones legal opinion (Rechtsauffassung). However, there is no entitlement to a legal discussion (Rechtsgesprch)the court is assumed to know the law (iura novit curia). In accordance with the principle of the rule of law (Rechtsstaatsprinzip), civil procedure must be conducted fairly and in conformity with basic rights. Effective legal protection (effektiver Rechtsschutz) must be available, there must be a level playing-field (Waffengleichheit (equality of arms)) and the parties must be given an opportunity to state their case (Gelegenheit zur btellungnahme) . Surprise decisions (benaschungsentscheidungen) are forbidden. See Schneider, ZAP 2/00, Fach 13, p 911; Schneider, ZAP 4/01, Fach 13, p 995; Schneider, ZAP 5/01, Fach 13, p 1025. See also: Creifelds under Faires Verfahren; Note 69 in this Chapter. See Chapters XV D and XVII A; 24 VwVfG, 86(i) VwGO; 155 StPO. The accused has no duty to tell the truth in criminal proceedings. See Creifelds under Wahrheitspflicht; Note 66 in this Chapter. See Note 69 in this Chapter. See Creifelds under Offizialprinzip; Note 96 in this Chapter; Chapter XVII, Note 13. By 169, 2nd sentence GVG, the recording and televising of court proceedings is forbidden. A challenge to this prohibition was rejected by the BVerfG on 24.1.2001. See ZAP-Aktuell, 3/ 01, p 123. Currently, therefore, publicity is (still) limited to the confines of the courtroom. However, with effect from 1.1.2002, the transmission of pictures and sound during a hearing in the form of a simultaneous video link can be allowed. See ZAP-Aktuell, 13/01, p 788. 1 Whether or not a particular alleged fact (Tatsachenbehauptung) is true can be assessed freely by the court. It can consider the proceedings as a whole and (not only) any evidence presented to it. See Jauernig (ZP), Book 2, Chapter 8, 49 V1. See also Chapter XXII E. 2 The taking of evidence (Beweisaufnahme) only requires a formal order of the court (Beweisbeschlu), if special proceedings are necessary for this purpose ( 358 ZPO) eg, because evidence is not immediately available or if it is desired that a party should give evidence ( 450 ZPO). 3 To be distinguished from the (normal) requirement of the (full) conviction ((volle) berzeugung) of the court is the Glaubhaftmachung (substantiation) of a particular alleged fact. This applies only if required/permitted by statute (eg, in Arrest or injunction proceedings: 920, 936 ZPO) and means that a lesser degree of proofnamely, the mere good possibility (gute Mglichkeit) of the truth of a particular assertionsuffices. Any Beweismittel (means by which evidence is presented) can be used (also a declaration in lieu of oath by a party or a third person), provided it is immediately available ( 294 ZPO).
2 3
4 5 6 7 8
287

The court has a duty to exhaust die evidence preferred (Erschpfung der Beweise). Failure to do so breaches 286 ZPO and can infringe the right to be heard (Article 103(i) GG). An application for the taking of evidence (Beweisantrag) can only exceptionally be refused (cf 244(iii) StPO). See, in Appendix A, Beweisaufnahme, Beweismittel and Beweisverfahren. 1 In civil procedure, it is a basic rule (Grundregel) that the party alleging that the factual conditions for a particular Anspruchsgrundlage or Gegennorm (counter-norm) are fulfilled must allege and prove them (the Behauptungslast (Darkgungslast) and, respectively, the (subjective) Beweislast (burden of proof)). The evidence of that party (the beweisbelastete Partei) is referred to as the Hauptbeweis (main evidence), while that of the other party is the Gegenbeweis (counter-evidence). 2 If, following the Beweiswrdigung (assessment of the evidence), there is a non liquet (ie, something remains unclear) and the court is not convinced of the truth or otherwise of a particular Tatsache (fact), the question is then: who (still) has the (objective) Beweislast? That person is referred to as remaining beweisfallig (liable to supply proof) and bears the consequences (Folgen) of the failure of proof (Beweislosigkeit). 3 The Beweislast can be eased by prima facie evidence (Beweis des ersten Anscheins or Anscheinsbeweis), eg, by a rule of experience (Erfahrungssatz). The equivalent in English law is the rule of res ipsa loquitur (the thing speaks for itself). Anscheinsbeweis is a special type of circumstantial evidence (Indizienbeweis). Both are so-called tatschliche Vermutungen (actual presumptions (not to be confused with the term Tatsachenvermutung (presumption of fact)). However, unlike Indizienbeweis, Anscheinsbeweis is merely provisional (vorlufig) and can be destroyed (zerstrt) or shaken (erschttert) by facts indicating the serious possibility of a different course of events (die ernsthafte Mglichkeit eines anderen Geschehensablaufes). 4 The Beweislast can also be regulated or reversed (Umkehr der Beweislast) in cases where statutory presumptions (gesetzliche Vermutungen) apply (eg, 1006 BGB) or where presumptions have been developed by the courts (for example, in (tort) actions involving alleged medical negligence (Arzthaftung) or product liability (Produkthaftung), eg, in The Allergy to Hair Tonic Case (Sourcebook, Chapter 5) and The Fowl Pest Case (Sourcebook, Chapter 6). However, statutory presumptions as to facts or rights can be refuted (entkrftet) by contrary evidence (Beweis des Gegenteils): 292 ZPO. See also 282 BGB. See generally Creifelds under Behauptungslast, Beweis, Beweislast, Glaubhaftmachung, Non liquet, Anscheinsbeweis, Indizienbeweis and Produzentenhaftung. Anscheinsbeweis is of particular practical relevance in the field of road traffic accidents. See the article by Grneberg, ZAP 12/00, Fach 9, p 567 (Section II 1 (m)). See also: Notes 67, 84 and 97 in this Chapter; Chapter X, Note 126 I; Chapter X, Note 222 E; Chapter XV D; Bergerfurth, Part 3 (1518); Jauernig (ZP), Book 2, Chapter 8 ( 4950); Rosenberg/Schwab, Book II, Section 1 ( 118); Schellhammer (ZP), Book 1, Part 3, Chapter 7; Schneider, ZAP 2/00, Fach 13, 2223 (p 897938); Youngs (CL), Chapter 5, Part I, Section G. (Note: the numbering in Schellhammer (ZP) has changed since I consulted the 3rd Edition (1987), Book 2, Part 3, Chapter 7, Sections 6,9 and 10.310.6). Doctors have a duty to enlighten the patient (Aufklrungspflicht) and a duty to keep proper documentation (Dokumentationspfiicht). They can be liable for a defect in treatment (Behandlungsfehler) in criminal and/ or civil law (contract and/or tort); see Schafer, ZAP, Fach 2, p 159; Uhlenbruck, ZAP, Fach 2, p 171; Marburger, ZAP, Fach 18, p 693; Creifelds under Arzt and Arztliche Kunstfehler; Chapter X, Notes 126 J, 166 (Classification) and 222 B. 5 In criminal proceedings, where the inquisition principle (Inquisitionsprinzip) applies, the term Beweislast is not used in the above manner. The consequence of a non liquet is that the accused always has the benefit of any remaining doubt the unwritten principle in dubio pro reo (in case of doubt, for the accused (on issues of fact)). The principle of freie Beweiswrdigung again applies and the court must be convinced (of the guilt of the accused) on the basis of the totality of the hearing: 261 StPO. All facts and means of evidence (Tatsachen und Beweismittel), which are in some way significant for the decision, must be proven: 244(ii) StPO. There are no presumptions of guilt (Schuldvermutungen). See Creifelds under non liquet and in dubio pro reo; Roxin, Book I, Chapter 5 ( 24 C). See D 8 in this Chapter, below. See Rosenberg-Schwab, Book I, Section 3, 62 and Section 4, 77. Regarding the mechanics of service, see Chapter XIII D 1 (g) (ii), below. 4
10
11 12 13
288
Notes
14 A Beschlu or Verfgung requires no particular form, but if there has been an oral hearing, it must be pronounced (verkndet): 329(i) ZPO. See Creifelds under Beschluverfahren; Chapter XIII D 3 (c). Bis de eadem re ne sit actio (no action lies twice in the same matter; ne bis in idem is the equivalent expression in the field of criminal law). See Baur, 13 A and 17; Bergerfurth, Part 4 (24); Jauernig (ZP), Book 2, Chapter 9 ( 6165); Rosenberg/Schwab, Book II, Section 3 ( 150163). See also Chapter XIV C (Note 26). The Rechtskraft of a judgment also extends to the parties successors in title: 325 ZPO. Exceptionally, the Rechtskraf of a decision can be beseitigt (disposed of, overturned) by means of: an application for Wiedereinsetzung in den vorigen Stand (reinstitution of the previous position): 233 238 ZPO; an Ab Under ungsklage (writ to adjust a judgment for the payment of regular sums (eg, maintenance) due to a change of circumstances): 323 ZPO; a Wiederaufnahme des Verfahrens (resumption of proceedings): 578591 ZPO. The Rechtskraft of a decision can also be durchbrochen (breached), if grounds for a claim under 826 BGB can be proven. See Creifelds under Rechtskraft, Wiedereinsetzung in den vorigen Stand, Abnderungsklage and Wiederaufnahmeverfahren. Regarding the Abnderungsklage, see also the article by Schellhammer in ZAP 9/98, Fach 11, p 445. See Rosenberg-Schwab, Book I, Section 4 ( 8182); Thomas-Putzo, 128 II. See also: Chapter XIII D 2 (d). See Note 113 in this Chapter. Regarding the independence of the judiciary, see Chapter XXI A. Regarding the principle of the binding of the judiciary to statute and law, see Chapter II, Note 23. Jauernig (ZP, Book I, Chapter 2 ( 8 V) points out that the principle protects the subject from judicial Willkr (arbitrariness). This is correct, but Jauemig then takes the view that this function can only be performed, if a Gesetz contains sufficient norms. One can then beg the question: How many norms are enough? Is a particular Gesetz really necessary? Does not an increase in quantity lead to a decrease in quality? See Preface to Second Edition at Note 13; Chapter VIII, Note 22; Chapter XVI, Note 6. See Creifelds under Einheitlichkeit der Rechtsprechung, Prjudizien, Divergenz gerichtlicher Entscheidungen, Bindungswirkung; Article 100(iii) GG; 132,136138 GVG; 1112 VwGO. See also: Chapter I, Note 6. See Section D 3 in this Chapter. See Note 15 and Section D 4 in this Chapter; Jauernig (ZP), Book II, Chapters 9 ( 60) and 11. Reopening of the hearing is possible, if a court reaches a surprise decision on the basis of a point of law which a party has overlooked or not considered to be significant. See Note 121 in this Chapter. The district court for the place at which an applicant (Antragsteller) has a general venue has exclusive local jurisdiction: 689(ii), 1st sentence ZPO. A foreign plaintiff (ie, one without a general venue in Germany) must apply to the Amtsgericht Schneberg in Berlin: 689(ii), 2nd sentence ZPO. Thus, for die purpose of the Mahnverfahren (and the local jurisdiction of German courts), the general venue of the defendant is, in principle, irrelevant. However, this is subject to the qualification that if there is a special (but no general) venue for the defendant in Germany, the matter falls within the local jurisdiction of the Amtsgericht, which wouldhypotheticallyhave (local) jurisdiction over the main dispute, were the district courts competent to deal with it 703d ZPO. Apart from local jurisdiction, German courts can have (cross-border) international jurisdiction (also with respect to a Mahnverfahren) on the basis of international treaties. Procedure is then governed by the Law to Implement International Conventions on Recognition and Enforcement ( Anerkennungsund Vollstreckungsausfhrungsgesetz; AVAG) of 30.5.1988 and the ZPO rules are ousted. See Michael Johannes Schmidt in ZAP 24/95, Fach 14, p 195; Note 163 in this Chapter; Chapter XXI, Note 13. The effect of lodging an application for a Mahnbescheid is that Verjhrung (prescription) is interrupted: 693(ii) ZPO. However, the application must sufficiently individualise the claims being made. See Schneider, ZAP, Fach 13, p 391; ZAP EN-Nr 43/01.
15
16 17 18
19
20 21
22
23
289

24 25 26 See Baur/Grunsky, 18 B; Bergerfurth, Part 6 (34); Jauernig (ZP), Book 3, Chapter 14 ( 90); Model/Creifelds/ Lichtenbeiger, Part III C (249). Books of the ZPO and, as appropriate, their Sections are not subdivided into Sections or, as appropriate, into Titles except where stated in this text. It would extend beyond this text to consider Book I, Section 2, Titles 57 ZPO ( 91127a ZPO) in detail. For further information, see Baur/Grunsky, 20; Bergerfurth, Part 4 (22); Jauernig (ZP), Book 4, Chapter 16 ( 95); Fischer in ZAP 1/01, Fach 13, p 975. See also: Chapter XIII D 8 (b), Chapter XXII B (Note 22) and XXII D 8 (Note 111) post. See Baur/Grunsky, 5; Jauernig (ZP), Book 1, Chapter 2 ( 912); Model/Creifelds/Lichtenberger, Part 3 C (236237). A Questions of international jurisdiction (internationale Zustndigkeit) in civil matters are fundamentally governed by the rules on local jurisdiction contained in the ZPO. However, if other special procedural provisions for cases with an international element exist (eg, in international conventions, such as EuGV), these have priority (in so far as they are applicable). See Jauernig (ZP), Introduction, Chapter 1, 6; Thomas-Putzo, 1 Vorbem II 4; Geimer, Part 4. B International jurisdiction is a Prozevoraussetzung (precondition for a judgment) and must be considered by the court of its own motion (von Amts wegen). See Notes 47 and 136 in this Chapter. C In the ZPO, the basic rule is that, in the absence of an exclusive venue, the court of a persons general venue has local (and, therefore, international) jurisdiction in all (civil) actions against that person: 12 ZPO. In other words, for a court in Germany to have jurisdiction in a civil matter, a general venue for the defendant must first be established. The general venue of a natural person is his Wohnsitz ( 13 ZPO); that of a company, its Sitz (17 ZPO). Special venues are (alternative) venues laid down for particular types of action (eg, the location of the branch (Niederlassung/Filiale) of a business (Gewerbe), where the activities of that branch are concerned: 21(i) ZPO; the place of performance, where contractual obligations are involved: 29 ZPO). See also, in this connection, Article 5, Nos 5 and 1 EuGV. Unless there is a (local/international) exclusive venue, the plaintiff can choose between available venues: 35 ZPO. With the same qualification, German international jurisdiction can exist concurrently with that of a foreign court, although, under Articles 2123 EuGV, once a matter is pending in more than one country (anderweitige Rechtshngigkeit = lis alibi pendens), the later court must (or can), in certain circumstances, decline jurisdiction in favour of the court first seised of the case (das zuerst angerufene Gericht). D The location of a natural persons general venueor, indeed, of any other venuemust, if disputed, be determined according to the law of the forum (lex fori). The position under the EuGV is similar: in order to determine a natural persons general venue, the national law of the forum must initially be applied. However, foreign law can (secondarily) become relevant, if no general venue is established under national law: Article 52 EuGV. where the issue is the location of the Sitz (seat) of a Gesellschaft or juristische Person (company), the private international law of the forum is decisive: Article 53 EuGV. E For a survey of the circumstances in which a German court has (local) jurisdiction under 1237 ZPO, ie, the: allgemeine Gerichtsstnde (general venues; 1219 ZPO); besondere Gerichtsstnde (special venues; 2023a, 2729,3034 ZPO); and ausschliefiliche Gerichtsstnde (exclusive venues; 2426, 29a, 606, 802 ZPO), and the interrelationship between those norms and the Brussels Convention (EuGV) 1968, see Dannemann, Part VI1 (a)-(c). See also: Chapter X Note 8; Chapter XX Note 2 and D 2. F Regarding local jurisdiction: in marriage matters (Ehesachen) and other family matters, see Chapter XIII D 6 (b); in criminal matters (Strajsachen), see Chapter XVII, Note 37; in administrative matters, see 52 VwGO. See Chapter XVII, Note 4. See Chapter XIII C G; Chapter XXII B; Jauernig (ZP), Book I, Chapter 2 ( 15 II and 8 V). Family matters (Familiensachen) are dealt with by the family court (Familiengerichlt), which, like the guardianship court (Vormundschaftsgericht), is a division of me Amtsgericht. The hearing in Familiensachen and Kindschaftssachen is held in private: 170 GVG. See Creifelds under Familiensachen, Familiengericht and Vormundschaftsgericht, Chapter X B 2 (a); Chapter XIII D 6 (a), below; Bergerfurth, Part 6 (30); Jauernig (ZP), Book III, Chapter 14, 9192.
27 28
29 30 31
290
Notes
32 The Amtsgericht also acts as: land registry (office) (Grundbuchamt): 1 GBO; bankruptcy court (Konkursgericht): 2 InsO; enforcement court (Vollstreckungsgericht): 764 ZPO; guardianship court (Vormundschaftsgericht): 35 FGG; probate court (Nachlagericht): 72 FGG; registration court (Registergericht) responsible, for example, for the Handelsregister (commercial register): 125 FGG. See Chapter XXII, Note 33. See Chapter XXII D 8. See Chapter X Note 224. See Chapter XIII D 3 (a) and (b), below. See Bergerfurth, Part 1 (3); Jauernig (ZP), Book 1, Chapter 3 ( 1820) and generally Baur/Grunsky, 6. A party in non-contentious matters (freiwillige Gerichtsbarkeit) and in administrative, social and finance proceedings (see Chapter XXII C 4) is referred to as ein Beteiligter (a person involved). For examples of Prozehandlungen, with information regarding their characteristics and form, see generally: Jauernig (ZP), Book II. Chapter 4, 30; Baur/Grunsky, 6 F; Schellhammer (ZP), Book 4, Part 16, Chapter 11. Erwirkungshandlungen are classified as: applications (Antrge); assertions (Behauptungen, which term includes Angriffs- und Verteidigungsmittelsee Note 119 in this Chapter); and offers of evidence (Beweisangebote). See Rosenberg/Schwab, Book I, Section 3, Chapter 2 ( 64). See also: Note 64 in this Chapter; Jauernig (ZP), Book II, Chapter 4, 30 III. See Jauernig (ZP), Book II, Chapter 4, 30 IV. However, once proceedings have begun, an internal procedural condition (innerprozessuale Bedingung) is permissible. Thus, eventual applications (ie, for/in die event that(fr den Fall, da )) are, in general, allowed. See Chapter XIII D 2 (c) (iii), below. Heilung is also possible, if a faulty Prozehandlung is approved retrospectively (rckwirkende Genehmigung) or if it is carried out anew in the correct manner (erneute Vornahme). See Baur/Grunsky, 10; Bergerfurth, Part 1 (7); Jauernig (ZP), Book 2, Chapter 5 ( 33); Creifelds under Zulssigkeit; Note 44 in this Chapter. See Creifelds under Prozevoraussetzungen; Chapter XIII D 2 (c) (iii); Chapter XV C (Note 11); Chapter XVI (Note 17). See Chapter XIII D1 (f) (iv). The basic provision governing the Rechtsweg in civil and criminal proceedings is 13 GVG: see Chapter XXII C 2. Once the defendant makes unqualified oral submissions on the main issue at first instance (ie, without challenging the courts jurisdiction), he is bound to the court and can make no further objection to its jurisdiction: 39 ZPO. However, in proceedings before the Amtsgericht, this does not apply, if the court fails to advise the defendant of its lack of (substantive or local) jurisdiction: 504 ZPO. A plaintiff faced with his action being rejected as inadmissible (unzulssig) on the ground that the court has no jurisdiction (ie, is unzustndig) should apply for a transfer (verweisung) of the matter to the competent court under 281 ZPO. See Jauernig (ZP), Book 1, Chapter 2 ( 12); preceding subsection in this Chapter (D I (e)). There is currently a thorny legal debate in Germany as to whether a company without a Site in Germany has the capacity to sue in Germany, ie, as to the procedural status of foreign companies in the eyes of German law. German courts still cling to the view that the legal capacity of a company is determined not by the home law (Heimatrecht) of its place of incorporation (Grndung), but by the law of its actual (administrative) seat (Verwaltungssitz).
33 34 35 36 37 38
39
40 41
42 43 44 45 46 47
48
291

One says that this rule is necessary to counteract evasion of local rules by businesses, which form a sham mail-box company (Briefkastenfirma) in another jurisdiction and then relocate their centre of administration to that place. Whatever the merits of this argument, such an approach is, in reality, discriminatory and hampers the smooth resolution of international disputes. Moreover, it is incompatible with the spirit of the EEC Treaty (which guarantees the right of establishment for companies (Niederlassungsfreiheit)see the Centros decision of the ECJ (93.1999)). The issue shows how difficult it is to reconcile different legal standpoints (cultures). See ZAP, Fach 25, p 91; ZAP EN Nr 511 /00; Article 7 EGBGB. See Zweigert and Ktz, Part II AI (Chapter 39 III) on the different position of minors in English and German law. See also: Chapter X, Notes 27 and 30; Note 56 in this Chapter. See Bergerfurth, Part 1 (8); Jauernig (ZP), Book 3, Chapter 13 ( 8182). See Jauernig (ZP), Book 3, Chapter 13 ( 8385) and Baur/Grunsky, 9. See Note 39 in this Chapter. See also 146, 282 and 296 ZPO. See the previous paragraph in the text. See Jauernig (ZP), Book 1, Chapter 3 (21 and 22). But not in proceedings before an Amtsgericht ( 495510b ZPO). In a civil matter subject to legal aid (Prozekostenhilfe), the aided party has a right (in an Anwaltsproze (lawyers action)) to the appointment (Beiordnung) by the court of the lawyer selected by him or her: 121(i) ZPO. If no such lawyer can be found, the presiding judge appoints one on application: 121(iv) ZPO. An outside lawyer instructed to take steps in court proceedings elsewhere in Germany (or abroad) is referred to as me principal authorised representative (Haupt- or Prozebevollmchtigter), while the local (instructing) lawyer, who maintains (direct) contact with the client, is called a Korrespondenzanwalt/Verkehrsanwalt (correspondence lawyer). Fee arrangements (eg, sharing) can be made, but the Verkehrsanwalt is entitled at least to one full Gebhr ( 52 BRAGO). Usually, all statutory fees are halved without regard to their recoverability: 22 BerufsO. A Verkehrsanwalt can be appointed on application under legal aid, if special circumstances (besondere Umstnde) so require: 121(iii) ZPO. See Kindermann, ZAP, Fach 24, p 613; Note 63 in this Chapter; Chapter XXII, Notes 73 and 101. See Creifelds under Vollmacht (cf Ermchtigung and Treuhandeigentum), Kaiser, Part I (17); Khler, Part 5 ( 18); Klunzinger (Einfhrung), Part II (18-20); Ktz (EVR), Part B, 12; Lowisch, Part 2, 8; Zweigert and Ktz, Part II AI (Chapter 39 (entitled Representation)); see Chapter X, Note 28. For the position regarding minors, see Chapter X Notes 27 and 30 and Note 49 in this Chapter. The appointment of a Vertreter (agent) generally requires no particular form: 167(ii) BGB (exception: an irrevocable Vollmacht for a real estate transaction). Moreover, the grant of a Vollmacht can be express or can be implied from the principals conduct (schlssiges Verhalten). In two situations, by analogy with 170173 BGB, case-law has constructed a Vollmacht where none actually exists (ie, the agent is unauthorised): Duldungsvollmacht (allowed authority): the principal knowingly tolerates the actions of the agent; Anscheinsvollmacht (ostensible authority): the principal is not aware of the agents activities, but could, with appropriate care, have discovered them. The rationale underlying both situations is the need to protect the trust of the innocent third party (Vertrauensschutz); the principal must bear the consequences for the Rechtsschein (legal appearance) which has been created. In commercial law, the doctrine of the (unregistered) Scheinkaufmann (apparent businessman) is based on similar considerations: a person, whose appearance (Auftreten) in a business environment gives an innocent third party the false impression (Eindruck) that he is a businessman, is treated as such. In particular, it suffices for personal liability, if a firm name is used without an appropriate suffix (eg, contrary to 4(ii) GmbHG). See Creifelds under Vollmacht and Scheinkaufmann, Capelle/Canaris, Part 1, Section 6 ( 16); Hofmann, Part B IV 2; Khler, Part 5, 18IV; Schneider, Fach 15, p 245; Schulte, Vol 1, Chapter 8IX; Chapter X, Notes 27 and 31; Chapter XI at Note 37; Chapter XVIII, Note 7. German lawyers always insist on a written Vollmacht before taking on a case, but rarely agree to limitations. Thus, a Vollmacht is potentially a very dangerous instrument for unwitting clients.
49 50 51 52 53 54 55
56
57
58
292
Notes
If an internal limitation is desired, it is importantso as to safeguard possible claims for damages against the lawyer appointedthat it be spelt out in writing, preferably in advance of the retainer. Such external limitations as are accepted and are permitted should be contained in the Vollmacht itself. However, the Vollmachtgeber can immediately withdraw or correct admissions or factual statements made by the Bevollmchtigten in his presence. See also 164(i)BGB. See Chapter X, Note 31. In a party action (Parteiproze), the court must take account of a defect in a Vollmacht of its own motion, unless a lawyer appears. The costs of a Verkehrsanwal are normally considered as unnecessary and not recoverable. See Notes 26 and 55 in this Chapter. Types of pleading: Vorbereitende Schriftstze (preparatory pleadings) summarize the proposed submissions and applications in the forthcoming hearing. To be distinguished are bestimmende Schriftstze (definitive pleadings), which are intended to procure action by the court, eg, a writ (Klage). See Note 39 in this Chapter. If a party is unable to respond to an opponents submissions because they were not notified in time before the hearing in a preparatory pleading (ie, the party is surprised after conclusion of the hearing), application can be made to the court to allow the lodging of a pleading in response (so-called nachgereichte (or nachgelassene) Schriftstze): 283 ZPO. Reference to Documents (Bezugnahme) Preparatory pleadings can be supplemented by means of reference to documents (Urkunden) in the possession of the party. They must then be attached in original or copy: 131 (i) ZPO. All written items (Schriftstcke) can be, and usually are, referred to by way of reference (Bezugnahm) at the hearing: 137(iii) ZPO. Documents can be referred to in the preparatory pleadings as means of evidence (Beweismittel), in which case the provisions regarding the taking or evidence (Beweisaufnahme, 355ff ZPO) apply. However, a prerequisite is the making of sufficient factual submissions. See Creifelds under Mndliche Verhandlung and Chapter XIII D 2 (c) (vi). See also 272 and 278 ZPO See Chapter XIII B 2. The Wahrheitspflicht was introduced by an amendment (Novelle) to the ZPO in 1933. See Jauernig (ZP), Book E, Chapter 4 ( 25 VIII and 26). Substantiation (Substantiierung) serves the process of Subsumtion and is important for the purpose of the Schlssigkeitsprfung. It is more than just Glaubhaftmachung. The presentation of the facts (Darstellung des Sachverhalts) must go into detail (in Einzelheiten gehen) and be complete (lckenlos) ie, they must be concretised as far as possible. The parties have a burden of allegation (Darkgungslast). If the parties cannot discharge their Darlegungslast (eg, if they allege too few or unfavourable facts), the parties run the risk of their submissions being dismissed as unschlssig (inconclusive) or unerheblich (insignificant). In particular, the court can reject: statements which are known to be untrue (bewut unwahres Vorbringen); assertions which are based on an arbitrary presumption (willkrliche Vermutung), ie, which are made into the blue (ins Blaue hinein) without tangible proof (ohne greifbare Anhaltspunkte); and applications for evidence, which are only made in order to obtain additional, possibly significant information intended to form the basis for further investigations, ie, fishing expeditions (Ausforschungsantrge). The extent of a plaintiffs duty to substantiate in a particular case depends on the norm sought to be invoked (ie, the provisions of the substantive law (materielles Recht)) and on the defendants expected reaction to the Klage. No further substantiation is required, if a particular legal term (Rechtsbegriff) used by a plaintiff is not disputed by the defendant (ie, both parties are in agreement). If the court considers the substantiation supplied to be insufficient, it has a duty (under 139 ZPO) to indicate this (Hinweispflicht). However, courts often overstretch the degree of substantiation required so as to avoid the need for the taking of evidence (Beweisaufnahme). See Chapter X, Note 105; Notes 10, 97 and 107 in this Chapter; Jauernig (ZP), Book II, Chapter 5, 37 II 4; Nicknig, ZAP 7/97, Fach 13, p 501; Schneider, ZAP 2/00, Fach 13, p 897. See Chapter XIII B 2 and 3.
59 60 61 62 63 64
65 66
67
68
293

69 139 ZPO is a central norm of civil procedure, which places an obligation on the presiding judge to take an active role in the conduct of the proceedings (Prozeleitung), the purpose being to elicit the material at issue (Prozestoff). However, the extent of the judges duty is disputed; 139 ZPO merely sets out the minimum requirements. Thus, although the judge must do what is necessary to advance the case to an appropriate decision (sachgerechte Entscheidung)he has a Frderungspflichthe must remain neutral between the parties (unparteiisch). A breach of 139 ZPO constitutes a procedural defect (Verfahrensmangel). On objection by a party that a direction by the presiding judge or a question from a member of the court is inadmissible (unzulssig), the full court must decide: 140 ZPO. Moreover, an appeal and other remedies are possible: see Chapter XXII, Note 19. The court also has a general procedural duty of care (prozessuale Frsorgepflicht) derived from the constitution (Articles 2(i), 19(iv) GG), infringement of which can give grounds for a constitutional complaint. See Creifelds under Aufklrungspflicht des Richters; Jauernig (ZP), Book II, Chapter 4, 25 VII; Schneider, ZAP, Fach 13, p 731; ZAP-Report: Justizspiegel 6/01, p 307. See also 273, 278(iii), 295 and 504 ZPO; Note 3 in this Chapter. In administrative court proceedings, the counterpart of 139 ZPO is 86(iii) VwGO. In criminal proceedings, the counterpart of 140 ZPO is 238(ii) StPO. By 279(i) ZPO the court must, at all stages of the proceedings, consider a possible amicable settlement of the dispute in whole or in part. The court can, for example, stay the proceedings, if its decision depends on the existence or non-existence of a legal relationship (Rechtsverhltnis), which is the subject of other proceedings ( 148 ZPO), or if, during the proceedings, it transpires that the investigation of a possible crime could influence the courts decision ( 149 ZPO). Other examples of preliminary questions (Vorfragen), which can also require a stay of proceedings, are concrete norm-control references (to the Constitutional Court) and references to the European Court of Justice regarding European Union law (under Article 234 EC Treaty (formerly Article 177 EEC Treaty)). See 94 VwGO; Article 100(i) GG; 246ff, 261(iii) and 614 ZPO; Chapter VII, Notes 12 and 13. The provisions relevant to the issue of a Klage (writ) are dealt with in Chapter XIID 2 (c). See also Note 89 in this Chapter. See also 207 ZPO. For example, the notice periods for termination of a contract of employment (Kndigungsfristen; 622 BGB). See Baur/Grunsky, 13; Chapter XIII, Note 15. Dealt with here: 230231 ZPO. However, a party, who fails to observe (inter alia) a Notfrist or the time limit for lodging particulars of appeal, can apply for Wiedereinsetzung in den vorigen Stand (reinstitution of the previous position), if: the failure arose without blame (ohne Verschulden) on his part; a substantiated application for reinstitution is made within two weeks of the date on which the impediment is remedied (der Tag, an dem das Hindernis behoben ist), ie, the date, after which further nonobservance of the time limit by the party is blameworthy. the Prozehandlung is carried out anew (nachgeholt) within the two week period; the application for reinstitution is made, at the latest, within one year of the expiry of the missed time limit. See 233, 234, 236(ii) and 294 ZPO. Substantiation (Glaubhaftmachung) usually takes the form of an assurance in lieu of oath (eidesstattliche Versicherung). A grant of reinstitution is final: 238(iii) ZPO. Dealt with in Book II of the ZPO (253ff). See333ZPO. See Note 107 in this Chapter. See also 148155 ZPO. See also 251a ZPO. A more detailed consideration of Titles 212 ( 300494 ZPO) would extend beyond the scope of this text.
70 71
72 73 74 75 76 77 78
79 80 81 82 83 84
294
Notes
However, for information regarding: Title 2, see Prozefiurteil, Sachurteil and Urteil in Appendix A; Title 3, see Chapter XIII D1 (g) (iv); Title 4, see Chapter XIII D 2 (c) (i); Titles 512, see Chapter XIII B 7, Chapter III D 2 (c) (iii) and the entries between Beweis and Beweiswrdigung in Appendix A. See Baur / Grunsky, 7; Bergerfurth, Part 1 (2 and 6) and Jauernig (ZP), Book 2, Chapter 6 ( 38401); Model/Creifelds/Lichtenberger, Part 3 C (240). See Schneider, ZAP 18/98, Fach 13, p 741 (Formfragen); Note 64 in this Chapter. Thus, for example, the Klageschrift must make dear whether defendants are being sued as joint debtors (Gesamtschuldner). See Schneider, ZAP 1 /00, Fach 13, p 845 ( 18); Chapter XIIID 1 (f) above. For the bailiffs involvement in enforcement proceedings, see Chapter XIII D 8 C (v). Other forms of Zustellung are available where the circumstances require: Ersatzzustellung (substituted service: 181185 ZPO); ffentliche Zustellung (service by public notice: 203206 ZPO). Return of the acknowledgement of receipt is a precondition for service to be valid (wirksam). However, a date of receipt stamp (Eingangsstempel) is sometimes not itself conclusive of the date of service. Moreover, a lawyer must take care to calculate and note any relevant time period (Frist) for the lodging of an appeal (Rechtsmittel). See the article by Brigitte Borgmann in BRAK-Mitteilungen 6/98, p 270. Certain exceptions are set out in 65(vii) GKG. See also Chapter XXII D 8. See Jauernig (ZP), Book 2, Chapter 5 ( 34) and Creifelds under Klagearten. See 304(i) ZPO, Jauernig (ZP), Book 2, Chapter 5 ( 34) and Creifelds under Leistungsklage, Gestaltungsklage and Feststellungsklage. See also Chapter XV B (Note 7). See Jauernig (ZP), Book 2, Chapter 5 ( 37); Rosenberg / Schwab, Book II, 96. Die bestimmte Angabe des Gegenstandes und des Grundes des erhobenen Anspruchs, sowie einen bestimmten Antrag. It is a strict rule that it must be made dear to the court what claim is being made and what decision is being sought, otherwise the Klage has to be dismissed as inadmissible (unzulssig). The relevant application (Klageantrag/Sachantrag) must be sufficiently specific (hinreichend bestimmt), ie, it must have an enforceable content (vollstreckungsfhiger Inhalt), such that the defendant is able to perceive his risk and defend himself fully accordingly. The wording of an application is, therefore, of critical importance in German civil procedure. Clarity (Klarheit) is vital. The following are examples of the specificity principle (Bestimmiheitsgrundsatz): The first stage of a Stufenklage (step action; 254 ZPO)ie, the application for information (Auskunft). This must exactly specify (genau bezeichnen) what is desired. Following the supply of supporting documents/certificates (Unterlagen/Belege), the second stage then consists of the defendant providing; confirmation of their completeness in the form of an assurance in lieu of oath (eidesstattliche Versicherung). The final stageie, the application for the relevant act of performance (Leistung) being sought (eg, payment (ahlung))need not (initially) be specific, however, as the Stufenklage is an exception to 253 ZPO. See Note 105 in this Chapter. See also 259 BGB; 889 ZPO. Claims for money / damages must be stated in figures (beziffert) and be broken down (aufgeteilt). However, the giving of figures (Bezifferung) is not necessary if, for special reasons, it cannot be expected of the plaintiff (nicht zumutbar). Thus, on a claim for damages for pain and suffering (Schmerzensgeld) an appropriate sum (angemessener Betrag) can be demanded, provided its approximate size (Grenordnung) or a minimum amount (Mindestbetrag) is stated or its ascertainment (Ermittlung) by the court is made possible. See Chapter X, Note 227 (b). Claims arising from an accident must be scheduled under separate headings eg, damage to property (Sachschaden), damages for pain and suffering, medical expenses and costs of cure (Arzt- und Heilungskosten), loss of earnings (Verdienstausfall), additional needs (vermehrte Bedurfnisse). If part of a larger sum is daimed (Teilklage), the relevant items being daimed (Positionen) must be listed.
85 86 87
88 89 90
91 92 93 94 95 96
295

In an Unterlassungsklage (action for a restraining order), the particular conduct complained of and sought to be restrained must be dearly formulated. If the release (Herausgabe) of a thing (Sache) is sought, the thing must be described in detail. If acts of repair (Mngelbeseitigung) under a contract for services (Werkvertrag) are claimed, they must be identified. Statementof the ground of the claim means that it is necessary to distinguish (kennzeichnen) the particular claim by me supply of facts (Angabe von Tatsachen); merely to individualise the relevant legal relationship is not sufficient. The court cannot go beyond (ie, is bound by) what is applied for: 308(i) ZPO. This follows from the principle that civil proceedings are at the disposition of the parties (Dispositions grundsatz). The application therefore sets the boundaries for the courts examination (Grenzen des Prfungsumfangs). On the other hand, it should really suffice if, as far as possible, an application is understandable (verstndlich). In particular, under 139 ZPO the court has a duty to promote the making of suitable applications (sachdienliche Antrge). Moreover, if an application is unclear, interpretation (Auslegung) can be resorted to. The term Streitgegenstand is also used in administrative procedure: 90(i) VwGO. However, in administrative proceedings, the actual wording of the application to the court (Klageantrag) is not so important, provided the matter (Angelegenheit) involved and the aim of the action (Klageziel) is sufficiently apparent: 82(i) VwGO (soll einen bestimmten Antrag enthalten.). Clarification of the facts is a matter for the court, although the parties have a duty of cooperation (Mitwirkungspflicht): 86(i)VwGO. See Creifelds under Klageschrift, Streitgegenstand; Schneider, ZAP 1/00, Fach 13, p 861 ( 19 I-IV); Chapter XV D, below. 1 The court compares the submissions in the Klage (the Klagevortrag ) and defence (the Verteidigungsvortrag) with the requirements of die relevant Anspruchsgrundlage or Gegennorm (counter-norm): the so-called doppelte Schlssigkeitsprfung (double check of apparent well foundedness). Thus, a plaintiff must take care to ensure that his submissions satisfy all conditions for the claim being made (Anspruchsvoraussetzungen) and dispose of any foreseeable objections (Einwendungen). The Klage has to be dismissed as unfounded (ist als unbegrndet abzuweisen), if it is not schlssig (conclusive) or if the defence (Verteidigung /Einlassung) is erheblich (substantial). For example, the Klage of a plaintiff, who applies for a judgment in default (Versumnisurteil), must be schlssig: 331(ii) ZPO. Moreover, the Klagebegrndung (ie, the facts presented in support of the Klage) must be substantiated (substantiiert). See Chapter XIII, Note 67 ante; Jauernig (ZP), Book 2, Chapter 4, 25 V; Creifelds under Schlssigkeit; Schellhammer (ZP), Book 1, Part 3, Chapter 6 (Note: the numbering in Schellhammer (ZP) has changed since I consulted the 3rd Edition (1987), Book 2, Part 3, Chapter 6). 2 If both the Klage is schlssig and the defence erheblich, this can only mean that one or other Tatsache is streitig (disputed/contentious). Facts which are disputed are beweisbedrftig (ie, require evidence) and form the Beweisgegenstand (subject of evidence; also referred to as the Beweisthema (evidence theme)). Facts, which are admitted at court or which are offenkundig ((patently) obvious) are not beweisbedrftig: 288, 291 ZPO. The equivalent doctrine in English law is judicial notice. See Jauernig (ZP), Book 2, Chapter 4, 25IV and Chapter 8, 49 VII; Rosenberg/Schwab, Book II, Section 1 ( 116117). 3 The Schlssigkeitsprfung, therefore, enables the court to establish whether it is necessary to take evidence and if so, on what points (the Beweisgegenstand or Beweisthema). It is a judicial test, a procedural filter. 4 Whether the submission of a party (the Parteivortrag ) is regarded by the court as schlssig must be distinguished from the Behauptungslast (and Beweislast), ie, the question of which party has the burden of alleging (and proving) that the factual conditions for a particular Anspruchsgrundlage or Gegennorm are fulfilled. It is not a judicial test, but a basic principle of procedure for the parties. See Chapter XIII, Notes 10 and 67; Schellhammer (ZP), Book 1, Part 3, Chapter 7 (Note: the numbering in Schellhammer (ZP) has changed since I consulted the 3rd Edition (1987), Book 2, Part 3, Chapter 7, Section 8).
97
296
Notes
There is no Schlssigkeitsprfung in proceedings where the Untersuchungsgrundsatz (Inquisitionsprinzip (inquisition principle)) applies: see Jauernig (ZP), Book 2, Chapter 4, 25 V. In that case it is die court which alone decides the Beweisbedurftigkeit: see Jauernig (ZP), Book 2, Chapter 8, 49 VII 1; Roxin, Book I, Chapter 5 ( 24 C). lura novit curia: the court knows the law. A German judge is assumed to have knowledge of all law applicable in the Federal Republic. If foreign law is applicable, the court has a duty to familiarize itself with it. 293 ZPO. See Chapter XX E. 1 By 355(i) ZPO, the Beweisaufnahme must take place before the court hearing the case (the Prozegericht): the principle of Unmittelbarketi? (directness). Beweisaufnahme can only be placed in the hands of a member of the courtthe beauftragter Richter (appointed judge)in certain (exceptional) cases. See Creifelds under Beweis and Beauftragter Richtef. 2 By 357(i) ZPO, the parties have the right to be present during the Beweisaufnahm7e: the principle of Parteiffentlichkeit (party openness). See Creifelds under Beweis and Chapter XIII B 7 ante. Normally, an amendment of the writ (Klagenderung) is only possible if the defendant agrees or the court considers it helpful to the matter (sachdienlich): 263 ZPO. However, provided there is no significant change in the cause of action (Klagegrund), submissions of fact or law can be supplemented (ergnzt) or corrected (berichtigt) and applications to the court can be extended or limited (Klageeriveiterung/Klagebeschrankung): 264 ZPO. See also 256(ii) ZPO. See 261(iii) No 1,263,264 and 322(i) ZPO. A proper demarcation (Abgrenzung) of the object of the action can be problematical. This is particularly the case where the same application (Klageantrag) is made to the court in a second action, but on different grounds. The question is then: do the new grounds introduce a new Streitgegenstand or do they merely supplement the earlier set of facts (Sachverhalt)? The question is resolved with the help of the civil law doctrine of concurrence (Konkurrenzlehre). According to this doctrine, if the norms relied on in the second action are different, but form the basis for a single (substantive) claim, the Streitgegenstand is regarded as being the same (Gesetzeskonkurrenz (statutory concurrence)); on the other hand, if the norms found more than one (substantive) claim (mehrere Ansvriiche), the Streitgegenstand is deemed to be different (Anspruchskonkurrenz (concurrence of claims)). Thus, the doctrine of concurrence is an attempt to determine the Streitgegenstand and to achieve a demarcation of the facts in issue (Sachverhaltsabgrenzung) by means of identifying and comparing the Anspruchsnormen involved. Although this is a norm-based test, there is a tendency to take a real life approach when trying to demarcate the Streitgegenstand, so as to satisfy the conflicting interests at stake in civil procedure which are not only legal, but also political. See Jauernig (ZP), Book 2, Chapter 5 ( 37), Chapter 6 ( 40 II and 41) and Chapter 9 ( 62 III); Dannemann, Part VI1 (e) (Lis Alibi Pendens). The concept is also used in other jurisdictional branches: see Creifelds under Streitgegenstand. Regarding the staying of English actions on the basis of the doctrine of forum non conveniens (the forum is not appropriate) and the position under the Brussels Convention (Articles 2123) if there is a suit pending elsewhere (lis alibi pendens), see Collier, Part II, Chapter 8 (a) and Chapter 10 (e) (viii). Forum non convenient can be relied on by plaintiffs and defendants. See, respectively: Spiliada Maritime Corp v Cansulex [1987] AC 860 and Berezovsky v Forbes (1999), Gazette 96/03, p 30. See generally: Jauernig (ZP), 88; Thomas-Putzo, 260; Rosenberg/Schwab, Book II, Part 1, 100. See Chapter XIII D1 (f) (ii). Eventual applications are also possible on the part of the defendant, eg, an eventual counter-claim (Eventualwtderklage) or eventual set-off (Eventualaufrechnung). See Note 41 in this Chapter; Rosenberg/Schwab, Book I, Section 3, 65 IV; Baur/Grunsky, 11 I 3; Vorbehaltsurteil. See Creifelds under Klagenverbindung, Hilfsantrag and Stufenklage; Note 96 in this Chapter. The Stufenklage is of particular importance in family law (for maintenance and marital property claims). See Bergerfurth, Part 2 (10); Jauernig (ZP), Book 2 ( 23). Cf275(i)ZPO. A defendant can react to a Klage in various ways, all of which come under the general heading of the defendants Einlassung (engagement (in the action)). 5
98
99
100
101
102 103 104
105 106 107
297

The defendant can: acknowledge the claim (Anerkenntnis; see 307(i) and 93 ZPO); take no action at all, possibly resulting in a judgment in default (Versaumnisurteil) against him; assert that the Klage is inadmissible (unzulssig) on the ground that one or more Prozevoraussetzungen (preconditions for a judgment) are not fulfilled or because certain Prozehindernisse (obstacles to the proceedings) exist; dispute the plaintiffs factual submissions (Bestreiten / Klageleugnen); admit the plaintiffs factual submissions (Gestndnis; see 288290 ZPO), but submit that they are not schlssig (apparently well founded); assert the existence of objections to the claim (Einwendungen or Einreden); lodge a counterclaim (Widerklage). In all but the first two situations, the defendants (main) application (Antrag) is for dismissal (Abweisung) of the Klage. See respectively: regarding a Versaumnisurteil: Chapter XIII D1 (g) (iv) (at Note 80); regarding Prozevoraussetzungen: Chapter XIIID 1 (f) (i) (Note 44); regarding Schlussigkeit: Chapter XIII D 2 (c) (iii) (Note 97); regarding Einwendungen and Einreden: Chapter X B 1 4 (Note 20); regarding a Widerklage: 33,530(1), 610(ii) ZPO. See also: Baur/Grunsky, 11; Bergerfurth, Part 1 (9); Jauernig (ZP), Book 2, Chapter 7 ( 4348); Model/ Creifelds/Lichtenberger, Part 3 C (241). See also Chapter XIII D1 (g) (iv). See Bergerfurth, Part 2 (10). See Bergerfurth, Part 2 (11); Jauernig (ZP), Book 2, Chapter 12 ( 78). It can be longer, if service is to be effected abroad. See Note 65 in this Chapter; Rosenberg/Schwab, Book II, Section 1 ( 107); Schellhammer (ZP), Book 1, Part 5, Chapter 2 (Note: the numbering in Schellhammer (ZP) has changed since I consulted the 3rd edn (1987), Book 2, Part 5, Chapter 2). The personal appearance (persnliches Erscheinen) of both parties should normally be ordered, if this seems necessary in order to clarify the facts of the case: 141(i), 1st sentence ZPO. However, if it cannot be expected of a party to appear at court due to great distance or for another important reason, the court must refrain from ordering personal appearance: 141(i), 2nd sentence ZPO. There is a similar rule in marriage matters: 613 ZPO. If personal appearance is ordered, the relevant party must be officially summoned by a Ladung: 141(ii) ZPO. The Ladung must state for what purpose the personal appearance has been ordered and indicate that failure to appear can result in a fine being imposed, unless the party sends an authorised representative to the hearing: 141 (iii) ZPO. However, if personal appearance is ordered in an attempt to reach a settlement ( 279(ii) ZPO) such a sanction is not permitted. See Krgermeyer-Kalthoff, ZAP-Aktuell, 16/00, p 989. This is the Verhandlung zur Hauptsache (see eg, 39,333 ZPO). See 278(i), 2nd sentence ZPO; 613 ZPO. To be distinguished from an Arihrung is the examination of the parties (Parteivernehmung) as a means of evidence (Beweismittel). This requires a Beweisbeschlu: 450 ZPO. This is the start of the streitige Verhandlung (contentious proceedings) proper. 137(i) ZPO does not require express reference to the pleadings. The provisions regarding judgments in default ( 330347 ZPO) only bite, if an appropriate person ( 157 ZPO) fails to apper at the hearing (nicht Auftreten) or if there is a complete lack of involvement (vlliges Nichtverhandeln; 333 ZPO), ie, there is an absence (Sumnis). Thus, they do not apply: if there is some degree of active participation at the hearing; if (and once) a substantive application (Sachantrag) is made; or if a party makes submissions, but remains silent regarding particular facts or documents ( 334 ZPO). See Chapter XII D 1 (f) (iv) and (g) (iv). At the start of a hearing, judges frequently rush into requesting the parties to make their applications immediately, without giving appropriate directions concerning the action (Hinweise) beforehand (ie, in advance of the hearing). This infringes 139, 273 and 278(iii) ZPO and is a trap for the unwary. The remedy
108 109 110 111 112
113
114 115
116
298
Notes
is, initially, to insist on such directions and then to apply for an adjournment (Vertagung) under 227(i) ZPO. See Schneider, ZAP-Kolumne, 21 /00, p 1269. See Chapter XIIID 2 (c) (iii). See Chapter XIII B 7. See 146 and 282(i) ZPO for a definition of Angriffs und Verteidigungsmittel (means of attack and defence). Angriffs- und Verteidigungsmittel include any type of factual or legal submissions in support of procedural claims or applications (not the applications themselves). A Klage (writ) is not an Angriffsmittel, but itself an Angriff (attack). See Note 39 in this Chapter. If a party is not responsible for a delay (Verzgerung), over-zealous application of the preclusion provisions ( 296 ZPO) can clash with constitutional law (Article 103(i) GG). Certainly, however, there is a judicial duty to give reasons (Begrndungszwang), if the court rejects or does not consider essentially relevant submissions. See Schneider, ZAP, Fach 13, pp 1026ff. A Rge can only be admitted, if the defendant sufficiently apologises for the delay (wenn der Beklagte die Versptung gengend entschuldigt): 296(iii) ZPO. In marriage matters, 296 ZPO is replaced by 615 ZPO. See Note 3 in this Chapter; Creifelds under Rechtliches Gehr. See Note 69 in this Chapter. This is without prejudice to an application to reopen the proceedings ( 156 ZPO). See also 283 ZPO (Note 64 in this Chapter) and 611 ZPO. In view of the consequences, a lawyer should stay eagle-eyed at all times against the danger of a premature closure of the oral hearing. Regarding possible remedies, see Chapter XXII, Note 19. The same applies, if, following an oral hearing, the court decides by way of a Beschlu. See Note 14 in this Chapter. Such an order must be quashed, if the party in whose favour it is granted so applies or if it seems that the personal appearance of the parties is unavoidable (unumgnglich): 128(iii), 4th sentence ZPO. See Krugermeyer-Kalthoff, ZAP-Aktuell, 16/00, p 989. See Note 47 in this Chapter. See Section C H in this Chapter; Baur/Grunsky, 16; Bergerfurth, Part 5; Jauernig (ZP), Book 2, Chapter 11 ( 7275); Model/Creifelds/Lichteriberger, Part 3 C (245); Rosenberg/Schwab, Book II, Section 2 (135 149). See Creifelds under Berufung. Refusal of this application (Fristverlngerungsantrag) can be challenged by an application for reinstitution (Wiedereinsetzung) and/or a constitutional complaint. See the article by Brigitte Borgmann in BRAK-Mitteilungen 1 /99, p 24. The normal rule is that, on appeal, new submissions can be made until the dose of the oral hearing: 525 ZPO. 527529 ZPO are exceptions to this principle. They are predusionary provisions, which serve the same purpose as 296 ZPO at first instance (ie, acceleration and concentration of the proceedings). 527528 ZPO are not applicable in marriage matters: 615(ii) ZPO. This principle also applies on a Revision: 559(i) ZPO. As to the position in criminal proceedings and in other jurisdictions, see Creifelds under reformatio in peius. See Creifelds under Revision. If an OLG refuses to allow a Berufung, a Revision is always possible: 547 ZPO. A Berufung to an OLG can be bypassed (bergangen), if, following a final judgment of a Landgericht, the other party to the proceedings consents to a leap-frog appeal (Sprungrevision), ie, a direct appeal (on a point of law) to the BGH ( 566a ZPO). Such a Sprungrevision cannot be based on procedural defects and the BGH can decline to accept it, if the matter has no fundamental significance (grundstzliche Bedeutung; 566a(iii) ZPO). In criminal proceedings:
117 118 119
120
121 122 123
124 125
126 127
128 129
130
131 132 133
299

jurisdiction to hear and decide a Revision is split between the BGH and the OLG ( 135, 121 GVG). No leave to appeal is required; a Revision is possible against the judgment of a Landgerichf (sitting in the form of a Strajkammer (criminal chamber) or Schwurgericht (jury court; the groe Strafkammer (large criminal chamber) is referred to as such when it deals with particular more serious offences: 74(ii) GVG)) and against the judgment of an OLG at first instance ( 333 StPO; 120 GVG); a Sprungrevision is also possible against the judgment of an Amtsgericht ( 335 StPO). Such an appeal must be dealt with by the BGH unless: the matter has no fundamental significance; or the BGH comes to the view, on a preliminary assessment, that the appeal (ultimately) has no chance of success (Aussicht aufErfolg). In such a case the court can refuse to accept the appeal (die Annahme der Revision ablehnen) by a qualified two-thirds majority vote: 554b ZPO. A matter having no fundamental significance, but which has a chance of success, does not require Annahme in the first place: see Jauernig (ZP), Book 2, Chapter 11, 74 II 2. If leave to appeal is refused by the OLG, no further complaint can be made (in civil proceedings). However, where a Revision is sought in administrative, finance, social or employment proceedings, the refusal of leave can be challenged by a so-called Nichtzulassungsbeschwerde. As from 1.1.2002, a Nichtzulassungsbeschwerde is also possible in civil proceedings ( 544 ZPO). See Creifelds under Nichtzulassungsbeschwerde. The situations in 551 ZPO are: 1 if the court was not properly composed (nicht vorschriftsmig besetzt); 2 if a judge took part in die decision, despite being excluded by statute from exercising the office of judge (except in so far as a motion of challenge (Ablehnungsgesuch) on that ground was dismissed) ( 41ff ZPO); 3 if a judge took part in the decision, although he was rejected due to risk of bias (Besorgnis der Befangenheit) and a motion of challenge on that ground was successful ( 46(ii) ZPO); 4 if the court wrongly assumed or declined (functional or international) jurisdiction (substantive or local jurisdiction cannot be re-examined on appeal: 549(ii) ZPO); 5 if a party in the proceedings was not properly represented (eg, 51 (i) ZPO) (and there was no express or implied approval by the party to their conduct); 6 if the decision was based on an oral hearing, at which provisions regarding publicity of the proceedings (ffentlichkeit des Verfahrens; 169 GVG) were breached; 7 if no reasons for the decision were given. See Baur/ Grunsky, 16 C; Jauernig (ZP), Book 2, Chapter 11, 74 IV-VIII. See Creifelds under Zurckverweisung. A Zurckverweisung (remand) must be distinguished from the term zurckweisen, which refers to the rejection of an appeal (or, indeed, of any application) as unfounded (unbegrndet). When an appeal is rejected as inadmissible (unzulssig), the verb verwerfen (to dismiss) is used. See Rosenberg/Schwab, Book II, Part 1, Section 2 ( 137). See Creifelds under Beschwerde. Verfgungen (directions) of a court at first instance can be challenged by a Beschwerde to the Landgericht and, thereafter, by a further Beschwerde to the OLG: 568 ZPO, 1930 FGG. A Beschwerde is possible not only in civil proceedings, but also in all the other main jurisdictional branches. See Creifelds under Beschwerde; Schneider, ZAP, Fach 13, p 373; Chapter XXII, Note 19. To be distinguished from a Beschwerde is the Erinnerung (reminder), where the matter (initially) remains in the same instance. An Erinnerung is available, for example, against the decision of an officer of the business office of the court (Urkundsbeamter der Geschftsstelle; 576(i) ZPO) or of a legal executive (Rechtspfleger; 11 RPflG). In the latter case, the Erinnerung is befristet (time limited), ie, it must be lodged within die same period as a sofortige Beschwerde (usually two weeks from service: 577 ZPO). See also Chapter XXII Note 29. See Note 15 and Section C H in this Chapter; Jauernig (ZP), Book 2, Chapter 11 ( 76); Model/Creifelds/ Lichtenberger, Part 3 C (246). Such actions breach the Rechtskraft of the judgment. See Chapter XIII, Note 15. SeeModel/Creifelds/Lichtenberger,Part3C(247). See Model/Creifelds/Lichtenberger, Part 3 C (248).
134
135
136
137 138
139 140
141
142 143 144 145
300
Notes
146 147 148 See Chapter XIII, Note 31. See Chapter XIII at Note 1. Foreign decisions in Ehesachen (eg, divorces obtained abroad) require formal recognition (Anerkennung) by the relevant state Justice Ministry in Germany: Article 7 Familienrechtsnderungsgesetz (FamRndG). However, by EU Regulation 1347/2000, with effect from 1.3.2001, divorce/nullity decisions and decisions in proceedings concerning parental care over joint children of the spouses are recognised automatically throughout all other member states of the EU (except Denmark). See Zerdick, ZAP-Aktuell 19/00, p 1173. Regarding recognition of decisions in (other) civil and commercial matters within the EU (including maintenance decisions) see Note 171 in this Chapter. The recognition of foreign decisions can, in certain circumstances, be precluded by 328 ZPO or 16a FGG. See also: Article 6 EGBGB. A temporary order (einstweilige Anordnung) is also the appropriate remedy to obtain current maintenance provisionally (vorlufig), if a maintenance action (nterhaltsklage) or proceedings to establish paternity (Vaterschaft) are pending. An injunction (einstweilige Verfgung) for emergency maintenanceunder 935, 940 ZPO analogously remains possible in other situations. See the article by Kurt Schellhammer in ZAP 4/99, Fach 11, p 495. See Notes 9 and 97 in this Chapter. See Friederici, ZAP 9/00, Fach 11, p 555 (Section V). See Unterhalt. See 621a-f ZPO, 4964 FGG. The duty to provide information in 1605 BGB only extends so far as is necessary to establish a claim to maintenance. Thus, it can be limited, if the person seeking maintenance has income of his (or her) own. Employees usually have to supply details of their income (only) for the 12 months before proceedings are issued. A longer periodusually three yearsis required from self-employed persons. Non-fulfilment of the duty under 1605 BGB can give rise to a claim for damages. Regarding the meaning of initial and final assets and their valuation (Wertermittlung), see, respectively: 13741375 BGB and 1376 BGB. See also: Gterrecht and Schellhammer, ZAP, Fach 11, p 347. For the position after divorce, see 1585b and c BGB. Regarding the maintenance of a child during the separation of the spouses or while a marriage matter is pending, see 1629(ii), 2nd sentence BGB. See Notes 96 and 105 in this Chapter. The court can only deviate from a joint proposal regarding custody (elterliche Sorge), if the welfare of the child (Wohl des Kindes) so requires: 1671(iii) BGB. If the court proposes to do so, it must decide the question first, before it deals with any other matters: 627 ZPO Unless the agreement is documented in the form of an enforceable title, no divorce can be granted: 630(iii) ZPO. However, even if the spouses fail to reach agreement, the court can still grant a divorce under 1565(1), 2nd sentence BGB or 1566(ii) BGB: see below. The agreement does not extend to (other) marital property and the Versorgungsausgleich: see Schwab (F), Part I Chapter 6, 35 V. Serious marital failings (schwere Eheverfehlungen) can suffice. See Jauernig (BGB), 1565,3. See Friederici, ZAP 9/00, Fach 11, p 555 (Section 1,5). See Friederici, ZAP 9/00, Fach 11, p 555 (Section IV). See Chapter XIII CI. In the European Union, the Mahnverfahren seems to be a model for a pan-European effort to speed up and simplify procedures for debt recovery. However, the underlying complexities are substantial. See Heike Lrcher in BRAK-Mitteilungen 6/98, p 275; Michael Johannes Schmidt in ZAP 24/95, Fach 14, p 195. The subject of enforcement is fully covered in Jauernig (ZVS), Part I. See also: Creifelds under
149
150 151 152 153 154
155
156
157 158
159
160 161 162 163
164
301

Zwangsvollstreckung; Kallwass, Section 8 ( 120); Model/Creifelds/Lichtenberger, Part 3 C (250255 and 260261). See Jauernig (ZVS), Part 1, 1 II; Chapter XVIII, Notes 56 and 57, below. See Chapter XIIIC E. See Chapter XIV C 3 (Note 23 A). See 8llff and 850ff ZPO; Jauernig (ZVS), Part 1, Chapter 7, 3233; Creifelds under Vollstreckungsschutz, Lohnpfandung, Pfndungsschutz, Pfandungsverbote and Unpfndbarkeit. See Jauernig (ZVS), Part 1, 1 X and also (xi), below. See Chapter XIV, Note 23 A and (xi), below. Where court decisions from an EU (EEC) country in civil or commercial matters are to be enforced, application can be made for an enforcement clause (Vollstreckungsklausel) to be appended to the decision. It is a simplified procedure (by way of Beschlu), recognition (Anerkennung) of the decision usually being granted (by the LG) as a matter of course. See Articles 26, 27, 28, 31ff EuGV and the Ausfuhrungsgesetz thereto (AVAG) in Sartorius IT Nos 160 and 160a; Chapter X, Note 8; Note 148 in this Chapter; Chapter XXI, Note 13. To be distinguished from such cases is enforcement by means of a Vollstreckungsurteil ( 722723 ZPO) or by means of a Vollstreckbarerklrung. The basic rule ( 722723 ZPO) is that foreign judgments (eg, from non-EU countries) require a (German) Vollstreckungsurteil (enforcement judgment) for their enforcement. However, under various international conventions a mere Vollstreckbarerklrung (declaration of enforceability) is sometimes provided for, eg, for those areas of law where the EuGV is not applicable (see Article 56 EuGV), for foreign decisions on costs (Kostenentscheidungen; under the Hague Convention on Civil Procedure of 1.3.1954) and for claims to maintenance (Unterhalt; under die Hague Convention on the Recognition and Enforcement of Maintenance Decisions of 2.10.1973). Declaration of enforceability is also the appropriate method of enforcement for decisions under arbitration agreements (Schiedsvertrge; 1042ff ZPO) and, in particular, for foreign arbitration a wards/decisions (auslndische Schiedssprche), in so far as international treaties do not otherwise provide (eg, the UN Convention on Recognition and Enforcement of Foreign Arbitration Decisions of 10.6.1958). See Chapter XXI; Thomas-Putzo, 723 ZPO Annex. In certain cases, the Rechtspfleger is responsible: 20 No 12 RPflG. Regarding the issue of vollstreckbare Ausfertigungen of other (including notarial) documents (Urkunden) see 797 ZPO. See Jauernig (ZVS), Part 1, Chapter 2, 89. See Jauernig (ZVS), Part 1, 1014; Gottwald, ZAP, Fach 14, p 375. Regarding 771 ZPO see Chapter XIII D 8 (c) (v), below. After enforcement is completed, the debtor may have remedies under 812ff and 823ff BGB. See Jauernig (ZVS), Part 1, 12 VI. See Chapter XXII, Notes 28 and 29. See Jauernig (ZVS), Part 1, 1 VI. The only exception is contained in 777 ZPO See 829845 and 846849 ZPO. See also: Note 168 in this Chapter; Model/Creifelds/Lichtenberger, Part 3 C (251254). The effect of an official seizureof movables or immovables (see Chapter X Note 244)is that the object of enforcement is taken under public control (Verstrickung). Any infringement of this status (eg, tampering with the item) is punishable as Verstrickungsbruch ( 136 StGB). See 808 and 828 ZPO and also 753 and 764 ZPO. The activities of the Gerichtsvollzieher (court bailiff) are regulated by the Geschftsanweisung fr Gerichtsvollzieher (GVGA; Business Order for Court Bailiffs). Such special urgency (Dringlichkeit/Eilbedrftigkeit) is presumed to exist where a creditor is granted a seizure order (Arrestbefehl), but, if an injunction (einstweilige Verfgung) directed to the payment of money is concerned, the creditor must usually wait until there has been an unsuccessful attempt at enforcement (erfolgloser Vollstreckungsversuch) before taking further steps. See Gleuner, ZAP, Fach 14, p 213; Chapter XXII, Note 26. See 814825 and 835839 ZPO. In the case of a Forderung, the court orders its berweisung ((bank) transfer) to the creditor.
165 166 167 168 169 170 171
172
173 174
175 176 177 178 179
180
181
182
302
Notes
183 184 185 186 187 188 189 190 191 See Thomas-Putzo, 808. SeeThomas-Putzo,771. Also referred to as a Zwangshypothetk (compulsory mortgage). See Model /Creifelds /Lichtenberger, Part 3 C (255). See 866 ZPO. See 869 ZPO. See Model/Creifelds/Lichtenberger, Part 3 C (256257). For examples, see Thomas-Putzo, 887, 888, Note 1. These coercive measures are referred to as Beugemittel or Ordnungsmittel. See Chapter XVIII, Note 56. By 890(ii) ZPO, action under that paragraph must be preceded by an appropriate threat (Androhung). See Creifelds under Offenbarungs(eid)versicherung; (e), below. The making of a false assurance before a competent authority is punishable, if made intentionally or negligently: 256, 263 StGB. See Creifelds under Eidesstattliche Versicherung. See Gottwald in ZAP 20/00, Fach 14, p 391. Amendments to the law with effect from 1.1.1999 have extended the grounds on which an application can be made. Now, a debtor can also be compelled to make a declaration, if he has refused to allow the bailiff to carry out a search (Durchsuchung) of his home or if the debtor has repeatedly not been found there by the bailiff after prior notice of at least two weeks: 807(i), Nos 3 and 4 ZPO. See Model/Creifelds/Lichtenberger, Part 3 C (258259); Chapter XIII, Note 181; Chapter XIV, Note 23 SeeModel/Creifelds/Lichtenberger, Part 3C (262). Book X has been reformed with effect from 1.1.1998. See Bosch in ZAP 21/98, Fach 13, p 787; Model/Creifelds/Lichtenberger, Part 3 C (263); Note 171 in this Chapter.
192 193
194 195 196
CHAPTER XIV
1 See Chapter IV; Model/Creifelds/Lichtenberger, Part I, Section D II (561). The Bundeswehr is the (federal) defence organisation of the Bund. It consists of the armed forces (Streitkrfte) and the military administrative service (Bundeswehrverwdtung): Articles 87a-b GG. See Creifelds under Bundeswehr and Bundeswehrverwaltung. Whether Richterrecht (judge-made law) is (also) a Rechtsquelle is questionable. See Giemulla/Jaworsky/ Mller-Uri, Book I, Chapter 1; Kommers, Part I, Chapter 4 (Judicial versus Legislative Authority); Maurer, Part 1, 4 and Erichsen, Part II, 69; Wolff/Bachof/Stober, Part 3, Section 2, 24 ff; Youngs (CL), Chapter 1, Part VI3. Regarding the history and development of administrative law see Bull, Section I, 2 15 and 5; Maurer, Part 1, 2 and 31. For a general summary of administrative law see Baumann (ER), Part IV, 14. See Chapter II B (Note 7). See Maurer, Part 1, 5. The VwVfG only applies to the activity of authorities involved in judicial administration (Behrden der Justizverwaltung) insofar as such activity is subject to control by the administrative courts. See 2(iii) No 1 VwVfG and Chapter XV, Note 2. Teil VII contains provisions regarding Ausschsse (committees/boards) and honorary activity in die Verwaltungsverfahren. Teil VIII contains final provisions. See Bull, Section II, 8; Maurer, Part 5, 19; generally Erichsen, Part IV, 3642. The Verwaltungsverfahren must be conducted simply and expediently (einfach und zweckmig: 10, 2nd sentence VwVfG) in German ( 23(i) VwVfG). The right to a hearing flows from Article 103(i) GG. Regarding the position in social security proceedings (under 24 SGB X), see the article by Horst Marburger in ZAP 17/99, Fach 18, p 613.
3 4 5
6 7 8 9
303

For a survey of the procedural rules in social security matters, see the article by Hans-Peter Jung in ZAP 23/ 99, Fach 18, p 627. Regarding the right of inspection of the file in social security proceedings (under 25 SGB X), see the article by Horst Marburger in ZAP 15/96, Fach 18, p 445. See Giemulla/Jaworsky/Mller-Uri, Book I, Chapters 46; Erichsen, Part III, Section I, 1120; Maurer, Part 3, 912; Schwerdtfeger, Part 2, 414; Stern, Part 1, 4 IV 2; Wolff/Bachof/Stober, Part 5, Section 2, 45. See Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 4 B-G. A Verwaltungsakt is frequently designated as a Bescheid (official notice). To be distinguished from the formal Verwaltungsakt is the pure administrative order (schlichtes Verwaltungsgebot), which can be issued by the executive in the case of civil servants (Beamt) and other persons, wno are subject to direction (weisungsabhangig, eg, schoolchildren and soldiers): see Bull, Section III, 10. For a classification of the various types of administrative legal relationships (Verwaltungsrechtsverhltnisse) see Bull, Section IV, 14. See also Creifelds under Gewaltverhltnis, ffentlich-rechtliches. The enforceability (and enforcement) of a Verwaltungsakt is a separate matter. See Note 23 in this Chapter; Chapter XVIII, Note 56. Preliminary procedural actions (Verfahrenshandlungen) by an authority, which merely serve to prepare a final decision (Zabschliessende Regelun) are not Verwaltungsakte and are not separately challengable: 44a VwGO. While one speaks of access (Zugang) to an ffentliche Sache, the use of an Anstalt is subject to admission (Zulassung). See Erichsen, Part V, 43; Chapter II C. See Creifelds under Justizverwaltungsakte; Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 4 C II 2; Chapter XV A (Note 2). Cf Rechtspflege; Chapter XXII C 6. See 37and 39 VwVfG. See 36 VwVfG. See also: Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 7; Maurer, Part 3, 12; Wolff/ Bachof/Stober, Part 5, Section 2, 47. See 38(i)VwVfG. See 43(ii) VwVfG: Ein Verwaltungsakt bleibt wirksam, solange und soweit er nicht zurckgenommen, widerrufen, anderweitig aufgehoben oder durch Zeitablauf oder aufandere Weise erledigt ist. See also: Chapter VII, Note 8; Bull, Section III, 11 and 12; Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 6 A I. See 43(iii), 44(i) and 44(ii) VwVfG. See also: Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 5 C I. See Chapter II, Note 24. See Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 5 C II and the diagram (Prfungsschema (Fehlerlehre)) in Book I, Chapter 5 F. Regarding the difference between the terms Anfechtbarkeit and Nichtigkeit in civil law, see Chapter X B 2 (b) (Nullity and Challengability of a Willenserklrung). A Once one of these Rechtsmittel (legal remedies) is lodged, no steps can be taken to enforce the VA. Vollziehung (enforcement) of the VA is gehemmt (prevented from proceeding). If the VA has already been (prematurely) enforced, the administrative court can order enforcement to be reversed (so-called Folgenbeseitigung): 113(i), 2nd sentence VwGO. This is unlike the position in civil proceedings, where the lodging of a Rechtsmittel does not usually prevent a judgment from being declared provisionally enforceable (vorlufig vollstreckbar). An application for temporary suspension (einstweilige instellung) of enforcement has to be made: 719 ZPO. B By 80(ii) VwGO the suspensive effect (ufschiebende Wirkung) of a Widerspruch and Anfechtungsklage is inapplicable: 1 where public levies and costs are demanded; 2 where orders (Anordnungen) and measures (Manahmen) are given or taken by Polizeivollzugsbeamten ((executive) police officers), which are unaufschiebbar (ie, cannot be postponed); 3 in (other) cases prescribed by federal law; 4 where the Behrde orders immediate enforcement (sofortige Vollziehung) of the VA.
10 11
12
13
14 15
16 17 18 19
20 21 22
23
304
Notes
In the case of No 4, above: immediate enforcement must be in the public interest or in the overwhelming interest of one of the parties (im ffentlichen Intresse oder im berwltigenden Intresse tines Beteiligten); the Behrd must give written reasons for the particular interest (das besondere Intresse) in immediate enforcement unless there is Gefahr im Verzug (danger in delay): 80(iii) VwGO; C Provisional legal protection (vorlufiger Rechtsschutz) is possible under 80(v) VwGO. By 80(v), 1st sentence VwGO, an application can be made to the administrative court for the suspensive effect of a Widerspruch or Anfechtungsklage (aufschiebende Wirkung) to be fully or partially ordered (angeordnet) or fully or partially restored (wiederhergestellt). The former remedy comes into play in cases based on statute (ie, 80(ii) Nos 13 VwGO), while the latter relates to 80(ii) No 4 (ie, where an order for immediate enforcement from a Behrde is involved). The common feature of an application under 80(v), 1st sentence VwGO is that it is directed to the suspension of enforcement (Aussetzung der Vollziehung) by the court. Such an application can be made without having to involve the Widerspruchsbehorde (next higher authority) and before lodging an Anfechtungsklage. By analogy with 42(ii) VwGO, an application for suspension is only admissible (zulssig), if it appears that the applicant is injured in his rights by the VA, ie, the applicant must have Antragsbefugnis (authority to make the application). To be contrasted with an application for suspension of enforcement is the (additional) remedy available under 80(v), 3rd sentence VwGOif enforcement has already commenced, the court can order it to be quashed (Aufhebung der Vollziehung). This prohibits not only the repeating of any measures of enforcement for the future (ex nunc), but includes the (provisional) reversal (Rckgngigmachung) of any (past) direct consequences of enforcement (Folgenbeseitigung). It also covers cases of so-called factual enforcement (faktische Vollziehung), ie, where the Behorde just goes ahead with enforcement, regardless of the requirements of 80(ii) VwGO. When it deals with an application under 80(v) VwGO, the administrative court has discretion (AufAntrag kann das Gericht). Unless the VA is dearly legal or illegal, the court must weigh the public interest in enforcement of the VA against the applicants interest in its suspension or annulment (Abwgung der Interessen). The court should normally order or restore suspensive effect, by analogy with 80(iv), 3rd sentence VwGO, if there are serious doubts as to the legality of a VA (ernsthafte Zweifel an der Rechtmigkeit eines V A) or if its enforcement would result in an unacceptable hardship (unbillige Hrte). See Schmitt Glaeser, Appendix to 3, Section D. The administrative court reaches its decision in the form of a Beschluss, which can be altered or revoked at any time: 80(vi) VwGO. In particular, suspension can be ordered subject to conditions (Auflagen) or be limited in time (befristet): 80(v), 4th and 5th sentences. Moreover, unlike 123 VwGO (see E, below), there is no duty to compensate the other party, if it later transpires that the decision was unjustified (cf 945 ZPO). D Once a Widerspruch has been lodged, enforcement of the VA can be suspended by the Behrd or the Widerspruchsbehrde itself, either on its own motion or on application: 80(iv) VwGO. E If a matter is urgent (dringend), vorlufiger Rechtsschutz (provisional legal protection) is also available under 123 VwGO. It is a form of injunctive relief modelled on the provisions in the ZPO (note, in particular, 920 and 945 ZPO) and directed towards the grant of a temporary order (einstweilige Anordnung) ie, it can come into play in the forefront of a Leistungsklage or Feststellungsklage. 80(v) and 123 VwGO are mutually exclusive: 123(v) VwGO. Thus, 123 VwGO does not apply where a prospective Anfechtungsklage against a VA is involved (ie, where it is sought to challenge a VA): the remedy is then an application under 80(v). F See Bull, Section VI, 19 8; Creifelds under Aufschiebende Wirkung, Vollziehung sofortige I, Vorlufige Vollstreckbarkeit and einstweilige Anordnung; Giemulla/Jaworsky/Mfler-ri, Book III, Chapter 4; Schmitt Glaeser, Part 2, Appendices to 3 and 4; Stern, Part 1, 6. See also Chapter XIII D 8 (a) (Note 167), Chapter XV C and Chapter XVIII H (Note 56), below. The term Gltigkeit covers both Wirksamkeit and Rechtmigkeit. It is normally translated as validity, but is often (confusingly) used in both senses in everyday speech. Gltigkeit properly refers (only) to the validity of norms ie, one should not really speak of the Gltigkeit of a VA. See Chapter VII B and, for example, 47(i) VwGO.
24
305

25 le, was there a gesetzliche Grundlage (statutory basis) for the issue of the VA? See Chapter II F, Chapter VII B and Chapter XV, Note 14. See also: Erichsen, Part III, Section I, 15; Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 5 B III; Schwerdtfeger, Part 2, 5 II 12; Wolff /Bachof /Stober, Part 5, Section 2, 4849. See Chapter XIII C E. As in civil procedure, one distinguishes the formelle Bestandskraft (formal authority) or Unanfechtbarkei (non-challengability) of a VA and its materielle Bestandskraff (material authority), which arises only insofar as the VA is not withdrawn or revoked by the issuing Behrde. Once a VA becomes formell und materiell bestandskrftig, it becomes vollziehbar (enforceable). See Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 6 A II; Maurer, Part 3, 11 I 3 and 4; Wolff/Bachof/ Stober, Part 5, Section 2, 50. See 4851 VwVfG. See also: Erichsen, Part III, Section I, 1619; Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 6 B to E; Maurer, Part 3, 11 II-VII; Wolff/Bachof/Stober, Part 5, Section 2, 51. Rcknahme and Widerruf are subsidiary terms to Aufhebung (annulment). When a VA is rechtswidrig (illegal) one speaks of Rcknahme ( 48 VwVfG), whereas when a VA is rechtmig (legal) one speaks of Widerruf ( 49 VwVfG). See Giemulla/Jaworsky /Mller-Uri, Book I, Chapter 4 K; Maurer, Part 3, 9 V; Wolff/Bachof/Stober, Part 5, Section 2, 46. Also referred to as a Genehmigung (approval). See Creifelds under Erlaubnis (behrdliche) and Gewerbezulassung. See Schwerdtfeger, Part 2, 91. The purpose of a norm (and, therefore, the extent of any discretion) have to be ascertained by interpretation (Auslegung). See Schwerdtfeger, Part 2, 5 II4; Stern, Part 2, 17123; 40 VwVfG; 114 VwGO. The executive must observe the principles of appropriateness/expediency (Zweckmftigkeit) and proportionality (Verhltnismigkeit). See also: Creifelds under Ermessen, Zweckmigkeitsgrundsatz and VerhMtnismaftigkeit(sgrundsatz); Chapter VIII, Note 14. See the previous paragraph in the text. This is only the case in certain limited areas when internal value-judgments are involved eg, decisions regarding exams or civil service matters. See Creifelds under Ermessen; Schwerdtfeger, Part 2, 5 II 3 (b); Stern, Part 2, 1714. In the case of an exam decision, the matter can only be brought to court, if Bezvertungsfehler or Verfahrensfehler (mistakes in evaluation or procedure) can be proven. The disappointed candidate can then apply (to the administrative court) under 123 VwGO for a temporary order (einstweilige Anordnung) for (re-)admission to the exam (Zulassung zur Prfung) or, as appropriate, for restoration of the aujschiebende Wirkung of a Widerspruch. See Kuhla in BRAK-Mitteilungen 5/1996, p 197; Louven, ZAP 9/01, Fach 18, p 699 (Section II 4); Note 23 E in this Chapter. If the executive exercises its Ermessen in a particular way, it can become bound (Selbstbindung der Verwaltung). In a similar subsequent case, it cannot then depart from its existing practice without a substantial reason (ohne sachlichen Grund). See Creifelds under Gleichbehandlungsgrundsatz and Gleichheit vor dem Gesetz. See also: Bull, Section II, 7 7; Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 2 D; Maurer, Part 2, 7. See Louverv ZAP 9/01, Fach 18, p 699 (Section III 5 and 6).
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CHAPTER XV
1 2 See Creifelds under Beschwerde- und Petitionsrecht and Gegenvorstellungen; 79 VwVfG. The addressee of a Justizverwaltungsakt usually has to follow special procedures, if he wishes to challenge it (eg, 18ff FGG). In the absence of such provisions, he must apply to the OLG (ie, a court of the ordentliche Gerichtsbarkeit) for the legality of a Justizverwaltungsakt to be examined: 2330 EGGVG. See Chapter XIVC 1; Stem, Part 1, 313b (ee).
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3 4 5 6 The OVG is sometimes called the Verwaltungsgerichtshof (VGH). See 67 VwGO. See 47(i) VwGO. The norm-control application must be made within two years of publication of the relevant norm. See Schmitt Glaeser, Part 2, 9. See also: Bull, Section VI, 19 9; Stern, Part 1, 5; Chapter VII, Note 13; Chapter XIV, Note 24. See 42(i) VwGO, 43(i) VwGO and 113(i), 4th sentence VwGO. See also: Bull, Section VI, 19 6; Creifelds under Verwaltungsstreitverfahren 1 (a)-(c) and 5; Schmitt Glaeser, Part 2, 37; Schwerdtfeger, Part 2, 51. Regarding vorlufiger Rechtsschutz (provisional legal protection), see Chapter XIV, Notes 23 and 33. See 68 and 73 VwGO. See 68(i) VwGO. A Widerspruch must be lodged within one month of the Bekanntgabe (notification) of the VA: 70(i) VwGO. If the issuing Behrde considers the Widerspruch to be justified (begrndef)because, eg, the VA was rechtswidrig (illegal)the Behrde must remedy the situation (so-called Abhilfe (redress)) and decide on costs: 72 VwGO. Otherwise, a Widerspruchsbescheid must be issued: 73(i) VwGO. The other courts to which there is an express assignment (ausdrckliche Zuweisung) of public law disputes are listed in Schmitt Glaeser, Part I, 2 II B. See also: Chapter VII C (Note 10) and Chapter XVII (Note 33); Creifelds under Enumerationsprinzip, ffentlich-rechtliche Strtitigkeiten and Ordentlicher Rechtsweg; Bull, Section VI, 19 2. Such conditions are known as the Sachurteilsvoraussetzungen (conditions for a substantive judgment). See Stern, Part I, 216; Giemulla/Jaworsky/Mller-Uri, Book III, Chapters 2 and 3; Bull, Section VI, 194. Schmitt Glaeser distinguishes (general) conditions common to all actions (allgemeine Sachentscheidungsvoraussetzungen) and conditions specific to each type of Klage (besondere Sachentscheidungsvoraussetzungen): see Schmitt Glaeser, Parts 1 and 2 ( 29). Regarding the (substantially similar) Sachurteilsvoraussetzungen in civil proceedings, see Chapter XIII D 1 (f) (i). See 42(ii) VwGO. The plaintiffs assertions must be plausible (plausibel): see Schmitt Glaeser, Part 2, 31B, 4, Sections 1 and 2,1B and 6, Section 2,1B. To be distinguished from a Popularklage is the action by a federation (Verbandsklage), which, eg, in issues concerning environmental law (Umweltrecht), has the right to sue before the administrative court in certain Lnder. See Creifelds under Popularklage, Verbnde and Verbandsklage. On the question of Klagebefugnis, see also the good example given in Wesel (JW), Chapter DC and Wesel (FR), Chapter 5 (a neighbours Anfechtungsklage against a Baugenehmigung (planning permission)). See also Bull, Section VI, 19 5 and 7. See 74, 81 and 82 VwGO. See 113(i) and 113(iv) VwGO. A VA is illegal, if it is not rechtmafiig (lawful): see Chapter XIV C 3. 1004 BGB analogously. This type of writ is called an allgemeine Leistungsklage. It can also be directed to the undertaking (Vornahme) of (individual) measures of pure administrative action by the executive. However, it only springs in on a subsidiary basis to a Verpftichtungsklage. See Schmitt Glaeser, Part 2, 6, Section 2. See Creifelds under Verwaltungsstreitverfahren 45; Schmitt Glaeser, Part 4, 1215; Stern, Part 2, 1718. See 86(i) VwGO; Chapter XIII, Note 96. In so far as no court proceedings are pending (ie, while a matter is still in the hands of an administrative authority (Behdrde)), the equivalent of 86(i) VwGO is 24(i) VwVfG. See 88 VwGO; Schmitt Glaeser, Part 4, 151. See Chapter XIII, Note 10; Schmitt Glaeser, Part 4, 15II. See also Chapter XIII, Note 69.
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13 14 15
16 17
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CHAPTER XVI
1 For examples of statutes containing such supplementary norms (Nebenstrafrecht), see Creifelds under Strafrecht I2. See also: Baumann (ER), Part V, 16 II 1; Model /Creifelds /Lichtenberger, Part H (393394, 404); Naucke, 4 II. See Naucke, 6. A See Baumann (GBS), Chapter 3 II; Creifelds under nullum crimen sine lege; Naucke, 2 II. See also: Chapter I (Note 14); Chapter VIII C (Note 36). In German criminal law, the role of customary law (Gewohnheitsrecht) is minimal. B When considering Article 103(ii) GG, the fact that an act is committed on state instructions (im staatlichen Auftrag) or by order (aufBefehl) can give rise to problems. Generally, an act can only be punished, if, at the time it is committed, it is regarded as punishable (strafbar) by statute, ie, punishment must be laid down/fixed by statute before the act is committed. The act must, therefore, be illegal according to law, ie, there must be no justification for the relevant conduct. Sometimes, however, a justifying ground (Rechtfertigungsgrund) can infringe higher legal principles. In The Shootings at the Berlin Wall Case (Sourcebook, Chapter 7), the court concluded that: It is not arbitrary treatment, if the accused, so far as the unlawfulness of his action is concerned, is judged in the way in which he ought to have been treated on the correct interpretation of DDR law at the time of the act. Following superior orders, which were barbaric according to recognised standards of international human rights, did not properly constitute a justification, even if a different view was taken in actual state practice. Thus, Article 103(ii) GG was no defence. See Notes 4, 23 and 34 in this Chapter; Jarass/ Pieroth, Article 103, B 3 (c), particularly at (cc). C This type of (creative) judicial reasoning is reminiscent of the purposive method of interpretation of domestic law, which national courts are required (by the European Court of Justice) to adopt to give effect to Directives enacted by the European Community (so-called indirect effect: Von Colson v Land Nordrhein Westfalen ((1984) ECR1891)). Whenever problems arise regarding the compatibility of (domestic) laws passed to implement EC Directives, the national courts duty is, to use Lovelands words, simply to ask: What would Parliament had done if it had realised that the literal meaning of the words it wished to use was incompatible with a new EC law? and to answer: Parliament would have used the words which we are now implying into the Act. In truth, this is a pretentious, revolutionary and unsophisticated approach to interpretation, which puts words into Parliaments mouth and discards traditional principles of literal construction. Insofar as it enables the courts to deal with exceptional situations, it is laudable. However, will it by itself be firm enough in the long term to extricate the European Community from an era of political and legal instability and to relax the tension between inter-nationalism and supra-nationalism? Where is the dividing-line between creative jurisprudence and political decision-making? What will be the consequences of sacrificing (national) positivism to the ideal of a United Europe? See Loveland, Chapters 12 and 13; Preface to the Second Edition, Note 10; Preface to the Third Edition, Note 2; Chapter E, Note 34; Note 6 in this Chapter. Regarding the important role of policy in the European Court see Hartley, Part I, Chapter 2 (Policy). D Apart from the controversial prosecution of the former East German border guards and Politbro members (see also Notes 23 and 34 in this Chapter), the German criminal system can assume substitute jurisdiction (stettvertretende Strafrechtspflege) where alleged offences committed abroad (Auslandstaten) are involved (eg, crimes in former Yugoslavia) and extradition (Auslieferung) does not take place: 7(ii) No 2 StGB. This prohibition is normally a cast-iron rule, founded on the protection of trust (Vertrauenssckutz). However, in exceptional cases, it must give way (zurcktreten) to general principles of law (attgemeine Recktscrundstze) as recognised by civilised nations where national laws (Gesetze) are perverted by those in positions of power to exclude punishability for serious abuses of human rights (eg, the shootings along the former East German border). Thus, despite Germanys reservation to Article 7(ii) of the European Convention on Human Rights on ratification in 1952, the prohibition provides no shelter for persons who are responsible. See Notes 3, 23 and 34 in this Chapter.
2 3
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5 Multiple punishment for the same offence is also prohibited: Article 103(iii) GG. However, a re-opening of a case (re-trial) following a binding judgment (Wiederaufnahme des Verfahrens) is possible on certain statutory grounds. See 359373a StPO; Creifelds under Wiederaufnahmeuerfahren; Chapter XVII, Note 40 C; Youngs (CL), Chapter 4, Part IV, Sections B and D. The content and limits of criminal legal provisions must be calculable/predictable (berechenbar / vorhersehbar). In criminal law, the filling of gaps (Lcken) on the basis of indefinitely formulated general clauses (Generalklauseln)as in civil lawie, creative jurisprudence (Rechtschpfung) extending beyond objective statutory interpretation (objektive Auslegung)is not permitted. See Note 3 in this Chapter; Chapter X, Notes 44 and 47 E; Chapter XIII, Note 18. See Creifelds under Straftat II; Model/Creifelds/Lichtenberger, Part II (395, 403); Naucke, 6 III and IV; Otto (AS), Part 1 ( 14). See 23(i) StGB. The punishment for an attempted offence can be reduced: see 23(ii) StGB ( 49 StGB). See the Gesetz ber Ordnungswidrigkeiten (OWiG; Minor Offences Law) of 24.5.1968 as amended and reissued from time to time. See also: Creifelds under Bugeld, -verfahren, Geldbue and Ordnungswidrigkeiten; Baumann (ER), Part V, 16 II 2; Jakobs, Book 1, Chapter 1 (Section 31); Naucke, 4 V. Most traffic offences under the Straenverkehrsgesetz (Road Traffic Law) are Ordnungswidrigkeiten. Prosecution is the responsibility of the administrative authority (Verwaltungsbehrde), unless there are indications (Anhaltspunkte) that a criminal offence (Straftat) has been committed, in which case the matter must be passed to the Staatsanwaltschaft: 41(i) OWiG. In the Bugeldverfahren (fine proceedings), the provisions regarding criminal proceedings apply (ie, the StPO, GVG and JGG) and the prosecuting authority has the same rights and duties as the Staatsanwaltschaft: 46(i) and (ii) OWiG. The prosecution of an Ordnungswidrigkeit is at the discretion of the relevant authority, which can decide merely to give a warning (Verwarnung) together with a Verwarnungsgeld (penalty): 47(i) and 56 OWiG. If a Bugeldbescheid (notice of fine) is issued, an objection (Einspruch) can be lodged within two weeks, in which case the matter has to be dealt with by the Amtsvericht (district court): 67(i) and 68(i) OWiG. A classification of the most important offences in the BT according to the relevant Rechtsgut protected can be found in Naucke, 6 III3. Recent changes to the BT (in force since 1.4.1998) give greater weight to the protection of highly personal Rechtsgter, as against material Rechtsgter. See Wimmer, ZAP 15/98, Fach 21, p 173. See 80165 StGB. Regarding Delikte gegen staatliche Rechtsgter see Otto (ED), Part 3, Chapter 2 ( 83 100). See 166184 StGB. Regarding offences against (other) Rechtsgter der Gesamtheit (nichtstaatliche berindividuelle Rechtsgter) see Otto (ED), Part 3, Chapter 1 ( 6082). See 185241 StGB; Otto (ED), Part 2, Chapter 1 ( 237). Four cases involving offences within this category are contained in the Sourcebook, Chapter 7: The Insult of Soldiers Case 185 StGB Ehre (honour). The Base Motive Case 211 StGB Leben (life). The Shootings at the Berlin Wall Case 212, 213 StGB. The Rough Ill-Treatment Case 223b StGB Korperliche Unversehrtheit (bodily integrity). See 242358 StGB (Sections 1929). Section 27 covers certain gemeingefhrliche Straftaten (offences involving danger to the public) and includes 323c. In The Neglected Assistance Case (Sourcebook, Chapter 7) there was a subsequent prosecution under what is now 323c StGB. The court passed a guilty verdict (Schuldspruch), but could not, due to the Verbot der reformatio in peius rule, impose a punishment: see 358 (ii) StPO. See also Otto (ED), Part 2, Chapter 2 ( 3859). Rechtsgterschutz as the legitimate function of criminal law is criticised by Jakobs (Book 1, Chapter 1 (Section 2)). See Baumann (GBS), Chapter 2 2; Creifelds under Straftat I, Schuld and Rechtswidrigkeit; Model/Creifelds/ Lichtenberger, Part II (397, 401); Naucke, 7; Otto (AS), Part 2 ( 517); Wesel (FR), Chapter 4 (Rechtswidrigkeit und Schuld): Wesel points out that Rechtswidrigkeit and Schuld were first distinguished as separate elements 100 years ago.
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11 12 13
14
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16 17 See Chapter X B1 5 (Note 22) and Chapter X C 2 2 (Note 105). These elements form part of the German system of criminal offences and must be examined individually in each case. In particular, in German criminal law there can be no punishment without Schuld (nulla poena sine culpa), whereas in civil law liability is not always dependent on blame (Verschulden; eg, cases of Gefhrdungshaftung (strict liability)) Tatbestand and Rechtswidrigkeit are objective elements; Schuld is subjective. In certain special cases, the following additional elements can also become relevant: Objektive Bedingungen der Strafbarkeit (objective conditions of punishability); Persnliche Strafausschlieungs- und Strafaufhebungsgriinde (personal grounds for the exclusion of punishment and personal grounds for the lifting of punishment); Prozefivoraussetzungen (preconditions for a hearing). See Baumann (ER), Part V, 15 I; Baumann (GBS), Chapter 1 II 2 b; Jakobs, Book 2, Title 1, Chapter 1 (Sections 710); Otto (AS), Part 2, Chapter 1, Section 1 ( 5); Naucke, 7 (Das Straftatsystem); Creifelds under Bedingungen der Strafbarkeit; Note 61 in this Chapter. To what extent a Handlung incorporates a subjective element is disputed. The classic (objective) theory is the so-called kausale (normative) Handlungslehre, which regards conduct as relevant for the purposes of criminal law, if it is caught by the provisions of a criminal norm and causes a particular consequence. The perpetrators will causes his conduct, but is not part of it. Schuld is an entirely separate, subjective, psychological issue. Baumann understands the term Handlung in this sense. However, not all authors follow the same Straftatsystem (system for defining what constitutes a criminal act), ie, there is disagreement between the criminal law theorists as to what amounts to a (criminal) Handlung. The finale Handlungslehre (developed by Welzel) regards a Handlung as final, ie, directed to a particular aim (Ziei). The perpetrators will (ie, his vorsatz) is incorporated as a subjective element in his conduct. This (so-called neo-classical) theory, therefore, incorporates a subjective element in the Tatbestand. The soziale Handlungslehre (supported by Wessels) takes the view that only acts which are socially significant (sozialerheblich) can fall within the criminal law. See Baumann (ER), Part V, 15 11 b; Baumann (GBS), Chapter 4 I; Creifelds under Handlungsbegriff and Finale Handlungslehre; Naucke, 7 V; Wesel (JW), Chapter X and Wesel (FR), Chapter 4 (Tat und Tatbestand). According to modern, neo-classical doctrine (see the preceding Note), these elements can be not only descriptive/objective, but also subjective. Thus, Haft, for example, explains that Vorsatz (intent) and Fahrlssigkeit (negligence) have a double function. They are not only forms of Schuld (Schuldfor men), but are also subjective Tatbestandsmerkmale ie, forms of conduct (Verhaltensformen). See Haft (AT), Part 3, 3 and 7. See Krause / Thoma, Part 2, Section 3. An offence for which there is a heavier punishment in the event of particular consequences is referred to as an erfolgsqualifiziertes Delikt: 18 StGB. See Creifelds under erfolgsqualifiziertes Delikt; Note 50 in this Chapter. This theory dominates in criminal law, but not in civil law, where the theory of foreseeability (Adquanztheorie (adequacy theory)) applies. See Creifelds under Schadensersatz I (a); Dannemann, Part IV, 6; Jakobs, Book 2, Title 1, Chapter 1 (Section 7); Kallwass, Section 3, Chapter 1 ( 39); Youngs (CL), Chapter 5, Part IV A 3. Jede Bedingung, die nicht hiniveggedacht werden kann, ohne da der Erfolg entfiele: conditio sine qua non. A See 13 StGB, which states that the Tter must legally have to answer for (rechtlich einstehen fr) preventive action. An echtes Unterlassungsdelikt is subsidiary to an intentional (but not negligent!) Begehungsdelikt or unechtes Unterlassungsdelikt. Thus, in The Neglected Assistance Case (Sourcebook, Chapter 7) the court considered and distinguished the position where a crime is committed by means of an unechte Unterlassung from 323c StGB, which penalises a genuine omission. Another echtes Unterlassungsdelikt is 142 StGB (Unerlaubtes Entfernen vom Unfallort (unauthorized withdrawal from the scene of an accident (without leaving particulars)). See Creifelds under Hilfeleistung, unterlassene, Unerlaubtes Entfernen vom Unfallort; Haft (BT) ( 323c and 142 StGB); Ludovisy, ZAP, Fach 9 R, p 201; Note 73 in this Chapter. B The conviction (in August 1997) of members of the Politbro for aiding and abetting manslaughter (Beihilfe zum Totschlag) was based on the failure to observe a Garantenpflicht ie, they omitted to prevent the shootings along the former East German border, although they could have done so.
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20
21
22 23
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Notes
The case shows that organs of state are not immune from the law and must observe elementary human rights, even if this means constructing a Garantenpflicht towards individual citizens. Justification for the decision can be found in the so-called Radbruch formult: if the contradiction between positive (national) law and principles of justice (Gerechtigkeit) becomes so intolerable (unertrglich)eg, because the relevant (national) norms fly in the face of (internationally accepted) standaras of civilised behaviourthe positive law is illegal non-law (Unrecht) and must give way to justice. See Notes 3 and 34 in this Chapter; Creifelds under Radbruchsche Formel; Wesel (FR), Chapter 8 (at the end). Regarding crimes by omission see Creifelds under Garantenstellung and Unterlassungsdelikt; Jakobs, Book 2, Title 2, Chapter 6 (Sections 2830); Naucke, 7 VIII; Otto (AS), Part 2, Chapter 1, Section 3 ( 9). Elementary duties to help, of safekeeping and care (Hilfe- Obhut- und Frsorgepflichten) can also arise in civil law (tort) on the basis of a Garantenstellung. See Flume, 7 4. See13(ii)and49(i)StGB. See Creifelds under Rechtswidrigkeit; Otto (AS), Part 2, Chapter 1, Section 2 ( 8). In English law, Rechtfertigungsgrnde would be classified as general (justifying) defences, in contrast to affirmative (excusatory) defences, which seek to exclude/negate the mens rea of a crime, eg, mistake (in the form of Tatbestandsirrtum or Verbotsirrtum) or duress and necessity, which, in German law, fall under entschuldigender Notstand ( 35(i) StGB). See 3 (d), below. See Baumann (GBS), Chapter 511 and Chapter 5 IV. For example, 228 StGB. See also Jakobs, Book 2, Title 1, Chapter 2 (Section 14). See Jakobs, Book 2, Title 1, Chapter 2 (Section 15 IV). See 32 StGB; Jakobs, Book 2, Title 1, Chapter 2 (Section 12). See 228 BGB. See 904 BGB. See 34 StGB. By 34 StGB, where there is a state of emergency (Notstandslage), such that life, limb, freedom, honour, property or another legal asset is under immediate danger, emergency action (Notstandshandlung) is justified as a last resort (ultima ratio) to avert the danger from oneself or from another person, it, on a balancing (Abwgung) of all intereste concerned, the interest protected significantly outweighs the interest impaired. The measure taken must be appropriate (angemessen). Notstand can also exclude Schuld ( 35 StGB). However, the area of application of 35 StGB is much more restricted. See 3 (d), below and cf 35 StGB. See also Jakobs, Book 2, Title 1, Chapter 2 (Section 13). See Jakobs, Book 2, Title 1, Chapter 2 (Section 16 II). In The Shootings at the Berlin Wall Case (Sourcebook, Chapter 7) the Grenzgesetz (Border Act) of the former DDR did not, in the final analysis, amount to a justifying reason. Moreover, the argument that they acted aufBefehl (on orders) did not help the accused either. However, on the issue of Schuld, 5(i) Wehrstrafgesetz (Military Crime Law) was applied analogously in favour of the accused, enabling the court to assess a milder punishment. See also Notes 3 and 23 in this Chapter. Thus, in the case of a criminal prosecution for Beleidigung (insult), die utterance (uerung) must be illegal (rechtsuridrig) and intentional (vorstzlich). By 193 StGB, it is not illegal, for example, if it is: a critical review in the field of science, art or business; a judgment at work (dienstliche Beurteilung) by a superior; or made in pursuit of just interests (berechtigte Interessen). However, this is subject to the principle of proportionality (Verhltnismigkeitsgrundsatz), the balancing of competing interests (Abwgung) and the duty, as far as possible, to check (nachprfen) the correctness of the statement. Moreover, me utterance can amount to a Beleidigung, depending on its form and the circumstances. It is important to understand that die principal term (Oberbegriff) Beleidigung embraces three different forms, which can all be written or oral: simple insult ( 185 StGB), ie, Beleidigung in die narrow sense;
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27 28 29 30 31 32 33
34
35
311

defamation/slander/offensive gossip (uble Nachrede): 186 StGB; and malicious defamation / calumny (Verleumdung): 187 StGB. Simple insult covers a derogatory statement of opinion (Werturteil) to the person insulted or to a third party about him. It includes an assertion of fact (Tatsachenbehauptung), if the assertion is untrue and is uttered to the person himself. Other assertions of fact (ie, those referring to the person insulted, but made to third parties) fall within ble Nachrede or Verleumdung. See Creifelds under Beleidigung; Chapter VIII, Note 7 (The Tucholsky Cases) and Note 20 D. Social adequacy or acceptability is also relevant in employment law as a criterion for establishing the legality of industrial action (for the purposes of 823(i) BGB). See Creifelds under Soziale Adquanz; Chapter XVIII, Note 53. See 127 StPO and 1631 BGB. This is to be compared with the (formerly dominant) psychological definition of Schuld; see Note 18 in this Chapter; Baumann (GBS), Chapter 6 11; Jakobs, Book 2, Title 1, Chapter 3 (Section 17 II); Otto (AS), Part 2, Chapter 2 ( 12). Another (subjective) definition of Schuld (formulated by Stratenwerth) is: persnliche Verantwortung (personal responsibility). See Creifelds under Schuld and Wesel (FR), Chapter 4 (Rechtswidrigkeit und Schuld). See 19 StGB; Creifelds under Strafmndigkeit; Chapter X, Note 5. Juvenile offences (Jugendstraftaten)also referred to as Verfehlungen (transgressions)are governed by the Juvenile Courts Law (Jugendgerichtsgesetz; JGG) of 11.12.1974. The JGG ousts the general criminal law, except insofar as the JGG otherwise provides: 2 JGG. Jurisdiction over juvenile Verfehlungen lies with special youth courts (Jugendgerichte), the composition of which varies according to the expected punishment and the nature of the offence: 33, 3941 JGG. If a youth is not sufficiently mature (nicht reif genug) to be criminally responsible (ie, is unable to appreciate that what was done was wrong), the youth court has the same powers as the guardianship court (Vormundschaftsgericht): 3 JGG ( 1773ff BGB). However, if criminal capacity is not in question and a juvenile offence is established, the ordering of educational measures (Erziehungsmafiregeln) takes precedence. Disciplinary measures (Zuchtmittelz) or juvenile punishment (Jugendstrafe) are possible, but only if educational measures do not suffice: 5(ii) JGG. The preliminary procedure (Vorverfahren) is dealt with by a youth prosecutor (Jugendstaatsanwalt; 36 JGG), who must undertake extensive inquiries (Ermittlungen) into the background of the accused youth and all other circumstances: 43 JGG. The prosecutor can refrain from bringing the matter to courtwithout the consent of the judgeif judicial involvement can be dispensed with by an (less incisive) educational measure, or if 153 StPO applies: 45(ii) JGG. See Creifelds under Jugendliche und Heranwachsende, Jugendstrafe and Jugendstrafrecht. See Baumann (GBS), Chapter 614 a. See Creifelds under actio libera in causa. See Note 18 in this Chapter; Creifelds under Schuld; Jakobs, Book 2, Title 1, Chapter 1 (Sections 8 and 9); Otto (AS), Part 2, Chapter 1, Section 2 ( 7); Model/ Creifelds/Lichtenberger, Part H (397). See 15 StGB; Baumann (GBS), Chapter 6 II1 a; Naucke 6IV 5 (a) ( 15). See Baumann (GBS), Chapter 6 II 1b. See Baumann (GBS), Chapter 6 II 1 c. Absichf and sonstige spezielle subjektive Merkmale (other special subjective elements (of a Straftat)) form a separate, differentiated sub-category under the general heading of Schuld. See Naucke, 7IV. In other words, the perpetrator is indifferent to the risk of an offence occurring. See the Sourcebook, Chapter 7, Footnote 5. Gross negligence is also referred to as reckless conduct (leichtfertiges Handeln). Such a degree of negligence is a prerequisite in the case of an erfolgsqualifiziertes Delikt punishable by more than five years imprisonment. See Wimmer, ZAP 15/98, Fach 21, p 175. See Baumann (GBS), Chapter 6 III; Otto (AS), Part 2, Chapter 1, Section 4 ( 10). Creifelds lists five Schuldausschlieungsgrnde (grounds for the exclusion of Schuld): Tatbestandsirrtum ( 16 StGB); Entschuldigter (unvermeidbarer) Verbotsirrtum ( 17 StGB);
36
37 38
39 40
41 42 43 44 45 46 47 48 49 50
51 52
312
Notes
Schuldunfdhigkeit ( 19, 20 StGB); berschreitung der Notwehr ( 33 StGB; so-called Notwehrexze); and Entschuldigender Notstand ( 35 StGB). Even if Schuld is excluded, the Handlung of the Tter remains rechtswidrig. See Creifelds under Schuldausschlieungsgrnde; Model/Creifelds/Lichtenberger, Part H (401). Regarding Verbotsirrtum, see Baumann (GBS), Chapter 6 II 3. Regarding Schuldunfhigkeit and Notwehrexze see Jakobs, Book 2, Title 1, Chapter 3 (respectively Sections 18 II and 20 III). See also Otto (AS), Part 2, Chapter 2 ( 1314). See Creifelds under Irrtum II. To be distinguished is the situation where the Tter knows that what he is doing is wrong, but makes a mistake as to its punishability (Irrtum ber die Strafbarkeit). That is a Rechtsfolgeirrtum (mistake as to the legal consequence), which is always irrelevant Eg, Putativnotwehr: see Creifelds under Notwehr I 3. For Putativnotstand see below and Creifelds under Notstand 12. See Creifelds under Wahndelikt. See Creifelds under Irrtum II. Referred to in 17 StGB as die Einsicht Unrecht zu tun. Regarding Unrechtseinsicht and Verbotsirrtum see Jakobs, Book 2, Title 1, Chapter 3 (Section 19). See also: Engisch, Chapter VIII, Note 246a; Naucke, 7 VII. See 17,2nd sentence StGB. Punishment was reduced on this ground in The Shootings at the Berlin Wall Case (Sourcebook, Chapter 7). Regarding the exclusion of Schuld in cases of unvermeidbarer Verbotsirrtum ( 17 StGB) and entschuldigender Notstand ( 35 StGB), see Wesel (FR), Chapter 4 (Rechtsmdrigkeit und Schuld). See also Jakobs, Book 2, Title 1, Chapter 3, (Section 201). An act is not rechtswidrig (illegal) in the former case and is carried out without Schuld (guilt) in the latter. Due to personal circumstances existing at the time of, or arising after, the Tat . See Creifelds under Strafausschlieungs (aufhebungs)griinde. See Creifelds under Strafen and Maregeln der Besserung und Sicherung; Model/Creifelds/ Lichtenberger, Part II (396); Wesel (FR), Chapter 4 (Dogmatik und Strafe). The main example of a Nebenstrafe is the Fahrverbot (driving ban) in 44 StGB. See Creifelds under Nebenstrafen and Note 81 in this Chapter, below. See also Baumann (ER), Part V, 15IV 3. See 3839 StGB. See 4043 StGB. The Geldstrafe is to be strictly distinguished from the term Geldbue, which is the sanction for a minor offence (Ordnungswidrigkeit). See Note 9 in this Chapter. See 38 StGB. See 40 StGB. See 47(i) StGB. See 56 StGB. See 57 and 57a StGB. See 59(i) and 59a(i) StGB. See 60 StGB. See 46(i) StGB. Assessment of punishment (Strafbemessung) is distinguished according to whether one and the same act infringes various criminal provisions (so-called ideal concurrence (Idealkonkurrenz I Tateinheit (unity of act))eg, 142 and 323c StGBor whether various offences are committed (so-called real concurrence (Realkonkurrenz / Tatmehrheit (plurality of acts))eg, a road accident involving 222, 230 and/or 315c (iii) StGB is followed by the offence of 142 and/or 323c StGB. While the former leads to only one punishment ( 52(i) StGB), the consequence of the latter is a Gesamtstrafe (combined punishment; 53(i) StGB). Gesetzeskonkurrenz (concurrence of statutory provisions) refers to the situation where one statutory provision is displaced (verdrngt) by another.
53
54 55 56 57
58 59
60 61 62 63 64 65
66 67 68 69 70 71 72 73
313

See Creifelds under Konkurrenz (Zusammentreffen) von Straftaten; Haft (BT); Note 23 in this Chapter. See 6172 StGB. A Maregel is also a Mafinahme (measure) as defined in ll(i) No 8 StGB. Regarding Maregel see Baumann (ER), Part V, 15IV 4; Jakobs, Book 1, Chapter 1 (Section 1 VI). See Baumann (ER), Part V, 15IV; Naucke, 3; Creifelds under Zzveispurigkeit im Strafrecht. See 62 StGB. See 63 StGB. See 64 StGB. See 66 StGB. See 68 StGB. See 69 StGB; to be distinguished from the Fahrverbot of 44 StGB: see Note 63 in this Chapter ante. See 70 StGB. Under certain provisions of the StPO some Maregel can be imposed provisionally (vorlufig), ie, even before judgment is passed. See Roxin, Book I, chapter 6, 36. See 7376 StGB.
74 75 76 77 78 79 80 81 82
83
CHAPTER XVII
1 2 3 See generally: Creifelds under Strafproze(recht); Baumann (ER), Part VI ( 19); Model/Creifelds/ Lichtenberger, Part 3 D (267292); Naucke, 5; Roxin. Regarding the differences between the continental European (German) system of criminal procedure and that in England, see Roxin, Book I, Chapter 3, 17 B and C and Book E, Chapter 16, 73 A. Regarding the roots of German criminal procedure, see the diagram in Roxin, Book II, Chapter 15 (Zur Geschichte). Regarding the Constitutio Criminalis Carolina (Peinliche Gerichtsordnung), see Chapter I, Note 8, above and Roxin, Book II, Chapter 15, 69. Despite the Enlightenment of the 18th century, changes in Germany were only gradual. Thus, eg, until the Paulskirche assembly in 1848 there was no provision for a Staatsanwaltschaft. After 1848, reforms were introduced in Germany on a state by state basis. See Roxin, Book II, Chapter 15, 70 C. The relevant of the GVG are: in accordance with their respective (sachliche) Zustndigkeit ((substantive) competence/jurisdiction) in criminal matters (Strafsachen): for the AG: 24 GVG; for the Strafrichter (single criminal judge): 25 GVG; for the Schffengerichte: 28 GVG; for the LG: 7374 GVG; for the OLG: 120121 GVG; for the BGH: 135 GVG; and for the Staatsanwaltschaft: 141152 GVG. See Naucke, 5 II-IV; Chapter XXII, Note 37. Regarding the sources of the law of criminal procedure, see Roxin, Introduction ( 3). See 151 StPO; Roxin, Book I, Chapter 2, 13. See also Note 23 in this Chapter. The maxims of criminal procedure are set out in Baumann (ER), Part VI, 19 II and in Roxin, Book I, Chapter 2 (1116). See also: Chapter VIII, Notes 18 and 36; Article 6 EuMRK. See 158 StPO. Regarding the German criminal courts, their jurisdiction and composition (Besetzung) see Roxin, Book I, Chapter 1 ( 76). See also: Creifelds under Einzelrichter, Schffengericht, Strafkammer and Strafsenat, Model/ Creifelds/ Lichtenberger, Part 3 D (270 and 277). See 77 and 77b StGB. Eg, trespass to land (Hausfriedensbruch): 123 StGB; insult (Beleidigung): 185 StGB; breach of the duty of
5 6
8 9
314
Notes
professional secrecy (berufliche Geheimhaltungspflicnt): 203 StGB; bodily harm (Krperverletzung): 223 StGB. See Creifelds under Antragsdelikte, Hausfriedensbruch, Beleidigung and Berujsgeheimnis; Roxin, Book I, Chapter 2, 12 B. Cf private prosecution (Privatklage). See 158(ii) StPO. See Creifelds under Strafverfolgungsverjhrung; 7878c StGB. The relevant limitation periods are set out in 78(iii) StGB. The minimum periodfor an offence carrying a sentence of less than one years imprisonmentis three years. Prosecutions for murder (Mord) or genocide (Vlkermord) can never become statute-barred. Verihrung begins on completion of the relevant offence or, if a particular result (Erfolg) is required by the Tatbestand, on its occurrence: 78a StGB. Regarding the Staatsanwaltschaft, its structure, functions and position see Roxin, Book I, Chapter 1, 10 A. This is the Offizialprinzip (official principle). See 152 StPO; Roxin, Book I, Chapter 2, 12; Chapter XIII B 3. See 374 and 376 StPO; Model / Creifelds / Lichtenberger, Part 3 D (2841). Such offences (Privatldagedelikte) are a separate category to Antragsdelikte. See Note 9 in this Chapter and Chapter XVII H, below. See 150 GVG. The relevant courts are shown in brackets. See the article by Werner Roth entitled Ein klassischer Fall von Befangenheit in the Frankfurter Allgemeine Zeitung (FAZ) of 20.3.2000. See 152(ii) StPO. See 153ff StPO and, in this Chapter, Note 40 A. See 160(i) StPO. An initial suspicion (Anfangsverdacht) is necessary. The Ermittlungsverfahren/Varverfahren (in the hands of the Staatsamwltschaft) precedes the issue of the indictment (Anklageerhebung) and is the first stage of criminal proceedings. It is followed by: the interim proceedings (Zwischenverfahren), in which the court decides whether to open the main proceedings ( 199ff StPO); the main proceedings (Hauptverfahren), in which the main hearing (Hauptverhandlung) is prepared and held ( 213ff StPO). The Erkenntnisverfahren (proceedings leading to a judgment) is another term for all proceedings up to enforcement (ie, within Books II-VI StPO). See Note 43 in this Chapter and Chapter XVII G. See also: Model/Creifelds/Lichtenberger, Part 3 D (278); Roxin, Introduction ( 5), Book I, Chapter 7 ( 37, 40) and Chapter 8 ( 4145). See 160(ii) StPO. See 161 StPO. Those police officers authorised to assist the Staatsanwaltschaft are referred to as Hilfsbeamten der Staatsanwaltschaft: 152 GVG. Regarding their position see Roxin, Book I, Chapter 1, 10 B I. Regarding the interrogation (Vernehmung/Verhor) of the suspect in the Ermittlungsverfahren see Note 38 H in this Chapter. Witnesses (Zeugen) and experts (Sachverstndige) can also be questioned by the Staatsanwaltschaft and police: 161a, 163a (v) StPO. Certain persons (eg, close relatives) have a right to refuse to give evidence (Zeugnisverweigerungsrecht): 5253 StPO. Moreover, a witness can refuse to answer particular questions (Auskunftsverweigerungsrecht), if to do so would expose the witness or a member of the witnesss family to a risk of prosecution: 55(i) StPO (self-incrimination). Witnesses must be cautioned regarding their above rights before being examined: 52(iii), 55(ii) StPO. A suspect must appear, if summoned by the Staatsanwaltschaft: 163a (iii) StPO. However, unlike witnesses and experts, the suspect does not have to make a statement (aussagen). See 162(i) StPO. Various points should be noted here:
10 11
12 13 14
15 16 17 18 19 20
21 22
23
315

The Staatsanwaltscnaft is in full control of the Ermittlungsverfahren: it is Herr des Ermittlungs verfahren (master of the investigation procedure). During the Ermittlungsverjahren the judge is referred to as the Ermittlungsrichter (investigative judge). When dealing with an application for an investigative act the judges function is merely executive, ie, to check whether the act applied for is zulssig (admissible) in the circumstances. See Roxin, Book I, Chapter 1, 10 B II and 162(iii) StPO. The order (Anordnung) for an investigative act must usually be made by the judge. However, if there is Gefahr im Verzug (danger in delay) the order can be made by me Staatsanwaltschaft or police. The strict rule is that a judicial investigation can never be started by a court on its own initiative: see Note 6 in this Chapter. Thus, there must either be a Klage or an application (Antrag) for a richterliche Untersuchungshandlung. However, by 165 StPO, necessary Untersuchungshandlungen can be undertaken by a judge alone (acting as a so-called Notstaatsanwalt (emergency prosecutor)), if a Staatsanwalt is not available (erreichbar). 165 is a very exceptional provision, the application of which can result in a conflict of functions. See the instructive discussion in Wesel (FR), Chapter 1 (at the end) of the political scandal, which ensued the seizure (at the 1967 Frankfurt Book Fair) of a book containing allegations against the former Federal President Heinrich Lbke. See also: Creifelds under Ermittlungsrichter; Roxin (Book I, Chapter 2, 13), who refers to 165 as an apparent exception to the principle Wo kein Klger, da kein Richter (there is no judge without a claimant). See 81a StPO; Roxin, Book I, Chapter 6, 33. 81 a StPO dispenses with the permission of the suspect for any risk-free physical examination, eg, the taking of blood samples (Entnahme von Blutoroben) or a DNA test. It can be carried out on the orders of the Staatsanwaltsdmft or police, if any delay would endanger the success of the investigation: 81a (ii) StPO. Measures to ascertain the identity of a suspect (erkennungsdienstliche Manahmeri; eg, photos, fingerprints) do not require the sanction of a judge: 81b, 163b StPO. For identification purposes, where a person is suspected or convicted of a particularly serious crime, body cells can be extracted and subjected to genetic examination, if there is reason to believe that fresh criminal proceedings will be necessary against the same person for such an offence in future: 81g StPO. The storage of such a genetic fingerprint (DNA-Identifizierungsmuster) in a data bank is not unconstitutional. See ZAP-Aktuell, 4/01, p 192. A more modern expression for Beschlagnahme is Sicherstellung (safekeeping). To be distinguished are 94101 StPO, which deal with the seizure of items of possible significance as evidence and lllb-p StPO, which relate to safekeeping for the purpose of facilitating forfeiture (Verfall) or confiscation (Einziehung). In principle, the seizure of items, which may be of significance as evidence, can only be ordered by a judge: 98(i) StPO. However, the Staatsanwaltschaft and their auxiliary officials can (exceptionally) make such an order, if there is Gefahr im Verzug (danger in delay). Cf Chapter XXII, Note 26. Certain items are excluded from seizure (eg, written communications between a suspect and his Verteidiger; documents and information in the possession of persons working in the media field, who require such for editorial purposes: 97(i), 97(v) StPO). By 98(ii), 1st sentence StPO, officials who seize items without a judges order should seek judicial confirmation within three days: if neither the person affected nor an adult family member was present at the seizure; or if the person affected or, in that persons absence, an adult family member expressly objected to the seizure. Regarding the following measures see the appropriate : data comparison and transmission (Abgleich und bermittlung von Daten): 98a-c StPO; Where certain very serious offences are involved and there is Gefahr im Verzug (danger in delay), the Staatsanwaltschaft cansubject to judicial confirmation within three daysorder the use of special computer-assisted search methods to trace and enmesh the perpetrator(s), ie, a comparison of personal data (personenbezogene Daten) based on particular search criteria (so-called Rasterfahndung (grid search); 98a StPO) and the storage of personal information obtained at borders or other control points (socalled Schleppnetzfahndung (dragnet search); 163d StPO). seizure of post (Postbesdilagnahme): 99100 StPO; surveillance (monitoring) of telecommunications (berwachung des Fernmeldeverkehrs): 100ab StPO;
24
25
316
Notes
observation and bugging: 100c-d StPO; search (Durchsuchung) of the person or premises of the suspect: 102 StPO; search of other premises: 103 StPO; search of premises at nighttime: 104 StPO; use of undercover agents (verdeckte Ermittler): 110a-e StPO; establishment of control points (Kontrollstellen) in public places: 111 StPO. See generally: Creifelds under Beschlagnahme, Datenschutz and Sicherstellung; Roxin, Book I, Chapter 6, 34. See Creifelds under Untersuchungshaft; 112ff StPO; Note 38 in this Chapter, below. Untersuchuncshaft must be based on a judges written arrest warrant ( 114(i) StPO) specifying the suspect, details of the alleged offence, the ground for detaining the suspect in custody (Haftgrund) and (in so far as state security is not thereby endangered) the facts establishing a high suspicion that the suspect committed the offence (dringender Tatuerdacht): 114(ii) StPO. A In accordance with the principle of proportionality (Verhltnismigkeitsgrundsatz), Untersuchungshaft (investigative custody) cannot be ordered, if it is out of proportion to the importance of the matter and to the expected Strafe or Maregel: 112(i), 2nd sentence StPO. Thus: three preconditions must be fulfilled before Untersuchungshaft can be ordered: there must be a dringender Tatverdachft ; there must be a Haftgrund ; and it must be proportionate to order Untersuchungshaft. Untersuchungshaft can only exceptionally be ordered on the basis of Verdunkelungsgefahr (see Note 38 B in this Chapter) where the possible punishment for the offence is less than six months imprisonment or not more than 180 Tagesstze (daily rates): 113(i) StPO. an arrest warrant must be quashed as soon as the preconditions for Untersuchungshaft no longer exist or if it transpires that further Untersuchungshaft would be out of proportion to the importance of the matter and to the expected Strafe or Maregel: 120(i), 1st sentence StPO. B A suspect has various means of challenging an order for Untersuchungshaft. He can make an application to the court at any time under 117(i) StPO for so-called Haftprfung (review of custody)eg, for the order to be quashed. Alternatively, on a subsidiary basis, a suspect caneven if he is not actually in custodylodge a custody complaint (Haftbeschwerde) against a decision by the court. If no relief is granted, the complaint passes for decision to the next higher court 117(ii), 304 StPO. Once a suspect has been in custody for three months, Haftprfung must be undertaken by the court of its own motion (von Amts wegen), unless the suspect is legally represented: 117(v) StPO. Otherwise, the suspect is entitled to a defence lawyer (Verteidiger) after three months in custody, if he or she does not already have one: 117(iv) StPO. On application, an oral hearing (mndliche Verhandlung) regarding Haftprfung must take place: 118 StPO. See Creifelds under Haftprfungsverfahren; Schfer, ZAP 24/97, Fach 22, p 281; Schleicher, ZAP 3/01, Fach 22, p 329. C 116 StPO enables the judge to suspend execution of an arrest warrant based on Fluchtgefahr (see Note 38 B in this Chapter)ie, grant bailif the purpose of Untersuchungshaft can be achieved by less incisive measures (eg, regular reporting, restrictions on movement, deposit of security): Aussetzung (des Vollzugs) des Haftbefehls/Haftverschonung. In The Arrested Admiral Case (Sourcebook, Chapter 3), on the basis of the Verhltnismigkeitssrundsatz, the possible Haftverschonung (exemption from custody) under 116 StPO was applied by analogy to a warrant based on 112(iv) (now 112(iii)) StPO, ie, in a case alleging murder. D So long as there is no judgment imposing a sentence of imprisonment (or a Maregel involving detention), a person can only be kept in Untersuchungshaft for the same offence for more than six months, if a judgment is not yet possible due to, and the continuation of custody (Fortdauer der Haft) is justified by, the particular difficulty or extent of the investigation or another important reason (die besondere Scnwierigkeit oder der besondere Umfang der Ermittlungen oder ein anderer wichtiger Grund): 121(i) StPO. Thus, once Untersuchungshaft has lasted for 6 months, the arrest warrant must be quashed unless there is Haftverschonung under 116 StPO; or the OLG (on request by the competent court or the Staatsanwaltschaft) orders Untersuchungshaft to be continued: 121(ii), 122 StPO.
26
317

The maximum period for Untersuchungshaft based on the Haftgrurd of 112a StPO (see Note 38 C in this Chapter) is one year: 122a StPO. F Untersuchungshaft is only one of numerous compulsory measures (Zwangsmaflnahmen) available in criminal proceedings, all of which involve an (authorised) infringement of a basic right (Grundrechtseingriff). Its purpose is to ensure the effective conduct of the criminal process (prosecution and enforcement). See Roxin, Book I, Chapter 6 ( 2936). See generally: Creifelds under Verteidiger; Roxin, Book I, Chapter 3 ( 19). Regarding the liability of a Verteidiger to his client see Kllner in ZAP 24/97, Fach 23, p 303. In civil proceedings, a Beistand can appear with a party, but has no Prozevollmacht. See Chapter XIII D 1 (f) (iv); 90 ZPO. If, during the preliminary investigative proceedings (Ermittlungsverfahren), it is proposed to examine a central incriminating witness (zentraler Belastungszeuge) in the absence of the suspect, the court must appoint a Verteidiger. The judicial discretion to appoint a defender during the Ermittlungsverfahren ( 141(iii) StPO) is reduced to a duty to do so because Art 6(iii)d EuMRK gives an accused the right to question an incriminating witness and expresses a general principle requiring a fair hearing. See ZAP 24/00, EN-Nr 802/2000. Moreover, whether or not a defender is appointed, an accused can insist on the attendance of an interpreter (Dolmetscher) at court, if there are language difficulties (Article 6(iii)e EuMRK). See Chapter VIII, Note 18. The Verteidiger is also entitled to inspect any items of evidence (Beweisstcke) in the possession of the authorities. The right of inspection of the file (Ermittlungsakte) and items of evidence can be curtailed, if investigations are still pending and the purpose of the investigation (Untersuchungszweck) would be endangered: 147(ii) StPO. However, a Verteidiger must always be allowed access to the official record of the examination of the suspect and any expert opinion (Sachverstndigengutachten): 147(iii) StPO. See generally Burhoff, ZAP, Fach 22, p 345. In certain situations (involving a criminal or terrorist group (kriminelle oder terroristische Vereinigung)), a complete contact ban (Kontaktsperre) can be imposed: 3138 EGGVG. In Germany, police law is governed by separate statutes in each of the Lnder. Although there is no general federal police force in Germany, various federal authorities engage (broadly speaking) in police activities. Well known are the Bundesgrenzschutz (federal border guard.). the Bundeskriminnalamt (federal office of criminal investigation; located in Wiesbaden) and the Bundesamt fr Verfassungsschutz (federal office of constitutional protection; located in Cologne). It is important to understand that the German term Polizei is used in two senses. The function (Aufgabe) of the police in the classic, so-called material sense is die Abwehr von Gefahren fr die ffenniche Sicherheit und Ordnung (the warding-off of dangers for public security and order) or just Gefahrenabwehr, ie, the preservation of law and order. In the so-called formal or institutional sense, the term Polizei is understood according to whether it acts as Verwaltungspolizei (administrative police)in which case the authorities involved are referred to as Polizeibehrden (police authorities) or Ordnungsbehrden (order authorities)or as Vollzugspolizei (executive police)also referred to as the Polizeivollzugsdienst (executive police service) or just Polizei. The prevention and detection/investigation of crime is the domain of separate branches of the Vollzugspolizei, known respectively as the Schutzpolizei (protective police) and Kriminalpolizei (criminal police). Drews /Wacke/Vogel/ Martens broadly describe the difference between the Verwaltungspolizei and the Vollzugspolizei as follows: Vollzugspolizei ist Gefahrenabwehr vor Ort, Verwaltungspolizei Gefahrenabwehr vom Schreibtisch aus (Voltzugspolizei is the warding-off of dangers locally, Verwaltungspolizei the warding-off of dangers from the desk; see Drews/Wacke/Vogel/Martens, Part 2, 4 No 3). Thus, the Vollzugspolizei usually becomes involved in situations where action needs to be taken immediately (sofort). Although the Verwaltungspolizei is no longer generally referred to as the police in everyday speech, the same legal principles apply to the Verwaltungspolizei and the Vollzugspolizei and they are often governed by one and the same law in the various Lnder. The strict terminological distinction must, however, be borne in mind when one refers to these laws. See generally Drews/Wacke/Vogel/Martens, Part 1, 13 and Part 2, 46; Model/Creifelds/ Lichtenberger, Part 2 C (158279177); Schmidt-Afimann, Section 2. See also Creifelds under Polizei, E
27 28 29
30
31 32
318
Notes
Polizeirecht, Ordnungsbehrden, Kriminalpolizei, Bundesgrenzschutz , Bundeskriminalamt and Verfassungsschutz. The police has a double function (Doppetfunktion). It is competent both to deal, on a preventive basis, with Gefahrenabwehr (the warding-off or dangers, including crime) and to act in Strafuerfolgung (the pursuit of crime). While the authority of the police in the former case is the police law of the relevant Land, in the latter case federal law (the StPO) applies. Moreover, it is important to note that while measures of Gefahrenabwehr taken by the police are subject to the jurisdiction of the administrative courts under 40(i) VwGO, measures of Strafverfolgung are Justizverwaltungsakte, open to examination by the OLG acting as a criminal court. See Drews/Wacke/Vogel/Martens, Part 3, 9; Schmitt Glaeser, Part I, 2 II B 2; Wesel (FR), Chapter 5 (Polizeirecht); Chapter XV, Note 2. See 163(i) StPO. Similarly, the police is also responsible for the investigation of Ordnungswidrigkeiten (minor offences): 53 OWiG. See also Chapter XVI, Note 9. See 163(ii) StPO. A person caught in the act or being pursued (auffrischer Tat betroffen oder verfolgt) can be provisionally arrested by jedermann (anyone), provided the person is suspected of being on the run (der Flucht verdchtig) and cannot be immediately identified: 127 (i) StPO. Usually, however, where there is Gefahr im Verzug (ie, the situation is urgent and delay would be prejudicial), a vorlufige Festnahme is undertaken by the Staatsanwaltschapft or police, provided the preconditions for a Haftbefehl or Unterbringungsbefehl are fulfilled: 127 (ii) StPO. See Note 49 in this Chapter. Which court has local jurisdiction (Gerichtsstand) is ascertained by reference to 721 StPO. The Gerichtsstand can be based (inter alia) on: the place of commission of the offence (Tatort): 7(i) StPO; the residence (Wohnsitz) of the person to be prosecuted: 8(i) StPO; the place of seizure of the suspect (Ergreifungsort): 9 StPO. The court which opens the investigation (Untersuchung, ie, the main proceedings) first takes priority: 12(i) StPO. See Roxin, Book I, Chapter 1 ( 8). A A Staatsanwalt usually applies for issue of a (written) Haftbefehl to the judge at the Amtsgericht (district court) in whose area there is a Gerichtsstand or in which the suspect is present 125(i) StPO. That judge is referred to as the competent judge (der zustndige Richte). There are two preconditions (Voraussetzungen) for the issue of a Haftbefehl: (i) there must be a high suspicion that the suspect (Beschuldigter) committed the offence (dringender Taiverdachit); and (ii)there must be a Haftgrund ((factual) ground for detaining the suspect in custody. B There are four main Haftgrnde: Flucht (ie, the suspect is fugitive); Fluchtgefahr (ie, there is a danger of the suspect absconding (fleeing)); Verdunkelungsgefahr (ie, there is a danger of an obstruction of justice (eg, possible tampering with evidence or collusion)); Wiederholungsgefahr (ie, there is a danger of repetition (in the case of certain serious crimes)). See 112 StPO and this Note below. Additionally, Untersuchungshaft may be ordered under 112(iii) StPO for the seriousness of the offence (Scnwere der Tat). This is the case where there is a high suspicion (see this Note, above) that the suspect has: established or participated in a terrorist organisation (Bildung/Beteiligung an einer terroristischen Vereinigung; 129a(i) StGB); or has committed: murder (Mord; 211 StGB); manslaughter (Totschlag; 212 StGB); or genocide (Vlkermord; 220a (i) No 1 StGB), or has caused an explosion (Sprengstoffexplosion) thereby endangering life or limb of others ( 311 (i)(iii) StGB). C The Haftgrund of Wiederholungsgefahr is dealt with in 112a (i) StPO. By the first sentence of that
33
34
35 36
37
38
319

paragraph, a suspect can be taken into/kept in custody, if there is a high suspicion (see this Note, above) that either: 1 the suspect has committed certain sexual offences (eg, rape (Vergewaltigung); 177 StGB); or 2 has repeatedly or continuously (wiederholt oder fortgesetzt) committed a particular, very grave offence (eine die Rechtsordnung schwerwiegend beeintrachtigende Straftat) as follows: breach of the peace (Landfriedensbruch, 125a StGB); bodily harm (Korperverletzung; 224227 StGB); theft (Diebstahz; 243 StGB); robbery (Raub, 249255 StGB); blackmail (Erpressung; 253 StGB); ancillary aggression against a driver or passenger (Rauberischer Angriff auf Kraftfohrzeugfhrer oder einen Mitfahrer; 316a StGB); handling Hehlerez; 260 StGB); fraud (Betrug; 263 StGB); arson (Brandstiftung; 306306c StGB); breach of certain provisions of the Narcotic Drugs Law (Betubungsmittelgesetz; 2930 BtMG);
and: (a) particular facts (bestimmte Tatsachen) establish the danger (Gefahr) that, before the suspect is finally sentenced (vor rechtskrftiger Aburteilung), the suspect will commit similar serious offences (weitere erhebliche Straftaten gleicher Art) or continue the commission of the offence; (b) custody is necessary to avert the threatening danger (zur Abwendung der drohenden Gefahr erforderlich); and (c) in cases under No 2, above, a sentence of more than one years imprisonment is to be expected. By 112a (i), 2nd sentence StPO, one can, as a rule, assume a danger for the purpose of cases under No 2, if, within the last 5 years, the suspect was convicted of, and sentenced to imprisonment for, a similar offence. The Haftgrund in 112a (i) StPO is subsidiary to those in 112: 112a (ii) StPO. See also 114,116126 StPO and Note 26 in this Chapter, above. Regarding Untersuchungshaftincluding, in particular, a critique of 112 (iii) and 112a StPO -see Roxin, Book I, Chapter 6 ( 30). D A person arrested auf Grund eines Haftbefehls (on the basis of an arrest warrant) must unverzglich (without delay): receive details of the warrant ( 114a StPO); be brought before the competent judge ( 115(i) StPO; Vorfiihrung (presentation)); and be examined by the judge, at the latest the day after the Vorfuhrung ( 115(ii) StPO). At the examination (Vernehmung), the suspect must be informed of the incriminating circumstances; be informed of his right to make a statement or to remain silent (Aussageverweigerungsrecht); be given an opportunity to refute the grounds for suspicion and custody and to put forward facts in his favour: 115(iii) StPO. If the suspect cannot be presented to the competent judge within a day after his seizure, he must be brought before a judge at the nearest Amtsgericht within that time: 115a (i) StPO; is not released by the judge (ie, the Haftbefehl is confirmed), he must be advised of his right to lodge a Beschwerae (complaint) or to apply for a review (re-examination) of custody (Haftprfung): 115(iv), 117, 118 StPO. Such an application is possible at any time (jederzeit; 117(i) StPO) and can be heard orally ( 118(i) StPO): see Note 26 B in this Chapter. E If an arrest warrant or placement order already exists, a Steckbrief (warrant of apprehension) can be issued (131 StPO). F If there is no arrest warrant and a suspect fails to attend a Vernehmung, despite having received a written summons (Ladung) to do so, the judge or StMtsanuttschafrcan compel the appearance of the suspect by means of a Vorfhrungsbefehl (presentation order): 133 StPO. However, on the basis of a Vorfhningsbefehl, a suspect cannot be held longer than until the end of the day following the Vorfhrung: 135 StPO. G A suspect must be examined before conclusion of the investigations (Abschlu der Ermittlungen) at the latest, unless the investigation is terminated: 163a (i) StPO.
320
Notes
If it intends to issue proceedings, the Staatsanwaltschaft must note conclusion of the investigations in the file: 169a StPO. H Where there is a first examination (erste Vernehmung) of the suspect by the judge, Staatsanwaltschaft or police special requirements apply: 136,163a (iii)/(iv) StPO. At the first examination, the suspect must be told what he is alleged to have done: 163(a) (iv) StPO. He must be informed (in clear language) of his right to make a statement or to remain silent (Aussageverweigerungsrecht) and that he can at any time consult a defender of his choice (also before the examination): 136(i), 2nd sentence StPO (Recht auf Konsultation). The suspect must be given an opportunity to dispel any grounds of suspicion existing against him and to assert any facts in his favour: 136(ii) StPO. In particular, he must be advised that he can ask for exonerating evidence (Entlastungsbeweis) to be taken, eg, a medical test or identity parade (Gegenberstellung): 136(i), 3rd sentence StPO. Certain methods of questioning are forbidden: 136a StPO. If there is reason to doubt the admissibility (Verwertbarkeit) of statements obtained from the suspect during the investigative proceddings, the defender must expressly make objection (Widerspruch) at the main hearing (Hauptverhandlung). See Burhoff, ZAP, Fach 22R, p 207. I Regarding Vorlufige Festnahme and Vorfhrung see Roxin, Book I, Chapter 6 ( 31). Regarding Vernehmung see Creifelds under Vernehmungen im Strafverfahren; Roxin, Book I, Chapter 5 ( 25 III). See also Creifelds under Festnahme, Haftbefehl, Steckbrief and Vorfhrungsbefehl. In accordance with the Legalittsgrundsatz (legality principle), the Staatsanwaltschaft has a duty to do so: see Creifelds under Anklageernebung und -zulassung; 170(i) and 199(ii) StPO. The Anklageschrift must specify the accused, the alleged offence, the time and place of its commission, the statutory elements of the offence and the applicable legal provisions: 200(i) StPO. See 170(ii) StPO. A In various types of case the Legalittsgrundsatz gives way and the Opportunittsgrundsatz applies, enabling a prosecution to be dropped or, where proceedings have begun, for these to be terminated by the court (eingestellt). Thus, with the consent of the court, the Staatsanwaltschaft can refrain from a prosecution (von der Verfolgung absehen) on grounds of insignificance (Geringfgigkeit) where a Vergehen is involved, the perpetrators Schuld is negligible and there is no public interest involved in the matter: 153(i) StPO. Further, with the consent of the court, the Staatsanwaltschaft can provisionally disregard raising an indictment (vorlufig von der Erhebung der ffentlichen Klage absehen), if imposition of Auflagen und Weisungen (conditions and directions) on the perpetrator would be appropriate, the perpetrator s Schuld is negligible and the public interest in a prosecution can thereby be disposed of: 153a(i) StPO. Absehen von Strafoerfolgung and Einstellung are also possible, for example, where crimes with a foreign element are involved, where state security takes precedence or where the accused has already been (or is expected to be) sentenced for another offence and the relevant Strafe or Maregel he could receive, if prosecuted, would not be of such significance by comparison. See 153c, 153d and 154(i) StPO. See generally: Creifelds under Bagatellstrafsachen, Geringfgigkeit, Legalittsprinzip and Opportunittsprinzip; Note 19 in this Chapter; Roxin, Book I, Chapter 2 (14) and Chapter 7 (38). B If, despite the Legalittsgrundsatz, the Staatsanwaltschaft declines to prosecute or terminates the investigation, the injured party can either: within two weeks of the refusal initiate a special Klageerzwingungsverfahren (procedure to compel prosecution) by means of a complaint (Beschwerde) to the superior Staatsanwalt and, thereafter, to the OLG; or lodge a Dienstaufsichtsbeschwerde (supervisory complaint) (also to the next superior Staatsanwalt). See 171177 StPO; Creifelds under Anklageerzwingung and Ermittlungsverfahren in Strafsachen II. C Termination of an investigation does not prevent it being taken up again (re-opened) at any time. See Chapter XVI, Note 5. However, if, in the Klageerzwingungsverfahren, the OLG rejects the application for prosecution, a new prosecution is only possible on the basis of new facts or evidence ( 174(ii) StPO). D Persons who suffer financial loss due to prosecution measures can claim compensation under the Gesetz ber die Entschdigung fr Strafverfolgungsmanahmen (StrEG) of 8.3.1971. See Model/Creifelds/ Lichtenberger, Part 3 D (278 and 283). See 407ff StPO.
39
40
41
321

The application is equivalent to the lodging of a Klage: 407(1), 4th sentence StPO. The Strafbefehlsverfahren is a special summary written procedure where the accused is not heard before the judge reaches his decision: 407(iii), 408 StPO. The only types of punishment available are set out in 407(ii) StPO. Imprisonment is not possible. The accused can lodge objection (Einspruch) against a Strafbefehl within two weeks of service, in which case a main hearing must be held: 410(i), 411(i) StPO. See Creifelds under Strafbefehl; Roxin, Book I, Chapter 14 ( 66); Chapter XVII I, below. See 157 StPO. See 203 StPO. This is the so-called Erffnungsverfahren or Zwischenverfahren (interim proceedings). See Creifelds under Anklageerhebung und -zulassung and Erffnungsverfahren; Model/Creifelds/Lichtenberger, Part 3 D (279); Roxin, Book I, Chapter 7 ( 40). Before deciding whether to open the main proceedings, the judge must give the accused an opportunity to request the taking of evidence and to make objections: 201(i) StPO. An Erffnungsverfahren and a written indictment (Anklageschrift) are unnecessary, if the Staatsanwaltschaft applies for judgment in the so-called beschleunigtes Verfahren (accelerated procedure). The facts must be simple and an immediate judgment possible: 212, 212a StPO. The maximum possible punishments in the accelerated procedure are one years imprisonment or a Maregel der Besserung und Sicherung: 212b(i) StPO. See Creifelds under Beschleunigtes Verfahren; Model/Creifelds/Lichtenberger, Part 3 D (281); Roxin, Book I, Chapter 12 (59). See 210(i) and 157 StPO. See 207 StPO. See 156 StPO. See 210(ii) StPO. See 214 and 217 StPO. In the beschleunigtes Verfahren the notice period (Ladungsfrist) is shortened to 24 hours, if the suspect does not attend voluntarily or is not brought before the court: 212(a)(iii) StPO. See Note 43 in this Chapter. 127b StPO. This measure forms part of the accelerated procedure. See Burhoff, ZAP 16/97, Fach 22, p 263; Notes 36 and 43 in this Chapter. Exposition planned. See Model/Creifelds/Lichtenberger, Part 3 D (280283); Roxin, Book I, Chapter 8 ( 4145). A Privatklage takes the place of a public prosecution, whereas a Nebenklage enables the party injured to join it. See Note 14 in this Chapter; Model/Creifelds/Lichtenberger, Part 3 D (284); Roxin, Book I, Chapter 13 ( 6163). See Creifelds under Shneverfahren. See also: 279 ZPO; Gteverhandlung. See Model/Creifelds/Lichtenberger, Part 3 D (285287); Roxin, Book I, Chapter 14 ( 6466). See Note 41 in this Chapter. See Model/Creifelds/Lichtenberger, Part 3 D (288289); Roxin, Book I, Chapter 11 ( 5657).
42 43
44 45 46 47 48
49
50 51
52 53 54 55
CHAPTER XVIII
1 An Arbeitsvertrag is an example of a Dienstvertrag and the provisions in the BGB regarding Dienstvertrge ( 611630) are of subsidiary application. A Dienstvertrag involves the provision of services for others, but usually on an individual basis, ie, without the element of social dependency, which is characteristic of an Arbeitsvertrag. See Note 60 in this Chapter; Baumann (ER), Part III, 12; Fikentscher, 79 I; Model/Creifelds/ Lichtenberger, Part 6 A (601637); Sllner, Part 1, 2 and 5II. Relevant statutes in the field of employment law are listed in Hanau/Adomeit, Part BIV; Sllner, Part 1, 6.
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Notes
2 (a) The term Arbeitnehmer includes Arbeiter (workers) and Angestellte (employees). Specialized categories include: gewerbliche Arbeitnehmer (industrial/trade employees eg, Werkmeister (foremen), Techniker (technicians) and Fabrikarbeiter (factory workers) ie, skilled and unskilled blue-collar staff), governed by 105 139m, Gewerbeordnung (GewO; Business Order); kaufmnnische Angestellte ((lower-ranking) commercial employees; (junior) white-collar staff) eg, Gehilfen (assistants), governed by 5983 Handelsgesetzbuch (HGB; Commercial Code); persons undergoing vocational training (Berufsausbildung)ie, trainees and apprentices, who are referred to by a variety of titles, eg, Auszubildende, (Handwerks-) Lehrlinge, Praktikanten, Volontre; and public service employees (Angestellte des ffentlichen Dienstes), eg, civil servants (Beamte). The authorised representatives of personal companies or corporate bodies (eg, directors of a GmbH or members of the board of an AG) are not employees for the purposes of employment protection law and the employment courts have no jurisdiction in matters concerning them: 14(i) KSchG, 5(i) ArbGG. See Creifelds under Angestellte, Arbeitsverhltnis, Arbeitsvertrag, Arbeitnehmer, Berufsbildung, Handlungsgehilfe and Offentlicher Dienst. Hanau/Adomeit, Part E; Hofmann, Part F III; Sllner, Part 1, 31III, 4 and Part 4, 28. (b) It is sometimes difficult to establish whether or not a person is an Arbeitnehmer. A person is not an Arbeitnehmer, if he or she is self-employed (selbstndig) or similar to an employee (a so-called arbeitnehmerhnliche Person), ie, someone who is not subject to direction (weisungsgebunden) nor personally dependent (persnlich abhngig), but only commercially dependent (wirtschaftlich abhngig). A person predominantly working for and paid by one employer can be regarded as an arbeitnehmerhnliche Person, although the question ultimately depends on the individual circumstances and market opinion (Verkehrsanschauung). A particular criterion is the extent to which the relevant person is incorporated (eingegliedert) into the other partys organisation ( 7(i), 2nd sentence SGB (Book IV)). The effect of a person being considered an arbeitnehmerhnliche Person is that, in principle, German employment law does not apply. However individual statutes can provide that they apply to arbeitnehmerhnliche Personen (eg, 5(i) ArbGG; 2 Bundesurlaubsgesetz (Federal Holiday Law)); Arbeitsschutzrecht (work protection law: see Chapter XVIII H, below) remains applicable, as it places obligations on employers, even if no formal, but merely a factual, employment relationship (a faktisches Arbeitsverhltnis) exists. See Handbuch des FachanwaltsArbeitsrecht, 2nd Edition (1994); Part A, Notes 37 and 38; Arbeitsrecht by Ernst Ruppert, 2nd Edition (1992), Lektion 9, 1.2; Zllner/Loritz, 4 VI 2. See also: Chapter XI, Note 40. (c) By the Gesetz zu Korrekture in der Sozialversicherung und zur Sicherung der Arbeitnehmerrechtethe socalled Korrekturgesetz (Law to correct Social Insurance and to Secure Employees Rights)of 19.12.1998, as amended by the Gesetz zur Frderung der Selbstndigkeit (Law to Promote Self-Employment) of 20.12.1999, measures have been introduced with effect from 1.1.1999 to bring persons, who are, in reality, employees within the scope of the social security system. The intention is to combat avoidance (Umgehung) by those in ostensible self-employment (Scheinselbstndigkeit)disguised employeesand by persons with various jobs, each paying less than DM 630 per month, under which level no national insurance contributions are due. Persons similar to employees, but formally self-employed, (arbeitnehmerhnliche Selbstndige) must also now contribute to the state pension scheme (Rentenversicherung), even if they do not fall within the social insurance criteria. There is an exception for persons starting up in business (Existenzgrnder). By 7(iv) SGB (Book IV), for social insurance purposes, a person is presumed to be employed, if three of the following five criteria are fulfilled: the person has no employees earning more than DM 630 per month; the person usually and mainly works for one principal (Auftraggeber); the person provides services typical of an employee (typische Arbeitsleistungen), is subject to direction by the principal and is incorporated into the principals organisation; the person does not independently engage in business in the market; the person leaves the employment of a principal and then undertakes apparently the same work for that principal. Groups affected by the measures include manual workers (Handwerker), freelance assistants (freie Mitarbeiter), home workers (Heimarbetier) and commercial agents (Handelsvertreter).
323

A new enquiry procedure (Anfrageverfahren) has been introduced, by which applications for clearance can be made to the Bundesversicherungsanstalt fr Angestellte (BfA; Federal Institute of Insurance for Employees) in Berlin: 7a SGB (Book IV). There is great concern that the measures will disencourage free enterprise and cause difficulty in finding staff. See Marschner in ZAP 1/99, Fach 17, p 465; Sllner, Part 2, Section 1 ( 78); Creifelds under Sozialversicherung; Note 13 in this Chapter. See Note 61 in this Chapter. See Brox (AR), Chapter 3 I, Chapter 7 A IIII and Chapter 7 B IIV; Hanau/Adomeit, Parts E and J; Sllner, Part 4 ( 28,3436); Creifelds under Kndigung and Kndigungsschutzfr Arbeitnehmer. See Schuldt in ZAP 23/97, Fach 17, p 369. Usually, contracts are discharged by performance (Erfllung). However, the BGB allows for the unilateral cancellation (Kndigung) or certain types of contract which create an ongoing obligation (Dauerschuldverhltnis), ie, in the case of: a lease/tenancy (Mietvertrag; see 542544,553554b, 564565, 569, 584 and 594a BGB); a loan (Darlehen; see 609,609a BGB); a contract of employment (Arbeitsvertrag; see below); and a company (Gesllschaft; see 723725 BGB). Moreover, the BGB contains provisions for termination of: a contract of service (Dienstvertrag) which is not a contract of employment: 621, 627 BGB; and of a contract for services (Werkvertrag) (only) by the customer: 649 BGB. A See Chapter X B 2 (b) (Nullity and challengability of a Willenserklrung and Form and nullity of a Rechtsgeschft). The usual rule is that the effect of the challenge (Anfechtung) of a Rechtsgeschaft is that it is void from the start (ab initio; 142(i) BGB). However, for an employee, who has already commenced work, this would be unfairhis contractual rights (eg, to pay) would be wiped out and he would be left to make a claim for unjust enrichment. To overcome this situation, the concept of the faktisches Arbeitsverhltnis (factual (de facto) employment relationship) was developed by the judiciaryan Anfechtung usually only results in a contract of employment being void (nichtig) for the future. Parties rights, which existed up to that point, are not destroyed. This is in keeping with the status of an Arbeitsvertrag as a Dauerschuldverhltnis (ongoing obligation). See Brox (AR), Chapter 3 II; Hanau/Adomeit, Part F III 2 and 5; Creifelds under Dauerschuldverhltnis; Chapter X, Note 146. B Similarly, it would be intolerable, if a personal company (Personengesellschaft)eg, a BGB-Gesellschaft, an OHG or a KGwhich has started operating or commenced business, could be challenged or nullified retrospectively (rckwirkend) according to civil law rules due to a legal defect. To prevent such a result, the judiciary has developed the concept of the factual or faulty company (fehlerhafte Gesellschaft)the company usually remains fully effective until such time as the relevant defect (Mangel) is pleaded, ie, the company can only be dissolved for the future. Not to be confused with this concept is the doctrine of the ostensible company (Scheingesellschaft). According to this doctrine (of customary law), a person, who is responsible for creating or maintaining the legal aura (Rechtsschein) of a company where none exists, is liable for the consequences of such action. See Creifelds under Faktische Gesellschaft; Eisenhardt, Chapter 4, 17; Kraft/Kreutz, Part E V; Hueck, Section 2, 13 III; Chapter XIII, Note 57. The right to declare an auerordentliche Kndigung is based on 242 BGB and cannot be excluded by contract. Similarly, the limitation of a contract of employment to a particular period (Befristung) is only valid, if it is in writing. See Brox (AR), Chapter 7 II 2 and Sllner, Part4, 35 III 2. There has to be a prior warning before a dismissal based on the employees conduct (verhaltensbedingte Kndigung) unless the conduct in question is especially grave (besonders schwerwiegend). An Abmahnung is also a preliminary step to an action for unfair competition. See Wurm/Wagner/ Zartmann, Section C, Part 6, Chapter 142; the Lawyers Handbook (Beck), Part B XI, III.
3 4 5 6
8 9 10
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Notes
11 Instead of (merely) terminating an Arbeitsverhltnis, an employer can issue a so-called nderungskndigung: the Kndigung is linked to (an offer by the employer of) an alteration in the terms of employment (Arbeitsbedingungen). An nderungskndigung is a proper Kndigung for all purposes. An nderungskndigung is to be distinguished from a Versetzung (transfer), ie, the allocation (Zuweisung) to an employee by an employer of other work, in the context of the (permissible) exercise of an employer s right of direction (Direktionsrecht). See Langer, ZAP 11/91, Fach 17, p 139; Heil, ZAP 13/98, Fach 17, p 417; Rlz and Weber in Welt am Sonntag, 15.12.1996, p 60. See 622 (iv)(vi) BGB. 23(i) KSchG. The Arbeitsrechtliches Beschftigungsforderungsgesetz (ArbBeschFG; Promotion of Employment Law) increased the threshhold figure (Schwellenwert) from five to 10 employees with effect from 1.10.1996. However, following the change of government in October 1998, this has again been reduced to five with effect from 1.1.1999 by the Korrekturgesetz (see Note 2 in this Chapter). The ArbBeschFG also made controversial changes to the law regarding the rights of employees to continued pay in case of illness (Lohnfortzahlung im Krankheitsfall), as contained in the Entgeltfortzahlungsgesetz (EFZG) 1994 (viz a reduction from 100 of salary to 80%). Again, these were reversed by the Korrekturgesetz. By 3(i) EFZG, an employee has a claim to continued pay for up to six weeks, if he or she becomes incapable of working (arbeitsunfhig) due to illness without fault on his or her part. The claim arises once the employee has been employed for four weeks: 3(iii) EFZG. The incapacity for work must be notified to the employer without delay (unverzglich; 5(i), 1st sentence EFZG) and, after 3 days illness, a medical certificate (rztliches Attest) must be presented to the employer on the next working day at the latest ( 5(i), 2nd sentence EFZG). However, the certificate constitutes only prima facie evidence (Anscheinbeweis) and its evidential value (Beweiswert) can be shaken, if serious doubts (ernsthafte Zweifel) regarding the alleged incapacity exist. See Creifelds under Entgeltfortzahlung im Krankheitsfall; Langer, ZAP 2/1997, Fach 17, p 317; Haupt/Welslau, ZAP 6/97, Fach 17, p 339 and ZAP 16/98, Fach 17, p 437; Sartorius/Kremp, ZAP 7/00, Fach 17R, p 268. Under the ArbBeschFGprovisionally until 31.12.2000(unprotected) contracts for a limited, temporary period (befristete Arbeitsverhltnisse) were permitted, it they did not exceed two years and were not renewed more than three times. Workers over 60 years of age were excepted from the two year restriction. With effect from 1.1.2001, such contracts and part-time work (Teilzeitarbeit) are now governed by the Gesetz ber Teilzeitarbeit und befristete Arbeitsverhltnisse (TzBfG). See Creifelds under Zeitarbeitsverhltnis; Rambach and Sartorius, ZAP 7/01, Fach 17, p 599. Internal business reasons (innerbetriebliche Grnde) eg, the commercial decision of an employer (Unternehmerentscheidung), a lack of orders (Auftragsmangel) or a decline in turnover (Umsatzrckgang) are, in principle, not normally reviewable by a court (nicht gerichtlich berprfbar), unless they are arbitrary (willkrlich). However, the court can examine the underlying facts (Tatsachen) and the employers submissions must be sufficiently substantiated (ausreichend substantiiert). In other words, an employer must be prepared to justify his decision and be careful not to take a broad-brush approach (no pauschales Vorbringen!). Thus, an employer, who asserts that the need for staff (Beschftigungsbedrfnis) has reduced because of external circumstances (auerbetriebliche Umstnde), bears the burden of proof, ie, he must explain die effect of such circumstances on the level of employment in the particular Betrieb and specifically show why the relevant job is no longer required (Wegfall des Arbeitsplatzes) or a closure (Stillegung) is necessary: l(ii), 4th sentence KSchG. See Langer, ZAP 11/1989, Fach 17, p 29, Part II; Sartorius/Kremp, ZAP 7/00, Fach 17R, p 271272. See 1 (iii) KSchG. A common form of personenbedingte Kndigung is termination due to illness (krankheitsbedingte Kndigung). See Sartorius/Rambach, ZAP 9/01, Fach 17, p 621. See 3 KSchG. By 5(i) KSchG, an application can, exceptionally, be made for a Klage to be admitted out of time (nachtrgliche Zulassung), if the employee was prevented from issuing proceedings within the three week period, despite exercising the full measure of care, which could be expected of him in the circumstances. See Becker-Schaffner, ZAP 20/99, Fach 17, p 481.
12 13
14
15
16 17
325

18 19 20 See 7 KSchG. The alleged invalidity of an auerdentliche Kndigung must be claimed in the same way: 13(i) KSchG. See 9 and 10 KSchG. Regarding the Arbeitsgericht, its jurisdiction and procedure see Brox (AR), Chapter 12; Hanau/ Adomeit, Part K and Sllner, Part 5 ( 3940). The InsO replaces the former Konkursordnung (Bankruptcy Order) and Vergleichsordnung (Composition Order) and establishes a uniform insolvency procedure for personal and business debtors. See Creifelds under Konkurs. See Haupt, ZAP 24 / 99, Fach 17, p 499. See Brox (AR), Chapter 11AIII; Hanau / Adomeit, Part D I; Sllner, Part 2, Section 4 ( 1920). By 5(ii) BetrVG, certain persons are deemed not to be employees within the meaning of the BetrVG, ie, the statutory representatives of juristic persons; members of a personal company (Personengesellscnaft); persons, whose activities primarily serve charitable or religious purposes; persons, who are occupied largely for their own good (eg, patiente, prisoners); dose family members, who live in the same household. See Sllner, Part 2, Section 4 (23). See also 130 BetrVG. See Sllner, Part1, 3 IV. For the Mitbestimmungsrecht (right of co-decision) of the Betriebsrat see Chapter XVIII E. See also Hanau/ Adomeit, Part D III and IV and Sllner, Part 2, Section 4 ( 1924). See 8 BetrVG. See 9 BetrVG. See 5(iii) BetrVG. Betriebe, die unmittelbar und berwiegend 1 politischenkonfessionellen, karitativen, erzieherischen, wissenschaftlichen oder knstlerischen Bestimmungen oder 2 Zwecken der Berichterstattung oder Meinungsuerungdienen. See 118(i) BetrVG. See Brox (AR), Chapter 11AIV; Hanau / Adomeit, Part D II; Sllner, Part 2, Section 4 ( 211). See 74(i), 2nd sentence BetrVG. See 74(ii), 1st sentence BetrVG. See 74(ii), 2nd sentence BetrVG. See 74(ii), 3rd sentence BetrVG. See Creifelds under Betriebsvereinbarung; Hanau/Adomeit, Part D II 3; Sllner, Part 2, Section 4 ( 22); 77 BetrVG. A Betriebsvereinbarung is only applicable on the level of the Betrieb. It is of direct and compulsory effect (gilt unmittelbar und zwingend). Like a Tarifvertrag, a Betriebsvereinbarung is a so-called Gesamtvereinbarung (general agreement). It can contain a normative and contractual part (see Note 52 in this Chapter). However, in the event of a conflict with a Betriebsvereinbarung, a tariff agreement usually takes precedence (Vorrang des Tarifvertrags). See Hanau/ Adomeit, Part D II 4 and 76(vi) BetrVG. The Einigungsstelle is competent to deal with regulatory questions (Regelungsfragen) between employer and Betriebsrat, whereas the Arbeitsgericht (employment court) handles legal questions (Rechtsfragen). See 76(ii) BetrVG. See 76(v), 1st sentence and 87 BetrVG. See Brox (AR), Chapter 11A III; Hanau / Adomeit Part D III; Creifelds under Mitbestimmung. See Sllner, Part 2, Section 4 ( 21 III-VI); 87(i) BetrVG. See 99(i) and (ii) BetrVG. See 102(i) BetrVG. See 102(ii) BetrVG. See 102(iii) BetrVG. See 102(v) BetrVG. The employee must expressly claim this right before expiry of the notice period (Kndigungsfrist), if he seeks to rely on it See 8166 BetrVG. See Hanau/ Adomeit, Part DIV; Sllner, Part 2, Section 4 ( 24) and Chapter XVIII C.
21 22 23
24 25 26 27 28 29 30
31 32 33 34 35 36
37
38 39 40 41 42 43 44 45 46
47 48
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Notes
49 50 51 See 129(i) BetrVG 1952. See Brox (AR), Chapter 8 and Chapter 9 III; Hanau/Adomeit, Part C I; Sllner, Part 2, Section 2 (910). The main means by which an Arbeitskampf (industrial action) can be conducted are StreiK (strike) and Aussperrung (lock-out). See Brox (AR), Chapter 10; Hanau/Adomeit, Part CIII; Sllner, Part 2, Section 2 (1113). The normative part of a tariff agreement contains legal norms (Rechtsnormen) concerning the content, conclusion and termination of contracts of employment and such business-related matters, as are not usually the subject of a Betriebsvereinbarung: l(i) TVG, 77(iii) BetrVG. The norms apply directly and compulsorily (unmittelbar und zwingend) to those persons, who are bound by the tariff agreement (tarifgebunden ie, the various members of the coalitions): 4(i) TVG. Their effect on individual employment contracts is essentially that of a statute. The contractual part of a tariff agreement creates rights and duties only for the signatories to the agreement. On application by one of the parties to a tariff agreement, the Federal Minister of Employment can declare a tariff agreement to be generally binding (allgemeinverbindlich), if not less than 50% of all employees in the area covered by the agreement are employed by the employers side and such a declaration appears necessary in the public interest: 5(i) TVG. In this way, employers and employees, who were previously not tarifgebunden are incorporated into the tariff agreement: 5 (iv) TVG. Disputes regarding tariff agreements are dealt with by the employment courts: 2(i) Nr 1 ArbGG. See Brox (AR), Chapter 9 IIIIV; Hanau/ Adomeit, Part C E; Sllner, Part 2, Section 3; Creifelds under Koalitionsfreiheit, Tarifvertrag and Allgemeinverbindlichkeit. See Brox (AR), Chapter 10 III 1 (b); Hanau / Adomeit, Part C III; Sllner, Part 2, Section 2, 12II3. Industrial action can also found a claim for damages in tort (under 823(i) BGB) for infringement of the right to an established and exercised business (Recht am eingerichteten und ausgebten Gewerbebetrieb). See Sllner, Part 2, Section 2, 12 II 5; Chapter XVI, Note 36. See Sllner, Part 3, 25. For other examples of compulsory norms in employment law, see Brox (AR), Chapter 111. A Zwangsmittel are set out in the Verwaltungsvollstreckungsgesetz (Administrative Enforcement Law (VwVG)) of the Bund (BVwVG) or of the relevant Land and are distinguished according to whether 1 money is claimed; or 2 something is required to be done, tolerated or omitted (ie, the administrative act (VA) is directed to a Handlung, Duldung oder Unterlassung). Where a VA in category 2 is to be enforced, Zwangsmittel usually comprise: Ersatzvornahme (substituted execution (of the measure) by the authority); or Zwangsgeld ((compulsory) fine). A Zwangsgeld is an example of a so-called Beugemittel (coercive measure). When used by a court procedurally, a Beugemittel is referred to as an Ordnungsmittel. See Chapter XIII, Note 190; Creifelds under Beugemittel and Ordnungsmittel. Another Zwangsmittel, restricted largely to the police, is the exercise of so-called unmittelbarer Zwang (direct force). B Administrative acts are normally only enforceable (vollstreckbar) if: they are befehlend (require or forbid particular action); and they have become unanfechtbar (unchallengable (before an administrative court)); or immediate enforcement (sofortige Vollziehung) has been ordered; or in other cases where a legal remedy would not have any suspensive effect (aufschiebende Wirkung). However, even if there is no preceding administrative act, in a case of urgency (Eilfall) administrative force (Verwaltungszwang) can be exercised, if immediate enforcement (sofortige Volliehung/sofortiger Vollzug) is necessary (notwendig): to prevent an act, which is illegal and falls within the Tatbestand (content) of a crime or minor offence (zur Verhinderung einer mit Strafe oder Bugeld bedrohten Handlung); or to avert a danger, which is (directly) threatening (zur Abwendung einer (unmittelbar) drchenden Gefahr); and the authority acts within its statutory powers (innerhalb ihrer gesetzlichen Befugnisse): 6(ii) BVwVG. See Creifelds under Verwaltungsoollstreckungsgesetz and Verwaltungszwang; Chapter XIII, Note 164; Chapter XIV C 3 (Note 23) and XIV C 5. See also: Bull, Section V, 17; Erichsen, Part 3, Section 1, 20; Giemulla/ Jaworsky/Mller-Uri, Book I, Chapter 8; Maurer, Part 5, 20; Roxin, Book I, Chapter 6, 31 A III.
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57 Both the threat of a Zwangsmittel and the basic order (Grundverfgung) it is meant to carry out are Verwaltungsakte (administrative acts) and can be challenged before an administrative court The threatened Zwangsmittel must be specifically stated. A mere warning (Ermahnung) is not sufficient. If immediate enforcement is ordered or legal remedies have no suspensive effect, the threat of a Zwangsmittel can be linked to the basic VA: 13(ii) BVwVG. However, the Verhltnismigkeitsgrundsatz (principle of proportionality) applies and more than one Zwangsmittel cannot be threatened at the same time: 9(ii) and 13(iii) BVwVG. See Creifelds under Zwangsmittel; Mampel in ZAP 23/97, Fach 19, p 377. See 147(i) No 1 GewO. See 147(iv) GewO. A Dienstvertrag (contract of service) is to be distinguished from a Werkvertrag (contract for services) and, indeed, from an Arbeitsvertrag (contract of employment), to which the provisions in the BGB regarding the Dienstvertrag ( 611 ff) have only subsidiary application (hilfsweise Anwendung). See Creifelds under Arbeitsvertrag, Dienstvertrag, Geschftsbesorgungsvertrag and Werkvertrag; Chapter X C 3 (g) Title 6; Chapter X, Note 165. An employer has a similar Frsorgepflicht towards his Handlungsgehilfen (trading assistants) / kaufmnnische Angestellte (commercial employees) and Handlungslehrlinge (trainees): 62 HGB. Corresponding with an employers Frsorgepflicht is the employees duty of loyalty/fidelity (Treuepflicht). See Creifelds under Frsorgepflicht and Treuepflicht; Hanau/Adomeit, Part E 10 (f); Sllner, Part 4 29 II and 31 II. See 618(iii) BGB, which fixes die extent of the employers liability by reference to 842846 BGB. Three degrees of fault (Verschulden; 276 BGB) are distinguished: slight negligence (leichte Fahrlssigkeit); the employee is released from liability; a medium degree of negligence (mittlere Fahrlssigkeit); the loss is shared between employer and employee; intent (Vorsatz) or gross negligence (grobe Fahrlssigkeit); the employee bears the loss in full. Schadensgeneigte Arbeit is a principle, which only operates internally between employer and employee, ie, it is a form of internal loss settlement (innerbetrieblicher Schadensausgleich). Thus, third parties not having a direct claim against an employer (eg, because of 831 BGB) must first obtain an assignment of the indemnity from the employee, before they can claim against the employer. Moreover, schadensgeneigte Arbeit is a principle of employment law. Thus, insurers providing (compulsory) public liability cover (Haftpflichtversicherung) for motor vehicles cannot avoid liability to third parties by reference to the principle. See Creifelds under Innerbetrieblicher Schadensausgleich; Fikentscher, 79 II. Persons, whose liability is limited under 636,637 RVO, must reimburse the Berufsgenossenschaft for all sums expended by it, if they acted deliberately or were grossly negligent: 640 RVO.
58 59 60
61
62 63
64
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CHAPTER XIX
1 See generally: Baumann (ER), Part III, 11; Meyer, Part I, 1A and B. The Bund has concurrent legislative competence in the field of Wirtschaftsrecht: Article 74 Nos 11 and 16 GG. However, in the fields of business protection (gewerblicher Rechtschutz), copyright (Urheberrecht) and publishing law (Verlagsrecht), the legislative competence of the Bund is exclusive: Article 73 No 9 GG. For definitions of the controversial term Wirtschaftsrecht see Creifelds under Wirtschaftsrecht; Model/ Creifelds/Lichtenberger, Part 8 A (801). As an area of law, Wirtschaftsrecht has its origins in the 20th century: see Schmidt-Amann, Section 4, Chapter 11. To be distinguished are the related terms: Wirtschaftswissenschaften (economics); and Wirtschaftsprfer (chartered accountant). See Creifelds under Wirtschaftsprfer. See Chapter XI. See Chapter XI.
3 4
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5 The primary law in this field is the Gewerbeordnung (Business Order (GewO)) 1869, variously amended and reissued (last in 1987). See Baumann (ER), Part III, 11 II; Chapter XVIII H. See Chapter XVIII. The law governing credit institutions is the Gesetz ber das Kreditwesen (KWG) 1976. See Model/Creifelds/Lichtenberger, Part 8 B ( 851ff). See Hubmann/ Getting, Sections 24; Meyer, Part 5, 12; Rittner, Part 1, 1 C II; Note 1 in this Chapter The main German statutes in this field are: the Gesetz gegen den unlauteren Wettbewerb (Law against unfair competition (UWG)) 1909; and the Gesetz gegen Wettbewerbsbeschrnkungen (Law against restraints on competition (GWB)) 1957, reissued in 1980. The UWG forms part of the law of competition in the narrow, private law, sense (Unlauterkeitsrecht). See Rittner, Introduction I and Part 1, 1 A. See also: Baumann (ER), Part III, 11 III; Hubmann/ Getting, Section 5; Meyer, Part 6, 13; Chapter VIII, Note 20 G. See Baumann (ER), Part III, 11 II 2; Creifelds under Verbnde. See, eg, Creifelds under Gemeinschaftsrecht, europisches; Model/Creifelds/Lichtenberger, Part 8 A (813). Regarding the meaning of the term Gewerbe for the purpose of the Commercial Code (HGB), see Gierke/ Sandrock, Section I, Chapter 1, 6. See also: Capelle/ Canaris, Part I, Section 1, 21; Hofmann, Part B, Section 11. The following examples of Urproduktion are given in Creifelds: Bergbau (mining); Landurirtschaft (agriculture); Forstwirtschaft (forestry); Gartenund Weinbau (horticulture and wine-growing); Tierzucht (animal breeding); Fischerei (fishing); and Jagd (hunting). The profession of lawyer is not a Gewerbe: 2(ii) BRAO. Cf the wider term Unternehmensee Chapter XVIII C. See Creifelds under Gewerbe and Gewerbebetrieb. The law relating to persons engaged in handicraft (Handwerker) is governed by the GewO, in so far as the Handwerksordnung (Handicraft Order (HandwO)) 1965 does not contain special provisions. Regarding the difference between HandwerK and Industrie, see Creifelds under the respective terms. See also Creifelds under Handwerkskammer and Industrieund Handelskammer. See Note 5 in this Chapter. See 2434c GewO. See Creifelds under Gewerbefreiheit, Stehendes Gewerbe, Gewerbeaufsicht, Gewerbeordnung and Gewerbezulassung. See Baumann (ER), Part III, 111; Schmidt-Amann, Section 4, Chapter II 2. See Schmidt-Amann, Section 4. See Creifelds under Baurecht, Kartell, Umweltschutz, Steuern and Subventionen; Meyer, Part 6, 14. Regarding tax law generally, see Tipke/Lang. See Creifelds under Wirtschaftslenkung. Particular measures in this field are the Wirtschaftsstrafgesetz (Commercial Crime Law (WiStG)) 1954 and the Gesetz zur Bekmpfung der Wirtschaftskriminalitt (Law to combat business crime (WiKG); No 1:1976; No 2:1986). See Creifelds under Wirtschaftskriminalitt and Wirtschaftsstrafrecht. This is a potentially dangerous development. See the article entitled Manager im Visier der Staatsanwlte, in the Frankfurter Allgemeine Zeitung (FAZ) of 24.3.2000 (p 22). See generally: Brox (HR), Part B ( 2748); Gursky; Medicus (BT), Part 6, 1171. See Brox (HR), Part B, Section 1, 27 II.
6 7 8 9
10 11 12
13
14 15 16
17 18 19 20 21 22 23 24
25
26 27
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28 29 30 31 32 33 See Meyer, Part 3, 8 BI. See Brox (HR), Part B, Section 1, 2712; Gursky, Part I, Section 1 II B. As under 1006 BGB, there is a rebuttable presumption that the person in possession of a Wertpapier is the rightful owner. See 407 BGB. See Brox (HR), Part B, Section 1, 28; Gursky, Part I, Section 1 III B. Bearer bonds for a sum of money issued in Germany can only be brought into circulation with state approval: 795 BGB. The objections available to the issuer of a bearer bond against a holder are limited: 796 BGB. Moreover, a cumbersome claims notification procedure (Aufgebotsverfahren) is necessary before a bearer bond can be declared void: 799 BGB. See Brox (HR), Part B, Section 4, 45; Fikentscher, Section 13, 96. See 363 HGB. See 10(i) AktG. See also the Gesetz zur Namensaktie und zur Erleichterung der Stimmrechtsausbung (Namensaktiengesetz) of 18.1.2001. A cheque (Scheck) and a bill of exchange (Wechsel), which is drawn on a person other than the issuer (Aussteller) a so-called Tratte are special forms of Anweisung. An Anweisung becomes effective on its delivery (Aushndigung /Begebung) to the third party payee/ recipient (Anweisungsempfnger). Unlike a transfer from a bank account (berweisung) which is a mandate (Auftrag) in the context of a giro agreement (Girovertrag) an Anweisung is abstract and itself creates no contractual relationship between the parties, but merely gives rise to a double authorisation (Doppelermchtigung), ie, the third party is empowered to demand performance from the drawee (Angewiesener) and the drawee to effect performance to the third party: 783 BGB. The underlying relationship between the issuer and the third party is referred to as the Valutaverhltnis and that between the issuer and the drawee as the Deckungsverhltnis. See Creifelds under Anweisung, Scheck, Tratte and Wechsel. Regarding qualifizierte Legitimationspapiere or so-called lame bearer securities (hinkende Inhaberpapiere), see Brox (HR), Part B, Section 4, 46. See Brox (HR), Part B, Section 1, 28 III. See Brox (HR), Part B, Section 1, 27 II 2. See Brox (HR), Part B, Section 1, 27 III; Creifelds under Depotgeschft and Effekten; Gursky, Part I, Section 1 III E. See also: Chapter X, Note 211. Delivery of Traditionspapiere only takes the place of delivery (bergabe) of the goods. Transfer of ownership also requires a real agreement (dingliche Einigung) between the parties. Moreover, a transfer of ownership is not possible, if the transferor no longer has possession of the goods (Besitz am Gut) or if the goods have meantime gone astray (abhanden gekommen). See Brox (HR), Part B, Section 4, 47 II 2. It can be difficult to distinguish between an Inhaberzeichen ( 807 BGB) and a (qualified) legitimatory document ( 808 BGB). The difference is that, in the case of a (qualified) legitimatory document, the holder is not entitled to demand performance: 808(i), 2nd sentence BGB. 5, however, on presentation, the issuer decides to perform vis vis the holder, the issuer is released from liability (except for gross negligence): 808(i), 1st sentence BGB. See Brox (HR), Part B, Section 4, 45 VI and 46 III.
34 35
36
37 38 39
40
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CHAPTER XX
1 2 See generally: Creifelds under Internationales Privatrecht; Fikentscher, Section 17, 115; Schlosshauer-Selbach, Part 2, Section 31. See Collier, Part I, Chapter 6. The question of jurisdiction is not a procedural matter in this sense, but an independent, preliminary issue.
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Notes
Thus, it can be governed not only by the law of the forum, but can also be regulated by an international convention (eg, the Brussels Convention (EuGV)). See this Chapter, Section C 2, below; Chapter XIII, Note 28. Similarly, questions of the form of a legal transaction must be carefully separated from content (Inhalt) and procedural aspects. See Note 19 in this Chapter. The process by which different (sub-)issues arising in the same case are split according to the laws of different states (Rechtsspaltung) is called dpeage (or the mosaic method). The prevailing view is that this must be undertaken according to the lex fori. See Schlosshauer-Selbach, Part 2, Section I; Collier, Part I, Chapter 3. Legal residence (Wohnsitz) is no longer a connecting factor in German private international law. Called, respectively, Sachnormverweisung or Gesamtverweisung. In such a case, there can, therefore, be no renvoi to German law. On the other hand, if German law is the substantive law to be applied, but particular assets are subject to special provisions in their state of location (eg, real property), these are governed by foreign substantive law: Article 3(iii) EGBGB. In this situation, the specific foreign governing law (Einzelstatut) prevails over the general German one (Gesamtstatut). Moreover: (a) an indirect (so-called hidden) renvoi to German law can arise via the jurisdictional provisions of the foreign law, if that law contains no express provision specifying the applicable law; (b) by Article 6 EGBGB, foreign substantive law is not to be applied, if its application leads to a result clearly incompatible with significant principles of German law (mit wesentlichen Grundstzen des deutschen Rechts offensichtlich unvereinbar), ie, if its application infringes German public policy (ordre public); (c) a similar function to ordre public is played by the (unwritten) concept of the illegitimate avoidance (Umgehung) or a particular substantive law, the intention being to cut out (ausschalten) certain norms considered as undesirable (fraus legis; cf forum shopping). However, it is invariably extremely difficult to pinpoint and prove the existence of a fraudulent motive (Arglist); (d) if the application of various substantive laws leads to contradictions between the collision norms of different states (Normwidersprche), resulting problems can be resolved by adaptation (Anpassung). The German view is, therefore, that law means the foreign rules of private international law and renvoi. The question is: how would the matter be treated under the law of the other state? However, if there is a renvoi to German law, the German substantive provisions (Sachvorschriften) must be applied by the German court: Article 4(i), 2nd sentence EGBGB. Thus, there is no double renvoi as in England. See Collier, Part I, Chapter 3 (Re Annesley [1926] Ch 692). Domicile and nationality are used as different connecting factors for historical reasons, the root lying in a different understanding of the concept of home (Heimat) in common law and civil law countries. Usual residence is a more transitory/weaker bond than domicile. It involves a search for the Daseinsmittelpunkt or faktischer Lebensmittelpunkt (actual focal point of a persons affairs), as evidenced by objective elements, such as the degree of social integration. Usual residence is an attempt to approximate (but not equate!) the continental concept of Wohnsitz with domicile as understood in common law countries. Article 14 EGBGB is the centre-piece of the German conflict of laws provisions. It lays down a ladder (Later) of connecting factors for choice of law (not jurisdiction!), one of which is habitual residence. Domicile is not among them. A Article 15 EGBGB is the gateway to the relevant applicable law for marital property purposes (Gterstatut), which is determined (bestimmt) by the law applicable to the general effects of marriage (Ehewirkungsstatut or Familienstatut) at the time of conclusion of the marriage. Thus, if, when a marriage is entered into, the law governing the general effects of the marriage is foreign, the German marital property provisions ( 1363ff BGB) are displaced/ ousted (verdrngt) in favour of the relevant foreign law by Article 15. Unlike the law applicable to marital property, which is fixed once and for all at the moment the marriage is entered into (bei der Eheschlieung), the law governing the general effects of marriage is mutable (wandelbar), ie, it can change during the marriage, if both spouses later jointly change their nationality or usual residence or if the country, to which the spouses have their closest connection, changes. German law classifies claims to information (Auskunft) under Article 15 EGBGB as substantive. However, the exact classification of claims to return of household items (Haushaltsgegenstnde) is disputed; the better view is that it is a question of marital property governed by Article 15, rather than the law of the forum ( 1361a BGB).
3 4 5 6
8 9
10
11
331

Another provision in the EGBGB, which refers to the general effects of marriage, is Article 17. Article 17 specifies the applicable law concerning the preconditions (Voraussetzungen) and implementation (Durchfhrung) of a divorce as such ie, the procedural mechanics and certain ancillary matters (Scheidungsfolgen) as are not dealt with in other provisions (eg, Article 15). By Article 17 EGBGB, the law governing a divorce is that which applies to the general effects of the relevant marriage at the time the divorce petition becomes legally pending. If divorce is not possible according to that law, but one of the spouses was German at the time of the marriage or is German at the time of the divorce, German law applies. This was unified in the states of the EEC by the Convention on the Law Applicable to Contractual Obligations (the Rome Convention) 1980. See the article by Mohrbutter in ZAP 18/90, Fach 2, p 59. In England, the Convention was implemented by the Contracts (Applicable Law) Act 1990. See Collier, Part III, Chapter 12. To be contrasted with international conventions relating to private international law, such as the Rome Convention and the Hague Convention on the Law Applicable to Maintenance Obligations of 2.10.1973, are those which seek to establish uniform substantive rules of law (Einheitsrecht) in particular fields, the intention being to try to avoid the need for reference to rules of private international law. One such convention is the UN Convention on Contracts for the International Sale of Goods of 11.4.1980 (CISG; the Vienna Convention). Regarding the Vienna Convention, see Dannemann, Part in 4; Zweigert and Ktz, Part II, Chapter 43 V. See also: Charlesworth, Part 4, Chapter 18. With the globalisation of commerce, international conventions will increasingly be concluded. They can have positive, practical benefits. However, it should not be forgotten that remote encroachments on domestic law usually only last so long as the political mood is favourable. Moreover, instead of simplifying international legal affairs for the majority of the population, the multitude of legal sources can have the opposite effect. See Preface to Second Edition; Chapter XXI. Article 27 EGBGB enacts Article 3 of the Rome Convention. For examples of factors which English courts sometimes consider as giving rise to an implied choice of law, see Collier, Part III, Chapter 12 (e) (ii). The counterpart of Article 27(iii) EGBGB is Article 3(iii) of the Rome Convention. Regarding the distinction between compulsory norms (= mandatory provisions) and dispositive norms, see Chapter IX B. See also Article 6 EGBGB (exception on grounds of public policy). Article 28 EGBGB enacts Article 4 of the Rome Convention. Collier (Part III, Chapter 12 (e) (vii) (a)) criticizes the need for this statutory presumption and its complexity. He points out that, in the past, the English courts have made use or other presumptions to determine the proper law of a contract, eg: the law of the place of contracting (lex loci contractus); the law of the place of performance (lex loci solutionis); and (in maritime contracts) the law of the flag. Preference is given to the law of the consumers usual residence. Article 29 EGBGB enacts Article 5 of the Rome Convention. Article 30 EGBGB enacts Article 6 of the Rome Convention. Article 32 EGBGB enacts Article 10 of the Rome Convention. The general rule regarding form in German private international law (Article ll(i) EGBGB) is that a legal transaction (Rechtsgeschft) Note: a Rechtsgeschft includes, but is wider than, a contract (Vertrag) is formally valid (formgltig), if it fulfills the formal requirements of the law, which applies to such a transaction (the so-called Geschftsform (business form)) ie, the applicable law, as determined by the German conflicts rules or the law of the place where the transaction is undertaken (the Ortsform (local form)). The rest of Article 11 EGBGB comprises special rules, which enact Article 9 of the Rome Convention. What amounts to a question of form, as opposed to one of the substance (Inhalt) of a Rechtsgeschft or of procedure (Verfahren), has to be established by way of characterisation (Qualifikation) on the basis of German law as the lexfori. Article 31 EGBGB enacts Article 8 of the Rome Convention. See the article by Michael Jefferson in the 1993 Student Law Review Yearbook (Cavendish), p 27. See Chapter XIII, Note 28; Thomas-Putzo, 29. B
12
13
14
15
16 17 18 19
20 21
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Notes
The question which law is applicable to locate the Erfllungsort is one for the private international law of the forum. See Creifelds under Zustndigkeitsvereinbarung; Thomas-Putzo, 38. The relevant custom must be known to the parties or be one, of which they must be deemed to be aware. A usage exists, if operators in the relevant branch of trade or commerce generally and regularly follow die same practice: see Transporti Castelletti v Hugo Trumpy, ECJ, reported in (1999) Gazette, 96 / 26, p 29. See also Chapter XXII, Note 74. Article 38 EGBGB is a protectionist clause of questionable validity: see Schlosshauer-Selbach, Part 2, Section 3 II 1. A In respect of torts with a foreign element, the applicable law is that of the place of commission of the tort (the lex loci delicti commissi/Tatort). A tort is regarded as committed (begangen) in either: the place at which the defendant acts (the Handlungsort); or the place at which the plaintiff suffers injury or damage (the Erfolgsort). This (unwritten) rule is reflected by Article 5 No 3 EuGV, whereby the court of the place at which the harmful event occurred has (special) jurisdiction where a tort is committed by a person domiciled in another member state of the European Union. The equivalent jurisdictional provision in the national (German) context is 32 ZPO. Before 30.5.1999, the rule was subject to the following exception: where the tort was committed abroad (ie, outside Germany) and both parties were Germans, having their usual residence (gewhnlicher Aufenthalt) in Germany, German law always applied: 1 Rechtsanwendungsverordnung of 7.12.1942. Since 1.6.1999 (under the Gesetz zum Internationalen Privatrecht fr auervertragliche Schuldverhltnisse), too, the law of die Tutort (Article 40 EGBGB) is ousted by the law of the joint habitual residence of the parties unless there is a significantly closer connection (wesentlich engere Verbindung) to the law of another state. See Grneberg, ZAP 13/00, Fach 9, p 567 (Section III). B The English position is, in effect, similar: Before the Private International Law (Miscellaneous Provisions) Act 1995, English law only applied to torts committed abroad (ie, outside England), if the conduct was actionable as a tort in England and the defendant was (civilly) liable to damages under the foreign law: so-called double actionability. However, if there was an English connection (nexus) between the parties prior to commission of the tort, the law of the place of commission (lex loci) could be ignored in favour of English law as the law of the forum (lex fori): Johnson v Coventry Churchill International Ltd ([1992] 3 All ER14)). Since the 1995 Act, the requirement of double actionability has been abolished, except for defamation claims (s 13). The general English rule now is that the applicable law is that of the country in which the events constituting the tort occur (s 11=the lex loci), but this can be displaced, if it is substantially more appropriate for the law of another country to be applied, due, for example, to (significant) factors relating to the parties (s 12). This new test clearly leaves room for interpretation, but it can safely be said that under both German and English law, the (normally applicable) lex loci will bow to the home law (Heimatrecht) of me parties, where it is the same for both of them. See Schlosshauer-Selbach, Part 2, Section 3 II 1; Collier, Part II Chapter 10 (e) (iii) and Part III, Chapter 13 (b). See ZAP-Aktuell No 16,25.8.1999, p 811; Grneberg, ZAP 13/00, Fach 9, p 567 (Section III). See the entries under Beweisaufnahme in Appendix A. The others are: rules of practical experience (Erfahrungsstze); customary law (Gewohnheitsrecht); norms/bye-laws laid down by autonomous (public) bodies (Statuten). See Chapter XIII, Note 98. Foreign law which does not include such public international law or European Union law as has been transformed into national law is treated not as a fact, but as a legal norm. The court has a duty to ascertain the applicable law and its content, proof of which can be obtained by way of an expert opinion (Gutachten). However, the parties are required to provide assistance (Mithilfe) to the court as far as they can. See Schellhammer (ZP) (3rd edn (1987)), Book 2, Part 6, Chapter 5. Regarding the application of foreign law by the German courts, see Geimer, Part 9.
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24 25
26 27 28
29
30 31
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CHAPTER XXI
1 Rechtshilfe refers to cooperation between courts (ie, judicial cooperation), whereas official (administrative) assistance between authorities (Behrden) is called Amtshilfe. Amtshtife is the wider term, although both are directed to the carrying out of official acts (Amtshandlungen). Thus, for example, within Germany: the authorities of the Bund and the Lnder have a constitutional duty to provide reciprocal Rechtshilfe and Amtshilfe: Article 35(i) GG; the courts are obliged to cooperate with each other in civil and criminal matters: 156 GVG; a request for Rechtshilfe from a superior (civil or criminal) court cannot be declined: 158(i) GVG; the enforcement of a sentence of imprisonment against an offender outside the area of a particular Landgericht can be sought from the local Staatsanwaltschaft: 162163 GVG; a (civil or criminal) court can carry out official activities outside its own area: 166 GVG; police officers can pursue and seize a fugitive in another Land: 167 GVG; in an emergency (Notfall), police and other forces can be brought in from outside a particular Land: Article 35(ii) and (iii) GG. Amtshilfe between German authorities is governed by 48 VwVfG. In particular, Amtshilfe is only supplementary assistance (ergnzende Hilfe) and is not meant to relieve the authority receiving the request of its own functions: 4 VwVfG. The requesting authority bears sole responsibility for the legality of the measure to be taken, whereas the recipient authority only has to carry it out: 7(ii) VwVfG. If the permissibility of the measure is queried, this must be assessed according to the law applicable to the requesting authority: 7(i) VwVfG. In relation to other member states of the European Union, the EG-Amtshilfegesetz of 19.12.1985 authorises exchange of tax information. The establishment of Europol in The Hague in 1999 will facilitate cooperation between European police forces. The Eurojust network will encourage liaison between national prosecuting authorities. With the expansion of the EU, a corresponding increase in cross-border Amtshilfe /sharing of data in other fields (eg, environmental matters) is likely. See Creifelds under Rechtshilfe and Amtshilfe; Chapter II, Note 2; Rosenberg/Schwab, Book I, Section 1, 21. See Chapter XXII C 6. See generally: Geimer; Schack. Of particular importance within the European Union is the EuGV (Brussels Convention) 1968, where the relevant provisions on recognition and enforcement of court decisions between the member states are contained in Title III (Articles 2549). See Notes 8, 10 and 13 in this Chapter. The recognition and enforcement of court decisions is also the subject-matter of numerous bilateral treaties (Sondervertrg) with non-member states and various (multilateral) Hague Conventions on particular areas of law (eg, that of 2.10.1973 on the Recognition and Enforcement of Maintenance Decisions see Chapter XIII, Note 171; not to be confused with the Hague Convention of the same date on the Law Applicable to Maintenance Obligations (see Chapter XX, Note 12) and that of 25.10.1980 concerning the International Kidnapping of Children (Kindesentfhrung)). In both England and Germany, the latter Convention was implemented in tandem with the Council of Europe Convention of 20.5.1980 regarding Recognition and Enforcement of Custody Decisions concerning Children (and the restoration of custody);in England, by the Child Abduction and Custody Act 1985; in Germany, by the Ausfhrungsgesetz of 5.4.1990. The central authority in Germany to which applications are to be made is the Generalbundesanwalt (General Federal Attorney) at the BGH (located in Bonn). Local jurisdiction lies with the relevant Familiengericht (family court). The scope and provisions of both Conventions are discussed by Collier, Part V, Chapter 20, p 338343. So the UN Convention on the Making of Maintenance Claims Abroad of 20.6.1956, which is supplemented in Germany by the Foreign Maintenance Law (Auslandsunterhaltsgesetz (AUG)) of 19.12.1986. Within the European Union, Article 65 EC Treaty refers to the smooth functioning of the internal market (das reibungslose Funkionieren des Binnenmarktes) as the justification for measures of judicial cooperation in cross-border civil matters (justitielle Zusammenarbeit in Zivilsachen mit grenzberschreitenden Bezzgen), which also includes the promotion of compatibility between the procedural (and conflict) rules of the various member states (Frderung der Vereinbarkeit der Verfahrensvoschriften). Common to all such treaties or conventions is that they are measures of public international law. Regarding their (growing) impact on English domestic law, see Collier, Part VII, Chapter 23 (c). The presiding judge must send an outgoing request (Ersuchen) to the competent (foreign) authority
2 3 4
6 7
334
Notes
(zustndige Behrde) or to the competent (German) federal envoy (diplomatic representative) in accordance with the Rechtshilfeordnung in Zivilsachen (ZRHO) of 19.10.1956 (reissued in 1976). However, with effect from 31.5.2001, service of judicial and non-judicial documents in civil or commercial matters in other member states of the EU is governed by EU Regulation 1348/2000, which requires a request for service to be made to central (transmitting) authorities (Zentralstellen) on a standard form in the (or a) language of the recipient state. In so far as it applies, EU Regulation 1348/2000 overrides the Hague Convention on the Service Abroad of Judicial and Extra-judicial Documents in Civil or Commercial Matters (Haager Zustellungsbereinkommen) of 15.11.1965. See ZAP-Aktuell, 19/00, p 1173. If a Klage (writ) is to be served abroad, the period for response (Einlassungsfrist) must be set by the judge, together with the (initial or main) hearing date (Termin): 274(iii) ZPO. See Chapter XIII, Note 144. The Hague Convention on the Taking of Evidence Abroad in Civil or Commercial Matters (Haager bereinkommen ber die Beweisaufnahme im Ausland) of 18.3.1970 takes precedence. Under the Convention, a request for legal assistance (Rechtshilfeersuchen) must be sent to a central authority (zentrale Behrde), which, in Germany, is usually the Ministry of Justice in the relevant Land. It must be in German or accompanied by a German translation. The request is then dealt with by the local Amtsgericht. See Chapter XIII, Note 171. See Notes 4, 7 and 9 in this Chapter. See also: Chapter XIII, Note 171. Bilateral and multilateral treaties and conventions are listed chronologically in an appendix to Schack. Of particular practical importance is the Law to Implement International Conventions on Recognition and Enforcement (Anerkennungs- und Vollstreckungsausfhrungsgesetz, AVAG) of 30.5.1988. AVAG applies, for example, whenever recognition or enforcement of a decision in a civil or commercial matter is sought under EuGV or where recognition or enforcement of a maintenance decision is sought under the Hague Convention of 2.10.1973. AVAG also extends the German default notice procedure (Mahnverfahren) to claims in foreign currency: 688(iii) ZPO, 34(i) AVAG. See Michael Johannes Schmidt in ZAP 24/95, Fach 14, p 195; Chapter XIII, Note 22. See generally Creif elds under Auslieferung. See Chapter VIIL Note 34. These are usually bilateral, but within Europe a multilateral European Convention on Extradition (of 13.12.1957) is in force. The Gesetz ber die Internationale Rechtshilfe in Strafsachen (Law concerning International Legal Cooperation in Criminal Matters) of 27.6.1994. In the United Kingdom, the principal statute is the Extradition Act 1989. In England, this is called the double criminality rule. See Creifelds under Auslnder 5 and Asylrecht und Asylverfahren; Andrick, ZAP, Fach 19, p 265.
8 9
10 11 12 13
14 15 16 17
18 19
CHAPTER XXII
1 2 3 4 5 See generally Baur, 2. See Article 98 GG; Jauernig (ZP), Book 1, Chapter 2 ( 8); Model/Creifelds/Lichtenberger, Part 3 A (209); Youngs (CL), Chapter 1, Part XVII See 1 DRiG. See 45a DRiG. See also Chapter XVII A (Note 4). See 44(i) DRiG. See also Chapter VIIIC (Note 36). Selection of judges must be governed by rules laid down in advance. Ad hoc selection is arbitrary (willkrlich) and unconstitutional. See ZAP-Kolumne 17/95, p 881. See 36 and 108 GVG. See 44(ii) and 45 DRiG. See 28(ii) DRiG.
6 7 8
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9 10 See 30 and 112 GVG. See also Creifelds under Ehrenamtliche Richter. A Referendar can be entrusted with the functions of an Amtsanwalt or, exceptionally, with those of a Staatsanwalt (in the latter case under supervision): 142 (iii) GVG. Together with reforms to German university education, it is planned to replace the State funding of the Referendarzeit by the self-regulation (Selbstregulierung) of practical training (Praxisausbildung). In particular, a reduction of theoretical learning at university and an attendant sacrifice of basic historical, philosophical and sociological subjects are intended to produce less academic jurists. However, whether in the long term this will improve the quality of training, rather than just save money, is questionable. See the following articles in the Frankfurter Allgemeine Zeitung (FAZ): Grundlage ist eine solide theoretische Ausbildung (Wolfgang Ernst; 2.11.1999); Amputierte (Michael Stolleis; 12.6.2001); Dr jur ing. (FH) Jrgen Kaube; 13.6.2001). See 5(i) and 9 DRiG. Lawyers from other EU (EEC) countries do not have the Befhigung zum Richteramt, even if they pass the Eignungsprfung. Moreover, passing the Eignungsprfung does not enable such lawyers to become a notary (Notar). See Chapter XXII D 3 and E (Note 119). A Rechtsanwat in spe, who has passed the second state examination, is entitled to carry the title Assessor. See 7 DRiG. See 3 DRiG. See 1013 DRiG. See Article 95(ii) GG; 1 Richterwahlgesetz. See Article 94(i) GG; 5 BVerfGG; Creifelds under Richterwahl. See also the comments above Article 93 GG in the Sourcebook, Chapter 2. See 25 DRiG and Article 97(i) GG. Withdrawal of appointment (Rcknahme der Ernennung) is also possible on certain grounds: 19 DRiG. See 30 DRiG. See 61 and 77 DRiG. Apart from a possible appeal (Rechtsmitte), as laid down in the relevant procedural code and the ultimate remedy of a constitutional complaint (Verfassungsbeschwerde) a person dissatisfied with the conduct of a judge or a particular decision can pursue the following remedies (Rechtsbehelfe): Ablehnungsgesuch (application for rejection) (eg, under 42ff ZPO); Dienstaufsichtsbeschwerde (supervisory complaint) pursuant to 26 DRiG and 14 of the Verordnung zur einheitlichen Regelung der Gerichtsverfassung (GVVO) of 20.3.1935; a so-called Unttigkeitsbeschwerde (complaint of inactivity), which some courts exceptionally allow; an informal request to the court to reconsider its decision (Gegenvorstellung), failing other remedies and provided damage (Schaden) due to the judgment can be shown, a claim for state liability (Staatshaftung), if, when passing judgment (bei dem Urteil), a judge neglects his official duty to such an extent that the infringement constitutes a crime: 839(ii), 1st sentence BGB (in conjunction with Article 34 GG). However, 839(ii), 2nd sentence BGB expressly excludes from state liability a refusal or delay by a judge in the exercise of his office, even if it is contrary to duty (pflichtwidrig). See Schneider, ZAP 9/94, Fach 13, p 279; ZAP 19/95, Fach 13, p 373; ZAP 18/96, Fach 13, p 447; ZAPJustizspiegel, 10/98, p 474. In ZAP-Justizspiegel 10/00, p 638, Schneider revisits the topic of wrongful conduct (Fehlverhalten) by judges. He draws attention to the theory of the core area (Kernbereich) of judges activities, which is occasionally relied on to counteract attempts to limit judicial independence (richterliche Unabhngigkeit), thereby eroding the possibility of a warning (Ermahnung) to a judge under 26(ii) DRiG to fulfill his judicial functions properly. According to Schneider, serious mistakes in the handling of cases by judges are the order of the day in Germany and the proposed law to reform the ZPO (Zivilzprozessreformgesetz) will merely worsen the situation (see ZAP-Kolumne 10/00, p 626). Due to resistance from practising lawyers and judges, however, the implementation of a ZPO reform has largely failed: see ZAP-Aktuell, 7/01, p 363. See Jauernig (ZP), Book 1, Chapter 2 ( 15); Model/Creifelds/Lichtenberger, Part 3 A (210); Creifelds under Rechtspfleger. See Chapter XIII D 8 (c)(vii). And the remuneration of a Rechtsanwalt under 19 BRAGO. See also Chapter XIII D1 (f) (v). Those marked with an * above.
11
12 13 14 15 16 17 18 19
20 21 22 23
336
Notes
24 25 26 See 1419b RPflG. See 4(ii) RPflG. See Article 13(ii) GG; 105(i) StPO. In the event of Gefahr im Verzug (danger in delay), searches of premises can (exceptionally) be ordered by other authorities, but not without prior notification to a judge. See Chapter XVII, Note 25; ZAP-Aktuell, 5/01, p 247; ZAP EN-Nr 184/2001. See 5(i) RPflG. Whilst a judge can effectively carry out a matter transferred to a Rechtspfleger, a judges matter undertaken by a Rechtspfleger contrary to the RPflG is invalid (see 8(i) and (iv) RPflG). See Chapter XIII, Note 141. To be distinguished is the so-called Vollstreckungserinnerung under 766 ZPO against a measure (Manahme) taken by a Rechtspfleger or judge in enforcement proceedings. This is decided upon by the judge. See ll(i) and (ii) RPflG. A decision by the judge to allow the Erinnerung can be (further) challenged by an immediate complaint (sofortige Beschwerde) under 793 ZPO: ll(iii) RPflG. See generally Youngs (CL), Chapter 3. See Article 95(i) GG; Baumann (ER), Part VI, 17II; Chapter E, Note 16. See Model/Creifelds/Lichtenberger, Part 3 B (215229). See Jauernig (ZP), Chapter 1, 3 IV; Chapter XIII, Note 32; the Grundbuchordnung (GBO) regarding land registration matters. See Creifelds under freiwillige Gerichtsbarkeit; Jauernig (ZP), Book I, Chapter 4, 27IV; cf 169 GVG. See 12 GVG. See 8 EGGVG. In criminal matters, the jurisdiction of the courts is, broadly, as follows: A single judge (Einzelrichter) at the district court (Amtsgericht) can deal with misdemeanours (Vergehen), which are pursued privately or for which a punishment not exceeding two years imprisonment is to be expected ( 25 GVG). Other misdemeanours and all felonies (Verbrechen) are handled by the Amtsgericht itself ( 24(i) GVG) sitting as a lay magistrates court (Schffengericht; 28 GVG) composed of a district court judge and two lay magistrates ( 29(i) GVG) unless: certain very serious felonies (usually involving death) are involved, in which case the regional court (Landgericht) sitting as a so-called Schwurgericht composed of three judges and two lay magistrates ( 76(i) GVG)-has jurisdiction at first instance ( 74(ii) GVG); particular matters involving state security or extremely serious crimes having constitutional implications are concerned, in which case jurisdiction is split between the Landgericht ( 74a GVG) and the upper regional court (Oberlandesgericht; 120 GVG); the punishment to be expected is imprisonment (Freiheitsstrafe) for more than four years or placement in a psychiatric hospital or in secure custody (Sicherungsverwahrung); due to the particular importance of the case, the state attorney (Staatsanwalt) lodges the indictment (Anklage) at the Landgericht. The maximum punishment, which can be imposed by a district court (Amtsgericht), is four years imprisonment. It has no power to order placement in a psychiatric hospital or in secure custody ( 24(ii) GVG). In the regional court (Landgericht), there are two main criminal divisions: the small criminal chamber (kleine Strafkammer), composed of a presiding judge and two lay magistrates; and the grand criminal chamber (grosse Strafkammer) composed of three judges and two lay magistrates ( 76(i) GVG). The Strafkammern at the Landgericht are competent to handle: felonies (Verbrechen) not falling within the jurisdiction of the district or upper regional courts ( 74(i), 1st sentence GVG); cases in which the punishment to be expected is imprisonment for more than four years or placement in a psychiatric hospital or in secure custody or in which, due to the particular importance of the case, the state attorney lodges the indictment at the Landgericht ( 74(i), 2nd sentence GVG); complaints (Beschwerden) against directions by a judge at first instance or against first instance decisions other than judgments ( 73(i) GVG);
27 28
29
30 31 32 33 34 35 36 37
337

appeals (Berufungen) against judgments at first instance ( 74(iii) GVG). A commercial criminal chamber (Wirtschaftsstrafkammer) at the Landgericht exists to deal with certain white-collar offences ( 74c GVG). See Creifelds under Schffengericht, Schwurgericht, Strafkammer and Wirtschaftsstrafsachen; Chapter XVII, Note 4. A further example is the (disciplinary) jurisdiction of the Anwaltsgerichte (lawyers courts). See Chapter XXIID 7, below. The European Court of Justice also appears to have the status of such a court see the comments under Article 101(ii) GG in the Sourcebook, Chapter 2. See 1 Arbeitsgerichtsgesetz (ArbGG); Article 95(i) GG; Youngs (CL), Chapter 3, Part X. See also: Chapter XVIII (Note 19) ante. See Article 96(i) and (iv)GG. See Youngs (CL), Chapter 3, Parts VII and IX. An OVG is sometimes known as a Verwaltungsgerichtshof (VGH). Regarding the VwGO, see Chapter XV A ante. See Model/Creifelds/Lichtenberger, Part 3 A (204). Rechtsprechung can also just mean case-law, the proper term for which is, however, Fallrecht. See Honsell, 2 III See Chapter XXII C 2. See Chapter XVII B. See Chapter XIII D 8. See Chapter XXIID and E. See Chapter XXII A. See Creifelds under Rechtspflege, Justiz, Justizverwaltung and Justizverwaltungsakte; Chapter XV, Note 2. The police is not a judicial authority when it acts in the warding-off of disturbances of, or threats to, public security or order (Gefahrenabwehr). See Chapter XVII, Note 33. See generally: Creifelds under Rechtsanwalt; Jauernig (ZP), Book 1, Chapter 2 ( 16); Model/Creifelds/ Lichtenberger, Part 3 A (211); the Lawyers Handbook, Parts E-J. See 2 BRAO. See 3(i) BRAO. For a critique of 13 BRAO as giving an antiquated professional image (Berufsbild) of the Rechtsanwalt, see the Lawyers Handbook, Part H I, Section II 1 (c). See 3(iii) BRAO. The EuRAG is (superficially) a welcome relief for EU lawyers from other member states, who seek to establish themselves as lawyers outside their state of origin (Herkunftsstaat). It is a faithful product of the current liberal regime. However, there are uncertainties in the detail and tricky bureacratic hurdles remain. See Clausnitzer, ZAP 24/00, Fach 25, p 97. See 5 BRAO. See 18(i) BRAO. This is the so-called localisation principle (Lokalisationsprinzip). It has become much disputed and has been abolished after the year 2000. See Note 73 in this Chapter. See 19(i) BRAO. Admission must be refused (ist zu versagen), if one of the (11) grounds listed in 7 BRAO exists. Admission can also subsequently be withdrawn or revoked on similar grounds under 14 BRAO. 7 Nos 16 BRAO deal with the applicants personality and character, 7 No 7 with his medical condition and 7 No 8 with the question of when (ie, under what circumstances) the exercise of a second occupation (Zweitberuf) is, exceptionally, incompatible with the profession of lawyer (unvereinbar mit dem Anwaltsberuf). 7 No 8 BRAO is an unclear provision and open to substantial interpretation. Each case of nebenberufliche Ttigkeit (extra-professional activity) must be considered on its particular facts. Relevant criteria include: The Funktionsfhigkeit der Rechtspflege (the smooth functioning of the administration of justice). This is paramount, although it must be balanced with the basic right of freedom to exercise ones profession (Berufsauszbungsfreiheit; Article 12 GG). A possible conflict of interests (Interessenkollision). Any risk of such a conflict must be distinct and real:
38
39 40 41 42 43 44 45 46 47 48 49 50 51
52 53 54
55 56
57 58
59
338
Notes
see BRAK-Mitteilungen 2/01, p 90. Whether the applicant retains the ability to exercise the profession (Ausbungsmglichkeit) to an appreciable extent and not just occasionally (in einem nennenswerten Umfang und jedenfalls mehr als gelegentlich). The question of the right of admission of public service employees (ie, their dependence on the state (Staatsnhe)) and of lawyers employed by private organisations (Syndikusanwlte) occasionally poses problems. Regarding the various grounds upon which admission can be refused (Versagungsgrnde) see the Lawyers Handbook, Part H I, Section II 3, 4, 6 and 7 (d). See 27(i) BRAO. See 25 BRAO. By judgment of the BVerfG dated 13.12.2000, the principle of exclusive (single) admission has been declared incompatible with Article 12(i) GG. The principle continues to apply for a transitional period until 30.6.2002, out lawyers admitted at an OLG can apply for simultaneous admission to the courts of first instance within its area already as from 1.1.2002. See 226 BRAO. This right of simultaneous admission extends to all Lnder as from 1.7.2002. See ZAP-Aktuell, 1 /01, p 2; Reinelt, ZAP 1/01, Fach 23, p 517. See 172(i) BRAO. See the Lawyers Handbook, Part E. See 44 BRAO. See 45 BRAO. The aim of 45 is the separation of a lawyers activity from other professions (Trennung von Rechtsanwaltsttigkeit und anderem Beruf). Thus, a Rechtsanwalt is prohibited from dealing with a matter later as a Rechtsanwalt, if he has previously dealt with it in another professional capacity (and vice versa), unless the professional activity has already ended: 45(i) No 4 and 45(ii) No 2 BRAO. Firms with offices in more than one place (berrtliche Sozietten) and multi-disciplinary practices will have to be particularly vigilant to comply with these restrictions. See the Lawyers Handbook, Part H I, Section III 4 (f). See 46 BRAO. Syndikusanwalt is also prevented from handling the same matter in another professional capacity. See 49(i) BRAO; Chapter XVII C. See 50(i) and (ii) BRAO. See also 17 BerufsO. See 51 BRAO. A Rechtsanwalt must account to his client (and/or the person liable for his fees) when the retainer ends, at the latest: 23 BerufsO. A Rechtsanwalt is forbidden from acting, if he/she has already advised or represented the other (opposing) party in the same legal matter (in der selben Rechtssache). Representation is understood in a wide sense and includes serving a party (dienen) by advice or support (Rat oder Beistand) of any kind. The prohibition also prevents a Rechtsanwalt from acting, if he has already been professionally involved (beruflich befat) with the same matter in another way (in sonstiger Weise): 3 BerufsO. Indeed, on 6.11.2000, the BGH held that, if there is a change of firm (Kanzleiwechsel) by an employed lawyer, whose name is shown on the firms notepaper, the new firm must lay down instructions in any matter in which the old firm acts for the other side, even if the relevant lawyer did not and does not handle the matter himself. See BRAK-Mitteilungen 2/01, p 82. Lawyers are currently making use of the very liberal regulatory environment to extend the limits of publicity all the time. Thus, for example, the courts have approved despatch of glossy brochures, publicity by way of sponsoring, stands at trade fairs and the invitation to an hotel for an information meeting. See ZAP EN-Nr 425/00,456/00,459/00 and 485/01. A Rechtsanwalt admitted at a particular Landgerichf is now entitled to appear (throughout Germany)
60 61
62
63 64 65 66
67 A 68 69 70
71
72
73
339

before the civil chamber of any other Landgerich and before all Familiengerichte (Family Courts; these are divisions of the Amtsgerichte: see 23b GVG). The new rule applies as from 1 January 2000 in the Lnder of former West Germany and will come into force in the new Lnder on 1st January 2005. For further details, see the articles by Jrn Loewer in BRAK-Mitteilungen 4/94, p 186 at p 192 and Wilhelm Feuerich in ZAP 20/94, Fach 23, p 183. On 5 December 1995, the Federal Constitutional Court decided that the extension of 78 ZPO to the new Lnder breaches Article 12(i) GG. The court ordered that, until 31 December 2004, it suffices, if a lawyer instructed in an Anwaltsproze in former East Germany is admitted at a Landsgericht or Amtsgericht in any one of the new Lnder. See ZAP EN-Nr 402/96. The codes are set out in BRAK-Mitteilungen 6/96, p 241252 and 3/99, p 123134. Regarding the Berufsordnung, see the article by Wolfgang Hartung in ZAP 1/98, Fach 23, p 311. Regarding the liability of a Rechtsanwalt when acting in conjunction with a foreign lawyer (ad hoc or continously) and the standard of care required when dealing with foreign law, see the articles by Oliver Sieg in ZAP 4/98, Fach 23, p 341 and ZAP 24/96, Fach 23, p 239. Being an independent contractor, a lawyer normally has no duty to advise on foreign law (cf private international law). However, a lawyer s liability to the client depends on the scope of the retainer (Anwaltsvertrag). Its interpretation can give rise to a (contractual) duty of supervision or even to a duty to check foreign law (Prfungspflicht; 157,242 BGB). The risk of a claim (under PVV and/or 278 BGB) can be reduced, if there is a separate contractual relationship between the client and the foreign lawyer. For an instructive recent English case, see Gregory v Shepherds, Ch D, reported in (1999), Gazette, 96/08, p 29 and (2000), Gazette 97/26, p 39 (CA). See also the judgment of the ECJ in MSG v Les Gravires Rhnanes, which is discussed in BRAK Mitteilungen 1/98, p 14. The case concerned Articles 5 No 1 and 17(i), 2nd sentence EuGV. The court held that, in accordance with Article 17(i), an agreement on jurisdiction (Gerichtsstandsvereinbarung) can be concluded between commercial parties on the basis of an (international) trade custom (Handelsbrauch), provided the agreement complies with the appropriate form. However, a mere fictitious agreement regarding the place of performance (Erfllungsortvereinbarung), the real purpose of which is purely to lay down a particular jurisdiction is not sufficient to establish jurisdiction under Article 5 No 1 EuGV. Such an agreement must comply with Article 17(i). The case shows how careful lawyers need to be when dealing with a matter involving an international element and when interpreting an international convention. It should not be automatically assumed that a rule of national customary law (here, the German rule regarding the kaufmnnisches Besttigungsschreiben) has been adopted internationally See Chapter X, Note 71; Chapter XX D 2. A Rechtsanwalt who acts as intermediary (Vermittler), arbitrator (Schiedsrichter) or mediator (Schlichter) is also subject to the Berufsordnung: 18 BerufsO. The Berufsordnung extends to all forms of professional cooperation: 30, 33 BerufsO. If the other side is legally represented, 13 BerufsO requires a Rechtsanwalt to notify the other sides lawyer in advance before obtaining a judgment in default. However, this provision has been declared unconstitutional. See BRAK-Mitteilungen 1 /00, p 36 and 5/00, p 210. The national Berufsordnung is of corresponding application to European lawyers and other (foreign) persons, who are members of a RAK and who carry out activities in Germany ( 34 BerufsO). Differences in the CCBE and the national rules can give rise to misunderstandings. Eg, English lawyers must be careful to clarify the position beforehand, if they wish communications with German lawyers to remain confidential or without prejudice or if they wish to exclude or limit their personal liability for fees (see Rules 53 and 5.7, CCBE Code). The German version of the CCBE Code is annexed to 29 BerufsO. See Creifelds under Berufsgeheimnis, Gebhrenberhebung and Parteiverrat. This is a mutual obligation: it requires that full information is given by die client and that proper questions are put by the Rechtsanwalt. See Borgmann, BRAK-Mitteilungen 2/01, p 72. See Rinsche, ZAP 7/97, Fach 23, p 249; Reinelt, ZAP 11/00, Fach 23, p 493. See also: Grams, BRAK-Mitteilungen 1/0l, p 28 and 2/01, p 76. See 60(i) BRAO. See 62(ii) BRAO.
74
75
76
77
78 79
80 81 82
340
Notes
83 84 85 See 63 and 78 BRAO. See 174 BRAO. See 175176 BRAO. The offices of BRAK are at Littenstrasse 9, D-10179 Berlin. The offices of the German Lawyers Association (Deutscher Anwaltverein (DAV)) are two doors away at Littenstrasse 11, D-10179 Berlin. See 179 and 187 BRAO. See generally: the Lawyers Handbook, Part H I, Section III 6; Feuerich, ZAP 20/94, Fach 23, at p 191; KleineCosack, ZAP 13/00, Fach 23, p 507. See 73(ii) and 74 BRAO. Within a month of the service of the notice of reprimand (Rgebescheid), a Rechtsanwalt can lodge objection (Einspruch) with the Vorstand of the RAK. If the Vorstand rejects the objection, the Rechtsanwalt can make a (private) application for decision to the Anwaltsgericht: 74a BRAO. On such an application, the decision of the Anwaltsgericht is final. The application is made in the form of an Anschuldigungsschrift (bill of accusation). Application for the initiation of proceedings can also be made to the Staatsanwalt by a Rechtsanwalt directly, in order to cleanse himself from the suspicion of a breach of duty: 123(i) BRAO. See 114 and 150 BRAO. See 7(i) BRAGO. See 8(i), 1st and 2nd sentences BRAGO and ll(i) and (ii) Gerichtskostengesetz (GKG). See 8(i), 3rd sentence and 8(ii) BRAGO and 18 KostO. See 31(i) BRAGO. See 118(i) BRAGO. If proceedings before a court or authority follow, the Geschftsgebhr is credited towards the Gebhren then due: 118(ii) BRAGO. For a survey of fees, which can be charged for auergerichtliche Ttigkeit in landlord/tenant matters, see the article by Heinz Hansens in ZAP 5/00, Fach 24, p 549 (Section I). This includes information to the client, the drafting, lodging or signing of pleadings (Schriftstze) or letters (Schreiben) and the drafting of documents (Urkunden). Such as: negotiations or discussions before a court or authority or with the other side or a third party; the drafting of a Gesellschaftsvertrag (company agreement/articles of association). If a Rechtsanwal is involved in the reaching of a settlement (Vergleich; for meaning see 779 BGB), he can (also) charge a Vergleichsgebhr. The Vergleichsgebhr amounts to fifteen-tenths of a Gebhr where no court proceedings are pending. See 23(i) BRAGO. See 114(i) BRAGO. See 119(i) and 119(ii) BRAGO. See 83108 and 116 BRAGO. A defence lawyer appointed by the court (Pflichtverteidiger) is usually entitled to a fee amounting to 4 times the minimum statutory scale figure for a privately selected attorney (Wahlverteidiger), but not more than half the possible maximum sum: 97(i) BRAGO. The fee is payable out of public funds, ie, from the state treasury (Staatskasse). If the matter is particularly extensive or complex, the lawyer can apply for lump sum remuneration (Pauschvergtung) going beyond the fee limit in 97 ( 99 BRAGO). See Burhoff, ZAP 14/01, Fach 24, p 625. See 49b (i) BRAO and 3(i) BRAGO. A Rechtsanwalt can conclude an oral or written fee agreement (Gebhren- or Honorarvereinbarung) with his client in any field of activity. The client remains liable to pay the Rechtsanwalt any difference over and above the statutory (BRAGO) rateit is not reimbursable (erstattungsfhig) from third parties. Regarding the various forms of fee agreement which are possible in practice, see Wagner, ZAP 7/99, Fach 24, p 459. See also: Chapter XIII, Note 55; Note 101 in this Chapter. See 49b(ii) BRAO. The usual rule is that German lawyers fees for (civil) court work or work preparatory thereto are fixed (fest) according to BRAGO and compensate the lawyer for the whole of his activity in the matter until its conclusion ( 13 BRAGO). One speaks of the statutory fees (gesetzliche Gebhren).
86 87 88
89
90 91 92 93 94 95
96 97
98 99 100
101
102
341

However, in principle, 3 BRAGO allows a fee agreement (Honorarvereinbarung) to be reached (eg, on the basis of an hourly rate (Stundensatz), a fixed fee (Pauschalvergtung) or an additional amount (Zusatzhonorar)). The relevant fee can be demanded by the lawyer, if the agreement is in writing and contained in a separate document. Otherwise (ie, if it is oral), it only binds the client, if the client has paid monies voluntarily and without reservation (freiwillig und ohne Vorbehalt). Instead, the lawyer and client can leave the fee to be set at the discretion of die RAK, but, whichever method is chosen, the fee can, by way of court action, be reduced to the statutory level, if it is unreasonably high (unangemessen hoch). On the other hand, a fee agreement, which is dependant (conditional) on the outcome or success of proceedings (vom Ausgang oder vom Erfolg abhngig) Erfolgshonorar or which provides for a proportion (percentage) of the amount in dispute quota litis to be due, is forbidden. This rule used to be contained in 52 of the (meantime defunct) Grundstze des anwaltlichen Standesrechts (Principles of Lawyers Professional Ethics/BRAK Directives (Richtlinien) of 21.7.1973). It has now been reissued in 49b (ii) BRAO. Any difference between a fee provided for in a fee agreement and the statutory level is not reimbursable (erstattungsfhig) from third parties ie, the client is left to pay it himself and can only recover his legal costs from the other side at the BRAGO rate, if he wins. Once a lawyer has become active in a matter and is then instructed to take further steps in the same matter, he receives no more fees than he would receive, if he had been instructed to do so from the start: 13(v) BRAGO. In other words, there can be no double-charging (Doppelhonorierung), nor may a lawyer conclude a fee agreement mid-way through a case started on a BRAGO basis; he is locked in (once BRAGO, always BRAGO). A lawyer, who has grounds to believe that his client might be in need of legal aid (Prozesskostenhilfe) must be particularly careful. Firstly, he has a duty to draw the possibility of PKH to the attention of the client: 16 BerufsO. Secondly, it is unethical for a lawyer, who has applied for PKH or who knows that his client wishes to seek it, to conclude a fee agreement with die client, even if it is before his appointment (Beiordnung). The undercutting of BRAGO fees (Gebhrenunterschreitung) is forbidden, except for out of court activity: 49b (i) BRAO, 3(v) BRAGO. See also 21(i) BerufsO. See Wagner, ZAP 7/99, Fach 24, p 459 (Section III). See 3(ii) BRAGO. See 19(i) BRAGO. See 13(i) and (ii) BRAGO. Fees are due in accordance with 16 BRAGO and can only be demanded following the delivery of a signed Berechnung (bill of costs): 18 BRAGO. For VAT (MwSt) and disbursements (Auslagen: postage, typing, travel expenses) see 2530 BRAGO. See ll(i), sentences 2 and 3 BRAGO. See 20(i) BRAGO. See 120(i) BRAGO. See 21 BRAGO. See 12(i) BRAGO. See 132 BRAGO. Application for an entitlement voucher (Berechtigungsschdn) must be made to the local Amtsgericht: 4 BerHG. A fee agreement between a Rechtsanwalt and a person seeking Beratungshilfe is void: 8(ii) BerHG. See 123 BRAGO and 114127a ZPO (Chapter XIII, Note 26 ante). See also Jauernig (ZP), Book 4, Chapter 17 (96). See BRAK-Mitteilungen 5/00, p 260. Although called a partner, a member of a Partnerschaftsgesellschaft basically has the status of a Gesellschafter within 705ff BGB. The Gesellschaftsoermgen therefore remains available as a safety net. Moreover, 735 BGB imposes a statutory obligation on members of a BGB-Gesellschaft to replenish the assets of a BGB-Gesellschaft, if they are insufficient to cover losses. However, this duty (Nachschupflicht) can be excluded in the company agreement Towards third parties, members of a civil law partnership are at the greatest risk of personal liability. Anv limitation is a matter of contract (eg, by way of the specific instruction of an individual partner (Einzelmandat)). The privileged position of members of a Partnerschaftsgesellschaft, who take no active part in a particular
103 104 105
106 107 108 109 110 111
112 113 114 115
342
Notes
matter which is accorded to them by 8(ii) Part GG is not justified. In truth, it makes a mockery of the basic principle of joint (personal) responsibility for partnership obligations, as codified in 8(i) Part GG. See Chapter XI, Note 51. (a) For further details, see the article by Dr Fritz Kempter in BRAK-Mitteilungen 3/1994, p 122. Regarding Haftungsbeschrnkung and Haftungskonzentration, see the article by Oliver Sieg and Katharina Holtmann in ZAP 9/99, Fach 23, p 387, Section V. (b) Lawyers can also now practise in the form of a limited company (GmbH). The BRAO has been amended to permit this with effect from 1.3.1999 ( 59c-m BRAO). The name of the company must include the word Rechtsanwaltsgesellschaft in its title and only persons professionally active in the company can be shareholders. Lawyers must hold the majority of the shares and must predominate in the management of the company. They must be free from influence by shareholders in the carrying out of their professional activities. The minimum professional liability insurance required is DM 5 million per incident and DM 20 million per year. Applications for registration must first be submitted to the Rechtsanwaltskammer. See Frank Johnigk, ZAP 20/98, Fach 23, p 375; Ralf Bring and Stefan Peitscher, ZAP 3/00, Fach 23, p 447. Legal practice in the form of a public limited company (Aktiengesellschaft (AG)) is only a matter of time. Indeed, the Supreme Regional Court of Bavaria (Bayrisches Oberstes Landgericht) has already reached a decision in favour of this. See ZAP-Aktuell, 12/00, p 768; Rmermann, ZAP, Fach 23, p 461. (c) For a useful rsum of the possible forms of cooperation/union (Zusammenschluss) between lawyers see Eberhard Assmann in ZAP 18/99, Fach 20, p 362 (Section II). See also: Mario Axmann in BRAKMitteilungen 4/2000, p 189. Note the difference between a Soziett or Anwalts-/Notargemeinschaft, which practises under a common firm name and is, in reality, a full civil law partnership (BGB-Gesellschaft) and the mere Brogemeinschaft, where lawyers share office facilities and overheads (internally) whilst remaining professionally independent insofar as the outside world is concerned. With regard to the liability of lawyers practising in the form of a Soziett, what is normally decisive is how the relevant lawyers appear/present themselves to the public (their Auftreten im Rechtsverkehr) rather than the internal organisation of the practice. See Sieg, ZAP, Fach 23, p 535, Section III, Part 6 (p 548); Grunewald, ZAP, Fach 23, p 551. See Model/Creifelds/Lichtenberger, Part 3 A (213) and Creifelds under Notar, Anwaltsnotar and Form 12 and 3. See 1 and 12 BNotO. See 4 BNotO. See 14 BNotO. Only persons, who are German citizens and have the Befhigung zum Richteramt, may be appointed: 5 BNotO. This is a fundamental barrier to full provision of legal services by lawyers from other EU countries. The chances of reform are slim. See Note 11 in this Chapter. See 8, 36 and 45 BeurkG and 25 BNotO. See also Chapter X, Note 256. See 2022 BNotO. See 19 BNotO. On the basic principles of notarial liability see the article by Franz-Josef Rinsche in ZAP 16/97, Fach 23, p 273. See 6591 BNotO. See Chapter XXII D 8 and 140157 KostO. See 437440 ZPO.
116
117 118 119 120
121 122 123
124 125 126
343
APPENDIX A
VOCABULARY: SELECTED GERMAN AND LATIN WORDS AND PHRASES (WITH THEIR ENGLISH/LEGAL MEANINGS)
Abnderungsklage writ claiming the adjustment/amendment of a judgment for payment of a regular sum (eg, maintenance). See Creifelds under Abnderungsklage and Chapter XIII C E (Note 15) (significant) aberration in a criminal act, ie, it goes seriously wrong; it excludes Vorsatz; cf Error in persona and Error in obiecto. See Chapter XVI C 3 (d) dispositive norms are abdingbar, ie, can be derogated (departed) from by agreement. See Creifelds under Abdingbar and Chapter IX B refuse, rubbish, waste. See Chapter VI Note 5 pay-off; one-off payment, (lump-sum) settlement, severance payment (on redundancy). See Creifelds under Abfindung and Abfindungsguthaben; Chapter X, Note 334; Chapter XI C 3 (b) (iv); Chapter XVIII B 3 the giving away of something, delivery; placement into circulation (of a Willenserklrung); casting (of a vote); levy, tax. See Chapter X B 2 (b) (Federal) Collection of Taxes Order. See Creifelds under Abgabenordnung; Chapter XIII D 8 (a); Chapter XIV B 1 to give something away, deliver; to place into circulation (eg, a Willenserklrung); to cast (a vote) to separate, demarcate separation, demarcation. See Chapter XIII D 2 (c) (iii) (Note 101) to go astray. See Chapter X D 3 (c) (iii) (bonafide acquisition of ownership to movables); Chapter XIX B; Chapter XIX, Note 40 remedial action, redress (eg, where a Behrde regards a Widerspruch against a VA as justified). See Creifelds under Abhilfe, Chapter X C 3 (g) Expos; Chapter XIII D 3 (c) and Chapter XV C (Note 9) from the beginning/start. Also von Anfang an. See Chapter X F 3 (c) (iv); Chapter XVIII, Note 7 issue, offspring, ie, (legitimate or illegitimate) children. See Chapter X F 3 (a) (i) to decline, refuse, object to, reject refusal (of), (motion of) objection, challenge (to). See Chapter XIII, Note 134; Chapter XXII, Note 19; Besorgnis der Befangenheit. Cf Aufsichtsbeschwerde see Tilgung prior warning (eg, before summary dismissal of an employee). See Chapter XVIII B
345
Aberratio ictus
Abdingbar
Abfall Abfindung
Abgabe
Abgabenordnung (AO) Abgeben Abgrenzen Abgrenzung Abhanden kommen
Abhilfe
Ab initio Abkmmling Ablehnen Ablehnung(sgesuch)
Ablsung Abmahnung
Abnahme Abnutzung Absatz Abschiebung Absduagszahlung Abschlu Abschlufreiheit Abschnitt
acceptance (of a Werk by the customer). See Chapter X, Note 125 G wear and tear. See Chapter X F 4 (e) marketing, sales. See Chapter XII, Note 42 (physical) removal (of a person on deportation). See Chapter XXI C payment on account. See 632a BGB conclusion (of a matter or contract). See Chapter X B 2 (e); Chapter XI C 2 (e); Chapter XVII, Note 38 G freedom to conclude a contract with whomever one pleases. See Chapter X, Note 23 section (part of statute). Cf Vorschrift: an individual provision in a statute, which incorporates the terms Paragraph () and Artikel (eg, in theGG) copy. Can be einfach (normal, simple) or beglaubigt (certified). See Chapter XIII D 1 (g) (ii) and D 2 (c) (i) and cf Ausfertigung to disregard (refrain from) eg, prosecution, imposing (nonimposition of) a Strafe. See Creifelds under Absehen von Strafe; Chapter XVI D; Chapter XVII, Note 40 (pure) intent. See Chapter XVI C 3 (c) deliberately absolute right. Cf Relatives Recht and see Chapter X B 1 4 to descend from descent (from), extraction. See Chapter X E; Chapter X F 3 (a) (i) vote, ballot; plebiscite. See Chapter II F (Note 20) and also Volksabstimmung abstract see Normkontrolle abstraction principle. See Chapter X C 2 2 and X D 2 (v) department. See Chapter XXII D 7 assignment. See Creifelds under Abtretung and cf Schuldbernahme. See also Chapter X C 3 (d) and (e) and Chapter X, Note 241 declaration of assignment. See Chapter X D 3 (h) balancing. See Creifelds under Abwgungsgebot; Chapter VIII, Notes 7, 10 and 20; Chapter X B 2 (e); Chapter XIV, Note 23 C; Chapter XVI, Notes 33 and 35 to shift onto (someone else). See Chapter X C 3 (g) Expos (c) warding-off, repulsion defensive counter-action. Also actio negatoria defensive right(s). See Chapter VIII A
346
Abschrift
Absehen von (Strafoerfolgung/Strafe) Absicht Absichtlich Absolutes Recht Abstammen Abstammung Abstimmung Abstrakt Abstrakte Normkontrolle Abstraktionsgrundsatz Abteilung Abtretung
Abtretungserklrung Abwgung
Abwlzen Abwehr Abweheklage Abwehrrecht(e)
Appendix A: Vocabulary
Abweichung Abweisen Abweisung Abwenden Abwicklungsverhltnis Abzahlungskauf
deviation, divergence (from). See Chapter X, Note 189 to dismiss, reject (an application or Klage) dismissal, rejection (of an application or Klage). See Chapter XIII, Note 107 to avert. See Chapter XVII, Note 38 C winding-up relationship. See Chapter X, Note 126 F instalment purchase. In English law, an instalment purchase can be either a credit sale agreement or a conditional sale agreement. See Chapter X D 2 (iv) act free in origin. See Chapter XVI C 3 (b) negatory action. See 1004 BGB theory of foreseeability (adequacy theory). It is the dominant theory of causation in civil law. See Chapter XVI C 1 (a) (Note 21) and cf quivalenztheorie addressee. See Chapter VIII A fairness; equity. See Chapter I (Note 6) file inspection of the file(s). See Chapter XIV B 3; Chapter XVII C; Chapter XXII D 5. Regarding the various rights of inspection in civil, criminal and administrative matters, see Creifelds under Akteneinsicht share (in an AG). See Chapter XII, Note 10; Chapter XIX B public limited company. See Gesellschaft and Vorstand Law relating to public limited companies. See Chapter XI A accessory relationship. See Creifelds under Akzessoriett I; Chapter X D 3 (h) (Note 280); Chapter XI B 3 all local matters. See Chapter VI sole ownership. See Chapter X, Note 231 general general terms, (standard) conditions of business; also Vertragsbedingungen . See Chapter X B 2 (d) and (e), Creifelds under Allgemeine Geschftsbedingungen and the AGBG general principles of law. See Chapter XVI, Note 4 general part. See Chapter X B General Civil Code (for Austria; 1811). See Chapter I (after Note 13) General Law for the Prussian States (1794). See Creifelds under Allgemeines Landrecht and Chapter I (after Note 13) general right of personality (privacy). See Chapter VIII, Note 20 B; Chapter X, Note 266 C
Actio libera in causa Actio negatoria Adquanztheorie
Adressat Aequitas Akte Akteneinsicht
Aktie Aktiengesellschaft (A.G.) Aktiengesetz (AktG) Akzessoriett Alle Angelegenheiten der rtlichen Gemeinschaft Alleineigentum Allgemein Allgemeine Geschftsbedingungen
Allgemeine Rechtsgrundstze Allgemeiner Teil (AT) Allgemeines Brgerliches Gesetzbuch (AGBGB) Allgemeines Landrecht fr die preuischen Staaten (ALR) Allgemeines Persnlichkeitsrecht
347
Allgemein verbindlich Allgemeinverfgung Alleinerbe Als eigene Angelegenheit Amt Amtlich Amtliche Verwahrung Amtsanwalt Amtsbetrieb Amtsenthebung Amtsgericht (AG) Amtshandlung Amtshilfe Amtspflicht Analog Analogie nderung nderungskndigung
of general effect; generally binding. See Chapter VII C, Note 13; Chapter XVIII, Note 52 (a VA giving a) general direction. See Chapter XIV C 1 sole heir. See Chapter X F 4 (a) as ones (its) own matter. See Chapter V B office (usually part of a Behrde), position. See Creifelds under Amt; Chapter II, Note 9 official (adj) official custody. See Chapter X F 3 (c) (ii) and 5 (e) district public prosecutor (at the AG). See Chapter XVII B conduct of a matter by the court (rather than by the parties: Parteibetrieb). See Chapter XIII C C; Chapter XIII D 1 (g) (ii) removal from office. See Chapter XXII A (Note 18) district court. See Creifelds under Amtsgericht; Chapter XIII D 2 (d) and Chapter XXII C 2 official act. See Chapter XXI, Note 1 official assistance (between Behrden). See Chapter XXI, Note 1. Cf Rechtshilfe official duty. See Chapter X, Note 224; Chapter XXII E analogously analogy. See Creifelds under Analogie; Chapter X, Notes 38 and 47 E; Chapter XVI A; entsprechende Anwendung variation, amendment. See Chapter X C 3 (g) Expos (d). See also Vernderung a Kndigung coupled with a proposed alteration in terms of employment or in a tenancy agreement (Mietvertrag). See Creifelds under nderungskundigung; Chapter X C 3 (g) Expos; Chapter XVIII, Note 11 indication, hint. See Chapter X F 3 (c) (iii) prior threat/warning (of a particular measure). See Chapter XIII, Note 190 acquisition of ownership to ownerless movables (appropriation). See Chapter X D 3 (c) (ii) acknowledgement (of a claim). See Chapter XIII D 2 (c) (iv) acknowledgement; recognition. See Chapter XXI A devolution of the estate (on the heir(s)). See Chapter X F 4 (a) initial suspicion (of the commission of an offence). Such a suspicion is necessary for the commencement of a criminal investigation (Ermittlungsverfahren). See Chapter XVII, Note 20 voidable, challengable; voidability, challengability See Chapter XIV C 3. See also Anfechtung to challenge, contest, impugn
348
Andeutung Androhung Aneignung Anerkenntnis Anerkennung Anfall der Erbschaft Anfangsverdacht
Anfechtbar(keit) Anfechten
Anfechtung
challenge, contestation. See Creifelds under Anfechtung von Willenserklrungen; Chapter X B 2 (b); Chapter X F 3 (c) (iv); Chapter X F 4 (f); Chapter X F 5 (a) (ii) ground for challenge. See Chapter X F 5 (a) (ii) writ of challenge (eg, against a VA). See Chapter X F 4 (f); Chapter XIV C 3; Chapter XV B and C; Creifelds under Verwaltungsstreitverfahren I (a) threatened. See Chapter XVIII H (Note 57) offer. See Chapter X B 2 (c) dependant (of a person). See Chapter X F 4 (g) (i) defendant, accused (after the opening of proceedings), person indicted. Cf Beschuldigter and see Chapter XVII E matter. See Chapter XIII, Note 96 fair; appropriate. See Chapter X, Note 126 F; Chapter XVI D; Chapter XVIII B 3 person charged. Cf Beschuldigter and see Chapter XVII E employee. See Arbeitnehmer means of attack and defence. See Chapter XIII D 2 (c) (vi) pending (before a court). See Chapter XIII D 2 (c) (i) and cf Rechtshngig clue, indication. See Chapter XIII, Note 67; Chapter XVI, Note 9; Chapter XVIIB hearing, listening. See Creifelds under Anhrung, Chapter XIII D 2 (c) (vi); Chapter XIV B 3; Chapter XV D. Cf Vernehmung see Anklageschrift prosecution authority. See Chapter XVII B principle that a public prosecution is necessary before a judicial investigation of an alleged crime can take place. See Chapter XVII A prosecution monopoly. See Chapter XVII B to prosecute, accuse; cf Beschuldigen and Vorwerfen (bill of) indictment. See Creifelds under Anklageschrift. See also Angeschuldigter, Angeklagter and Chapter XVII E connecting factor. See Chapter XX B investment fixed assets. See Creifelds under Anlagevermgen cause, reason, occasion, opportunity (for). See Chapter XVII D (government) bond, (gilt-edged) debenture stock. See Chapter XIX B to notify, report Also to announce or register (oneself or something). see Anzeigepflicht
349
Anfechtungsgrund Anfechtungsklage
Angedroht Angebot Angehriger Angeklagter Angelegenheit Angemessen Angeschuldigter Angestellter Angriffs-und Verteidigungsmittel Anhngig Anhaltspunkt Anhrung
Anklage Anklagebehrde Anklagegrundsatz
Anklagemonopol Anklagen Anklageschrift Anknpfungspunkt Anlage Anlagevermgen Anla Anleihe Anmelden Anmeldepflicht
Anmeldung Annhern Annahme Annahme als Kind Anordnung
notification, report. See Chapter XI C 3 (b) (i) to become dose (approximate) to. See Chapter XXII D 9 acceptance. See Chapter X B 2 (c); Chapter X F 5 (a) adoption. See Chapter X E and Creifelds under Adoption order (direction) eg, of a court during proceedings. See Chapter VIII B (Note 10); Chapter X D 2 (v); Chapter X F 3 (b); Chapter XIII D 1 (g) (i); Chapter XIV, Notes 23 and 33 adaptation. See Chapter X, Note 47 D to credit, set-off opinion, point of view. See Chapter I, Note 16 prima facie evidence. It can ease the burden of proof (Beweislasit). See Chapter X, Note 222; Chapter XIII, Note 10. Cf Indizienbeweis ostensible authority. See Chapter XIII, Note 57 connected (cross-) appeal. See Chapter XIII D 3 (a) to charge (in an indictment (Anklage)) blackening (of the name) of a business. See Chapter VIII, Note 20 G claim; right (to); cause of action. See Chapter X B 14 and B 4 Expos right to a proper (statutory) judge. See Creifelds under Gesetzlicher Richter and Chapter VIII C (Note 36) right to be heard; right to a proper hearing (in accordance with law), due process. Also audi alteram partem. See Creifelds under Rechtliches Gehr and Chapter VIII C (Note 36) (legal) basis (substantive ground) for an Anspruch. See Chapter X B 1 4 a norm containing an Anspruchsgrundlage. Cf Hilfsnorm (pre)condition for a claim, ie, a preliminary requirement for the applicability of a particular Anspruchsgrundlage. See Chapter X B 1 4 and 5; Chapter XIII, Note 97 institution. See Chapter II C; Chapter XIV, Note 14 decency, good manners. See Chapter X F 4 (g) (iv) to employ incitement, instigation. A person, who intentionally induces another to commit an offence, which that other then intentionally commits, is punishable as a perpetrator, ie, in the same way as the principal offender. See Creifelds under Anstiftung; 26 StGB. Cf Beihlfe, Mittterschaft part; share. See Chapter X F 4 (b); Chapter XI A 3 application (for), motion. See Chapter XIII D 2 (c) (iii) and (iv) (Note 107) offence requiring an application for prosecution. See Chapter XVII Note 9
350
Anpassung Anrechnen Anschauung Anscheinsbeweis
Anscheinsvollmacht Anschlussberufung Anschuldigen Anschwrzung Anspruch Anspruch auf einen gesetzlichen Richter Anspruch auf rechtliches Gehr
Anspruchsgrundlage Anspruchsnorm Ansprucksvoraussetzung
Anstalt Anstand Anstellen Anstiftung
Anteil Antrag Antragsdelikt
Antragsteller Antragsgegner Anwachsung Anwalt Anwaltsgericht Anwaltsproze Anwaltsvertrag Anwaltszwang Anwartschaft(srecht) Anweisung Anweisungsempfnger Anwendung Anwendungsbereich Anwesenheit(srecht) Anzahlung Anzeige Anzeigepflicht Apostille quivalenztheorie
applicant, petitioner. See Chapter XIII D 6 (b) 3 respondent. See Chapter XIII D 6 (b) 3 accretion. See Chapter X F 4 (c) see Rechtsanwalt lawyers court. See Creifelds under Ehrengerichtsbarkeit; Chapter XXII D 7 lawyers action. Cf Parteiproze. See Chapter XIIID 1 (f) (iv) contract with a lawyer, retainer. See Chapter X, Note 166; Chapter XXII, Note 74. See also Mandat compulsory instruction of lawyer. See Chapter XIII D 1 (f) (iv) and Chapter XXII, Note 73 (right of) expectancy. See Chapter X B 2 (d); Chapter X D 2 (iv); Chapter X Note 256; Chapter X F 4(e) documentary instruction; direction. See Chapter X C 3 (g) (Title 21); Chapter XIX, Note 36 recipient of an Anweisung, payee (practical) application. See Chapter X C 2 2 (Note 105) area of application presence, attendance; right to be present. See Chapter XVII C deposit (on a transaction). Cf Hinterkgung (criminal) complaint, information, notice, report; advertisement. See Strafanzeige duty of notification, duty to report. See Chapter X C 3 (g) Expos (c); Chapter XIX A 2 attestation/authenticity/legalisation clause equivalence theory (of causation); dominant in criminal, but not in civil law, where the theory of foreseeability (Adquanztheorie) applies. See Chapter XVI C 1 (a) work (manual) worker. See Arbeitnehmer employer. See Chapter XVIII A employer association, federation. See Chapter XVIII D employee; can be Arbeiter or Angestellter. See Chapter XVIII A terms of employment. See Chapter XVIII, Note 11 employment court. See Chapter XVIII B employment jurisdiction. See Creifelds Arbeitsgenchtsbarkeit and Chapter XXII C 3 under
Arbeit Arbeiter Arbeitgeber Arbeitgebervereinigung (-verband) Arbeitnehmer Arbeitsbedingungen Arbeitsgericht (ArbG) Arbeitsgerichtsbarkeit Arbeitsgerichtsgesetz (ArbGG) Arbeitskampf
Law relating to the Employment Courts. See Chapter XXII C 3 industrial action. Conducted in two main forms: Streik and Aussperrung. See Creifelds under Arbeitskampf and Chapter XVIII D (b) and G
351
Arbeitsplatz Arbeitsschutzrecht Arbeitssicherheitsgesetz (ASiG) Arbeitssttte Arbeitsstttenverordnung (ArbStttVO) Arbeitsunfhigkeit Arbeitsunfall Arbeitsverhltnis Arbeitsvertrag Arglist Arglistige Tuschung
workplace; job work protection law. See Creifelds under Arbeitsschutz and Chapter XVIII H Work Safety Law. See Chapter XVIII H work place. See Chapter XVIII H Work Places Order. See Chapter XVIII H incapacity for work. See Chapter XVIII, Note 13 accident at work. See Chapter XVIII H employment relationship. Also Dienstoerhltnis contract of employment. See Chapter XVIII A and B and also Dienstuertrag craftiness; fraud. See Arglistige Tuschung fraudulent deception, fraudulent misrepresentation. An arglistige Tuschung exists, if an Irrtum (error, mistake) is intentionally caused or upheld by a Vorspiegeln falscher Tatsachen (pretence of false facts); or a Verschweigen wahrer Tatsachen (concealment of true facts) and there is a duty to give the other party the necessary clarification (Aufklrungspflicht; 242 BGB). See Chapter X B 2 (b) (Nullity and challengability of a Willenserklrung); Chapter X, Notes 189 and 220. Cf Betrug
Argumentum e contrario Arrest
see Umkehrschlu summary means of securing the enforcement of a Geldforderung by seizure of assets. It can be personal. See Creifelds under Arrest, 916945 ZPO; Chapter XIII D 8 (c) (v) and D 8 (f). a Festnahme medical liability (negligence). See Chapter X, Note 222 B; Chapter XIII B 7 (Note 10 4); grober Behandlungsfehler contract (of medical treatment) with a doctor. See Chapter X, Note 166; Behandlungsvertrag right of asylum. See Creifelds under Asylrecht und Asylverfahren and Chapter VIII C (Article 16a GG) Law on Asylum Procedure. See Chapter XXI C authority, not die truth, makes law. See Chapter I (Note 10) see Anspruch auf rechtliches Gehr on orders. See Chapter XVI C 2 (b) (Note 34) at ones own risk for ones own account. See Chapter XI, Note 42 residence, stay. It can be vorber gehend (temporary), gewhnlich (habitual, usual) or dauernd (continuous, permanent). Cf Wohnsitz. See Chapter X B 12; Chapter XX C (Note 9) and Note 25 residence permit. Also Aufenthaltsgenehmigung
352
Arzthaftung Arztuertrag Asylrecht Asylverfahrensgesdz (AsylVfG) Auctoritas non ventes facit legem Audi alteram partem Auf Befehl Auf eigene Gefahr Auf eigene Rechnung Aufenfhalt
Aufenthaltserlaubnis
Aufenthaltsort Aufllig Auffangtatbestand Auffassung Auf freiem Fu Aufgabe Aufgebot Aufgrund Aufheben Aufhebung
place of residence, location. See Chapter XIIID 8 (d) and (e) conspicuous. See Chapter X, Note 58 B mopping-up provision. See Chapter X B 2 (e); Chapter X, Note 220 opinion at large/liberty (criminal law sense) function, job. See Chapter XVII D (Note 32) public notification of a claim. See Chapter XIII D 9 on the basis of, due to. See Chapter VIII B to repeal, quash, annul, terminate quashing, annulment; termination (eg, of a Gemeinschaft nach Bruchteilen). See Chapter X C 3 (g) (Title 15); Chapter X F 3 (c) (ii); Chapter XI A 3; Chapter XIII C H; Chapter XIII D 3 (b); Chapter XTV C 3; Chapter XV B; Chapter XVIII B annulment agreement. See Chapter X, Note 150; Chapter XVIII, Note 5 clarification; enlightenment. See Chapter I (Note 13); Chapter XIII B 2 (b); Chapter XIII D 2 (c) (vi) duty to clarify, duty of disclosure. See Chapter X, Note 135 B, Chapter XXII D 5 binding condition, direction, requirement (laid down by a person or Behrde); also edition (of book). See Chapter X F 4 (h); Chapter XIV, Note 23C conveyance (of a piece of land), ie, Einigung in the case of immovables. See Chapter X D 3 (c) (ii) (Note 256) and 925(i) BGB termination (dissolution) (of a company) eg, through Kndigung writ claiming Auflsung by court decision. See Chapter XI C 3 (b) (iv) set-off. See Chapter X B 4 and C 3 (c) (Title 3). See also Vorbehaltsurteil announcement of the matter (in court). See Chapter XIII D 2 (c) (vi) suspensive effect. See Chapter XIV C 3 supervision. See Chapter VI; Chapter X F 5 (b); Chapter XXII D 6. See also Staatsaufsicht complaint to the next higher (supervisory) Behrde (Dienstaufsichtsbeschwerde). It can relate to conduct of a Beamter or, indeed, of a judge. See Chapter XV A; Chapter XVII, Note 40 B; Chapter XXII, Note 19 duty of supervision. See Chapter X, Note 222 B supervisory board. It is a compulsory organ of an AG, Kommanditgesellschaft auf Aktien and Genossenschaft; in a
353
Aufhebungsvertrag Aufklrung Aufklrungspflicht Auflage
Auflassung
Auflsung Auflsungsklage Aufrechnung Aufruf der Sache Aufschiebende Wirkung Aufsicht Aufsichtsbeschwerde
Aufsichtspflicht Aufsichtsrat
GmbH it is voluntary, except when there are more than 500 employees. See Creifelds under Aufsichtsrat and Chapter XVIII F Aufteilen Auftrag to break up/down, split. See Chapter XIII, Note 96 (gratuitous) (contract of) instruction (without payment); assignment; brief; commission; job; mandate; order. See Creifelds under Auftrag, Geschftsbesorgungsvertrag and cf Vertretung; Chapter X, Note 166; Chapter X C 3 (g) (Title 10). See also Beauftragte . An Auftrag is usually the (internal) legal relationship underlying a Vollmacht. instructing person, mandatary, principal. In a non-technical sense, the equivalent of Kunde (customer). See Chapter XVIII, Note 2 (c). See also Mandant matters to be carried out on behalf of the mandatary. Also bertragene Aufgaben, See Creifelds under Auftragsangelegenheiten and Chapter VI confirmation (acceptance) of order. See Chapter X B 2 (c): Rules governing offer and acceptance (Note 71) lack of orders. See Chapter XVIII, Note 14 administration by a/the Land/Lnder on instruction by the Bund. See Chapter II C appearance, behaviour. See Chapter XIII, Note 57; Chapter XXII, Note 116 to expend (for), spend (on) expenditure, disbursement. See Chapter X C 3 (g) (Title 10) and Creifelds under Aufwendungen. Cf Verwendung (evidence by) inspection. See Beweis training, education. See Chapter VII C (Note 18); Chapter XXII, Note 10 express(ly) on significant grounds. See Chapter XIII D 1 (g) (iii) for (an) important reason. See Chapter XVIII B removal of citizenship (against ones will). It is forbidden by Article 16(i) GG. See Creifelds under Entlassung aus der Staatsangehrigkeit and Chapter VIIIC composition, division (among), split-up, severance, partitioning (between); argument. See Chapters X C 3 (g) (Title 14); Chapter X F 4 (b); Chapter XI C 3 (b) (iv) and (v) to draw up, issue (a document) drawing-up, issue; duplicate, (official) copy of an official document (eg, a court decision). It bears an official seal (Dienstsiegel) and replaces the original (Urschrift) for legal purposes. See Creifelds under Ausfertigung einer Urkunde; 47 and 49(i) BeurkG; Chapter XIII D 1 (g) (ii); Chapter XXII E. Cf Abschrift
Auftraggeber
Auftragsangelegenhetien
Auftragsbesttigung Auftragsmangel Auftragsverwaltung Auftreten Aufwenden Aufwendung Augenschein Ausbildung Ausdrcklich Aus erheblichen Grnden Aus wichtigem Grund Ausbrgerung
Auseinandersetzung
Ausfertigen Ausfertigung
354
Ausforschungsantrag Ausfhrung
application (for evidence) made only to fish for possible information. See Chapter XIII, Note 67 the administration, carrying out, execution, implementation (of); version. See Creifelds under Ausfhrung von Gesetzen and Chapters V B and VII A executing, implementing law. See Chapter II, Note 34; Chapter XIII, Note 171; Chapter XXI, Note 4 and Section B. to spend (money), issue (shares) to equalize, settle (a debt) claim to equalization, balancing claim. See Chapter XIII D 6 (b) 2 equalization (between heirs). See Chapter X F 4 (b) and (g) (iv) to negotiate. See Chapter X B 2 (e) hand-over, delivery (of). See Chapter XIX, Note 36 notice. See Chapter X B 2 (e) to erode. See Chapter X B 2 (e) (inner) erosion, hollowing out. See Chapter VIII, Note 13 information. See Creifelds under Auskunft, behrdliche; Chapter X, Note 215; Chapter X F 4 (g); Chapter XIII, Note 96; Chapter XIV B 3; Chapter XX, Note 11;Unterhalt disbursement(s). See Chapter XXII D 8 (d) (Note 104) abroad; foreign country. See Chapter XXI A. Cf Inland Law regarding Foreigners. See Chapter XXI C foreign law. See Chapter XX E Foreign Maintenance Law. See Chapter XXI, Note 5. to interpret (a meaning); to advance (money) interpretation (of a meaning). See Chapter X C 2 2 (Note 105); Chapter X F 3 (c)(iii) interpretation has priority over challenge. See Chapter X, at Note 45; Chapter X F 3(c) (iii) rule of interpretation/construction. See Chapter X B 2 (c) (Failure to reach an Einigung); Chapter X F 3 (c) (iii) extradition. See Creifelds under Auslieferung; Chapter VIII C (Article 16(ii) GG); Chapter XVI, Note 3 D; Chapter XXI C public offer of reward. See Creifelds under Auslobung and Chapter X C 3 (g) (Title 9) exception (special) approval by way of exception. See also Befreiung and Dispens exceptional case exceptional court (for a particular case). See Creifelds under Ausnahmegeridite and Sondergeridit and Chapter XXII C 3
Ausfhrungsgesetz Ausgeben Ausgleichen Ausgleichsforderung Ausgleichung Aushandeln Aushndigung Aushang Aushhlen Aushhlung Auskunft
Auslage(n) Ausland Auslndergesetz (AuslG) Auslndisches Recht Auslandsunterhaltsgesetz (AUG) Auslegen Auslegung Auslegung geht Anfechtung vor Auslegungsregel Auslieferung Auslobung Ausnahme Ausnahmebemlligung Ausnahmefall Ausnahmegericht
355
Ausnahmsweise Ausnutzen Ausnutzung Ausreichend Aussage
by way of exception, exceptionally. See Chapter VII C (Note 16) to abuse, exploit. See Chapter X, Notes 58 and 220. See also Mibrauchen exploitation. See Chapter X B 2 (e) sufficient(ly). See Chapter XVIII, Note 14 statement, declaration. In criminal proceedings, a suspect has no duty to make a statement (Aussagepflicht). Cf the position of a witness. See Creifelds under Aussagepflicht and Zeugnisvenveigerungsrecht. See also Erklrung right to refuse to make a statement. See Aussage; Chapter XVII, Note 38 D and H to leave; departure of member from a company. See Chapter XI C 3 (b) (iv); Chapter XXII D 9 disclaimer (of an inheritance). See Chapter X F 5 (a) period for disclaimer. See Chapter X F 5 (a) exclusively), sole(ly). See Creifelds under Ausschlieliche Gesetzgebung and Chapter II B exclusion. See Chapter X F 4 (f); Chapter XI C 3 (b) (iv); Chapter XXII D 7 committee; board. See Chapter III, Note 3 external audit (by a tax office). See Creifelds under Auenprfung external relationship. See Chapter XIII D 1 (f) (iv) (the term Vollmacht) external effect. Also Wirkung nach auen extrajudicial(ly). See Chapter XXII D 8 (b); Prozekosten extraordinar(il)y; summary. See Kndigung statement, remark, utterance. See Chapter VIII, Note 20 B; Chapter XIII, Note 3; Chapter XIII D 2 (c) (vi); Chapter XVI, Note 35. See also Bemerkung, Erklrung, Stellungnahme to suspend, stay (proceedings) suspension, stay (eg, of proceedings, of enforcement, of an arrest warrant). See Creifelds under Aussetzung eines Verfahrens; Chapter XIII D 1 (g) (i); Chapter XIV, Note 23 C; Chapter XVII, Note 26 C chance (prospect) of success. See Chapter XIII, Note 134 without prospect See Chapter XIIID 6 (b) 3 lock-out. See Arbeitskampf endowment, dowry. See Chapter X F 4 (b); Chapter XIII D 6 (b) 2 issuer, drawer (eg, of a bill of exchange). See Chapter XIX Note 36 and at Note 41 radiation effect (of basic rights on private law). See Chapter VIII, Note 7. See also Chapter I, Note 10.
356
Aussageverweigerungsrecht Ausscheiden Ausschlagung Ausschlagungsfrist Ausschlielich Ausschlieung Ausschu Auenprfung Auenverhltnis Auenwirkung Auergerichtlich Auerordentlich uerung
Aussetzen Aussetzung
Aussicht auf Erfolg Aussichtslos Aussperrung Ausstottung Aussteller Ausstrahlungswirkung
Ausben Ausbung Auswrtiges Amt Ausweis Ausweisung Auswirkung Auszahlung Auszubildender Bankgeschfte Bankrecht Bauantrag Baubetreuer Baugenehmigung Bauherr
to exercise. See Chapter XXII D 2 and Note 59 exercise (of). See Chapter XXII, Note 59 Foreign Office. See Chapter XIV A identity card/document, pass deportation. See Chapter XXI C effect (on), repercussion. See Zustimmungsgesetz payment out. See Chapter X C 3 (g) Expos (Darlehen) trainee. See Creifelds under Berufsbildung; Chapter XI C 2 (d); Chapter XVIII, Note 2 (a) banking business, transactions. See Chapter X, Note 211 law of banking. See Chapter XIX application for permission to build project manager, consultant. See Creifelds under Baubetreuung(svertrag) building consent, planning permission. See Chapter XIV C 5 the person, who commissions a particular building project, ie, the building owner, proprietor (for whom the work is undertaken) building law. See Chapter XIX A 3 building site property developer. Like a Makler, a Bautrger is subject to the Makler-und Bautrger Verordnung. See Creifelds under Baubetreuung(svertrag) and Makler building contractor Bavaria. See Chapter V A and Chapter XXII C 2 (at Note 36) liability of civil servants. See Chapter X, Note 224 civil servant officer. See Chapter XIV C 1 (Note 12); Chapter XVII, Note 22; Chapter XXII A person dealing with/handling/responsible for a matter to appoint, instruct a person instructed/charged with doing something; an envoy. See Chapter II, Note 11; Chapter X C 3 (g) (Title 10). A Beauftragter acts on the basis of an Auftrag and is thereby subject to comprehensive rights and obligations ( 662ff BGB). Cf a Vertreter (agent), who also usually acts on the basis of an Auftrag, but (additionally) in the name of the principal. (local) building plan. See Chapter XV A beneficiary. See Chapter X F 4 (h) reservation (regarding) importance, meaning conditional on; due to. See Chapter X D 2 (iv)
357
Baurecht Baustelle Bautrger
Bauunternehmer Bayern Beamtenhaftung Beamter Bearbeiter Beauftragen Beauftragte
Bebauungsplan Bedachte Bedenken Bedeutung Bedingt durch
Bedingung
condition (future uncertain event); can be aufschiebend (suspensive) or auflsend (resolutive). See Creifelds under Bedingung and Chapter X B 2 (d) (test of) need. See Chapter XXII E to hamper, impair impairment, interference. See Chapter VIII A; Chapter VIII, Note 20 C; Chapter X, Note 266 C; Chapter X F 3 (e) capacity (to hold an office or exercise a profession), qualification. See Chapter XXII A (Note 11) and Creifelds under Befhigung evidence of ability/capacity, certificate of qualification. See Chapter XIX A 2 bias, prejudice. See Besorgnis der Befangenheit order. See Chapter XVI C 2 (b) (Note 34) (a VA) requiring or forbidding particular action. See Chapter XVIII H (Note 56 B) carriage, transport(ation); promotion. See Chapter X B 2 (e); Chapter X, Note 166 exemption, release. See Chapter X C 3 (g) Expos (c); Dispens satisfaction. See Chapter X D 3 (h); Chapter X F 5 (b) limited to a particular period. See Kndigung authority, power. See Chapter II, Note 3 A crime by active conduct. See Chapter XVI C 1 (b) to certify certified copy. See Abschrift certification. See Chapter XXII E term, concept. conceptual jurisprudence. Cf Interessenjurisprudenz and see Chapter I (actually) well-founded(ness). Cf Zulssig(keit), Schlssig(keit) and see Chapter XIII D 2 (c) (iii) establishment (of); reasoning, reasons for duty of a court to give reasons for a decision. See Chapter XIII, Note 120 and Creifelds under Begrndung von Entscheidungen to favour favourable, advantageous. See Chapter XIV C 5 beneficiary See Arztvertrag allegation. See Chapter VIII, Note 20 E (the) burden of allegation (Darlegungslast). See Chapter XIII, Notes 10 and 67
358
Bedrfnis(prfung) Beeintrchtigen Beeintrchtigung Befhigung
Befhigungsnachweis Befangenheit Befehl Befehlend Beforderung Befreiung Befriedigung Befristet Befugnis Begehungsdelikt Beglaubigen Beglaubigte Abschrift Beglaubigung Begriff Begriffsjurisprudenz Begrndet(heit) Begrndung Begrndungszwang
Begnstigen Begnstigend Begnstigter Behandlungsvertrag Behauptung Behauptungslast
Beheben Beherrschen Behrde Beibringungsgrundsatz Beihilfe
to remedy, repair (a defect). Also Beseitigen, Nachbessern to dominate, control, command authority. See Chapter II C and Creifelds under Behrden see Verhandlungsgrundsatz aiding and abetting (the commission of an offence); participation as an accessory (Gehilfe). See Creifelds under Beihilfe; 27 StGB. Cf Anstiftung, Mittterschaft advisory committee, consultative council to fraudulently remove (something), ie, to place it aside with the intention of concealing it. See Chapter X F 3 (e) partys assistant; aid, support. See Chapter XIII D 1 (f) (iv); Chapter XVII, Note 28 contribution. See Chapter X F 4 (b), Chapter XI B 1 accession. See Chapter V A. See alsoSchuldbeitritt notification. See Chapter XIV C 3 and cf Bekanntmachung publication, announcement, notification. See Chapter XI C 2 (b) (Note 32). See also Verkndung, Verffentlichung and Creifelds under Bekanntmachung confession, creed. See Chapter VIII C (Article 4(i) GG) defendant. See Chapter XIII (at Note 107) to affirm, confirm, corroborate, endorse (a statement) affirmation (in lieu of oath). See 484 ZPO to burden, encumber; incriminate; debit. See Chapter X D 2 (v) burdensome, disadvantageous. See Chapter XIV C 5 incriminating witness. See Chapter XVII, Note 29 voucher, receipt to substantiate, verify (by means of documentation) to advise, instruct, caution advice, instruction, caution. See Chapter XXII E insult ( 185 StGB). It can consist of a Werturteil (valuejudgment, opinion) and be oral or written. See Creifelds under Beleidigung; Chapters VIII, (Note 20 D), XVI B (Note 13), XVI C 2 (b) (Note 35) and XVII (Note 9) loan, secondment See Chapter II, Note 11 (a) war of all against all. See Chapter I, Note 10 comment, remark. See Chapter VIII, Note 20 B notification. See Chapter XIII D 8 (c) (v) disadvantage, discrimination. See Chapter X B 2 (e); 611a-612a BGB to name to advise
Beihtife Beiseite schaffen Beistand Beitrag Beitritt Bekanntgabe Bekanntmachung
Bekenntnis Beklagter Bekrftigen Bekrftigung Belasten Belastend Belastungszeuge Beleg Belegen Belehren Belehrung Beleidigung
Beleihung Bellum omnium contra omnes Bemerkung Benachrichtigung Benachteiligung Benennen Beraten
359
Beratung Beratungshilfe Beratungshilfegesetz (BerHG) Berechtigter Berechtigung Berechtigungsschein Berichterstatter Berichtigung Beruf
consultation. See Chapter XXII D 8 assisted legal advice (support) (for less well-off persons). Cf Prozekostenhilfe Law relating to (the grant of) assisted legal advice. See Chapter XXII C 5 and D 8 person entitled; also Inhaber des Rechts (owner of the right). See Chapter X D 2 (v) and Verfgungsbefugnis entitlement. See Chapter XIX B (at Note 30). See also Inhaberschaft entitlement voucher. See Chapter XXII, Note 110 (court) rapporteur correction. See Chapter VIII, Note 20 E occupation, profession. See Creifelds under Beruf (freie Wahl und Ausbung); Chapter VIII C; Chapter XIX A; Chapter XXII D 2 exercise of a profession. See Chapter VII C (Note 18); Chapter XXII, Note 59 occupational cooperative. See Chapter XVIII H professional liability insurance. See Chapter XXII D 4 professional code. See Chapter XXII D 5 law concerning the regulation of professional conduct. See Chapter XXII D 5 professional duty. See Chapter X, Note 222 B; Chapter XXII D 5 professional judge. See Chapter XXII A professional class. See Chapter XI A occupational ban. See Creifelds under Berufsverbot and Rechtsamvalt IV; Chapter XXII D 7 (general) appeal. See Chapter XIII D 3 (a) appeal application. See Chapter XIIID 3 (a) particulars of appeal. See Chapter XIII D 3 (a) respondent. See Chapter XIII D 3 (a) time limit for lodging Berufungsschrift. See Chapter XIII D 3 (a) factual and/or evidential basis for a Berufung. See Chapter XIII D 3 (a) appellant. See Chapter XIII D 3 (a) notice of appeal. See Chapter XIII D 3 (a) appeal value, amount. See Chapter XIII D 3 (a) to damage. See Chapter X F 3 (e) official notice, decision, notification (from a Behrde). See Chapter XIV, Note 12; 113(iv) VwGO seizure (in the public law sense). See Chapter XVII B. See also Einziehung. Cf Arrest
360
Berufsausbung Berufsgenossenschaft Berufshaftpflichtversicherung Berufsordnung Berufsordnungsrecht Berufspflicht Berufsrichter Berufsstand Berufsverbot Berufung Berufungsantrag Berufungsbegrndung Berufungsbeklagter Berufungsfrist Berufungsgrund Berufungsklger Berufungsschrift Berufungssumme Beschdigen Bescheid Beschlagnahme
Beschlagnahmen Beschleunigung Beschlu
to seize, confiscate, impound acceleration. See Creifelds under Mndliche Verhandlung and Chapter XIII B 6 (company) resolution; (court) order, decision. See Creifelds under Beschlu, Beschluverfahreri; Chapter XI C 3 (b) (ii); Chapter XII D; Chapter XIII C D; Chapter XIII D 2 (c) (vi); Chapter XV D competent to reach a decision, pass a resolution, constituting a quorum to limit, restrict. limited personal servitude. See Chapter X D 3 (e) limitation, restriction. See Chapter XI, Note 25; Chapter XIII D 1 (f) (iv) (The term Vollmacht) to accuse, charge (with), incriminate. See Chapter XVII E; cf Anklagen and Vorwerfen suspect, person accused (of). See also Verdachtigter and Chapter XVII E. After an Anklageschrift is lodged: Angeschuldigter; after proceedings opened: Angeklagter grievance, gravamen. See Chapter XIII D 3 (a) complaint; can be einfache Beschwerde (simple complaint) or sofortige Beschwerde (immediate complaint). See Chapter XIII D 3 (c) and D 8 (b) (xi); Chapter XVII, Note 26 B complainant a person charged (to effect a disposition in a will). See Chapter X F 4 (h) to remove, dispose of, overturn. See Chapter XIII C E (Note 15). Also Beheben, Nachbessern disposal, removal, rectification. See Chapter VIII (Note 20 C); Chapter X, Note 189 C; Chapter X D 3 (c) (iv); Chapter X C 3 (g) Expos (c); Chapter XV C (at Note 15) occupation, composition, constitution (eg, of a court). See Chapter XIII, Note 136; Chapter XXII, Note 5 possession(s). See Chapter X D 2 (i) and cf Recht zum Besitz. See also Chapter X, Notes 248 and 266 constructive possession (arrangement). See Chapter X D 3 (c) (ii) and Sicherungsubereignung possession mediation relationship. See Chapter X, Note 257 see Gehalt special part. See Chapters X C 1 and XVI A apprehension/concern/ fear /risk of bias (prejudice). A judge or official of the business office of the court can be rejected for suspicion of bias (Besorgnis der Befangenheit), if a reason exists, suitable to justify mistrust against that persons impartiality: 42(ii) ZPO. The rejection
361
Beschlussfhig Beschrnken Beschrnkte persnliche Dienstbarkeit Beschrnkung Beschuldigen Beschuldigter
Beschwer Beschwerde
Beschwerdefhrer Beschwerte Beseitigen Beseitigung
Besetzung Besitz Besitzkonstitut Besitzmittlungsverhltnis Besoldung Besonderer Teil (BT) Besorgnis der Befangenheit
application/motion of challenge (Ablehnungsgesuch) must be substantiated ( 44(ii) ZPO). It can no longer be made once the party seeking the rejection has submitted to a hearing or has made applications ( 43 ZPO), unless the grounds arose or became known later ( 44(iv) ZPO). A district court judge sitting alone can grant the motion himself, if he considers it well founded. Otherwise the motion passes for decision to the Landgericht, or, in children or family matters, to the OLG ( 45(ii) ZPO). While the motion is pending, a judge can only undertake such procedural steps as are incapable of postponement (unaufschiebbar; 47 ZPO). See Chapter XIII, Note 136; Chapter XXII, Note 19. Besprechung Bestandskraft Bestandskrftig Bestandteil Besttigen Bestehen Bestellen Besteller Bestellung Bestimmbar Bestimmen Bestimmt discussion, meeting. See Chapter XXII D 8 (b) finally binding nature, legal force (authority) of a VA. See Chapter XIV C 4 and cf Rechtskraft possessing Bestandskraft. See Chapter XIV C 4 part (of a Sache); component. See Chapter X B 2 (e); Chapter X D 1; Creifelds under Bestandteil. Cf Zubehr to confirm. See Chapter X B 2 (c) (Rules governing offer and acceptance) (Note 71) to exist, existence; to pass (test); insist (on) to order person who orders something, client, customer. See Chapter X C 3 (g) (Title 7) order, appointment. See Chapter XVII C capable of specification, ascertainable. See Chapter X, Notes 65 and 237 to specify specific; definite(ly), certain(ly). See Chapter X B 2 (c) (Rules governing offer and acceptance); Chapter X, Note 237; Chapter XIII, Note 96; Chapter XIV C 2 principle that a matter must be defined as exactly as possible. See Spezialittsgrundsatz, Chapter X D 2 and Chapter XVIA provision, term; specification, setting (of). See Chapter X C 3 (b) (Title 1) to dispute (facts). See Chapter XIII D 2 (c) (iv) Narcotic Drugs Law. See Chapter XVII, Note 38 C person involved; participant. See Chapter XIII (Note 37), Chapter XIV B 3 and Creifelds under Beteiligter involvement, participation, shareholding), interest (in) private equity (finance) to engage in, run (a business). See Chapter XI A to look after, care for, attend to; to deal with, be in charge of
362
Bestimmtheitsgrundsatz
Bestimmung Bestreiten Betubungsmittelgesetz (BtMG) Beteiligter Beteiligung Beteiligungskapital Betreiben Betreuen
Betreuer Betreuung Betrieb Betriebsnderung Betriebsbedingt Betriebspartner Betriebsrat Betriebssicherheit Betriebsbergang Betriebsoereinbarung Betriebsverfassungsgesetz (BetrVG) Betrug
attendant, companion, guardian (of an adult). See Chapter X E (Section 3) care (and attendance), companionship. It replaced Entmndigung after 1.1.1992. See Chapter XIII A (Note 1) actual business unit (trading or manufacturing); workplace, office, firm. See Chapter XVIII C and cf Unternehmen change in a business. See Chapter XVIII B 4 due to circumstances in the Betrieb. See Chapter XVIII B business partner. See Chapter XVIII D works council. See Creifelds under Betriebsrat, Chapter XVIII C and cf Personalrat safety at the workplace. See Chapter XVIII H transfer of a business. See Creifelds Betriebsbergang; Chapter XVIII B 4 under
(written) business agreement (relating to a Betrieb). See Chapter XVIII D Law relating to the constitution of a Betrieb (1952 and 1972). See Chapter XVIIIC deceit, fraud. A person is punishable for Betrug under 263 StGB, if he intentionally (vorstzlich): causes or upholds another persons error/mistake (Irrtum); by means of deception (Tuschung); with the intention of obtaining an illegal pecuniary advantage (rechtswidrigen Vermgensvorteil) for himself or a third person (Bereicherungsabsichf); and thereby causes damage to the assets (Vermgen) of the person deceived or a third person in the form of a disposition over such assets (Vermgensverfgung). See Creifelds under Betrug; arglistige Tuschung; Chapter XVII, Note 38 C
Beugemittel Beurkunden Beurkundung Beurkundungsgesetz (BeurkG) Beurteilungsspielraum Bevollmchtigte beim Bund Bevollmchtigter Bevorzugung Bewhrung Bewhrungszeit
(officially imposed) coercive measure. See Chapter XIII, Note 190; Chapter XVIII, Note 56 A to document, authenticate, legalize. See Chapter XXII E documentation, authentication, legalization. See Chapter XXII E Law relating to Beurkundungen. See Chapter XXII E room for judgment. See Chapter XIV C 6 minister of a Land responsible for federal matters. See Chapter V B authorised person; attorney. See Chapter XIII D 1 (f) (iv) preference. See Chapter VIII C probation. See Chapter XVI D period of probation. See Chapter XVI D
363
Beweglich Bewegliche Sache Beweis
movable (adj), mobile. See Chapter X D 1 movable (noun). Old expression: Fahrnis. See Chapter X C 3 (g) Expos (a) evidence. It can be direct (unmittelbar) or indirect (mittelbar). See Baur/Grunsky, 14 A 1 2, Creifelds under Beweis and Indizienbeweis. See also Chapter XIII B 7 and Chapter XIII D 2 (b) (the) taking of evidence. Also referred to as Beweiserhebung. If immediate evidence is available, the Beweisaufnahme is ordered (angeordnet) informally. Otherwise, it requires a formal Beweisbeschlu ( 358 ZPO). See Jauernig (ZP), Book 2, Chapter 8, 51 and, in this text, Chapter XIII B 7 (Note 9), Chapter XIII D 2 (b) and Chapter XIII D 2 (c) (iii) (Note 99). Regarding the procedure in criminal proceedings, see 244257 StPO requiring (to be proved by) evidence (requirement). See Chapter XIII D 2 (c) (iii) (Note 97) (formal) order directing the taking of evidence (Beweisaufnahme). By 359 ZPO, it must indicate the Beweisthema, the Beweismittel and the Beweisfhrer see Anscheinsbeweis see Beweisaufnahme liable to supply proof. See Chapter XIII B 7 (Note 10) the party bringing evidence (beweisfhrende Partei) evidence fee. See Chapter XXII D 8 subject of evidence. Also Beweisthema evidential force/strength. See Chapter XXII E the burden of evidence (proof). See Chapter X, Note 126 I and J; Chapter XIII B 7 (Note 10) See Umkehr der Beweislast lack (failure) of proof. See Chapter XIII B 7 (Note 10) the means by which evidence can be brought; item of evidence. In civil proceedings, the ZPO lays down ( 371 455 ZPO) five different types of Beweismittel: Augenscheinsbeweis (visual evidence); Zeugenbeweis (witness evidence); Sachuerstndigenbeweis (expert evidence); Urkundenbeweis (documentary evidence); and Parteivemehmung (examination of a party). The Beweismittel can be introduced in accordance with the principle of Strengbeweis (strict evidence) into the part of the proceedings known as the Beweisverfahren. To be compared with the principle of Strengbeweis is the principle of Freibeweis (free evidence), where the court is not bound to particular Beweismittel.
364
Beweisaufnahme
Beweisbedrftig(keit) Beweisbeschlu
Beweis des ersten Anscheins Beweiserhebung Beweisfllig Beweisfhrer Beweisgebhr Beweisgegenstand Beweiskraft Beweislast Beweislastumkehr Beweislosigkeit Beweismittel
See Creifelds under Freibeweis and Jauernig (ZP), Book 2, Chapter 8, 49 III and 5156. In criminal proceedings, the suspect (Beschuldigter) can make a statement (Aussage), but is not a Beweismittel. See Roxin, Book I, Chapter 5, 25 Beweisregel Beweisstck Beweisthema Beweisverfahren rule of evidence. See Chapter XIII B 7 item of evidence. See Chapter XVII, Note 30 see Beweisgegenstand proceedings for the taking of evidence (by means of which a party introduces a particular Beweismittel into the proceedings). In civil proceedings, the Beweisverfahren commences with a Beweisantritt (Beweisangebot), also referred to as a Beweisantrag (application to present evidence). A Beweisantrag can only exceptionally be refused: see Baur/Grunsky, 14 A III 3; 86(ii) VwGO. Regarding the treatment of such an application in criminal proceedings see Creifelds under Beweisantrag im Strafproze assessment of evidence. See Chapter XIII B 7 evaluation. See Chapter XIV, Note 33 allowance, approval, consent, licence. See Chapter XIV C 6; Chapter XXI C the effecting of. See Chapter X C 3 (Note 114); Chapter XIII D 1 (f) (i) conscious. See Chapter XVI C 3 (c) disturbance of consciousness. See Chapter X F 3 (c) (i) to state in figures. See Chapter XIII, Note 96 area, district. See Chapter V B reference (to) (documents). See Chapter XIII, Note 64 drawing right (to new shares) (of a shareholder in an AG). See Creifelds under Bezugsrecht education (system). See Chapter II, Note 7; Chapter VI, Note 5 cheap(ness); equitable, fair; equity, fairness. See Chapter X, Notes 58 A and 227 (b); Chapter XXII D 8 (e). See also Unbillig to bind. Cf Beschrnken and Knebeln binding, tie. See Chapter II F; Chapter X F 3 (e); Chapter XIII C G; Chapter XIV (Note 34) no action lies twice in the same matter. See Chapter XIII C E (Note 15). In criminal law: Ne bis in idem blood sample. See Chapter XVII, Note 24 credit-rating, credit-worthiness floatation (on the Stock Market)
Beweiswrdigung Bewertung Bewilligung Bewirkung Bewut Bewusstseinsstrung Beziffern Bezirk Bezugnahme (auf) Bezugsrecht Bildung(swesen) Billig(keit)
Binden Bindung Bis de eadem re ne sit actio Blutprobe Bonitt Brsengang
365
Brsennotierung Bsglubig(keit) Brandstiftung Briefgrundschuld Briefhypothek Bruchteil Buch Buchhypothek Bund Bundesamt fr Bundesamt fr Verfassungsschutz Bundesanstalt fr Bundesanstalt fr Arbeit Bundesanwalt Bundesarbeitsgericht (BAG) Bundesaufsichtsamt fr das Kreditwesen Bundesbahn
Stock Market listing, quotation (in) bad faith. See Chapter X D 3 (c) (iii) (bona fide acquisition of ownership to movables); Creifelds under Bser Glaube arson. See Chapter XVII, Note 38 C certificated land charge a mortgage, for which a mortgage certificate (Hypothekenbrief) has been issued fraction, part. See Chapter X F 4 (c) Book (of a law). See eg, Chapter X A a mortgage, which takes the form of an entry in the Land Register. See Chapter X D 3 (h). Cf Briefttypothek confederacy, federation, league. See Bundesrepublik Federal Office for/ofSee Bundesoberbehrde Federal Office of Constitutional Protection; in Cologne. See Chapter XVII D (Note 32) Federal Institute for/ofSee Bundesoberbehorde; Chapter IV Federal Institute of Employment (in Nrnberg). See Chapter II C (Note 11); Chapter IV (Note 2) federal prosecutor (at the BGH). See Chapter XVII B Federal Employment Court. See Chapter XXII C 3. The address of the court is: Hugo-Preu-Platz 1, 99084 Erfurt. Federal Supervisory Office for the Credit System; in Berlin. See Chapter IV, Note 2 Federal Railway(s). Since 1.1.1994 a public limited company: Deutsche Bahn AG . See Creifelds under Bundesbahn and Deutsche Bahn AG; Chapter II, Note 15; Chapter XIV A Federal Railway Directorate. See Chapter IV Federal Bank (in Frankfurt am Main). Its activities will be phased out in the course of the establishment of the European Central Bank. See Chapter II, Note 11; Chapter IV, Note 2 (middle) federal authority eg, Direktion. See Chapter IV (own) administration by the Bund. See Chapter II C; Chapter IV; Chapter XIVA Federal Finance (Tax) Court. See Chapter XXII C 4. The address of the court is: Ismaninger Strae 109, 81675 Mnchen federal territory. See Chapter II F (Note 20); Chapter IV Federal Lawyers Fee Order. See Chapter XXII D 8 Federal Supreme Court. See Chapter XXII C 2. The address of the court is: Herrenstrae 45a, 76133 Karlsruhe
366
Bundesbahndirektion Bundesbank
Bundesbehrde Bundeseigene Verwaltung Bundesfinanzhof (BFH)
Bundesgebiet Bundesgebhrenordnung fr Rechtsanwlte (BRAGO) Bundesgerichtshof (BGH)
Bundesgesetz Bundesgrenzschutz (BGS) Bundeskanzler Bundeskanzleramt Bundeskartellamt Bundeskriminalamt (BKA) Bundesminister Bundesministerium Bundesnachrichtendienst (BND)
federal statute. Cf Landesgesetz Federal Border Guard. See Chapter XVII D Federal Chancellor. See Chapter in Federal Chancellors Office; Chancellery; in Berlin. See Chapter IV Federal Cartel Office; in Bonn. See Chapter IV, Note 2; Chapter XIX A Federal Office of Criminal Investigation; in Wiesbaden. See Chapter XIV A; Chapter XVII D (Note 32) federal ministers). See Chapter III federal ministry. See Chapter IV; Chapter XIV A Federal Intelligence Service. It is responsible for the collection of information and data (Nachnchtenbeschaffung/ Datenerhebung) regarding foreign countries. It is an upper federal authority (Bundesoberbehrde) under the control of the Federal Chancellors Office (Bundeskanzleramt). See Creifelds under Bundesnachrichtendienst . See also Datenerhebung Federal Notaries Order. See Chapter XXII E upper federal authority. See Chapter IV; Bundesamt fr, Bundesanstalt fr Federal Post Office. (Now a public limited company: Deutsche Post AG). See Chapter E, Note 15; Chapter XIV A Federal President See Chapter III Federal Presidential Office; in Berlin. See Chapter IV Federal Council. See Chapter III (Note 3) Federal Accounts Court; in Bonn. See Chapter IV federal law takes precedence (lit. breaks) the law of a Land (Article 31 GG). See Chapters E B, VIII A and XIV A Federal Lawyers Chamber. It issues a magazine (the BRAK Mittettungen) containing professional information, which is sent quarterly to members of the (regional) Rechtsanwaltskammern. See also Chapter XXII D 6 Federal Lawyers Order. See Chapter XXII D 1 Federal Government. See Chapter III Federal Republic (of Germany). See Chapter II A judge of one of the supreme federal courts (see Article 95 GG) Federal Social (Security) Court. See Chapter XXII C 4. The address of the court is: Graf-Bernadotte-Platz 5, 34119 Kassel. federal state. See Chapter II A Federal Parliament. See Chapter III (duty of) federal loyalty. See Chapter II, Note 2
Bundesnotarordnung (BNotO) Bundesoberbehorde Bundespost Bundesprsident Bundesprsidialamt Bundesrat Bundesrechnungshof Bundesrecht bricht Landesrecht Bundesrechtsanuxiltskammer (BRAK)
Bundesrechtsanwaltsordnung (BRAO) Bundesregierung Bundesrepublik (Deutschland) Bundesrichter Bundessozialgericht (BSG) Bundesstaat Bundestag Bundestreue
367
Bundesunterbehrde Bundesverfassungsgericht Bundesverfassungsgerichtsgesetz (BVerfGG) Bundesversammlung Bundesversicherungsanstalt fr Angestellte (BfA) Bundesverwaltungsgericht (BVerwG) Bundeswehr Bundeswehrverwaltung Bundeszentralregister
(lower) federal authority. See Chapter IV Federal Constitutional Court. See Chapter in and Chapter VII C Law relating to the Federal Constitutional Court. See Chapter in and Chapter VII C Federal Assembly. See Chapter III Federal Institute of Insurance for Employees. See Chapter XVIII, Note 2 Federal Administrative Court. See Chapter XXII C 4. The address of the court is: Haidenbergstrae 31, 10623 Berlin (Federal) Defence Service. See Chapter XIV, Note 1 federal military administration. See Chapter XIV A Central Federal Register. It is kept by the General Federal Prosecutor (Generalbundesanwalt) and contains details of final criminal convictions and certain administrative decisions. It is located in Bonn. Information from the register can be supplied in the form of a certificate of conduct (Fhrungszeugnis) on personal application coercion by the Bund. See Chapter II, Note 2 and Chapter VII, Note 2 guarantor. See Chapter X C 3 (g) (Title 18) Civil Code. See Chapter X civil law. See Chapter IX A Mayor. See also Oberbrgermeister contract of surety, guaranty. See Creifelds under Brgschaft; Chapter X C 3 (g) (Title 18) and Expos. Cf Garantievertrag. See also Selbstschuldnerische Brgschaft declaration of surety. See Chapter X, Note 177 notice of (a) fine. See Geldbue fine proceedings. See Chapter XVI, Note 9 let the buyer beware. See Chapter X, Note 185 see gesetzlicher Forderngsubergang equality of opportunity. See Chapter VIII, Note 22 an (implied) clause to the effect that matters are to remain as they are. See Geschftsgrundlage . See also SeidlHohenveldern, Part II, Chapter 2, 22 an essential condition (for); lit a condition without which (the result is) not (possible). See cfuivalenztheone see Besitzkonstitut a principle of interpretation to the effect that a standard business term, which is unclear, is to be construed narrowly against the person relying on it See Chapter X B 2 (e) body (collection) of civil law. See Chapter I
Bundeszwang Brge Brgerliches Gesetzbuch Brgerliches Recht Brgermeister Brgschaft
Brgschaftserklarung Bugeldbescheid Bugeldverfahren Caveat emptor Cessio legis Chancengleichheit Clausula rebus sic stantibus
Conditio sine qua non Constitutum possessorium Contra proferentem
Corpus iuris civilis
368
Culpa in contrahendo (cic)
Da mihi factun, dabo tibi ius Darlegung Darkgungslast Darlehen Darlehensgeber Darlehensnehmer Darstellung Daseinsvorsorge Daten Datenerhebung
Datenschutz Dauer Dauerschuldverhltnis
Deckungsverhltnis
Delikt Deliktsfhigkeit
fault/blame during (in the course of (preliminary)) negotiations. It is an (unwritten) principle developed outside the BGB and provides a remedy for fault up to the time of conclusion of a contract. Also called Verschulden bei Vertragsschlu. See Chapter X B 1 4 (Note 18) and Chapter X C 3 (a) (Note 126 D) and (b) (Note 135) see Verhandlungsgrundsatz exposition, statement, submission see Behauptungslast loan. See Creifelds under Darlehen; Chapter X C 3 (g) (Title 5) and Expos; Chapter X, Note 235 lender. See Chapter X C 3 (g) Expos borrower. See Chapter X C 3 (g) Expos presentation, version (of facts). See Chapter XIII, Note 67 (future) welfare provision (for members of the public). See Leistungsverwaltung data; factual information. See Chapter XVII, Note 25 collection of data. See Bundesnachrichtendienst. Collection and processing of data is also the domain of the police see Creifelds under Datenerhebung und-verarbeitung data protection. See Chapter XVII, Note 25 duration. See Chapter XIX A 2 continuing/ongoing obligation. See Chapter X Note 127; Chapter X C 3 (g) Expos (f); Chapter XI, Note 42; Chapter XVIII, Notes 6 and 7 primary (covering) relationship. See Creifelds under Deckungsverhltnis and cf Valutaverhltnis, See also Anweisung delict (civil or criminal). See Creifelds under Delikt capacity to commit a delict. See Creifelds under Deliktsfhigkeit and, for the position in criminal law, Chapter XVI C 3 (b) (claim) on the basic question, issue (of liability). See Zwischenurteil the law does not bother itself with trifling matter. See Unerheblich shortly, soon. See Chapter XIII D 1 (g) (ii) see Einlagengeschaft a transaction of custody of securities by a bank. See Chapter X, Note 211 German Confederation. See Chapter I (Note 7) German Judges Law. See Chapter XXII A theft. Where there are no aggravating circumstances, the possible punishment is a sentence of up to five years imprisonment or a fine: 242 StGB. Cf Unterschlagung. See also Chapter XVII, Note 38 C
369
Dem Grunde nach De minimis (non curat lex) Demnchst Depositengeschft Depotgeschft Deutscher Bund Deutsches Richtergesetz (DRiG) Diebstahl
Dienen Dienstaufsicht Dienstaufsichtsbeschwerde Dienstbarkeit Dienstberechtigter Dienstherr Dienstleistung Dienstleistungsunternehmen Dienstsiegel Dienstvertrag
to serve. See Chapter XXII, Note 71 (official) supervision of conduct during service. See Chapter XXII C 6 see Aufsichtsbeschwerde servitude. See Chapter X D 3 (e) person entitled to (the) services. See Chapter XVIII H master. Also Dienstberechtigter. See Chapter X, Note 224 service, provision/supply of a service. See Chapter X, Note 166; Chapter XI, Note 42 service enterprise/industry. See Chapter XI, Note 31 official seal. See Ausfertigung contract of service. Cf Werkvertrag (contract for services), Arbeitsvertrag (contract of employment) and see Chapter X C 3 (g) (Title 6) and Chapter XVIII H see Sorgfalt in eigenen Angelegenheiten real claim. See Chapter X D 3 (c) (iv) real right, right in rem. See Chapter X D 2; Chapter X D 3 (h) real VA. See Chapter XIV C 1 directorate. See Bundesbehrde (employers) right of direction. See Creifelds under Direktionsrecht; Chapter XVIII, Note 11 dispensation. See Chapter XIV C 6 and also Ausnahmebewilligung and Befreiung arrangement, disposition. See Chapter X, Note 135 B principle that the parties are masters of the proceedings; also Verfgungsgrundsatz. See Chapter XIII B 3; Chapter XV D dispositive. See Chapter IX B see Einigungsmangel interpreter. See Chapter VIII, Note 18 direct intent. See Chapter XVI C 3 (c) eventual intent. See Chapter XVI C 3 (c) see Eigentum double (dual) function. See Chapter V B and Creifelds under Doppelfunktion von Verwaltungsbehrden. See also Chapter XVII (Note 33) I give, so that you give. See Chapter X Note 106 bonus. See Chapter X C 3 (b) (Title 4) high (urgent) suspicion that the suspect committed the offence. See Chapter XVII D (Note 38 A) urgent. See Chapter X F 5 (a) (i) third party. See, for example, Chapter X C 3 (a) and (b)
370
Diligentia quam in suis Dinglicher Anspruch Dingliches Recht Dinglicher Verwaltungsakt Direktion Direktionsrecht Dispens Disposition Dispositionsgrundsatz
Dispositiv Dissens Dolmetscher Dolus directus Dolus eventualis Dominium Doppelfunktion
Do ut des Draufgabe Dringender Tatverdacht Dringlich Dritter
Drittorganschaft Drittschuldner Drittsicherung Drittwirkung Drohung
(principle of the) direction (of a company) by a third party. See Chapter XI A third party debtor. See Chapter XIII D 8 (c) (v) (grant of) security by a third party. See Chapter X D 3 (h) effectiveness in third party relations; effect on third parties. See Chapter VIII A threat. See Chapter X B 2 (b) (Nullity and challengability of a Willenserklrung); Chapter X, Note 58 C; Chapter X F 3 (c (iv) (type of) print, printed publication. See Chapter VIII, Note 20 E to allow, suffer to happen; can also mean sufferance (noun). See Chapter XIII D 2 (c) (ii); Chapter XIII D 8 (d) tolerance, leave duty of toleration. See Chapter X D 3 (c) (i) allowed authority. See Chapter XIII, Note 57 through. See Chapter VIII B to break through pierce, breach. See Chapter X, Note 245; Chapter XIII C E (Note 15) implementation. See Chapter X B 2 (e) piercing Erinnerung, ie, one passed by the judge to the court. See Chapter XXII B the exceptional personal liability of members of a juristic person. See Chapter XI, Note 16 average customer. See Chapter X B 2 (e) the carrying out, enforcement realisation (of). See Chapter IX B; Chapter XXI B search (of premises or persons). See Creifelds under Durchsuchung; Chapter XIII D 8 (c) (v); Chapter XVII B; Chapter XXII B. Cf Untersuchung genuine. See Chapter XVI C 1 (b) genuineness. See Chapter XXII E securities (banking sense), stock. See Chapter XIX B (state of) marriage. See Creifelds under Ehe, Chapter VIII C and Chapter X E spouse. See Chapter X F 3 (a) (i) Marriage Law (20.2.1946). See Chapter X E legitimate (child). See Chapter X E and Creifelds under Eheliche Kinder (community of) married life. See Chapter XI A 2. Also Lebensgemeinschaft der Ehegatten marriage/matrimonial matter (eg, Scheidung ). See Familiensache and Creifelds under Ehesachen
371
Druckschrift Dulden Duldung Duldungspflicht Duldungsvollmacht Durch Durchbrechen Durchfhrung Durchgriffserinnerung Durchgriffshaftung Durchschnittskunde Durchsetzung Durchsuchung
Echt Echtheit Effekten Ehe Ehegatte Ehegesetz Ehelich Eheliche Lebensgemeinschaft Ehesache
Ehevertrag Ehre Ehrenamtlich Eid Eidesstattliche Offenbarungsversicherung Eidesstattliche Versicherung
(matrimonial) agreement (by which spouses can regulate their property status). See Gterrecht; Chapter X, Note 23 honour. See Beleidigung; Chapter VIII, Note 20 F; Chapter XVI, Note 13 honorary, lay. See Chapter XXII A oath. See Chapter XXII B and E assurance of means in lieu of oath. See Chapter XIII D 8 (e) assurance, declaration in lieu of oath. See Creifelds under Eidesstattliche Versicherung; Chapter XIII D 8 (a) and (d); Chapter XXII E own capital (resources); equity share capital (of a company) characteristic, quality. See zugesicherte Eigenschaft ownership; property. See Article 14(i) GG; Creifelds under Eigentum, Eigentumserwerb, Eigentumsgarantie, Eigentumsherausgabeanspruch, Eigentumsstrungen and Eigentumsbertragung; Chapter VIII C and Chapter X D 1 and D 3 (c) quasi-proprietary right. See Chapter X, Note 231 ownership obliges (Article 14(ii) GG). See Chapter VIII C and Chapter X D 3 (c) (i) reservation of title (clause). See Creifelds under Eigentumsvorbehalt; Chapter X D 2 (iv); Chapter X Notes 245 and 264 relationship between the owner and person in possession of a Sache. See Chapter X D 3 (c) (iv) (Note 266) owners land charge. See Chapter X D 3 (h) owners mortgage. See Chapter X D 3 (h) personal assets (eg, of an heir). See Chapter X F 5 (a) and (b) aptitude test (for lawyers from other EC countries enabling admission as a Rechtsanwalt). See Chapter XXII D 3 to convene (a meeting). See Vermittlungsausschu to cover, include. See Chapter X, Note 135 A bringing in. See Chapter X C 3 (g) (Title 13) naturalisation. See Creifelds under Einbrgerung; Chapter XIV C 5 dear, definite, unequivocal. See Chapter X F 3 (c) (iii) simple; simply See Gesetz Introductory Law to the BGB. See Chapter XX Introductory Law to the GVG. See Chapter XXII C (Note 36) date-of-receipt stamp. See Chapter XIII, Note 90
Eigenkapital Eigenschaft Eigentum
Eigentumshnliches Recht Eigentum verpflichtet Eigentumsvorbehalt
Eigentmer-Besitzer-Verhltnis Eigentmergrundschuld Eigentmerhypothek Eigenvermgen Eignungsprfung Einberufen Einbeziehen Einbringung Einbrgerung Eindeutig Einfach Einfhrungsgesetz zum BGB (EGBGB) Einfhrungsgesetz zum GVG (EGGVG) Eingangsstempel
372
Eingehen Eingetragener Verein (e.V.) Eingliedern Eingriff(e) Eingriffsbefugnis Eingriffskondiktion
to enter, go into, conclude (a matter or relationship) see Verein to incorporate (into). See Chapter IV attack(s); interference; infringement; intervention. See Chapters VII C and VIII A see Gesetzesvorbehalt type of Nichtleistungskondiktion, where the recipient obtains a benefit by infringing the claimants rights. See Chapter X C 3 (g) (Title 24) intervention administration. See Chapter II C (Note 12) and cf Leistungsverwaltung uniform, united, unanimous(ly). See Creifelds under Einheitlichkeit der Rechtsprechung; Chapter III, Note 3 and Chapter XIII D 3 (b) uniform law. See Chapter XX, Note 12 consensus, (real) agreement. See Creifelds under Einigung and see also Auflassung, Willensbereinstimmung. See Chapter X B 2 (c) failure to reach an Einigung (on Nebenpunkt). It can be offen or versteckt. See Creifelds under Vertrag I ( 154 155 BGB) and Chapter X B 2 (c) conciliation body (dealing with problems in a Betrieb). See Chapter XVIII D Treaty of Union. See Chapter V, Note 1 income deposit (banking sense). Company law sense: contribution of a member to a company, stake. It can be a contribution in cash (Bareinlage) or a contribution in kind (Sacheinlage). It is the basis for the Geschftsanteil or Kapitalanteil deposit business, ie, the acceptance of monies belonging to others (fremde Gelder) by way of deposit. Also Depositengeschft. It is a type of banking transaction (Bankgeschft) undertaken by a credit institution (Kreditinstitut) and is governed by the Kreditwesengesetz to engage (in an action); to enter appearance; to respond to a writ (as defendant) engagement (in an action); entry of appearance; response to a writ (by a defendant). See Chapter XIII D 2 (c) (iv) period during which an Einlassung is possible, period for engagement (in an action). See Chapter XIII D 2 (c) (vi); Chapter XXI, Note 7 objection. See also Einwendung; Chapter X B 1 4; Chapter X B 4 Expos; Chapter X D 3 (h); Creifelds under Einrede lodging (of a writ). See Chapter XIII D 2 (c) (i) (public) facility, institution, amenity, establishment. See Chapter II C
373
Eingriffsverwaltung Einheitlich
Einheitsrecht Einigung
Einigungsmangel
Einigungsstelle Einigungsvertrag Einkommen Einlage
Einlagengeschft
Einlassen Einlassung Einlassungsfrist
Einrede Einreichung Einrichtung
Einschrnken Einschrnkung Einschreiten Einseitig Einspruch Einspruchsgesetz
to limit, restrict. See Chapter VIII B restriction, limitation to intervene (normally a Behrde). See Chapter XVII B one-sided, unilateral. See Chapter X B 1 7; Chapter X F 3 (e); Chapter X, Notes 31, 106 and 126 E objection, protest. See Creifelds under Einspruch. See also Einwendung, Einrede, Widerspruch and Rge a proposed Gesetz, against which the Bundesrat can object under Article 77(iii) GG, but which does not have to be approved by it. Cf Zustimmungsgesetz to recruit, take into employment. Also to cease, stop, drop (a matter, investigation, enforcement) recruitment; cessation, suspension; attitude. See Chapters XIII D 8 (b), XVII E, XVIII E to take responsibility (be liable) (for). Also Haften (fr) and Haftung unanimous(ly). See Chapter X F 4 (b) unanimity principle. See Chapter XI B 2; Chapter XII D temporary order. See Creifelds under Einstweilige Anordnung; Chapter VIII B (Note 10); Chapter XIII D 6 (b) 1; Chapter XIV, Notes 23 E and 33 injunction. See Creifelds under Einstweilige Verfgung; 916945 ZPO; Chapter XIII, Note 149; Chapter XIII D 8 (d) and (f) entry (in a register); registration. See Chapter XIII D 8 (e) entry. See Chapter XI C 3 (b) (iii) principle of representation (in the law of succession). See Chapter X F 3 (a) (i) see Einverstndnis agreement, consent. Also Zustimmung. See Chapter X B 2 (e) immigrant. See also Siedler immigration. Cf Zuwanderung objection. See Creifelds under and cf Einrede. See also Chapter XIII, Note 97; Chapter XIII D 2 (c) (iv) (Note 107) (prior) consent. See Rechtfertigungsgrund effect, influence, nuisance. See Chapter X D 3 (c) (i) inhabitant, resident (of a local authority). See Chapter II C; Chapter VI (specific, particular) individual case individual management (ie, by particular persons). See Chapter XI B sole trader. See Chapter XI A single judge. See Creifelds under Einzelrichter; Chapter XIII D 2 (c) (i); Chapter XXII, Note 37. See also Strafrichter
374
Einstellen Einstellung Einstehenmssen (fr) Einstimmig Einstimmigkeitsprinzip Einstweilige Anordnung
Einstweilige Verfgung
Eintragung Eintritt Eintrittsprinzip Einvernehmen Einverstndnis Einwanderer Einwanderung Einwendung Einwilligung Einwirkung Einwohner Einzelfall Einzelgeschftsfhrung Einzelkaufmann Einzelrichter
Einziehung
confiscation; forfeiture (of a Gegenstand); revocation, withdrawal. See Chapter X, Note 343; Chapter X F 5 (d); Chapter XVI D. See also Beschlagnahme parental care. See Creifelds under Elterliche Sorge and Chapter X E parents. See Chapter X B 2 (a) recipient the recipients point of view. See Chapter X B 2 (b) (Interpretation of a Willenserklrung) requiring receipt. See Chapter X B 2 (b) (Validity of a Willenserklrung) acknowledgement of receipt. See Chapter XIII D 1 (g) (ii) and D 2 (i) final(ly) final judgment. See Urteil closest connection. See Chapter XX D expropriation, dispossession, compulsory acquisition. See Creifelds under Enteignung; Chapter VII C (Note 18); Article 14(iii) GG disinheritance. See Creifelds under Enterbung; Chapter X B 4 (c); Chapter X F 4 (f); 1938 BGB. Cf Entziehung des Pflichtteils (withdrawal of compulsory portion): 2333 2336 BGB development, unfolding. See Chapter VIII C charge, remuneration; for money, reward. See Chapter X, Note 166; Chapter X C 3 (g) (Title 10) dismissal (of an employee), lay-off, redundancy. See Kndigung exonerating evidence. See Chapter X, Notes 126 I and 135 A; Chapter XVII, Note 38 H compensation (eg, for Enteignung; for other examples see Creifelds under Entschdigung). Cf Schadensersatz decision. See Creifelds under Entscheidung, Bescheid; Chapter XIII C A; Chapter XXI A significant for/vital to a decision. See Chapter VII, Note 12; Chapter XIII D 2 (c) (vi) to apologise, excuse (oneself) disposal. See Chapter VI, Note 4 to correspond (to), be commensurate (with) corresponding (analogous) application, application by analogy. See Analogie draft (of a document) withdrawal (of a right or licence to do something). See Chapter X F 4 (g) (v); Chapter XVI D. Cf Enterbung
375
Elterliche Sorge Eltern Empfnger Empfngerhorizont Empfangsbedrftig Empfangsbekenntnis Endgltig Endurteil Engste Verbindung Enteignung
Enterbung
Entfaltung Entgelt(lich) Entlassung Entlastungsbeweis Entschdigung Entscheidung Entscheidungserheblich (Sich) Entschuldigen Entsorgung Entsprechen Entsprechende Anwendung Entwurf Entziehung
Entziehungsanstalt Enumerationsprinzip Erbbaurecht
(drug) rejection institution. See Chapter XVI D enumeration principle. See Chapter VII C (Note 10) heritable building right It is an heritable right to erect/keep a building on a piece of land and is granted to a person for a certain period. An Erbbaurecht is treated as a real right. It is comparable to a legal (building) easement in English law. See Creifelds under Erbbaurecht and Chapter X D 3 (d) heir, beneficiary. See Creifelds under Erbe and Chapter X F appointment as heir. See Chapter X F 4 (c) community between heirs. See Chapter X F 4 (b); Chapter XI A 3; Creifelds under Erbengemeinschaft capacity to inherit. See Chapter X F 3 (a) (i) event of succession, death. See also Tod succession. See Creifelds under Erbfolge and Chapter X F. See also Rechtsnachfolge testator. See Creifelds under Erblasser; Chapter X F 2 law of succession; right of inheritance. See Creifelds under Erbrecht, Chapter X F and Article 14(i) GG estate, inheritance. See Nachla and Creifelds under Erbschaft purchase of an Erbschaft. See Chapter X F certificate of inheritance, probate. See Creifelds under Erbschein; Chapter X F 1 and 5 (d); Chapter XXII E part, share of an estate. See Chapter X F 3 (a) (ii) and 5 (d) unworthy(iness) to inherit. See Chapter X F 4 (f) contract of succession, estate contract. See Creifelds under Erbvertrag; Chapter X F 3 (b) and (e); Chapter XXII B and E waiver of inheritance. See Creifelds under Erbverzicht; Chapter X F 4 (f) success; (particular) result. See Chapter X, Note 166 and Chapter XVI C 1 (a) successful crime requiring a particular result. See Chapter XVI C 1 (a) liability for the result success fee. See Chapter XXII, Note 97 the place at which the (particular) result occurs. See Chapter XX, Note 24 a (qualified) offence, which attracts a heavier punishment in the event of certain consequences. See Chapter XVI, Note 19 necessary. See Chapter VIII B to investigate, explore. See Chapter XVII D performance, fulfilment. See Creifelds under Erfllung and Chapter X C 3 (a) and (c) (Title 1)
376
Erbe Erbeinsetzung Erbengemeinschaft Erbfhigkeit Erbfall Erbfolge Erblasser Erbrecht Erbschaft Erbschaftskauf Erbschein Erbteil Erbunwrdig(keit) Erbvertrag Erbverzicht Erfolg Erfolgreich Erfolgsdelikt Erfolgshaftung Erfolgshonorar Erfolgsort Erfolgsqualifiziertes Delikt Erforderlich Erforschen Erfllung
Erfllungsgehilfe
completion assistant, ie, a person who assists in the performance of an obligation ( 278 BGB). An independent sub-contractor can be an Erfllungsgehilfe. See Chapter X, Notes 126 H and 135 A; Chapter XXII, Note 74; Creifelds under Erfllungsgehilfe. Cf Verrichtungsgehilfe see Leistungsort agreement regarding the Erfllungsort. See Chapter XXII Note 74 (internal) promise of performance (between an old and new debtor). See Chapter X, Note 136 supplementary interpretation. See Chapter X, Note 47; Chapter X B 2 (e); Chapter X F 3 (c) (iii) supplement. See Chapter X C 3 (g) Expos (d) place of seizure (of a suspect). See Chapter XVII, Note 37 substantial, considerable. See Chapter XIII D 2 (c) (iii) (Note 97) making, raising (of a complaint); issue (of a writ); levying (eg, of taxes). See Chapter XIII D 2 (c) (i) legal remedy eg, against decision of a Rechtspfleger. It goes initially back to the Rechtspfleger and then to the judge. See 11 RPflG; Chapter XIII, Note 141. Cf Durchgriffserinnerung and Vollstreckungserinnerung. See also Creifelds under Erinnerung apparent, recognisable. See Chapter X B 2 (b) (Interpretation of a Willenserklrung); Chapter X, Note 135 A; Chapter XIII D 2 (c) (vi) proceedings leading to a judgment, judgment proceedings. See Chapter XIII C A, Chapter XVII (Note 20) and cf Vollstreckungsverfahren measures to ascertain identity (of a suspect). See Chapter XVII, Note 24 to declare; explain declaration, statement; explanation. See Chapter X B 2 (b) (The term Willenserklrung). See also Aussage, uerung declaration of ignorance. See Chapter XIII D1 (g) (i) consciousness of (making) a declaration. See Chapter X (Note 38) declaration regarding personal and economic circumstances (for the purposes of an application for legal aid (Prozesskostenhilfe)) remission (of debt); decree; issue (of a VA). See Chapter X C 3 (c) (Title 4), Chapter X, Note 241 and Chapter XV B permission, allowance, leave, authority. See Creifelds under Erlaubnis (behrdliche); Chapter XIV C 6; Chapter XIX A 2. See also Ermessen reservation of the right to grant an Erlaubnis
377
Erfllungsort Erfllungsortvereinbarung Erfllungsbernahme Ergnzende Auslegung Ergnzung Ergreifungsort Erheblich Erhebung Erinnerung
Erkennbar
Erkenntnisverfahren
Erkennungsdienstliche Manahmen Erklren Erklrung Erklrung mit Nichtwissen Erklrungsbewutsein Erklrung ber persnliche und wirtschaftliche Verhltnisse Erla Erlaubnis
Erlaubnisvorbehalt
Erledigen Erlschen Ermchtigung
to complete, conclude, finish (off), settle, sort out. See Chapter XIV, Note 19 to become extinct, discharged, end; extinction, discharge, end (of). See Chapter X C 3 (c) authorisation; authority (to exercise a particular right); empowerment. See Creifelds under Ermchtigung, Chapter VIII B and Chapter X, Note 243. See also Vollmacht and Zustimmung Enablement Law. See Chapter II (Note 5) see Gesetzesvorbehalt discretion. Can be gebunden or frei. See Creifelds under Ermessen (Verwaltungsermessen) and Chapter XIV C 6. Cf Unbestimmter Rechtsbegriff faulty exercise of Ermessen. Ermessensfehler by the executive can be checked by the VG ( 114 VwGO). See Chapter XIV C 6 abuse of Ermessen. See Chapter XIV C 6 non-use of Ermessen. See Chapter XIV C 6 reduction of Ermessen (to zero). See Chapter XIV C 6 excess of Ermessen. See Chapter XIV C 6 under-use of Ermessen; also called Ermessensnichtgebrauch investigation, inquiry. See Creifelds under Ermittlungsverfahren in Strafsachen; Chapter XVI, Note 40; Chapter XVII B investigative judge. See Chapter XVII, Note 23 appointment, nomination (as a Beamter or to a public office). See Creifelds under Ernennung; Chapter XIV C 5; Chapter XXII A serious(ly) to open (proceedings) opening (eg, of a will by the Probate Court). See Chapter X F 5 (e) (interim) proceedings dealing with the opening of main (criminal) proceedings. Also called Zwischenverfahren. See Chapter XVII E (Note 43) (lawyers) fee for (merely) raising a matter. See Chapter XXII D8 blackmail, extortion. See Chapter XVII, Note 38 C to set up, form establishment, formation, execution (of a will). See Chapter X F 3 (c) (i); Chapter XI B 3 (b) an error regarding the object of a criminal act; it has no effect on the Schuld of the Tter. Cf Aberratio ictus
378
Ermchtigungsgesetz Ermchtigungsgrundlage Ermessen
Ermessensfehler
Ermessensmibrauch Ermessensnichtgebrauch Ermessensreduzierung (auf Null) Ermessensberschreitung Ermessensunterschreitung Ermittlung
Ermittlungsrichter Ernennung
Ernsthaft Erffnen Erffnung Erffnungsverfahren
Errterungsgebhr Erpressung Errichten Errichtung Error in obiecto
Error in persona
an error regarding the person against whom a criminal act is committed; it has no effect on the Schuld of the Tter. Cf Aberratio ictus substitute heir. See Chapter X F 4 (d) substituted execution (of a measure by an authority). See Chapter XVIII H substituted service. See Creifelds under Ersatzzustellung and Chapter XIII D 2 (c) (i) (Note 89) to appear, appearance exhaustion of normal legal channels. See Chapter VII C (Note 14) to replace acquisition of ownership to movables through the passage of time, prescription. See Creifelds under Ersitzung and Chapter X D 3 (c) (ii) to strengthen (into). See Chapter X D 2 (iv) to refund, replace. Also to file (an Anzeige). See Chapter XVII A to grant (a licence or permission). See Chapter X, Note 343; Chapter XIV C 6 grant, issue. See Chapter X F 5 (d) yield, output, return (on investment). Also Rendite adult, grown-up consideration. See Chapter VIII, Note 22 expectation. See Chapter X F 3 (c) (iv) addition; extension. See Chapter X B 2 (e) acquisition. See Chapter X D 3 (c) (ii) and (iii) transferee; acquiror procurement, obtaining (of). See Chapter XIII, Note 39 product, produce. See Chapter X D 3 (c) (iii) (Statutory acquisition of ownership to movables) educational measure. See Chapter XVI, Note 40 see Wesentliche Bestandteile European Community(ies). Established in parallel with the Maastricht Treaty on European Union of 7.2.1992 European Convention on Human Rights (ECHR). See Chapter II, Note 34; Chapter VIII, Note 18 European Convention on Jurisdiction and the Enforcement of Decisions in Civil and Commercial Matters (the Brussels Convention 1968; amended by conventions signed in San Sebastian and Lugano in 1988 and 1989). It was incorporated into UK law by the Civil Jurisdiction and Judgments Act 1982 (and 1991). In Germany, it is implemented by AVAG.
Ersatzerbe Ersatzvornahme Ersatzzustellung Erscheinen Erschpfung des Rechtswegs Ersetzen Ersitzung
Erstarken Erstatten Erteilen Erteilung Ertrag Erwachsener Erwgung Erwartung Erweiterung Erwerb Erwerber Erwirkung Erzeugnis Erziehungsmaregel Essentialia negotii Europische Gemeinschaft(en) (EG) Europische Menschenrechtskonvention (EuMRK) Europisches bereinkommen ber die gerichtliche Zustndigkeit und die Vollstreckung gerichtlicher Entscheidungen in Zivilund Handelssachen (EuGV)
379
See Chapter X, Note 8; Chapter XIII, Notes 28,148 and 171; Chapter XXI, Note 13; Chapter XXII, Note 74 Europische Union (EU) European Union. Established by the Maastricht Treaty of 7.2.1992 (as amended by the Amsterdam Treaty of 2.10.1997) and based on the European Community. See Preface; Chapter XIV A; Chapter XXI European Convention on the Law applicable to Contractual Obligations 1980 (the Rome Convention). See Chapter XX, Note 12 European Economic Community (EEC). Originally established by the EEC Treaty of 27.3.1957. Now known as the European Community. See Chapter XIX European Central Bank (in Frankfurt am Main). Its forerunner was the European Monetary Institute. See Creifelds under Europisches Whrungsinstitut. See also Bundesbank See Hilfsantrag person starting up in business. See Chapter XVIII, Note 2 from now on, for the future. See Chapter X, Note 138; Chapter XIV, Note 23 C Cf Ex tunc from then, from the start, retrospectively. See Chapter X, Note 48. See also Rckwirkend manufacturer. See also Hersteller specialist lawyer. See Chapter XXII D 5 qualified work safety personnel. See Creifelds under Fachkrfte fr Arbeitssicherheit and Chapter XVIII H driving licence. See Creifelds under Fahrerlaubnis; Chapter XVI D; Fhrerschein negligence. See Chapter X, Note 219; Verschulden; Schuld see Bewegliche Sache driving ban. See Creifelds under Fahrverbot and Chapter XVI (Note 63) factual (de facto) employment relationship. See Chapter XVIII, Note 7 factual (de facto) contract. See Chapter X, Note 70 factual enforcement. See Chapter XIV, Note 23 C case; matter due (for performance, payment) time at which a Leistung (debt, payment) is due; maturity. See Chapter X (Note 98); Chapter X C 3 (g) Expos Darlehen; Leistungszeit; Verzug case-law (system). See Chapter I, Note 6; Chapter XXII, Note 45; Creifelds under Fallrecht and cf Prjudizien a false description of an item (does not harm). See Creifelds under falsa demonstratio non nocet; Chapter X, Note 46; cf 155 BGB
380
Europisches bereinkommen ber das auf vertragliche Schuldver hltnisse anzuwendende Recht (EV) Europische Wirtschaftsgemeinschaft (EWG) Europische Zentralbank (EZB)
Eventualantrag Existenzgrnder Ex nunc Ex tunc Fabrikant Fachanwalt Fachkrfte fr Arbeitssicherheit Fahrerlaubnis Fahrlssigkeit Fahrnis Fahrverbot Faktisches Arbeitsverhltnis Faktischer Vertrag Faktische Vollziehung Fall Fllig Flligkeit
Fallrecht Falsa demonstratio (non nocet)
Falsche Verdchtigung Falschlieferung Flschung Falsus procurator Familie Familiengericht Familienrecht Familiensache
Fehler(haft)
Fehlerfrei Fernabsatzgesetz (FernAbsG) Fernmeldegeheimnis Fernmeldeverkehr Fertigstellungsbescheinigung Fest Festnahme Festsetzen Feststellen Feststellend Feststellung Feststellungsklage
Filiale Finanzamt Finanzbehrde Finanzgerichtsbarkeit Finanzgerichtsordnung (FGO) Finanzhilfe Finanzierungsleasing Finanzwesen
false suspicion. See Chapter VIII, Note 20 E wrong delivery See Chapter X, Note 185 B. Cf Sachmangel forgery See Vertreter ohne Vertretungsmacht family. See Creifelds under Familie and Chapter VIII C Family Court. See Creifelds under Familiengericht; Chapter XXI, Note 4; Chapter XXII (Note 73) family law, right. See Chapter X B 1 4 and E family matter (dealt with by the Familiengericht (Family Court): 23b GVG). See Creifelds under Familiensachen and Chapter XIII D 1 (e) fault(y), mistake. Also Mangel(haft). See 459, 537538 and 633 BGB; Chapter X, Notes 126 J and 189; Chapter X C 3 (g) Expos (c); Chapter XIV C 3 free of faults, perfect. See Chapter XIV B 6 Law concerning Long-Distance Transactions. See Chapter X, Expos (after 515 BGB) telecommunication secrecy. See Article 10(i) GG and Creifelds under Brief-, Post- und Fernmeldegeheimnis telecommunications (traffic). See Chapter XVII, Note 25 certificate of completion. See 641a BGB fixed; tight. See Chapter X C 3 (g) Expos Darlehen (physical) arrest; also Verhaftung. Cf Arrest. See Chapter XVII D to determine, fix, stipulate to ascertain, conclude, establish, declare ascertaining, establishing, effecting a declaration (as to particular circumstances). See Chapter XIV C 5 ascertainment, conclusion, finding, establishment, declaration (of). See Chapter XX E writ claiming the Feststellung of a legal relationship or particular rights. See Creifelds under Feststellungsklage and Chapters XIII D 2 (c) (ii) and XV B see Niederlassung tax office. It is a lower authority of a Land. See Creifelds under Finanzamt and Chapter IV tax authority finance jurisdiction. See Chapter XXII C 4 and Creifelds under Finanzgerichtsbarkeit Finance Courts Order. See Chapter XXII C 4 financial aid, subsidy, grant See Chapter V, Note 6 financed leasing. See Chapter X C 3 (g) Expos (b) finance system. See Chapter VII A and Creifelds under Finanzwesen
381
Firma Fiskalisch Fiskus Fixgeschft Fluchtgefahr Folge Folgenbeseitigung Folgesache Forderung Frderung Formell Formelles Recht Formkaufmann Formlos Formularvertrag Fortdauer der Haft Fortsetzungsfeststellungsklage Fortsetzungsklausel Forum non conveniens
(trade) firm (name); also called Handelsfirma. See Chapter XI B 2 (b) and Creifelds under Firma fiscal(ly). See Chapter II C and cf hoheitlich the state (as a fiscal entity). See Chapter X F 3 (a) (i) and X F 5 (e) time-fixed transaction. See Chapter X C 3 (b) danger of flight, absconding (by the suspect). See Chapter XVII D (Note 38 B) consequence, result disposal of consequences. See Chapter XIV, Note 23 C; Chapter XV C ancillary matter. See Chapter XIII D 6 (b) demand, (contractual) claim. See Chapter X C 3 (a); Chapter X D 3 (h) advancement, promotion formal(ly) formal law. See Chapter IX B businessman by reason of form. See Chapter XI B 2 (a) informal(ly). See Chapter XIV B 3 standard-form contract. See Chapter X B 2 (e) continuation of custody. See Chapter XVII, Note 26 D type of Feststellungsklage to establish or declare that a past VA was illegal. See Chapter XV B continuation clause (in company agreement). See Chapter XI B 3 (b) (iv) the forum is not appropriate, ie, another forum is more suitable. The doctrine is of importance in English law (inter alia, to discourage forum shopping by plaintiffs) when an application is made to stay an action in England or for permission to serve proceedings outside the jurisdiction of the English courts (formerly, under RSC, Order 11, now under the CPR). In Germany, the doctrine is only very rarely invoked, as an exception to German (international) jurisdiction. See Rosenberg/Schwab, 20 III; Chapter XIII, Notes 28 and 101 freight. See Chapter XI B 5 freighter. See Creifelds under Frachtfhrer and Chapter X D 3(h) (Note 280) to ask; questions parliamentary grouping. See Chapter VII C (Note 19) franchisor. See Chapter XI, Note 42 franchisee. See Chapter XI, Note 42 (the principle of) free evidence. See Chapter XX E. Cf Strengbeweis and see Beweismittel
Fracht Frachtfhrer Fragen Fraktion Franchisegeber Franchisenehmer Freibeweis
382
Freibleibend Freier Beruf Freier Mitarbeiter Freiheit Freiheit der Kunst, Wissenschaft, Forschung und Lehre Freiheitliche demokratische Grundordnung Freiheitsentziehung
subject to availability, subject remaining unsold. See Chapter X B 2 (c) free profession; eg, a Rechtsanwalt. See Chapter XIX A 2; Chapter XXII D 2; Creifelds under Freie Berufe freelance assistant. See Chapter XVIII, Note 2 freedom. See Creifelds under Freiheit, persnliche and Chapter VIII C freedom of art, science, research and teaching. See Creifelds under Kunst, Freiheit der, Wissenschaft, Freiheit der and Lehrfreiheit; Chapter VIII C basic order of freedom and democracy. See Creifelds under Grundordnung, freiheitliche demokratische and Chapter II G deprivation of freedom, detention (in custody). See Creifelds under Freiheitsentziehung, Chapter VIII C (Note 36) and Chapter XVII D freedom right(s). See Chapter VIII A imprisonment; can be zeitig or Iebenslang. See Chapter XVI B and D; Chapter XXI, Note 1 voluntarily. See Chapter XXII, Note 101 non-contentious (voluntary) civil jurisdiction. See Chapter XIII, Notes 32 and 37; Chapter XIII D 6 (b) 2; Chapter XXII C 2 exclusion clause. See Chapter X B 2 (e) freedom of movement. See Creifelds under Freizgigkeit; Article 11(i) GG; Verkehr foreign, alien, belonging to others. other persons business. See Chapter X B 4 foreign language. See Chapter VIII, Note 18 duty of employer and Betriebsrat to maintain peace in the Betrieb. See Creifelds under Friedenspflicht and see Chapter XVIII D (c) and G time-period; notice period; deadline; time limit. See Creifelds under Frist; Chapter X B 3; Chapter XIII D 1 (g) (iii); Chapter XIII, Note 90; Chapter XIII D 2 (c) (vi) without notice. See Kndigung setting of a deadline with a threat of rejection (if the deadline is not observed). See 326 BGB extension of time (period). See Chapter XIII, Note 129 fruits. See Chapter X C 3 (g) Expos (b) initial (oral) hearing. See Chapter XIII D 2 (c) (iv) driving licence (ie, the actual document). Also Fahrerlaubnis supervision of conduct. See Chapter XVI D (Note 80) certificate of conduct. See Bundeszentralregister finding of lost property. See Creifelds under Fund and
383
Freiheitsrecht(e) Freiheitsstrafe Freiwillig Freiwillige Gerichtsbarkeit Freizeichnungsklausel Freizgigkeit Fremd Fremde Geschfte Fremdsprache Friedenspflicht
Frist
Fristlos Fristsetzung mit Ablehnungsandrohung Fristverlngerung Frchte Frher erster Termin Fhrerschein Fhrungsaufsicht Fhrungszeugnis Fund
Chapter X D 3 (c) (iii) (statutory acquisition of ownership to movables) Fr Recht erkennen to adjudge as law, to find to be right. The judgment of a court is always preceded by the statement that the court finds a particular decision to be right. The phrase is part of the heading of the judgment (Urteilskopf). It is followed by the actual tenor of the decision (Urteilsspruch or Urteilstenor). See Urteil. duty of care (towards someone). See Chapter XIII, Note 69; Chapter XVIII, Notes 3 and 61 amalgamation, fusion, merger. Also Verschmelzung, Zusammenschlu a special legal duty to act to prevent an Unterlassungsdelikt. See Chapter XVI C 1 (b) contract of guarantee, indemnity. Cf Brgschaft. See Chapter X Note 177; Schadloshalten inn (keeper). See Chapter X C 3 (g) (Title 13) generic debt. See Creifelds under Gattungsschuld and Chapter X, Notes 116, 126 F and 234 territorial corporation. See Chapter II (Notes 1 and 11) (criminal) norm commanding that (requiring) certain action (to) be carried out. See Chapter XVI C 1 (b) use. industrial/technical design. Like a patent, it must be a new Erfindung (new invention) to be registrable. See Creifelds under Gebrauchsmuster and Erfindung; Chapter XIX A grant of use. See Chapter X, Note 159; Chapter X C 3 (g) Expos (a) fee(s). See Creifelds under Rechtsanwaltsgebhr and see also Gerichtskosten and Chapter XXII D 8 Streitwert for the purpose of court fees. See Chapter XIII D 1 (e) overcharging. See Chapter XXII D 5 undercutting (of fees). See Chapter XXII, Note 101 suitable. See Chapter VIII B danger, threat risk. Also Gefhrdung (the) warding-off of dangers. See Creifelds under Gefahrenabwehr; Chapter XVII D (Note 32); Chapter XXII (Note 50) in a case of urgency; lit. danger in delay. Gefahr im Verzug justifies immediate intervention where the purpose of the measure (Zweck der Manahme) would be thwarted (vereitelt) by waiting. See Chapter XIII D 8 (c) (v); Chapter XIV C 3 (Note 23 B); Chapter XVII, Notes 23 and 36; Chapter XXII, Note 26 source of danger. See Chapter X Note 222 B
384
Frsorgepflicht Fusion Garantenpflicht Garantievertrag Gastwirt(schaft) Gattungsschuld Gebietskrperschaft Gebotsnorm Gebrauch Gebrauchsmuster
Gebrauchsberlassung Gebhr(en) Gebhrenstreitwert Gebhrenberhebung Gebhrenunterschreitung Geeignet Gefahr Gefahrenabwehr
Gefahr im Verzug
Gefahrenquelle
Gefahrtragung Gefahrbergang Gefhrden Gefhrdungshaftung Geflligkeit(sverhltnis) Gegenbeweis Gegendarstellung Gegenleistung Gegennorm Gegenrecht Gegenseitiger Vertrag
carriage of risk. See Chapter X, Note 126 G transition of risk. See Chapter X, Note 126 G to endanger, threaten strict liability. See Chapter X C 3 (a) (Note 126 D); Chapter X, Note 222 E; Chapter XVI C (Note 17) (relationship of grace and) favour. See Chapter X C 3 (a) (Note 115) and (g) (Note 166) counter-evidence. See Chapter XIII B 7 (Note 10); Chapter XXII E. Cf Hauptbeweis response. See Chapter VIII, Note 20 E counter-performance. See Chapter X C 3 (a) counter-norm. See Chapter XIII B 7 (Note 10) counter-right, defence. See Chapter X B 1 4 mutual, reciprocal (synallagmatic) contract. See Chapter X (Notes 106 and 126 F). See also Creifelds under Gegenseitiger Vertrag and Chapter X C 3 (b) (Title 2) reciprocity. See Chapter XXI C thing; matter. See Creifelds under Gegenstand and Chapter XB13 value of the matter (for the fees of a Rechtsanwalt; can follow the Streitwert or Geschftswert). See Creifelds under Gegenstandswert and Chapter XXII D 8 identity parade. See Chapter XVII, Note 38 H counter-response. See Chapter XV A; Chapter XXII, Note 19 present(ly), current(ly). See Chapter VII C salary. Of public officials: Besoldung (maintenance of) secrecy. See Chapter XIV B 3 duty of secrecy. See Creifelds under Berufsgeheimnis; Chapter XXII D 5 prevented from taking effect/running. See Verjhrung and Aufschiebende Wirkung imbecility. See Chapter X F 3 (c) (i) fine (punishment for Ordnungswidrigkeit). See Chapter XVI B (Note 9) money claim. See Chapter XIII D 8 (c) (i) money debt. See Chapter X, Note 116; Creifelds under Geldschuld. See also Leistungsort fine (punishment for Straftat). See Chapter XVI B and D and cf Geldbue to assert, exercise (a claim, right). See Chapter XIII D 1 (f) (i); Chapter XIX B (at Note 27) local authority (below a Kreis), commune. See Creifelds under Gemeinde and Chapter VI
385
Gegenseitigkeit Gegenstand Gegenstandswert
Gegenberstellung Gegenvorstellung Gegenwrtig Gehalt Geheimhaltung Geheimhaltungspflicht Gehemmt Geistesschwche Geldbue Geldforderung Geldschuld Geldstrafe Geltend machen Gemeinde
Gemeindebezirk Gemeindeordnung Gemeinderat Gemeindeverband Gemeindevertretung
borough. See Chapter VI, Note 1 local government law governing the Gemeinden in a Land. See Chapter VI see Gemeindevertretung Gemeinde association. See Creifelds Kommunalverbnde 1nd Chapter VI (Note 1) under
legislative organ of a Gemeinde, assembly of Gemeinde, (municipal) assembly of Gemeinde representatives, (town) council/parliament. See also Gemeinderat, Stadtverordnetenversammlung and Chapter VI administration, executive of a Gemeinde. See Oberbrgermeister offences involving danger to the public (at large). See Chapter XVI B (Note 14) joint(ly). See Chapter XIII D 6 (b) 2. (emergency) joint council. See Chapters III and VII A Joint Senate of the Supreme Federal Courts. See Einheitlich community by shares ( 741ff BGB). See Creifelds under Gemeinschaft, Chapter X C 3 (g) (Title 15) and Chapter XI A 2. See also Miteigentum nach Bruchteilen community; jointly. Can be zur gesamten Hand (Gesamthandsgemeinschaft) or nach Bruchteilen . See Chapter XI A and B joint matter, (community) task. The Bund can cooperate in the fulfilment of certain Gemeinschaftsaufgaben, where this is necessary to improve living conditions. See Creifelds under Gemeinschaftsaufgaben and Chapter VII A (Note 6) joint venture. See Eisenhardt, Chapter 12 ( 52). See also Unternehmensvertrag community value. See Chapter XVI B exact(ly). See Chapter XIII, Note 96 to approve, allow approval, permission. See Chapter X B 2 (a) and (b) (Note 35); Chapter XIV C 6; Chapter XIX A 2 general federal prosecutor (at the BGH); federal attorneygeneral. See Chapter XVII B general clause (eg, 40(i) VwGO). See Creifelds under Generalklausel general state prosecutor (at the OLG). See Chapter XVII B cooperative (association/society). See Creifelds under Genossenschaft and Chapter XI, Note 5. See also Vorstand just(ice). See Creifelds under Gerechtigkeit. Cf Recht court. See Creifelds under Gericht and Chapter XXII C
386
Gemeindeverwaltung Gemeingefhrliche Straftaten Gemeinsam Gemeinsamer Ausschu Gemeinsamer Senat der obersten Gerichtshfe des Bundes Gemeinschaft nach Bruchteilen
Gemeinschaft(lich)
Gemeinschaftsaufgabe
Gemeinschaftsunternehmen Gemeinschaftswert Genau Genehmigen Genehmigung Generalbundesanwalt Generalklausel Generalstaatsanwalt Genossenschaft Gerecht(igkeit) Gericht
Gerichtlich Gerichtsbarkeit
judicial(ly), by the court particular (court) jurisdiction (according to branch (Zweig)); also (functionally) the exercise (Ausbung) of the administration of justice (Rechtspflege). See Creifelds under Gerichtsbarkeit and Chapter XXII C. Cf Zustndigkeit see Chapter XV D court fees. Part of the Prozekosten. See Creifelds under Gerichtskosten and Chapter XIII D 2 (c) (i) Court Fees Law. See Chapter XIII D 2 (c) (i) and Chapter XXII D 8 member of court personnel. See Chapter XIII D 1 (b) (place of) local jurisdiction (rtliche Zustndigkeit), venue. See Zustndigkeit agreement on jurisdiction. See Chapter XX D 2; Chapter XXII, Note 74 constitution of the court(s). See Creifelds under Gerichtsverfassung Law relating to the Constitution of the Courts. See Chapter XIII D 1 (e) and Chapter XXII C 2 (court) bailiff. See Chapter XIII D 1 (g) (ii), Chapter XIII D 2 (c) (i) and D 8 (c) (v) and Creifelds under Gerichtsvollzieher court cashiers office insignificant; insignificance. See Chapter XVII E (Note 40 A) member(s) of a Gesamthandsgemeinschaft. See Chapter XI A 3 see Gesamthandsvermgen joint community. See Creifelds under Gesamthandsgemeinschaft; Chapter X F 4 (b); Chapter XI B 3 joint property, assets. See also Gesamthandsgemeinschaft universal succession (principle). See Chapter X F 4 (a) joint debt. See Chapter X, Note 157 and 421ff BGB joint debtor(s). See Chapter XI B 3 whole state. See Chapter II A combined punishment. See Chapter XVI, Note 73 business; shop; transaction, bargain, deal share in the assets of a company (Gesellschaftsvermgen). Cf Gesellschaftsanteil. Its size is dependent on the amount of a persons contribution to the business (Einlage). See Chapter XI, Note 12; Chapter XII C.Cf Kapitalanteil agreement of instruction for reward, contract to transact business for reward, commercial mandate. Cf Auftrag. See Creifelds under Geschftsbesorgungsvertrag; Chapters X C 3 (g) (Note 166 and Title 10) and XXII D 4 capable of undertaking (capacity to undertake) a
387
Gerichtsbescheid Gerichtskosten Gerichtskostengesetz (GKG) Gerichtsperson Gerichtsstand Gerichtsstandsvereinbarung Gerichtsverfassung Gerichtsverfassungsgesetz (GVG) Gerichtsvollzieher
Gerichtszahlstelle Geringfgig(keit) Gesamthnder Gesamthandseigentum Gesamthandsgemeinschaft Gesamthandsvermgen Gesamtrechtsnachfolge Gesamtschuld Gesamtschuldner Gesamtstaat Gesamtstrafe Geschft Geschftsanteil
Geschftsbesorgungsvertrag
Geschftsfhig(keit)
Rechtsgeschft (legal transaction). See Creifelds under Geschftsfhigkeit and Chapter X B 1 9 and B 2 (a) Geschftsfhrer Geschftsfhrung director (of a company) (internal) management; direction (of a company). See Chapter XI B 2 and C 3 (b) (ii). Cf Vertretung. See also Kallwass, Section 7, Chapter 2 ( 112) transaction (of a matter) without instruction/without a mandate. See Creifelds under Geschftsfhrung ohne Auftrag; Chapter X C 3 (g) (Title 11); Chapter X F 5 (a) right of company member(s) to manage the company. See Chapter XI C 3 (b) (ii) business fee. See Chapter XXII D 8 basis of the transaction. See Chapter X, Note 47 D and Leistungsstrung principal. See Chapter X C 3 (g) (Title 11) place of business. See Chapter XIII D 1 (g) (ii) business code, rules (of procedure), standing orders. See Creifelds under Geschftsordnung and see also Satzung business office (eg, of a court). See Chapter XIII D 1 (g) (ii) and D 2 (c) (i) business value (for fees of the court and lawyers in noncontentious matters and for the fees of the Notar). See Creifelds under Geschftswert and Chapter XXII D 8 will to engage in a particular transaction. See Chapter X B 2 (b) (The term Willenserklrung) (registrable) pattern (or model) of aesthetic content. It must be novel and original (eigentmlich). See Creifelds under Geschmacksmuster. apprentice company, society (G); as used in: GbR, BGB-G=civil law company, BGB company; OHG=open trading company; KG=limited partnership; GmbH=(private) company with limited liability; AG=public limited company; HandelsG=commercial/trading company (OHG, KG, GmbH or AG). See Creifelds under the respective types; Chapters X C 3 (g) (Note 159 and Title 14) and XI A. See also Chapter XVIII, Note 6; Chapter XXII D 9 member of a company, shareholder. Also Mitglied members meeting (private) company with limited liability. See Chapter XII and Gesellschaft share of a member in a company. Cf Geschftsanteil company law. See Chapter XI assets of a Gesellschaft. See Chapter XI A 3 company agreement, articles of association; sometimes
388
Geschftsfhrung ohne Auftrag (GoA) Geschftsfhrungsbefugnis Geschftsgebhr Geschftsgrundlage Geschftsherr Geschftslokal Geschftsordnung Geschftsstelle Geschftswert
Geschftswille Geschmacksmuster
Geselle Gesellschaft
Gesellschafter Gesellschafterversammlung Gesellschaft mit beschrnkter Haftung(GmbH) Gesellschaftsanteil Gesellschaftsrecht Gesellschaftsvermgen Gesellschaftsvertrag
called Satzung. See Creifelds under Gesellschaftsvertrag; Chapter XI A 5; Chapter XII B Gesetz (statutory) law; statute. The Grundgesetz is a Gesetz subject to a more difficult procedure of amendment. If passed in accordance with the relevant constitutional procedure, a Gesetz is referred to as a(n) (einfaches) Gesetz im formellen Sinne (a (simple) law in the formal sense). The term can also be used in a wider, material sense to refer to any legal norm containing generally binding provisions (including Rechtsverordnungen (statutory instruments) and Satzungen (bye-laws)). Cf Verwaltungsvorschriften ((internal) administrative regulations) and Verwaltungsakte (administrative acts). See Creifelds under Gesetz. See also Chapter II H, Chapter XIV A and Zustimmungsgesetz. Cf Recht Law relating to (private) companies with limited liability. See Chapter XI A1 and Chapter XII A Law relating to matters within the non-contentious (voluntary) civil jurisdiction. See Chapter XXII C 2 Law regarding the activity of european lawyers in Germany. See Chapter XXII D 3 Law to regulate the law of general contract terms. See Chapter X B 2 (d)
Gesetz betreffend die Gesellschaften mit beschrnkter Haftung (GmbHG) Gesetz ber die Angelegenheiten der freiwilligen Gerichtsbarkeit (FGG) Gesetz ber die Ttigkeit europischer Rechtsanwlte in Deutschland (EuRAG) Gesetz zur Regelung des Rechts der Allgemeinen Rechts der Allgemeinen Geschftsbedingungen (AGBG) Gesetzesaufbau Gesetzeskonkurrenz Gesetzeskraft Gesetzesvorbehalt
construction of a law, statute. See Chapter X C 2 2 concurrence of statutory provisions. See Chapter XVI, Note 73 force of law, statutory force. See Chapter VII C the right to limit basic rights by means of a Gesetz; can also be used in the sense of Vorbehalt des Gesetzes, ie, to refer to the need for die executive to act in accordance with law (Gesetzmigkeit der Verwaltung), to have a legal basis for their action (Ermchtigungsgrundlage or Eingriffsbefugnis). See Chapters II F, VII B, VIII B and XIV C 3 and 6 legislative power. Also Gesetzgebung. See Creifelds under Gesetzgebende Gewalt and Chapter II F legislature; legislation. See Creifelds under Gesetzgebung and Chapter II F competence to pass laws; legislative competence. See Chapter II B Frist set by statute. See Chapter XIII D 1 (g) (iii) statutory acquisition (of ownership). See Chapter X D 3 (c) (ii) assignment by operation of law. See Chapter X, Note 156 the judge appointed by statute, ie, it is a basic principle
389
Gesetzgebende Gewalt Gesetzgebung Gesetzgebungskompetenz Gesetzliche Frist Gesetzlicher Erwerb Gesetzlicher Forderungsbergang Gesetzlicher Richter
Gesetzlicher Vertreter Gesetzliches Schuldverhltnis Gesetzmigkeit der Verwaltung
Gesichtspunkt Gestaltungsfreiheit Gestaltungsklage
Gestaltungsrecht Gestndnis Gestio pro herede Gesundheitsschutz Gewhrleistung(srecht)
Gewalt(ttigkeit) Gewaltenteilung Gewerbe
Gewerbeaufsichtsbehrde Gewerbebetrieb
Gewerbeordnung (GewO)
Gewerberecht Gewerbeunternehmer Gewerblicher Rechtsschutz Gewerbsmig Gewerkschaft
(Grundsatz) and basic right (justizielles Grundrecht) that everyone is entitled to a hearing before him (see Article 101(i) GG). See Chapter VIII C (Note 36) and Chapter XXII A legal (statutory) representative. See Chapters X B 1 9 and XIII D 1 (f) (i) obligation arising from statute. See Chapter X C 2 3 duty of the executive to act in accordance with statute, law; also Rechtmigkeit der Verwaltung. See Chapters II F, VIII (Note 15) and XIV C 3 aspect. See Chapter VIII, Note 22; Chapter XIII D 2 (c) (vi); Chapter XIX A 2 freedom to form (ie, arrange, design, shape) legal relationships. See Chapter X B 1 6; Chapter X B 2 (e) writ claiming the Umgestaltung (rearrangement) of a legal situation, position. See Creifelds under Gestaltungsklage; Chapter XIII D 2 (c) (ii) and Chapter XV B formulation right. See Creifelds under Gestaltungsrecht and Chapter X B 1 4 confession; admission (of facts by a party). See Creifelds under Gestndnis and Chapter XIII D 2 (c) (iv) (Note 107) conducting oneself like an heir, ie, meddling in an estate. See Chapter X F 5 (a) (ii) protection of health. See Chapter XVIII H guarantee (right). See, regarding a Kaufvertrag, 434, 437, 443, 459ff BGB and, regarding a Werkvertrag, 634ff BGB and Creifelds under Gewhrleistung force, violence. See Landfriedensbruch separation of powers. See Creifelds under Gewaltentrennung and Chapter II F business, trade. It does not include a freier Beruf. See Chapter XI, Note 31; Chapter XIX A 2; Creifelds under Gewerbe. See also Geschft, Grundhandelsgewerbe and Unternehmen business (trade) supervisory authority. See Creifelds under Gewerbeaufsicht; Chapter XVIII H; Chapter XIX A 2 a specific business (as exercised/operated). See Chapter XI, Note 31; Chapter XIX A 2; Recht am eingerichteten und ausgebten Gewerbebetrieb Business (Trade) Order. See Creifelds under Gewerbeordnung; Chapter XVIII H; Chapter XIX A 2; Konzession business law. See Chapter XIX A2 a person, who engages in a business (trade) enterprise; an entrepreneur business protection. See Chapter XIX A 1 full-time, professional(ly). See Chapter XI, Note 41 trade union. See Creifelds under Gewerkschaft,
390
Gewinn Gewissen Gewissenhaft Gewohnheit Gewohnheitsrecht Gewhnlich Girokonto Girovertrag
Glauben Glaubhaft Glaubhaftmachen Glaubhaftmachung Glubiger Glubigerbenachteiligung Glubigerstreit Gleichbehandlungsgrundsatz Gleichberechtigung Gleichheit (vor dem Gesetz) Gleichheitsrecht(e) Gleichordnung Gliedstaat Gratis Greifbar Grenze Grenzschutzamt Grenzberschreitende Ttigkeit Grob Grobe Fahrlssigkeit Grober Behandlungsfehler Grund Grundbuch Grundbuchamt
arbeitsrechtliche and Chapter XVIII D and G profit, gain. See Chapter XI B 3 (b) (ii); Chapter XIX A 2 conscience. See Creifelds under Glaubens- u. Gewissensfreiheit and Chapter VIII C (Article 4(i) GG) conscientious(ly). See Chapter XXII D 5 custom, habit. See Chapter IX B customary law. See Chapter I; Chapter X, Note 135 D; Chapter XIV A usual(ly). See Chapter XI B 2 current (giro) account contract to set up/maintain a current (giro) account at a bank. See Chapter X C 3 (g) (Title 10); Chapter XIX, Note 36 to believe; belief. See Chapter VIII C (Article 4(i) GG) credible. See Chapter XIII D 6 (b) 1 to make credible, substantiate substantiation. See Chapter XIII B 7 (Note 9). Cf Substantiierung creditor, obligee. See Creifelds under Glubiger and Chapter X C 3 (a) fraud on creditors. See Chapter X, Note 220 dispute between creditors. See Chapter XIII D 1 (f) (iii) equal treatment principle. See Chapter VIII, Note 22 equal entitlement, right(s) (of). See Creifelds under Gleichberechtigung and Chapter VIII C (Article 3(ii) GG) equality (before the law). See Creifelds under Gleichheit vor dem Gesetz and Chapter VIII C (Article 3(i) GG) equality right(s). See Chapter VIII A equal level, basis. See Chapter IX B member state. See Chapter II A free of charge. Also Unentgeltlich capable of seizure, tangible. See Chapter XIII, Note 67 border, boundary, limit border protection office. Is a Bundesunterbehrde. See Chapter IV cross-border activity (eg, of lawyers) gross. See Chapter X, Note 259 and Chapter XVI C 3 (c) gross negligence. See Chapter XI B 1 gross medical error (in treatment). See Chapter X, Note 126 J ground, basis, reason land register. See Creifelds under Grundbuch and Chapter X D 3 (b) land registry (office). See Chapter XIII, Note 32
391
Grunddienstbarkeit Grnder Grundgesetz (GG) Grundhandelsgewerbe Grundkapital Grundnorm Grundpfandrecht Grundrecht(e) Grundregel Grundstzlich Grundschuld Grundschuldbrief Grundstck(e) Grundstcksgleiches Recht Grundstckskaufvertrag Grndung Grundverfgung Gltig(keit) Gutachten Gtergemeinschaft Gterrecht
easement (over land). See Creifelds under Grunddienstbarkeit and Chapter X D 3 (e) founder, promoter Basic Law, federal constitution. See Creifelds under Grundgesetz and Chapter VII basic commercial trade, trading activity. See Chapter XI C 2 (a) basic (share) capital of an Aktiengesellschaft. Called Stammkapital in the case of a GmbH. See Chapter XII C. basic norm. See Preface to Second Edition, Note 12; Chapter I, Note 17 security right (charge) over land. See Chapter X D 3 (h) basic right(s). See Creifelds under Grundrechte and Chapter VIII basic rule. See Chapter XIII, Note 10 basically, fundamentally, essentially, in principle land charge. See Chapter X D 3 (h) land charge certificate. See Chapter XIX B piece(s) of land. See Chapter X D 1. Also Immobilie(n); Liegenschaft(en) a right equivalent to land. See Eigentumshnliches Recht contract for the purchase/sale of land. See Chapter X, Note 256 creation, establishment, formation, foundation basic VA (administrative act (order)). See Chapter XVIII H valid(ity). See Chapter VII B; Chapter VII, Note 12; Chapter XIV, Note 24 written opinion, expertise. See Chapter XXII D 8 community of property between spouses. See Creifelds under Gtergemeinschaft, Chapter XI A 3 and Gterrecht below (marital) property law. By 1363(i) BGB, the (statutory) property status (Gterstand) of spouses during their marriage is the so-called Zugewinngemeinschaft ((deferred) community of gain). During the marriage, the assets of each of the spouses remain under their respective, individual control. However, when the marriage ends (otherwise than by death), the amount of any Zugewinn (gain) is equalized between the former spouses ( 1372 BGB), ie, settlement (Ausgleich) is deferred. Thus, the spouse whose assets at the end of the marriage (Endvermgen (final assets)) exceed those owned by him or her at the beginning of the marriage (the Anfangsvermgen (initial assets)) must share the difference with his or her (former) partner, who has an Ausgleichsforderung (balancing claim): 1378(i). Other forms of Gterstand are Gtertrennung ((entire) separation of assets) and Gtergemeinschaft (community of property). These can be established by Ehevertrag (agreement between the spouses), which must be notarially documented and registered in the Gterrechtsregister at the Amtsgericht. See 13631390, 14081415 and 1558
392
Gterstand Gtertrennung Gterumlauf Gute Sitten Gteverhandlung Gteversuch Gutglubiger Erwerb Haftbefehl Haften (fr)
Haftgrund Haftpflichtversicherung Haftprfung Haftung
Haftungsbeschrnkung Haftverschonung Haltung Handakte Handel Handelsauskunft Handelsbrauch Handelsbcher Handelsfirma Handelsgeschft Handelsgesellschaft Handelsgesetzbuch (HGB) Handelsgewerbe
1563 BGB; Chapter X E; Chapter XIII D 6 (b) 2; Creifelds under Ehevertrag, Gtergemeinschaft, Gterrecht, eheliches, Gterrechtsregister, Gterstnde, Gtertrennung, Zugewinn, Zugewinnausgleich and Zugewinngemeinschaft property status (relationship) between spouses. See Gterrecht separation of assets/property. See Gterrecht; Chapter X F 3 (a) (ii) circulation of goods. See Chapter XIX B good morals. See Chapter X F 3 (c) (iv). See also Sittenwidrig(keit) conciliation proceedings. See also Einigungsstelle attempt to reach a settlement. See Chapter XIII D 2 (c) (v); Vergleich bona fide acquisition (of ownership). See Creifelds under Gutglubiger Erwerb; Chapter X D 3 (c) (ii); Chapter XIX B arrest warrant. See Chapter XVII B and Creifelds under Haftbefehl to be liable (for). It usually means the same as schulden (to owe), ie, wer schuldet, der haftet (he who owes is liable). The term can also refer to the extent of liability. See Haftung. Also Einstehenmssen (fr) ground (based on fact) for detaining a suspect in custody. See Chapter XVII C (Note 38) public liability insurance reexamination/review of custody. See Chapter XVII, Notes 26 B and 38 D liability. See Chapter X C 3 (a) (Title 1) (Note 126 D); Chapter XI B; Creifelds under Haftung; Brox (AS), Chapter 2, 2 III; Schwab (Einfhrung), Part III, Chapter 5 I (a) limitation of liability. See Chapter XI B; Chapter XXII D 9 exemption from custody, ie, suspension of an arrest warrant, bail. See Chapter XVII, Note 26 C point of view, position, stance. See also Stellungnahme (lawyers) file. See Chapter XXII D 4 and also Akte trade, commerce. See Chapter XIX A 2 trade information, credit reference commercial (trade) custom, usage. See Chapter XI B 5 (Note 58); Chapter XXII, Note 74 (trade) books. See Chapter XI C 4 (trade) firm (name). Also Firma commercial transaction. It can mean a trading enterprise (Unternehmen). See Chapter XI C 5 see Gesellschaft and Chapter XI A Commercial Code. See Chapter XI trading activity. See Chapter XI, Note 31; Chapter XI C 2 (a)
393
Handelskammer Handelskauf Handelsmakler Handelsrecht Handelsregister Handelsrichter Handelssache Handelsstand Handelsvertreter Handlung Handlungsfhigkeit Handlungsfreiheit Handlungsgehilfe
Handlungslehrling Handlungsort Handlungsvollmacht
Handlungswille Handwerk Handwerker Handwerksmeister Handwerksordnung (HandwO) Handwerksrolle Hauptbeweis Hauptintervention Hauptpartei Hauptpflicht Hauptstrafe Haupttermin Hauptverbindlichkeit Hauptverfahren
see Kammer fr Handelssachen trade purchase. See Chapter XI C 5 (trade) broker. See Chapter XI C 2 (e) and cf Makler commercial law. See Creifelds under Handelsrecht; Chapters XI and XIX A commercial (trade) register. See Creifelds under Handelsregister and Chapter XI C 2 (b) (honorary) commercial judge. See Creifelds under Handelsrichter and Chapter XXII A commercial matter. See Creifelds under Handelssache trade class(ification). See Chapter XI C 1 and 2 commercial/mercantile agent, factor, trade representative. See Chapter X, Note 31; Chapter XI C 2 (e) act(ion). See Rechtshandlung; Unerlaubte Handlung; Chapter XVI C 1 (a) capacity to act. See Chapter X, Note 5 freedom of action. See Chapter VIII C (Article 2(i) GG) trading assistant; also referred to as kaufmnnische(r) Angestellte(r). See Creifelds under Handlungsgehilfe; Chapter X, Note 31; Chapter XI C 2 (d) see Lehrling place at which an act is carried out. See Chapter XX, Note 25 authority to trade; trading power of attorney. See Creifelds under Handlungsvollmacht and Chapter XI C 2 (c). Cf Prokura will to act (at all). See Chapter X B 2 (b) (The term Willenserklrung) handicraft, manual activity. See Chapter XIX A 2 craftsman, handiman, manual worker. See Chapter XVIII, Note 2; Chapter XIX, Note 16 master craftsman Handicraft Order. See Chapter XIX, Note 16 Register of Craftsmen, Handicraft Register main evidence. See Chapter XIII B 7 (Note 10) and cf Gegenbeweis direct intervention. See Chapter XIII D 1 (f) (iii) main party. See Chapter XIII D 1 (f) (iii) main/prime obligation. Also Hauptverbindlichkeit. See Chapter X, Notes 126 F and 159; Chapter X C 3 (g) Expos (c) main punishment. See Chapter XVI D (main) hearing (in civil proceedings). See Chapter XIII D 2 (c) (iv), (v) and (vi) main obligation. Also Hauptpflicht. See Chapter X Note 159 main (criminal) proceedings. See Chapter XVII E and Creifelds under Hauptverfahren
394
Hauptverhandlung Hauptverhandlungshaft Hauptversammlung
main (criminal) hearing. See Chapter XVII E and Creifelds under Hauptverhandlung main hearing custody. See Chapter XVII F main assembly, (annual) general meeting (of shareholders in a public company). See Creifelds under Hauptversammlung (criminal) trespass to land. See Chapter XVII, Note 9 Regulation regarding the treatment of the matrimonial home and contents (1944). See Chapter XIII D 6 (b) 2 Law regarding the Revocation of Doorstep Transactions. See Chapter X B 2 (e) (Group remedies) handling (illegally acquired goods). See Chapter XVII, Note 38 C Holy Roman Empire (of the German Nation). See Chapter I (Note 7) to cure, make good, rectify cure, remedy. See Chapter XIII D 1 (f) (i); Chapter XIII, Note 96 home worker. See Chapter XVIII, Note 2 home (law). See Chapter XX, Note 25 to impede, suspend, temporarily stop (the running of a limitation period) young person (between 18 and 21); adolescent. Cf Jugendlicher (right to claim) the return, release of a Sache. See Vindikation; Chapter XIII D 8 (d) right of dominance. See Chapter X B 1 4 manufacturer, producer. See Chapter X C 3 (g) ( 631651 BGB); Chapter X, Note 126 J; Chapter XI, Note 42; Fabrikant; Unternehmer manufacture, production auxiliary application. See Chapter XIII, Note 41; Chapter XIII D 2 (c) (iii) auxiliary officer. See Chapter XVII, Note 22 accessory norm. See Chapter X B 1 4 (Note 18) assistant. See Chapter XI C 2 (c) to (e) on an auxiliary basis subsidiary application. See Chapter XVIII A (Note 1) clause in a company agreement enabling a member to be excluded by the others. See Chapter XI C 3 (b) (iv) to hinder, impede, prevent obstruct, stop sufficient(ly). See Chapter X B 2 (c) (Rules governing offer and acceptance); Chapter XIII, Note 96; Chapter XIV C depositor. See Chapter X C 3 (g) Expos Darlehen deposit (of property). Cf Anzahlung. See Chapter X C 3 (c) (Title 2)
395
Hausfriedensbruch Hausratsverordnung (HausratsVO) Haustrwiderrufsgesetz (HaustrWG) Hehlerei Heiliges Rmisches Reich (Deutscher Nation) Heilen Heilung Heimarbeiter Heimat(recht) Hemmen Heranwachsender Herausgabe(anspruch) Herrschaftsrecht Hersteller
Herstellung Hilfsantrag Hilfsbeamter Hilfsnorm Hilfsperson Hilfsweise Hilfsweise Anwendung Hinauskndigungsklausel Hindern Hinreichend Hinterleger Hinterlegung
Hinweis Hinweisen (auf) Historische Rechtsschule Hochschule Hchstpersnlich Hoheitlich
Hoheitsrecht Holschuld Homo homini lupus Honorar Honorarvereiribarung Hypothek Hypothekenbank Hypothekenbrief Idealkonkurrenz Im eigenen Namen Im Falle (von) Immanent Immaterialrechtsgut Immaterieller Schaden Immobilie(n) Im ffentlichen Interesse Im staatlichen Auftrag Im Zweifel Individualabrede Indizienbeweis
Indossament In dubio pro reo Industrie Informationsfreiheit Informationsgesellschaft In fremdem Namen In gutem Glauben
reference (to). See Chapter X B 2 (e) to point out, refer to historical school (of law). See Chapter I high school. See Chapter II C (Note 11) highly/most personal. See Chapter XIX A 2 official(ly); based on/endowed with/supported by formal/public legal authority/command. See Chapter II C and cf fiskalisch (individual) sovereign (state) power/right. See Chapter II, Note 3 see Leistungsort man is the wolf of man. See Chapter I (Note 10) (professional) fee. See Chapter XXII D 8 fee agreement. See Chapter XXII, Note 100 mortgage; cf Grundschuld. See Chapter X D 3 (h) mortgage bank. See Chapter XIX B mortgage certificate. See Chapter X D 3 (h); Chapter XIX B see Tateinheit in (ones, his, her, its) own name. See Kommissionr in the event (of) implicit in. See Chapter VIII B intellectual property. See Chapter X B 1 3 immaterial loss. See Chapter X, Note 118 see Grundstck(e) in the public interest. See Chapter XVII at Note 14 on state instructions. See Chapter XVI A (Note 3) in the event of doubt. See Chapter X F 4 (d) individually negotiated agreement. See Chapter X B 2 (e) circumstantial (or indirect) evidence (by means of Hilfstatsachen (auxiliary facts)). It can assist in establishing (concluding the truth of) a particular fact. Not to be confused with its sub-type Anscheinsbeweis. See Chapter XIII B 7 (Note 10) and Baur/Grunsky, 14 A 1 2 indorsement. See Chapter XIX B in case of doubt: for the accused. See Chapter XIII B 7 (Note 10) and Creifelds under In dubio pro reo. Cf ble Nachrede industry. See Chapter XIX A 2 freedom of information (access to public sources). See Creifelds under Informationsfreiheit; Chapter VIII C; Verkehr information(-based) society. See Preface to Second Edition, Note 9 in someone elses name. See Chapter XIII D 1 (f) (iv) (The term Vollmacht) in good faith. See Chapter X D 3 (c) (iii) (Bona fide acquisition
396
of ownership to movables). See also Chapter XI (Note 62) Inhaber(schaft) Inhaberpapier Inhaberzeichen Inhalt Inhaltskontrolle Inland Innengesellschaft Innenverhltnis Innerbetriebliche Grnde Inquisitionsprinzip person entitled, holder, owner, proprietor; entitlement, ownership. See Chapter X B 1 4 bearer security (Wertpapier) . See Chapter XIX B. Cf Orderpapier bearer sign. See Chapter XIX B content. See Chapter X C 3 (a); Chapter XIII, Note 96 (system of) control of content (of contract terms). See Chapter X, Note 23; Chapter X B 2 (e) inland, domestic territory, (within) national boundaries (ie, Germany). Cf Ausland internal company. See Chapter XI, Note 17 internal relationship. See Chapter XIII D 1 (f) (iv) internal business reasons. See Chapter XVIII, Note 14 inquisition principle (also referred to as the Ermittlungsgrundsatz or Untersuchungsgrundsatz). It applies in proceedings before criminal, administrative, finance and social courts and in FGG matters. Its opposite is the Verhandlungsgrundsatz. See Chapter XIII B 2, Chapter XIII B 7 (Note 10) and Creifelds under Inquisitionsprinzip insolvency. See also Zahlungsunfhig insolvency-proof. See Chapter XVIII B 4 Insolvency Order. Supercedes the Konkursordnung from 1.1.1999 insolvency administrator. See Chapter XVIII B 4 to maintain (in proper condition). See Chapter X C 3 (g) Expos (c) to repair, restore. See Chapter X C 3 (g) Expos (c) interest (in). See Chapter I jurisprudence based on (a balancing of) interests. Cf Begriffsjurisprudenz and see Chapter I representative of particular interests, lobbyist. See Chapter XI A 2 private international law. See Chapter XX effect of Nebenintervention invitation to treat (make offers). See Chapter X Note 66 incidental control (of a norm). See Chapter VII C by operation of law. See Chapter X F 4 (a) to deceive, mislead. See Chapter X, Note 220. Also Tuschen mistake. See Chapter X B 2 (b) (nullity and challengability of a Willenserklrung; Chapter X F 3 (c (iv) the court knows the law. See Chapter XIII D 2 (c) (iii) (Note
397
Insolvenz Insolvenzfest Insolvenzordnung Insolvenzverwalter Instandhalten Instandsetzen Interesse Interessenjurisprudenz Interessenvertreter Internationales Privatrecht Interventionswirkung Invitatio ad offerendum Inzidentkontrolle Ipso iure Irrefhren Irrtum Iura novit curia
Ius Ius civile Ius cogens Ius dispositivum Ius gentium Ius honorarium Ius naturale Ius privatum Ius publicum Jahresabschluss Jahreshauptversammlung Jederzeit Jenseits vernnftigen Zweifels Jugendamt Jugendgericht Jugendgerichtsgesetz (JGG) Jugendhilfe Jugendlicher Jugendstaatsanwalt Jugendstrafe Juristische Person
Juristische Person des ffentlichen Rechts Justiz Justizangestellte(r) Justizgewhrungsanspruch Justizielles Grundrecht Justizverwaltung Justizverwaltungsakt Kammer Kammer fr Handelssachen Kannkaufmann
98) and Creifelds under iura novit curia law, right. See Chapter I, Note 10 civil law. See Chapter I (Notes 3 and 6) compulsory law. See Chapter IX B dispositive law. See Chapter IX B law common to all mankind; public international law. See Chapter I, Notes 3 and 9 and Vlkerrecht honorary law (of the magistrate or praetor). See Chapter I (Note 6) natural law. See Chapter I, Notes 3, 9 and 10 private law. See Chapter I, Note 3 and Privatrecht public law. See Chapter I, Note 3 and ffentliches Recht annual statement (of a company) see Hauptversammlung at any time. See Chapter X C 3 (g) Expos (b); Chapter X F 3 (c) (ii); Chapter XVII, Note 38 D beyond reasonable doubt. See Chapter XIV B 7 Youth Office youth court, juvenile court. See Chapter XVI, Note 40 Juvenile Courts Law. See Chapter XVI, Note 40 youth welfare. See Creifelds under Kinder- und Jugendhilfe; Chapter VI, Note 4 youth (between 14 and 18). See Chapter XVI, Note 40 youth prosecutor. See Chapter XVI, Note 40 juvenile punishment. See Chapter XVI, Note 40 artificial/juristic person (of private or public law), legal entity. It can be (and often is) a corporate body. See Creifelds under Juristische Person, Chapter II C (Note 11), Chapter XI A 3 and Verein see Krperschaft des ffentlichen Rechts judicature. See Chapter XXII C 6 judicial clerk (general) right of (access to) justice. See Chapter VIII C. Cf Rechtsschutzbedrfnis (so-called) judicial basic right. See Chapter VIII, Note 36 judicial administration. See Chapter XXI A; Chapter XXII C 6. Cf Rechtspflege administrative act issued by a judicial authority in the field of Justizverwaltung. See Chapter XIV C 1 chamber (of a court; or of a professional or commercial body). See Creifelds under Kammer chamber for commercial matters. See Chapter XIII D 1 (e) voluntary businessman. See Chapter XI, Note 31
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Kapitalanlage Knpitalanteil
Kapitalaufbringung Kapitalgesellschaft
Kardinalpflicht Karenzentschdigung
Kassation Kauf Kufer Kaufmann
Kaufmnnische(r) Angestellte(r) Kaufmnnisches Besttigungsschreiben Kaufvertrag Kausalitt
investment. See Chapter XIX B (arithmetical) share in the assets (capital) of an OHG or KG. See Creifelds under Kapitalanteil; Chapter XI, Note 12. Cf Geschftsanteil raising of capital. See Chapter XIX B capital(ised) company, stock corporation. See Creifelds under Kapitalgesellschaft, Chapter XI A 2 and cf Personengesellschaft cardinal duty. See Chapter X B 2 (e) compensation during the period of restriction (under a Wettbewerbsverbot). See Chapter XI C (Competition by employees during and after employment) see Aufhebung purchase. See Creifelds under Kauf and Chapter X C 3 (g) (Title 1) ( 433514 BGB) purchaser. See also Erwerber businessman, merchant, trader. See Creifelds under Kaufmann and see Formkaufmann, Mukaufmann, Scheinkaufmann and Sollkaufmann. Cf Hndler (dealer) (trade) employee. See Handlungsgehilfe commercial letter of confirmation. See Creifelds under Besttigungsschreiben and Chapter X B 2 (c) purchase contract, contract of sale. See Chapter X C 2 2 and Kauf causation; also Urschlichkeit. See Chapter X, Notes 119 and 126 I; Chapter XVI C 1 (a); Creifelds under Kausalitt im Strafrecht causal connexion. See Chapter X Note 119 knowledge. See Chapter XVII B knowledge of the position. See Chapter X F 3 (c) (iv) (distinguishing) sign, (reference) number, badge. See Marke to characterize, distinguish, mark. See Chapter XIII, Note 96 chain. See Chapter X D 3 (h) child. See Chapter X E parenthood matter. It includes questions of paternity (Vaterschaft). See Chapter XIII D 6 (a) and 640(ii) ZPO ecclesiastical. See Chapter X E writ; (criminal) complaint, indictment; action; suit. See Creifelds under Klage and Chapters XIII C I, XIII D 2 (c), XV B and XVII E amendment of a writ. See Chapter XIII D 2 (c) (iii) application (to the court) in a writ. See Chapter XIII D 2 (c) (iii) type of writ. See Chapter XIII D 2 (c) (ii) and Chapter XV B
399
Kausalzusammenhang Kenntnis Kenntnis der Sachlage Kennpzeichen Kennzeichnen Kette Kind Kindschaftssache Kirchlich Klage
Klagenderung Klageantrag Klageart
Klagebefugnis
(term of administrative procedure) authority to sue, locus standi; used analogously in relation to the lodging of a Widerspruch (Widerspruchsbefugnis). See Chapter XV C. See also Prozefhrungsbefugnis see Klagegrund plaintiff defence to a writ. See Chapter XIII D 2 (c) (iv) procedure to compel a criminal prosecution by the Staatsanwaltschaft. See Chapter XVII, Note 40 B factual basis for a writ (ie, such facts asserted by the plaintiff as entitling him to sue), cause of action. Also called Klagebegrndung. See Chapter XIII D 2 (c) (iii) cumulation of claims. See Chapter XIII D 2 (c) (iii) statement of claim, writ See Chapter XIIID 2 (c) (i) submission(s) in the Klage (of the Klger). See Chapter XIII D 2 (c) (iii) aim of the action. See Chapter XIII, Note 96; Chapter XV D dead(ly) clause (in an agreement). See Chapter XI C 3 (b) (iv) small print See Chapter X B 2 (e) small businessman. See Chapter XI, Note 31 to fetter, restrain. See Chapter X Note 58 coalition (ie, trade union or employer association). See Chapter XVIII G freedom to form coalitions. See Creifelds under Koalitionsfreiheit and Chapter VIII C (Article 9(iii) GG) collision norm. See Chapter XX B limited partnership. See Gesamthandsgemeinschaft, Gesellschaft, Personengesellschaft and 161177a HGB. See also Creifelds under Kommanditgesellschaft a limited partnership (KG) capitalised by shaes, ie, organised along similar lines to a public limited company (Aktiengesellschaft). See 278290 AktG, Aufsichtsrat and Creifelds under Kommanditgesellschaft auf Aktien member of a KG with limited liability. See Chapter XI C 3 (c) commissioneer. See Chapter XI C 2 (e) communal body, local authority (Kreis or Gemeinde). See Creifelds under Kommunen and Chapter VI member of a KG with unlimited liability. See Chapter XI C 3 (c) see Schlssiges Verhalten concrete (adj) see Normkontrolle concurrence. See Chapter VIII, Note 10 and Chapter X, Note 188
400
Klagebegrndung Klger Klageerwiderung Klageerzwingungsverfahren Klagegrund
Klagenhufung Klageschrift Klagevortrag Klageziel Klar Klausel Kleingedrucktes Kleingewerbetreibender Knebeln Koalition Koditionsfreiheit Kollisionsnorm Kommanditgesellschaft (KG)
Kommanditgesellschaft auf Aktien (KGaA)
Kommmditist Kommissionr Kommune Komplementr Konkludentes Verhalten Konkret Konkrete Normkontrolle Konkurrenz
Konkurrierend Konkursgericht Konkursordnung (KO) Konnossement Kontaktsperre Kontrahierungszwang Kontrollrecht Kontrollstelle Konzentration Konzern Konzession
concurrent. See Chapter II B bankruptcy court. See Chapter XIII, Note 32 Bankruptcy Order (a statute). Since 1.1.1999 superceded by the Insolvenzordnung bill of lading. See Chapter XIX B contact ban. See Chapter XVII, Note 31 (the principle of) compulsory contracting. See Chapter X, Note 23 right of control. See Chapter XI C 3 b (ii) control point. See Chapter XVII, Note 25 concentration. See Chapter XIII B 6 see Unternehmensvertrag licence (for business purposes), trading licence. It is a particular type of permission (Erlaubnis). Admission to a particular business (Gewerbezulassung) is frequently dependent on fulfillment of conditions laid down in the Gewerbeordnung or in more specialized laws. See Creifelds under Gewerbe and Gewerbezulassung; Chapter XIV C 5 corporation. See Juristische Person public corporation. See Creifelds under Krperschaft des ffentlichen Rechts and Juristische Person bodily harm, injury. See Chapter XVII, Notes 9 and 38 C. See also Personenschaden correspondence lawyer. See Chapter XIII, Note 55 repayment/reimbursement of costs. See Kostenpflicht. fixing (taxation) of (procedural) costs. See Creifelds under Kostenentscheidung and Kostenfestsetzung; Chapter XIII D 1 (f) (v) and Chapter XXI B order for the fixing of costs. See Chapter XIII D 8 (b) (ii) Costs Order (for court and notary fees in non-contentious civil matters). See Chapter XXII D 8 and E duty to bear costs (of a dispute). The normal rule is that the unsuccessful party must reimburse them to the winner. See Chapter XIII D 1 (f) (v). However, in employment court proceedings a claim for repayment (Kostenerstattungsanspruch) is usually excluded ( 12a ArbGG) and in criminal proceedings costs must be borne by the person convicted ( 465 StPO). Court costs are not charged in social court proceedings ( 183 SGG). See Creifelds under Kostenpflicht and Kostenerstattungsanspruch see Gebhrenstreitwert (advance) payment on account of costs. See Chapter XIII D 2 (c) (i). See also Prozekostenvorschu Federal Motor Vehicle Office; in Flensburg. See Chapter IV, Note 2
Krperschaft Krperschaft des ffentlichen Rechts Krperverletzung Korrespondenzanwalt Kostenerstattung Kostenfestsetzung
Kostenfestsetzungsbeschlu Kostenordnung (KostO) Kostenpflicht
Kostenstreitwert Kostenvorschu Kraftfahrt-Bundesamt
401
Kraftfahrzeug Kraftfahrzeugfhrer Kraftfahrzeughalter Kraftlos Kredit Kreditgefhrdung Kreditinstitut Kreditmittel Kreditwesengesetz (KWG) Kreis
motor vehicle. See Chapter X Note 222 driver. See Chapter X, Note 222; Chapter XVII, Note 38 C keeper of a motor vehicle. See Chapter X Note 222 devoid of (legal) effect. See Chapter X F 5 (d) loan, credit. Also Darlehen. For the types of Kredit, see Chapter X D 3 (h) endangering of credit, harm to financial status. See Chapter VIII, Note 20 E credit institution. See Chapter X Note 211; Chapter X C 3 (g) (Title 10) means of obtaining credit. See Chapter XIX B Law concerning the Credit System. See Depotgeschft, Einlagengeschft regional authority (above a Gemeinde); also Landkreis; lit. circle (of a Land). See Chapter VI; Kommune; Creifelds under Kreis belonging to a Kreis. See Chapter VI (administrative) council of a Kreis. See Chapter VI free, independent of a Kreis. See Chapter VI and Creifelds under Kreisfreie Stdte local government law governing the Kreise in a Land. See Chapter VI parliament of a Kreis. See Chapter VI objection to military service. See Chapter VIII C and Creifelds under Kriegsdienstverweigerer criminal police. See Chapter XVII D authority in cultural affairs. See Chapter II, Note 7 favourable to the customer. See Chapter X B 2 (e) to give notice (of termination), cancel (notice of) termination; notice; dismissal; (unilateral) cancellation (of a contract). In respect of an employee, it can be ordentlich ( befristet (with notice)) or auerordentlich (fristlos (without notice)). See Creifelds under Kndigung and Entlassung des Arbeitnehmers. See also Auflsung, Gestaltungsrecht; Chapter X C 3 (g) Expos (f); Chapter XVIII B notice period. See Chapter XVIII B (employment) protection against Kndigung. See Chapter XVIII B and Creifelds under Kndigungsschutz fr Arbeitnehmer Employment Protection Law. See Chapter XVIII B Law regarding Copyright in Works of the Fine Arts and Photography (9.1.1907). See Chapter VIII, Note 20 C summons (for attendance), subpoena (of a person to a
402
Kreisangehrig Kreisausschu Kreisfrei Kreisordnung Kreistag Kriegsdienstverweigerung Kriminalpolizei Kulturhoheit Kundenfreundlich Kndigen Kndigung
Kndigungsfrist Kndigungsschutz
Kndigungsschutzgesetz (KSchG) Kunsturhebergesetz (KUG) Ladung
hearing, to attend court). See Creifelds under Ladung; Chapter XIII C F; Chapter XIII D 2 (c) (vi); Chapter XVII, Note 38 F Lager Lagerschein Lagerung Land, Lnder Lnderverwaltung Landesarbeitsgericht (LAG) Landesbehrde Landeseigene Verwaltung Landesgesetz Landesoberbehrde Landesregierung Landessozialgericht (LSG) Landesverfassung Landesverfassungsgericht Landeszentralbank Landfriedensbruch store, stock, depot. See Chapter XI C 5 storage certificate. See Chapter XIX B storage. See Chapter X, Note 166 (individual) state(s) (of Germany). See Chapter V (own) administration by the Lnder. See Landeseigene Verwaltung, Chapter II C and V B county employment court. See Creifelds under Landesarbeitsgericht and Chapter XXII C 3 authority of a Land. See Chapter V B (own) administration by a Land. See Lnderverwaltung and Chapter II C statute of a Land, state statute. Cf Bundesgesetz. See Chapters II B and VII C upper authority of a Land. See Chapter V B government of a Land. See Chapter V A county social (security) court. See Creifelds under Landessozialgericht and Chapter XXII C 4 constitution of a Land. See Chapter V A constitutional court of a Land. See Chapter VII C central (state) bank (of a Land) breach of the peace. The offence requires the use or threat of violence (Gewaltttigkeit) by a mob (Menschenmenge). See 125 StGB; Chapter XVII, Note 38 C. Cf Hausfriedensbruch county court; regional court; lit. court of a Land. See Creifelds under Landgericht and Chapters XIII D 1 (e), XIII D 2 (a) and XXII C 2 see Kreis chief executive of a Kreis; in Niedersachsen and Nordrhein-Westfalen: the Oberkreisdirektor. See Creifelds under Landrat and Chapter VI office of the chief executive. See Chapter VI parliament of a Land. See Creifelds under Landtag and Chapter V A long-term. See Chapter X C 3 (g) Expos (d) period, term (eg, of a loan). See Chapter X C 3 (g) Expos Darlehen leasing customer. See Chapter X C 3 (g) Expos (b) life. See Chapter VIII C (Article 2(ii), 1st sentence GG) marital fellowship, community (of life). See Chapter XIII D 6 (b) 3. Also eheliche Lebensgemeinschaft
403
Landgericht (LG)
Landkreis Landrat
Landratsamt Landtag Langfristig Laufzeit Leasingnehmer Leben Lebensgemeinschaft der Ehegatten
Lebenspartnerschaft
lifetime partnership (arrangement/relationship) (between persons of the same sex). Since 1.8.2001, it can be registered before a competent authority and creates a status largely equivalent to marriage. See Burhoff, ZAP, Fach 11, p 603 to run empty, have no practical effect. The term is mainly used with reference to basic rights. See Chapter II, Note 5 legality principle; obliges official intervention by a prosecuting authority. See Creifelds under Legalittsprinzip; Chapter XVII B; Chapter XVII E, Notes 39 and 40; cf Opportunittsgrundsatz legitimately document, ie, one that has legitimately effect. A Legitimationspapier can be einfach (simple) or qualifiziert (qualified). See Chapter XIX B (craftsmans) apprentice. Handwerkslehrling See Creifelds under
Leerlaufen Legalittsgrundsatz
Legitimationspapier
Lehrling Leibrente Leichte Fahrlssigkeit Leichtfertig Leihe Leistung
annuity, pension for life. See Creifelds under Leibrente and Chapter X C 3 (g) (Title 16) slight negligence. See Chapter XI B reckless(ly). See Chapter XVI, Note 50 gratuitous loan. See Creifelds under Leihe and Chapter X C 3 (g) (Title 4) performance (owed or carried out); achievement; accomplishment; service. In 812ff BGB, the term Leistung is used to mean eine Vermgenszuwendung (a grant of a financial benefit or advantage) or, as is often said, eine bewute und zweckgerichtete Mehrung fremden Vermgens (a conscious and purposeful increase in someone elses assets). For the purpose of 326 BGB, the term Leistung means a Hauptleistung rather than a Nebenleistung. See Creifelds under Leistung, Ungerechtfertigte Bereicherung and Gegenseitiger Vertrag II 2. See also Chapters X C 3 (a), X C 3 (b) and X C 3 (g) description of the act/object of performance (required by a contract). See Chapter X B 2 (e) (successful) performance. See Chapter X C 3 (a) and Leistungsort risk of performance. See Chapter X Notes 116 and 126 F (act of) performance carried out. See Chapter X C 3 (a) and Leistungsort writ claiming a Leistung. See Chapters XIII D 2 (c) (ii), XIV (Note 23 E) and XV B ground of action (condiction) under 812(i), 1st sentence, 1st alternative BGB to recover something (etwas=a financial advantage) from someone, who receives it without a legal basis (ohne rechtlichen Grund) due to me Leistung of the claimant. See Creifelds under Ungerechtfertigte Bereicherung and Chapter X C 3 (g) (Title 24)
404
Leistungsbeschreibung Leistungserfolg Leistungsgefahr Leistungshandlung Leistungsklage Leistungskondiktion
Leistungsnhe Leistungsort
proximity to an act of performance. See Chapter X, Note 135 A place of performance, ie, the place at which the Leistungshandlung must be carried out. It is sometimes referred to as the Erfllungsort. Usually, the Leistung has to be collected by the creditor from the debtor (a Holschuld) and the place of the Leistungshandlung and Leistungserfolg coincide: they are both at the Wohnsitz ((place of) residence) of the debtor ( 269(i) BGB). However, the Leistungsort and Erfolgsort can divergeas where the Schuldner has to send his Leistung (a Schickschuld eg, a Geldschuld). In that case, the Leistungsort is at the Schuldners address, but the Leistungserfolg occurs at the address of the creditor (as under 270 and 447 BGB). The Leistungsort is of importance in private international law in order to ascertain the applicable law and the legal venue (Gerichtsstand) in contractual disputes. See Creifelds under Leistungsort; Brox (AS), Chapter 4, 11 IV; Fikentscher, Section 3 ( 35); Klunzinger (Einfhrung), Part III, Chapter 2 ( 26 II); Chapter X C 3 (a) (Title 1); Chapter XX D 2 duty of performance. See Chapter X C 3 (a) right(s) to a Leistung; right(s) to a service (performance). See Chapter VIII A disruption, disturbance, irregularity of/in performance. See Chapter X C 3 (a) and (b) Titles 1 and 2 and Note 126 see Leistungspflicht service administration. See Chapter II C (Note 12); Chapter VI. Cf Eingriffsverwaltung right to decline performance. See Chapter X B 4 Expos time for performance. See Chapter X (Note 98) and Flligkeit model, example. See Chapter X B 2 (e) leading employee. See Creifelds under Leitende Angestellte and Chapter XVIII C the applicable law, governing law. See Chapter XX B the law of the forum (ie, the law applicable in the place where the case is heard). See Chapter XIII, Note 28 D, Chapter XX B and Note 25 B the law of the place of commission of die tort. See Chapter XX, Note 25 A a later law supercedes an earlier one. See Chapter II H a special law (takes precedence over a general one). See Sonderregel supplier. See Chapter XI, Note 42 delivery sale (ie, a contract to produce a vertretbare Sache and to obtain die necessary materials to do so). See Chapter X, Note 234
405
Leistungspflicht Leistungsrecht(e) Leistungsstrung Leistungsverpflichtung Leistungsverwaltung Leistungsverweigerungsrecht Leistungszeit Leitbild Leitender Angestellter Lex causae Lex fori
Lex loci delicti commissi Lex posterior derogat legi priori Lex specialis (derogat legi generali) Lieferant Lieferungskauf
Liegenschaft Lis alibi pendens Lizenz(vertrag)
see Grundstck proceedings/suit pending elsewhere (concurrently). See Chapter XIII, Note 101 licence (agreement). See Chapter X C 3 (g) Expos (b); Chapter XI, Note 42. Cf Erlaubnis; Fhrerschein; Konzession see Klagebefugnis continued pay in case of illness. See Creifelds under Entgeltfortzahlung im Krankheitsfall; Chapter XVIII, Note 13 attachment of earnings. See Chapter XIII, Note 168 wages tax. See Chapter XII, Note 13 localisation principle. See Chapter XXII, Note 58 Lombard transaction, ie, grant of a loan by a bank against creation of a Pfandrecht (lien). See Chapter X D 3 (h) (Note 280 D) to delete (from a list/register), to cross/strike off, erase, extinguish deletion, erasure, cancellation, discharge. See Chapter X D 3 (h); Chapter XIII D 8 (e) gap. See Chapter II, Note 22; Chapter X, Note 47; Chapter X B 2 (e); Chapter X F 3 (c) (iii) free of gaps, complete, seamless. See Chapter XIII, Note 67 power area of control (of the recipient). See Chapter X B 2 (b) (Validity of a Willenserklrung) (Note 43) imbalance/inequality of (bargaining) power. See Chapter X B 2 (e) (collective) magistrate; executive organ of a Gemeinde. See also Oberbrgermeister and Creifelds under Magistratsverfassung default notice. See Chapter XIII C I, D 1 (g) (ii) and Mahnverfahren. A similar English term (which has a certain function in the English law of bankruptcy) is: statutory demand warning. See Leistungsstrung and Verzug default notice procedure. See Creifelds under Mahnverfahren and Chapter XIII D 7 (civil law) agent, broker. See Creifelds under Makler and cf Handelsmakler brokers fee; also called Courtage (civil) agency contract. See Creifelds under Mklervertrag and Chapter X C 3 (g) (Title 8) client (of a lawyer); also Auftraggeber. See Chapter XXII D 4 brief, case. See Chapter XXII D 5. See also Anwaltsvertrag
406
Locus standi Lohnfortzahlung im Krankheitsfall Lohnpfndung Lohnsteuer Lokalisierungsprinzip Lombardgeschft
Lschen Lschung Lcke Lckenlos Macht Machtbereich (des Empfngers) Machtungleichgewicht Magistrat
Mahnbescheid
Mahnung Mahnverfahren Makler Maklerlohn Mtdervertrag Mandant Mandat
Mangel Mangels Masse Mantelgesellschaft
fault; defect. See Fehler(haft); Gewhrleistung; Chapter X, Notes 126 J, 166, 185, 189; Chapter XIII, at Notes 20 and 61 due to lack of assets/ substance (a term of insolvency law) a shell/skeleton company, ie, one which previously traded, but which has meantime suspended its business activities. Cf Vorratsgesellschaft principal (general) tariff agreement (regulating working conditions for a longer term) mark, stamp; brand, emblem, logo. See Creifelds under Marken. See also Kennzeichen brand name/branded goods. See Creifelds under Markenwaren; Chapter XI, Note 42 measure. See Chapter XIV C 1 and Chapter XVI D measure of improvement and security. See Creifelds under Maregeln der Besserung und Sicherung and Chapter XVI D material(ly) material law. See Chapter IX B ambiguous. See Chapter X B 2 (e) majority; multitude. See Chapter X C 3 (f); Chapter XIB 2; Chapter XII D majority principle. See Chapter XI B multi-party system. See Chapter II G multilateral. See Chapter X B 17 and X C 2 3 value-added tax. Also Umsatzsteuer opinion. See also Stellungnahme freedom of expression (opinion). See Creifelds under Meinungsfreiheit and Chapter VIII C difference of opinion. See Chapter XVIII D human right(s). See Chapter II, Note 34 human dignity. See Creifelds under Menschenwrde and Chapter VIII C element, characteristic (of). See Chapter X, Note 22; Chapter XVI, Note 17 rent(al). See Creifelds under Miete; Chapter X C 3 (g) Expos. Rental payment also called Mietzins hire-purchase. See Chapter X, Note 238 rental agreement, lease, tenancy. See Mietvertrag; Chapter X C 3 (g) (Title 3); Chapter XVIII, Note 6 (amount of) rent, ie, rental payment Also called Miete mitigating circumstances under the age of majority. Cf Volljhrig minor. See Chapter X B 2 (a) lesser businessman. See Chapter XI D 2 (a), Mukaufmann and Creifelds under Minderkaufmann
407
Manteltarifvertrag Marke Markenwaren Manahme Maregel der Besserung und Sicherung Materiell Materielles Recht Mehrdeutig Mehrheit Mehrheitsprinzip Mehrparteiensystem Mehrseitig Mehrwertsteuer Meinung Meinungsfreiheit Meinungsverschiedenheit Menschenrecht(e) Menschenwrde Merkmal Miete Mietkauf Mietvertrag Mietzins Mildernde Umstnde Minderjhrig Minderjhriger Minderkaufmann
Minderung Ministerprsident Miachten Mibrauchen Mitbestimmung(srecht)
abatement, reduction (in the price). See Chapter X, Note 189 prime minister; head of a Landesregierung. See Chapter V A to disregard, ignore to abuse. See Chapter X, Notes 47 C and 220; Chapter XIV C 6. See also Ausnutzen (right of) co-decision, co-determination; stronger than Mitspracherecht. see Creifelds under Mitbestimmung and Chapter XVIII C and F joint ownership by shares ( 1008ff BGB). It is a subcategory of the Gemeinschaft nach Bruchteilen. See Chapter X D 3 (c) (v) joint heir. See Chapter X F 4 (b) passenger. See Chapter XVII, Note 38 C right of membership. See Chapter XIX B right of co-determination, consultation. See Chapter XVIII E and cf Mitbestimmungsrecht joint perpetrators), accomplice. See Tter; Creifelds under Mittterschaft (joint perpetration); 25(ii) StGB. Cf Anstiftung, Beihilfe indirect(ly). See Chapter II C, Chapter IV, Chapter VIII A and Chapter X, Note 257 middle level. See Chapter V B contributory fault, contributory negligence. See Chapter X C 3 (a) ( 254 BGB); Chapter X, Note 183; Creifelds under Mitverschulden to assist (by way of cooperation). See Chapter III cooperation. Also Zusammenarbeit. See Chapter II H; Chapter X C 3 (g) Expos (c); Chapter X F 4 (b); Chapter XIII, Note 96; Chapter XVIII E murder. See Chapter XVII, Notes 11, 26 C and 38 B mistaken motive. See Chapter X, Note 47 D; Chapter X F 3 (c) (iv) oral principle. See Creifelds under Mndlichkeitsgrundsatz and Chapter XIII B 4 compulsory businessman; two types: Vollkaufmann (full businessman) or Minderkaufmann (lesser businessman). See Chapter XI C 2 (a) presumable, supposed(ly). Also Vermutlich. See Chapter XVI C 2 (b) neighbour. See Chapter X, Note 253 to correct, repair (a defect). Also Beheben, Beseitigen (subsequent) correction/ repair (of a defect). See Chapter X, Note 189 C in accordance with fair discretion. See Chapter XIII D 2 (d)
408
Miteigentum nach Bruchteilen
Miterbe Mitfahrer Mitgliedschaftsrecht Mitspracherecht Mittter
Mittelbar Mittelstufe Mitverschulden
Mitwirken Mitwirkung
Mord Motivirrtum Mndlichkeitsgrundsatz Mukaufmann
Mutmalich Nachbar Nachbessern Nachbesserung Nach billigem Ermessen
Nacherbe Nachfolgeklausel Nachforschungspflicht Nachgiebig Nachholen Nach Lage der Akten (Aktenlage) Nachla Nachlagericht Nachlakonkurs Nachlapfleger Nachlasache Nachlaverbindlichkeit Nachlaverwaltung Nachlieferung Nachteilig Nachtrag Nachverfahren Nachweisen Namensaktie Namenspapier Nebenabrede Nebenanspruch Nebenbestimmung Nebenforderung Nebengesetz Nebenintervenient Nebenintervention
subsequent heir. See Chapter X F 4 (e) succession clause (in company agreement). See Chapter XI C 3 (b) (iv) duty of investigation. See Chapter X, Note 259 yielding, indulgent. See Dispositiv to carry out anew, make up for. See Chapter XIII, Note 78 on die basis of the file(s). See Chapter XIII D 1 (g) (iii) See Chapter X F 4; Chapter XXII B; Erbschaft probate court. See Chapter X F 3 (c) (iv); Chapter X F 5 (d) and (e); Chapter XIII, Note 32 estate bankruptcy. See Chapter X F 5 (b) estate guardian, curator. See Chapter X F 5 (e) matter relating to a Nachla, probate matter. See Chapter XXII B debt of the estate. See Chapter X F 4 (b) and 5 (b) estate guardian, curator. See Chapter X F 5(b) further/subsequent delivery. See Chapter X, Note 116 disadvantageous, detrimental. See Chapter XIII D 3 (a) addendum, supplement; codicil. See Chapter X C 3 (g) Expos (d) see Vorbehaltsurteil to prove, show, verify, demonstrate share (in a public company) issued in the name of a particular person. See Chapter XIX B see Rektapapier collateral agreement. See Chapter X B 2 (e); Chapter X C 3 (g) Expos (d) accessory/collateral claim. See Chapter X, Note 266 B; Chapter XIII D 2 (c) (vi) collateral provision (to a VA). See Chapter XIV C 2 see Nebenanspruch secondary, accessory, collateral statute. See Chapter XVI A intervener. See Nebenintervention assistance to a party in the dispute as intervener; also called Streithilfe. See Creifelds under Nebenintervention, Chapter XIII D 1 (f) (iii) and Interventionswirkung collateral prosecution. See Creifelds under Nebenklage and Chapter XVII H collateral service. See Leistung; Chapter X D 3 (h) accessory duty. Breach can found a claim for positive Vertragsverletzung (PVV). See Chapter X B 2 (b) (Interpretation of a Willenserklrung) (Note 47); Chapter X C 3 (g) Expos (c)
409
Nebenklage Nebenleistung Nebenpflicht
Nebenpunkt Nebenstrafe Ne bis in idem
accessory (collateral, subordinate) point. See Chapter X B 2 (c) Failure to reach an Einigung accessory punishment. See Creifelds under Nebenstrafen and Chapter XVI D not twice in the same matter. No prosecution or punishment is possible again for the same crime. The equivalent principle in English law is the double jeopardy rule. See Creifelds under Ne bis in idem (Strafklageverbrauch); Chapter VIII C (Note 35); Chapter XVI, Note 5. Cf Chapter XIII C D (Note 15) noone is a good jurist, if he does not follow Bartolus. See Chapter I (Note 5) nobody can transfer to another person a greater right than he himself has. See Chapter X D 3 (c) (ii)/(iii), Notes 255 and 260 a share issued for a particular nominal value (Nennwert). Cf Stckaktie new division. See Creifelds under Neugliederung des Bundesgebietes and Chapter II F (Note 20) unauthorised (third) person. See Chapter X D 2 (v) and D 3 (c) (ii) (Bona fide acquisition of ownership to movables) non-existence, not to exist. See Chapter XIII D 2 (c) (ii) illegitimate (child). See Chapter X E and Creifelds under Nichteheliche Kinder failure to perform, non-performance, breach. See Chapter X, Notes 114 and 126 A non-appearance; a partys failure to attend a Termin. See Chapter XIII D1 (g) (iv) and Versumnis void; nullity. Can relate to a court decision, a Gesetz, a Willenserklrung, a Rechtsgeschft or a VA. See, respectively, Chapters VII C X B 2 (b) and XIV C 3. See also Creifelds under Nichtigkeit gerichtlicher Entscheidungen, Nichtigkeit von Gesetzen, Nichtigkeit von Rechtsgeschften and Nichtigkeit von Verwaltungsakten declaration of nullity (of marriage). See Chapter XIII D 6 (b) type of writ seeking Wiederaufnahme. See Chapter XIII D 4 (subsidiary) ground of action (conduction) under 812(i), 1st sentence, 2nd alternative BGB to recover something (etwas=a financial advantage) from someone, who obtains it without a legal basis (ohne rechtlichen Grund), not due to the Leistung of the claimant, but in sonstiger Weise (in another way). There are 3 types of Nichtleistungskondiktion: Eingriffskondiktion, Verwendungskondiktion and Rckgriffskondiktion. Cf Leistungskondiktion and see Chapter X C 3 (g) (Title 24) incapable of carrying rights and obligations (not possessing legal capacity). See Chapter II C (Note 11). Cf Rechtsfhig(keit)
410
Nemo bonus iurista nisi bartolista Nemo plus iuris ad alium transferre potest, quam ipse habet (Nemo dat, quod non habet) Nennbetragsaktie Neugliederung Nichtberechtigter Nichtbestehen Nichtehelich Nichterfllung Nichterscheinen Nichtig(keit)
Nichtigerklrung Nichtigkeitsklage Nichtleistungskondiktion
Nichtrechtsfhig
Nichtstun Nichtverhandeln
Nichtvermgensrechtlich Nichtvermgensschaden Nichtzulassungsbeschwerde
Niederlassung Niederlassungsfreiheit Niedersachsen Niederschrift Niebrauch Non liquet Norddeutscher Bund Nordrhein-Westfalen Norm Normkontrolle
Normkontrollverfahren Normzweck Notar Notarkammer Notfall Notfrist
Ntigung Notstand
Nottestament Notwehr
inaction, idleness. See Chapter X B 2 (c) a partys failure to make submissions at a Termin; equivalent to Nichterscheinen ( 333 ZPO). See Chapter XIII D 1 (g) (iv) non-monetary. See Chapter XIII D 3 (b) non-pecuniary loss. See Chapter X, Note 227 type of Beschwerde available in administrative, finance, social and employment proceedings against refusal of leave to appeal. See Chapter XIII, Note 135 See Sitz; Creifelds under Niederlassung. See also Filiale, Zweigniederlassung (branch office) freedom of establishment. See Chapter VIII C; Verkehr Lower Saxony. See Chapter V A written record. See Chapter X, Note 256; Chapter X F 3 (c) (i) and 5 (e); Chapter XXII E usufruct. See Creifelds under Niebrauch and Chapter X D 3 (e) (the matter is) not dear. See Chapter XIII B 7 North German Confederation. See Chapter I (Note 7) Northrhein-Westphalia. See Chapter V A norm, legal provision. Also Rechtssatz. See Preface to Second Edition, at Note 1; Chapter IX B norm-control (by a court); a norm-control reference to the BVerfG can be konkret (concrete: within particular proceedings) or abstrakt (abstract: on application). See Creifelds under Normenkontrolle and Chapters VII C and XV A norm-control procedure (eg, under 47 VwGO). See Normkontrolle purpose of a norm. See Chapter X, Note 219; Chapter XIII C 6 notary. See Creifelds under Notar and Chapter XXII E Notaries Chamber. See Chapter XXII E emergency. See Chapter XXI, Note 1 a Frist described as such in a statute and which cannot be extended or shortened. See Creifelds under Notfrist and Chapter XIII D 1 (g) (iii) duress. See Chapter X, Note 58 C (state of) emergency; can be a Rechtfertigungsgrund ( 34 StGB) or a Schuldausschlieungsgrund. An illegal act can be excused if it is carried out in an emergency (entschuldigender Notstand), although not if this was on the basis of an (avoidable) mistake (Putativnotstand) ( 35 StGB). See Creifelds under Notstand I; Chapter X, Note 58 C; Chapter XVI C 2 (b) and 3 (d) emergency will. See Chapter X F 3 (c) (i) self-defence; a person acting in Notwehr has a Rechtfertigungsgrund ( 32 StGB). If the appropriate
411
Notwendig Novelle Nulla poena sine culpa Nulla poena sine lege Nullum crimen sine lege Numerus clausus Nutzung Nutzungsherausgabe Nutzungsrecht Oberbegriff Oberbrgermeister
Oberfinanzdirektion Oberkreisdirektor Oberlandesgericht (OLG)
Oberpostdirektion Oberstaatsanwalt Oberste Bundesbehrde Oberste Bundesorgan(e) Oberste Landesbehrde Oberstes Landesgericht Oberstufe Oberverwaltungsgericht (OVG)
Obhut Objektive Bedingungen der Strafbarkeit Objektives Recht
Notwehr is exceeded (Notwehrexze), Schuld can be excluded. See Creifelds under Notwehr I and Chapter XVI C 2 (b) (Note 30) and 3 (d) (Note 50) necessary. See Chapter XIII D1 (f) (ii) and (v); Chapter XVII C (statutory) amendment supplement no punishment without blame. See Chapter XVI C (Note 16) no punishment without law. See Chapter VIII C (Note 36) and Chapter XVI A no crime without law. See Creifelds under Nullum crimen (nulla poena) sine lege and Chapter XVI A (Note 3) closed (fixed) number. See Creifelds under numerus clausus; Chapter VII C (Note 18); Chapter X D 1 benefit, profit. See Chapter X, Note 265 release/return of benefits). See Chapter X, Note 266 right of user; (copyright) licence. See Creifelds under Nutzungsrecht and Chapter X D 1 principal/upper term. See Chapter XVI, Note 35; Chapter XIX A 2 senior Mayor; executive organ of a larger Gemeinde. See also Brgermeister; Magistrat; Gemeindeverwaltung; Chapter VI; Creifelds under Oberbrgermeister Upper Finance Directorate. It is both a Bundesbehrde and a Landesbehrde. See Chapter IV see Landrat, Chapter VI and Creifelds under Oberkreisdirektor county court of appeal; superior (county) court (of a Land); upper regional court. See Creifelds under Oberlandesgericht and Chapters XIII D 3 (a) and XXII C 2 Upper Post Directorate. It used to be a Bundesbehrde. See Chapter IV senior state prosecutor (at the LG). See Chapter XVII B supreme federal authority. See Chapter IV and Creifelds under Oberste Bundesbehrden supreme organ(s) of the Bund. See Chapter in supreme authority of a Land. See Chapter V B Supreme County/State Court (in Bavaria). See Chapter XXII C 2 upper level. See Chapter V B administrative court of appeal; sometimes called Verwaltungsgerichtshof (VGH). See Creifelds under Oberverwaltungsgericht and Chapters XV A and XXII C 4 safekeeping, gaurd, care. See Chapter X C 3 (g) Expos (c); Chapter XVI, Note 24 objective conditions of punishability. See Chapter XVI C (Note 17) objective law. See Chapter X B 1 4
412
Obliegenheit Offene Handelsgesellschaft (OHG)
informal duty (ie, one falling short of a legal obligation). See Chapter X, Note 111; 43(ii) GmbHG open trading company. See Creifelds under Offene Handelsgesellschaft, Chapter XI A and Gesamthandsgemeinschaft, Gesellschaft and Personengesellschaft (patently) obvious(ly), well known. See Chapter XIII D 2 (c) (iii) (Note 97 2) evidently), obvious(ly). See Chapter XI, Note 69; Chapter XX, Note 6 (in) public public facility, amenity, establishment. See Chapter II C; Chapter VI (the) public power. See Chapter VII C public credence (eg, of the Land Register or a certificate of inheritance). See Chapter X D 3 (b); Chapter X F 5 (d) contract governed by public law, public contract. See Creifelds under ffentlich-rechtliche Vertrge; Chapter X B 2 (e); Chapter XIV B 3 public law. See Chapter IX and Creifelds under Recht II See also ius publicum public property. See Creifelds under ffentliche Sachen; Chapter XIV C 1 public document. See Chapter XXII E (the) publicity). See Chapter XIII, Note 136 the principle that a hearing (usually) takes place in public. See Creifelds under ffentlichkeitsgrundsatz and Chapter XIII B 5 official principle. See Chapter XVII, Note 13 without obligation. See Chapter X B 2 (c) without (a) legal basis. See Chapter X B 2 (a); Chapter X C 3 (g) (Title 24); Chapter X (Note 246); Leistungskondiktion without (a) substantial reason. See Chapter XIV C 6 (Note 34) opportunity principle; gives a Behrde discretion as to whether to intervene. See Creifelds under Opportunittsprinzip, Chapter XVII B and cf Legalittsgrundsatz ordinary, (in) proper (form). See Kndtgung ordinary jurisdiction; deals with civil, criminal and FGG matters. See Creifelds under Ordentliche Gerichtsbarkeit and Chapter XXII C 2 order security ie, in the name of a particular person or order. See Chapter XIX B; Creifelds under Orderpapier. Cf Innaberpapier order. See Chapter XVII D (Note 32) order authority. See Verwaltungspolizei see Ordnungsmittel proper. See Chapter X F 4 (b)
413
Offenkundig Offensichtlich ffentlich ffentliche Einrichtung ffentliche Gewalt ffentlicher Glaube ffentlich-rechtlicher Vertrag
ffentliches Recht ffentliche Sache ffentliche Urkunde ffentlichkeit ffentlichkeitsgrundsatz
Offizialprinzip Ohne Obligo Ohne rechtlichen Grund Ohne sachlichen Grund Opportunittsgrundsatz
Ordentlich Ordentliche Gerichtsbarkeit
Orderpapier
Ordnung Ordnungsbehrde Ordnungsgeld Ordnungsgem
Ordnungshaft Ordnungsmig Ordnungsmittel
see Ordnungsmittel correct(ly), proper(ty). See Chapter XIII D 1 (f) (i) measure to compel particular conduct or to punish for contempt of court. Can consist of a fine (Ordnungsgeld) or detention (Ordnungshaft) . See Beugemittel . Cf Zwangsmittel minor offence punishable by a fine (Geldbue) . See Creifelds under Ordnungswidrigkeiten and Chapter XVI B organ (of a corporate body); eg, of the Bund or a Land: see Creifelds under Organe der BRep and Chapters II C, III and V A. See also Chapter XI A 3. The term includes a constitutionally appointed representative (verfassungsmig berufener Vertreter) under 31 BGB and a special representative (besonderer Vertreter) under 30 BGB. A Rechtsanwalt is an Organ der Rechtspflege (organ of the administration of justice). See Chapter XXII D 2 organisational fault. See Chapter X C 3 (g) (Note 222) position/status of an Organ; position of responsibility, representative position. See Organ and Chapter X C 3 (g) (Note 222 C) dispute between (supreme) constitutional organs. See Creifelds under Organstreitigkeiten and Chapter VII C local. See Zustndigkeit normal in the (local) area, locality. See Chapter X D 3 (c) (i) (commercial) lease. See Creifelds under Pacht; Chapter X C 3 (g) (Title 3) contracts are to (must) be observed (performed). See Creifelds under pacta sunt servanda, Chapter I and Chapter X Note 47 D (commercial) lessee. See Chapter X C 3(g) Expos (b) science of the pandects. See Chapter I agreement on the draft text of a treaty by way of initialling. See Chapter II H parliamentary democracy. See Chapter III (Note 2) and cf Prsidialdemokratie party (to civil proceedings). See Chapter XIII D 1 (f) (i) conduct of proceedings by the parties. See Chapter XIII C C. Cf Amtsbetrieb capable of being (capacity to be) a party. See Creifelds under Parteifhigkeit and Chapter XIII D 1 (f) (i) See Prozehandlung party openness (principle). See Chapter XIII D 2 (c) (iii) party action. See Creifelds under Parteiproze, Chapter XIII D 1 (f) (iv) and cf Anwaltsproze
414
Ordnungswidrigkeit
Ordnungswidrigkeitengesetz (OWiG) Minor Offences Law. See Chapter XVI B (Note 9) Organ
Organisationsverschulden Organstellung
Organstreit(igkeit) rtlich Ortsblich Pacht Pacta sunt servanda
Pchter Pandektenwissenschaft Paraphierung Parlamentarische Demokratie Partei Parteibetrieb Parteifhig(keit) Parteihandlung Parteiffentlichkeit Parteiproze
Parteivernehmung Parteiverrat Parteivortrag Partnerschaftsgesellschaft Partnerschaftsvertrag Pausch(al)vergtung Personal Personalausweis Personalkrperschaft Personalrat
examination of a party (in a civil court). See Creifelds under Parteivernehmung party disloyalty, acting for both sides in a matter in breach of trust. See Chapter XXII D 5 submission(s) of a party. See Darstellung; Chapter XIII D 2 (c) (iii) (Note 97 4) partnership (company). See Chapter XXII D 9 partnership agreement. See Chapter XXII D 9 lump-sum (fixed) fee. See Chapter XXII, Notes 100 and 102 staff. See Chapter XI C 2 (d) see Ausweis personal corporation. See Chapter II C (Note 11) and cf Gebietskrperschaft personnel council (in public sector). See Creifelds under Personalvertretung (representation of personnel), Chapter XVIII C and cf Betriebsrat a personal company; as opposed to a Kapitalgesellschaft. See Creifelds under Personengesellschaft. Examples: BGBGesellschaft, OHG and KG. See Chapter XI (Note 17), Chapter XXII D 9 group of persons. See Chapter X B 2 (e); Chapter XIV C 1 personal injury. See Chapter X, Notes 126 J and 227. See also Krperverletzung alliance (group, union) of persons. See Chapter XI (Note 3) personal personality personality right. See Creifelds under Persnlichkeitsrecht and Chapter VIII C (Note 20) right of petition. See Chapter XV A mortgage bond (certificate). See Chapter XIX B pawnbroking. See Chapter X D 3 (h) (Note 280 D) pledge, lien. See Chapter X D 3 (h) (Note 280) distraint, seizure. See Creifelds under Pfndung and Chapter XIII D 8 (c) (v) court order for Pfndung of a debtors money claims, attachment order, garnishee order. See Chapter XIII D 8 (c) (v) distraint lien. See Chapter X D 3 (h) (Note 280 C) attendant, administrator, executive; nurse. See Chapter X E and also Rechtspfleger administration (over a person unable to deal with his or her affairs in the cases specified in 19091921 BGB). See Creifelds under Pflegschaft and Chapter X E
Personengesellschaft
Personenkreis Personenschaden Personenzusammenschlu Persnlich Persnlichkeit Persnlichkeitsrecht Petitionsrecht Pfandbrief Pfandleihe Pfandrecht Pfndung Pfndungsbeschlu Pfndungspfandrecht Pfleger(in) Pflegschaft
415
Pflicht Pflichtgem Pflichtteil Pflichtteilergnzungsanspruch Pflichtverteidiger
duty, obligation. See Chapter X C 3 in accordance with legal obligation, dutifully. See Chapter XIV C 6 compulsory portion (of an estate). See Creifelds under Pflichtteil; Chapter X B 4 (c); Chapter X F 1, 2 and 4 (g) a claim to supplement the compulsory portion (of an estate). See Chapter X F 4 (g) (iv) compulsory defender, compulsory defence lawyer. See Creifelds under Pflichtverteidiger; Chapter XVII C; Chapter XXII D 4; Chapter XXII, Note 100 final representations in a case by a lawyer in court. See Chapter XIII D 2 (c) (vi) see Verweisung plausible. See Chapter XV, Note 12 police. See Chapter XIV C 3 and Chapter XVII D police authority. See Verwaltungspolizei Police Chief/Commissioner/President, ie, head of the municipal/ regional police force police headquarters (executive) police officer, constable executive police service. See Chapter XVII D (Note 32) popular action. See Chapter XV C and Creifelds under Popularklage point, item (in a list or schedule); position. See Chapter XIII, Note 96 positive breach of contract. See Chapter X B 1 4 (Note 18), Chapter X B 2 (b) (Note 47), Chapter X C 3 (a) (Note 126 C); Chapter XVIII H; Chapter XXII, Note 74 capable of appearing (capacity to appear) (before a particular court), right of audience. See Creifelds under Postulationsfhigkeit and Chapter XIII D 1 (f) (iv) (case) precedent. See Chapter XIII C G. Cf Fallrecht presidential democracy. See Chapter in (Note 2) and cf parlamentarische Demokratie risk of (receipt of) the price. See Chapter X, Note 126 G price/performance ratio. See Chapter X B 2 (e) law governing the press. See Chapter VIII, Note 20 E press and information office of the federal government. See Chapter IV principle private autonomy (principle). See Chapter X B 6 private prosecution. See Creifelds under Privatklage; Chapter XVII B and H
416
Pldoyer Platzverweisung Plausibel Polizei Polizeibehrde Polizeiprsident Polizeiprsidium Polizeivollzugsbeamter Polizeivollzugsdienst Popularklage Position Positive Vertragsverletzung (PVV)
Postulationsfhig(keit)
Prjudiz Prsidialdemokratie Preisgefahr Preis-/Leistungsverhltnis Pressegesetz Presse- und Informationsamt der Bundesregierung Prinzip Privatautonomie Privatklage
Privatrecht Probezeit Produkthaftung Prokura Protestatio (facto contraria) non valet Protokoll Provision Proze Prozebevollmchtigter Prozefhig(keit) Prozefrderungspflicht Prozefzhrungsbefugnis
private law. See Creifelds under Privatrecht and Chapter IX. See also ius privatum trial (employment) period. See Chapter XVIII B product liability. See Chapter X, Notes 126 J, 188 and 227; Chapter XIII B 7 (Note 10) procura. See Creifelds under Prokura and Chapter XI C 2 (c) a reservation (which does not accord with the external circumstances) is ineffective. Also Vorbehalt. See Chapter X B 2 (b) (Note 50) protocol, minute Verhandlungsprotokoll (entry), deposition. Also
commission, fee. See Chapter XI C 2 (e) case, action, proceedings person possessing a Prozevollmacht capable of taking (capacity to take) steps in the proceedings. See Creifelds under Prozefhigkeit and Chapter XIII D 1 (f) (i) duty of the parties to further the proceedings. See Chapter XIII D 2 (c) (vi) right to conduct an action. See Creifelds under Prozefhrungsbefugnis and see Chapter XIII D1 (f) (iv). See also Klagebefugnis right to conduct an action. Also called Prozefhrungsbefugnis procedure fee. See Chapter XXII D 8 court hearing the case, action. See Creifelds under Prozegericht and cf Vollstreckungsgericht step in the proceedings. A Prozehandlung taken by a party is a Parteihandlung. See Chapter XIII D 1 (f) (i) and (iv) and Creifelds under Prozehandlung precondition for a Prozehandlung (eg, Parteifhigkeit, Prozefhigkeit, Prozevollmacht and Postulationsfhigkeit) obstacle to the proceedings. See Chapter X Note 20 costs (in (of) the proceedings). They comprise the Gerichtskosten and auergerichtliche Kosten. See Chapter XIII D 1 (c) and D 1 (f) (v). See also Creifelds under Prozekosten legal aid. See Chapter XIII, Note 53; Chapter XXII D 8 (Notes 101 and 110); Creifelds under Prozekostenhilfe; 114127a ZPO advance/payment on account of costs. See Creifelds under Prozekostenvorchu, Chapter XIII D 2 (c) (i); Unterhalt (interlocutory) direction from the court in the course of proceedings. See Chapters X D 2 (v) and XIII D 2 (c) (v) conduct/ direction of proceedings (by the court). See Chapter XIII C C; Chapter XIII, Note 69; Chapter XIII D 2 (c) (vii)
Prozefhrungsrecht Prozegebhr Prozegericht Prozehandlung
Prozehandlungsvoraussetzung Prozehindernis Prozekosten
Prozekostenhilfe
Prozekostenvorschu Prozeleitende Verfgung Prozeleitung
417
Prozerecht Prozestandschaft
procedural law. See Chapter IX B transfer of Prozefzhrungsrecht to someone who has no Sachlegitimation. See Creifelds under Prozestandschaft and Ermchtigung; Chapter XIII D 1 (f) (iv) material at issue (in a dispute). See Chapter XIII, Note 69 not prozefhig procedural judgment. It deals with (preliminary) procedural questions (eg, Zulssigkeit der Klage). See Creifelds under Prozeurteil and Zurckverweisung. Cf Sachurteil. See also Urteil and Zwischenurteil authority to act, power of attorney in proceedings. See Creifelds under Prozevollmacht and Chapter XIII D 1 (f) (iv) precondition for the proceedings. See Creifelds under Prozevoraussetzungen and Chapter XIII D 1 (f) (i). See also Sachurteilsvoraussetzung to examine, test, check. See Chapter X B 1 4 (Note 18) examination, test, check. See Chapter XXII A and D 3 standard against which an examination is (to be) made (measured). See Chapter VIII C (Note 23) duty of examination, duty to check. See Chapter XXII, Note 74 public law looks to the situation of the Roman state, private (law) to the advantage of single persons (ie, public law serves the interests of the state, private law the interests of the individual) (Ulpian). See Chapter IX A (Note 1) see Notstand where a person mistakenly believes he is acting in selfdefence. See Chapter XVI C 3 (d) (Note 54) characterisation. See Chapter XX B source. See Rechtsquelle what is not acknowledged by the gloss is not acknowledged by the court. See Chapter I (Note 4) proportion of (the amount recovered in) an action. It is forbidden for a Rechtsanwalt to agree (in advance) that he should receive it as his fee. See Chapter XXII D 8 frame(work). See Chapter II B and Chapter XXII D 8 grid search, ie, a computer-assisted search method based on a comparison of personal data according to certain criteria. It can be ordered to trace the perpetrator(s) of certain serious offences. See Chapter XVII Note 25 and Creifelds under Rasterfahndung advice; council. See Chapter X Note 215; Chapter XXII, Note 71 instalment (eg, on repayment (Zurckzahlung) of a loan (Darlehen)), rate ratification (of a treaty). See Chapter II H
Prozestoff Prozeunfhig Prozeurteil
Prozevollmacht Prozevoraussetzung
Prfen Prfung Prfungsmastab Prfungspflicht Publicum ins est, quod ad statum rei Romanae special, privatum quod ad singulorum utilitatem Putativnotstand Putativnotwehr Qualifikation Quelle Quidquid non agnoscit glossa, non agnoscit curia Quota litis
Rahmen Rasterfahndung
Rat Rate Ratifikation
418
Raub Ruberischer Angriff Rume Rumung Realakt Realkonkurrenz Reallast Rechnen mit (etwas) Rechnung Rechnungshof Recht
robbery. See Chapter XVII, Note 38 C aggression (assault) in the course of a robbery. See Chapter XVII, Note 38 C rooms, premises. See Chapter X C 3 (g) Expos (a) eviction. See Chapter X Note 266 pure factual act. See Chapter X B 1 8 and Chapter XV C see Tatmehrheit successive duty of supply from a property. See Chapter X D 3 (g) and Creifelds under Reallast to reckon with (something). See Chapter X B 2 (e) bill, invoice, statement. See Chapter X, Note 127 accounts court. See Chapter IV law; right. Can be understood in an objective or subjective sense. See Ius; Chapter IX B; Chapter X B 4; Creifelds under Recht. Cf Gesetz and Gerecht(igkeit) right to an established and exercised business. See Chapter VIII, Note 20 F; Chapter X, Note 266 C; Chapter XVIII, Note 53 right to consultation. See Chapter XVII, Note 38 H right of self-administration; autonomy. See Chapter VI right to possession. See Chapter X D 3 (c) (iv) and cf Besitz to justify justification justifying reason. See Chapter XVI C 2 and Einwilligung, Notwehr, Notstand see Anspruch auf rechtliches Gehr legally protected interest. See Chapter X B 1 4 legally binding. See Chapter X, Note 66 legal(ity). See Chapter XIV C 3 and Gesetzmigkeit der Verwaltung legitimate infringement (of a basic right). See Chapter VIII B harmonisation of law(s). See Preface to Second Edition; Chapter V, Note 1 lawyer. See Creifelds under Rechtsanwalt and Chapter XXII D Lawyers Chamber. See Chapter XXII D 6 legal opinion, view. Also Rechtsansicht. See Chapter XIII, Note 3 legal submission. See Chapter XIII, Note 3 legal term. See Unbestimmt (every form of) legal remedy, formal or informal; includes Rechtsmittel. See Creifelds under Rechtsbehelf and Chapter XV A legal relationship. See Rechtsverhltnis
419
Recht am eingerichteten und ausgebten Gewerbebetrieb Recht auf Konsultation Recht der Selbstuerwaltung Recht zum Besitz Rechtfertigen Rechtfertigung Rechtfertigungsgrund Rechtliches Gehr Rechtlich geschtztes Interesse Rechtlich verbindlich Rechtmig(keit) Rechtmiger Eingriff Rechtsangleichung Rechtsanwalt Rechtsanwaltskammer (RAK) Rechtsauffassung Rechtsausfhrung Rechtsbegriff Rechtsbehelf
Rechtsbeziehung
Rechtsbindungswille Rechtsfhig(keit)
will to be legally bound by ones act. See Chapter X B 2 (b) (the term Willenserklrung) capable of carrying (capacity to be a carrier of) rights and obligations; legally capable (legal capacity). See Chapter X B 1 1 and Creifelds under Rechtsfhigkeit. Cf Nichtrechtsfhig legal consequence. See Chapter X B 1 5; Chapter X B 1 7 and Chapter X C 22 mistake as to the legal consequence. See Chapter XVI C 3 (d) development of (the) law (by the judiciary). See Chapter X Note 47 E legal question; question of law. See Chapter XVIII D (Note 37) legal transaction; juristic act. In Latin: negotium. See Creifelds under Rechtsgeschft and Chapter X B 1 7 obligation arising from a Rechtsgeschft. See Chapter X C 2 3 similar to a Rechtsgeschft. See Chapter X B 1 7 creating or amending a legal relationship or situation. See Chapter XIV C 5 legal basis. See Chapters VII B and VIII, Note 15 asset of legal (social) importance. See Chapter X, Notes 219, 222 B, 266 C; Chapter XVI B legal action; legal act. See Chapter X B 1 8 (the fact that a matter is) sub judice, legally pending. See Creifelds under Rechtshngigkeit and Chapter XIII D 2 (c) (i) and (iii). Cf Anhngig legal assistance, cooperation. See Chapter XXI A. Cf Amtshilfe Order for Legal Assistance in Civil Matters. See Chapter XXI, Note 7 legal institution. See Chapter I, Note 13 legal force, legally binding nature (of a court decision); a decision has formelle Rechtskraft (formal legal force) when it can no longer be Challenged. This is a condition for the decision having materielle Rechtskraft (material legal force), ie, being final for the court and parties: res judicata. See Creifields under Rechtskraft; Chapter XIII C E and C H possessing Rechtskraft legal power. See Subjektives Recht defect in title. See Chapter X, Note 185. Cf Sachmangel (devolutive) legal remedy, appeal. See Creifelds under Rechtsmittel; Chapter XIII C H and D 3; Chapter XIII, Note 90. Cf Rechtsbehelf succession (to the right/interest/title of another person). Also Sukzession. It can be based on a Rechtsgeschft (eg, transfer
420
Rechtsfolge Rechtsfolgeirrtum Rechtsfortbildung Rechtsfrage Rechtsgeschft Rechtsgeschftliches Schuldverhltnis Rechtsgeschftshnlich Rechtsgestaltend Rechtsgrundlage Rechtsgut Rechtshandlung Rechtshngig(keit)
Rechtshilfe Rechtshilfeordnung in Zivilsachen (ZRHO) Rechtsinstitut Rechtskraft
Rechtskrftig Rechtsmacht Rechtsmangel Rechtsmittel
Rechtsnachfolge
of ownership) or arise from statute (eg, gesetzliche Erbfolge). See Chapter X, Note 255. See also Gesamtrechtsnachfolge Rechtsnorm Rechtsobjekt Rechtsordnung Rechtspflege Rechtspfleger legal norm. See Chapter VII B; Chapter IX B; Chapter XVIII, Note 52 legal object. See Chapter X B 1 3 legal system. See Chapter X B 1 4; Chapter XX B administration of justice. See Creifelds under Rechtspflege and Chapter XXII C 5 legal executive, ie, a civil servant who can conduct various judicial matters which are not entrusted to a judge. See Chapter XXII B and Creifelds under Rechtspfleger Law relating to the Rechtspfleger. See Chapter XXII B judicative power. Also Rechtsprechung. See Creifelds under Rechtsprechende Gewalt and Chapter II F judicature; case-law. See Creifelds under Rechtsprechung and Chapter II F legal source. See Chapters X A and XIV A legal reflex. Cf Subjektives Recht legal provision. Also Norm. See Chapter X B 1 5 (Note 22); Chapter X C 2 2 (Note 105) legal appearance, aura. See Chapter XI C 2 (c); Chapter XIII, Note 57; Chapter XVIII, Note 7 legal protection. See Chapter XXI A need for legal protection; also called Rechtsschutzinteresse. See Chapter XIII D 1 (f) (i); Chapter XIII D 6 (b) 1. See also Creifelds under Rechtsschutzbedrfnis; Stern, Part I, 12 right of everyone to protection of the courts (Article 19(iv) GG). See Creifelds under Rechtsweggarantie and Chapter VIII C see Rechtsschutzbedrfnis legal certainty. See Preface to Second Edition; Chapter II E; Chapter X, Note 260 legal sphere. See Chapter VII C state in which the (rule of) law prevails. See Creifelds under Rechtsstaat and Chapter II E legal dispute. Also Streit; Streitigkeit legal subject, person. See Creifelds under Rechtssubjekt and Chapter X B 1 2 legally ineffective, of no legal effect. Also Unwirksam legal relationship. See Chapter X B 1 5 statutory instrument, regulation, ordinance, edict. It is a legal provision (Rechtssatz) issued by the executive on the basis of a Gesetz. See Chapters VI, VII C, VIII B (Note 15) and XIV A. See also Gesetz and Zustimmungsgesetz
421
Rechtspflegergesetz (RPflG) Rechtsprechende Gewalt Rechtsprechung Rechtsquelle Rechtsreflex Rechtssatz Rechtsschein Rechtsschutz Rechtsschutzbedrfnis
Rechtsschutzgarantie
Rechtsschutzinteresse Rechtssicherheit Rechtssphre Rechtsstaat Rechtsstreit Rechtssubjekt Rechtsunwirksam Rechtsverhltnis Rechtsverordnung
Rechtsweg Rechtswidrig(keit) Rechtswissenschaft Rechtszug Rechtzeitig Referendar
legal route (to a particular court). See Creifelds under Rechtsweg and Chapters XIII D 1 (f) (i) and XV C illegal(ity). Also Widerrechtlich legal science, jurisprudence. See Preface to Second Edition, Note 1 (court) instance. See Chapter XIII A and D 2 in (good) time. See Chapter X C 3 (g) Expos (c); Chapter XIII D 2 (c) (v) a prospective Rechtsanwalt between the first and second Staatsprfung; after the second: Assessor. See Chapter XXII A and D 3. See also Creifelds under Referendar it is not permitted, on appeal, to amend a decision to the detriment of the appellant. See Creifelds under reformatio in peius; Chapter XIII, Note 131; Chapter XVI B (Note 14) to regulate, govern, settle (a matter) (legal) provision, rule, arrangement standard maintenance (for an illegitimate child). See Chapter XIII D 6 (c) and Creifelds under Unterhaltsproze regulatory question; question of regulation. See Chapter XVIII D (Note 37) government. See Chapter II, Note 8 governmental area, district. See Creifelds under Regierungsbezirk and Chapter V B president of the government (of a Regierungsbezirk). See Chapter V B court of registration. See Chapter XIII, Note 32 regress. Also Rckgriff Imperial Court. See Chapter X B 2 (e) Imperial Chamber (Court). See Chapter I Imperial Insurance Order. See Chapter XVIII H mature. See Chapter XVI, Note 40 travelling business/trade. See Chapter XIX B; Creifelds under Reisegewerbe travel contract. See Creifelds under Reisevertrag and Chapter X C 3 (g) (Title 7) see Vindikation security issued in favour of a specifically named person. Also Namenspapier. See Chapter XIX B relative right. Cf Absolutes Recht and see Chapter X B 1 4 religious instruction. See Chapter VIII C (Article 7 GG) and Creifelds under Religionsunterricht see Ertrag
422
Reforrnatio in peius
Regeln Regelung Regelunterhalt Regelungsfrage Regierung Regierungsbezirk Regierungsprsident Registergericht Regre Reichsgericht Reichskammergericht Reichsversicherungsordnung (RVO) Reif Reisegewerbe Reisevertrag Rei vindicatio Rektapapier Relatives Recht Religionsunterricht Rendite
Rentenschuld
regular land charge, ie, a property is charged not for a fixed amount, but as security for regular, successive payments. See Chapter X D 3 (h) and Creifelds under Rentenschuld see Rckverweisung the plaintiffs reply to a Klageerwiderung. See Chapter XIII D 2 (c) (iv) the matter has (already) been decided. See Chapter XIII C E type of writ seeking Wiederaufnahme . See also Nichtigkeitsklage appeal (on point of law). In civil proceedings, it can be of three types: a Wertrevision (appeal on value); a Zulassungsrevision (appeal with leave); or a Sprungrevision (leap-frog appeal). See Creifelds under Revision, Einheitlichkeit der Rechtsprechung and Chapter XIII D 3 (b) reception of Roman law (in Germany in the Middle Ages). See Chapter I (Note 6) Rhein Confederation. See Chapter I (Note 7) Rheinland-Palatinate. See Chapter V A judge. See Creifelds under Richter and Richtergesetze and Chapter XXII A Frist set by a judge. See Chapter XIII D 1 (g) (iii) development of the law by the judiciary. Also Richterrecht the judiciarys (inherent) right to check the validity and constitutionality of a Rechtsnorm. See Creifelds under Richterliches Prfungsrecht and Chapter VII B and C judge-made law. See Chapter I, Note 13; Chapter II, Note 23; Chapter X, Note 47 E; Chapter XIV A, Note 2. Also Richterliche Rechtsfortbildung judicial selection council. See Chapter XXII A directive. See Chapter XXII D 5; Creifelds under Richtlinien; Verwaltungsvorschrift return. See Chapter X, Note 138; Chapter X D 3 (h) regress. See Creifelds under Regre type of Nichtkistungskondiktion, where the claimant takes regress against a person, who has obtained a benefit at the formers expense withdrawal, taking back. Can refer to a Klage, Rechtsmittel or VA. See Chapter X F 3 (c) (ii); Chapter XIV C 4. Cf Rcktritt (to take into) consideration, account. See Chapter X, Notes 47 C and 135 B withdrawal, rescission, termination. See Creifelds under Rcktritt vom Vertrag; Chapter X C 3 (b) (Title 5); Chapter X Note 245 reference back, renvoi. See Chapter XX B
423
Renvoi Replik Res judicata Restitutionsklage Revision
Rezeption des rmischen Rechts Rheinbund Rheinland-Pfalz Richter Richterliche Frist Richterliche Rechtsfortbildung Richterliches Prfungsrecht
Richterrecht
Richterwahlausschu Richtlinie Rckgewhr Rckgriff Rckgriffskondiktion
Rcknakme Rcksicht(nehmen) Rcktritt
Rckverweisung
Rckwirkend Rckwirkung
Ruf Rge
Ruhen Rundfunk- und Fernsehanstalt
Sachbearbeiter Sachdienlich Sache
Sachenrecht Sachgebiet Sachgerecht Sachgesamtheit Sachherrschaft Sachkunde Sachlegitimation Sachlich Sachlichkeitsgebot Sachmangel Sach und Streitstand Sachurteil
Sachurteilsvoraussetzung
retrospectively. See Chapter X F 4 (f) and 5 (b). See also Ex tunc retrospective effect, application. See Creifelds under Rckwirkung von Gesetzen; Chapter II E; Chapter XVI A. Retrospective criminal legislation is absolutely forbidden (Article 103(ii) GG; but see Chapter XVI, Note 4) reputation. See Chapter VIII, Note 20 F objection, censure. See Einspruch, Einwendung and Einrede . The word can also mean a (disciplinary) reprimand. See Chapter XIII D 1 (f) (i); Chapter XXII D 7 to rest; the resting of. See Chapter XIII D 1 (g) (v) radio and television station; broadcasting institution. See Chapter II C (Notes 7 and 11). The first German television channel (the ARD (Arbeitsgemeinschaft der Rundfunkanstalten Deutschlands)) has no legal personality itself, but is merely an Arbeitsgemeinschaft (working group) (ie, a BGBGesellschaft) established by the various regional broadcasting stations. The respective regional producing station therefore has responsibility for particular programmes case manager, person in charge of/responsible for dealing with a matter conducive, helpful (to the matter), relevant. See Chapter XIII D 1 (g) (i) (corporeal) thing; matter. In Latin: res. See Creifelds under Sache; Chapter X B 1 3 and Chapter X D 1. See also Bestandteil and Zubehr law of property. See Chapter X D subject area. See Chapter V, Note 6; Chapter X A (Note 3) appropriate, proper. See Chapter XIII, Note 69 collection of Sachen. See Chapter X C 3 (g) Expos (a); Chapter X D 2 (iii) dominance over a Sache. See Chapter X D 2 (i) expertise, expert knowledge. See Chapter X, Note 215 legitimation (in proceedings); can be active or passive. See Chapter XIII D 1 (f) (iv) factual; pertinent; to the point; substantive duty to be relevant. See Chapter XXII D 5 defect/fault in a Sache. See Chapter X, Note 185; Chapter X C 3 (g) Expos (c). Cf Rechtsmangel and Falschlieferung (the) non-contentious and contentious subject-matter, position (in the case). See Chapter XIII D 2 (c) (vi) judgment on the substantive matter, point. It deals with the Streitgegenstand and decides whether a Klage is begrndet or not. Cf Prozeurteil (pre)condition for a (substantive) judgment in the proceedings. Also called Prozevoraussetzung and Zulssigkeitsvoraussetzung. See Chapter XIII D 1 (f) (i)
424
Sachverhalt Sachverstndiger Sachvorschrift Salvatorische Klausel Sammelverwahrung Sanierung Satzung
set of facts, position (in a particular case) expert. See Beweismittel; Chapter XVII, Notes 22 and 30 substantive legal provision. See Chapter XX B saving clause (eg, in an agreement, to protect against the risk of invalid provisions). See Chapter X B 2 (e) collective deposit. See Chapter XIX B reconstruction, rescue (of a business/company). See Chapter XVIII B 4 bye-law; company agreement, statute, memorandum/ articles (of association) of a Verein or Juristische Person. See Chapters VI, X B 2 (e), XI A 5 and XIV A. See Creifelds under Satzung. See also Gesetz. The Geschftsordnung of federal, state and local parliaments can be issued in this form. amendment of the articles (of a company) rule making assembly (of BRAK). See Chapter XXII D 5 damages, compensation. See Creifelds under Schadensersatz and cf Entschdigung. See also Chapter VIII, Note 20; Chapter X C 3 (a) (Title 1); Chapter X, Notes 119 and 227 damages for non-performance. See Chapter X, Note 126 I to indemnify. See Chapter XIII D 1 (f) (iii); Garantievertrag divorce. See Creifelds under Ehescheidung; Chapter X E; Chapter XIII D 6 (b) apparent businessman. See Chapter XIII, Note 57 pretended/feigned/ostensible self-employment. See Chapter XI, Note 40; Chapter XVIII, Note 2 (c) apparent (ostensible) authority. See Chapter XI C 2 (c) to fail. See Chapter X, Note 135 B gift, donation. See Chapter X C 3 (g) (Title 2); Chapter X F 3 (e) and 4 (g) (iv). Cf Zuwendung promise of a gift (for the future). See Creifelds under Schenkung; Chapter XXII E see Leistungsort court of arbitration. See Chapter XIII D 10 (official) arbitrator, who presides over the Shneverfahren and neighbour disputes. See Creifelds under Schiedsmann arbitration procedure. See Chapter XIII A and Chapter XIII D 10 arbitration award/decision. See Chapter XIII, Note 171; Chapter XXI A arbitration agreement. See Chapter XIII D 10 bad performance. Can found a claim for positive Vertragsverletzung (PVV)
425
Satzungsnderung Satzungsversammlung Schadensersatz
Schadensersatz wegen Nichterfllung Schadloshalten Scheidung Scheinkaufmann Scheinselbststndigkeit Scheinvollmacht Scheitern Schenkung Schenkungsversprechen Schickschuld Schiedsgericht Schiedsmann Schiedsrichterliches Verfahren Schiedsspruch Schiedsvertrag Schlechtleistung
<Schleppnetzfahndung
dragnet search, ie, a computer-assisted search method based on storage of personal data obtained at borders or other control points. It can be ordered to trace the perpetrator(s) of certain serious offences. See Chapter XVII, Note 25 and Creifelds under Schleppnetzfahndung crime merely requiring a particular activity. Cf Erfolgsdelikt and see Chapter XVI C 1 (a) pure administrative action, rather than Hoheitliches Verwaltungshandeln. See Chapter XV C mediation key concept/term. See Chapter VI, Note 6 apparently) well-founded(ness) (conclusive(ness)) (of a Klage). See Chapter XIII D 2 (c) (iii) and Creifelds under Schlssigkeit conduct amounting to, by implication to (a Willenserklrung). Also konkudentes Verhalten. See Chapter X B 2 (b) (The term Willenserklrung); Chapter X, Note 256; Chapter X F 5 (a) (ii); Chapter XIII, Note 57 test of apparent well foundedness. See Chapter XII D 2 (c) (iii) (Note 97) disparaging criticism. See The Tucholsky Cases damages for pain and suffering. See Creifelds under Schmerzensgeld; Chapter VIII, Note 20; Chapter X, Note 227. Cf Schadensersatz slush money. See Chapter X, Note 220 lay criminal judge, magistrate. See Creifelds under Schffen and Chapter XXII A lay magistrates court. See Chapter XXII, Note 37 cosmetic repair. See Chapter X C 3 (g) Expos (c) limit(s) of (a) basic rights); can in turn be subject to a Schranke-Schranke. See Creifelds under Grundrechte 4 and Chapter VIII B see Schranke unlimited. See Chapter X, Note 23 to write; letter. See Chapter XXII D 8 clause (in standard business terms) requiring amendments to be made in writing. See Chapter X B 2 (e) preliminary written procedure. See Creifelds under Mndliche Verhandlung and Chapter XIII D 2 (c) (iv) pleading. Can be vorbereitend (preparatory), bestimmend (definitive) or nachgereicht (lodged later). See Chapter XIII D 1 (g) (i) and Creifelds under Schriftstze (ordinary) written item, document. See Chapter XIII D 1 (g) (ii) blame, guilt (in criminal law); debt. See Chapter XVI C 3 and cf Verschulden
426
Schlichte Ttigkeitsdelikt Schlichtes Verwaltungshandeln Schlichtung Schlsselbegriff Schlssig(keit)
Schlssiges Verhalten
Schlssigkeitsprfung Schmhkritik Schmerzensgeld
Schmiergeld Schffe Schffengericht Schnheitsreparatur Schranke(n)
Schranke-Schranke Schrankenlos Schreiben Schriftformklausel Schriftliches Vorverfahren Schriftsatz
Schriftstck Schuld
Schuldanerkenntnis
(abstract) acknowledgement of debt. See Creifelds under Schuldanerkenntnis and Chapter X C 3 (g) (Title 20). Cf Schuldschein. See also Schuldversprechen appropriate to (the) Schuld. See Chapter XVID (at Note 73) reason excluding (justifying the exclusion of) Schuld. See Chapter XVI C 3 (d). See also Tatbestandsirrtum, Verbotsirrtum and Notstand accession of a debtor in addition to the existing one(s). Cf Schuldbernahme and see Chapter X, Note 157 capable of blame. See Chapter XVIC 3 (b). Cf Schuldunfhig debtor, obligor. See Chapter X C 3 (black) list of debtors. See Creifelds Schuldnerverzeichnis; Chapter XII D 8(e) under
Schuldangemessen Schuldausschlieungsgrund
Schuldbeitritt Schuldfhig Schuldner Schuldnerverzeichnis Schuldrecht Schuldschein Schuldtitel Schuldbernahme
law of obligations. Also Recht der Schuldverhltnisse. See Creifelds under Schuldrecht and Chapter X C IOU, debenture. See Chapter XI, Note 57. Cf Schuldanerkenntnis See Vollstreckungstitel substitution (of one debtor for another). See Creifelds under Schuldbernahme. Cf Erfllungsbernahme, Schuldbeitritt and Abtretung. See also Chapter X C 3 (d) and (e) incapable of (incapacity for) blame. See Chapter XVIC 3 (d) (Note 52) obligation (relationship). See Chapter X C; Creifelds under Schuldverhltnis and Schuldrecht promissory note, debenture. See Creifelds under Inhaberschuldverschreibung and Inhaberpapier. See also Chapter X C 3 (g) (Title 22) (binding) promise. See Chapter X C 3 (g) (Title 20). Cf Schuldanerkenntnis school system. See Chapter VIIIC (Article 7 GG) protection protected area. See Chapter VIIIA protective statute. See Chapter X C 3 (g) (Note 219) duty of protection. See Chapter X, Note 135 A; Chapter XVIII H protective pleading. See Chapter VIII, Note 20 G protective measure. See also Vorkehrung worthy of protection. See Chapter X F 3 (c) (iv) (to be) pending, remaining) in suspense, abeyance. See Chapter X B 2 (a) and (b) (Note 35) period of suspense. See Chapter X F 5 (a) to be silent; silence. Cf Stillschweigen. See Chapter X, Notes 31,40 and 71
427
Schuldunfhig(keit) Schuldverhltnis Schuldverschreibung aufden Inhaber Schuldversprechen Schulwesen Schutz Schutzbereich Schutzgesetz Schutzpflicht Schutzschrift Schutzvorkehrung Schutzwrdig Schweben(d) Schwebezustand Schweigen
Schweigepflicht Schwellenwert Schwerpunkt Schwierig(keit) Schwurgericht
duty of silence. See Chapter XVII C; Chapter XXII D 5. See also Geneimhaltungspflicht threshhold figure (value). See Chapter XVIII, Note 13 main/focal point. See Chapter X B1 2 difficult(y) a form of grand criminal chamber at a Landgericht dealing with particular serious offences. It decides guilt and sentence, unlike the jury court in the English system. See Chapter XXII, Note 37. sea trade. See Chapter XIC1 (right of) self-determination. See Chapter II G; Chapter X B1 6 self-help. See Creifelds under Selbsthilfe and Chapter X B 3 (principle of the) personal direction of a company by its members. See Chapter XIA 4 personal guarantee/surety. The giving of a personal guarantee means that, in the event of non-performance by the (main) debtor (Hauptschuldner), the creditor can proceed immediately against the guarantor (Brge) without having to attempt prior action (Vorausklage) against the main debtor nor first to realise security. See 771, 773(i) No 1 BGB; Brgschaft; Chapter X C 3 (g) Expos (e) self-defence. Also Notwehr. See Chapter X B 3 autonomous matters; also known as eigene Aufgaben. See Chapter VI self-governing corporation. See Chapter VI security. See Chapter XVII, Note 32; Chapter XIX B business safety. See Chapter X F 3 (c) (iv). Cf Rechtssicherheit safety officer. See Chapter XVIII H (provision of) security (for costs). See Creifelds under Sicherheitsleistung; Chapter X B 3; Chapter XIII D 1 (c); Chapter XIII D 8 (b) to secure to take into safekeeping. See Chapter XVII, Note 25 the securing of see Sicherungsvertrag security mortgage. It is a means of enforcement regarding a money claim. See Chapter XIII D 8 (c) (vi) (Note 185) security right. See Chapter X D1 transfer of ownership (of a movable) as security, chattel mortgage. See Creifelds under Sicherungsbereignung, Chapter X D 3 (c) (ii) (Note 257) and Chapter X D 3 (h) (Note 280 D). See also Besitzkonstitut
428
Seehandel Selbstbestimmung(srecht) Selbsthilfe Selbstorganschaft Selbstschuldnerische Brgschaft
Selbstverteidigung Selbstverwaltungsangelegenheiten Selbs tverwaltungskrperschaft Sicherheit Sicherheit des Rechtsverkehrs Sicherheitsbeauftragter Sicherheitsleistung
Sichern Sicherstellen Sicherung Sicherungsabrede Sicherungshypothek Sicherungsrecht Sicherungsbereignung
Sicherungsverfahren Sicherungsvertrag Sicherungsverwahrung Siedler
security proceedings. See Creifelds under Sicherungsverfahren and Chapter XVIII security agreement. See Chapter X, Note 257; Chapter X D 3 (h) placement/retention in secure custody. See Chapter XVID settler. Cf Aussiedler (German nationals driven out of former German territories in Eastern Europe); bersiedler (persons, who moved across to former West Germany from the DDR) (principle of) single admission (of Rechtsanwlte at a LG or an OLG). See Chapter XXIID 3 meaning, sense. See Chapter X F 3 (c) (iii) (in) breach of (contrary to) good morals. See Creifelds under Sittenwidrigkeit and Chapter X B 2 (b) (Note 58) seat, registered address (of a company). Other (business) terms in common use are: Niederlassung (office, place of business, branch; 13,29 HGB); Standort (base, location); Zentrale (headquarters). A (natural) persons Wohnsitz is his/her (place of) residence. See Chapter X B1 2; Chapter XIA 5; Chapter XIII, Note 28 C immediate enforcement (of a VA). See Creifelds under Vollziehung, sofortige, Chapter XIV C 3 and Chapter XVIII H see Sofortige Vollziehung a person who, due to the type and extent of his or her activities, should be a Kaufmann. See Chapter XIC 2 (a) special law. See Chapter IX A special law, right. See Chapter XIA1 special rule, provision. See Chapter X, Notes 126 G and 188; Lex specialis (right of (care and)) custody. See Elterliche Sorge care, diligence. See Chapter X, Note 126 D; Chapter XVIC 3 (c) standard of care observed in owns own affairs. See Creifelds under Sorgfalt in eigenen Angelegenheiten; Chapter X C 3 (b) Title 5 (Expos); Chapter X F 4 (e); Chapter XI B 1 duty of care. See Chapter X, Note 135 B and Chapter XI C 5. See also Verkehrs(sicherungs)pflicht Social (Security) Court. See Chapter XXII C 4 social jurisdiction. See Creifelds under Sozialgeriditsbarkeit and Chapter XXII C 4. See also Kostenpflicht Law relating to the Social (Security) Courts. See Chapter XXII C 4 Social Security Law. See Creifelds under Sozialgesetzbuch; Chapter X, Note 156 social support security, welfare. See Creifelds under Sozialhilfe; Chapter VI, Note 4
429
Singularzulassung Sinn Sittenundrig(keit) Site
Sofortige Vollziehung Sofortiger Vollzug Sollkaufmann Sondergesetz Sonderrecht Sonderregel Sorgerecht Sorgfalt Sorgfalt in eigenen Angelegenheiten Sorgfaltspflicht SoziaZlgericht (SG) Sozialgerichtsbarkeit Sozialgerichtsgesetz (SGG) Sozialgesetzbuch (SGB) Sozialhilfe
Sozialrecht Sozialstaat Sozialtypisches Verhalten Sparbuch Sparkasse Spediteur Spedition Sperren Spezial Spezialitt Spiel Sprungrevision Staatenbund S taatsangehrigkeit
Staatsanwalt(schaft) Staatsaufsicht Staatsbrger Staatsgebiet Staatsgerichtshof
Staatsgewalt Staatshaftung Staatskanzlei Staatskasse Staatsprfung Staatsrecht Staatsvertrag Staatsverwaltung Staatsvolk Stadt Stadtplanung Stadtstaat Stadtverordnetenversammlung
social security law. See Chapter II, Note 19 (social) welfare state. See Chapter VIII, Note 22 socio-typical behaviour. See Chapter X B 2 (c) (Note 70) savings book. See Chapter XIX B (public) savings bank. See Chapter VI, Note 4 carrier, forwarder, haulier. See Creifelds under Spediteur and Chapter X D 3 (h) (Note 280) forwarding (shipping) agency; shipment. See Chapter X, Note 166 and Chapter XIC 5 to bar, block (off), restrict; to ban, prohibit special. See Chapter X D 2 (iii) speciality. See Chapter X D 2 (iii); Chapter XXIC game. See Chapter X C 3 (g) (Title 17) leap-frog appeal (on a point of law). See Chapter XIII, Note 133 confederation (of states). See Creifelds under Staatenbund, Chapter I (Note 15) and Chapter II A citizenship, nationality. See Creifelds under Staatsangehrigkeit; Chapter XIV C 5; Chapter XX B. See also Ausbrgerung public prosecutors office); state attorney (s department). See Creifelds under Staatsanwaltschaft and Chapter XVII B state supervision. See Chapter V, Note 7 citizen state territory. See Chapter II, Note 1 constitutional court (in Baden-Wrttemberg, Bremen, Hessen and Niedersachsen). See Creifelds under Staatsgerichtshof and Chapter VII (Note 11) state power. See Creifelds under Staatsgewalt; Chapter II, Note 1; Chapter IIAandF state liability. See Chapter X Note 224; Chapter XXII, Note 19 state chancellery (of a Land). See Chapter V B state treasury. See Chapter XXII, Note 100 State Examination (eg, to become a Rechtsanwalt). See Chapter XXII A state law. See Chapter II, Note 1; Chapter IX A; Creifelds under staatsrecht (state) treaty. See Chapter II H; Chapter V, Note 1; Chapter XXIA state administration, executive. See Chapters II C, IV and V B state people, population. See Chapter II, Note 1 town, city. See Chapter VI town planning. See Chapter VI, Note 4 city state. See Chapter V A see Gemeindevertretung
430
Stammaktie Stammeinlage Stammkapital
Standesrecht Stndig Standort Steckbrief Stehendes Gewerbe Stelle Stellung Stellungnahme Stellvertreter Steuerbescheid Steuer(recht) Stichtag Stiftung
Stille Gesellschaft Stillegung Stillschweigen Stimme Stofflieferant Strer Strung Strung der Geistesttigkeit Strafantrag Strafanzeige Strafaufhebungsgrund Strafausschlieungsgrund
ordinary share (in a public limited company) basic/original share, stake (of a member in a company, ie, a Kapitalgesellschaft). See also Gesellschaftsanteil basic /original (share) capital (of a company, ie, a Kapitalgesellschaft; made up of Stammeinlagen). Called Grundkapital in the case of a public limited company (AG) rules of professional conduct. See Chapter XXII D 5 continuous(ly), constantly. See Handelsvertreter see Site warrant of apprehension. See Chapter XVII D (Note 38 E) and cf Haftbefehl standing /general /regular business. See Chapter XIX B point, place; office, job; digit. See Chapter XIII D 2 (c) (i) and Chapter XIV B3 position. See Chapter XI C 2 (c) comment(s), opinion, (statement of) position. See Chapter XIII, Note 3. See also uerung, Haltung, Meinung seeVertreter notice for the payment of taxes, tax assessment. See Creifelds under Steuerbescheid; Chapter XIV C 5 tax (law). See Chapter XIX; the terminology in Creifelds after Steuer (fixed) reference date. See Chapter XIII D 6 (b) 2 foundation; it can be one of private or public law. See Creifelds under Stiftung des Privatrechts and Stiftung ffentlichen Rechts. See also Chapter II C silent partnership. See Chapter XI C 3 (a) and (d) closure, shut-down (of a business). See Chapter XVIII, Note 14 silence. See Schweigen (individual) vote. See Chapter III, Note 3 supplier of materials. See Chapter X, Note 264 person responsible (for disruption, disturbance, interference, obstruction, trouble). See Creifelds under Strer disruption, disturbance, interference, interruption. See Creifelds under Gefahrenabwehr mental disorder. See Chapter X F 3 (c) (i) application for prosecution. See Creifelds under Strafantrag; Chapter VIII, Note 20 D; Chapter XVII A notice of an offence, complaint. See Creifelds under Strafanzeige and Chapter XVII A reason to lift a Strafe. See Strafausschlieungsgrund reason to exclude a Strafe. See Creifelds under Strafausschlieungsgrnde, Chapter XVIC 3 (d) and also Strafaufhebungsgrund suspension of sentence on good behaviour (probation). See
431
Strafaussetzung zur Bewhrung
Strafbarkeit Strafbefehl Strafbemessung Strafe Strafgesetzbuch (StGB) Strafkammer Strafprozeordnung (StPO) Strafrecht Strafrichter Straftat Strafverfahren Strafverfolgung Strafvollstreckung Strafvollzugsbehrde Strafvorbehalt Straenverkehrsgesetz Streik Streit S treitgegenstand Streitgenossen Streitgenossenschaft Streithilfe Streitig(keit) Streitkrfte Streitsache Streitverkndung Streitwert
Creifelds under Probation, Strafaussetzung and Chapter XVID punishability. See Chapter XVIA punishment order. See Creifelds under Strafbefehl and Chapter XVII E assessment of punishment. See Chapter XVI, Note 73 punishment. See Chapter XVID Criminal Code; Penal Code. See Creifelds under Strafgesetzbuch and Chapter XVIA criminal chamber (at a Landgericht). See Chapter XXII, Note 37 Criminal Procedure Order. See Creifelds under Strafproze(recht) III and Chapter XVII A criminal law. See Creifelds under Strafrecht and Chapter XVI single criminal judge. See Chapter XVII A (Note 4) and Einzelrichter (criminal) offence, crime. It can be a Verbrechen or a Vergehen: see Chapter XVIB criminal (punishment) proceedings. See Chapter XVII pursuit of crime; prosecution. See Chapter XVII D (Notes 11 and 33) enforcement of punishment. See Chapter XVIIA and J prison authority. See Chapter XXIIC 6 reservation of punishment. See Chapter XVID and Verwarnung Road Traffic Law. See Chapter X Note 222 E; Chapter XVI B (Note 9); Creifelds under Straenverkehrsrecht strike. It is a means of Arbeitskampf. See Chapter XVIII G and Creifelds under Streik dispute. Also Rechtsstreit object of the action, matter in dispute. Also Streitsache. See Chapter XIII D 2 (c) (iii) joint parties. See Chapter XIII D1 (f) (ii) and Strtitgenossenschaft joinder of parties. See Creifelds under Streitgenossenschaft in dispute, disputed, contentious; dispute. See Chapter VII, Note 10 see Nebenintervention armed forces. See Chapter XIV, Note 1 see Streitgegenstand notification of dispute, third party notice. See Creifelds under Streitverkndung and Chapter XIII D 1 (f) (iii) value of the (matter in) dispute. See Creifelds under Streitwert and Chapter XXII D 8
432
Strengbeweis Stckaktie
Stckschuld Stufenklage Stundensatz Stundung Sub judice Subjektives ffentliches Recht Subjektives Recht S ubsidiarittsprinzip Substantiierung Subsumtion S hneverfahren Syndikus(anwalt)
Tagessatz Tantieme Tarifvertrag Tarifvertragsgesetz (TVG) Tat(be/um)standsirrtum
Tatbestand
Tatbestandsmig(keit) Tatbestandsmerkmal Tateinheit Tter
(the principle of) strict evidence. See Chapter XX E. Cf Freibeweis and see Beweismittel a single (proportionate) share in the capital of an Aktiengesellschaft . See Chapter XII, Note 10. Cf Nennbetragsaktie specific (individual) debt. See Chapter X, Note 116 step action. See Chapter XIII, Note 96; Chapter XIII D 2 (c) (iii); Chapter XIII D 6 (b) 2 (v) and 3 (b) hourly rate. See Chapter XXII, Note 101 respite. It postpones the Flligkeit of a Leistung. See Chapter X (Note 98) see Rechtshngig public subjective right. See Chapter X B 1 4 (at Note 21) and Creifelds under Subjektives ffentliches Recht subjective legal right. See Creifelds under Subjektives Recht and Chapter X B 1 4. a Rechtsreflex subsidiarity principle. See Creifelds under Subsidiaritt; Chapter V, Note 6; Chapter VII C, Note 16 substantiation. See Chapter XIII, Note 67; Chapter XVIII, Note 14 subsumption (of facts under a legal norm). See Chapter X C 2 2 (Note 105) conciliation proceedings (precondition for certain types of private prosecution). See also Gteverhandlung in-house lawyer. He cannot represent his employer in his capacity of Rechtsanwalt before a court. See Chapter XXII, Notes 59 and 67 daily rate. See Chapter XVI D share of profits, royalty. See Chapter XIII E tariff agreement. See Chapter XVIII G. See also Manteltarifvertrag Law relating to Tariff Agreements. See Chapter XVIII G (Note 52) mistaken belief that an element of a (criminal) Tatbestand does not exist. It is a Schuldausschlieungsgrund ( 16 StGB). See Chapter XVI C 3 (d) substantive part of a legal norm, its content; to be distinguished from its Rechtsfolge. See Chapter X B 1 5 (Note 22); Chapter XIV C 6 and Chapter XVI C See alsoUrteil (in) accordance with a Tatbestand element of a Tatbestand. Also called a Tatumstand. See Chapter XVI, Note 19 unity of act; ideal concurrence. See Chapter XVI, Note 73 perpetrator (of a crime). See Creifelds under Tter, Chapter XVI C 1 (b) and C 3. See also Mittter
433
Ttig(keit) Tatmehrheit Tatort Tatsache Tatschlich Tatschliche Vermutung Tatsachenvermutung Tauglich(keit) Tausch Tuschen Taxe Teilhaber Teilklage Teilnahme am allgemeinen Verkehr Teuung Teilurteil Telekommunikationsgesetz (TKG) Tendenzbetrieb Termin Testament Testamentsvollstrecker Testierfreiheit Tilgung Titel Tod Todeserklrung Totschlag Traditio Troditionspapier Trger Tragweite
active(ity). See Chapter X, Notes 159 and 166; Chapter XXII, Note 59 plurality of acts; real concurrence. See Chapter XVI, Note 73 place of commission/scene (of a tort or crime). See Chapter XX, Note 25; Chapter XVII, Note 37 fact. See Chapter XIII D 1 (g) (i) actual; in fact; really. See Chapter X D 2 (i) actual presumption. See Vermutung presumption of fact. Cf Tatschliche Vermutung and see Chapter XIII B 7 (Note 10) fit(ness), useful(ness) (for). See Chapter X C 3 (g) Expos (c) exchange, barter. See Chapter X C 3 (g) IV and Creifelds under Tausch to deceive, defraud. See Arglistige Tuschung, Betrug, Irrefhren official rate for certain work. See Creifelds under Taxen; Chapter X, Note 166 shareholder, participant. See Gemeinschaft nach Bruchteilen and Chapter XIA3 partial claim. See Chapter XIII, Note 96 participation in general traffic. See Chapter XVIII H division, separation. See Chapter X F 4 (a) partial judgment. See Urteil Telecommunications Law. See Chapter II, Note 15 Betrieb with a particular social purpose hearing (date), appointment, date. See Chapter XIII C F; Chapter XIII D 1 g (iii) will. See Creifelds under Testament and Verfgung von Todes wegen; Chapter X D 2 (v), Chapter X F and Chapter XXII E executor. See Chapter X F 4 (b) and (i) testamentary freedom. See Chapter X F 2 and 3 (b) (re-)payment, discharge, redemption. Also Ablsung. See Chapter X D 3 (h) title; can include a court judgment. See Chapter XIII D 8 (b) death. See Chapter X B 4 (c) ( 1922(i) BGB) declaration of death. See Creifelds under Todeserklrung and see Chapter XE manslaughter. See Chapter XVII, Note 38 B see bergabe see Chapter XIX B carrier(s). See Rechtsfhigkeit and Verwaltungstrger range, implication, effect. See Chapter XXIIE
434
Transformationsgesetz Transparenzgebot Tratte Trennung Treuepflicht Treuhnder Treu und Glauben
See Zustimmungsgesetz transparency principle. See Chapter X B 2 (e) see Wechsel separation. See Chapter X F 5 (b); Chapter XIII D 2 (c) (iii) and D 6 (b) 3. See also 1567 BGB duty of loyalty (eg, of an employee). See Chapter XI B; Chapter XVIII H (Note 61) trustee. See Chapter X Note 220 (principle of) trust and good faith. It applies throughout German private, public and procedural law. See Creifelds under Treu und Glauben; Chapter X B 2 (b) (Note 47), (d) and (e); Chapter XIII D 1 (f) (i); see also 157, 162 and 242 BGB to do; can also mean act (noun). See Chapter XVIC 1 (b) free choice of type. See Chapter X D 2 (ii) and cf Typenzwang compulsory/fixed choice of type. See Chapter X F 3 (b). Cf Typenfreiheit transfer of ownership. See Chapter X D 3 (c) (ii)/ (iii) agreement, convention. See Chapter XXIA to convict (of a criminal offence). Also Verurteilen seizure item, ie, found on a person when arrested transfer of physical possession, handing over, delivery (of). See Chapter X Note 234; Chapter X D 3 (c) (ii)/(iii) transfer, transition to let someone have, leave, hand over (something) (to somebody) handing over, cession, grant. See Chapter X C 3 (g) Expos (c) prohibition of excess. See Creifelds under bermaiverbot and Chapter VIIIB transmission. See Chapter XVII, Note 25 acquisition, takeover dominance. See Chapter IX B local matters extending beyond the area/capacity of a Gemeinde. See Chapter VI to check, reexamine, review. See Chapter XVIII, Note 14 to surprise. See Chapter X B 2 (e) surprise decision. See Chapter XIII, Note 3; Chapter XIII D 2 (c) (vi) see berraschen to transgress, exceed. See Chapter XIV C 6 and Chapter XVIC 3 (d) (Note 52) over-indebted. See Chapter X F 5 (b). Cf zahlungsunfhig
435
Tun Typenfreiheit Typenzwang bereignung bereinkommen berfhren berfhrungsstck bergabe bergang berlassen berlassung bermaverbot bermittlung bernahme berordnung berrtliche Angelegenheiten berprfen berraschen berraschungsentscheidung berrumpeln berschreiten berschuldet
berschu excess balance, surplus. See Chapter X F 4 (b) bersetzung bertragen bertragene Aufgaben bertragene Geschfte bertragung berwachung berweisung berweisungsvertrag berwiegend berzeugen berzeugung Ubi ius, ibi remedium ble Nachrede translation. See Chapter VIII, Note 18 to transfer, allocate, transmit transferred or allocated tasks, matters. Also Auftragsangelegenheiten. See Chapter VI transferred business, matters. See Chapter XXII B transfer; allocation; transmission. See bereignung monitoring, surveillance. See Chapter XVII, Note 25; Chapter XIX B (bank) transfer (of funds). See Chapter XIII, Note 182 contract to undertake a bank transfer. See Chapter X C 3 (g) (Title 10) predominantly, mainly to convince conviction, firm belief. See Beweiswrdigung where there is a right, there is a remedy. See Chapter X, Note 16 defamation/slander/offensive gossip (186 StGB). See Chapter VIII, Note 20 E; Chapter XVI, Note 35. Unlike Beleidigung (insult), this offence requires a statement of fact (Tatsache). It is a defence, if the fact is demonstrably true (erweislich wahr). However, the defendant bears the detriment of any remaining doubt as to its truth (contrary to the general rule in dubio pro reo). Cf Verleumdung final measure, step; last resort. See Chapter XVID fresh interpretation. See Chapter VIII, Note 6; Creifelds under Umdeutung; 140 BGB extent, range, breadth, width. See Chapter XI, Note 25; Vollmacht circumvention, avoidance. See Chapter XVIII, Note 2 (c); Chapter XX, Note 6; Chapter XXII D 5 to rearrange, redesign, reshape, transform. See Chapter X C 3 (b) Title 5 (Expos) rearrangement, reshaping. See Chapter XIII D 2 (c) (ii) reversal of the burden of proof. See Preface to Second Edition, Note 11 A; Chapter X Notes 126 J and 135 A; Chapter XIII B 7 (Note 10) opposite conclusion (by reversal of argument/argumentum e contrario). See Chapter X Note 47 E circulation current assets turnover decline in turnover. See Chapter XVIII, Note 14 see Mehrwertsteuer
436
Ultima ratio Umdeutung Umfang Umgehung Umgestalten Umgestaltung Umkehr der Beweislast
Umkehrschlu Umlauf Umlaufvermgen Umsatz Umsatzrckgang Umsatzsteuer
Umstand Umstellung Umwandlung Umweltrecht Umweltschutz Unabhngig(keit) Unabwendbares Ereignis Unanfechtbar(keit) Unangemessen Unaufschiebbar Unbedingt Unbegrndet Unbeschrnkt Unbestellbar Unbestimmt Unbestimmter Rechtsbegriff Unbeweglich Unbewut Unbillig Unbrauchbarmachung Undurchsichtig Unecht Unehelich Unentbehrlich Unentgeltlich Unerheblich Unerllich Unerlaubte Handlung Unfallort Unfallschutz
circumstance. See Chapter X F 3 (c) (iii) conversion, change (to) conversion, transformation environmental law. See Chapter XV C (Note 12); Chapter XIX protection of the environment. See Chapter VI, Note 5 independent(ce). See Chapters II G, XIII (at Note 30), XXII A and XXII D 2 unavoidable event (a defence against liability for a road traffic accident: 7 (ii) StVG) non-(un-)challengable(ility). See Chapter XVIII H (Note 56 B) improper, inappropriately). See Chapter X B 2 (e); Chapter XXII, Note 101 incapable of postponement. See Besorgnis der Befangenheit; Chapter XIV C3 unconditionally, definitely. See Chapter XIIID1 (f) (i) unfounded. Cf Begrndet unlimited. See Chapter X F 5 (b); Chapter XIC 3 (b) (i) undeliverable. See Chapter XIII D1 (g) (ii) indefinite. See Chapter X C 3 (g) Expos (d) indefinite legal term. See Creifelds under Unbestimmte Rechtsbegriffe and Chapter XIV C 6. Cf Ermessen immovable (adj). Cf Beweglich unconscious (non-medical sense). See Chapter XVIC 3 (c) inequitable, unfair. See Chapter XIV, Note 23 C. See also Billig rendering (something) useless; neutralisation (of). See Creifelds under Unbrauchbarmachung and Chapter XVID intransparent, obscure, opaque. See Chapter X B 2 (e) not genuine, false, artificial. See Chapter XVIC1 (b) illegitimate (child). Also Nichtehelich see Unerlilih; Chapter X B 2 (e) gratuitous(ly). Also Gratis insignificant, unimportant. See Chapter X C 3 (g) Expos (c) essential, indispensable. See Chapter XVID tort, tortious act. See Creifelds under Unerlaubte Handlung, Delikt; Chapter X C 3 (g) (Title 25); Chapter XX, Note 25 scene of the accident. See Chapter XVI, Note 23 protection against accident. See Creifelds under Unfallschutz and Chapter XVIII H
437
Unfallverh tungsvorschriften Ungerechtfertigte Bereicherung
regulations for the prevention of accidents. See Chapter XVIIIH unjust enrichment. See Creifelds under Ungerechtfertigte Bereicherung, Chapter X C 3 (g) (Title 24), Leistungskondiktion and Nichtleistungskondiktion unusual. See Chapter X B 2 (e) unequal treatment. See Chapter VIII, Note 22 universality principle. See Chapter VI ignorance unclear(ly). See Chapter X F 3 (c) (iii) direct(ly) directly affected. See Chapter VII C immediate threat of danger. See Chapter XVIII H (Note 56) direct force. See Chapter XVIII H directly applicable law. See Chapter VIII A directness principle, ie, hearing and evidence must take place/be presented directly before the court considering the case. See Creifelds under Unmittelbarkeitsgrundsatz and Chapter XIIIB 5 impossibility. See Chapter X C 3 (a) (Titles 1 and 2) (Note 126) and Chapter X C 3 (b) impartial, neutral. See Chapter XIII, Note 69; Chapter XXII E. See also Besorgnis der Befangenheit. person in illegal possession. See Chapter X, Note 266 B consciousness of illegality. See Creifelds under Bewutsein der Rechtswidrigkeit and Chapter XVIC 3 (d) irregular(ly). See Chapter X C 3 (g) Expos Darlehen presumption of innocence. See Chapter XVII A complaint of inactivity. See Chapter XXII, Note 19 see Verpflichtungsklage interruption. See Chapters X B 4 and XIII D 1 (g) (v) lower authority of a Land. See Chapter V B lower administrative authority. See Chapters IV and V B amongst each other. See Chapter XIC 3 (b) (ii) maintenance (payment). To be distinguished are: maintenance of the family (f amilienunterhalt; 1360 BGB). Maintenance of the family includes a Prozekostenvorschupflicht, ie, an obligation towards the other spouse to advance the costs of taking any necessary court proceedings (also for divorce), if the other spouse is not in a position to bear them: 1360a (iv) BGB. Such an obligation takes precedence over any application for legal aid (Prozekostenhilfe) by the other spouse: maintenance during separation (Getrenntlebensunterhalt; 1361 BGB);
438
Ungewhnlich Ungleichbehandlung Universalittsgrundsatz Unkenntnis Unklar Unmittelbar Unmittelbar betroffen Unmittelbar drohende Gefahr Unmittelbarer Zwang Unmittelbar geltendes Recht Unmittelbarkeitsgrundsatz
Unmglichkeit Unparteiisch Unrechtmiger Besitzer Unrechtsbewutsein Unregelmssig Unschuldsvermutung Unttigkeitsbeschwerde Unttigkeitsklage Unterbrechung Untere Landesbehrde Untere Verwaltungsbehrde Untereinander Unterhalt
maintenance after divorce (nachehelicher Unterhalt; 15691586 BGB); maintenance between relations ( Unterhalt unter Verwandten; 16011615 BGB); maintenance for illegitimate children (Unterhalt fr nichteheliche Kinder; 1615a-1615o BGB). The evasion of a statutory duty of maintenance (gesetzliche Unterhaltspflicht), so as to endanger the livelihood of the person entitled, is punishable: 170b StGB. In all cases, there is a duty to supply information (Auskunft) regarding income ( Einknft, including any relevant vouchers (Belege)) and assets (Vermgen): 1361(iv), 1580, 1605 BGB. If there is reason to believe that details of income have been incorrectly stated, an assurance in lieu of oath (eidesstattliche Versicherung) can be demanded: 259(ii) BGB. It must normally be declared at the Amtsgericht: 261 BGB. The making of a false assurance in lieu of oath is punishable: 156 StGB. See Creifelds under Unterhaltspflicht and Ehescheidung 4; Chapter X E; Chapter XIII D 1 (e) and D 6 Unterhaltsvertrag Unterhndler Unterlagen Unterlassen Unterlassung maintenance agreement. See Chapter XIIID 6 (b) 2 (iv) (government) negotiator, representative. See Chapter II H documents, papers to omit (stop) to do, desist from. It can also mean omission (noun). See Chapter X, Note 219 omission. It can mean stoppage/restraint (of a disturbance (Strung). See Creifelds under Unterlassungsanspruch; Chapter VIII, Note 20; Chapter X D 3 (c) (iv) and Chapter XV C crime by omission. See Chapter XVIC1 (b) action for a restraining order/order of stoppage. See Chapter XIII, Note 96 and at Note 190 (whole) enterprise, business, undertaking. See Creifelds under Unternehmen. Cf Betrieb and Gewerbe a contract (of association) between a public limited company (Aktiengesellschaft (AG)) or a public limited partnership (Kommanditgesellschaft auf Aktien (KGaA)) and another legally independent commercial enterprise (Unternehmen). The parties to an Unternehmensvertrag constitute connected enterprises (verbundene Unternehmen): 15 AktG. An Unternehmensvertrag can take one of the following main forms ( 291292 AktG): a Beherrschungsvertrag, ie, a contract whereby the AG or KGaA is subjected to the domination of the other enterprise; a Gewinnabfhrungsvertrag, ie, a contract under which the AG or KGaA is obliged to transfer its profits in whole or in part to the other enterprise; or a Gewinngemeinschaftsvertrag, ie, a contract under which the AG or KGaA is obliged to pool/share its profits in whole or in part with the other enterprise.
439
Unterlassungsdelikt Unterlassungsklage Unternehmen Unternehmensvertrag
Unternehmer
Unternehmerentscheidung Unternehmer(isches)risiko Unterordnung Untersagen Unterschlagung
Unterschrift Unterstufe Untersuchung
Untersuchungsgrundsatz
Untersuchungshaft Unterwerfung Unterzeichnung Untreue
If one or more dependent/servient enterprises (abhngige Unternehmen) stand under the unified control/ management (einheitliche Leitung) of a dominant enterprise (herrschendes Unternehmen), they together comprise a concern (Konzern): 18 AktG. See Creifelds under Unternehmensvertrag, Konzern and Konzernrecht; Eisenhardt, Chapter 12 (4952). businessman, entrepreneur; manufacturer, producer. See Chapter X, Note 166; Chapter XIC 2 (e); Kaufmann; Hersteller commercial decision. See Chapter XVIII, Note 14 commercial risk subordination. See Chapter IX B to forbid, prohibit embezzlement, ie, wrongful appropriation of a movable belonging to another by a person having custody thereof for the use of the offender or a third party. By 246(i) StGB, it is punishable by a sentence of up to three years imprisonment or a fine, unless a higher penalty is laid down in other provisions. The possible maximum prison sentence increases to five years, if the movable was entrusted to the offender: 246(ii) StGB (Veruntreuung) signature. Also (as an act): Unterzeichnung lower level. See Chapter V B examination, investigation, (bodily) search). See Chapter XVII A and B and see also Ermittlung, Durchsuchung, Prfung inquisition maxim; applies in criminal and administrative law and in FGG matters. See Creifelds under Untersuchungsgrundsatz and Chapter XIIIB2 remand in custody (for investigation). See Creifelds under Untersuchungshaft; Chapter XVII, Notes 26 and 38 submission (of oneself to). See Chapter X B 2 (e); Vollstreckbare Urkunde (act of) signature. See Chapter IIH breach of trust. A person is punishable for Untreue under 266 StGB, if he intentionally (vorstzlich) abuses/exceeds his authority (Befugnis) (under statute, executive mandate or legal transaction) to deal with/ manage another persons assets (fremdes Vermgen) or to oblige that person; or infringes a duty (Pflicht) incumbent on him under statute, executive mandate, legal transaction or a relationship of trust (Treueverhltnis) to look after another persons economic interests (fremde Vermgensinteressen); and thereby causes the other person, whose interests he is responsible to care for, economic loss (Vermgensschaden). difficult to oversee, complex (to grasp), involved, of
440
Unbersichtlich
rambling scope, untidily arranged. See Chapter X B 2 (e) Unvereinbar Unverhltnismig Unverjhrbar Unverletzlich(keit) Unversehrtheit Unvertretbare Handlung Unverzglich incompatible. See Chapter VII C disproportionate; unreasonable not subject to Verjhrung. See Chapter X B 4 and Chapter XVII, Note 11 inviolable(ity). See Chapter VIII C intactness, integrity. See Chapter VIII C an act incapable of being undertaken by someone other than the debtor. See Chapter XIIID 8 (d) without delay, forthwith, promptly. See Creifelds under Unverzglich; Chapter X B 2 (b) and (c); Chapter X, Note 31; Chapter XXII D 5 unforeseen. See Chapter X C 3 (g) Expos (c) ineffective. See Chapter X B 2 (b) (Note 35); Chapter X B 2 (e); Chapter XIV C 3 (at Note 20) inadmissible; not allowed. See Creifelds under Unzulssigkeit; Chapter XIII D 1 (f) (i); Chapter XIII, Note 69; Chapter XV C not to be expected (of a person), unreasonable, unacceptable. See Chapter X, Note 47 D; Chapter X B 2 (e); Chapter XIII D 6 (b) 3; Chapter XVIII B. Cf Zumutbar in no uncertain terms, unequivocally). See Chapter XXII E author, creator. See Chapter XIIID 1 (f) (iii) copyright (law). See Chapter X, Note 266 C; Chapter XIX, Note 1; Creifelds under Urheberrecht a document, deed, certificate. Formal definition: eine in Schriftzeichen verkrperte Gedankenusserung (a declaration of thoughts incorporated in script). It can be a public document (ffentliche Urkunde) or a private one (Privaturkunde). See Creifelds under Urkunde; Chapter XIII, Note 64; Chapter XXIIE (particular form of) action on the basis of (an) Urkunde(n), document action. See Creifelds under Urkundenproze and Chapter XIII D 5. See also Vorbehaltsurteil (annual) roll of Urkunden (maintained by a Notar). See Chapter XXII E holiday. See Chapter XVIII, Note 2 (b) original production, extraction of natural produce (from the land). See Chapter XI, Note 31; Chapter XIX B causal, causation; also Kausal(itt). See Chapter XVIC 1 (a) judgment; can be final (Endurteil) or interim (Zwischenurteil). A final judgment can be full (Vollurteil) or partial (Teilurteil). Other possible types: Versumnisurteil (judgment in default); Vorbehaltsurteil (judgment subject to a reservation). An Urteil consists of a heading (Urteilskopf or Rubrum), a tenor (Urteilsformel) and (usually separately) a Tatbestand (substantive part) and Entscheidungsgrnde
441
Unvorhergesehen Unwirksam Unzulssig
Unzumutbar
Unzweideutig Urheber Urheberrecht Urkunde
Urkundenproze
Urkundenrolle Urlaub Urproduktion Urschlich(keit) Urteil
Valuta Valutaverhltnis
Variabel Vaterschaft Venire contra factum proprium (nemini licet)
(reasons): 313(i) ZPO. See Chapter XIII C A, D and E; Chapter XIII D 2 (c) (iii); Creifelds under Urteil and Urteilsverfahren; Jauemig (ZP), Book H, Chapter 9, 59. See also Fr Recht erkennen; Versumnisurteil; Vorbehaltsurteil; Zwischenurteil; Chapter X B 4 (b) monies (Gelder). Also (foreign) currency (Whrung) value relationship, relationship in which value (is to) flow(s)/pass(es). Cf Deckungsverhltnis. See Chapter X C 3 (g) (Title 21); Chapter XIX, Note 36 variable. See Chapter X C 3 (g) Expos Darlehen paternity. See Chapter XIII, Note 149; Kindschaftssache (it is not permitted) to act contrary to ones own previous conduct. See Chapter X, Note 47 C; Chapter X C 3 (b) Title 5 (Expos) change, alteration. See Chapter X F 3 (c) (ii). See also nderung to answer (take responsibility) for responsibility processing. See Creifelds under Verarbeitung and Chapter X D 3 (c) (ii) transferor (vendor). See Chapter X D 3 (c) (iii) (Bona fide acquisition of ownership to movables) disposal; (sale). See Chapter X, Notes 159 and 242 provision restricting disposal. See Creifelds under Veruerungsverbot and Chapter X D 2 (v) association, federation. See Creifelds under Verbnde; Chapter VIII, Note 20 G; Chapter XI A 2; Chapter XIX, Note 10 action by a federation. See Creifelds under Verbandsklage and Chapter XIVC see Rechtlich verbindlich connection. See Creifelds under Verbindung von Sachen and Chapter X D 3 (c) (ii) prohibition. See Chapter XIV C 6 forbidden /illegal self-assumption (with regard to possession). See Chapter X, Note 266 D mistaken belief that an act is not illegal. It can be a Schuldausschlieungsgrund, if the mistake was unavoidable ( 17 StGB). See Creifelds under Verbotsirrtum and Chapter XVI C 3 (d) (criminal) norm forbidding certain action or injury to a Rechtsgut. See Chapter XVI C 1 (b) consumable thing. See Chapter X D 1 consumer. See Chapter X B 2 (e); Chapter XX D (at Note 16) Consumer Credit Law. See Abzahlungskauf
Vernderung Verantworten Verantwortung Verarbeitung Veruerer Veruerung Veruerungsverbot Verband Verbandsklage Verbindlich Verbindung Verbot Verbotene Eigenmacht Verbotsirrtum
Verbotsnorm Verbrauchbare Sache Verbraucher Verbraucherkreditgesetz (VerbrKrG)
442
Verbrauchervertrag Verbrauchsgter Verbrechen Verdacht Verdchtigter Verdeckter Ermittler Verdienstausfall Verdingungsordnung fr Bauleistungen (VOB)
contract with a consumer. See Chapter X, Note 127 consumer goods. See Preface to Second Edition, Note 11 category of Straftat. See Chapter XVIB suspicion. See Chapter XVII D suspect (person). See Chapter XVII E undercover agent. See Chapter XVII, Note 25 loss of earnings. See Chapter XIII, Note 96 (internal) administrative regulations governing the award of building contracts by the public sector. Part B sets out standard terms, which can, by agreement, apply to private contracts for building work in place of the provisions in the BGB ( 631ff). See Chapter X, Note 166 to displace, oust. See Chapter XVI, Note 73 to obscure. See Chapter XVIID danger of justice being obstructed (obscured). See Chapter XVII D (Note 38 B) club, association; eV=eingetragener (registered) Verein. Prototype of Juristische Person, Krperschaft. See Creifelds under Verein; Chapter XI A 3; Chapter XII A. See also Vorstand compatible. See Chapter VII C agreement. Also Abmachung, Einigung, Vertrag simplified; simply union. Also Zusammenschlu. See Chapter V A and Chapter VIII C Cf Gewerkschaft freedom of (private) association, also called Vereinsautonomie. S ee Creifelds under Vereins(Vereinigungs)freiheit and Chapter VIII C (Article 9 GG). Cf Koalitionsfreiheit to thwart, foil. See Gefahr im Verzug to leave/transmit by way of inheritance heritable; hereditary procedure; proceedings. See Chapter XIIID 2 procedural defect See Chapter XIII D1 (f) (i); Chapter XIII, Note 69 procedural law. Also Prozerecht forfeiture, expiration. See Chapter XVID constitution; (physical) condition. See Creifelds under Verfassung and Chapters VA and VII constitutional complaint. See Creifelds under Verfossungsbeschwerde and Chapter VII C in accordance with the constitution, constitutional. See Chapter VIIB constitutional court. See Creifelds under Verfassungsgerichtsbarkeit and Chapter VIIC
443
Verdrngen Verdunkeln Verdunkelungsgefahr Verein
Vereinbar Vereinbarung Vereinfacht Vereinigung Vereinigungsfreiheit
Vereiteln Vererben Vererblich Verfahren Verfahrensmangel Verfahrensrecht Verfall Verfassung Verfassungsbeschwerde Verfassungsgem Verfassungsgericht
Verfassungskonforme Auslegung
Verfassungsmige Ordnung Verfassungsmigkeit Verfassungsorgan Verfassungsrecht Verfassungsschutz
Verfassungsstreit(igkeit) Verfassungswidrig(keit)
Verfehlung Verfolgung Verfgung
Verfgungsbefugnis
Verfgungsbeschrnkung Verfgungsgrundsatz Verfgung von Todes wegen Vergehen Vergewaltigung Vergleich
interpretation of Rechtsnormen so as to conform with the constitution (GG). See Creifelds under Auslegung I 5 and Verfassungswidrigkeit von Gesetzen; Chapter VII B; Chapter VII, Note 12 constitutional order. See Chapter II F; Chapter VIII Note 20 accordance with the constitution, constitutionality. Cf Verfassungswidrig supreme federal (constitutional) organ (ie, mentioned in the constitution). See Chapter III constitutional law (ie, law of the constitution only). Cf Staatsrecht protection of the constitution, constitutional protection. The Bund and the Lnder each maintain separate authorities to deal with Verfassungsschutz. See Creifelds under Verfassungsschutz; Chapter II G; Chapter XVII D (Note 32). See also Bundesnachrichtendienst constitutional dispute. See Chapter VII C (Note 10) and Enumerationsprinzip unconstitutional(ity). See Creifelds under Verfassungswidrigkeit von Gesetzen) Chapter II G; Chapter VII B and C transgression (by a youth). See Chapter XVI, Note 40 persecution; prosecution. See Chapter XVII A; Chapter XXI C the transfer, release, burdening or variation of a (subjective) right; legal act or legal transaction in that sense; disposition. Different senses in which the word can be used: a decision or direction of the presiding judge (Verfgung des Vorsitzenden); an injunction (einstweilige Verfgung); a police order (polizeiliche Verfgung); an official order or direction (ordnungsbehrdliche Verfgung). A Verfgung von Todes wegen is a transaction or disposition taking effect on death (eg, a will). A letztwillige Verfgung is a testamentary disposition. See Creifelds under Verfgung (rechtsgeschftliche, gerichtliche and behrdliche); Chapter X D 2 (v); Chapter X F 3 (b); Chapter XIV C 5 entitlement to undertake a Verfgung. See Creifelds under Verfgungsbefugnis and Chapter X D 2 (v). Regarding the effect of a Verfgung purported to be undertaken by a third party without Verfgungsbefugnis see Creifelds under Verfgung eines Nichtberechtigten and Gutghubensschutz provision limiting a persons Verfgungsbefugnis. See Chapter X D 2 (v); Chapter X, Note 256 see Dispositionsgrundsatz see Verfgung; Chapter X F 3 (b) category of Straftat. See Chapter XVIB rape. See Chapter XVII, Note 38 C settlement (of dispute by way of agreement), compromise; arrangement, composition (with creditors); comparison.
444
See Creifelds under Vergleich; Chapter X C 3 (g) (Title 19); Chapter XIII D 1 (f) (iv) (The term Vollmacht) Vergleichsgebhr Vergleichsordnung Vergtung Verhaftung Verhalten settlement fee. See Chapter XXII D 8 (Note 96) Composition Order. See Chapter XVIII, Note 20 reimbursement, reward, payment, fee. See Chapter X, Note 166 See Festnahme behaviour; conduct. See Chapter X B 2 (b) (The term Willenserklrung); Chapter X B 2 (c) (Note 70); Chapter XVI C 1 (a) proportional, fair. See Chapter VIII B principle of proportionality, relative fairness. See Creifelds under Verhltnismigkeit(sgrundsatz); Chapter II E; Chapter VIII B (Note 14); Chapter XIV C 6 (Note 32); Chapter XVI C (Note 35) and D (at Note 76); Chapter XVII B (Note 26) to negotiate hearing; negotiation hearing on the substantive issue. See Chapter XIII D 2 (c) (vi). Cf Hauptverhandlung hearing fee. See Chapter XXII D 8 principle that an action proceeds on the basis of facts and applications made by the parties; also Beibringungsgrundsatz. See Creifelds under Verhandlungsgrundsatz and Da mihi factum, dabo tibi ius; Chapter XIII B 2 record, protocol of the hearing. See Chapter XIII D1 (g) (i) closure of a hearing. See Chapter XIII D 2 (c) (vii) see Hindern to prevent. See Chapter XVII D limitation (of action), prescription. See Creifelds under Verjhrung I; Chapter X B 3 Expos; Chapter XVIII A, Note 11 traffic, transport, circulation, communication, (social) contact, (sexual) intercourse. See Chapter VI, Note 5; Chapter X, Note 126 D and J; Chapter XIX A 2. In the following terms of EC law, the word Verkehr has a special meaning: Warenverkehr (movement of goods); Personenverkehr (movement of persons); Kapitalund Zahlungsverkehr (movment of capital and payments); Dienstleistungsverkehr (provision/supply of services). Personenverkehr in turn incorporates: Freizgigkeit (freedom of movement for workers); and Niederlassungsfreiheit (freedom of establishment for selfemployed persons).
445
Verhltnismig Verhltnismigkeitsgrundsatz
Verhandeln Verhandlung Verhandlung zur Hauptsache Verhandlungsgebhr Verhandlungsgrundsatz
Verhandlungsprotokoll Verhandlungsschluss Verhindern Verhten Verjhrung Verkehr
Verkehrsanwalt Verkehrsfhig(keit) Verkehrs(sicherungs)pflicht
Verknden Verkndung
Verlngerung Verleiten zum Vertragsbruch Verletzen Verletzung Verleumdung
Verlbnis Verlust Vermchtnis
Vermchtnisnehmer Vermeidbar Vermeiden Vermerk Vermischung Vermitteln Vermittlung Vermittlungsausschu
Vermgen
Freedom of information (Informationsfreiheit) is a collateral right See Articles 3955 EC Treaty. (local) instructing/correspondent lawyer. See Chapter XIII, Note 55 negotiable(-ility). See Chapter XIX B duty of care (safety). An unerlaubte Handlung (tort) can be committed through an omission to observe it. See Creifelds under Verkehrssicherungspflicht; Chapter X C 3 (g) (Note 222). See also Sorgfaltspflicht to proclaim, pronounce proclamation (of a law or legal provision); pronouncement (of courts decision). See Chapter XIII D 3 (a); Creifelds under Verkndung von Rechtsvorschriften and Urteil and see also Bekanntmachung and Verffentlichung extension. See Chapter X C 3 (g) Expos (f) inducement to breach of contract. See Chapter X Note 220 to injure, infringe, breach injury, infringement, breach. See Chapter VIIIA and Note 20 C (malicious) defamation, calumny ( 187 StGB). The offence requires that an untrue fact regarding another person be alleged, contrary to the better knowledge of the declarant (wider besseres Wissen). See Chapter VIII, Note 20 E; Chapter XVI, Note 35. Cf ble Nachrede engagement (before marriage). See Creifelds under Verlbnis and Chapter X E loss. See Chapter X D 3 (c) (ii)/(iii) legacy, bequest ( 1939, 21472191 BGB). See Creifelds under Vermchtnis; Chapter X, Note 106; Chapter X F 4 (a) and (h) legatee. See Chapter X F 4 (h) avoidable. See Chapter XVIC 3 (d) to avoid note (under seal). See Chapter XXII E mixture. See Creifelds under Vermischung and Chapter X D 3 (c) (ii) to mediate, procure, arrange, obtain (for) mediation, intercession (good offices), arrangement, referral. See Chapter XI, Note 41 mediation board/council. It is often convened (einberufen) under Article 77(ii) GG to resolve differences of opinion (Meinungsverschiedenheiten) between the Bundestag and Bundesrat regarding proposed legislation. See Chapter VII A (Note 3) and Creifelds under Vermittlungsausschu. See also Zustimmungsgesetz and Einspruchsgesetz assets, capital, property, fortune, wealth. See Creifelds under Vermgen; Chapter X B 1 (Note 12); Chapter X, Note 166; Chapter X D 3 (c) (i) (Note 251). See also Chapter XVI
446
Vermgensoffenbarung Vermgensrechtlich Vermgensschaden Vermgensvorteil Vermuten Vermutlich Vermutung
Vernehmung
Vernichtung Vernunft Vernnftig Verffentlichung Verordnung Verordnung zur einheitlichen Regelung der Gerichtsverfassung (G VVO) Verpflichtung Verpflichtungsklage
B (at Note 14); Chapter XXII D 8 disclosure of assets. See Chapter XIII D 8 (e) monetary See Chapter XIII D1 (e) and D 3 (b) pecuniary loss. See Chapter X Notes 118 and 227 pecuniary advantage. See Chapter X F 4 (h) (i) to presume, suppose presumably. See also Mutmalich presumption, supposition. It can be tatschlich (actual) or gesetzlich (emanating from statute; statutory). See Chapter X D 3 (b); Chapter X F 5 (d); Chapter XIII B 7 (Note 10). See also Creifelds under Vermutung examination, questioning, interrogation. In civil proceedings, the examination of the parties is a means of evidence (Beweismittel). See Chapter XIII, Note 115. In criminal proceedings, Vernehmung can take place:in the E rmittlungsverfahren ( investigation procedure). See Chapter XVII B (Note 22); Chapter XVII D, Note 38 H and I;where there is a Vorfhrung (presentation), following an arrest on the basis of a warrant (Haftbefehl) or a provisional arrest (vorlufige Festnahme). See Chapter XVII, Note 38 D;in the Hauptverhandlung (main hearing). See Creifelds under Vernehmungen im Strafverfahren II. It is important to keep these stages separate, since different provisions of the StPO apply in each situation. destruction. See Chapter X F 3 (c) (ii) reason; (good) sense. See Chapter I (at Note 12) sensible, reasonable. See Chapter XIIIB 7 publication. See also Verkndung see Rechtsverordnung Order for the Uniform Regulation of the Constitution of the Courts. See Chapter XXII, Note 19; Chapter XXII C 6 obligation. See Chapter X C 2 2 and D 2 (v) writ issued at the VG claiming (obligation to) issue (of) a VA. It can be of 2 types ( 42(i) VwGO):a Versagungsgegenklage (refusal counter action), ie, if a VA has been refused (abgelehnt); oran Unttigkeitsklage (action for inactivity), ie, if an authority has failed/omitted (unterlassen) to issue a VA. See Schmitt Glaeser, Part 2, 4; Creifelds under Unttigkeitsklage and Verwaltungsstreitverfahren I (a); Chapter XV B treason. See Chapter II G person entrusted with a particular task. See Creifelds under unerlaubte Handlung V; Chapter X C 3 (g) ( 831 BGB). Cf Erfllungsgehilfe to deny, refuse (something); fail. See Chapter XXII, Note 59 freedom of assembly. See Creifelds Versammlungsfreiheit and Chapter VIII C
447
Verrat Verrichtungsgehilfe
Versagen Versammlungsfreiheit
under
Versand Versumnis Versumnisurteil
see Versendung a Nichterscheinen or Nichtverhandeln by a party. Can lead to a Versumnisurteil judgment in default (on die basis of a Versumnis; otherwise referred to as being unecht (not genuine)). See Creifelds under Versumnisurteil and Chapter XIII D 1 (g) (iv) and D 2 (c) (iv) failure to observe /miss a time limit. See Chapter X F 5 (a) (i); Chapter XIII D 1(g) (iv) procurement, provision (of). See Chapter X C 2; Chapter X, Note 185; 651 BGB procurement legacy. See Chapter X F 4 (h) deterioration. See Chapter X C 3 (g) Expos Darlehen see Fusion fault, blame (in civil law; 276 BGB). There are two forms: Vorsatz (intent) and Fahrlssigkeit (negligence). See Creifelds under Verschulden and cf the term Schuld. See also Vertretenmssen and Mitverschulden; Chapter X C 3 (a) Title 1 (Note 126 D) and Chapter XVI C 3 see Culpa in contrahendo related by marriage; an in-law. Cf Verwandt See Schweigepflicht despatch, shipping. See Chapter X Note 256 to transfer, remove (a person), place, transplant; put into (a position, state). See Chapters VII E and XXII A transfer, removal, transplanting; putting (into). See Chapter XVIII, Note 11; Chapter XVIII E; Chapter XXII A Insurance Contracts Law. See Creifelds under Versicherungsvertrag, Chapter X, Note 156 equalization of (pension and disability) pro vision /support (after divorce). See Creifelds under Ehescheidung 5; Chapter X E too late, out of time, delayed. See Chapter XIII D 2 (c) (iv) delay promise. See Chapter X C 3 (b) (Title 3); Chapter X, Note 159 violation. Also Zuwiderhandlung postponement, adjournment (of a hearing). See Chapter XIII D 1 (g) (iii); Chapter XIII, Note 116 defender, defence lawyer. See Chapter XVII C defence intention to defend. See Chapter XIII D 2 (c) (iv) defence situation. It can arise in the event of a military attack (or threat thereof) on Germany. See Creifelds under Verteidigungsfall and Chapter VII A, Note 6 submission(s) in the defence (of the Beklagter). See Chapter XIII, Note 97
448
Versumung Verschaffung Verschaffu ngsvermchtnis Verschlechterung Verschmelzung Verschulden
Verschulden bei Vertragsschlu Verschwgert Verschwiegenheitspflicht Versendung Versetzen Versetzung Versicnerungsvertragsgesetz (VVG) Versorgungsausgleich
Versptet Versptung Versprechen Verstoss Vertagung Verteidiger Verteidigung Verteidigungsabsicht Verteidigungsfall
Verteidigungsvortrag
Verteilung Verteilungsverfahren Vertrag Vertragsabschlu Vertragshnliches Vertragsanbahnung Vertrag mit Schutzwirkung Vertrauensverhltnis Vertragsbedingungen Vertragsfreiheit zugunsten Dritter Vertragshndler Vertragsmssig Vertragsstrafe Vertragsverhandlung Vertrag zugunsten Dritter Vertrauen Vertrauensbruch Vertrauensschutz Vertrauensstellung Vertraulich Vertreiben Vertretbare Handlung Vertretbare Sache Vertretenmssen Vertreter Vertreter ohne Vertretungsmacht Vertretung Vertretungsbefugnis Vertretungsmacht Veruntreuung Verursachen
apportionment, distribution. See Chapter X F 4 (b) distribution procedure. See Chapter XIII D 8 (c) (vii) contract, agreement. See Creifelds under Vertrag; Chapter X B 2 (c) and C 23 see Abschlu quasi-contractual relationship of trust. See Chapter X, Note 135 B precontractual period, phase. See Chapter X Note 66 contract with protective effect in favour of a third party. See Chapter X C 3 (b) (Title 3) (Note 135 A) see Allgemeine Geschftsbedingungen freedom of contract (principle). It is part of the principle of Privatautonomie authorised dealer, distributor. See Chapter XI, Note 42 in accordance (conformity) with the contract. See Chapter X C 3 (g) Expos (c) contractual penalty. See Chapter X C 3 (b) (Title 4) and Chapter XI C 5 (pre)contractual negotiation. See Chapter X, Notes 66 and 135 B contract for the benefit of a third party. See Chapter X C 3 (b) (Title 3) confidence, trust. See Chapter X F 3 (c) (iv) breach of trust. See Chapter X Note 220 protection of trust. See Chapter II E; Chapter X Note 46; Chapter XIII, Note 57; Chapter XVI, Note 4 position of trust. See Chapter X Note 166; Chapter XVIII B confidentially), in confidence. See Chapter XXII D 7 to distribute; drive out. See Chapter XI, Note 42 an act capable of being undertaken by someone else. See Chapter XIII D 8 (d) fungible thing. See Chapter X C 3 (g) Expos Darlehen; Chapter X D 1 see Verschulden representative, agent, deputy. See Chapter XIII D 1 (f) (iv). a Beauftragte unauthorised agent/representative. See Chapter X Note 31; Chapter XIII D 1(f) (iv) representation, representative body, agency Cf Geschftsfhrung right of representation. See Chapter XXIID 9 and also Vertretungsmacht power to represent authority. See Chapter XIB and C 2 (c); Vollmacht see Untersddagung to cause. See Chapter X, Note 119
449
Verurteilen Verwahrer Verwahrung
to adjudge, convict. Also berfhren custodian deposit in custody, safe-keeping. See Creifelds under Verwahrung; Chapter X C 3 (g) Expos Darlehen; Chapter X C 3 (g) (Title 12) administration, executive, management. See Creifelds under Verwaltung, ffentliche and Vollziehende Gewalt; Chapter II C administrative act. See Creifelds under Verwaltungsakt; Chapter XIV C administrative function, task. See Chapter II C administrative court. See Chapters II C, XV A and XXII C 4 see Oberverwaltungsgericht Administrative Courts Order. See Creifelds under Verwaltungsgerichtsbarkeit; Chapter XV A (so-called) administrative police. Incorporated in this term are the terms Polizeibehrde and Ordnungsbehrde. Cf Vollzugspolizei and see Chapter XVII D (Note32) administration in private law form. See Creifelds under Verwaltungsprivatrecht; Chapter II C administrative law. See Creifelds under Verwaltungsrecht; Chapter XIV legal route (access) to the administrative courts. See Chapter XV C administrative activity. See Chapter II C carrier of administration. See Chapter IIC administrative sub-construction (structure). See Chapter XIV A Administrative Procedure Law. See Creifelds under Verwaltungsverfahren(sgesetz); Chapter XIV B Administrative Enforcement Law. See Creifelds under Verwaltungsvollstreckungsgesetz; Chapter XVIII H (Note 56) (internal) administrative regulation. See Chapter XIV A, Maurer, Part 6, 24 and Creifelds under Verwaltungsvorschriften and Weisungsrecht. See also Richtlinie Administrative Service Law. See Chapter XIII D1 (g) (ii) administrative force. See Creifelds Verwaltungszwang; Chapter XVIII H (Note56) under
Verwaltung
Verwaltungsakt Verwaltungsaufgabe Verwaltungsgericht (VG) Verwaltungsgerichtshof (VGH) Verwaltungsgerichtsordnung (VwGO) Verwal tungspolizei
Verwaltungsprivatrecht Verwaltungsrecht Verwaltungsrechtsweg Verwaltungsttigkeit Verwaltungstrger Verwaltungsunterbau Verwaltungsverfahrensgesetz (VwVfG) Verwaltungsvollstreckungsgesetz (VwVG) Verwaltungsvorschrift
Verwaltungszustellungsgesetz Verwaltungszwang Verwandlung Verwandt(er/schaft)
conversion, transformation. See chapter X B 17 (Notes 24) related, (blood) relative, kinship. See Creifelds under Verwandtschaft; Chapter X E; Chapter X F 3 (a) (i). Cf Verschwgert warning, caution. See Creifelds under Verwarnung bei Ordnungswidrigkeiten, Verwarnung mit Strafvorbehalt and Probation; Chapter XVIB (Note 9) and XVID (Note 71)
450
Verwarnung
Verwarnungsgeld Verweis Verweisung
(money) penalty. Cf Geldbue (disciplinary) direction, rebuke. See Chapter XXII D 7 (statutory) reference; (procedural) transfer (to another court). See Creifelds under Verweisung; Chapter XIII, Note 47; Chapter XX; Chapter XXII D 9. A Platzverweisung is a police order banishing a person from a particular place user (of standard business terms). See Chapter X B 2 (e) expenditure (on a Sache, whereby it is repaired, maintained or improved, but not fundamentally changed). A Verwendung can be notwendig (necessary) or ntzlich (useful). See Chapter X, Note 266 and Creifelds under Verwendungen. Cf Aufwendung type of Nichtleistungskondiktion, where the recipient obtains a benefit due to a Verwendung by the claimant on something belonging to the recipient to dismiss (a legal remedy). See Chapter XIII, Note 138 objectionable. See Chapter X, Note 220 usability, admissibility (of evidence). See Chapter XVII, Note 38H disposal right. See Chapter X D 1 forfeiture. See Chapter II G; Chapter X B 2 (b) (Interpretation of a Willenserklrung) (Note 47 C); Chapter X, at Note 91; Chapter X C 3 (g) Expos (c). See also the Sourcebook, Chapter 5, Footnote 7 list, schedule. Also index, register. See Chapter XIII D 6 (b) 2; Chapter XIII D 8 (e) renunciation, waiver (of). See Chapter XIII D 1 (f) (iv) (The term Vollmacht) to renouce, waive, forgo, do without interest-bearing. See Chapter X C 3 (g) Expos Darlehen delay. See Chapter X C 3 (a) (Titles 1 and 2) (Notes 126 and 127) loss due to delay. See Chapter X, Note 126 F four-eye principle. See Chapter XI, Note 25 vindication; (owners claim to) return of a Sache from someone without a Recht zum Besitz. See Creifelds under Eigentumsnerausgabeanspruch and Chapter X D 3 (c) (iv) no wrong is done to him who consents. See Einwilligung people. See Chapter II F plebiscite. See Chapter II F (Note 20) spirit of the people. See Chapter I (Note 16) sovereignty of the people. See Chapter II F public nsus. See Chapter VII C (rules of) customary public international law. See Chapter II H
451
Verwender Verwendung
Verwendungskondiktion
Verwerfen Verwerflich Verwertbarkeit Verwertungsrecht Verwirkung
Verzeichnis Verzicht (auf) Verzichten (auf) Verzinslich Verzug Verzugsschaden Vier-Augen Prinzip Vindikation
Volenti non fit iniuria Volk Volksabstimmung (Volksentscheid) Volksgeist Volkssouveranitt Volkszhlung Vlkermord
Vlkergewohnheitsrecht Vlkerrecht
genocide. See Chapter XVII, Note 38 B public international law. See Chapter II H; Chapter XIV A and ius gentium. See also Creifelds under Vlkerrecht and Primat des Vlkerrechts over the age of majority, adult. Also Erwachsen(er). Cf Minderjhrig age of majority. See Chapter X B 2 (a) power of representation, power of attorney, authority (granted by Rechtsgeschft cf statutory authority). See Chapter XIII D1 (f) (iv) grantor of a Vollmacht without a VollmachtZ full right. See Chapter X D 2 (iv) complete; full(y). See Chapter II, Note 23; Chapter XIII D 2 (c) (v) declaration of enforceability. See Chapter XIII D 28 (b) (VI) enforceable(ility). See Creifelds under Vollstreckbarkeit. See also Chapter XIII D 8 and Chapter XVIII H (Note 56) enforcement duplicate, copy. See Chapter XIII D 8 (b) enforceable document, ie, one which is prepared by a German court or notary; which documents a claim to payment of a specific sum of money or supply of a specific quantity of vertretbare Sachen or Wertpapiere; and in which the debtor submits to immediate enforcement ( 794(i) No 5 ZPO). See Creifelds under Vollstreckbare Urkunde, Unterwerfungsklausel; Chapter X B 4 (b); Chapter XIII D 8 (b) (ii)
Volljhrig(er) Volljhrigkeit Vollmacht
Vollmachtgeber Vollmachtlos Vollrecht Vollstndig Vollstreckbarerklrung Vollstreckbar(keit) Vollstreckbare Ausfertigung Vollstreckbare Urkunde
Vollstreckung Vollstreckungsbescheid Vollstreckungserinnerung
Vollstreckungsgericht
Vollstreckungshandlung Vdlstreckungsklausel Vollstreckungstitel Vollstreckungsunterwerfung Vollstreckungsurteil Vollstreckungsverfahren
enforcement, execution. Also Zwangsvollstreckung enforcement notice. See Chapter XIII C I; Chapter XIII D 8 (b) (ii); Mahnverfahren legal remedy (to the judge)) against a measure taken by a Rechtspfleger judge in enforcement proceedings. See 766 ZPO. Cf Erinnerung enforcement court. Always the Amtsgericht. See Creifelds under Vollstreckungsgericht, Chapter XIII D 8 and cf Prozegericht act of enforcement enforcement clause. See Chapter XIII, Note 171 title capable of enforcement (vollstreckbar). See Chapter XIII D 8 (b); Creifelds under Vollstreckungstitel submission to enforcement See Vollstreckbare Urkunde enforcement judgment See Chapter XIII, Note 171 enforcement proceedings. Cf Erkenntnisverfahren. See
452
Vollurteil Vollziehbar Vollziehbare Anordnung Vollziehende Gewalt Vollziehung Vollzug Vollzugsakt Vollzugspolizei Von Amts wegen
Von entscheidender Bedeutung Vonneuem Vorab Vor die Klammer gezogen Vorausklage Voraussetzung Vorausvermchtnis Vorauszahlung Vorbehalt Vorbehaltlos Vorbehalt des Gesetzes Vorbehaltsurteil
Chapter XIII C A and D 8 full judgment. See Urteil enforceable. Also Vollstreckbar enforceable order executive power, executive; also Verwaltung. See Creifelds under Vollziehende Gewalt and Chapter II F enforcement, execution. See also Vollstreckung, Vollzug and sofortige Vollziehung enforcement. See Vollziehung act of implementation, enforcement; implementing measure. See Chapter VII C (so-called) executive police. Cf Verwaltungspolizei and see Chapter XVII D officially; by the court or authority (of its own motion). See Creifelds under Amtsgrundsatz; Chapter X, Note 20; Chapter XIII C C; Chapter XIII D 2 (c) (i); Chapter XVII, Note 26 B; Chapter XX E of decisive importance, of the essence. See Chapter X C 3 (b) anew, afresh. See Chapter XIIID1 (g) (v) in advance drawn before the clasp, to the front. See Chapter X C 2 2 see Selbstschuldnerische Brgschaft (precondition (for). See Chapter X, Note 22 advance legacy. See Chapter X F 4 (h) prepayment. See Chapter XIIID 2 (c) (i) reservation. See also Protestatio without reservation. See Chapter XIIID1 (f) (i) see Gesetzesvorbehalt judgment subject to a reservation. It is a particular type of final judgment, which can be pronounced where set-off (Aufrechnung) is asserted by the defendant, the plaintiffs and defendants claims are legally unconnected and (only) the plaintiffs claim is ready for decision (zur Entscheidung reif). The set-off dispute remains pending and must be dealt with later (Nachverfahren). Premature enforcement of a Vorbehaltsurteil is at the plaintiffs risk. If it turns out that his claim was unfounded, he must compensate the defendant. See 302 ZPO; Creifelds under Vorbehaltsurteil. A Vorbehaltsurteil is compulsory in a document action (Urkundenproze) whenever judgment is passed against a defendant, who disputes the plaintiffs claim: 599 ZPO to prepare preparatory measure. See Chapter XIIID 2 (c) (v) preparation (for) preparatory period of service. See Chapter XXIIA
453
Vorbereiten Vorbereitende Manahme Vorbereitung Vorbereitungsdienst
Vorbescheid Vorerbe Vorfrage Vorfhrung Vorfhrungsbefehl Vorhaben Vorhersehbar Vorkaufsrecht Vorkehrung Vorlage(verfahren) Vorlufig Vorlufiger Erbe Vorlufiger Rechtsschutz Vorlegung Vormerkung Vormund(schaft) Vormundschaftsgericht Vorpfndung Vorrang Vorrang des Gesetzes
a VA dealing with preliminary matters/points. See Creifelds under Vorbescheid; Chapter XIV C 2 prior heir. See Chapter X F 4 (e) preliminary question. See Chapter VII, Note 13; Chapter XIII, Note 71 (compulsory) appearance, presentation (eg, before a judge). See Chapter XVII, Note 38 D and F order requiring a persons appearance, presentation order. See Chapter XVII, Note 38 F plan, project, proposal foreseeable, predictable. See Preface to Second Edition, Note 8 right of preemption. See Chapter X D 3 (f) precautionary measure. See Chapter X C 3 (g) Expos (c); Chapter X, Note 222B presentation, reference (procedure). See konkrete Normkontrolle; Chapter X D 3(h) provisional(ly), temporary(ily). See Chapter XIII, Note 149; Vollstreckbar(keit); Vorlufiger Rechtsschutz provisional heir. See Chapter X F 5 (a) provisional legal protection. See Chapter XIV C 3 (Notes 23 C and 34) presentation. See Chapter X C 3 (g) (Title 23); Chapter XIX B priority notice (reservation). See Creifelds under Vormerkung; Chapter X D 3 (b) and (h); Chapter X, Note 256 guardian(ship). See Chapter X E guardianship court. See Chapter X, at Note 34; Chapter XIII, Note 32; Chapter XVI, Note 40 (prior) notification of the impending Pfndung of a money claim, predistraint (warning). See Chapter XIII D 8 (c) (v) precedence, priority. See Chapter X F 3 (b) (the) priority of statute (and, in a wider sense, of higher ranking norms). See Creifelds under Vorrang des Gesetzes and Chapters II F and Vzz B off-the-shelf/ready-made Mantelgesellschaft company. Cf
Vorratsgesellschaft Vorsatz Vorstzlich Vorschlag(en) Vorschrift Vorsitzender
intent; a form of Verschulden in civil law and of Schuld in criminal law. Cf Absicht intentionally, wilfully Cf Absichtlich suggestion, to suggest provision, rule, regulation. Cf Abschnitt presiding person (judge), chairman. See Chapter XIII, at Note 106
454
Vorsorgende Rechtspflege Vorsorglich Vorstand
precautionary administration of justice. See Chapter XXIIE by way of (as a) precautionary measure) board (of directors). It is a compulsory organ of:a Verein (2631BGB);an Aktiengesellschaft ( 7694 AktG); anda Genossenschaft ( 2435 GenG). See Chapter XIA 3 and Creifelds under Vorstand conception, idea. See Chapter X F 3 (c) (iv) preliminary proceedings. See Chapter XV C; Chapter XVII, Note 20 preliminary contract. See Chapter X, Note 135 B reproachable, blameworthy. See Chapter XVIC 3 (a) to reproach, blame, accuse (of); cf Anklagen, Beschuldigen reproach, accusation equality of arms. See Chapter XIII, Note 3 election, choice. See Chapter II, Note 26 freedom of choice selectable (alternative) debt. See Chapter X C 3 (a) (Title 1) capable of election. See Chapter XVIII C an offence of madness (ie, one that does not exist). See Chapter XVI C 3 (d) truthful duty to be truthful. See; Chapter XIII B 2 and D 1 (g) (i); Chapter XVIIC perception; safeguarding, pursuit (of ones interests) probable, probability. See Chapter XIII B 7 and Beweis rescission (of a contract of sale). See Chapter X, Note 189 B product, goods. See Chapter XI, Note 42 and C 5 warning. See Chapter XXII D 7 bill of exchange. It can either be an eigener Wechsel/ Solawechsel (ie, document a promise of payment by the issuer (Aussteller) himself) or a so-called gezogener Wechsel/Tratte (ie, be drawn on a person other than the issuer). A gezogener Wechsel is a special form of Anweisung. See Chapter XIX Note 36; Creifelds under Wechsel interdependent disposition (in a joint will). See Chapter X F 3 (d) (particular form of) action on the basis of a Wechsel. See Chapter XIII D 5 theory of reciprocal effect. See Chapter VIIIB falling-away (collapse, disappearance) of the basis of the transaction; frustration. See Geschftsgrundlage redundancy. See Chapter XVIII, Note 14
455
Vorstellung Vorverfahren Vorvertrag Vorwerfbar Vorwerfen Vorwurf Waffengleichheit Wahl Wahlfreiheit Wahlschuld Whlbar Wahndelikt Wahrheitsgem Wahrheitspflicht Wahrnehmung Wahrscheinlich(keit) Wandlung Ware(n) Warnung Wechsel
Wechselbezgliche Verfgung Wechselproze Wechselwirkungstheorie Wegfall der Geschftsgrundlage Wegfall eines Arbeitsplatzes
Wehrstrafgesetz (WStG) Weimare Reichsverfassung Weisung Weisungsrecht Weiterbeschftigung Werbung Werk Werklieferungsvertrag
Military Crime Law. See Chapter XVI, Note 34 (Imperial) Constitution of (the) Weimar (Republic). See Chapter II (Note 5) direction, order, directive. See Chapter XIIE right of direction. See Chapter V, Note 7; Chapter X, Note 222 continued employment. See Chapter XVIII E advertising, publicity. See Chapter XXII D 5 a(n) (item of) work; a particular result, agreed upon under a Werkvertrag contract of work and materials, ie, contract for delivery of a work (with (accessory) materials to be obtained/provided by the manufacturer). See Creifelds under Werklieferungsvertrag and Chapter X, Notes 104 and 234 A contract for services; agreement to manufacture/produce a Werk. Cf Dienstvertrag. See Creifelds under Werkvertrag, Chapter X C 3 (g) (Title 7) and Chapter X, Notes 104 and 166 value. See Preface to Second Edition, Note 12; Chapter X, Notes 138 and 220; Chapter X F 4 (g) value-order. See Chapter VIIIA valuable paper documenting a particular right, security (eg, Wechsel). See Chapter XIX B; Creifelds under Wertpapier, Inhaberpapier and Orderpapier appraisal, evaluation. See Chapter X B 2 (e) see Beleidigung essence. See Chapter VI, Note 4 and Chapter VIII B essentially similar (to). See Chapter X D 2 (iv) essential; importance, significance. See Chapter VIII B; Chapter X D 3 (c) (i); Chapter X F 4 (b); Chapter XXII D 5 essential/substantial components. See Chapter X B 2 (c) Rules governing offer and acceptance and Failure to reach an Einigung; Chapter X D1 restraint on competition. See Creifelds under Wettbeiverbsbeschrnkungen and Chapter XIX, Note 9 competition law. See Chapter XIX, Note 9 prohibition of competition (by statute or covenant). See Chapter XI C 2 (d); Creifelds under Wettbewerbsverbot bet. See Chapter X C 3 (g) (Title 17) counterclaim. See Chapter XIIID 1 (f) (iii) and D 2 (c) (iv) (Note 107) illegal. Also Rechtswidrig. See 823(i) BGB retraction, revocation, withdrawal. See Chapter VIII, Note 20; Chapter X, Note 67; Chapter X F 3 (c) (ii); Chapter XIV C 4 and cf Rcknahme
456
Werkvertrag
Wert Wertordnung Wertpapier
Wertung Werturteil Wesensgehalt Wesensgleich Wesentlich(keit) Wesentliche Bestandteile
Wettbewerbsbeschrnkung Wettbewerbsrecht Wettbewerbsverbot Wette Widerklage Widerrechtlich Widerruf
Widersprechen Widerspruch
to contradict, object to (formal) objection, protest; can be raised in connection with a VA, an entry in the land register (Grundbuch) or certain decisions in civil matters. See Chapter XI B; Chapter XIV C 3; Chapter XV A and C; Creifelds under Widerspruchsverfahren, Widerspruch im Grundbuch and Widerspruch im Zivilproze. See also Einwendung, Einrede and Einspruch objection authority, ie, the Behrde responsible for handling a Widerspruch and issuing a Widerspruchsbescheid notice giving decision after a Widerspruch in connection with a VA objection proceedings (in connection with a VA). See Widerspruch right of resistance. See Creifelds under Widerstandsrecht and Chapter VIII (Note 36) adoption/dedication (of property/a thing) for public purposes. See Creifelds under Widmung; Chapter VI; Chapter XIV C 5 see Wiederverheiratung to reconsider, reconsideration. See Chapter XIV C 4 resumption, reactivation, reopening (of proceedings) after R echtskraft. See Chapter XIII A, C H and D 4, Nichtigkeitsklage and Restitutionsklage. See also Chapter XVI, Note 5; Chapter XVII A restoration (of possession). See Chapter X, Note 265 D reinstitution (of proceedings) into the previous position. See Chapter XIII Stand Notes 18, 78 and 129 reopening of the hearing. See Chapter XIII D 2 (c) (vi) restoration, resumption. See Chapter XIII D 6 (b) 3; Chapter XIV C 3 and aufschiebende Wirkung danger of repetition. See Chapter XVII D (Notes 26 and 38 B) recurring payments. See Chapter X, Note 127 reunification. See Creifelds under Wiedervereinigung and Chapter V A re-marriage. See Creifelds under Wiederverheiratung im Falle der Todeserklrung and Chapter X E declaration of will; made up of Handlungswill, Rechtsbindungswille and Geschftswille. See Creifelds under Willenserldrung and Chapter X B 1 5 and B 2(b) defect of will. See Chapter X, Note 49 see Einigung arbitrary will, arbitrariness. See Chapter I, Note 12 and before Note 16; Chapter VII, Note 16 arbitrary. Conduct which is willkrlich can give rise to
457
Widerspruchsbehrde
Widerspruchsbescheid Widerspruchsverfahren Widerstandsrecht Widmung
Wiederheirat Wiederaufgreifen Wiederaufnahme (des Verfahrens)
Wiedereinrumung (des Besitzes) Wiedereinsetzung in den vorigen Wiedererffnung der Verhandlung Wiederherstellung Wiederholungsgefahr Wiederkehrende Geldleistungen Wiedervereinigung Wiederverheiratung Willenserklrung
Willensmangel Willensbereinstimmung Willkr Willkrlich
sanctions in different fields eg, in administrative or employment law. See Chapter VIII, Note 22; Chapter XXII, Note 5 Willkrverbot Wirksam(keit) Wirkung Wirkung nach auen Wirtschaft Wirtschaftsfrderung Wirtschaftskriminalitt Wirtschaftslenkung Wirtschaftsrecht Wirtschaftsstrafgesetz (WiStG) Wirtschaftsstrafkammer Wirtschaftsstrafrecht Wirtschaftsverfassungsrecht Wirtschaftsverwaltungsrecht Wissensvorsprung WohldesKindes Wohlwollend Wohnraum Wohnsitz prohibition of arbitrariness (principle). See Chapter VIII, Note 22 effective(ness), valid(ity). See Chapter X B 2 (b) (Validity of a Willenserklrung); Chapter XIII, Note 90; Chapter XIV C 3 effect see Chapter XIV C1 and Auenwirkung economy, industry promotion of the economy. See Chapter VI, Note 5 business/commercial (white-collar) crime direction/regulation/steering of the economy. See Chapter XIX business/commercial law. See Chapter XIX Commercial Crime Law 1954. See Chapter X, Note 209 and Chapter XIX, Note 24 commercial criminal chamber (at a Landgericht). See Chapter XXII, Note 37 (area of) law relating to commercial crime. See Chapter XIX (area of) law relating to the constitutional form of the economy. See Chapter XIX (area of) law relating to the administration/management of the economy. See Chapter XIX an informed advantage, a lead based on particular (inside) information. See Chapter X, Note 215 welfare of the child. See Chapter XIII, Note 158 favourable, kind. See Chapter X F 3 (c) (iii) living space, (residential) accommodation. See Chapter X C 3 (g) Expos (a) (place of) residence, domicile. See Chapter X B 1 2; Chapter X F 5 (d); Chapter XIII, Note 21; Chapter XIII D 8 (d) and (e); Chapter XVII, Note 37; Chapter XX B; Creifelds under Wohnsitz. See also Leisiungsort and Site. CfAufenthalt dwelling, flat, home, apartment. See Creifelds under Wohnung, Unverletzlichkeit deS; Chapter VIII C (Article 13 GG); Chapter XIII D 1 (g) (ii) (right of) property in an apartment, ownership of a flat. See Chapter X, Note 267 Ownership of Flats Law. See Chapter XI, Note 13 wording (of a text). See Chapter X F 3 (c) (iii) extortion, profiteering, usury. See Chapter X, Notes 58 and 245 dignity. See Chapter VIII C (Article l(i) GG)
458
Wohnung
Wohnungseigentum Wohnungseigentumsgesetz (WEG) Wortlaut Wucher Wrde
Wrdig Zahlung Zahlungsaufforderung Zahlungsbedingungen Zahlungsfrist Zahlungsmtttel Zahlungsunfhig Zedent Zeichnen Zeitablauf Zeitarbeit Zeitbestimmung Zeitpunkt Zeitraum Zerstren Zessionar Zeuge Zeugenbeweis Zeugnis Zeugnisverweigerungsrecht Ziel Zinsen Zinslos Zinssatz Zitiergebot Zivilkammer Zivilproze Zivilprozeordnung (ZPO) Zollamt Zollverein Zubehr
worthy. See Chapter X F payment demand for payment. See Chapter X, Note 127 conditions of payment. See Chapter X B 2 (e) period for payment. See Chapter X, Note 127 means of payment. See Chapter XIX B insolvent. See Chapter X F 5 (b). Cf berschuldet assignor. See Chapter XIX B to subscribe (for shares in a company) effluxion of time. See Chapters X C 3 (c) and XVIIIB temporary work. See Chapter XVIII, Note 13 time provision. See Chapter X B 2 (d) (point in) time, moment. See Chapter X F 3 (c) (iii) and 4 (e) period, space of time. See Chapter XIII D 6 (b) 2 to destroy. See Chapter X F 3 (e) assignee. See Chapter XIX B witness. See Chapter XVII, Note 22 witness evidence. See Chapter XIII D 2 (b); Beweismittel certificate; (employers) reference, report; witness statement. See Chapter X F 5 (d); Chapter XIX B right to refuse to give evidence. See Chapter XVII, Note 22 and Chapter XVII C. See also Aussage aim, target, destination, finish-line (point) interest. See Creifelds under Zinsschuld and Chapter X C 3 (a) ( 246248 BGB) interest-free. See Chapter X C 3 (g) Expos Darlehen interest rate. See Chapter X D 3 (h) citation requirement. See Chapter VIII B civil chamber (of a LG). See Chapter XIII D1 (e) civil procedure, civil proceedings. See Chapter XIII Civil Procedure Order/ Code of Civil Procedure. See Chapter XIII A customs office. Is a Bundesunterbehrde. See Creifelds under Zollbehrden; Chapter IV customs union. See Chapter I, Note 15 accessories, fittings, appurtenances. See Chapter X C 3 (b) (Title 1); Chapter X D 1; 97 and 314 BGB; Creifelds under Zubehr. Cf Bestandteil disciplinary measure. See Chapter XVI, Note 40 by chance, fortuitously). See Chapter X, Note 126 G
Zuchtmittel Zufllig
459
Zugang Zugehen Zugesicherte Eigenschaft Zugewin nausgleich Zugewinn(gemeinschaft) Zulssig(keit) Zulssigkeitsvoraussetzung Zulassung Zumutbar Zunchst Zurechenbar Zur Entscheidung reif Zurckbehaltungsrecht
communication, receipt (eg, of a Willenserklrung). See Chapter X B 2 (b) (Validity of a Willenserklrung) to be communicated (to), received (by), reach assured (guaranteed) quality (of a Sache). See Chapter X, Note 189 equalisation/settlement of gain (on termination of a Zugewinngemeinschaft). See Chapter X F 3 (a) (ii) (community based on) gain. See Chapter X F 3 (a) (ii); Chapter X F 4 (g) (iii); Chapter XIII D 6 (D) 2; Gterrecht admissible, admissibility; permissible. Cf Begrndet(heit) see Sachurteilsvoraussetzung admission, leave (of a court). See Chapter II C; Chapter XIII D 3 (b); Chapter XIV, Notes 14 and 34 acceptable, bearable, viable. See Chapter X B 2 (e); Chapter X D 3 (c) (i) in the first instance, first of all. See Chapter XIC 3 (b) (ii) attributable (to). See Chapter X, Notes 119 and 222 B see Vorbehaltsurteil (debtors) right of retention, withholding (of performance). See Creifelds under Zurckbehaltungsrecht; Chapter X C 3 (a) and (b) ( 273, 274 and 320 BGB) and Chapter X, Note 266 withdrawal. See Chapter XIV C 4 to give way, stand back, resign. See Chapter XVI, Note 4 to remand, transfer back (to another court). See Chapter XIII D 3 (b) to reject (an application or appeal). See Chapter XIII, Note 138 to repay cooperation. See also Mitwirkung union, joint or merged enterprise. See Fusion, Vereinigung additional compulsory portion. See Chapter X F 4 (g) (ii) condition, state. See Chapter X C 3 (g) Expos (c) competent, responsible, in charge competence, jurisdiction (in a particular case; cf Gerichtsbarkeit). Can be sachlich, rtlich, funktionell (instanziell) or international. S ee Creifelds under Zustndigkeit von Verwaltungsbehrden, Gerichtliche Zustndigkeit and rtliche Zustndigkeit des Gerichts. See also Chapter XIII D 1 (e) and D 8 (b) (Notes 28 and 171); Chapter XVII A (Note 4); Chapter XVII D (Note 37); Chapter XX C 2 Streitwert for the purpose of Zustndigkeit (of a court). See Chapter XIII D 1 (e)
460
Zurcknahme Zurcktreten Zurckverweisen Zurckweisen Zurckzahlen Zusammenarbeit Zusammenschlu Zusatzpftichtteil Zustand Zustndig Zustndigkeit
Zustndigkeitsstreitwert
Zustellung Zustellungsbevollmchtigter Zustellungsurkunde Zustimmung
service (of document). See Creifelds under Zustellung and Chapter XIII D 2 (c) (i) person authorised to accept service. See Chapter XIIID 1 (g) (ii) certificate of service. See Chapter XIII D 1 (g) (ii) and D 2 (c) (i) approval, agreement, consent. Also Einverstndnis. It can be prior (Einwilligung) or subsequent (Genehmigung). See Creifelds under Zustimmung) Chapter X B 2 (a); Chapter XX D a proposed Gesetz requiring the Zustimmung (approval) of the Bundesrat, ie, one that alters the constitution (verfassungsndernd) or affects the federal structure of the Bund (fderativ)/has repercussions (Auswirkungen) on the interests of the Lnder. T he cases in which a Zustimmungsgesetz is required are laid down in the GG (eg, Article 84(i) GG). Although according to Article 77 GG a Zustimmungsgesetz is (officially) the exception (to an Einspruchsgesetz), it has become the norm: some 60% of federal laws today require the Zustimmung of the Bundesrat. See Katz, Part IV, 20 III. Federal Rechtsverordnungen (statutory instruments, ie, those issued by the Federal Government or a Federal Minister) often require Zustimmung or are based on a Zustimmungsgesetz (Article 80(ii) GG). The term Zustimmungsgesetz also refers to a Gesetz approving the transformation of a Staatsvertrag (international treaty) into national (internal) law. See Model/ Creifelds/ Lichtenberger, Part I D III (60 IV) and D IV (64 III); Creifelds under Zustimmungsgesetz) The Bundesrat Case (1975) (Kommers 3.8). See also Vermittlungsausschu; Chapter II H; Chapter III, Note 3; Chapter V, Note 1 and Chapter VIII B (Note 15). Cf Einsprucnsgesetz to allot (shares) reliability. See Chapter XIX B (permitted) influx of (contingent of) foreigners. Cf Einwnderung allocation, assignment (to). See Chapter V, Note 6; Chapter XV, Note 10; Chapter XVIII, Note 11 grant (which enriches another person), transfer of assets (in moneys worth). A Zuwendung, which is gratuitous (unentgeltlich), is called a Schenkung (gift): 516(i) BGB. See Chapter X F 3 (b) and 4 (g) (iv) contravention, infringement. Also Verstoss (compulsory) fine. See Chapter XIIID 8 (d); Chapter XVIII H compulsory mortgage. See Sicherungshypothek compulsory measure (in criminal proceedings). See Chapter XVII, Note 26F compulsory measures) (in administrative /police law). See Chapter XVIII H
461
Zustimmungsgesetz
Zuteilen Zuverlssigkeit Zuwanderung Zuweisung Zuwendung
Zuwiderhandlung Zwangsgeld Zwangshypothek Zwangsmanahme Zwangsmittel
Zwangsvers teigerung Zwangsverwaltung Zwangsvollstreckung Zweck
compulsory sale by auction. See Chapter XIIID 8 (c) (vi) (Note 187) compulsory administration. See Chapter XIII D 8 (c) (vi) (Note 186) enforcement. Also Vollstreckung. See Chapter XIII D 8; Chapter XXIA purpose; aim. See Chapter I; Chapter X B 2 (e); Chapter X Notes 159 and 220; Chapter XIA 2; Chapter XIC 3 (b) (i); Chapter XIV C 1 appropriateness), expediency, expedient(ly). See Chapter XIV C 6 (Note 31) a (voluntary or compulsory) grouping of Gemeinden (or Gemeindeverbnde) for the purpose of fulfilling a particular task. See Creifelds under Zweckuerband a nd cf Gemeindeverband. doubt. See Chapter XIII B 7 (Note 9). See also Im Zweifel, Jenseits vernnftigen Zweifels branch. See Chapter XXII C 1 branch office. See Chapter X, Note 7 two-tracked. See Chapter XVID two-tier theory. See Chapter II C second occupation. See Chapter XXII, Note 59 compulsory, mandatory. See Chapter IX B; Chapter X C 3 (g) Expos; Chapter XIC 2 (c); Chapter XVIII, Note 52; Chapter XX D1 inter-state, international. See Chapter XXIA interim judgment. A Zwischenurteil does not deal with the Streitgegenstand itself, but only concerns the progress of the proceedings (Fortgang des Verfahrens). Thus, it is not a Sachurteil, but a Prozeurteil. See Prozeurteil, Sachurteil and Urteil; Creifelds under Zwischenurteil and Grundurteil. See also Dem Grunde nach and 303304 ZPO see Erffnungsverfahren
Zweckmig(keit) Zweckuerband
Zweifel Zweig Zweigniederlassung Zweispurig Zweistufentheorie Zweitberuf Zwingend
Zwischenstaatlich Zwischenurteil
Zwischenverfahren
462
APPENDIX B ABBREVIATIONS REFERRED TO IN THE TEXT (FOR ENGLISH MEANINGS SEE APPENDIX A)
ABGB AC ADHGB AG adj AG AGBG AktG A11ER ALR Am J Comp L AO ArbBeschFG ArbG ArbGG ArbStttVO ASiG AsylVfG AT AUG AuslG AVAG BAG BBankG BerHG BerufsO BetrVG BeurkG BFH Allgemeines Brgerliches Gesetzbuch Appeal Cases Allgemeines Deutsches Handelsgesetzbuch Aktiengesellschaft adjective Amtsgericht Gesetz zur Regelung Geschftsbedingungen Aktiengesetz All England Law Reports Allgemeines Landrecht fr die Preuischen Staaten American Journal of Comparative Law Abgabenordnung Arbeitsrechtliches Beschftigungsfrderungsgesetz Arbeitsgericht Arbeitsgerichtsgesetz Verordnung ber Arbeitssttten Arbeitssicherheitsgesetz Asylverfahrensgesetz Allgemeiner Teil Auslandsunterhaltsgesetz Auslndergesetz Anerkennungsund Vollstreckungsausfhningsgesetz Bundesarbeitsgericht Bundesbankgesetz Beratungshilfegesetz Berufsordnung Betriebsverfassungsgesetz Beurkundungsgesetz Bundesfinanzhof des Rechts der Allgemeinen
BGB BGH BGS BKA BND BNotD BORA BRAGO BRAK BRAO BSG BT BtMG BVerfG BVerfGE BVerfGG BVerwG BVwVG CA cf ChD CISG CPR DRiG ECJ ECR EEC/EC EFZG EG EGBGB EGGVG EU EuGV
Brgerliches Gesetzbuch Bundesgerichtshof Bundesgrenzschutz Bundeskriminalamt Bundesnachriditendienst Bundesnotarordnung =BerufsO Bundesgebhrenoixinung fr Rechtsanwlte Bundesrechtsanwaltskammer Bundesrechtsanwaltsordnung Bundessozialgericht Besonderer Teil Betubungsmittelgesetz Bundesverfassungsgericht Entscheidungen des Bundesverfassungsgerichts Bundesverfassungsgerichtsgesetz Bundesverwaltungsgericht Bundesverwaltungs-Vollstreckungsgesetz Court of Appeal (London) compare Chancery Division (High Court, England) UN Convention on Contracts for the International Sale of Goods Civil Procedure Rules (England) DeutschesRichtergesetz European Court of Justice (Luxemburg) European Court Reports European (Economic) Community Entgeltfortzahlungsgesetz Europaische Gemeinschaft(= EC) Einfhrungsgesetz zum BGB Einfhrungsgesetz zum GVG Europische Union Europisches beremkommen ber die gerichtliche Zustndigkeit und die Vollstreckung gerichtlicher Entscheidungen in Zivil- und Handelssachen Europische Menschenrechtskonvention Gesetz ber die Ttigkeit europischer Rechtsanwlte in
464
EuMRK EuRAG
Appendix B: Abbreviations
Deutschland Eur L Rev EV EWG EZB eg eG eV FamRndG FernAbsG FGG FGO Gazette GBO GbR GenG GewO GG GKG GmbH GmbHG GVG GVVO GWB HandwO HausratsVO HaustrWG HGB HL ie ICLQ InsO JGG KG KO European Law Review Europisches bereinkommen ber das auf vertragliche Schuldverhltnisse anzuwendende Recht = EEC Europische Zentralbank for example (exempli gratia) eingetragene Genossenschaft eingetragener Verein Familienrechtsnderungsgesetz Fernabsatzgesetz Gesetz ber die Angelegenheiten der freiwilligen Gerichtsbarkeit Finanzgerichtsordnung Gazette of The Law Society (England) Grundbuchordnung Gesellschaft des brgerlichen Rechts Gesetz betreffend die Erwerbs und Wirtschaftsgenossenschaften Gewerbeordnung Grundgesetz Gerichtskostengesetz Gesellschaft mit beschrnkter Haftung Gesetz betreffend die Gesellschaften mit beschrnkter Haftung Gerichtsverfassungsgesetz Verordnung zur einhdtlichen Regelung der Gerichtsverfassung Gesetz gegen Wettbeweibsbeschrnkungen Handwerksordnung Hausratsverordnung Haustrwiderrafsgesetz Handelsgesetzbuch House of Lords that is (id est) International and Comparative Law Quarterly Insolvenzordnung Jugendgerichtsgesetz Kommanditgesellschaft Konkursordnung
465
KostO KSchG KUG KWG LAG LG lit LSG MHRG OHG OLG OVG OWiG PartGG ProdHaftG RAK RPflG RSC RVO SG SGA SGB SGG StGB StPO StrEG StVG StVO StVZO TKG TVG TzBfG UWG VA VerbrKrG VG
Kostenordnung Kndigungsschutzgesetz Kunsturhebergesetz Gesetz ber das Kreditwesen Landesarbeitsgericht Landgericht literally Landessozialgericht Gesetz zur Regelung der Miethhe Offene Handelsgesellschaft Oberverwaltungsgericht Oberlandesgericht Ordnungswidrigkeitengesetz Partnersdhaftsgesellschaftsgetz Produkthaftungsgesetz Reditsanwaltskammer Rechtspflegergesetz Rules of the Supreme Court (England) Reichsversicherungsordnung Sozialgericht Sale of Goods Act Sozialgesetzbuch Sozialgerichtsgesetz Strafgesetzbuch Strafprozeordnung Gesetz ber die Entschdigung fr Strafverfolgungsmanahmen Straenverkehrsgesetz Straenverkehrsordnung Straenvekehrszulassungsordnung Telekommunikationsgesetz Tarifvertragsgesetz Gesetz ber Teilzeitarbeit und befristete Arbeitsverhltnisse Gesetz gegen den unlauteren Wettbewerb Verwaltungsakt Verbraucherkreditgesetz Verwaltungsgericht
466
Appendix B: Abbreviations
VGH viz VOB Vol VVG VwGO VwVG VwVfG WEG WiKG WiStG WoRKSchG WStG ZEuP ZPO ZRHO ZVG
Verwaltungsgerichtshof namely (videlicet) Verdingungsordnung fr Bauleistungen Volume Versicherungsvertragsgesetz Verwaltungsgerichtsordnung Verwaltungsvollstreckungsgesetz Verwaltungsverfahrensgesetz Wohnungseigentumsgesetz Gesetz zur Bekmpfung der Wirtschaftskriminalitt Wirtschaftsstrafgesetz Wohnraumkndigungsschutzgesetz Wehrstrafgesetz Zeitschrift fr Europisches Privatrecht Zivilprozeordnung Rechtshilfeordnung in Zivilsachen Gesetz ber die Zwangsversteigerung und die Zwangsverwaltung
467
APPENDIX C PARAGRAPH REGISTER
Law and paragraph ()
Translation (T)
Where referred to
AGBG
111 1(i), 1st sentence 1(i), 2nd sentence 1(ii) 2 3 4 5 6(i) 6(ii) 6(iii) 8 911 9 9(i) 9(ii) 9(ii) No 1 9(ii) No 2 10 11 11 No 7 11 No 8 11 No 10 11 No 10 (f) 11 No 11 11 No 15 (a) 12 1322 13 13(iv) 20 21 21, 1st sentence 21, 2nd sentence 22 2324 23(i) 23(ii) 24 24, 1st sentence 24, 2nd sentence Chapter X B 2 (e) chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X, Note 87 Chapter X B 2 (e) Chapter X, Note 189 C Chapter X, Note 99 Chapter X B 2 (e) Chapter X Note 126 I Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter XB 2 (e) Chapter X B 2 (e) Chapter X B (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X C, Expos: Fernabsatz Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e) Chapter X B 2 (e)
469
AktG
1(i) 1(i), 2nd sentence 6 7 10(i) 15 18 23(i) 7694 278290 291292 Chapter XI A 1 Chapter XI, Note 16 Chapter XII, Note 10 Chapter XII, Note 35 Chapter XIX, Note 35 Unternehmensvertrag Unternehmensvertrag 99, 218 Vorstand KG auf Aktien Unternehmensvertrag
ArbGG
1 2(i) No 1 5(i) 12a 12(vii) 62 85 Chapter XXII, Note 39 Chapter XVIII, Note 52 Chapter XVIII, Note 2 (a) Kostenpflicht Chapter XXII D 8 (c) Chapter XXII D 8 (a) Chapter XXII D 8 (a)
ArbStttVO
53(i) 53(ii) 187 187
ASiG
5 6 187 187
AVAG
34(i) Chapter XXI, Note 13
BBankG
12-13 Chapter IV, Note 2
BerHG
4 8(ii) Chapter XXII, Note 110 Chapter XXII, Note 110
BerufsO
3 1118 11 Chapter XXII, Note 71 Chapter XXII D 5 Chapter XXII D 5
470
Appendix C: Paragraph Register 12 13 16 17 18 19 21(i) 22 23 25 29 30 33 34 Chapter XXII, D 5 Chapter XXII, Note 76 Chapter XXII, Note 101 Chapter XXII, Note 69 Chapter XXII, Note 75 Chapter XXII, D 5 Chapter XXII, Note 101 Chapter XIII, Note 55 Chapter XXII, Note 70 Chapter XXII, D 7; Chapter XXII, D 5 Chapter XXII, Note 77 Chapter XXII, Note 75 Chapter XXII, Note 75 Chapter XXII, Note 77
BetrVG 1952
129(i) BetrVG 1972 2(i) 5(ii) 5(iii) 8 9 74(i), 2nd sentence 74(ii), 1st sentence 74(ii), 2nd sentence 74(ii), 3rd sentence 76(ii) 76(v) 1st sentence 76(vi) 77 77(iii) 8186 87 87(i) 92105 99(i) 99(ii) 102(i) 102(ii) 102(iii) 102(v) 106113 111ff 118(i) 130 184 Chapter XVIII, Note 23 Chapter XVIII, Note 29 Chapter XVIII, Note 27 Chapter XVIII, Note 28 Chapter XVIII, Note 32 Chapter XVIII, Note 33 Chapter XVIII, Note 34 Chapter XVIII, Note 35 Chapter XVIII, Note 38 Chapter XVIII, Note 39 Chapter XVIII, Note 37 Chapter XVIII, Note 36 Chapter XVIII, Note 52 Chapter XVIII, Note 47 Chapter XVIII, Note 39 Chapter XVIII, Note 41 183 Chapter XVIII, Note 42 Chapter XVIII, Note 42 Chapter XVIII, Note 43 Chapter XVIII, Note 44 Chapter XVIII, Note 45 Chapter XVIII, Note 46 183 Chapter XVIII, B 4 Chapter XVIII, Note 30 Chapter XVIII, Note 24 Chapter XVIII, Note 49
471
BeurkG
5 8 13 16(ii) 1721 36 3943 45 47 49(i) Chapter X, Note 256 Chapter XXII, Note 120 Chapter X, Note 256 Chapter X, Note 256 254 Chapter XXII, Note 121 Chapter XXII, E Chapter XXII, Note121 Ausfertigung Ausfertigung
BGB
189 1240 2.T.36 6 7 7(ii) 811 12 13 14 2179 21 24 25 2631 26 26(ii) 30 31 27 27 Chapter XIII, Note 1 Chapter X B 12 Chapter X B 12 Chapter X B 12 Chapter VIII, Note 20 C; Chapter X, Note 5 Chapter X, Expos: Fernabsatz Chapter X, Expos: Fernabsatz 97 Chapter XI, Note 15 Chapter X, Note 7; Chapter XI A 5 97 Vorstand Chapter XI A 6 Chapter X, Note 27 Chapter X, Note 222,Organ 97; Chapter X, Notes 222 and 224; Chapter XI A 6, Organ Chapter XI, A 5 Chapter XI, A 6 Chapter XI, A 6 Chapter XI, A 6 Chapter II, Notes 11 Chapter X, Notes 222 and 224 28 Chapter X, D 1 Chapter X D 1 Chapter X D 1 Chapter X D 1 Chapter X, Note 265 Chapter X, Note 265 Chapter X, Note 166 30
5758 54 54, 1st sentence 54, 2nd sentence 8088 89(i) 90103 91 92 9394 97 99 100 104ff 104115
T 472
Appendix C: Paragraph Register 104185 104 105 106 107113 107 108110 108(i) 108(ii) 109 110 116118 116124 116144 116 117 118 119123. 119 119(i), 2nd alternative 119(ii). 120 121(i) 122 123 124(i) 125129 125127 125 125, 1st sentence 126m 126(iii) 126a 126b 127 128 129 130132 130(i) 131 132 133 134138 134 135 137 30 30 32, Chapter X, Note 245 30 30 30 30 32 30, Chapter X Note 31 30 30 30 31, Chapter X, Notes 35 and 49 30, 31 32 32 32 Chapter X, Notes 47, 51,135 C 32, 34, Chapter X, Notes 45,47,48 and 49; Chapter X F 3 (c) (iv) and 5 (a) Chapter X, Note 38 34, Chapter X, Note 47 D 32, 34, Chapter X, Notes 45, 48 and 49 34 34 32,34, Chapter X, Notes 48,58 C, 135 B and 245, Chapter X F 5 (a) 34 31 Chapter X, Note 56 31, Chapter X, Note 35; Chapter X C 3 (g) Expos (d) 34 34 Chapter X, Note 54 Chapter X, Note 54 Chapter X,Note 54 34 34 34 31 32, Chapter X, Note 67 32 Chapter X, Note 9 31, ChapterX, Note44; ChapterX B 2 (e), Chapter X F 3 (c) (iii) 31 39, 37, 34, 31, Chapter X, Notes 35 and 209, Chapter X B 2 (e) 74 74
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T T T T T T T T T T T T 473
The German Legal System and Legal Language 138 138(i) 138(ii) 139144 139 142 142(i) 143(i) 145153. 145157 145 146. 147 148 150 151 154155. 154 155 157 158163 158(ii). 160 161 162 163 164181 164(i) 167(ii) 170173 177ff 177(i) 177(ii) 179 180 182185 185 186193 186240 194225 194(i) 195197 195 196(i) No 1 196(i) No 3 196(i) No 4 196(i) No 14 196(i) No 15 T T T T T T T T T T T T T T T T T T T T 31, 34, 37, 39, Chapter X, Notes 35 and 58 34, Chapter X F 3 (c) (iv); Chapter X, Note 302 Chapter X, Notes 58 and 245 31 Chapter X B 2 (e); Chapter X, Note 245 Chapter X, Note 48 32, 51, Chapter X F 3 (c) (iv); Chapter XVIII, Note 7 41 Chapter X, Note 64 30, 34 35, Chapter X, Note 66 35 35 35 35 35 Einigungsmangel 34 34, Falsa dmonstratio 32, Treu und Glauben, Chapter X, Note 47, Chapter X B 2 (e); Chapter XXII, Note 74 30, 36 51, Chapter X, Note 245 36 36 37, Treu und G/auben 36, 51 30 Chapter XII, Note 60 Chapter X, Note 256 Chapter XIII, Note 57 Chapter XII, Note 57 Chapter XI B 2 Chapter X Note 31 Chapter X, Note 31 Chapter X, Note 31; Chapter XII B Chapter X, Note 31 30 Chapter X, Note 243 41 41 41 29, 42 42 42, Chapter X, Note 135 A 42 42 42 42 42
T T T T T T
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474
Appendix C: Paragraph Register 196(ii) 197 198,1st sentence 201,1st sentence 202207 208216 217 218(i) 222(i) 222(ii) 223(i) 225 226231 228 232240 241242 241292 241304 241432 241853 241 241a 242 42 42 43 43 43 43 43 Chapter X B 4(b) 42 43 44 44 42 Chapter X, Note 58 C; Chapter XVI, Note 31 42 46 45 45, 46 44 27, 44 44,45, Chapter X, Note 126 Chapter X, Expos: Fernabsatz 37,42, 51,62,187, Treu und Glauben, Chapter X, Notes 47, 57, 75 and 135 D; Chapter X B 2 (e); Chapter X C 3 (g) Expos (c); Chapter XXII, Note 74 46 46, Chapter X, Note 234 Chapter X, Note 116 Chapter X, Note 116 46 46, Zinsen Chapter XI, Note 59 Chapter X, Notes 119 and 227 46 46 46 46 46 46, Chapter X, Notes 118 and 227 46, Chapter X, Note 183, Mitverschulden 46 46 46 Chapter XII, D 8 (d) 46 Chapter XII, Note 96 Unterhalt Unterhalt 46 46
T T T T
T T
243245 243 243(i) 243(ii) 244245 246248 246 249ff 249255 249 250 251 252 253 254 255 256257 258 259260 259261 259 259(ii) 261 262265 266
T T T T T T T T T T T T T T
475
The German Legal System and Legal Language 267268 269270 269(i) 270 271272 271(i) 273274 275ff 275283 275304 275(i) 276 276(i) 276(i), 3rd sentence 277 278 46 46 Leistungsort Chapter X B 12 Leistungsort, Chapter X, Note 116 46 Chapter X, Notes 98 and 124 46, Zurckbehaltungsrecht 51 46 Chapter X, Note 126 E Chapter X, Notes 116 and 126 F 50, Chapter X, Notes 126 D and 219 130; Chapter X, Note 126 H Chapter X, Note 5 Chapter XI B 1 Chapter X, Note 126 H and I; Chapter X, Note 135 A; Chapter X, Note 222; Chapter XXII, Note 74; Erfllungsgehilfe Chapter X, Note 116 Chapter X Note 126I 48 Chapter X, Notes 126I and 135 A; Chapter XIII, Note 10 4 Chapter X, Note 126I 46 46, Chapter X, Note 126 F Chapter X, Note 127 Chapter X, Note 127 Chapter X Note 126 I 46 46 Chapter X Note 126 F 48 46 46 Chapter X, Note 127; Chapter XI, Note 60 47 Chapter X, Note 128 31 47 45 47 Chapter X, Note 116 47 47 47, 51, Chapter X, Notes 23, 106, 132, 159 47 47, Chapter X Note 126 E Chapter X, Note 126 E
T T T T T T T T
279 280 280(ii) 282 283 284290 284285 284(ii) 284(III) 285 286290 286 286(i) 286(ii) 279 287 288290 288 291292 291 292 293299 293304 300304 300(ii) 305319 305361 305 306307 306309 306
T T T T T T T T T T T T T T T
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476
Appendix C: Paragraph Register 307308 308 309 310312 313 314 315-319 315316 317319 320ff 320327 320 320(i) 321 322 323ff 323325 323(i) 324 325 326 326(ii) 327 327,2nd sentence 328335 328 329332 329 330 331 332 333335 333 334 335 336345 336338 339345 343(i) 346ff 346349 346356 346361 346 347 347,1st sentence 350353 350 351 352 T T T 47 47 47 47 47, 216, Chapter X, Note 256 47, Zubehr Chapter X Note 64 47 47 Chapter X, Note 188 47, Chapter X Note 126 E 48,Zurckbehaltungsrecht Chapter X, Note 166 48 48 51, Chapter X, Note 166 48, Chapter X,Note 106 Chapter X, Note 126 F Chapter X, Note 126 G Chapter X, Notes 126 G and 166 48, 49, Chapter X Notes 106, 126 F and 166; Leistung Chapter X, Note 126 F 48, Chapter X, Note 126 F 48 45 48 48 48 48 48 48 48 48 48 48 47 48 48 Chapter XI, Note 61 50, 51 48 Chapter X Note 126 F 47, 48 Chapter X, Note 138 48 48 48, 50 50 49, 50 50
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T T T T
477
The German Legal System and Legal Language 354355 356 357358 357361 359 360 361 361a 361b 362371 362397 362(i) 362363 364365 366367 368370 368371 371 372375 372386 376377 378379 380382 383386 387388 387396 389 390395 396 397 398413 398 399400 401 402403 404411 407 412 413 414415 414419 416 417 418 419 420432 420 421 421ff 422425 49 49 49 49 49 49 49 Chapter X, Expos: Fernabsatz Chapter X, Expos: Fernabsatz 50 50 45, Chapter X, Note 114 51 51 51 51 51 51 51 50 51 52 52 52 52 50 52 52 52 50, 52 52 52,Chapter XIX B 52 52 52 52 Chapter XIX, Note 31 52 52 52 52 52 52 52 52 52 52 Gesamtschuld 53 53
478
Appendix C: Paragraph Register 427 428430 431432 431 433ff 433514 433515 433811 433853 433 433(i) 433(i), 1st sentence 434ff 434438 434 435436 437438 437 439443 439 440441 440(i) 442444 443 445 446147 446 447 448450 451 452 453 454 455 456458 459493 459ff 459 460 461 462465 462 463 465467 466 467 468471 469475 472 473475 53, Chapter XI B 3; Chapter XII B 53 53 Chapter XI, B 3 Chapter X Note 234 Kauf 53, 54 72 44, 53 54 Chapter X, Note 185 44, 45 Chapter X, Note 188Z Chapter X, Note 185 54, Gewhrleistung 54 54 Gewhrleistung Chapter X, Note 185 54 54 48 54 Gewhrleistung 54, Chapter X C 3 (g) Expos (b) 54, Chapter X Note 126 G; Chapter X C 3 (b) Expos Chapter X Notes 126 G and 234 Leistungsort 54 54 54 55 55 48, 55, 72, Chapter X Note 245 55 55 Fehler(haft), Gewhrleistung(srecht), Chapter X Note 126 D 55, Chapter X, Note 189 55, Chapter X, Note 189 55 55 Chapter X Notes 116 and 189 Chapter X, Note 189 Chapter X, Note 166 55 48, 55, Chapter X Note 189 55 Chapter X, Note 166 55 55 479
The German Legal System and Legal Language 473 474 475 476 476a 477 477(i) 478479 480 481492 493 494 495496 497503 504514 515 516534 516517 516(i) 518520 518 521524 525527 528534 535580a 535597 535536 535 536 537541 537538 537(i) 537(ii) 537(iii) 538(i) 538(ii) 539 541a541b 542544 542(i), 1st sentence 542(i), 2nd sentence 542(i), 3rd sentence 542(ii) 543,2nd sentence 544 545 545(i) 545(ii) 546 547 547a 480 55 55 55 55, Chapter X, Note 189 73 55, Chapter X, Note 189 Chapter X B 4 (c) 55 55, Chapter X, Notes 116 and 189 55 55 55 55 55 55, 77 55 53 56 Zuwendung 56 216 Chapter X, Note 106 56 56 56 56 53, 56 56 Chapter X C 3 (g) Expos Chapter X C 3(g) Expos 56 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X, Note 202 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X, C 3 (g) Expos Chapter X C 3 (g) Expos 56 56, Chapter XVIII, Note 6 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos 57 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos 57 Chapter X B 4 (c) 43, 57 Chapter X B 4 (c), 43, 57
Appendix C: Paragraph Register 548 549 550 550a 550b 551552a 553554b 554a 554b 553 556 556(i) 556a-556c 556a (i), 1st sentence 556b (i) 557 558 559563 559 564565 564 564(i) 564(ii) 564a-564b 564a (i) 564b (i) 564b (iii) 564b (vi) 564b (vii) 564c 564c(i) 564c(ii) 565 565a 565b-565e 566 566, 2nd sentence 567 568 569 569a569b 570 570a 571579 571576 571 571(i) 571(ii), 1st sentence 571(ii), 2nd sentence 573574 577 57, Chapter X C 3 (g) Expos 57 57, Chapter X, Note 199 57 57 57 57, Chapter X C 3 (g) Expos; Chapter XVIII, Note 6 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X, Note 199 57 Chapter X C 3 (g) Expos 57 Chapter X C 3 (g) Expos Chapter X, Note 280 57 Chapter X B 4 (c), 43, 55, 57 57 Chapter X, Note 280 Chapter XVII, Note 6 57 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos 57, Chapter X, Note 203 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos 57 Chapter X, Note 208 Chapter X, Note 209 57 Chapter X C 3 (g) Expos 57 57 57, Chapter X C 3 (g) Expos Chapter X Note 204 57 57, Chapter X, Note 206 57, Chapter XVIII, Note 6 57 57 57 Chapter X C 3 (g) Expos 57 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos 58 481
The German Legal System and Legal Language 578 579 580580a 580 581 581584b 582584b 584 585597 594 598606 598 599600 601604 601 602 603(i) 604(i) 604(iii) 605 605 No 2 606 607610 607(i) 609 609(i) 609(ii) 609(iii) 609a 610 611630 611ff 611 611a-611b 611a-612a 612 612a 613 613a 613a(iv) 614 615616 617619 618(i) 618(iii) 620 621622 621 622 622(i) 482 58 58 58 Chapter X, C 3(g) Expos Chapter X, C 3(g) Expos 58 Chapter X C 3 (g) Expos Chapter XVIII, Note 6 58 Chapter XVIII, Note 6 53 59, Chapter X C 3 (g) Expos 59 Chapter X C 3 (g) Expos 64 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos Chapter X, Note 199 Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos 64 Chapter X, Note 199 64, Chapter X Note 95 53, 64 Chapter X C 3 (g) Expos; Chapter X Note 235 Chapter XVIII, Note 6 Chapter X C 3 (g) Expos Chapter XC 3 (g) Expos Chapter X C 3 (g) Expos Chapter X C 3 (g) Expos, Chapter XVIII, Note 6 Chapter X C 3 (g) Expos 53, 65, Chapter XVIII, Note 1 Chapter XVIII, Note 60 65 65 Benachtligung 65 65 65 65 Chapter XVIII B 4 65 65 65 125 Chapter XVIII, Note 62 65 65 Chapter XVIII, Note 6 181, Chapter XII E; Chapter XIII, Note 75 181
Appendix C: Paragraph Register 622(ii) 622(iii) 622(iv)-(vi) 623 624 625 626628 626(i) 626(ii) 627 627(i) 629630 630 631ff 631651 631651k 631632 631 631(i) 631(ii) 632(i) 632(ii) 632a 633ff 633 633(i) 633(ii) 633(iii) 634ff 634636 634 634(iv) 635 636(i) 637 638639 638(i) 639(ii) 640641 640(i) 640(ii) 641(i) 641a 642643 644646 644 645 646 647648 647 649 483 181 182 Chapter XVIII, Note 12 65 65 65 65 181 181 Chapter XVIII, Note 6 181 65 Chapter XVIII B Chapter X Note 166 Herssteller 53, 65 65 Chapter X, Notes 104 and 166 Chapter X, Note 166 Chapter X, Notes 166 Chapter X, Note 166 Chapter X, Note 166 66, Chapter X, Note 166 Chapter X, Note 234 66, Fehler(haft) Chapter X, Note 166 Chapter X, Notes 166 and 189 Chapter X Note 166 Gewhrleistung(srecht) 66 Chapter X Note 166 48 Chapter X Note 166 Chapter X Note 166 66 66 Chapter X B 4 (c); Chapter X, Note 166 43 66 Chapter X, Note 166 Chapter X, Note 166 Chapter X, Note 166 Chapter X, Note 166 66 Chapter X Note 126 G 66, Chapter X Note 126 G 66 66, Chapter X Note 166 66 Chapter X, Note 280 66, Chapter XVIII, Note 6
The German Legal System and Legal Language 650 651 651(i) 651(ii) 651a-651l 651a-651k 651a651b 651c-651g 651h 651i 651j 651k 652656 652 657661 657 661a 662676 662ff 662 663 664668 669670 671674 675(i) 675(ii) 675a 676 676a-c 676d-e 676fh 676h 677687 677 678679 680 681 682 683 684 685 686 687 688700 690 700(i) 700(ii) 701704 704 705740 705ff 484 66 66, Chapter X, Notes 104 and 264, Verschaffung Chapter X, Note 234 Chapter X, Note 166 Chapter X B 2 (e) (Group remedies) Chapter X, Note 166 66 66 66 66 66 66 53, 66 Chapter XI, Note 41 50, 66 Chapter X, Note 106 Chapter X, Expos:Fernabsatz 66 Beau/ftragte 66 66 66 66 66 67, Chapter X, Note 166 Chapter X C 3 (g) (Title 10) Chapter X C 3 (g) (Title 10) 67 Chapter X C 3 (g) (Title 10) Chapter X C 3 (g) (Title 10) Chapter X C 3 (g) (Title 10) Chapter X, Expos:Fernabsatz 53 67 67 67 67 67 67 67 67 67 67 Chapter X, C 3 (g) Expos, 73 Chapter X, Note 210 Chapter X, C 3 (g) Expos Chapter X, Note 211 54 Chapter X, Note 280 54, 68, 105 Chapter XXII D 9
Appendix C: Paragraph Register 705 706707 706(i) 708 709712 709(i) 710 714715 714 716 717 718720 718(i) 719(i) 721722 723729 723725 725 730735 730740 735 736740 741758 741ff 741 742743 742758 744746 745 747748 747 749751 749(i) 749(ii)751 752754 755757 758 759761 762764 765778 765766 765(i) 766, 1st sentence 767 768 769 770773 771 773(i)No 1 774 775777 778 68,Chapter XI, Note 4 68 Chapter XI B 68, Chapter XI B 68 Chapter XI B, Chapter XII D Chapter XI B 68 Chapter XI B 68 68 68 98 98 68 68 Chapter XVIII, Note 6 Chapter XI, Note 12 68 Chapter XI, Note 52 Chapter XXII, Note 115 68 54, 68 Gemeinschaft nach Bruchteilen, Chapter X, Note 267 68, Chapter XI, Note 14 68 Chapter XI, Note 14 68 Chapter X F 4 (b) 68 98 68 Chapter XI A 2 Chapter XI, Note 7 68 68 68 54, 68 54, 68 54, 68 69 Chapter X, Note 177 Chapter X, Note 177 69 69 69 69 Selbstschuldnerische Brgschaft selbstschukdnerische Bgschaft 69, Chapter X, Note 156 69 69 485
The German Legal System and Legal Language 779 780782 783792 783786 783 787791 792 793808a 793797 793(i), 2nd sentence 795 796 798800 799 801802 803808a 807 808 808(i), 1st sentence 808(i), 2nd sentence 809811 812822 812ff 812 812813(i) 812(i), 1st sentence, 1st alternative 812(i), 1st sentence, 2nd alternative 813(ii)815 816 817, 1st sentence 817, 2nd sentence 818(i) 818(ii) 818(iii) 818(iv)820 818(iv) 819(i) 821 822 823853 54,.70 823ff 823 823(i) 54, 69, Chapter XXII, Note 96 54, 69 54, 69, Chapter XIX B 69 Chapter XIX, Note 36 69 69 54, 69, Chapter XIX B 69 Chapter XIX B Chapter XIX, Note 33 Chapter XIX, Note 33 69 Chapter XIX, Note 33 69 69 Chapter XIX B; Chapter XIX, Note 41 Chapter XIX B; Chapter XIX, Note 41 Chapter XIX, Note 41 Chapter XIX, Note 41 54, 69 54, 69 50, Leistung, Chapter X, Notes 48 and 209; Chapter XIII, Note 174 30, Chapter XIII D 8 (c) (v) 69 Leistungskondiktion, Chapter X, Note 245 Nichtleistungskondiktion 69 70, Chapter X, Note 243 70 70 70 70 30,.70 70 30 30 70 70 T T T T Chapter X, Note 126 D; Chapter XIII, Note 174 70, Chapter VIII Note 7; Chapter X, Notes 126 J, 219, 222, 224 and 254; Chapter XIII D 8 (c) (v) Widerrechtlich, Chapter VIII, Note 20; Chapter X, Notes 219, 222, 224 and 266; Chapter XVI, Note 36 Chapter VIII, Note 20 C; Chapter X, Note 219 70 Chapter VIII, Note 20 E; Chapter X, Note 220 Chapter X, Note 220
823(ii) 824826 824 825826
T T T T 486
Appendix C: Paragraph Register 826 827829 827 828 830 831 832 833834 833 836838 839 839(i) 839(i), 2nd sentence 839(ii), 1st sentence 839(ii), 2nd sentence 840841 842846 842843 844846 844 845 847 847 analogously 847(i) 848851 852853 852(i) 854872 8541296 858(i) 859 861862 861(i) 862 862(i) 868 873878 873902 873 873(ii) 875 877 879881 883888 883(i) 891893 891ff 891 892 T T T T T T T T T T T T T T T T T T T T T T T T T T Chapter VIII, Notes 7 and 20; Chapter X, Notes 58 and 220; Chapter XIII, Note 15 70 Chapter X, Note 5 Chapter X, Note 5 70 70, Chapter X, Notes 135, 222 and 224; Verrichtungsgehilfe 70 70 Chapter X, Note 126 D 70 70 and Amtspflicht; Chapter X, Notes 220 and 224 ChapterX, Note 224 Chapter X, Note 224 Chapter XXII, Note 19 Chapter XXII, Note 19 70 Chapter XVIII, Note 62 70 70 Chapter X, Note 226 Chapter X, Note 226 70 Chapter VIII, Note 20 Chaper X, Note 227 70 71 Chapter X B 4(c) 71, 73 71 Chapter X, Note 266 Chapter X, Note 254 Chapter X, Note 266 Chapter X, Note 266 ChapterX, Note 254 Chapter X, Note 266 Chapter X, Note 257 74 71, 73 44, 71, 73 Chapter X, Note 256 73 73 74 74 Chapter X, Note 256 74 Chapter X D 3(h) Chapter X D 3(b) Chapter X D 3 (b) and X F 5 (d)
487
The German Legal System and Legal Language 892(i), 1st sentence 892(i), 2nd sentence 893 894899 898 900902 902 903924 9031011 903 904 906(i) 906(ii) 907924 910 925928 925(i) 925(i), 1st sentence 925(ii) 929936 929984 929 929, 1st sentence 929, 2nd sentence 930 931 932 933 934 935 935(ii) 937945 937984 946952 947948 950 950(i), 1st sentence 952 953957 956957 958964 965984 9851007 985 987ff 987993 9871003 989 990 994 1000 Chapter X D 3 (b) Chapter X D 3 (b) Chapter X D 3 (b) 74 42 74 42 74 74 74 Chapter X, Note 58; Chapter XVI, Note 32 Chapter X D 3 (c) (i) Chapter X D 3 (c) (i) Chapter X, Note 253 Chapter X, Note 254 44, 75 75, Auflassung Chapter X, Note 256 Chapter X, Notes 245 and 256 76 44, 75 76 Chapter X, Note 256 75 76 76 76, Chapter X D 3 (b); Chapter X F 5 (a); Chapter XI, Note 62 Chapter X, Note 261 Chapter X, Note 261 76 Chapter XIX B 76 76 76 Chapter XI A 2 Chapter X, Note 264 Chapter X, Note 264 ChapterXIX B 76 ChapterX, Note 195 76 76 77 77, Chapter X, Notes 245 and 266; Chapter XIIID 8 (c)(v) 49, 50 Chapter X, Note 266 Chapter X, Note 266 31 31 Chapter X, Note 266 Chapter X, Note 266 488
Appendix C: Paragraph Register 1004 1004 analogously 1006 10081011 1008ff 10121017 10181029 10181093 10181203 10181296 1027 10301089 10901093 10941104 11051112 11131190 11131203 11131296 1113 1115 1116 1116(ii) 1117(i) 11331135 1137 1138 1141 11421150 11421143 1147 11531199 1153 1154 1155 1160(i) 1163 1177 11911203 1192 1196 12041258 12041296 1204(i) 12051256 1227 1228ff 1250(i) 1252 1257 12731296 489 77, Chapter VIII, Note 7; Chapter X, Notes 254 and 266 D Chapter VIII, Note 20; Chapter XV, Note 15 Chapter XIII, Note 10; Chapter XIX, Note 30 77 Miteientum nach Bruchteilen 77 77 77 71 71 Chapter X, Note 266 77 77 77 77 78 78 78 Chapter X D 3(h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) Chapter X D (h) 78 Chapter X D (h) Chapter X D (h) 80 80 Chapter X, Note 280 Chapter X, Note 280 Chapter X, Note 280 Chapter X Note 280 Chapter X Note 280 Chapter X Note 280 Chapter X Note 280 80
The German Legal System and Legal Language 12971302 12971588 12971921 13031322 13231322 13231347 13481362 1360 1360a(iv) 1361 1361(ii) 1361(iv), 4th sentence 1363ff 13631390 13631563 1363(i) 1365 1371 1371(i) 1371(ii) 1371(iii) 1372 1373 13741375 1374(ii) 1375(ii) 1375(iii) 1376 1376(i) 1376(ii) 1377(iii) 1378(i) 1379 1380(i) 1382 1383 1384 14081518 15581563 15641568 15641587P 1565(i), 1st sentence 1565(i), 2nd sentence 1565(ii) 1566(i) 1566(ii) 1567 1568 15691586 1580 1585b 1585c 490 80 80 80 80 80 80 80 Untehalt Unterhalt Untehalt Chapter XIII D 6 (b) 2 Chapter XIII D 6 (b) 2; Unterhalt Chapter XIII D 6 (b) 2 Gterrecht 80 Gterrecht 101 Chapter X F 3 (a) and 4 (g) Chapter X F 3 (a) and 4 (g) Chapter X F 3 (a) and 4 (g) Chapter X F 3 (a) and 4 (g) Gterrecht Chapter XIII D 6 (b) 2 Chapter XIII, Note 155 Chapter XIII D 6 (b) 2 Chapter XIIID D 6 (b) 2 Chapter XIII D 6 (b) 2 Chapter XIII, Note 155 Chapter XIII D 6 (b) 2 Chapter XIII D 6 (b) 2 Chapter XIII D 6 (b) 2 Gterrecht, Chapter XIII D 6 (b) Chapter XIII D 6 (b) 2 Chapter XIII D 6 (b) 2 Chapter XIII D 6 (b) 2 Chapter XIII D 6 (b) 2 Chapter XIII D 6 (b) 2 Gterrecht Gterrecht Chapter X E 80 Chapter XIII D 6 (b) 3 Chapter XIII D 6 (b) 3 and Note 159 Chapter XIII D 6 (b) 3 Chapter XIII D 6 (b) 3 Chapter XIII D 6 (b) 3 and Note 159 Trennung Chapter XIII D 6 (b) 3 Chapter X E; Unterhalt Chapter XIII D 6 (b) 2; Unterhalt Chapter XIII, Note 156 Chapter XIII, Note 156
Appendix C: Paragraph Register 15871587p 1588 15891590 15891772 1589 15911600o 16011615o 16011615 1605 1613(i) 1614 1615a1615o 16161625 16261704 1629 1629(ii), 2nd sentence 1631 1643 1671(iii) 17051718 17191740g 17411772 1773ff 17731895 17731921 1821 1822 1837(i) 18961908i 19091921 1915(i) 19221941 19222385 1922 1922(i) 1923 19241936 19241929 1924 1924(iii) 1924(iv) 1925 1925(iii) 1926 1930 1931 1931(i) 1931(ii) 1931(iii) 1931(iv) 1933,1st sentence. Chapter X E 81 81 81 Chapter X F 3 (a) 81, Chapter X F 3 (a) 81 Unterhalt Chapter XIII D 6 (b) 2; Chapter XIII, Note 154; Unterhalt Chapter XIII D 6 (b) 2 Chapter XIII D 6 (b) 2 Unterhalt 81 81 30 Chapter XIII, Note 156 Chapter XVI, Note 37 31 Chapter XIII, Note 158 81 81 81 Chapter X, Note 345; Chapter XVI, Note 40 81 81 31 31 Chapter X F 5 (b) 81, Chapter XIII, Note 1 81, Pflegshaft Chapter X, Note 345 81 81 Chapter X F 4 (a) Chapter X B 4 (c), Tod Chapter X F 3 (a) (i) Chapter X F 3 (a) (i) Chapter X F 3 (a) (i) Chapter X F 3 (a) (i) Chapter X F 3 (a) (i) Chapter X F (a) (i) Chapter X F (a) (i) Chapter X F (a) (i) Chapter X F (a) (i) Chapter X F (a) (i) Chapter X F 3 (a) (i) and 4 (g) Chapter X F 3 (a) (ii) Chapter X F 3 (a) (ii) Chapter X F 3 (a) (ii) Chapter X F 3 (a) (ii) Chapter X F 3 (a) (ii) 491
The German Legal System and Legal Language 1936 1937 1938 19391940 1939 1940 1941 19422063 19421966 1942(i) 1943 1944(i) 1944(ii) 1944(iii) 1949(i) 1953(i) 1953(ii) 1945(i) 1954(ii) 1954(iv) 1955 1956 1957(i) 1959(i) 1959(ii) 1960(i) 1960(ii) 1964(i) 1964(ii) 19672017 1967(ii) 1975 1978(i) 1980(i) 1981(i) 1984(i) 1985(i) 1988(i) 20182031 20322063 2033 2038 204(i) 2042 2042(i) 2044 2046 2047 2048 2050 2057a 492 Chapter X F 3 (a) Chapter X F 3 (b) and (c); Chapter X F 4 (c) Enterbung Chapter X F 4 (f) Chapter X F 4(h) Vermchtnis Chapter X F 4 (h) Chapter X F 4 (h) Chapter X F 3 (b) and (e), Chapter X F 4 (c) Chapter X F 3 (b) and (e), Chapter X F 4 (c) 81 Chapter X F 4 (a) and 5 (a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5(a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X, Notes 335 and 338 Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5 (a) Chapter X F 5 (e) Chapter X F 5 (e) Chapter X F 5 (e) Chapter X F 5 (b) Chapter X F 5 (b) Chapter X F 5 (b) Chapter X, Note 332 Chapter X F 5 (b) Chapter X F 5 (b) Chapter X F 5 (b) Chapter X F 5 (b) Chapter X F 5 (b) Chapter X F 5 (c) Chapter X F 4 (b) Chapter X F 4 (b); Chapter X, Note 311 Chapter X F 4 (b) Chapter X F 4 (b) Chapter X F 4 (b) Chapter X F 4 (b) Chapter X F 4 (b) Chapter X F 4 (b) Chapter X F 4 (b) Chapter X F 4 (a) and (b) Chapter X F 4 (b) and (g) X F 4 (b) and (g)
Appendix C: Paragraph Register 20582063 20642273 20642086 2064 2065 20662077 2068 2069 2078(i) 2078(ii) 2078(iii) 2079 2081(i) 2082 2084 20872099 2087 2088 2094 20962099 2096 21002146 2100 21042105 2106(i) 2108(i) 2109(i) 2112 21132115 2113(iii) 2130(i) 2131 2132 2137(i) 2137(ii) 2139 21472196 21472191 2147 2150 2156 2160 2162 2169(i) 2170 2174 2176 2177 2180(i) 2194 21972228 493 Chapter X F 5 (b) 81 Chapter X F 3 (c) Chapter X F 3 (b) Chapter X F 3 (b) Chapter X F 3 (c) (iii) Chapter X F 4 (d) Chapter X F 4 (d) Chapter X F 3 (c) (iv) Chapter X F 3 (c) (iv) Chapter X F 3 (c) (iv) Chapter X F 3 (c) (iv) Chapter X F 3 (c) (iv) Chapter X F 3 (c) (iv) Chapter X F 3 (c) Chapter X F 4 (c) Chapter X, Note 299; Chapter X F 4 (c) Chapter X F 4 (c) Chapter X F 4 (c) Chapter X F 4 (d) Chapter X F 4 (d) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Capter X F 4 (e) Chapter X F 4 (e) Chapter X F 4 (e) Vermchtnis Chapter X F 4 (h) Chapter X F 4 (h) Chapter X, Note 291 Chapter X F 4 (h) Chapter X F 4 (h) Chapter X F 4 (h) Chapter X F 4 (h) Chapter X F 4 (h) Chapter X F 4 (h) Chapter X F 4 (h) Chapter X F 4 (h) Chapter X F 4 (h) Chapter X F 4 (i)
The German Legal System and Legal Language 2204 2205 22292264 2229(i) 2229(iv) 22312248 2232 22492252 2247(i) 2253 2254 2255,1st sentence 2256(i) 2258(i) 2258(ii) 2259(i) 2259(ii) 2260(i) 2260(iii) 2265273 2265 2267 2269 2270(i) 2270(ii) 2271(i) 2271(ii) 22742302 2274 2276 2276(i) 2278 2279 2286 2287 2288(i) 2289 2299 2301 2302 23032338 2303(ii) 2305 2307(i) 2311(i) 2314(i) 2316 2317 2325 2327 Chapter X F 4 (b) Chapter X F 4 (b) Chapter X F 4 (c) Chapter X F 3 (c) (i) Chapter X F 3 (c) (i) Chapter X F 3 (c) (i) 84, Chapter X F 3 (c) (i) Chapter X F 3 (c) (i) Chapter X F 3 (c) (i) Chapter X F 3 (c) (ii) Chapter X F 3 (c) (ii) Chapter X F 3 (c) (ii) Chapter X F 3 (c) (ii) Chapter X F 3 (c) (ii) Chapter X F 3 (c) (ii) Chapter X F 3 (c) (e) Chapter X F 3 (c) (e) Chapter X F 3 (c) (e) Chapter X F 3 (c) (e) Chapter X F 3 (d) Chapter X F 3 (d) Chapter X F 3 (d) Chapter X F 3 (d) Chapter X F 3 (d) Chapter X F 3 (d) Chapter X F 3 (d) Chapter X F 3 (d) 81, 87, Chapter X F 3 (e) Chapter X F 3 (b) 218 Chapter X F 3 (e) Chapter X F 3 (e) Chapter X F 3 (e) Chapter X F 3 (e) Chapter X F 3 (e) Chapter X F 3 (e) Chapter X F 3 (e) Chapter X F 3 (e) 218 Chapter X F 3 (b) 81, Chapter X F 4 (g) Chapter X F 4 (ii) Chapter X F 4 (g) Chapter X F 3 (a) (ii) and 4 (g) Chapter X F 4 (g) Chapter X F 4 (g) Chapter X F 4 (g) Chapter X F 4 (g) Chapter X F 4 (g) Chapter X F 4 (g)
494
Appendix C: Paragraph Register 2330 2332(i) 23332336 23332335 2336 2337 23392345 2339 23402342 2344 2345 23462352 23532370 2353 2356(ii) 2359 236 2362(i) 2363 2364 2365 2366 2368 23712385 2371 Chapter X F 4 (g) Chapter X B 4 (c); Chapter X F 4 (g) Enterbung Chapter X F 4 (g) Chapter X F 4 (g) Chapter X F 4 (g) 81 Chapter X F 4 (f) Chapter X F 4 (g) Chapter X F 4 (f) Chapter X F 4 (f) Chapter X F 4 (f) 81, Chapter X F 4 (f) 81, Chapter X F 5 (d) Chapter X F 5 (d) 218 Chapter X F 5 (d) Chapter X F 5 (d) Chapter X F 5 (d) Chapter X F 5 (d) Chapter X F 5 (d) Chapter X F 5 (d) Chapter X F 5 (d) Chapter X, Note 342 81 Chapter X, Note 311
BNotO
1 4 5 12 14 19 2022 2024 25 6591 Chapter XXII, Note 118 Chapter XXII, Note 119 Chapter XXII, Note 120 Chapter XXII, Note 118 Chapter XXII, Note 120 Chapter XXII, Note 123 Chapter XXII, Note 122 218 Chapter XXII, Note 121 Chapter XXII, Note 124
BRAGO
3(i) 3(ii) 3(v) 7(i) 8(i), 1st sentence 8(i), 3rd sentence. 8(ii) 8(ii), 2nd sentence 11(i) 11(i),2nd sentence Chapter XXII, Note 100 Chapter XXII, Note 102 Chapter XXII, Note 101 Chapter XXII, Note 90 Chapter XXII, Note 91 Chapter XXII, Note 92 Chapter XXII, Note 92 Chapter XXII D 8 (a) 214, 215 Chapter XXII Note 105
495
The German Legal System and Legal Language 11(i), 3rd sentence 12(i) 13(i) 13(ii) 13(v) 16 18 19 19(i) 20(i) 21 23(i) 2530 31(i) 52 83108 97(i) 99 114(i) 116 118(i) 118(ii) 119(i) 119(ii) 120(i) 123 132 Chapter XXII, Note 105 Chapter XXII, Note 109 Chapter XXII, Notes 101 and 104 Chapter XXII, Notes 104 Chapter XXII, Note 101 Chapter XXII, Note 104 Chapter XXII, Note 104 Chapter XXII, Note 22 Chapter XXII, Note 103 Chapter XXII, Note 106 Chapter XXII, Note 108 Chapter XXII, Note 96 Chapter XXII, Note 104 Chapter XXII, Note 93 Chapter XXII, Note 54 Chapter XXII, Note 99 Chapter XXII, Note 100 Chapter XXII, Note 100 Chapter XXII, Note 97 Chapter XXII, Note 99 Chapter XXII, Note 94 Chapter XXII, Note 94 Chapter XXII, Note 98 Chapter XXII, Note 98 Chapter XXII, Note 107 Chapter XXII, Note 111 Chapter XXII, Note 110
BRAO
13 1 2 2(ii) 3(i) 3(iii) 442 4 5 7 7 Nos 16 7 No 7 7 No 8 14 18(i) 19(i) 25 27(i) 4359b 43 208, Chapter XXII, Note 54 208 Chapter XXII, Note 53 Chapter XXII, Note 2 Chapter XXII, Note 54 Chapter XXII, Note 55 208 208 Chapter XXII, Note 57 Chapter XXII, Note 59 Chapter XXII, Note 59 Chapter XXII, Note 59 Chapter XXII, Note 59 Chapter XXII, Note 59 Chapter XXII, Note 59 Chapter XXII, Note 59 Chapter XXII, Note 61 Chapter XXII, Note 60 208, 209 209
496
Appendix C: Paragraph Register 43a 43b 43c 44 45 45(i) No 4 45(ii) No 2 46 49(i) 49b(i) 49b(ii) 50(i) 50(ii) 51 51a(i) 51a(ii), 2nd sentence 51a(ii), 3rd sentence 59 c-m 6091 60(i) 62(ii) 63 73(ii) 74 74a 78 92161a 113(ii) 114 115,1st sentence 115b 118(i) 118(ii) 123(i) 135 150 162174 172(i) 174 175176 175191 179 187 226 Chapter XXII D 5 Chapter XXII D 5 Chapter XXIID 5 Chapter XXII, Note 65 Chapter XXII, Note 66 Chapter XXII, Note 66 Chapter XXII, Note 66 Chapter XXII, Note 67 Chapter XVII C; Chapter XXII, Note 68 Chapter XXII, Notes 100 and 101 Quota litis, Chapter XXII, Note 101 Chapter XXII, Note 69 Chapter XXII, Note 69 Chapter XXII, Note 70 Chapter XXIID 9 Chapter XXII D 9 Chapter XXII D 9 Chapter XXII, Note 116 208 Chapter XXII, Note 80 Chapter XXII, Note 81 Chapter XXII, Note 82 Chapter XXII, Note 87 Chapter XXII, Note 87 Chapter XXII, Note 87 Chapter XXII, Note 82 208 Chapter XXIID 7 Chapter XXII, Note 89 Chapter XXII D 7 Chapter XXIID 7 Chapter XXIID 7 Chapter XXIID 7 Chapter XXII, Note 88 Chapter XXIID 7 Chapter XXII, Note 89 208 Chapter XXII, Note 63 Chapter XXII, Note 83 Chapter XXII, Note 84 208 Chapter XXII, Note 85 Chapter XXII, Note 85 Chapter XXII Note 62
BtMG
29 30 Chapter XXII Note 38 Chapter XXII Note 38
497
BVerfGG
1(i) 5 13 31(i) 31(ii) 32 64(i) 78 79(i) 82(i) 90(i) 90(ii) 90(11), 2nd sentence 93(i) 93(iii) 93a(ii) 95 9 Chapter VII, Note 16 18 18 19, Chapter VII, Note 18 Chapter VII, Note 10 Chapter VII, Note 19 18 18 18 19 19 Chapter VII, Note 14 19 19 Chapter VII, Note 16 19
BVwVG
6(ii) 9(ii) 13(ii) 13(iii) Chapter XXIII, Note 56 Chapter XXIII, Note 57 Chapter XXIII, Note 57 Chapter XXIII, Note 57
DRiG
145a 1 3 5(i) 7 9 1013 19 25 26(ii) 28(ii) 30 44(i) 44(ii) 45 45a 4670 61 7184 77 85126 203 Chapter XXII, Note 3 Chapter XXII, Note 13 Chapter XXII, Note 11 Chapter XXII, Note 12 Chapter XXII, Note 11 Chapter XXII, Note 14 Chapter XXII, Note 17 Chapter XXII, Note 17 Chapter XXII Note 19 Chapter XXII, Note 8 Chapter XXII, Note 18 Chapter XXII, Note 5 Chapter XXII, Note 7 Chapter XXII, Note 7 Chapter XXII, Note 4 203 Chapter XXII, Note 19 203 Chapter XXII, Note 19 203
498
Appendix C: Paragraph Register
EFZG
3(i) 3(iii) 5(i), 1st sentence 5(i), 2nd sentence Chapter XVIII, Note 13 Chapter XVIII, Note 13 Chapter XVIII, Note 13 Chapter XVIII, Note 13
EGBGB
Article(s) 338 36 3(i), 1st sentence 3(i), 2nd sentence 3(ii) 3(iii) 4(i) 4(i), 2nd sentence 5(i), 2nd sentence 6 710 712 7 11 11(i) 1324 14(i) 15(i) 18(i) 2526 2738 27(i), 1st sentence 27(i), 2nd sentence 27(iii) 28(i), 1st sentence 28(ii), 1st sentence 29 29a 30(ii) 31(i) 31(ii) 32(i) 32(ii) 34 35(i) 38 40 220(i) 195 195 195 196 195 Chapter XX, Note 6 196 Chapter XX, Note 7 Chapter XX C Chapter XXIII, Note 148; Chapter XX, Notes 6 and 14 Chapter XX C 195 Chapter XIII, Note148 Chapter XX Notes 2 and 19 Chapter XX Note 19 195 Chapter XX C Chapter XX C 196 195 195 197 197 197 197 197 197 Chapter X Expose: Fernabsatz 197 198 198 197 198 Chapter IX, Note 6 198 198 Chapter XX, Note 24 A 195
499
EGGVG
8 2330 3138 Chapter XXII, Note 36 Chapter XV, Note 2 Chapter XVII, Note 31
EG-Vertrag (EC Treaty)

Article(s) 3955 65 234 Vrekehr Chapter XXI, Note 5 Chapter XIII, Note 71
EuGV (Brussels Convention)

Article(s) 5 No 1 5 No 3 5 No 5 17(i), 2nd sentence 2123 2549 26 27 28 31ff 52 53 56 Chapter XIII, Note 28 C; Chapter XXII, Note 74 Chapter XX, Note 25 Chapter XIII, Note 28 C Chapter XXII, Note 74 Chapter XIII, Notes 28 C and 101 Chapter XXI, Note 4 Chapter XIII, Note 171 Chapter XIII, Note 171 Chapter XIII, Note 171 Chapter XIII, Note 171 Chapter XIII, Note 28D Chapter XIII, Note 28D Chapter XIII, Note 171
EuMRK
Article(s) 6 Note 18; 6(iii)a 6(iii)d 6(iii)e 7(ii) 14 Chapter VIII, Chapter XVII, Note 6 Chapter VIII, Note 18 Chapter XVII, Note 29 Chapter XVII, Note 29 Chapter XVI, Note 4 Chapter VII, Note 18
EV (Rome Convention)
Article(s) 3 3(iii) 4 5 6 8 9 10 Chapter XX, Note 13 Chapter XX, Note 14 Chapter XX, Note 15 Chapter XX, Note 16 Chapter XX, Note 17 Chapter XX, Note 20 Chapter XX, Note 19 Chapter XX, Note 18
500
FamRndG
Article(s) 7 Chapter XIII, Note 148
FGG
16a 1930 35 36 45 4964 72 73(i) 125 Chapter XIII, Note 148 Chapter XIII, Note 140 Chapter XIII, Note 32 Chapter XIII, D 6 (b) 2 Chapter XIII, D 6 (b) 2 Chapter XIII, Note 153 Chapter XIII, Note 31 Chapter X F 5 (d) Chapter XIII, Note 31
GBO
1 Chapter XIII, Note 31
GenG
1(i) 10 2435 Chapter XI, Note 5 Chapter XI, Note 5 Vorstand
GewO
1 2434c 105139m 120a 120d 120e 147(i) No 1 147(iv) Chapter XIX, B Chapter XIX, Note 18 Chapter XVIII, Note 2 (a) 186 186 187 Chapter XVIII, Note 58 Chapter XVIII, Note 59
GG Article(s)
13 117 118 21 119 1 1(i) 1(iii) 2 2(i) 2(ii), 1st sentence T T T T T T T T T T 501 Chapter VIII, Note 16 22, Chapter VIII, Note 36
21 Chapter VIII, Note 7 22, Chapter VIII, Note 20 21 Chapter VIII, Note 7 22, Chapter VIII, Notes 4 and 20, Chapter X, Note 23; Chapter XIII, Note 69 22
The German Legal System and Legal Language 2(ii), 2nd sentence 3(i) 3(ii) 3(iii) 4(i) 4(iii) 5 5(i) 5(ii) 5(iii) 614 6 7 8 8(i) 8(ii) 9(i) 9(ii) 9(iii) 10(i) 11(i) 12(i) 123 13(i) 13(ii) 14 14(i) 14(i), 1st sentence 14(ii) 14(iii) 1519 16 16(i) 16(ii) 16a 17 18 19(i) 19(ii) 19(iv) 2037 20 20(i) 20(ii) 20(iii) 20(iv) 21 21(ii) 22 T 22, Chapter VIII, Note 36 T 22, Chapter VIII, Notes 6 and 22, Gleichheit T 22, Chapter VIII, Note 23, Gleichberechtigung T 22, Chapter VIII, Note 18 T 22, Chapter VIII, Note 4, Gewissen T 22 T Chapter VIII, Note 7 T 23, Chapter VIII, Note 26 T Chapter VIII, Note 4 T 23, Chapter VIII, Note 4 T Chapter VIII, Note 16 T 23 T 23 T Chapter VIII, Note 7 T 21, 23, Chapter VIII, Note 4 T Chapter VIII, Note 4 T 21,23 T Chapter T 23, Koalitionsfreiheit T 23,Fernmeldegeheimnis T 21, 23, Freizgigkeit T 21, 23, Chapter VII, Note 18; Chapter XXII, Note 59 T Chapter VIII, Note 25 T 23 T Chapter XIII D 8 (c) (v); Chapter XXII, Note 26 T 75, Chapter X, Notes 251 and 252 T 23,Eigentum, Erbrecht T Chapter X F 2 T 75, Eigentum, Erbrecht T Enteignung, Chapter VII, Note 18 T Chapter VIII, Note 16 T 23 T Ausbrgerung T Auslieferung T Asylrecht T 23 T 8 T 21, Chapter VIII, Note 13 T 22, Chapter VIII, Note 13 T 6, 22, Rechtsschutzgarantie, Chapter VIII, Note 17, Chapter XIII, Note 69 T 17 T Chapter II, Note 18; Chapter VII, Note 2; Chapter VIII, Note 2 T 6 T 6 T 6, 22, 117, 160 T 18, Chapter VIII, Note 36 T Chapter II, Notes 26 and 30; Chapter VII, Note 2 T 18 T Chapter VII, Note 2 502
Appendix C: Paragraph Register 23 2327 24 25 28 2831 28(i) 28(i), 1st sentence 28(i), 2nd sentence 28(ii) 29 29(vii) 30 31 32 32(i) 32(iii) 33 3436 34 35(i) 35(ii)(iii) 37 3848 3869 38 43(ii) 5053 50 51 53 53a 54 5461 59(i) 59(ii) 6269 62 70ff 7078 7082 70 71 72 73 No 9 74 No 11 74 No 16 75 7678 T T T T T T T T T T T T T T T T T T T T T T T Chapter I, Note 13; Chapter II, Notes 3 and 31; Chapter VII, Note 16 Chapter II, Note 31 Chapter II, Note 3 Chapter II, H Chapter II, Note 31 Chapter II, Note 18 Chapter II, Note 2 13 13 15 Chapter II, Note 20 Chapter II, H 14, Chapter II, Note 3 5, 21, 157, Bundesrecht bricht Landesrecht, Chapter II, Note 7 Chapter VII, Note 2 Chapter II H Chapter II H 18, Chapter VII, Note 2 Chapter VII, Note 2 Chapter X, Note 224; Chapter XXII, Note 19 Chapter XII, Note 1 Chapter XII, Note 1 Chapter II, Note 2; Chapter VII, Note 2 17 9, 17 18 Chapter III, Note 3 Chapter III, Note 3 17 Chapter III, Note 4 17 9 Chapter III, Note 4 17 Chapter II H Chapter II H 17 9 Chapter II, Note 3 Chapter II, Note 7; Chapter VII, Note 3 Chapter XII, Note 1 5, ChapterV, Note 6 5 5 Chapter XIX, Note 1 Chapter XIX, Note 1 Chapter XIX, Note 1 5 Chapter III, Note 3
503
The German Legal System and Legal Language 77 77(ii) 77(iii) 79 79(iii) 80(i) 80(ii) 80a81 82 83ff 8391 83 84 84(i) 85 86 87ff 87(iii) 87ab 87b 87d 87e 89 91a91b 92ff 92104 92 9394 93 93(i) No 1 93(i)No2 93(i) No 3 93(i) No 4a 93(i)No 4b 94(i) 9596 95 95(i) 95(ii) 96(i) 96(iv) 9798 97(i) 98 99100 100(i) 100(ii) 100(iii) 101 101(i) Zustimmungesgestz Vermittlungsausschu Einspruchsgesetz Chapter VII, Note 3 6 Chapter II, Note 18 Chapter VIII, Note 15 Zustimmungsgesetz Chapter VII, Note 3 Chapter VII, Note 3 Chapter II, Note 3 17 14, 157 14 Zustimmungsgesetz Chapter V, Note 7 157 Chapter XIV, A 11 Chapter XIV, Note 1 Chapter XIV A Chapter XIV A Chapter XIV A Chapter XIV A Chapter VII, Note 6 Chapter II, Note 3 17 6, Chapter VII, Note 4 Chapter VII, Note 4 18, Chapter III, Note 5; Chapter VII, Note 15; Chapter XXII, Note 16 19 18 19 22, Chapter VIII, Note 17 19 Chapter XXII, Note 16 Chapter VII, Note 4 Bundesrichter Chapter XXII, Notes 31 and 39 Chapter XXII, Note 15 Chapter XXII, Note 40 Chapter XXII, Note 40 Chapter VII, Note4 17, 117, Chapter XXII, Note 17 Chapter XXII, Note 2 Chapter VII, Note 4 18, Chapter XIII, Note 71 Chapter II, Note 35 Chapter XIII, Note 19 18, Chapter VII, Note 4 6, 119, 206, Gesetzlicher Richter
T T T T T
T T T T T T T T T T T T T T T T T T T T T T T T T 504
Appendix C: Paragraph Register 101(i), 2nd sentence 101(ii) 102103 103 103(i) 103(ii) 103(iii) 104 104(i) 104(ii) 104(iii) 104(iii), 2nd sentence 104a115 104a (iv) 108 115a115l 116146 142 T T T T T T T T T T T 203, Chapter VIII, Note 36 206, Chapter XXII, Note 38 Chapter VII, Note 4 18 6, 115, Chapter VIII, Notes 18 and 36, Chapter XIII D 2 (c)(vi) 167, Chapter VIII, Note 36; Chapter XVI, Note 3; Rckwirkung Chapter VIII, Note 36; Chapter XVI, Note 5 18, Chapter VII, Note 4 Chapter VIII, Note 36 178 178 178 17 Chapter V, Note 6 Chapter XIV, A Chapter VII, Note 6 17 21
GKG
11(i) 11(ii) 1234 65(i) 65(vii) Chapter XXII, Note 91 214, Chapter XXII, Note 91 119, 213 129 Chapter XIII, Note 91
GmbHG
2 2(i) 4(ii) 4a(ii) 5 5(i) 5(iii) 6(i) 6(ii), 1st sentence 6(ii), 2nd and 3rd sentenos 6(iii) 6(iii), 2nd sentence 7(ii) 9 11(i) 11(ii) 13(i) 13(ii) 14 15(iii) Chapter XI A 5; Chapter XII B 1 218 Chapter XIII, Note 57 Chapter XI, Note 20 Chapter XII, B 3 Chapter XII C Chapter XIIC Chapter XII, E Chapter XII E Chapter XII E Chapter XII E Chapter XII E Chapter XII C Chapter XII B 3 Chapter XII B Chapter XI, Note 22; Chapter XII B 2 Chapter XII D Chapter XI, Note 16 Chapter XII C Chapter XII C
505
The German Legal System and Legal Language 15(iv) 15(v) 17(i) 17(ii) 30(i) 35 36 37(i) 37(ii) 38(ii) 40(i) 43(ii) 46 47(i) Chapter XII C Chapter XII C Chapter XII C Chapter XII C Chapter XII C Chapter X, Note 27; Chapter XII E Chapter XII E Chapter XII E Chapter XI, Note 25; Chapter XII E Chapter XII, Note 13 Chapter XII E Obliegenheit Chapter XII D Chapter XII D
GVG
12 13 16, 1st sentence 22(iv) 23 No 1 23 No 2a 23a 23b 24 24(i) 24(ii) 25 28 29(i) 30 36 71(i) 71(ii) No 2 72 7374 73(i) 74(i), 1st sentence 74(i), 2nd sentence 74(ii) 74(iii) 74a 74c 76(i) 95 108 112 119 506 Chapter XXII, Note 35 6 206 Chapter XIII D 1 (e) Chapter XIII D 1 (e) Chapter XIII D 1 (e) Chapter XIII D 1 (e) 162, Familiensache, Chapter XIII, Note 31, Chapter XXII, Note 73 Chapter XVII, Note 4 Chapter XXII, Note 37 Chapter XXII, Note 37 Chapter XIII D 1 (e); Chapter XVII, Note 4, Chapter XXII, Note 37 Chapter XVII, Note 4; Chapter XXII, Note 37 Chapter XXII, Note 37 Chapter XXII, Note 9 Chapter XXII, Note 6 119 Chapter XIII D1 (e) 136, 138 Chapter XVII, Note4 Chapter XXII, Note 37 Chapter XXII, Note 37 Chapter XXII, Note 37 Chapter XIII, Note 133; Chapter XXII, Note 37 Chapter XXII, Note 37 Chapter XXII, Note 37 Chapter XXII, Note 37 Chapter XXII, Note 37 119 Chapter XXII, Note 6 Chapter XXII, Note 9 120, 138
Appendix C: Paragraph Register 119(i) 120121 120 121 132 133 135 136-138 141-152 150 152 156 158(i) 162-163 166 167 169 169, 2nd sentence 170 184 185 136 Chapter XVII, Note 4 Chapter XIII, Note 133, Chapter XXII, Note 37 Chapter XIII, Note 133 Chapter XIII, Note 19 120, 138 Chapter XIII, Note 133; Chapter XVII, Note 4 Chapter XIII, Note 19 Chapter XVII, Note 4 Chapter XVII, Note 15 Chapter XVII, Note 22 Chapter XXI, Note 1 Chapter XXI, Note 1 Chapter XXI, Note 1 Chapter XXI, Note 1 Chapter XXI, Note 1 116, Chapter XIII, Note 136; Chapter XXII, Note34 Chapter XIII, Note 8 Chapter XIII, Note 31 Chapter VIII, Note 18 Chapter VIII, Note 18
HGB
17 1104 1(i) 1(ii) 1(ii) No 6 1(ii) No 7 2 4 4(i) 6 816 837 8 10 13 13ac 15 15(i) 15(ii) 15(iii) 1737 17 29 31 4858 4883 507 101 100, 101 Chapter XI, Note 31 101, Chapter XI, Note 31 104 104 101, Chapter XI, Note 31 Chapter XI, Note 31 101 101 101 101 104 Chapter XI, Note 32 Chapter X, Note 7 Chapter X, Note 7 Chapter XI, Note 32 Chapter XI, Note 32 Chapter XI, Note 32 Chapter XI, Note 32 101 101 101, Chapter X, Note 7 Chapter XI, Note 48; Sitz Chapter XI, Note 48 101 101
The German Legal System and Legal Language 49(i) 49(ii) 50(i) 51 53(i) 54 54(iii) 56 57 5983 59 60(i) 61(i) 61(ii) 62 74ff 74 74a (i) 74(b) (ii) 74c (i) 75 75a 75h 8492c 84104 84(i) 87 91a 93104 93 105108 105160 105177 105237 105(i) 105(ii) 106(i) 107 109122 109 110111 110122 112113 114117 115(i) 115(ii) 116 116(i) 116(ii) 118 119 508 101 Chapter XI, Note 34 101 Chapter XI, Note 35 101 102 Chapter XI C 2 (c) Chapter XI C 2 (c) Chapter XI, Note 36 101, 102, Chapter XVIII, Note 2 (a) 102 Chapter XI C 2 (d) Chapter XI C 2 (d) Chapter XI C 2 (d) Chapter XVIII, Note 61 ChapterXI C 2 (d) Chapter XI C 2 (d) Chapter XI C 2 (d) Chapter XI C 2 (d) Chapter XI C 2 (d) Chapter XI C 2 (d) Chapter XI C 2 (d) Chapter X, Note 31 101 104 104 104 Chapter X, Note 31 101 104 104 97, 104 97 100, 104 98, 104 97, 105, Chapter XI, Note 51 105, Chapter X, Note 7 105 104, 105 105 105 105 105 105 100, 105, Chapter XI B 105 105 100, Chapter XI B 105 105 105
Appendix C: Paragraph Register 119(i) 120122 123130b 123 123(i) 123(ii) 124 124(i) 125125a 125(i) 126 127 128129a 128 129(iv) 130 130a130b 131144 131 133 133(i) 133(ii) 138 139 140 143 145158 145(i) 146155 157(i) 159160 159 161177a 161 161(i) 161(ii) 162 163169 170 171176 177 177a 230237 238263 238339 264335 336339 343460 343 343(i) 344(i) 509 Chapter XII D 105 104, 105 105 106 106 105, Chapter XXII D 9 106, Chapter XI C 3 (b) (iv) 106 100, Chapter XI B 105, 106 106 106 100, Chapter XI B Chapter XI, Note 50 106 106 104, 106 106 106 106 106 106 106 106 106 104, 107 107 107 107 104, 107 107 197, 104, 107, Kommanditgesellschaft 107 98 97 107 107 107 107 107 107 104, 107 107 100, 107 108 108 100, 108 Chapter X B 2 (e) 108 106
The German Legal System and Legal Language 344(ii) 345 346 347(i) 348 349 350 352(i) 353 362 363 366(i) 369372 373382 376(i) 377(i) 377(ii) 378 383406 383 396 407415 410 416424 425452 440 453460 476905 106, Chapter XI, Note 56 108 108, Chapter X B 2 (e) 108 108 108 108, Chapter X, Note 177 108 108 Chapter X, Note 71 Chapter XI, Note 56; Chapter XIX, Note 34 108 108 109 Chapter X, Note 139 109 109 Chapter X, Note 68 109 104 104 107 Chapter X, Note 280 109 109 Chapter X, Note 280 109 100
InsO
2 80(i) 81(i) 113(i) Chapter XIII, Note 32 Chapter XVIII B 4 Chapter X D 2 (v) Chapter XVIII B 4
JGG
2 3 5(ii) 33 36 3941 43 45(ii) Chapter XVI, Note 40 Chapter XVI, Note 40 Chapter XVI, Note 40 Chapter XVI, Note 40 Chapter XVI, Note 40 Chapter XVI, Note 40 Chapter XVI, Note 40 Chapter XVI, Note 40
KostO
18 32 140157 510 Chapter XXII, Note 92 214 Chapter XXII, Note 125
KSchG
1(i) 1(ii), 1st sentence 1(ii), 4th sentence 1(iii) 3 4(i) 5(i) 7 9 10 13(i) 14(i) 23(i) 182 Chapter XVIII, Note 14 Chapter XVIII, Note 14 Chapter XVIII, Note 15 Chapter XVIII, Note 16 182 Chapter XVIII, Note 17 Chapter XVIII, Note 18 Chapter XVIII, Note 19 Chapter XVIII, Note 19 Chapter XVIII, Note 18 Chapter XVIII, Note 2 Chapter XVIII, Note 13
KUG
22ff Chapter VIII, Note 20 C
MHRG
1 X C3 (g) Expos
OWiG
41(i) 46(i) 46(ii) 47(i) 53 56 67(i) 68(i) Chapter XVI, Note 9 Chapter XVI, Note 9 Chapter XVI, Note 9 Chapter XVI, Note 9 Chapter XVII, Note 9 Chapter XVI, Note 9 Chapter XVI, Note 9 ChapterXVI, Note 9
PartGG
1 2 3 4 5 6 6(ii) 7 7(i) 7(ii) 7(iii) 8 8(i) 8(ii) Chapter XXII D 9 Chapter XXIID 9 Chapter XXII D 9 Chapter XXII D 9 Chapter XXII D 9 Chapter XXII D 9 Chapter XXII D 9 Chapter XXIID 9 Chapter XXII D 9 Chapter XXII D 9 Chapter XXII D 9 Chapter XXII D 9 Chapter XXII D 9 Chapter XXII D 9
511
The German Legal System and Legal Language 9 10 Chapter XXII D 9 Chapter XXII D 9
ProdHaftG
1 1(iv) 3 3(ii) 6(i) 11 12 13 15(ii) Chapter X Note 126 J Chapter X Note 126 J Chapter X Note 126 J Chapter X Note 126 J Chapter X Note 126 J Chapter X Note 126 J Chapter X Note 126 J Chapter X Note 126 J Chapter X Note 126 J
Richterwahlgesetz
1 Chapter XXII, Note 15
RPflG
3 4(ii) 5(i) 8(i) 8(iv) 11 11(i) 11(ii) 11(iii) 1419b 2024a 20 No 12 20 No 17 29-31 204 Chapter XXII, Note 25 Chapter XXII, Note 27 Chapter XXII, Note 27 Chapter XXII, Note 27 148, 149, Chapter XIII, Note 141, Erinnerung Chapter XXII, Note 29 Chapter XXII, Note 29 Chapter XXII, Note 29 Chapter XXII, Note 24 204 147, Chapter XIII, Note 172 147, 151 204
RVO
636 637(i) 708 714(i) 719 188 188 187 187 187
SGB(IV)
7(i), 2nd sentence 7(iv) 7a Chapter XVIII, Note 2 Chapter XVIII, Note 2 Chapter XVIII, Note 2
512
SGB(X)
24 25 116 Chapter XIV, Note 9 Chapter XIV, Note 10 Chapter XIV, Note 156
SGG
183 Kostenpflicht
StGB
179b 1 7(ii) No 2 11(i) No 8 12 13 13(ii) 14 15) 16) 16(i)) 17 17, 2nd sentence 18 19 20 21 23(i) 23(ii) 25(ii) 26 27 32 33 34 35 35(i) 35(ii) 3839 3844 3876a 38 4043 40 44 46(i) 47(i) 49 T 167 167 Chapter XVI, Note 3 D XVI, Note 74 167 Chapter XVI, Note 23 169, Chapter XVI, Note 25 Chapter XVI C 1(c) Chapter XVI, Note 44 Tat(be/um)standsirrtum, Chapter XVI, Note 52 172 172, Verbotsirrtum, Chapter XVI, Notes 52 and 57 Chapter XVI, Note 58 Chapter XVI, Note 20 Chapter X, Note 5; Chapter XVI, Notes 39 and 52 171, Chapter X, Note 5; Chapter XVI, Note 52 171 Chapter XVI, Note 8 Chapter XVI, Note 8 Mittterschft Anstiftung Beihilfe Notwehr Chapter XVI, Note 30 Chapter XVI, Note 52 Notatsand, Chapter X Note 58, Chapter XVI, Note 33 Notstand, Chapter X, Note 58, Chapter XVI, Notes 33, 52 and 59 172 172 Chapter XVI, Note 64 173 173 Chapter XVI, Note 66 Chapter XVI, Note 65 Chapter XVI, Note 67 Chapter XVI, Notes 63 and 81 Chapter XVI, Note 73 Chapter XVI, Note 68 Chapter XVI, Note 8
T T T T T T T T T T T T T T T T T T T T T T
T T T 513
The German Legal System and Legal Language 49(i) 52(i) 53(i) 56 57 57a 59(i) 59a(i) 60 6172 62 63 64 66 68 69 70 7376 77 77b 7878c 78(ii) 78(iii) 78a 80165 80358 86(ii) 92(ii) 93(ii) 123 125 125a 129a 130 142 153 156 163 164 166184 170b 177 185ff 185241 185 186187 186 187 193 194 T T T Chapter XVI, Note 25 Chapter XVI, Note 73 Chapter XVI, Note 73 Chapter XVI, Note 69 Chapter XVI, Note 70 Chapter XVI, Note 70 Chapter XVI, Note 71 Chapter XVI, Note 71 Chapter XVI, Note 72 Chapter XVI, Note 74 Chapter XVI, Note 76 Chapter XVI, Note 77 Chapter XVI, Note 78 Chapter XVI, Note 79 Chapter XVI, Note 80 Chapter XVI, Note 81 Chapter XVI, Note 82 Chapter XVI, Note 83 Chapter XVII, Note 8 Chapter XVII, Note 8 Chapter XVII, Note 11 Chapter XVII, Note 11 Chapter XVII, Note 11 Chapter XVII, Note 11 Chapter XVII, Note 11 167 8 Chapter XVII, Note 9 8 Chapter XVII, Note 9 Landfriedensbruch Chapter XVII, Note 38 C Chapter XVII, Note 38 B Chapter VIII, Note 7 Chapter XVI, Notes 23 and 73 Chapter XIII, D 8 (d) Unterhalt Chapter XIII, D 8 (d) Chapter VIII, Notes 20 E Chapter XVI, Note 12 Unterhalt Chapter XVII, Note 38 C Chapter VIII, Notes 7 and 20 D Chapter XVI, Note 13 Beleidigung Chapter XVI, Note 35 Chapter XVII, Note 9 Chapter VIII, Note 20 E Chapter XVI, Note 35, ble Nachrede Chapter XVI, Note 35, Verleumdung Chapter XVI, Note 35 Chapter VIII, Note 20 D
T T T T
514
Appendix C: Paragraph Register 203 211 212 220a (i) No 1 222 223 224227 228 230 240 242358 242 243 246(i) 246(ii) 249255 253 260 263 266 267 271274 302a 306306c 311(i)(ii) 315c (iii) 316a 323c 352 356 Chapter XVII, Note 9; Chapter XXII D 5 Chapter XVII, Note 38 B Chapter XVII, Note 38 B Chapter XVII, Note 38 B Chapter XVI, Note 73 Chapter XVII, Note 9 Chapter XVII, Note 38 C Chapter XVI, Note 28 Chapter XVI, Note 73 Chapter X, Note 58 Chapter XVI, Note 14 Diebstahl Chapter XVII, Note 38 C Unterschlagung Unterschlagung Chapter XVII, Note 38 C Chapter XVII, Note 38 C Chapter XVII, Note 38 C Betrug, Chapter XVII, Note 38 C Untreue Chapter X F 4 (f) Chapter X F 4 (f) Chapter X, Note 58 Chapter XVII, Note 38 C Chapter XVII, Note 38 B Chapter XVI, Note 73 Chapter XVII, Note 38 C Chapter XVI, Notes 14, 23 and 73 Chapter XXII D 5 Chapter XXII D 5
T T T T T T T T
StPO
1150 1 721 7(i) 8(i) Chapter XVII Note 37 9 12(i) 37(i) 5253 52(iii) 53(i) No2 55(i) 55(ii) 81a 81a (ii) 81b 81g 515 175 175 Chapter XVII, Note 37 Chapter XVII, Note 37 Chapter X B 1 2; Chapter XVII Note 37 Chapter XVII, Note 37 177 Chapter XVII Note 22 Chapter XVII Note 22 178 Chapter XVII, Note 22 Chapter XVII Note 22 Chapter XVII, Note 24 Chapter XVII, Note 24 Chapter XVII, Note 24 Chapter XVII, Note 24
The German Legal System and Legal Language 94101 97(i) 97(v) 98(i) 98(ii), 1st sentence 98a 98ac 99100 100ab 100cd 102 103 104 105 110ae 111 111bp 112ff 112 112(i), 2nd sentence 112(iii) 112(iv) 112(iv) 112a (i), 2nd sentence 112a (i), 1st sentence 112a (ii) 113(i) 114 114(i) 114(ii) 114a 115(i) 115(ii) 115(iii) 115(iv) 115a (i) 116126 116 117 117(i) 117(ii) 117(iv) 117(v) 118 118(i) 120(i), 1st sentence 121(i) 121(ii) 122 122a 125(i) 127 516 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 ChapterXVII,Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 (i)Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 25 Chapter XVII, Note 26 Chapter XVII, Notes 26 and 38 B Chapter XVII, Note 26 Chapter XVII, Note 26 and 38 C Chapter XVII, Note 38 C Chapter XVII, Note 38 C Chapter XVII, Note 38 C Chapter XVII, Note 26 Chapter XVII, Note 38 C Chapter XVII, Note 26 Chapter XVII, Note 26 Chapter XVII, Note 38 D Chapter XVII, Note 38 D Chapter XVII, Note 38 D Chapter XVII, Note 38 D Chapter XVII, Note 38 D Chapter XVII Note 38 D Chapter XVII, Note 38 C Chapter XVII, Note 26 Chapter XVII, Note 38 D Chapter XVII Notes 26 and 38 D ChapterXVII, Note 26 Chapter XVII, Note 26; Chapter XVII C Chapter XVII, Note 26 Chapter XVII Notes 26 and 38 D Chapter XVII, Note 38 D Chapter XVII, Note 26 Chapter XVII, Note 26 Chapter XVII, Note 26 Chapter XVII, Note 26 Chapter XVII, Note 26 Chapter XVII, Note 38 A Chapter XVI, Note 37
Appendix C: Paragraph Register 127(i) 127(ii) 127b 128(i) 128(ii) 131 133 135 136 136(i), 2nd sentence 136(i), 3rd sentence 136(ii) 136a 137(i) 137(i), 2nd sentence 138 138ad 140(i) 140(ii) 141ff 141(iii) 142(i) 143 145 146, 1st sentence 147 147(ii) 147(iii) 148 149 151295 151 152 152(ii) 153ff 153 153(i) 153a (i) 153c 153d 154(i) 155 155(i) 155(ii) 156 157 158 158(ii) 160(i) 160(ii) 161 161a 517 Chapter XVII, Note 36 Chapter XVII, Note 36 Chapter XVII, Note 49 178 179 Chapter XVII, Note 38 E Chapter XVII, Note 38 F Chapter XVII, Note 38 F Chapter XVII, Note 38 H Chapter XVII, Note 38 H Chapter XVII, Note 38 H Chapter XVII, Note 38 H Chapter XVII, Note 38 H 177, Chapter XVIIC Chapter XVII C Chapter XVII C Chapter XVII C Chapter XVII C Chapter XVII C Chapter XVII Note 29 Chapter XVII C Chapter XVIIC Chapter XVII C Chapter XVII C Chapter XVII C Chapter XVII C Chapter XVII, Note 30 Chapter XVII, Note 30 Chapter XVII C Chapter XVII C 175 Chapter XVII, Note 6 Chapter XVII, Note 13 Chapter XVII, Note 18 Chapter XVII, Note 19 Chapter XVII, Note 40 Chapter XVII, Note 40 A Chapter XVII Note 40 A Chapter XVII, Note 40 A Chapter XVII, Note 40 A Chapter XVII Note 40 A Chapter XIII, Note 4 175, Chapter XVII A 175, Chapter XVII A Chapter XVII, Note 46 Chapter XVII, Notes 42 and 44 Chapter XVII, Note 7 Chapter XVII, Note 10 Chapter XVII, Note 20 Chapter XVII, Note 21 Chapter XVII, Note 22 Chapter XVII, Note 22
The German Legal System and Legal Language 162(i) 162(iii) 163(i) 163(ii) 163a (i) 163a(iii) 163a (iii)/(iv) 163(a) (iv) 163(a)(v) 163b 163d 168(c)(i) 169a 170(i) 170(ii) 171177 174(ii) 199ff 199(ii) 200(i) 201(i) 203 207 210(i) 210(ii) 212 212a 212a(iii) 212b (i) 213ff 214 217 226275 238(ii) 244257 244(ii) 244(iii) 259(i) 261 296358 304 333 335 358(i) 359373a 374406h 374394 374 380(i) 395402 403406c 406d406h 518 Chapter XVII, Note 23 Chapter XVII, Note 23 Chapter XVII, Note 34 Chapter XVII, Note 35 Chapter XVII, Note 38 G Chapter XVII, Note 22 ChapterXVII, Note 38 H ChapterXVII, Note 38 H ChapterXVII, Note 22 ChapterXVII, Note 24 ChapterXVII, Note 25 ChapterXVII C Chapter Chapter, Note 38 G Chapter XVII, Note 39 Chapter XVII, Note 40 Chapter XVII, Note 40 B Chapter XVII, Note 40 C Chapter XVII, Note 20 Chapter XVII, Note 39 Chapter XVII, Note 39 Chapter XVII, Note 43 Chapter XVII, Note 43 Chapter XVII, Note 45 Chapter XVII, Note 44 Chapter XVII, Note 47 Chapter XVII, Note 43 Chapter XVII, Note 43 Chapter XVII, Note 48 Chapter XVII, Note 43 Chapter XVII, Note 20 Chapter XVII, Note 48 Chapter XVII, Note 48 179 Chapter XVII, Note 69 Beweisaufnahme Chapter XIII, Note 10 5 Chapter XIII, Note 9 4 Chapter VII,Note 18 Chapter XIII, Note 10 5 175 Chapter XVII, Note 26 Chapter XIII Note 133 Chapter XIII Note 133 Chapter XVI Note 14 175, Chapter XVI, Note 5 175, 180 180 Chapter XVII, Note 14 Chapter XVII H 180 180 180
Appendix C: Paragraph Register 407412 407448 407ff 407(i), 4th sentence 407(ii) 407(iii) 408 410(i) 411(i) 413416 430443 444 449463d 449473 464473 465 180 175,180 Chapter XVII, Note 41 Chapter XVII, Note 41 Chapter XVII, Note 41 Chapter XVII, Note 41 Chapter XVII, Note 41 Chapter XVII, Note 41 Chapter XVII, Note 41 180 180 180 180 175,180 180 Kostennoflicht
StVG
7(i) 7(ii) 9 16 17(i) 18 Chapter X, Note 222 unabwendbaresEreignis Chapter X, Note 183 Chapter X, Note 222 Chapter X, Note 183 Chapter X, Note 222
TVG
1(i) 4(i) 5(i) 5(iv) Chapter XVIII, Note 52 Chapter XVIII, Note 52 Chapter XVIII, Note 52 Chapter XVIII, Note 52
UWG
1 3 13(ii) 14(i) 15(i) 21(ii) 21(i) Chapter VIII, Note 20 G Chapter VIII, Note 20 G Chapter VIII, Note 20 G Chapter VIII, Note 20 G Chapter VIII, Note 20 G Chapter VIII, Note 20 G Chapter VIII, Note 20 G
WG
67 Chapter X, Note 156
VwGO
1112 40(i) Chapter XIII, Note 19 164, Generalklausel, Chapter VII, Note 10; Chapter XVII, Note 33 519
The German Legal System and Legal Language 42(i) 42(ii) 43(i) 44a 47 47(i) 47(vi), 2nd sentence 52 67 68 68(i) 70(i) 72 73 73(i) 74 80(i) 80(ii) 80(ii) Nos 13 80(ii) No 4 80(iii) 80(iv) 80(iv), 3rd sentence 80(v) 80(v), 1st sentence 80(v), 3rd sentence 80(v), 4th sentence 80(v), 5th sentence 80(vi) 81 82 82(i) 84(i) 84(iii) 86(i) 86(ii) 86(iii) 88 90(i) 94 100 101(iii) 107 108(i) 113(i) 113(i), 2nd sentence 113(i), 4th sentence 113(iv) Chapter XV, Note 7, Verpflichtungsklage Chapter XIV, Note 23 C, Chapter XV, Note 12 Chapter XV, Note 7 Chapter XIV, Note 13 Chapter VII, Note 13 Normkontrollverfahren Chapter XIV Note 24; Chapter XV, Note 5 Chapter VII, Note 13 Chapter XII, Note 27 Chapter XV, Note 4 Chapter XV, Note 8 Chapter XV, Note 9 Chapter XV, Note 9 Chapter XV, Note 9 Chapter XV, Note 9 Chapter XV, Note 9 Chapter XV, Note 13 160 Chapter XIV, Note 23 B and C Chapter XIV, Note 23 B and C Chapter XIV, Note 23 B and C Chapter XIV, Note 23 B Chapter XIV, Note 23 D Chapter XIV, Note 23 C Chapter XIV, Note 23 C and E Chapter XIV, Note 23 C Chapter XIV, Note 23 C Chapter XIV, Note 23 C Chapter XIV, Note 23 C Chapter XIV, Note 23 C Chapter XV, Note 13 Chapter XV, Note 13 Chapter XII, Note 96 Chapter XV D Chapter XV D Chapter XIII, Notes 4 and 96; Chapter XV, Note 17 Beweisverfahren Chapter XIII, Note 69 Chapter XV Note 18 Chapter XIII, Note 96 Chapter XIII, Note 71 Chapter XV D Chapter XV D Chapter XV D Chapter XV D Chapter XV, Note 14 Chapter XIV, Note 23 Chapter XV, Note 7 Chapter XV, Note 14
520
Appendix C: Paragraph Register 114 121 122 123 123(v) Ermessnsfehler, Chapter XIV, Note 32 Chapter VII, Note 13 Chapter XV D Chapter XIV, Notes 23 C and E and Note 34 Chapter XIV, Note 23
VwVfG
18 1(i) 1(iii) 1(iv) 2 2(iii) No 1 48 4 7(i) 7(ii) 934 9 10 10, 2nd sentence 1130 22,1st sentece 23(i) 24 24(i) 25 28 29 30 3553 35, 1st sentence 35, 2nd sentence 36 37 38(i) 39 40 43 (ii) 43(iii) 44(i) 44(ii) 4851 48 49 5462 6371 6378 7980 79 521 158 158 158 158 158 Chapter XIV Note 5 Chapter XXI Note 1 Chapter XXI Note 1 Chapter XXI Note 1 Chapter XXI Note 1 158 158 158 Chapter XIV, Note 8 158 159 Chapter XIV, Note 8 Chapter XIII, Note 4 159, Chapter XV, Note 17 159 159, Chapter VIII, Note 36 159 159 158 159 159 Chapter XIV, Note 17 Chapter XIV, Note 16 Chapter XIV, Note 18 Chapter XIV, Note 16 Chapter XIV, Note 32 Chapter VIII, Note 8; Chapter XIV, Note 19 Chapter XIV, Note 20 Chapter XIV, Note 20 Chapter XIV, Note 20 Chapter XIV, Note 27 Chapter XIV, Note 27 Chapter XIV, Note 27 158 158 158 158 Chapter XV, Note 1
WEG
10(i) Chapter XI, Note 13
WiStG
5 Chapter X, Note 209
WStG
5(i) Chapter XVI, Note 34
ZPO
111 149 1252 1 29 1219 1237 12 1317 13 Chapter XX C; Sitz 16 17 2023a 21(i) 2426 2729 29 29(ii) 29a 3034 32 33 35 3840 38(ii) 38(iii) 39 4149 41ff 42ff 42(ii) 43 44(ii) 44(iv) 45(ii) 46(ii) 118 118, 119 115,118 118, 119 119 Chapter XIII, Note 28 118, 119, Chapter XIII, Note 28 Chapter XIII, Note 28 Chapter XX C 2 Chapter X B 1 2; Chapter XIII, Note 28; Chapter XIII D 8 (e); Chapter X, Note 9; Chapter XIII D 8 (e) Chapter XIII, Note 28 Chapter XIII, Note 28 Chapter XIII, Note 28 Chapter XIII, Note 28. Chapter XIII, Note 28 Chapter XIII, Note 28; Chapter XX C 2 Chapter XX C 2 Chapter XIII, Note 28 Chapter XIII, Note 28 Chapter XX Note 24 Chapter XIII, Note 107 Chapter XIII, Note 28 118 Chapter XX C 2 Chapter XX C 2 Chapter XIII, Notes 47 and 114 118 Chapter XIII, Note 136 Chapter XIII, Note 19 Besorgnis der Befangenheit Besorgnis der Befangenheit Besorgnis der Befangenheit Besorgnis der Befangenheit Besorgnis der Befangenheit Chapter XIII, Note 136
522
Appendix C: Paragraph Register 47 5058 50127a 50 50(ii) 51(i) 51(ii) 52 5963 61 62(i) 6477 64 66(i) 67 68 72(i) 74(iii) 75 76 7890 78 79 80(i) 81 83(i) 85 88 90 91101 91107 91127a 91 (i), 1st sentence 93 93a 103107 108113 108 114127a 121(i) 121(iii) 121(iv) 128165 128252 128(i) 128(ii) 128(iii) 128(iii), 1st sentence 128(iii), 4th sentence 129133 130 No 1 523 Besorgnis der Befangenheit 118, 120 118, 120 121 Chapter XI A 6 Chapter XIII, Note 136 121 121 118, 121 122 122 118, 122 122 122 122 122 122 122 122 122 118, 122 123, 125 123 124 124 124 124 124 123, Chapter XVII, Note 29 125 118, 125 125, Chapter XIII, Note 26 125 Chapter XIII, Note 107 Chapter XIII, D 6 (b) 125 119 147 118, Prozekostenhilife Chapter XIII, Note 55 Chapter XIII, Note 55 Chapter XIII, Note 55 118, 125 118, 125 Chapter XIII C F; Chapter XIII D 1 (g) (i) 116 116 Chapter XIII D 2 (d) Chapter XHI, Note 125 125 Chapter XIII D 2 (c) (i)
The German Legal System and Legal Language 131(i) 134135 136140 136(i) 136(ii) 136(iii) 136(iv) 137(i) 137(ii) 137(iii) 138 138(i) 138(ii) 138(iii) 138(iv) 139 140 141155 141(i), 141(i), 141(ii) 141(iii) 142(iii) 145 146 148155 148 149 156 157 157(i) 157(ii) 159165 16207 66213a 166 170 170(i) 173178 174(ii) 175(i) 180 181185 188(i) 190192 193197 198(i) 198(ii) 203206 207 208213a Chapter XIII, Note 64 125 125 Chapter XIII D 2 (c) (vii) Chapter XIII D 2 (c) (vii) Chapter XIII D 2 (c) (vii) Chapter XIII D 2 (c) (vii) 133, Chapter XIII D 2 (c) (vii) 133, 133, Chapter XIII, Note 64 116 125 125 125 125 115, 126, 133, Chapter XIII, Notes 67, 69 and 116 Chapter XIII, Note 69 126 1nd sentenceChapter XIII, Note 113 2nd sentenceChapter XIII, Note 113 Chapter XIII, Note 113 Chapter XIII, Note 113 Chapter VIII, Note 18 Chapter XIII D 2 (c) (iii ) Chapter XIII D 2 (c) (iii); Chapter XIII, Notes 52 and 119 Chapter XIII,Note 82 Chapter XIII, Note 71 Chapter XIII, Note 71 Chapter XIII D 2 (c) (vi) Chapter XIII D 1 (f) (iv); Chapter XIII, Note 116 Chapter XIIID 1 (f) (iv) Chapter XIII D 1 (f) (iv) 126 126 118, 126 126 126 129 126 129 127 127 Chapter XIII, Note 89 126 126 126 126, Chapter XIII C C 126 Chapter XIII, Note 89 ChapterXIII, Note 74 126, 129 524
Appendix C: Paragraph Register 208 209213a 211 212 212a 214229 214 216 217 220(i) 223224 227(i) 230231 230238 233238 233 234 236(ii) 238(iii) 239252 246ff 246 249 251 251a 253(i) 253299a 253494 253510b 253(i) 253(ii) No l 253(ii)No2 254 256(i) 256(ii) 260 261(iii) No 1 263 264 270 270(i) 270(iii) 271 271(ii) 272 272(i) 272(ii) 272(iii) 273 274(i) 274(iii) 126 126 126, 129 129 129 118, 127 117, Chapter XIII C F Chapter XIII C F 132 133 127 127 Chapter XIII Note 77 119, 127 Chapter XIII Note 15 Chapter XIII Note 78 Chapter XIII Note 78 Chapter XIII Note 78 Chapter XIII Note 78 119, 127 Chapter XIII, Note 71 128 128 128 127, Chapter XIII Note 83 Chapter XIII Note 79 128, 129 128, 136, 138, 140, Chapter XIII D 6 (b) 1 115, 128 129 Chapter XIII D 2 (c) (i) 129, 130 Chapter XIII, Note 96; Chapter XIII D 2 (c) (iii); Chapter XIII D 6 (b) 130 Chapter XIII Note 100 Chapter XIII D 2 (c) (iii) (Note 102) Chapter XIII, Notes 71 and 101 Chapter XIII, Notes 100 and 101 Chapter XIII, Notes 100 and 101 Chapter XIII C C 129 127 129 132 Chapter XIII, Note 65 116 131 116 132, Chapter XIII, Notes 69 and 116 132 131, 133 Chapter XXI, Note 7 525
The German Legal System and Legal Language 275 275(i) 275(ii) 275(iv) 276(i) 276(ii) 276(iii) 277(ii) 277(iii) 277(iv) 278 278(i) 278(i), 2nd sentence 278(ii), 1st sentence 278(ii), 2ndsentence 278(iii) 278(iv) 279 279(i) 279(ii) 281 282 282(i) 282(iii) 283 284 285 286(i) 286(ii) 288290 288 291 292 293 294 295 295(i) 295(iii) 296 296(i)(iii) 296(i) 296(ii) 296(iii) 296a 297(ii) 299 300329 300494 300 300(i) 301 131 131, Chapter XIII, Note 107 131, Chapter XIII, D 2 (c) (iv) 132 132 132 132 132 132 132 Chapter XIII, Note 65 133 Chapter XIII, Note 115 133 133 Chapter XIII, Notes 69 and 116; Chapter XIII D 2 (c) (vi) Chapter XIII, D 2 (c) (vii) Chapter XIIID 2 (c) (iv); Chapter XVII (Note 52) Chapter XIII, Note 70; Chapter XIII D 2 (c) (v) Chapter XIII, Note 113 Chapter XIII, Note 47 Chapter XIII, Note 52 Chapter XIII, Note 117 133 Chapter XIII, Note 64 133 133 116 116, Chapter XXII, E Chapter XIII, Note 107 Chapter XIII, Note 97 Chapter XIII, Note 97 Chapter XIII, Note 9 Chapter XX D Chapter XIII, Notes 9 and 78; Chapter XIII D 8 (d) Chapter XIII, Note 69 Chapter XIII D1 (f) (i) (Note 42) Chapter XIII, D 1(f) (i) Chapter XIII, Notes 52 and 120 133 132 133 Chapter XIII, Note 120 Chapter XIII, D 2 (c) (vii) 133 Chapter XV D 128 Chapter XIII, Note 84 116 131, Chapter XIII D 2 (c) (iv) and (vii) Teilurteil 526
Appendix C: Paragraph Register 302 303304 304(i) 307(i) 308(i) 309 310 310(i) 313(i) 318 322 322(i) 323 325 328 329(i) 330347 330 331 331(i) 331(ii) 331(iii) 333 334 338 348350 348(i) 355ff 355484 355370 355(i) 357(i) 358 359 371455 371372a 373401 402414 415418 415(i) 415(ii) 416 418(i) 415444 437440 445455 450 478484 484 485494 495510b Vorbehalsurteil Zwischnurteil Chapter XIII, Note 94 Chapter XIII D 2 (c) (iv), Chapter XIII, Note 107 Chapter XIII, Note 96 116 117 Chapter XIII, D 2 (c) (vii) Urteil 117 Chapter VII, Note 13 117, Chapter XIII, Note 101 Chapter XIII, Note 15 Chapter XIII, Note 15 Chapter XIII, Note 148 Chapter XIII, Note 14 128, Chapter XIII, Note 116 127, 131, Chapter XIII D 2 (c) (iv) 127, 147 131, Chapter XIII D 2 (c) (iv) Chapter XIII, Note 97 127, 132 Nichtcverhandeln Chapter XIII, Notes 80, 114 and 116 Chapter XIII, Note 116 117 128 129 Chapter XIII, Note 64 Chapter XX D 128 Chapter XIII, Note 99 Chapter XIII, Note 99 Chapter XIII, Note 9, Beweisaufnakme Beweisbeschlu Beweismittel 128 128 128 Chapter XIII E Chapter XIII E Chapter XIII E. Chapter XIII E Chapter XIII E. 128 Chapter XXII, Note 126 128 Chapter XXII, Note 9 128 Bekrftigung 128 128, 134, Chapter XIII, Note 55 527
The German Legal System and Legal Language 495 495a 496 504 511544 511577 511 511a 516 519 519b 521 522(ii) 523 525 527529 530(i) 536 544 545566a 546(i) 547 549(i) 549(ii) 550 551 552 553 554(ii) 554a 554b 557 559(i) 559(ii), 1 st sentence 561(i) 563565a 564 565 566a 566a(iii) 567577 567 568 571 577 578591 579 580 592605a 599 606606a 528 128 134 134 Chapter XIII, Note 69; Chapter XIII D 2 (d) 135, 136 115, 135 136 136 136 136 Chapter XIII D 3(a) Chapter XIII D 3(a) Chapter XIII D 3(a) 136 136 137 Chapter XIII Note 107 Chapter XIII D 3(a) Chapter XIII Note 135 137, 138 137 Chapter XIII Note 133 186, Chapter XX D Chapter XIII Note 136 138 138, Chapter XIII Note 136 138 138 138 138 Chapter XIII Note 134 138 Chapter XIII Note 131 138 138 138 Chapter XIII D 3 (b) Chapter XIII D 3 (b) Chapter XIII Note 133 Chapter XIII Note 133 138 138 Chapte XIII, Note 140 138 138, Chapter XIII Note 141 115, 139, Chapter XIII, Note 15 139 139 115, 139 Vorbehalsurteil XIII D 6 (b)
Appendix C: Paragraph Register 606620g 606638 606644 606 606a 607619 608 609 610(ii) 611 613 614 615 615(ii) 616 616(ii) 616(iii) 620620g 620 Nos 14 620 No 5 620 No 6 620 Nos 7 and 8 620 No 9 620a (i) 620a (ii 620b(i) 620b (ii) 620c, 1st sentence 620c, 2nd sentence 620f 621621f 621(i) 621(ii), 1st sentence 621(ii), 2nd sentence 621(iii) 621af 621a 622630 622 623(i) 623(ii) 623(iii) 627 628 629(i) 629(iii) 629d 630 630(iii) 631638 640-641k 139 139 115, 139 139, 140, Chapter XIII, Note 28; Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b)1 Chapter XIII D 6 (b) Chapter XIII, Note 107 Chapter XIII D 6 (b); Chapter XIII, Note 123 Chapter XIII, Notes 113 and 115; Chapter XIIID 6 (b) 1 Chapter XIII, Note 71 Chapter XIII D 6 (b); Chapter XIII, Note 120 Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b)1 Chapter XIII D 6 (b) Chapter XIII D 6 (b)1 Chapter XIII D 6 (b)1 Chapter XIII D 6 (b)1 Chapter XIII D 6 (b)1 Chapter XIII D 6 (b)1 Chapter XIII D 6 (b) Chapter XIII D 6 (b) 1 Chapter XIII D 6 (b)1 141 141, 144, Chapter XIII D 6 (b) 142 142 142 Chapter XIII, Note 153 142 144 144 Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII, Note 158 Chapter XIII D 6 (b) 146... Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII D 6 (b) Chapter XIII Note 159 146 139 529
The German Legal System and Legal Language 640(ii) 641l 644 642644 45687 688703d 688(iii) 689(i) 689(ii), 1st sentence 689(ii), 2nd sentence 693(ii) 696(i) 699 700 703d 704802 704945 704 705706 707 707(i), 2nd sentence 708710 708720a 708 709 710 711714 711 712 712(i), 2nd sentence 717 717(i) 717(ii) 719 720a 720a(i) 721 722723 724734 724(ii) 725 731 732 732(ii) 733 735745 736 747749 750751 750(iii) 751(ii) 753765 530 Kindschaftssache 139, 145 145 139, Chapter XIII, Note 1 115, 146 Chapter XIII, Note 13 119 Chapter XIII, Note 22 Chapter XIII, Note 22 123, Chapter XIII, Note 23 117 117 117 Chapter XIII, Note 22 146 146 146 147 149 147 146 147 147 147 147 147 147 147 147 148 148 148 147, Chapter XIV, Note 23 A 147, 148 148 148 148, Chapter XIII, Note 171 148 148 148 149 149 149 148 148 Chapter XI C 3 (b) (iii) 148 148 148 148 148
Appendix C: Paragraph Register 753 755 758 764 764(i) 765a 766777 766 766(i), 2nd sentence 767 767(i) 767(ii) 767(iii) 768 769(i) 769(ii) 771 771(i) 775 776 777 778785 88792 793 794801 794(i) 794(i) No 1 794(i) No 5 794a 797 802 803807 803863 803-882a 803(i) 804(i) 807 807(i) Nos 3 and 4 808827 808 808(i) 808(ii) 811ff 814825 828863 828 829845 829(ii) 8352799 840(i) 845 Chapter XIII, Note 180 Chapter XIII D 8 (c) (v) Chapter XIII D 8 (c) (v) 148, Chapter XIII, Notes 32 and 180 119 147 148 149, 151,Vollstreckungserinnerung 149 149, 151, Chapter XIII D 8 (c) (v) 149 149 149 149, 151, Chapter XIII D 8 (c) (v) 149 149 Chapter XIIID 8 (c) (v); Chapter XIII, Notes 174 and 184 Chapter XIII D 8 (c) (v) 149 149 Chapter XIII, Note 177 148 149 148, Chapter XXII, Note 29 146 131, 146 Chapter XIII D 2 (c) (iv) Vollstrekabre Urkunde 148 Chapter XIII, Note 172 148, Chapter XIII, Note 28 150 150 146, 150 150 Chapter X, Note 280 C Chapter XIII D 8 (e) Chapter XIII, Note 193 150 Chapter XIII, Notes 180 and 183 Chapter XIII D 8 (c) (v) Chapter XIII D 8 (c) (v) Chapter XIII, Note 168 Chapter XIII, Note 182 150 Chapter XIII, Note 180 Chapter XIII, Note 178 Chapter XIII D 8 (c) (v) Chapter XIII, Note 182 Chapter XIII D 8 (c) (v) Chapter XIII D 8 (c) (v) 531
The German Legal System and Legal Language 846849 850ff 859(i) 864371 866 869 872882 882a 883898 883886 883 887890 887 888 889 890 890(ii) 899915 899 900 900(ii) 900(iii) 900(iv) 901 903 913 915 915a 916945 916(i) 917 917(i) 918 919 926 920 920(ii) 921 929(ii) 930 930(i) 935ff 935, 940 analogously 936 937(ii) 945 9461024 989ff 10251048 1042ff Chapter XIII, Note 178 Chapter XIII, Note 168 Chapter XI, Note 12 150 Chapter XIII, Note 186 Chapter XIII, Note 187 150 150 146, 152 Chapter XIII D 8 (d) 153, Chapter XIII D 8 (d) and (e) Chapter XIII D 8 (d) Chapter XIII D 8 (d) Chapter XIII D 8 (d) Chapter XIII D 2 (c) (iii) (Note 96); Chapter XIII D 8 (d) Chapter XIIID 8 (d) Chapter XIII, Note 190 146, 153, Chapter XIII D 8 (e) Chapter XIIID 8 (e) Chapter XIIID 8 (e) Chapter XIIID 8 (e) Chapter XIIID 8 (e) Chapter XIIID 8 (e) Chapter XIII D 8 (e) ChapterXIII D 8 (e) Chapter XIIID 8 (e) Chapter XIIID 8 (e) Chapter XIIID 8 (e) 146, 154, Einstwelige VerFgugng Chapter XIIID 8 (f) Chapter XIIID 8 (f) Chapter XIIID 8 (f) Chapter XIIID 8 (f) Chapter XIIID 8 (f) Chapter XIIID 8 (f) Chapter XIII, Note 9; Chapter XIV, Note 23 E Chapter XIII D 8 (d) and (f) Chapter XIII D 8 (f) Chapter XIII D 8 (f) Chapter XIII D 8 (c) (v) Chapter XIII D 8 (f) Chapter VIII, Note 20G Chapter XIII, Note 149 Chapter XIII, Note 9; Chapter XIII D 8 (d) and (f) Chapter VIII, Note 20 G Chapter XIV, Note 23 C and E 115, 155 155 115, 155 Chapter XIII, Note 171
532
APPENDIX D TABLE OF CASES
GERMAN CASES
533
534
Appendix D: Table of Cases
535
536
537
538
539
540
APPENDIX E TABLE OF ENGLISH STATUTES

Name and Year of Statute Statute of Frauds 1677 Bills of Sale Act 1882 Law of Property Act 1925 Consumer Credit Act 1974 Sale of Goods Act 1979 Supply of Goods and Services Act 1982 Civil Jurisdiction and Judgments Act 1982 Foreign Limitation Periods Act 1984 Child Abduction and Custody Act 1985 Consumer Protection Act 1987 Law of Property (Miscellaneous Provisions) Act 1989 Extradition Act 1989 Contracts (Applicable Law) Act 1990 Private International Law (Miscellaneous Provisions) Act 1995 Where referred to: Chapter(s) & Note(s) Chapter X, Note 177 B Chapter X Note 257 Chapter X, Notes 177 B and 234 C Chapter X, Note 238 Chapter X Notes 185, 234 B and 260 Chapter X Note 234 B Chapter X Note 8 Chapter X Note 92 Chapter XXI, Note 4 Chapter X Note 126 J Chapter X, Note 177 B Chapter XXI, Note 17 Chapter XX, Note 12 Chapter XX Note 25 B
541
APPENDIX F TABLE OF ARTICLES FROM THE MAGAZINE ZAP WHICH ARE REFERRED TO IN THE TEXT
(ZAP is a bi-weekly legal magazine published in cooperation with BRAKsee Metarial)
543
544
Appendix F: Table of Articles from ZAP
545
546
547
548
549
550
551
552
INDEX
A Abstraction principle 44, 73, 276nn245246, 278n260 Accusation principle 175 Accused, rights of 175, 177, 318nn2728, 320n38d See also Suspects Actus reus 168 Administration carriers of (Verwaltungstrger) 56 federal 56, 9, 11, 157 judicial 207 of Lnder 14, 229n10, 229n7 levels of 11, 14 Administrative law 25, 157162 courts 206, 237n10, 304n5 federal statutes 157158 procedure 163165 Advice, legal position of 271n215 AG (Aktiengesellschaft= public limited company) 97, 98, 99, 111, 286n11, 324n2a AGBG (standard business terms) 3741, 254nn8183 exceptions 3738, 39 incorporation 38, 254n84 interpretation 3839, 254n85 (in)validity 39 remedies 41 scope 39 statutory control 4041, 254nn8687 Agents business 104, 249n31, 285nn4043 legal 30, 12324, 248n27, 292n57 unauthorised 248249n31 Agreement See Einigung Amtsgericht (district court) 128, 134135, 292n55 admission/registration of lawyers 204205, 216 appeals against 135136, 205 applications to 117, 177 functions 291n32, 337338n37 jurisdiction 119, 153, 289n22, 291n47 Anfechtung (challenge) See Verwaltungsakt; Willenserklrung; Wills Anspruch See Claim(s) Antragsdelikte (prosecutions on application) 176, 315n9 Anwaltszwang See Legal representation: mandatory Anweisung (documentary instruction) 54, 69 Appeals 117, 120, 135139, 289n15, 336n19 grounds for 136137, 137138 Arbeitsgericht See Courts: employment Arbeitsschutzrecht See Health and safety Arbeitsvertrag See Contracts: of employment Arbitration agreements 155 Arrest (Ger) See Seizure Arrest (of suspect) 177, 319n36 grounds for 320321n38a-c warrants 178179, 318n26, 319n38a, 320nn38d40 Assets 246n12
553
disclosure of 143, 153154, 301nn154155 land 152 movable vs immovable 71, 150, 246n11, 274nn232233 protection of 272n219 seizure of See Arrest; Pfndung Aufgebotsverfahren (claim notification procedure) 155 Auftrag, Geschftsfhrung ohne (transaction without instruction) See Rechtsgeschft Auslieferung See Extradition Autonomy, principle of 29, 248n23 AVAG (international law on recognition and enforcement) 336n13 B Bailiffs, rights/ duties of 129, 148, 151, 153154, 295n88, 302n180, 304n193 Banks/bank accounts 67, 271n211, 271n215, 330n36 Barristers See Rechtsanwalt Basic Law (GG= Grundgesetz) ix, 5, 67, 229n5, 231232n23, 239n2 breaches of 1819 disputes overinterpretation 19 divisions of 17, 236237nn24 and international relations 8 and Lnder 1314, 18 and law of succession 82 and local government 1516 and procedure 115 and state power 7, 231n20
status of 17 Basic rights (Grundrechte) 2123, 241243n20 equality of treatment 22, 243n22 European Charter 222n7 hierarchy 240241n10 infringements of 22 limitations 2122, 241nn1315, 244n26 listed 2223, 244n36 personal development 22, 242n20b-c relation to private law 21, 23940n7 Bavaria 206, 227n14 Bedingungen (conditions) 3637, 254nn7475 Berlin Wall, shootings at 308nn3b-4, 309n13, 310n23b, 311n34, 313n58 Berlin will 86, 281n305 Berufung (general appeal) 135137, 300n133 Berufungssumme (appeal value) 136 Beschlu See Court orders Beschwerde (form of appeal) See Complaints Besitz (possession) 73, 277n257 Betrieb (works) 183 Betriebsrat (works council) 18385 Betting 54 BGB (Brgerliches Gesetzbuch =Civil Code) ix, x, 25, 2795, 257n109 principal divisions 27 Book I: allgemeiner Teil (general part) 2744, 45 Book II: law of obligations 27, 4471 Book III: law of property 27, 7180
554
Index
Book IV: family law 27, 8081 Book V: law of succession 27, 8195 and commercial law 97100, 109 definitions of terms used in 2730 institution (1900) 3 and international law 195199 on Rechtsgeschft 3041 Bonds 54, 69, 191, 330n33 BRAO (Bundesrechtsanwaltsordnung =Federal Lawyers Ordinance) 207217 Bund (Federal Republic) administration 11, 157 constitution 5, 17, 22829nn23 (See also Basic Law) decentralisation of power 5, 228229n3a disputes between departments 19, 239n19 executive organs 56, 11, 229n8, 230n11 formation 227n15 institutions 6, 230nn1112, 234n2 jurisdiction 329n1 legislature 9, 233234nn15, 241n15 ministries 157, 207 relationship with Lnder 5, 19, 228n2, 229nn67, 235n7 Bundesgerichtshof (Federal Supreme Court) 120, 205206, 335n4 appeals to 120, 137138, 300301nn133134, 301n138 Bundesrat (Federal Council) 9, 233234n3 Bundestag (Federal Parliament) 9, 233234n3 Bundesverfassungsgericht (Federal
Constitutional Court) 1819, 229n7, 237239nn1420 Burden of proof administrative law 165 civil law 116, 260261n126ij, 288n10 contracts for services 266n166 criminal law 288n10.5 employment law 325n14 property rights 273n222b, 279n266c Brgerliches Recht See Civil law Business law See Commercial law; Wirtschaftsrecht Business terms, standard See AGBG C Children See also Minors custody/access 141142, 144, 145, 302n158, 335n4 inheritance 82, 86, 88 international law 335nn45 kidnapping 335n4 maintenance 141143, 144, 145, 224n11a, 302n149, 302n154, 302n156, 334n5 Cicero 225226n9 Civil Code See BGB Civil law 25, 2796 See also Procedure European 223n10b, 224n11b international 195202 lawyers fees 214 reform 224n11b-c Civil servants 273n224 See also Rechtspfleger Claim(s) (Ansprche) See also Klage amendments 250251n47c arising out of
555
ownership 77, 278280n266 compulsory entitlement 9192 defence to 29, 247n20 definition 29, 246n16 grounds for 70, 262263n135 norms 246247n18 right to 275n236 time limits 4244 types 247n18 Commercial Code See HGB Commercial law 25, 97109 See also Wirtschaftsrecht and AGBG 39 agents 104, 285nn4043 bookkeeping 107108 chamber (Handelskammer) 119, 203 employees 102103 GmbH 111114 Law against Unfair Competition 243n20g liability 99100, 105106, 111112 and obligations 68 transactions 108109 Common law xi, 225n3, 225n6, 227n13 Company law See Commercial law; Gesellschaft; GmbH Compensation 258nn118119 Competition 189, 330n9 employee/employer 10203 unfair 243n20g Complaints (Beschwerden) 137138, 301nn140141 constitutional 1819, 235n4, 237239nn1418 Compulsory entitiement 9192, 281n321 withdrawal 92 Constitutional courts 1819, 237n10
Constitutional law 25 Consumer law 55, 59, 6566 EU 223224n11a protection of rights 37, 41, 108109 Contracts third parties 48 Contract(s) (Vertrge) as basis of law of obligations 4445, 255n101, 256n104, 256n106 breach of 258259n126c, 265n166, 268n188 challenges to 325n7 conclusion 29, 3436, 248n23, 253n60, 264n166 conditions of 36 of employment 102103, 181183, 295n75, 323n1, 324n6, 328n60 estate 87 EU law 224n 11b freedom of 29, 37, 248n23, 262n132 of instruction 6667, 272n215 invalidity 248249n31 liabilities regarding 258261n126, 258nn11819 obligations regarding 4748, 250251n47c, 257258nn11516 offer and acceptance 35, 253254nn6571, 265n166 rental 5859 rights of rescission 4850 of sale 274n234, 276n245, 276nn237238 of service 65, 113114, 264n159, 322n1, 324n6, 328n60 for services 43, 6566, 264267n166, 264n159, 278n264,
556
Index
324n6, 328n60 of surety 54, 69, 267n177 third parties 262263n135 travel 66 types 256n104, 256n106, 264265n159 Costs 125, 293n63 See also Fees of criminal law 180 of enforcement 149 notaries 218 Counsel (in criminal cases) See also Rechtsanwalt 176178 Court orders 73, 117, 137 appeals against (Beschwerden) 138139 family law 140141 Courts 118, 119120 accessibility 25, 116, 165, 237n10 administrative 163, 164165, 206, 237n10, 303n5, 338n42 of appeal 120, 135139 constitutional 1819, 229n7, 237n10 criminal 176, 315n4, 315n7, 338n37 employment 206 enforcement 147, 148, 149, 153 family 140, 291n31 hierarchy 1819, 135136, 140, 205206 international law 198199 jurisdiction 119 juvenile 313n40 preparation for hearings 132 probate 95 special types 206, 339n38 Creditors/debtors 7830 and enforcement 146155, 224n11a and inheritance 94 multiple 53 time limits 4244, 255n98,
261262n127 Criminal Code See StGB Criminal law 25, 167174 See also Offences commercial (white-collar) 190, 329, 338n37 counsel 176178 courts 176, 314n4, 315n7, . 338n37 general principles 167, 309n6 injured party, involvement of 180, 322n51 lawyers fees 214 main proceedings 177178, 179, 323n43 preliminaries to trial 316nn2226 procedural maxims 175, 287n5, 314n6 procedure 175180, 314nn23 prosecutions 176, 314n11, 314n9, 315n14 punishment 173174, 180, 309n8, 313n63, 313n65, 313n73, 314nn8182, 321n41 responsibility See Schuld statute based 167, 308n3, 308n6 Culpa in contrehendo 263n135b-d, 269n188 D Damages, claims for 209, 218 grounds 70, 102, 224n11b, 258n119, 272n220, 273n222 pain and suffering 70, 274n227 third parties 70, 274nn226227 Darlehen See Loans Debtors See also Creditors/debtors
557
compulsory declarations 304n193 protection of 147148 substitution of 5253, 264n157 Defamation 242243n20d-f, 311n35 Democracy basic principles 78 role in law making 221222nn45 Deportation 202 Dienstgericht (supervisory/ disciplinary court) 204 Dingliche(s) Recht(e) See Rights: real Directors See GmbH Discretion See Ermessen Distraint See Pfndung Divorce 144145, 224n11a, 302n156, 302n159160 Doctors 288n10.4 E E-commerce Law 223n11a, 252n54 EGBGB (Einfhrungsgesetz (introductory note) zum BGB) 195199 Ehegatte See Spouse Ehesachen (marriage matters) 139142, 144145 and international law 196, 332n11 Eidesstattliche Versicherung (assurance in lieu of oath) 153 Eigentum See Ownership Einigung (agreement/ consensus) 3436 in family law 144, 302n159 in property law 277n256b Employees
and Betriebsrat 183, 326n26, 326n30 categories 323n2 competition with employer 102103 contracts 65, 102103, 181183, 324n7a dismissal 182, 185, 324nn1011, 325nn1314, 326n46 exclusions from definition 326n23 protection 103, 182, 186188, 325n13, 328nn6165 Employers bankruptcy 183, 327n20 and Betriebsrat 184, 326nn3637 contracts 181183 liability 187188, 272n222a-b, 328nn6165 Employment law 181188, 265n159 accidents 187188 Betriebsrat 183185 coalitions 186 contracts 102103, 181183, 322n1 courts 206 health and safety 186187, 328 industrial action 184, 186, 326, 327n53 lawyers fees 214 tariff agreements 186, 327n52 Enforcement 146155, 302n171 duplicate (documenting judgment) 148, 151 land 152 money claims 146, 150152, 153, 154155 organs 148 (See also Bailiffs) preventive 147148
558
Index
property claims 146, 152154 suspension 149 English law See British Enlightenment (C18) 2 Erbengemeinschaft See Heirs: community of Erbfolge See Inheritance, modes of Erbschein (certificate of inheritance) 9495, 282n343 Erbvertrag See Contract(s): estate Erfllung (fulfilment, of obligation) 45, 5152 Erlaubnis (permission), grant of 161162, 190, 307n29 Ermessen (discretion), exercise of 161162, 306nn3135 Erwirkungshandlungen (See Glossary) 120, 291n39 Estate(s) contracts 87 debts of 94 disclaiming 93 disposition of 8792 European Convention on Human Rights 222n7, 232233n34, 237n9, 308n4 European Court of Justice vii, 231n19, 340n74 European Union 221225nn413 Civil Code (proposed) x, 224n11b, 227n13 cooperation between member states 334335nn56, 334n1 debt law 302n163, 302n171 family law 301302n148 jurisdiction within 199 Lawyers Code 211
legislation, examples of 223224n11a, 252n54 Rome Convention (on contractual obligations) 332nn1220 rules of evidence 335n9 service of process 335n7 unification of legal system vii, xxi, 223224nn10b-12 vs domestic law 201, 202, 211, 221222n5, 222nn79, 230n12, 232233n34, 232n31, 308n3c Evidence documents in 219 free (Freibeweis) 199, 333n28 items seized as 177, 316n25, 318n30 rules of 116, 199, 333nn2728 taking of 116, 130, 133, 199, 287n9, 296n99, 335n9 Executive See Bund: executive organs Executors 88, 92, 281n337, 282n342 Extradition, 202 308n3d F Family law 8081, 123, 135, 139145 appeals 136 courts 140, 291n31 foreign decisions 301302n148 and international law 196197 maintenance 142144, 302n149, 302n154 marriage 139141 temporary orders 140141, 302n149 Faulty goods, liability for 55, 261n126j, 269n189 Federal Republic/ federal institutions
559
See Bund(es-); Germany Fees, lawyers 213216 administrative/ finance cases 214 agreements 341nn101102, 342n111 calculation 213215 civil cases 214, 341nn9597 claiming 215, 342n105 criminal cases 214, 341n100 employment cases 214 framework 215 legal aid 215, 342n111 level 215, 341342nn101102 reform 216 Fernabsatz (long-distance transactions) 56, 223n11a Feuerbach, Paul Johann Anselm 227n14 Foreign law, role in German legal process 199, 340n74 Foreign relations 8 and AGBG 39 Foreign residents 126127 Formal vs material law 26 Freedom(s), right to 78, 21, 2223, 239n4, 244n26 Freiheitliche demokratische Grundordnung 78 Fundamental principles (of German law) 67 See also Basic Law (Grundgesetz) G Gemeinde(n) See Local authorities Gemeinschaft (community) 54, 68, 282283nn1314 defined 9798 of heirs 8788, 282n311 Gemeinschaftliches Testament See Wills: joint
Genehmigung (approval) See Erlaubnis Genossenschaft (cooperative society). German language characteristics of 282n5 ix, 221nn34 as language of courts 241n18, 277n256a Germany defence 303n1 electoral system 7, 232n26 foreign relations 8, 201202, 232n31 government 59, 11, 157, 228229nn37, 233234nn15 history of law in ix, 13, 221nn12, 314n3 legal system See Separate main heading literature of 2, 226227n11 reunification 13, 234n1 study of law in 221n1 Gesamtrechtsnachfolge See Succession: universal Geschftsanteil See GmbH: capital Geschftsfhigkeit (ability to undertake legal action) 3031, 33, 67, 245n5, 256n106 and GmbH 112113 of parties 120, 121 Geschftsgrundlage (basis of transaction) 251n47d Gesellschaft (company) See also Commercial law; GmbH bookkeeping 107108 definitions 9799, 104 domicile 246n7, 290n28c, 291n48 formation 9899, 105 liability 99100, 105106, 283n26, 285nn5051
560
Index
management 99100 members 98, 99100, 105106, 282n12, 283n16, 283n25, 285nn5051 termination 106107, 325n7b trading 104107 types 97, 104, 282nn45, 283n17 Gestaltungsrechte (Rights of formulation) 29, 247n19 Gewerbe (type of business) 189190, 284n31 Globalisation. 332n12 GmbH (limited liability company) 25, 97, 111114 capital 112, 286nn89 directors 113114, 286n13, 287n15, 324n2a domicile 283n20 formation 9899, 111 lawyers 342n116 legal status 112113 liability 111112 organs 112113 registration 112 GoA (transaction without instruction) See Rechtsgeschft Goethe, Johann Wolfgang von 2, 226227n11 Good faith (Glauben) in business transactions 108109 in court proceedings 37, 120 in transfers of ownership 76 Grotius, Hugo 12, 225226n9 Grundgesetz (GG) See Basic Law Grundrechte See Basic rights Guarantees 267n177, 269n188 Gtetermin (settlement
hearing) 132, 135 H Haftung See Commercial law: liability (Handels-)Vertreter See Agents Handelsgeschft(e) (commercial transaction(s)) 108109 Handelsgesellschaft See Gesellschaft: trading Handelsregister (trade register) 101, 285n32 Handicrafts 329n16 Hauptverhandlung (main hearing, criminal cases) 179 Health and safety (workplace) 186187, 328nn665 compulsory measures 186, 327nn5657 Hearings 125128, 131135 in administrative courts 164165 alternatives to 135 in Amtsgericht 134135 fixing of date 132133 interruption 127128 in Landgericht 131134 oral principle 116, 117, 125 preliminary 131132 preparation for 132 preparatory pleadings 125, 292n64 procedure 133134, 300n120 publicity 116, 288n8 time limits 127, 128, 131133, 294n78, 299n111 Heirs acceptance 93, 95, 281nn33638 appointment 8890 community of (Erbengemeinschaft) 8788
561
compulsory entitlement 9192, 281n321 disclaimer, right of 93, 95, 281n332, 281n334 exclusion 90 legal status 8788 liability for debts 94 HGB (Handelsgesetzbuch= Commercial Code) 97, 100109 principal divisions 100 Historical school (of legal thought) See Theories History (of German law) 13, 225n7, 227nn1415, 314n3 Hobbes, Thomas 226n10 Holy Roman Empire 1, 225n7 Hostelries 54 Human rights 308nn3c-4 See also Basic rights; European Convention I Inheritance See also Heirs certificate of 9495 disclaiming 93 by disposition on death 83 by statute 8283 by will 8487 Injured party, involvement of 180 Innocence, presumption of 175 Inquisition principle 175 Interest rates 65, 262n128 Interest theory 25 International law 25, 195199, 201102 See also European Union; Germany: foreign relations cooperation 201, 202, 334n1 enforcement 302n171,335n13 extradition 202, 335nn1617 general principles 8, 195196, 233n35
of obligations 197199, 245n6, 332n12 personal/family 196197 sources 201202 substitute jurisdiction 308n3d vs domestic law.. 195196, 221222nn45, 232n31, 330n2, 331nn67 Interpreter/translator, employment of 241n18, 278n256a, 336n9 J Judges 20305 appointment 20304, 335n5, 336n17 in civil hearings 116, 125126, 134, 294n69, 299n116 in civil preliminaries 131132 in criminal cases 177178, 317n25 independence 7, 117, 204 knowledge of law 199, 297n98 as law makers 334n2 preparation 203, 336nn1011 professional vs honorary 203 qualifications 203 submissions to (from Rechtspfleger) 20405 supervision/ discipline 204, 336338n19 Judgment enforcement 146 overturning 117, 288n15, 289n21 passing of 116, 117, 134, 288n15 preconditions for 121 Judicial review 237n9, 237n12 Jurisdiction 6, 119, 135, 289n28 agreements 198199, 340n74 challenges to 291n47
562
Index
criminal law 314n4, 314n7, 337n37 family law 140, 291n28f international 198199, 290n28a-b, 330nn23 national system 1819, 205 substitute 308n3d types 205207 Juristic persons (juristische Personen) 98, 99, 112113, 273n222c assets 283n16 defined 2728 Justice, administration of 6, 207 Justizverwaltung (judicial administration) 207 K Kant, Immanuel 2, 227n12 Kaufmann (businessman) definition 101, 246n7, 284n31 powers/restrictions 35, 39, 101102, 108109, 198, 254n71, 285n57 KG (Kommanditgesellschaft =limited partnership) 97, 9899, 104, 107, 283n18 domicile 246n7 termination 107, 324n7b Klage(n) (plaint/writ) in administrative law 163164, 308n15, 307nn1112 amendment 130, 297n100 consideration 131132, 296n97 content 130, 296297n96 in criminal law 175 defence to 132, 297n107 in employment law 182, 325n17 in enforcement cases 151 multiple 130131 service 129 settlement, attempts at 132
563
types 129130, 307n12, 307n15 Klagenhufung See Klage(n): multiple Kndigung See Termination L Ladung (summons to attend) 132133, 179, 298n113 Land compulsory sale/ administration 152, 276n244, 302n185 natural produce (Urproduktion) 189, 329n13 ownership/ possession 71, 75 Register 74, 78, 79, 152, 279n272 rental 6263 rights 74, 7778 Lnder (states) administration 56, 14, 229230n10, 229n7 authority 5, 1314, 229n7, 234235n6, 234n4 constitutional order 13, 18 courts 20506 police forces 318n32 treaties between 8 Landgericht (county court) 128134, 205, 338n37 appeals to/against 135136 civil/commercial chambers 119, 203, 338n37 Landlords See Rent Lawyers See Counsel; Rechtsanwalt Leases See Rent Legacies 87, 92, 280n291
Legal aid 215, 342n111 Legal representation 122123, 292n55 appointment 132, 177, 209 in criminal cases 177178 mandatory 123, 124 Legal system, German basic principles 58, 205207 characteristics 222223nn810 compared to British ix, 222223n10a reform, need for 222n9 reforms, undertaken 224n11b-c views of 222223n10a Legal (trans)actions See Rechtsgeschft Leihe (type of lease) 59, 255n95 Leistung (=contractual obligation) defined 45, 257n115 disturbances to (Leistungsstrungen) 46, 258261n126 duties regarding 257258n116 in land rights 74 types 257n111 Liability civil servants 274n224 company 99100, 105106, 111112, 283n26, 285nn5051 contractual 258261n126, 258nn118119 , 262263 employers 187188, 273n222a-b faulty goods 55, 261n126j, 270n189 heirs 94 legal partnerships 217, 343344nn115116 notaries 218, 342n123 public duty, failure in 273n222b-d, 274n224 torts 70, 271n219, 273274n222 Loans 6465, 78, 270nn210211
Local authorities (Gemeinden) 1516, 235n1 areas of authority 15, 235236nn57, 236n11 Locke, John 226n10 Locus standi See Prozefhrungsbefugnis M Mahnbescheid (default notice) 117, 289n23 Mahnverfahren (default notice procedure) 117, 146, 289n22, 302n163, 335n13 Mediaeval law/ jurists 1 Mediation (compulsory) 132, 135 Mens rea 168 Mental incapacity 30, 84 Miete See Rent Minors court representation 121 criminal responsibility 171, 312n40 in family law 8081, 144145 legal capabilities 3031, 33, 84, 248249n31 Modified subject theory See Special rights theory Mortgages 7880 N Nachlagericht See Courts: probate Nationality, significance of 196 Natural law See Theories Negligence 268n183, 271n219 civil servants 273n224 criminal law 171172, 312n50 employers 188, 273n222, 328n63
564
Index
Norms compulsory vs dispositive 26, 37, 186, 245n6, 327n55 control 163, 306n6 in criminal law 168, 307n1 distinguishability (public/private) 2526 in employment law 186, 327n55 European 224n12 hierarchy 17, 237n7 in international law 195, 331nn35, 333n29 interpretation 161, 306n31 procedural 293n69 role in legal system ix, xi, 227n17 supplementary 307n1 traffic 273n222e validity 1718, 163, 237nn89, 237nn1213 Notaries 217219 appointment 217, 342n120 capacities and duties 218, 277n256a, 281n311 liability 218, 342n123 O Oberlandesgericht (county court of appeal) 120, 135139, 205206, 300n133, 301n135, 306n2 and lawyers admission 208209 Oberste Landesgericht (supreme county court, Bavaria) 206 Obligations (law of) 4471 basic principles 4445, 25556nn102106, 26465n159 content of 4549 and contracts 45, 4748, 197198, 332n12 discharge of 5152
and international law 197199, 332n12 of multiple debtors/ creditors 53 and Rechtsgeschfte 4445 reform 224n11b rights of rescission 4851 statutory 45, 7071 transfer of 5253 typical examples 5358, 64, 6571 Offences, criminal on behalf of others 169170 consequences 173174 elements of 168172, 310311nn1519 guilt 170172, 310n18, 312n38, 312n40 illegality 170 justification (Rechtfertigung) 170, 311n26, 311nn3336 by omission 169, 311312nn2324 types 167168, 309nn910, 309nn1314 OHG (offene Handelsgesellschaft) 97, 9899, 104106 domicile 246n7 termination 106107, 324n7b Orderpapiere (order securities) 191192 Ownership (Eigentum) 71, 7577, 278n265 definitions 75, 274n231 joint 77 transfer of 7576, 275n237, 277nn255256, 277278n260, 279n264, 330n40 P Pacht (type of lease) 59 Parliament(s) federal 9, 11 state 13 Parties (to court
565
action) 118, 120125, 291n37 delays by 133, 300n120 joint 121122 Parteifhigkeit 120, 121 requirement to attend 133, 299n113 roles in hearing 125126, 133, 299n115116 submissions 125, 133, 293n67, 297n97 Partnerships See KG; Rechtsanwalt Pensions 54 Personal development, freedom of 22, 242n20b-c Persons, legal natural vs juristic 27, 121, 248n27 and obligations 44 qualifications 2728, 245246n6 Pfandrecht (pledge) 80, 280281n280 Pfndung (distraint) 147, 148, 150152, 154, 281n280c, 281n280c Pflichtteil See Compulsory entitlement Police 178179, 316n22, 319320nn3234, 338n51 international cooperation 334n1 Postulationsfhigkeit (=right of audience) 124 Power, state derivation 7 horizontal separation 7, 231n22 Power of attorney See Vollmacht Precedents 117 Prison sentences 167, 173 Private law (Privatrecht) 25, 245n1 See also Civil law; Commercial law; Company law
and basic rights 21, 239240n7 Privatisation 157, 230231n15 Privatklage (private prosecution) 176, 180, 316n14, 322n51 Procedure administrative 163165 administrative vs. civil 165 basic principles 115117, 165, 288288n10 civil law 25, 26, 11555 costs 125 criminal law 175180 documentation 218 enforcement 146155 family law 139145 hearings 125128 inheritance 9395 international law 198199, 201202 and parties 120125 proceedings at first instance 128135 Prozehandlungen 120121,124 reform 224n11c remedying of faults 120121, 292n42 time limits 42 Proceedings 118119, 125128 See also Procedure; Prozehandlungen conduct of 116117, 125126, 134, 300n120 criminal 179, 315,n20 321nn3940, 322n43 at first instance 128135 interruption 127128, 295n71 judgment vs enforcement 116, 125 lawyers fees 214 recording/ televising of 287n8 reopening 117, 134, 139, 290n21, 300n123
566
Index
special types 116, 180 Procura 101102, 285nn3437 Product Liability Law (ProdHaftG) 261n126j Professional associations 184, 186 Property (laws of) 7180 See also Assets land law 74, 7778 marital 80, 142143, 196, 332332n11 mortgages 7880 ownership 7577 possession 71 rights 7273, 74 Prozefhrungsbefugnis (=locus standi) 124 Prozehandlungen (steps in proceedings) 120121, 124, 291n38, 291nn4142 Prozerecht See Procedural law Prozevoraussetzungen (preconditions for judgment) 121 Public law and AGBG 3940 branches of 25 commercial 190 vs private 2526, 245n1 Purchase, types of 55 PVV See Contract, breach of R RAK (Rechtsanwaltskammer =Lawyers Chamber) 123, 211212, 341n85 Reasonable doubt, principle of 116 Rechtsanwalt (lawyer) 207217, 338n54 See also Legal representation; Staatsanwaltschaft; Verteidiger
admission 208209, 339340n59, 339n61 and clients 209, 339n70, 340n74, 341n101 complaints against 212213, 341nn8839 conflicts of interest 209, 210, 339n71, 339n66 fees See Separate main heading and foreign law 340n74 misconduct 211, 212213 non-German nationals 208, 338n56, 340n77 partnerships 216217, 342nn114116 publicity 210, 341n72 rights and duties 209211, 340nn7379 specialisation 210 status 208 Rechtsfhigkeit (capacity for rights and obligations) 245n5, 256n106 defined 27 Rechtsgeschft(e) (legal transaction(s)) 2941 commercial 10809 conditions placed on 3637 defined 248n24 forms of 34 international validity 332n19 null/ineffective 249n35, 252n58, 324n7a and obligations 4445, 67 sittenwidrig (immoral) 34, 252n58 vs Prozehandlungen 120 without instruction 53, 67, 267268n169 Rechtshandlung(en) (legal action(s)), defined 2930 Rechtsmangel (defect
567
in title) 54, 269n185 Rechtsobjekte, defined 28 Rechtspflege (administration of justice) 207 Rechtspfleger (legal executive, in Amtsgericht) 119, 147, 151, 204205, 302n172, 337nn2728 Rechtsstaat principle 67, 13, 231nn1819 Rechtssubjekte (legal subjects) See Persons Rechtswidrigkeit (illegality) 170 Referendar, office of 203, 336n10 Reichskammergericht, establishment of 1 Rektapapiere (specifically named securities) 192, 330n40 Remedies, legal 120121, 135139, 292n42, 336n19 See also Appeals in administrative law 163 in enforcement 148149 lawyers misconduct 212213 Rent (Miete), laws of 5864, 270nn198199 agreements 43, 5859, 270n202, 271n204, 271n206, 271n208 land 6263 rights and duties 6062 tenure 6364, 271nn206209 transfer of 6263 Rescission (termination/ withdrawal), rights of 4851, 55, 263264nn13839, 264n147 Revision (appeal on
point of law) 137138, 199, 300301nn133135 grounds for 301n136 Rights of accused 175 basic See Separate main heading to be heard 115, 134, 175, 288n3, 303n9 of Betriebsrat 184185, 327n46 consumer 37, 41 of customers 266267n166 land 74, 7778 procedural 115, 175 of property 71, 7273 real (dinglich) 71, 7273, 78, 276n236 of rescission 4851 subjective 2829, 246n16 Road accidents 273n222e, 274n227 Roman law 13, 225nn36, 245n1, 264265n159, 282n10 Rome Convention 332nn1220 Rousseau, Jean-Jacques 226227n11, 226n9 Rcktritt See Rescission S Sale/purchase 53, 54, 269270nn18839, 268n185, 274275n234 Satzung (articles of association) 9899 Savigny, Friedrich Karl von, Prof 23, 227n13, 227n16, 277n246 Schiller, Friedrich von 2, 226227n11 Schuld (guilt) 170172, 311n18 exclusion 172, 312nn5254, 313nn5761 intent 171172, 312n47 minors 171, 312n40
568
Index
negligence 171172, 312n50 Schuldverhltnis (obligation), defined 45, 257n115 See also Obligations, law of Securities See Wertpapiere Seizure of criminal evidence 177, 316n25 of (debtors) assets 154155, 302nn179181 Service contract(s) of 65, 102103, 113114, 265n159, 323n1, 325n6, 328n60 of legal process 126127, 129, 152, 224n11a, 295296nn8790, 335n7 Settlement (out of court) 132, 135 Social security 230n12, 303n10, 323n2c Sozialgesetzbuch (Social Code) 188 Special rights theory 25 Specificity principle 296297n96 Spouse(s) inheritance by 82, 83, 91, 281n287 joint wills 86, 282n305 Staat (state) defined 228n1 power structure 7, 231n20 Staatsanwaltschaft (state attorneys office) 176177, 316nn2226, 315n20 Stammkapital See GmbH: capital Standard business terms See AGBG State See Bund; Staat Statute(s) administrative 157158
and AGBG 4041, 254255nn8687 as binding 7, 117, 167, 230231n23, 290n18 criminal law, role in 167, 176, 307n3, 308n6 gaps in 251n47e, 309n6 and inheritance 8283 interest rates 262n128 and obligations 45, 256257n108 and ownership 76 and Verjhrung 42, 4344 StGB (Strafgesetzbuch =Criminal Code) ix, x, 167174 StPO (Strafprozeordnung =Criminal Procedure Order) 175180 Streitgegenstand (object of action) 130, 296297n96, 297n101 Streitschlichtung See Mediation Streitwert (value of monetary action) 119, 134135 Subjektives Recht See Rights, subjective Subordination theory 25 Substantiation, requirement of 125, 293n67 Succession (laws of) 27, 8195 disposition of estate 8792 exclusion from 90 modes of inheritance 8287 procedural aspects 9395 universal, principle of 87 Supreme federal organs/ authorities See Bund: executive organs Suspects See also Accused arrest 177, 317n26, 319320n38, 319n36
569
examination 320n38g-h, 320n38d investigation 177, 179, 316nn2426 remanded in custody 317n26, 319320n38a-d Switzerland, Civil Code 222n8 T Tatbestand (=content, of criminal offences) 168170 Tax law 25 Temporary orders enforcement 149 family law 140141, 302n149 Tenants See Rent Tenure, security/ termination of 6364 Termination (Kndigung) of company 97, 106107, 282n7, 324n7b of contracts 113, 324n6, 324n7a, 324n8 of employment 65, 103, 181183, 295n75, 325326nn1011 of lease 61, 6364, 271nn208209 of legal partnership 217 of loan 6465 of Rechtsgeschft 51, 264n147 Terrorism 318n31 Testament See Wills Theories of law Classical 225226n9, 225n3 free school 226n17 historical school 2, 224n12, 227228n17, 227n16 natural law 12, 225226nn910 positivist 226n10, 226n17 Thibaut, Friedrich, Prof 2 Third parties 122
claims for damages 274275nn226227 in company law 105106, 284n32, 285nn5051 contracts for benefit of 48, 262263n135 in enforcement cases 151, 152 injuries to 273n222b protection of 292n57 Time limits administrative law 164 AGBG 41 appeals 136, 295n78 company liability 107 contracts 49, 324n9 criminal prosecutions 176, 315316n11, 322n48 debts 4244, 255n98, 261262n127 default notices 117 hearings 127, 131133, 295n78, 298n111 inheritance law 86, 88, 91, 93 Rechtsgeschfte 3637, 4144, 255n98 rental agreements 271n204, 271n206, 271n208 Torts 45, 54, 7071, 269n183, 272n219 burden of proof. 261n126j, 273274n222b commercial law 243n20g employment law 272n222b, 327n53 failure of safety 272273n222b-d international law 199,333n25 negligence 273274n222b-d, 274n224 personal injury 252n58d, 272273n220, 274275n227
570
Index
place of commission 333n25 procedure 199 property. 280n266d right to sue. 273n226 road accidents. 273n222e time limits 43 Trades unions 184, 186 Treaties. 8, 201, 233234n3, 234n12, 335n12 extradition 202, 335n16 Treu und Glauben, principle of 37, 120, 250n47a-b See also Good faith Truth, duty to tell 115, 125, 287n5, 292n66 U UK law absence of constitution 226n10 burden of proof 288 compared to German law (in general) ix, x, 168, 22223n10a, 253n62 conditions 254n75 contracts 252n58c, 253n62, 253n65, 253n67, 254n70, 254n75, 332n15, 332nn1213 criminal offences 168, 311n26 criminal procedure 314n2 declaration of intent 249n38 domicile 246n9 estoppel 251n47c and EU 335n4, 335 extradition 335nn1718 guarantees 268269n177 inheritance 281n337 international law 331 332nn1213, 333n25b
judicial review 237n9 lawyers duties 341n74, 340n77 negligence 272n219 property 246n11, 27778n255, 279n264, 280n266d rescission 263n138 Roman influence 225n6 sale of goods 269n185, 269n188, 275276n234b-c, 276n238, 279n260 Scotland 246n16 securities 190 subjective rights 246n16 torts 243n20g, 272n219, 280n266d, 334n25b treaties 232233n34, 335n6 Unerlaubte Handlungen See Torts Ungerechtfertigte Bereicherung (unjustified enrichment) 54, 6970, 73 Unternehmen (enterprise) 183, 185 Untersuchung(shaft) See Suspects: remanded in custody Urkunden- and Wechselproze (speedy financial actions) 139 Urprvduktion (extraction of natural produce) 189, 329n13 UWG (Law against Unfair Competition) 243n20g V Vendor, duties/ liabilities of 270n189 Verband (federation/ association), defined 9798 Verein (association/ club) 97, 98, 99, 283n15 unregistered 99
571
Verfgung (various meanings: See Glossary) in court judgment 117, 301n140 definitions 44, 7273, 255n102, 276n241 in law of succession 83, 86, 281n311 limitation/prevention 73 in preparation for hearings 132 in property rights 72, 73, 74, 27677n245, 278n257 and Rechtssubjekte 44, 255n102 Verhandlung(en) See Hearings Verjhrung (time limitation) 4244, 255n92, 255n98 Vermchtnis See Legacies Verpflichtung (duty to perform) 258n126a defined 45 Verteidiger (defender) 177178, 317n27, 318nn2931 Vertrag (and compounds) See Contracts Vertretbare Sachen (fungible goods) 71, 274n234a, 275n235 Vertreter/ung See Agents: legal Verwaltung (and compounds other than below) See Administration; Administrative law Verwaltungsakt (administrative act) 17, 158, 159162, 237n8, 303nn1213 annulment 160, 305nn2627 challenges to 160, 163165, 304305nn2223, 304n13, 307n2
definition 159 enforceability 327n56 grant of Erlaubnis 161162, 307n29 types 160161, 32728n57 validity 160, 305nn2425 Verwaltungsverfahren (gesetz) ((law of) administrative proceedings) 157159, 303n8 Vollmacht (authority/ power of attorney) 123124, 293n62, 292nn5759 in family law 140 Vollstreckbare Ausfertigung See Enforcement: duplicate W Werkvertrag See Contract(s): for services Wertpapiere (securities) 190193 See also Bonds definition 191 exclusions from definition 192193, 330n41 types 191192, 330n36 Wiederaufnahme des Verfahrens See Proceedings: reopening Willenserklrung (declaration of will, ie, intent) agreement over 3436 challenges to 3334, 250n45, 251n48 definitions/ components 32 interpretation 3233, 249250n44, 250n46 (in)validity 3031, 32, 3334, 249n35, 251nn4950 place in Rechtsgeschft 2930, 248n24 requirements 249n43, 249nn3839 Wills (Testamente) 8487 appointment of heirs 8890 capacity to make 84
572
Index
challenges to 8586, 90, 93 interpretation 8485 joint 86, 282n305 legacies 87, 92 probate 95, 283n345 revocation 84, 86 types 84 validity 8586 Wirtschaftsrecht (business law) 189193 See also Commercial law; GmbH definitions 189, 328n2 Wirtschaftsverfassungsrecht (SeeGlossary) 190 Wirtschaftsverwaltungsrecht (SeeGlossary) 190 Witnesses, examination of 318n29 Wohnsitz (domicile) defined 2728, 246nn79 significance in (international) law 195, 19697, 291n28c-d, 331n4, 331nn810 Z ZPO (Zivilprozeornung = Order of Civil Procedure) 115155, 289n25 principal divisions 115
basic principles 115116 Book I: General Provisions 118128 Book II: Proceedings at First Instance 128135 Book III: Remedies 135139 Book IV: Wiederaufnahme des Verfahrens 139 Book V: Urkundenand Wechselproze 139 Book VI: Family Matters 139145 Book VII: Mahnverfahren 146 Book VIII: Zwangsvollstreckung 146155 Book IX: Aufgebotsverfahren 155 Book X: Arbitration 155 on documentation 219 and international law 198199, 201202 Zustndigkeit See Jurisdiction Zustellung See Service: of legal process Zwangsmittel (compulsory measures).. 186, 328 329nn5657
573

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THE GERMAN LEGAL SYSTEM AND LEGAL LANGUAGE

Cavendish Publishing Limited London Sydney

THE GERMAN LEGAL SYSTEM AND LEGAL LANGUAGE

Howard D Fisher LLB (Lond) (Hons) Rechtsanwalt

Cavendish Publishing Limited London Sydney

Fisher, Howard D First edition Second edition Third edition

2002 1996 1999 2002

ISBN 1 85941 706 X

Printed and bound in Great Britain

PREFACE TO THE THIRD EDITION

The German Legal System and Legal Language

PREFACE TO THE SECOND EDITION

The German Legal System and Legal Language

Preface to the Second Edition

The German Legal System and Legal Language

The German Legal System and Legal Language

PUBLIC AND PRIVATE LAW A B Introduction Distinguishability of Norms

Book II: The Law of Obligations ( 241853 BGB)

The German Legal System and Legal Language

Book III ( 238339 HGB): Handelsbcher Book IV ( 343460 HGB): Handelsgeschfte

The German Legal System and Legal Language

Consequences of an Offence Strafen Mareglen der Besserung und Sicherung

175 175 176 177 178 179 179 180 180

The German Legal System and Legal Language

Proof of Foreign Law

XXI INTERNATIONAL LEGAL COOPERATION A B C Introduction Sources of Law Extradition (Auslieferung)

(c) (d) (e) (f) (g) 9 E The Notar

The German Legal System and Legal Language

The German Legal System and Legal Language

The German Legal System and Legal Language

The German Legal System and Legal Language

The German Legal System and Legal Language

Chapter I: Historical Introduction

II THE FEDERAL STATE1

The German Legal System and Legal Language

Chapter II: The Federal State

The German Legal System and Legal Language

III THE SUPREME FEDERAL ORGANS1

IV THE SUPREME AND OTHER FEDERAL AUTHORITIES

The German Legal System and Legal Language

The German Legal System and Legal Language

VII THE CONSTITUTION (GRUNDGESETZ)

The German Legal System and Legal Language

Chapter VII: The Constitution (Grundgesetz)

VIII THE BASIC RIGHTS

The German Legal System and Legal Language

Chapter VIII: The Basic Rights

IX PUBLIC AND PRIVATE LAW

The German Legal System and Legal Language

X PRIVATE LAW: THE CIVIL CODE (BGB)1

The German Legal System and Legal Language

Chapter X: Private Law: The Civil Code (BGB)

The German Legal System and Legal Language

Chapter X: Private Law: The Civil Code (BGB)

The German Legal System and Legal Language

Chapter X: Private Law: The Civil Code (BGB)

The German Legal System and Legal Language

Chapter X: Private Law: The Civil Code (BGB)