The German Legal System

THE GERMAN LEGAL SYSTEM
AND LEGAL LANGUAGE

Third Edition
Cavendish
Publishing
Limited
London Sydney
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 Facsimile: +44 (0)20 7278 8080
Email: info@cavendishpublishing.com
Website: www.cavendishpublishing.com
Fisher, Howard D 2002

First edition 1996
Second edition 1999
Third edition 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);
vii
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
viii
PREFACE TO THE SECOND EDITION
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
ix
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
x
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.
xi
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
xii
CONTENTS
Preface to the Third Edition vii
Preface to the Second Edition ix
Materials xxiii
Bibliography xxv
Cross-References xxxi
I HISTORICAL INTRODUCTION 1
II THE FEDERAL STATE 5

A The Division of Power 5
B The Passing of Laws 5
C The Executive 5
D The Administration of Justice 6
E The Rechtsstaat Principle 6
F The Origin, Separation and Binding of State Power 7
G The Freiheitliche Demokratische Grundordnung 7
H Foreign Relations 8
III THE SUPREME FEDERAL ORGANS 9
IV THE SUPREME AND OTHER FEDERAL AUTHORITIES 11

V THE LNDER 13
A Introduction 13
B State Administration in the Lnder 14
VI LOCAL GOVERNMENT 15
VII THE CONSTITUTION (GRUNDGESETZ) 17

A Introduction 17
B Rank of the Basic Law and Validity of Norms 17
C The Federal and State Constitutional Courts 18
xiii
VIII THE BASIC RIGHTS 21

A Introduction 21
B Limitation of Basic Rights 21
C The Actual Rights 22
IX PUBLIC AND PRIVATE LAW 25
A Introduction 25
B Distinguishability of Norms 25
X PRIVATE LAW: THE CIVIL CODE (BGB) 27
A Introduction 27
B Book I: The Allgemeiner Teil ( 1240 BGB) 27
1 Terminology to Note 27
2 The Provisions of the Allgemeiner Teil Regarding Rechtsgeschfte
( 104185 BGB) (Section 3) 30
(a) Title 1 ( 104115 BGB) 30
(b) Title 2 ( 116144 BGB) 31
(c) Title 3 ( 145157 BGB) 34
(d) Title 4 ( 158163 BGB) 36
(e) Standard business terms (AGB) 37
3 The Rest of the Allgemeiner Teil ( 186240 BGB) (Sections 47) 41
4 Expos: Verjhrung ( 194225 BGB) (Section 5) 42
C Book II: The Law of Obligations ( 241853 BGB) 44
1 Introduction 44
2 Points to Note 44
3 Sections 17 45
(a) Section 1 ( 241304 BGB) 45
(b) Section 2 ( 305361 BGB) 47
(c) Section 3 ( 362397 BGB) 51
(d) Section 4 ( 398413 BGB) 52
(e) Section 5 ( 414419 BGB) 52
(f) Section 6 ( 420432 BGB) 53
(g) Section 7 ( 433853 BGB) 53
D Book II: The Law of Property ( 8541296 BGB) 71
1 Introduction 71
2 Dingliches Recht and Verfgung 72
xiv
Contents
3 Sections 19 73
(a) Section 1 ( 854872 BGB) 73
(b) Section 2 ( 873902 BGB) 74
(c) Section 3 ( 9031011 BGB) 75
(d) Section 4 ( 10121017 BGB) 77
(e) Section 5 ( 10181093 BGB) 77
(f) Section 6 ( 10941104 BGB) 77
(g) Section 7 ( 11051112 BGB) 77
(h) Sections 8 and 9 ( 11131296 BGB) 78
E Book IV: Family Law ( 12971921 BGB) 80
F Book V: Law of Succession ( 19222385 BGB) 81
1 Introduction 81
2 Constitutional Guarantee 82
3 The Modes of Inheritance (Erbfolge) 82
(a) By statute ( 19241936 BGB) 82
(b) By disposition on death (Verfgung von Todes wegen) 83
(c) The will (Testament; 1937, 20642086, 22292264 BGB) 84
(d) The joint will (Gemeinschaftliches Testament; 22652273 BGB) 86
(e) The estate contract (Erbvertrag; 1941, 22742302 BGB) 87
4 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
5 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
xv
XI PRIVATE LAW: BGB COMPANY LAW AND

THE COMMERCIAL CODE (HGB) 97
A Context and Definitions 97
B Duties, Management (Geschftsfhrung), Representation (Vertretung) and
Liability (Haftung) 99
C The HGB in Detail 100
1 Introduction 100
2 Book I ( 1104 HGB): Handelsstand 101
(a) Section 1 ( 17 HGB) 101
(b) Sections 2 and 3 ( 837 HGB) 101
(c) Section 5 ( 4858 HGB) 101
(d) Section 6 ( 5983 HGB) 102
(e) Sections 7 and 8 ( 84104 HGB) 104
3 Book II ( 105237 HGB): Handelsgesellschaften 104
(a) Content 104
(b) Section 1 ( 105160 HGB) 104
(c) Section 2 ( 161177a HGB) 107
(d) Section 3 ( 230237 HGB) 107
4 Book III ( 238339 HGB): Handelsbcher 107
5 Book IV ( 343460 HGB): Handelsgeschfte 108
XII THE PRIVATE LIMITED COMPANY (GMBH) 111

A Introduction 111
B Establishment 111
C Stammkapital, Stammeinlage and Geschftsanteil 112
D Organs 112
E Directors (Geschftsfhrer) 113
XIII CIVIL PROCEDURE 115

A The Zivilprozeordnung (ZPO) 115
B The Maxims of Civil Procedure 115
C Points to Note 116
D The ZPO in Detail 118
1 Book I ( 1252 ZPO): General Provisions 118
(a) Content 118
xvi
Contents
(b) Section 1 ( 149 ZPO) 118

(c) Section 2 ( 50127a ZPO) 118
(d) Section 3 ( 128252 ZPO) 118
(e) Section lin detail ( 149 ZPO) 119
(f) Section 2 in detail ( 50127a ZPO) 120
(g) Section 3 in detail ( 128252 ZPO) 125
2 Book II ( 253510b ZPO): Proceedings at 1st Instance 128
(a) Content 128
(b) Section 1 ( 253494 ZPO): In the Landgericht 128
(c) Section 1, Title 1 ( 253299a ZPO) 129
(d) Section 2 ( 495510b ZPO): In the Amtsgericht 134
(e) Alternative settlement of disputes 135
3 Book III ( 511577 ZPO): Remedies 135
(a) Berufung ( 511544 ZPO) 135
(b) Revision ( 545566a ZPO) 137
(c) Beschwerde ( 567577 ZPO) 138
4 Book IV ( 578591 ZPO): Wiederaufnahme des Verfahrens 139
5 Book V ( 592605a ZPO): Urkunden- und Wechselproze 139
6 Book VI ( 606644 ZPO): Family Matters 139
(a) Content 139
(b) Section 1 ( 606638 ZPO) 139
(c) Section 3 ( 6411644 ZPO) 145
7 Book VII ( 688703d ZPO): The Mahnverfahren 146
8 Book VIII ( 704945 ZPO): Zwangsvollstreckung 146
(a) Content 146
(b) Section 1 ( 704602 ZPO) 146
(c) Section 2 ( 803882a ZPO) 150
(d) Section 3 ( 883898 ZPO) 152
(e) Section 4 ( 899915 ZPO) 153
(f) Section 5 ( 916945 ZPO) 154
9 Book IX( 9461024 ZPO): The Aufgebotsverfahren 155
10 Book X ( 10251048 ZPO): Arbitration 155
XIV ADMINISTRATIVE LAW 157

A Introduction 157
B The Verwaltungsverfahrensgesetz 157
1 Introduction 157
xvii
2 Content 158
3 The Verwaltungsverfahren 158
C TheVerwaltungsakt (VA) 159
1 Definition 159
2 Content 159
3 Validity and Legality 160
4 Bestandskraft, Rcknahme and Widerruf 160
5 Types 160
6 Grant of an Erlaubnis or Genehmigung 161
XV ADMINISTRATIVE PROCEDURE 163

A Available Remedies. The Verwaltungsgerichtsordnung (VwGO) 163
B Types of Writ 163
C Preliminary Requirements 163
D The Hearing in the Administrative Court 164
XVI CRIMINAL LAW 167

A Introduction 167
B Types of Offence 167
C Elements of an Offence 168
1 Tatbestandsmigkeit of the Handlung 168
(a) When an act is tatbestandsmig 168
(b) Crimes by omission 169
(c) Acts by persons representing others 169
2 Rechtswidrigkeit of the Handlung 170
(a) When a Handlung is rechtswidrig 170
(b) Rechtfertigungsgrnde 170
3 Schuld 170
(a) Meaning of Schuld 170
(b) Schuldfhigkeit 171
(c) Forms of Schuld 171
(d) Exclusion of Schuld 172
D Consequences of an Offence 173

Strafen 173
Mareglen der Besserung und Sicherung 173
xviii
Contents
XVIICRIMINAL PROCEDURE 175

A Introduction 175
B The Staatsanwaltschaft 176
C TheVerteidiger 177
D The Police 178
E Action Following Investigation 179
F Hauptverhandlungshaft 179
G The Main Proceedings and Thereafter (Book II (Section 6)Book IV StPO) 180
H Involvement of the Injured Party (Book V StPO) 180
I Special Types of Proceedings (Book VI StPO) 180
J Enforcement of Punishment and Costs of the Proceedings (Book VII StPO) 180
XVIIIEMPLOYMENT LAW 181

A Introduction 181
B Form and Termination of a Contract of Employment 181
C The Betrieb and Betriebsrat 183
D Cooperation between Employer and Betriebsrat 184
E The Rights of the Betriebsrat 184
F Mitbestimmung in Large Unternehmen 185
G The Coalitions 186
H Arbeitsschutzrecht 186
I Accidents at Work 187
XIX BUSINESS LAW (WIRTSCHAFTSRECHT) 189

A Introduction 189
B Law of Securities (Wertpapierrecht) 190
What is a Wertpapier? 191
XX PRIVATE INTERNATIONAL LAW 195
A The EGBGB 195
B Points to Note 195
C Personal and Family Matters 196
xix
D The Law of Obligations 197

1 Contractual Obligations 197
2 Questions of Jurisdiction (Zustndigkeit) 198
(a) Special venues 198
(b) Agreements 198
3 Non-Contractual Obligations 199
E Proof of Foreign Law 199
XXI INTERNATIONAL LEGAL COOPERATION 201
A Introduction 201
B Sources of Law 201
C Extradition (Auslieferung) 202
XXIITHE LEGAL PROFESSION AND COURT SYSTEM 203

A The Judges 203
B The Rechtspfleger 204
C The Court System 205
1 The Gerichtsbarkeiten 205
2 The ordentliche Gerichtsbarkeit 205
3 The besondere Gerichtsbarkeit 206
4 The Verwaltungsgerichtsbarkeit 206
5 Rechtspflege 207
6 Justizverwaltung 207
D The Rechtsanwalt 207
1 Introduction 207
2 Status of the Rechtsanwalt 208
3 Admission as a Rechtsanwalt 208
4 Relationship of the Rechtsanwalt to his Client 209
5 Rights and Duties of the Rechtsanwalt 209
6 The Rechtsanwaltskammer 211
7 Complaints 212
8 Legal Fees 213
(a) Basis of calculation 213
(b) Civil proceedings and non-contentious matters 214
xx
Contents
(c) Other proceedings 214

(d) Level of fees 215
(e) Framework fees 215
(f) Legal assistance and legal aid 215
(g) Future reform 216
9 The Partnerschaftsgesellschaft 216
E The Notar 217
NOTES 221
Preface to the Third Edition 221
Preface to the Second Edition (With Corrections) 221
Chapter I 225
Chapter II 228
Chapter III 233
Chapter IV 234
Chapter V 234
Chapter VI 235
Chapter VII 236
Chapter VIII 239
Chapter IX 244
Chapter X 245
Chapter XI 282
Chapter XII 286
Chapter XIII 287
Chapter XIV 303
Chapter XV 306
Chapter XVI 308
Chapter XVII 314
Chapter XVIII 322
Chapter XIX 328
Chapter XX 330
Chapter XXI 334
Chapter XXII 335
xxi
APPENDIX A
Vocabulary: Selected German and Latin Words and Phrases
(With Their English/Legal Meanings) 345
APPENDIX B
Abbreviations Referred to in the Text (For English Meanings See Appendix A) 463
APPENDIX C
Paragraph Register 469
APPENDIX D
Table of Cases 533
German Cases 533
European and United Kingdom Cases 540
APPENDIX E
Table of English Statutes 541
APPENDIX F
Table of Articles from ZAP 543
Index 553
xxii
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).
xxiii
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
3
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.
8
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 (Bundesverfassungs-
gerichtsgesetz (BVerfGG)).
9
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 The Bundestag: Articles 3848;
IV The Bundesrat: Articles 5053;
IVa The Gemeinsamer Ausschu (Joint Council): Article 53a;
V The Bundesprsident: Articles 5461;
VI The Bundesregierung: Articles 6269.
VII Legislative competence and procedure: Articles 7082 (entitled Die
Gesetzgebung des Bundes).3
VIII Administration of federal laws: Articles 8391 (entitled Die Ausfhrung der
Bundesgesetze und die Bundesverwaltung).
IX The judicature: Articles 92104 (entitled Die Rechtsprechung).4
X Finances: Articles 104a-115 (entitled Das Finanzwesen).5
XI 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) itselfso-
called 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) Schranken-
Schranken: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-, Post-
und 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 Arbeitsplatz-
und 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
23
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
25
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).
26
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: Allgemeiner Teil (general part), 1240.
Book II: Schuldrecht (law of obligations), 241853.
Book III: Sachenrecht (law of property), 8541296.
Book IV: Familienrecht (family law), 12971921.
Book V: 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 Die Rechtsfhigkeit: the capacity to be a carrier of rights and obligations (die
Fhigkeit, Trger von Rechten und Pflichten zu sein).5
2 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 non-
enforceable 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
28
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
6 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
7 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.
8 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.
29
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 so-
called 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).
31
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 the (internal) will (Wille) to bring about a legal consequence; and
2 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
32
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 Nichtigkeits-
oder 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
33
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
34
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
35
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
36
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
37
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
38
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 the contract is concluded on the basis of a public offer, public advertising or a
similar business activity by the user in Germany; and
2 the other party has his domicile or usual residence in Germany at the time his
contractual declaration is made.
39
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 is not compatible with the essential principles (wesentliche Grundgedanken) of the
legal provisions, from which it diverges; or
2 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
40
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.
41
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).
42
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.
43
(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).
100
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 The main example of a rechtsgeschftliches Schuldverhltnis (obligation (relationship)
arising from a legal transaction) is the Vertrag (agreement or contract).101
2 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
44
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 (so-
called 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.
45
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: Art und Umfang des Schadensersatzes (type and extent of
damages)
250: Schadensersatz in Geld nach Fristsetzung (damages in money
after setting a time limit)
251: Schadensersatz in Geld ohne Fristsetzung (damages in money
without setting a time limit)
252: Entgangener Gewinn (lost profit)
253: Immaterieller Schaden (non-financial loss)119
254: Mitverschulden (contributory fault (on the part of the injured
party))120
255: 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
46
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: Begrndung (establishment (of a rechtsgeschftliche obligation by means
of a Vertrag); Inhalt ((content) of the Vertrag): 305319.
Title 2: Gegenseitiger Vertrag (reciprocal/synallagmatic contract): 320327.131
Title 3: Versprechen der Leistung an einen Dritten (promise of performance for the
benefit of a third party): 328335.
Title 4: Draufgabe (bonus); Vertragsstrafe (contractual penalty): 336345.
Title 5: Rcktritt (rescission): 346361.
Arrangement of Titles 15
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)
47
Title 2
320: 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: Vertrag zugunsten Dritter (contract for the benefit of a third party)135
329332: Auslegungsregel (rules of interpretation)
329: Erfllungsbernahme ((internal) promise of performance)136
330: Lebensversicherungsvertrag (life insurance contract)
331: Leistung nach Todesfall (performance after death of the promisee)
332: 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)
333335: Miscellaneous
333: Zurckweisung des Rechts durch den Dritten (rejection of the
right by the third party)
334: Einwendungen des Schuldners (objections by the promisor
(debtor))
335: Forderungsrecht des Versprechensempfnger (right of the
promisee to demand performance (to the third party))
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
48
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: (wegen Nichterfllung (for non-performance))
359: (gegen Reugeld (on payment))
360: (Verwirkungsklausel (in the case of a forfeiture clause))
361: (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
49
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 Sometimes other special mandatory statutory rules concerning rescission exist.
They then take precedence over 346ff BGB.
2 Rescission does not affect claims arising from PVV.
3 350353 BGB are dispositive, ie, they can be excluded by the parties.
4 350353 BGB relate only to the position of the person seeking to rescind,
not the other party.
5 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.
6 350353 BGB presuppose that the changes (Vernderungen) which occur
in the item received are significant (wesentlich).
50
7 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
142
(c) Section 3 ( 362397 BGB)
Section 3 of Book II ( 362397) deals with the Erlschen (extinction/discharge/
ending) of obligations and is divided into four Titles:
Title 1: Erfllung (fulfilment/performance): 362371.143
Title 2: Hinterlegung (deposit): 372386.
Title 3: Aufrechnung (set-off): 387396.
Title 4: Erla (remission of debt): 397.
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)
51
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
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
414415: Vereinbarung des bernehmers entweder mit dem Glubiger oder mit dem
Schuldner (agreement between the third party and either the creditor or
the debtor)
52
416: bernahme einer Hypothekenschuld (assumption of a mortgage debt)

417: Einwendungen des bernehmers (objections by the third party)
418: Erlschen von Sicherungs- und Vorzugsrechten (extinction of security and
preferential rights)
419: 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
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: Kauf (purchase); Tausch (exchange): 433515.160
Title 2: Schenkung (gift): 516534.161
Title 3: Miete (tenancy/lease); Pacht (commercial lease): 535597.162
Title 4: Leihe (gratuitous loan): 598606.163
Title 5: Darlehen (loan): 607610.164
Title 6: Dienstvertrag (contract of service): 611630.165
Title 7: Werkvertrag (contract for services); Reisevertrag (travel contract): 631651k.166
Title 8: Maklervertrag ((civil) agency contract): 652656.167
Title 9: Auslobung (public offer of reward): 657661.168
Title 10: Auftrag ((gratuitous) contract of instruction, mandate): 662676.169
Title 11: Geschftsfhrung ohne Auftrag (transaction (of a matter) without
instruction): 677687.170
Title 12: Verwahrung (deposit in custody): 688700.171
53
Title 13: Einbringung von Sachen bei Gastwirten (bringing in of things at a

Gastwirtschaft (inn): 701704.172
Title 14: Gesellschaft (company): 705740.173
Title 15: Gemeinschaft (community): 741758.174
Title 16: Leibrente (annuity, pension for life): 759761.175
Title 17: Spiel (game); Wette (bet): 762764.176
Title 18: Brgschaft (contract of surety): 765778.177
Title 19: Vergleich (settlement): 779.178
Title 20: Schuldversprechen (promise); Schuldanerkenntnis (acknowledgement of
debt): 780782.179
Title 21: Anweisung (documentary instruction): 783792.180
Title 22: Schuldverschreibung auf den Inhaber (bearer bond): 793808a.181
Title 23: Vorlegung von Sachen (presentation for inspection): 809811.
Title 24: Ungerechtfertigte Bereicherung (unjust enrichment): 812822.182
Title 25: Unerlaubte Handlungen (torts): 823853.183
Arrangement of Title 1
433515 are arranged as follows:
I Allgemeine Vorschriften (general provisions): 433458
433: 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 (non-
existent 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)
54
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
476: 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
55
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
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)
535597 are arranged as follows (Note: new numbering applies after 1.9.2001):
I Miete (lease/tenancy): 535580a
535536: Begriff; Pflichten der Parteien (definition; duties of the parties)
537541: Haftung des Vermieters fr Mngel (lessors liability for faults)
541a-541b: Manahmen zur Erhaltung/Verbesserung (tenant must tolerate
measures of maintenance and improvement)
542544: Fristlose Kndigung durch den Mieter (termination without notice by
the lessee)
56
545: Mngelanzeige (notice of faults)

546: Lasten der Mietsache (lessors liability for charges)
547: Ersatz von Verwendungen (compensation for lessees expenditure)
547a: Wegnahme von Einrichtungen ((lessees right of) removal of fixtures)
548: Abnutzung durch vertragsmigen Gebrauch (wear and tear)
549: Untermiete (sub-letting)
550: Vertragswidriger Gebrauch (use in breach of agreement)
550a: Vertragsstrafe unwirksam (invalidity of contractual penalty)
550b: Mietkaution (deposit (for residential premises))
551552a: Entrichtung des Mietzinses (payment of rent)
553554b: Fristlose Kndigung durch den Vermieter (termination without notice
by the lessor/landlord)
556: Rckgabe der Mietsache (return of the rental object)
556a-556c: Widerspruch des Mieters; Fortsetzung des Mietverhltnisses (objection
by the tenant (to termination of a tenancy of residential premises);
continuation of the tenancy)
557: Ansprche bei verspteter Rckgabe ((lessors) rights in the event of
delayed return of the rental object)
558: Verjhrung (limitation period (for claims))
559563: Vermieterpfandrecht (landlords lien)
564: Ende des Mietverhltnisses (end of the lease/tenancy)
564a564b: Form und Voraussetzungen der Kndigung (form of and requirements
for termination (of tenancy of residential premises))
564c: Fortsetzung (continuation (of a tenancy of residential premises))
565: (Ordentliche) Kndigungsfristen (time limits for (ordinary) termination
(of tenancy of premises)/lease (of movables)
565a: Verlngerung (extension (of tenancy of residential premises))
565b-565e: Werkunterknfte (works accommodation)
566: Form des Mietvertrags (form of tenancy agreement (of more than one
year))
567: Kndigung bei Vertrgen fr mehr als 30 Jahre (termination of
agreements for more than 30 years)
568: Stillschweigende Verlngerung (tacit extension (of lease))
569: Kndigung bei Tod des Mieters (termination following death of tenant)
569a-569b: Ehegatten; Familienangehrige ((position of) married couples/family
members (following death of tenant))
570: Versetzung des Mieters (tenants job transfer)
570a: Vereinbartes Rcktrittsrecht ((corresponding application to) contractual
right of rescission)
57
571576: 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.
58
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
59
(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 non-
performance (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.
60
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:
61
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) 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;
(ii) only those rights and duties pass to the transferee, as are an inextricable part
62
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:
63
(i) 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
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)
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
64
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.
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)
65
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)
652656
657661
663: Anzeigepflicht bei Ablehnung (duty to notify refusal)
66
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.
676: 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.
676a-c: contract to undertake a bank transfer (berweisungsvertrag).
676d-e: contract to effect a bank transfer via an intermediary credit institution
(zwischengeschaltetes Kreditinstitut) (Zahlungsvertrag).
676f-h: contract to maintain a current account (Girovertrag).
The contracts involved in 675a676h are all sub-types/variations of the
Geschftsbesorgungsvertrag in 675(i) BGB.216
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)
67
684: Lage bei nicht berechtigten Geschftsfhrung (position where transaction is

not justified)
685: Schenkungsabsicht (intended gift)
686: Irrtum ber den Geschftsherrn (mistake as to principal)
687: Eigengeschftsfhrung (self-transaction)
688700
701704
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)
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)
68
759761
762764
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)
779
780782
783786: Begriff (definition); Verpflichtung (obligation)
787791: Rechtsverhltnisse (legal relationships)
792: bertragung (transfer)
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)
809811
69

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)
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
70
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.
71
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
72
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 (so-
called 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
73
(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).
74
(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):
75
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).
76
(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: Grunddienstbarkeiten (easements): 10181029.
Title 2: Niebrauch (usufruct): 10301089.
Title 3: 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.
77
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.
78
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
79
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: Verlbnis (engagement): 12971302.
*Title 2: Eingehung der Ehe (conclusion of marriage): 13031322.
*Title 3: Nichtigkeit und Anfechtbarkeit der Ehe (nullity and voidability of marriage):
13231347.
*Title 4: 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:
15641568: Scheidungsgrnde (grounds for divorce);
15691586: 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).
80
Title 8: Kirchliche Verpflichtungen (ecdesiastical obligations): 1588.

Section 2: Verwandtschaft (kinship): 15891772.
Title 1: Allgemeine Vorschriften (general provisions): 15891590.
Title 2: Abstammung (descent): 15911600o.
Title 3: Unterhaltspflicht (duty of maintenance): 16011615o.
Title 4: 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.
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.
81
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.
82
(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
83
(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 as a public will (ffentliches Testament) before a Notary, who makes a written record
(Niederschrift) thereof: 2232 BGB; or
2 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 by will ( 2254 BGB);
2 by destruction (Vernichtung) or alteration (Vernderung) of the (original) will by
the testator with the intention of annulling it (Aufhebungsabsicht; 2255, 1st
sentence BGB);
3 by withdrawal of the will from official custody, eg, from a Notary (Rcknahme aus
amtlicher Verwahrung; 2256(i) BGB); or
4 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).
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
84
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
2 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.
85
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
86
(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),
87
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.
88
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
89
(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 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;
2 illegally preventing the deceased from making or revoking a disposition;
3 fraudulently deceiving or illegally threatening the deceased, causing him to make
or revoke a disposition; or
4 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)
90
(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
91
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)
92
5 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).
93
(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 the assets of the estate and those of the heir(s) are separated retrospectively
(rckwirkend) to the date of death (Trennung der Vermgensmassen); and
2 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
94
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.
95
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 BGB-
Gesellschaft 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
97
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
3 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
4 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
98
Chapter XI: Private Law: BGB Company Law and The Commercial Code (HGB)
5 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
6 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
7 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
1 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
99
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.
2 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.
3 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

1 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
100
2 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: (Repealed).
5: Prokura and Handlungsvollmacht (procura and authority to trade; 4858).
6: Handlungsgehilfen and Handlungslehrlinge (trading assistants and apprentices;
5983).
7: Handelsvertreter (commercial / mercantile agents; 8492c).
8: 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
101
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
102
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.
103
(e) Sections 7 and 8 ( 84104 HGB)39

The Handelsvertreter (commercial / mercantile agent) is an independent (ie, self-
employed) 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 Offene Handelsgesellschaft (open trading company; 105160).44

2 Kommanditgesellschaft (limited partnership; 161177a).45
3 Stille Gesellschaft (silent partnership; 230237).46
47
(b) Section 1 ( 105160 HGB)
Section 1 contains 6 Titles:
1 Errichtung der Gesellschaft (formation of the company; 105108).
2 Rechtsverhltnis der Gesellschafter untereinander (legal relationship of the members
amongst each other; 109122).
3 Rechtsverhltnis der Gesellschafter zu Dritten (legal relationship of the members
towards third parties; 123130b).
4 Auflsung der Gesellschaft und Ausscheiden von Gesellschaftern (termination
(dissolution) of the company and departure of members; 131144).
5 Liquidation der Gesellschaft (liquidation of the company; 145158).
6 Verjhrung (limitation period; 159160).
(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
104
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);
105
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).
106
(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: Vorschriften fr alle Kaufleute (provisions for all businessmen; 238263).
2: Ergnzende Vorschriften fr Kapitalgesellschaften (Aktiengesellschaften,
Kommanditgesellschaften auf Aktien und Gesellschaften mit beschrnkter Haftung)
107
(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
108
regarding the Kaufmanns entitlement to undertake the transaction (his

Verfgungsbefugnis): he does not need to regard the Kaufmann as the owner.62
2 Handelskauf (trade purchase; 373382).63
3 Kommissionsgeschft (commissioneer business; 383406).64
4 Speditionsgeschft (forwarding agency business; 407415).65
5 Lagergeschft (storage business; 416424).66
6 Frachtgeschft (freight business; 425452).67
7 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.
109
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
2 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 (so-
called Handelndenhaftung).5
111
3 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 (so-
called 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.
112
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).
113
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
114
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:
Book I Allgemeine Vorschriften (general provisions; 1252).
Book II Verfahren im ersten Rechtszuge (first instance proceedings; 253510b).
Book III Rechtsmittel (legal remedies / appeals; 511577).
Book IV Wiederaufnahme des Verfahrens (resumption of proceedings; 578591).
Book V 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).
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
2 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
115
3 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
4 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.
5 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
6 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)).
7 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
B 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.
C 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
116
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
117
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: Gerichte (courts; 149).
2: Parteien (parties; 50127a).
3: Verfahren (proceedings; 128252).
(b) Section 1 ( 149 ZPO)

Section 1 contains four Titles:
1: Sachliche Zustndigkeit der Gerichte und Wertvorschriften (substantive jurisdiction
and value provisions; 111).
2: Gerichtsstand (local jurisdiction; 1237).
3: Vereinbarung ber die Zustndigkeit der Gerichte (agreement as to jurisdiction;
3840).
4: Ausschlieung und Ablehnung der Gerichtspersonen (exclusion of and objection to
court personnel; 4149).
(c) Section 2 ( 50127a ZPO)

Section 2 contains seven Titles:
1: Parteifhigkeit und Prozefhigkeit (capacity to be a party and to take steps in the
proceedings; 5058).
2: Streitgenossenschaft (joinder of parties; 5963).
3: Beteiligung Dritter am Rechtsstreit (involvement of third parties in proceedings;
6477).
4: Prozebevollmchtigte und Beistnde (authorised persons in proceedings and parties
assistants; 7890).
5: Prozekosten (costs; 91107).
6: Sicherheitsleistung (security for costs; 108113).
7: Prozekostenhilfe und Prozekostenvorschu (legal aid and payment on account of
costs; 114127a).26
(d) Section 3 ( 128252 ZPO)

Section 3 contains five Titles:
1: Mndliche Verhandlung (oral hearing; 128165).
2: Verfahren bei Zustellungen (procedure for service of documents; 166213a).
3: Ladungen, Termine und Fristen (summonses to attend, hearing dates and time limits;
214229).
118
4: Folgen der Versumung. Wiedereinsetzung in den vorigen Stand (consequences of

failure to observe time limits. Reinstitution of the previous position. 230238).
5: 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 so-
called 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).
119
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 Parteiso-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.
2 Rechtsgeschfte only have procedural significance, in so far as they are asserted in
the proceedings (im Proze geltend gemacht).
3 Prozehandlungen can often be freely withdrawn, corrected or supplemented, but
not, if the other party has acquired a particular legal position (eine bestimmte
Rechtsstellung).
4 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
5 The reinterpretation (Umdeutung) or cure (Heilung) of Prozehandlungen, which
are faulty (fehlerhaft), is usually possible.
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
120
(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.
121
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 /
122
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.
123
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.
124
(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;
125
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 Zustellung auf Betreiben der Parteien (service at the instance of (and on and between)
the parties): 166207;
II 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.
126
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 so-
called 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
127
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: Verfahren vor den Landgerichten (proceedings before the County Courts; 253
494).
2: 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 Verfahren bis zum Urteil (proceedings up to judgment; 253299a).
2 Urteil (judgment; 300329).
3 Versumnisurteil (judgment in default; 330347).
4 Verfahren vor dem Einzelrichter (proceedings before a single judge; 348350).
5 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
128
(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
129
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
130
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
131
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.
132
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 the matter is announced (Aufruf der Sache: 220(i);
2 the persons present are established (Feststellung der Anwesenheit);113
3 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.
133
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).
134
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:
135
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 case-
law (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,
136
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):
in disputes concerning monetary claims (vermgensrechtliche Ansprche), if the
amount at stake exceeds DM 60,000 (so-called appeal on value (Wertrevision));134
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.
137
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.
138
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 so-
called 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:
1: 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
(b) Section 1 ( 606638 ZPO)

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);
139
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 (non-
exclusive) (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
140
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.
141
2 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:
142
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
143
provision of information, it is desired to make an application for payment in

the same proceedings.157
3 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.
144
(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.
4 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).
5 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: Vereinfachtes Verfahren zur Abnderung von Unterhaltstiteln (simplified
proceedings for the alteration of maintenance judgments; 641641t).
Title 2: Verfahren ber den Regelunterhalt nichtehelicher Kinder (proceedings
regarding standard maintenance for illegitimate children; 642644).
145
7 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: a procedural settlement (Prozevergleich) reached before a German court;
No 2: an order for the fixing of costs (Kostenfestsetzungsbeschlu);
No 4: an enforcement notice (Vollstreckungsbescheid);
No 5: an enforceable document (vollstreckbare Urkunde).
(iii) Formal legal force (formelle Rechtskraft) of judgments: 705706.166
(iv) Provisional enforceability (vorlufige Vollstreckbarkeit) of judgments: 708720a:167
146
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
147
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
148
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.
149
(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
1: Zwangsvollstreckung in das bewegliche Vermgen (enforcement in movable assets;
803863).
2: Zwangsvollstreckung in das unbewegliche Vermgen (enforcement in immovable
assets; 864371).
3: Verteilungsverfahren (distribution procedure; 872882).
4: 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:
150
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
151
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
152
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.
153
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.
154
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).
155
CHAPTER XIV
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 Das Grundgesetz (Basic Law)/ Verfassung des Landes (state constitution);
2 (Einfache) Gesetze ((simple) statutes);
3 Rechtsverordnungen (statutory instruments);
4 Satzungen (bye-laws) of the ffentlich-rechtlichen Krperschaften (public
corporations);
5 Gewohnheitsrecht (customary law);
6 Allgemeine Grundstze des Verwaltungsrechts (general principles of administrative
law);
7 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).
157
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.
158
Chapter XIV: Administrative Law
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).
159
3 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
4 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
Administrative acts (VAs) are distinguished according to whether they:
are befehlend (require or forbid particular action, eg, a police order (polizeiliche
Verfgung), a notice for the payment of fees (Gebhrenbescheid) or taxes
(Steuerbescheid));
160
Chapter XIV: Administrative Law
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)).
6 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
161
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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CHAPTER XV
ADMINISTRATIVE PROCEDURE
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
163
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 so-
called 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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Chapter XV: Administrative Procedure
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.
165
CHAPTER XVI
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).
2 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);
2 the retrospective application of offences to acts committed before the offence existed
is forbidden (Rckwirkungsverbot);4 and
3 an act cannot be punished by analogy to a particular offence (Analogieverbot).5
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 Verbrechen (felonies), being those offences attracting a minimum punishment of
one years imprisonment (Freiheitsstrafe);
2 Vergehen (misdemeanours), being those offences attracting a minimum
punishment of a lesser period of imprisonment or a fine (Geldstrafe).
167
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 offences against the state11 and community values (Gemeinschaftswerte);12
2 offences against the person;13
3 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
168
Chapter XVI: Criminal Law
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
169
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 so-
called 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:
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
3 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
170
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
171
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 (so-
called 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
172
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:
173
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
174
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.
175
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),
176
Chapter XVII: Criminal Procedure
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.
B 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.
C 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.
177
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 A Verteidiger cannot, at the same time, represent more than one person accused
of the same offence: 146, 1st sentence StPO.
E 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
F 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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Chapter XVII: Criminal Procedure
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
179
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
2: Nebenklage (collateral prosecution; 395402).
3: Entschdigung des Verletzten (compensation for the injured party; 403406c).
4: Sonstige Befugnisse des Verletzten (other powers of the injured party; 406d-406h).
I SPECIAL TYPES OF PROCEEDINGS (BOOK VI STPO)53
Book VI ( 407448) is divided into four Sections:

1: Verfahren bei Strafbefehlen (procedure in the case of punishment orders; 407
412).54
2: Sicherungsverfahren (security proceedings; 413416).
3: Verfahren bei Einziehungen und Vermgensbeschlagnahmen (procedure in the case of
forfeiture and seizure of assets; 430443).
4: 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: Strafvollstreckung (enforcement of punishment; 449463d).
2: Kosten des Verfahrens (costs of the proceedings; 464473).
180
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
181
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
182
Chapter XVIII: Employment Law
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
4 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
5 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 so-
called 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
183
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
40
E THE RIGHTS OF THE BETRIEBSRAT
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;
184
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
2 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.
185
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
186
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)
187
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).
188
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 sub-
category 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/
189
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
3 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
4 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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Chapter XIX: Business Law (Wirtschaftsrecht)
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
191
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 (Hypotheken-
und 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
193
CHAPTER XX
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: References (Verweisungen): Articles 36.
2: Law of natural persons and legal transactions (Recht der natrlichen Personen und
Rechtsgeschfte): Articles 712.
3: Family law: Articles 1324.
4: Law of succession: Articles 2526.
5: 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
195
(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 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
2 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
3 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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Chapter XX: Private International Law
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 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
2 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;
197
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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Chapter XX: Private International Law
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
199
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).
201
(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
202
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: The office of judge in the Bund and in the Lnder ( 1-45a).
Part II: Judges in service of the Bund ( 4670).
Part III: Judges in service of a Land ( 7184).
Part IV: 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.
203
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
204
Chapter XXII: The Legal Profession and Court System
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:
the ordentliche Gerichtsbarkeit (ordinary jurisdiction);
the besondere Gerichtsbarkeit (special jurisdiction);
the Verwaltungsgerichtsbarkeit (administrative jurisdiction); and
the Verfassungsgerichtsbarkeit (constitutional jurisdiction).
2 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).
205
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:
theVerwaltungsgericht (VG);
theOberverwaltungsgericht (OVG);42
theBundesverwaltungsgericht (BVerwG (in Berlin));
and
theSozialgericht (SG);
theLandessozialgericht (LSG);
theBundessozialgericht (BSG; in Kassel).
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
206
5 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
207
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
208
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 so-
called 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.
209
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
210
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:
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
6 The Rechtsaniualtskammer
The Rechtsanwlte admitted in the Bezirk (area) of an OLG comprise a
Rechtsanwaltskammer (RAK; Lawyers Chamber).81
211
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
212
(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
213
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 a Prozegebhr (procedure fee) for dealing with the matter generally;
2 a Verhandlungsgebhr (hearing fee) for the oral hearing;
3 a Beweisgebhr (evidence fee) if evidence is taken;
4 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 a Geschftsgebhr (business fee) for dealing with the matter generally;96
2 a Besprechungsgebhr (discussion fee) for being involved in certain activities;97
3 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.
214
(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 two-
tenths 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
215
(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:
1 Definition of the Partnerschaftsgesellschaft; who can be a partner.114
2 Name of the partnership.
3 Partnership agreement (Partnerschaftsvertrag).
4 Notification (Anmeldung) for registration.
5 Content of the entry in the register.
6 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.
216
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
217
(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
218
(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 counter-
evidence (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
219
NOTES
PREFACE TO THE THIRD EDITION
1 See Preface to the Second Edition, Note 11 B.

2 See Preface to the Second Edition, Note 7.
3 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.
2 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).
3 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.
4 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.
5 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.
221
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 See the article by Hans-Peter Schneider entitled Grenzen der Rechtsangleichung in Europa in the Frankfurter
Allgemeine Zeitung (FAZ) of 16.10.2000.
7 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.
8 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.
9 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).
10 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.
222
Notes
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.
223
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.
B 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.
C 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.
224
Notes
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.
13 See Chapter XIII, Note 18; Chapter XX Note 12.
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.
2 See Honsell, 2 II
3 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.
4 It was said: Quidquid non agnoscit glossa, non agnoscit curia (what is not acknowledged by the gloss is not
acknowledged by the court).
5 It was said: Nemo bonus iurista nisi bartolista (noone is a good jurist, if he does not follow Bartolus).
6 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.
7 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).
8 See Note 14 in this Chapter; Chapter XVII, Note 3. See also Haft, Part C, 4; Laufs, Chapter IV, 4.
9 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
225
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.
10 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.
11 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).
12 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.
226
Notes
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.
14 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.
To 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.
15 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
16 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.
17 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.
227
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)).
18 See Honsell, 1.
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).
2 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.
3 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).
228
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.
4 See Schunck/ De Clerck, Part II, Section A, Chapter 16; Youngs (CL), Chapter 2, Part IB (I) and (II).
5 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.
6 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.
7 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)).
8 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).
9 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.
10 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.
11 See Creifelds under Mittelbare Staatsverwaltung; Erichsen, Part VII, 57; Maurer, Part 6, 2223; Scholler,
2 VI (diagram 2). See also Chapter IV, below.
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 (Rundfunk-
und 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.
12 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, pan-
European 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 member-
states, despite occasional unrest in the Lnder.
See the report in the Frankfurter Allgemeine Zeitung (FAZ), 27.3.2000 (p 2).
13 See Chapter VI, Note 3.
14 See Stober, 6 IV.
15 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.
16 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
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; Schmidt-
Amann, uv ParII H, 1II; Stober, 6 V.
17 Regarding the judicature see Schunck / De Clerck, Part II, Section A, Chapter 19. See also: Chapter VII,
Note 4 and Chapter XXII C
18 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.
19 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).
20 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)).
21 Regarding the (wider) term Justiz (which also means judicature) see Chapter XXII C 6.
22 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).
23 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.
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).
25 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.
26 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.
27 See Creifelds under Unabhngigkeit des Richters and Chapter XXII A.
28 See Chapter VIII.
29 See Chapter VIII C
30 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.
31 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).
32 Regarding competence and procedure in the conclusion of treaties see Seidl-Hohenveldern, Section II, Chapter
2 (1617).
33 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).
34 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.
B 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
232
Notes
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.
35 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.
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.
2 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).
3 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.
4 The Federal Assembly is responsible for the election of the Federal President every five years: Article 54
GG.
5 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.
233
CHAPTER IV
1 See Katz, Part IV, 21 V; Chapter II C; Chapter XIV A.

2 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.
3 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 Two-
Plus-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.
2 See Chapter II, Note 20.
3 Regarding the constitutions of the Lnder, see Schunck / De Clerck, Part II, Section B.
4 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)).
5 See Chapter VII C.
6 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:
234
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.
7 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)).
8 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).
2 See Creifelds under kreisfreie Stdte.
3 They are Landesgesetze: see Creifelds under Landkreisordnungen and Gemeindeordnungen.
4 This institutional autonomy is protected by the right of local authorities to lodge a constitutional complaint
(Article 93(i) No 4b GG).
5 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.
6 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.
235
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.
8 See Creifelds under Satzung and Satzungsgewalt (-befugnis); Erichsen, Part II, 7 VI; Scholler, 6; Stober,
8. Cf Gesetz.
9 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.
10 See Creifelds under Kreistag and Landrat.
11 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.
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.
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.
2 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).
Legislative powers and procedure (Articles 7078).
Altering the constitution (Article 79).
Regulations (Article 80).
Special cases (Articles 80a-81).
Coming into force (Article 82).
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.
5 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.
6 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)).
236
Notes
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.
8 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).
9 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).
10 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).
11 In Baden-Wrttemberg, Bremen, Hessen and Niedersachsen, the constitutional court of the Land is called
the Staatsgerichtshof. See also Creifelds under Verfassungswidrigkeit von Gesetzen.
12 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.
13 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 so-
called 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.
14 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).
15 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.
237
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 A 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)).
17 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).
18 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).
19 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.
238
Notes
A measure includes a Federal Government decision (Beschlu der Bundesregierung): see The Bosnia Flight
Exclusion Zone Case (Sourcebook, Chapter 2).
20 See Maunz/Zippelius, Section 6, 41 III; Youngs (CL), Chapter 1, Part XVI3.
CHAPTER VIII
1 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
2 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.
3 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:
4 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 (Schranken-
Schranken).
See Battis/Gusy, Part B, 12 II; Bleckmann II, 5; Gallwas, Chapters 3 and 4; Katz, Part V, 26; Limitation
of Basic Rights, below.
5 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).
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.
7 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).
239
(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).
8 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.
9 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.
10 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.
11 See Battis/Gusy, Part B, 12 III; Gallwas, Chapter 3 (3.4).
12 As in The Film Director Case (Sourcebook, Chapter 6; Kriele, Fall 3 (Lth/Harlan; Aus den Grnden: B II 2)).
13 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
240
Notes
rights was a preliminary issue in The Maastricht Case. It remains a potential danger and should be taken
seriously.
14 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.
15 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.
16 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.
17 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.
18 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.
19 See Kommers, Part III, Chapter 7 (The Dignity of Persons).
20 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).
241
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).
C 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.
D 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.
E 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).
F 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.
G 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.
242
Notes
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 so-
called 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
21 rs, Part III, Chapter 7 (The Right to Life); Youngs (CL), Chapter 4, Part II A.
22 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.
23 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).
24 See Kommers, Part III, Chapter 9 (The Free Exercise of Religion); Youngs (CL), Chapter 4, Part VI, Section
C.
25 Conscription is dealt with in Article 12a GG.
See Youngs (CL), Chapter 4, Part XI3.
26 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.
27 See Kommers, Part III, Chapter 8 (Artistic and Academic Freedom).
243
Artistic freedom is not unlimited and must be balanced against human dignity, which does not end with
death: The MephistoCase(Kommers 8.12).
28 See Kommers, Part III, Chapter 9 (Marriage and Family Rights); Youngs (CL), Chapter 4, Part VI, Section
A.
29 See Kommers, Part III, Chapter 9 (Establishment); Youngs (CL), Chapter 4, Part IX, Section A.
30 See Kommers, Part III, Chapter 6 (Occupational LibertiesFreedom of Economic Association and the
Rights of Labor); Youngs (CL), Chapter 4, Part VII, Section B.
31 See The Elfes Case (1957) (Kommers 7.4).
32 See Kommers, Part III, Chapter 6 (Occupational Liberties); Youngs (CL), Chapter 4, Part IX, Section B.
33 See Kommers, Part III, Chapter 6 (The Right to Property); Youngs (CL), Chapter 4, Part VIIL
34 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.
35 See Chapter XXI, Note 19.
36 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.
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.
2 See Chapter XIX A.
3 See Schwab (Einfhrung), Part I, Chapter 2 A.
4 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.
244
Notes
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.
6 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.
2 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.
3 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).
4 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.
5 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.
6 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).
7 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.
8 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).
245
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.
9 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).
10 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.
11 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.
12 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.
13 Regarding the term subjektives Recht, see Rehbinder, Chapter II, 14 II-IV, 1516; Rthers, Chapter 2, 4.
14 See Khler, Part 2, 7 and Rthers, Chapter 2, 8.
15 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.
16 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.
17 See Chapter VIII, Note 20.
18 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
246
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.
19 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.
20 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.
21 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.
22 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).
23 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.
247
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.
24 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.
25 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).
26 See Baumann, Part II 6 III 2 (a).
27 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.
28 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).
29 See Ktz (EVR), Part A, 6; Youngs (CL), Chapter 6, Part X 3; Zweigert and Ktz, Part II AI (Chapter 32
(entitled Contractual Capacity)).
30 See Flume, Chapter XI, 54; Zweigert and Ktz, Part II AI (Chapter 39 III); Chapter XIII, Notes 48 and 55,
below.
31 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.
248
Notes
32 See Note 245 in this Chapter.

33 See Chapter X C 3 (g) (Title 24) and Note 246 in this Chapter.
34 See Chapter XIII, Notes 31 and 32.
35 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.
36 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).
37 See Rthers, Chapter 6, 18; Creifelds under Willenserklrung I; Kallwass, Section 2, Chapters 2 and 3
(1322).
38 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.
39 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).
40 See Notes 31 and 71 in this Chapter; the exceptions listed under Declaration of Will (the concept) in the
Sourcebook, Chapter 4.
41 See Creifelds under Willensmngel and below under Nullity and challengability of a Willenserklrung.
42 See Meyer, Part II, 412; Rthers, Chapter 6, 20; Kallwass, Section 2, Chapter 4 ( 2324).
43 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.
44 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.
45 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.
46 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).
249
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.
B 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.
C 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).
D 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:
250
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.
48 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.
49 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.
50 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).
51 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.
52 See Notes 47 A, 58 C and 135 B in this Chapter.
53 See Fikentscher, Section 2, 22.
54 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
251
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.
57 See Flume, Chapter V, 17; Youngs (CL), Chapter 6, Part XII, Section B (I) 3.
58 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.
59 The term Willensbereinstimmung (correspondence of Willenserklrungen) is also used.
60 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).
61 See Rthers, Chapter 8, 27.
62 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
252
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.
63 See generally: Youngs (CL), Chapter 6, Part III, Sections A, B and D.
64 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.
65 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.
66 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.
67 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.
68 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.
69 See Ktz (EVR), PartA, 2 C III and IV.
70 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).
71 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.
72 See Youngs (CL), Chapter 6, Part III, Section E.
73 See Note 46 in this Chapter; Youngs (CL), Chapter 6, Part VIII.
74 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).
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.
75 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.
76 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.
77 See Chapter XD 2 (iv).
78 Aliter in the event of bonafide acquisition.
79 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.
80 See Chapter IX B.
81 Terms can qualify as AGB regardless of the type of contract and even if they simply comprise a standard-
form confirmation (formularmssige Besttigung). However, formula clauses (formelhafte Klauseln) or
(notarial) precedents do not normally fall under the AGBG, unless mass transactions (Massenvertrge) are
involved.
82 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.
83 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.
84 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).
85 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).
86 One can fall back on 9 AGBG, if a clause is not caught by 1011.
87 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.
88 See Schuster (Note 2 in this Chapter), Section I (4)(7).
254
Notes
89 See Creifelds under Frist.

90 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.
91 See Lwisch, 19; Note 47 C in this Chapter.
92 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.
94 See Dannemann, Section II, 13 and Section III 3 (h).
See also: Preface to Second Edition, Note 11; Chapter XIC 5.
95 See Neuhaus, ZAP, Fach 4, p 669.
Regarding a gratuitous loan (Leihe) see 606 BGB.
96 See Dannemann, Section II, 13; Youngs (CL), Chapter 5, Part VII 3.
97 See Chapter XF 4 (g)(i).
98 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.
99 But see 11 No 10(f) AGBG.
100 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.
101 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.
102 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).
103 See Meyer, Part E, 4 III.
104 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.
105 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).
255
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.
106 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).
A 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.
107 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).
108 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.
109 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.
110 See Klunzinger (Einfhrung), Part III, Chapter 2 ( 24426); Meyer, Part 1, 2 A III 1; Youngs (CL), Chapter
6, Parts XIII-XV.
111 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).
256
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.
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).
113 See Schulte, Vol 2, Chapter 5 III 1.
114 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.
115 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.
116 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).
257
117 See eg, Brox (AS), Chapter 4, 81; Medicus (AT), Part 3, 18.
118 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).
119 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.
120 See Youngs (CL), Chapter 5, Part IV C 3 and Chapter 6, Part XV B 3.
121 See eg, Brox (AS), Chapter 4, 9.
122 See eg, Brox (AS), Chapter 4, 7 II.
123 See eg, Brox (AS), Chapter 4, 11 and 121; Medicus (AT), Part 3, 17.
124 271(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.
125 See eg, Medicus (AT), Part 3, 22.
126 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
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.
E 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).
F 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.
G 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.
H 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.
I 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.
J 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
Notes
(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.
127 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.
128 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.
129 See Youngs (CL), Chapter 6, Part XIV, Section D.
130 See Meyer, Part 1, 2 A III 2.
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.
133 See eg, Brox (AS), Chapter 4, 5 II; Medicus (AT), Part 3, 21.
134 See below, Title 5.
135 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
262
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.
136 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.
137 See eg, Brox (AS), Chapter 4, 10.
138 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.
139 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.
141 See generally Jauernig (BGB), 346ff; Kaiser, Part II, Chapter 20; Medicus (AT), Part 6, 4849.
142 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).
143 Regarding the difference in meaning between Erfllung and Leistung see this Chapter at Note 114.
144 See Medicus (AT), Part 6 ( 4751); Schwab (Einfhrung), Part V, Chapters 68.
145 See Nullity and Challengability of a Wzzlenserttarung and Form and nullity of a Rechtsgeschft in this
Chapter.
146 See Nullity and Challengability of a Willenserklrung in this Chapter.
147 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.
150 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).
263

152 See the previous page in this Chapter (Title 5).
153 See Schulte, Vol 1, Chapter 10 VI.
154 See Schulte, Vol 1, Chapter 10IV.
155 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)).
156 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.
157 Under a Schuldbernahme, there is an exchange of debtors (substitution).
A 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.
158 See eg, Brox (AS), Chapter 9, 3133; Medicus (AT), Part 9 ( 6869); Schulte, Vol 1, Chapter 10 X.
159 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.
160 See Brox (BS), Chapter 1, 17; Fikentscher, Section 9, 6672; Meyer, Part II, 45; Schulte, Vol 2,
Chapter 5.
161 See Brox (BS), Chapter 1, 8; Fikentscher, Section 9, 73.
162 See Brox (BS), Chapter 2, 913; Fikentscher, Section 10, 7475; Meyer, Part II, 6 D.
164 See Brox (BS), Chapter 2, 16; Fikentscher, Section 10, 77; Meyer, Part III, 7 A.
264
Notes
165 See Brox (BS), Chapter 3, 1719; Fikentscher, Section 11, 79; Meyer, Part II, 6 B; Chapter XVIII H (Note
60).
166 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 post-
contractual 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).
169 See Brox (BS), Chapter 4, 26; Fikentscher, Section 11, 8182; Meyer, Part E, 6 CIII See also: Note 166 in
this Chapter; Auftrag.
170 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.
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.
171 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.
173 See Chapter XI A; Fikentscher, Section 12, 88; Meyer, Part IV, 9 B I.
174 See Chapter XI A; Fikentscher, Section 12, 89.
177 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.
180 See Fikentscher, Section 13, 95; Meyer, Part III, 8 B E.
182 See Brox (BS), Chapter 7, 3235; Fikentscher, Section 15 ( 98101); Gernhuber/Grunewald, Part 6 (
2931); Loewenheim; Medicus (BR), Section V, 2628.
183 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.
184 See Chapter X, Note 104; Fikentscher, Section 9, 66 VII; Meyer, Part E, 4 A II.
268
Notes
185 A 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.
186 See Chapter X, Note 126 G; Fikentscher, Section 9, 67 IV.
188 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.
189 A Pursuant to 459 BGB, the principal norm, the vendor of a Sache (movable or immovable) has a two-
fold 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.
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.
190 See Chapter X C 3 (b) Title 5.
193 See Thorsten Vehslage, ZAP, Fach 3, p 169; ZAP-Aktuell, 15/00, p 938.
Ownership of the fruits is acquired by the lessee under 956957 BGB.
197 See Creifelds under Leasingvertrag and Mietkauf; Fikentscher, Section 9, 71 V 7; Meyer, 6 D IV; Note 238
in this Chapter.
198 Regarding the different types of licence, see Creifelds under Lizenzvertrag.
See also: Meyer, 6 D V; Chapter XI, Note 42.
199 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.
200 SeeGather, ZAP 5/95, Fach4, p 339.
201 Whether the condition of the rented item is defective is assessed subjectively. Fehler is a wide term.
202 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.
203 566 BGB ( 550 BGB) extends to residential accommodation (Wohnraum) and other premises (Rume).
Note, in these cases, 564a-564b BGB ( 568,573 BGB).
204 The first possible termination date is the end of the first year: 566, 2nd sentence BGB.
205 See Medicus (BT), Part 2 89 II.
,
206 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).
207 See Fikentscher, Section 10, 74 III; Medicus (BT), Part 2, 88V.
208 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.
209 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
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.
210 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.
211 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.
212 See Chapter XVIII B.
213 See the article by Heil and Scherer, ZAP, Fach 17, p 363.
214 See Notes 104 and 234 in this Chapter.
215 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).
See Note 135 in this Chapter; Jauernig (BGB), 676; Lauer, ZAP, Fach 8, p 335; ZAP EN-Nr 722/ 2000.
216 See ZAP-Aktuell, 25.8.1999, p 812; Note 166 in this Chapter.
217 See Chapter XIB.
218 See Chapter XI B.
219 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:
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.
220 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.
221 See Youngs (CL), Chapter 5, Part III, Section B.
222 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).
272
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.
223 See Youngs (CL), Chapter 5, Part II E 3.
224 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).
225 See Youngs (CL), Chapter 5, Part III, Section B.
273
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)
227 (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).
229 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.
230 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.
231 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.
232 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).
233 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.
234 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.
274
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.
235 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.
236 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).
237 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.
238 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.
239 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).
240 See Chapter XC 22.
241 The BGB also provides for two types of schuldrechtliche Verfgungen in Book II (law of obligations):
275
Abtretung (assignment; 398); and

Erlaf? (remission of debt; 397).
See Schellhammer (ZR), Book 3, Part 33, Chapter 4 3.
242 The transfer of a right is also referred to as a Verufterung (disposal).
243 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.
244 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.
245 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.
246 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.
248 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.
249 Regarding real property law and the Land Register, see generally Schwab/Prtting, Chapter 2 (1221).
250 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.
251 However, Article 14 GG does not protect a persons Vermgen (wealth) as such: see The Investment Aid Act
Case (Sourcebook, Chapter 3).
252 See the comments under Article 14 GG in the Sourcebook, Chapter 3; Schwab/Prtting, Chapter 3, Section 1,
24.
253 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.
276
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 Aufopferungsans-
pruch.
255 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.
256 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.
257 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.
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.
258 See Schwab/Prtting, Chapter 3, Section 3 ( 32).
259 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
260 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.
261 See the complex provisions in 933 and 934 BGB. See also: Kallwass, Section 4, Chapter 4 ( 71 I); Schulte,
Vol 1, Chapter 4 VII
262 See Note 243 in this Chapter and Schulte, Vol 1, Chapter 4 VIII.
263 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).
264 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.
265 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.
266 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).
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.
D 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.
267 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).
268 See Schwab/Prtting, Chapter 5 ( 72-SO).
269 See Baur / Stmer, Part III, Chapter 4, 35.
270 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).
271 See Chapter X D 2.
272 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.
273 See Westermann (SR), 130.
274 See Westermann (SR), 1351.
275 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.
276 See Westermann (SR), 132 III
277 See Westermann (SR), 133 II.
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.
279 See Westermann (SR), 133 IIIV.
280 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.
281 For further information, see generally: Creifelds; Model/Creifelds/Lichtenberger, Part 3 F (341352);
Westermann (Grundbegriffe), Chapter 19; various textbooks, eg, Beitzke/Lderitz; Schwab (F).
282 See Gterrecht.
283 See Chapter XIII D 6 and Unterhalt
284 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.
285 See Brox (ER), Section L 2 II.
286 See generally: Brox (ER), Section II, Chapter 1, 47; Leipold, Part 2, 48.
287 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.
288 See generally: Brox (ER), Section II, Chapter 1, 3 and Chapter 2, 8; Leipold, Part 3, 9ff.
289 However, the claims of dose dependants exduded from inheritance to a compulsory portion of the estate
(Pflichtteil) remain unaffected. See Section 4 (g), below.
290 For a list of possible letztwillige Verfgungen, see Leipold, Part 3, 121.
291 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.
292 See Leipold, Part 3, 91 and 10 E.
293 See generally: Brox (ER), Section E, Chapter 2, 913; Leipold, Part 3, 1013.
294 See Brox (ER), Section E, Chapter 2, 9; Leipold, Part 3, 101.
295 See Brox (ER), Section E, Chapter 2, 1012; Leipold, Part 3, 111-IV.
280
Notes
296 See Brox (ER), Section E, Chapter 2, 13; Leipold, Part 3, 11 V.

297 See Brox (ER), Section E, Chapter 2, 16 I-II.
298 See Leipold, Part 3, 12 IV.
299 See Leipold, Part 3, 12 III 2.
See also 2087 BGB, referred to in Section 4 (c), below.
300 See Leipold, Part 3, 12 II.
301 See Leipold, Part 3, 13 E.
302 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.
303 See Leipold, Part 3, 14 IV.
304 See Creifelds under Berliner Testament.
305 The inflexibility of a Berlin will can be disadvantageous for tax purposes.
306 See Leipold, Part 3, 151III.
307 See Leipold Part 3, 15V.
308 See Leipold, Part1, 2 VI and Part 4, 211.
309 See generally: Brox (ER), Section IV, 2931; Leipold, Part 4, 21.
310 See Chapter XI A; Brox (ER), Section IV, 291II.
311 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.
312 See Brox (ER), Section IV, 30.
313 See Brox (ER), Section IV, 31 II.
314 See Brox (ER), Section III, Chapter 1, 231; Leipold, Part 3, 12 III 1.
315 See Leipold, Part 3, 12 III3.
316 See Creifelds under Anwachsung; Brox (ER), Section III, Chapter 1, 23 III.
317 See Brox (ER), Section III, Chapter 1, 24; Leipold, Part 4, 191.
318 See Brox (ER), Section III, Chapter 2, 25; Leipold, Part 4, 19 II.
319 See Brox (ER), Section II, Chapter 3, 20; Leipold, Part 4, 18 II.
320 See Brox (ER), Section V, 32.
321 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.
322 See Chapter X B 4 (c).
323 See Brox (ER), Section V, 32 VI.
324 See Brox (ER), Section V, 32 II.
325 See Leipold, Part 4, 2412 and 3.
326 See Brox (ER), Section V, 32IV.
327 See Section 3 (a) (ii) above; Leipold, Part 4, 24 II 2.
328 See Leipold, Part 4, 24 II 3.
329 See Leipold, Part 4, 24 II 4.
330 See Brox (ER), Section V, 32 VII; Leipold, Part 4, 24 III.
331 See Brox (ER), Section III, Chapter 3, 2728; Leipold, Part 4, 22.
332 If estate administration (Nachlavenvaltung) has been ordered, similar treatment is accorded to transactions
undertaken by the heir before acceptance: 1978(i) BGB.
333 See Brox (ER), Section II, Chapter 3, 22 VII; Leipold, 1815.
334 Instead of giving up his rights to the estate entirely, the disclaiming person can, by agreement, disclaim
against payment of a lump sum (Abfindung).
335 However, challenge is possible: 1956 BGB.
281
336 See Chapter X, Note 39.

337 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.
338 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.
339 See generally Brox (ER), Section VII, 3742; Leipold, Part 4, 20 and 21 IV.
340 See Section 5 (e), below.
341 Regarding acts of prior administration by the heir(s) see Note 332 in this Chapter.
342 The executor can also himself apply for a certificate of appointment (Testamentsvollstreckerzeugnis): 2368
BGB.
343 Regarding the Erbschein, its grant (Erteilung) and revocation (Einziehung), see the article by Hartwig
Sprau in ZAP 21 / 97, Fach 12, p 53.
344 See Brox (ER), Section VI, 35; Leipold, Part 4, 18IV.
345 The provisions regarding guardianship (Vormundschaft; 1773ff BGB) are of corresponding application:
1915(i) BGB.
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.
2 See Chapter XIX A 2.
3 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.
4 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.
5 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)).
6 See Kraft/Kreutz, Part AIV.
7 Restrictions on the right to terminate (Aufhebungsrecht) have limited effect: 749(ii)-751 BGB.
8 See Eisenhardt, Chapter 3, 9; Hueck, Section 1, 1.
9 Regarding juristic persons of public law see Chapter IIC (Note 11).
10 For an interesting historical comparison of the different forms of Personenvereinigung in Roman and German
law see Hueck, Section 1, 2 VI.
11 See Creifelds under Verbnde, Kammer and Lobbyismus.
282
Notes
12 A 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.
13 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.
14 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.
15 Only a non-commercial association (a so-called Idealverein) can be registered in the Vereinsregister at the
Amtsgericht: 21 BGB.
16 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.
17 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.
18 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).
19 See Eisenhardt, Chapter 5 ( 20); Klunzinger (Grundzge) (GR), Chapter 4 ( 13).
20 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.
21 Regarding the parties to a Gesellschaftsvertrag, its form, content and interpretation, see Kraft/Kreutz, PartCIl.
See also Chapter XII B, below.
283
22 Note the parallel to ll(ii) GmbHG (see Chapter XII B, below).

23 See Eisenhardt, Chapter 3 ( 6).
24 See generally Hueck, Section 2, Chapter 1, 79.
25 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).
26 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.
27 See generally Baumann (ER), Part III, 9 and Capelle / Canaris, Part 1.
28 See generally Capelle / Canaris, Part 2.
29 Not dealt with in this text.
30 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.
31 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.
32 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.
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).
33 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.
34 A procurist cannot dispose of, or charge, real property, unless specifically authorised: 49(ii) HGB.
35 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).
36 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.
37 Regarding the protection of a third party against unauthorised transactions, see also Chapter X, Note 31.
38 These provisions should systematically belong to the law of employment.
SeeChapter XVIII, Note 2(a); Capelle/Canaris, 111 (c); Hofmann, Part F III.
39 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.
40 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).
41 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.
42 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.
43 Regarding the international position of Handelsvertreter and Vertragshndler and the effect of EEC law, see
the Lawyers Handbook, Part B XIII, 1,3.
44 See generally Eisenhardt Chapter 4 ( 1017).
45 See generally Eisenhardt Chapter 5 (1823).
47 See Klunzinger (Grundzge) (GR), Chapter 2, 5; Kraft/Kreutz, Part E.
48 See also 29 and 31 HGB.
49 However, the vetoing member can sue for a restraining order (Unterlassung).
50 Creditors should be careful to sue the members as well: 129(iv) HGB.
51 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.
285
See also: Section B 3 in this Chapter; Chapter XXII, Notes 115 and 116.
52 See 105(ii)HGB and 730740 BGB.
53 See Klunzinger (Grundzge) (GR), Chapter 2, 6; Kraft/Kreutz, Part F.
54 See Capelle/Canaris, Part 1, Section 5 ( 1213); Hofmann, Part E; Klunzinger (Grundzge) (HR), Chapter
3, 10.
55 See Creifelds under Handelsgeschaft; Hofmann, Parts H and J; Kallwass, Section 5, Chapter 2 ( 8788);
Klunzinger (Grundzge) (HR), Chapter 4, 1417.
56 See Capelle/Canaris, Part 2, Sections 14 (2028).
57 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).
58 These include trade terms (Handelsklauseln), eg, Incoterms. See Creifelds under Handelsbrauch and
Handelsklauseln.
59 Cf246BGB.
60 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.
61 Cf 343(i) BGB.
62 Cf 932 BGB.
63 See Capelle/ Canaris, Part 2, Section 5 ( 29).
65 See Capelle / Canaris, Part 2, Section 5 ( 31).
67 See Capelle/Canaris, Part2, Section 5 (33).
68 See Capelle/Canaris, Part 2, Section 5 ( 34).
69 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.
70 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).
CHAPTER XII
1 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.
2 See generally: Eisenhardt, Chapter 9, 37; Hueck, Section 3, 351-II; Kraft / Kreutz, Part CI5.
3 See Hueck, Section 3, 35 II 1.
5 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.
7 See generally Kraft/ Kreutz, Part L III.
8 Authorised capital (genehmigtes Kapital) is not a term known to German law.
9 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.
10 See Creifelds under Einlage.
11 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.
286
Notes
12 See generally Kraft/ Kreutz, Part LIV.

13 The company agreement can limit the right to revoke a directors appointment to an important reason:
38(ii) GmbHG.
14 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.
15 The external power of representation of a director is unlimited and unlimitable (unbeschrnkt und
unbeschrnkbar).
See Chapter XI, Note 25.
16 See Kerkhoff, ZAP, Fach 15, p 227; ZAPEN-Nr 175/2001.
17 See Schumacher, ZAP, Fach 15, p 335 (at p 341).
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.
2 See Baumann (ER), Part VI, 18 II; Baur/Grunsky, 4; Jauernig (ZP), Book 2, Chapter 4 ( 2429); Model/
Creifelds/Lichtenberger, Part III C (234).
3 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.
4 See Chapters XV D and XVII A; 24 VwVfG, 86(i) VwGO; 155 StPO.
5 The accused has no duty to tell the truth in criminal proceedings. See Creifelds under Wahrheitspflicht;
7 See Creifelds under Offizialprinzip; Note 96 in this Chapter; Chapter XVII, Note 13.
8 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.
9 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).
287
4 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.
10 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).
11 See D 8 in this Chapter, below.
12 See Rosenberg-Schwab, Book I, Section 3, 62 and Section 4, 77.
13 Regarding the mechanics of service, see Chapter XIII D 1 (g) (ii), below.
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).
15 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.
16 See Rosenberg-Schwab, Book I, Section 4 ( 8182); Thomas-Putzo, 128 II.
See also: Chapter XIII D 2 (d).
18 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.
19 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.
20 See Section D 3 in this Chapter.
21 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.
22 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.
23 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.
289
24 See Baur/Grunsky, 18 B; Bergerfurth, Part 6 (34); Jauernig (ZP), Book 3, Chapter 14 ( 90); Model/Creifelds/
Lichtenbeiger, Part III C (249).
25 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.
26 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.
27 See Baur/Grunsky, 5; Jauernig (ZP), Book 1, Chapter 2 ( 912); Model/Creifelds/Lichtenberger, Part 3
C (236237).
28 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.
29 See Chapter XVII, Note 4.
30 See Chapter XIII C G; Chapter XXII B; Jauernig (ZP), Book I, Chapter 2 ( 15 II and 8 V).
31 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.
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.
33 See Chapter XXII D 8.
34 See Chapter X Note 224.
35 See Chapter XIII D 3 (a) and (b), below.
36 See Bergerfurth, Part 1 (3); Jauernig (ZP), Book 1, Chapter 3 ( 1820) and generally Baur/Grunsky, 6.
37 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).
38 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.
39 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.
40 See Jauernig (ZP), Book II, Chapter 4, 30 IV.
41 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.
42 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).
43 See Baur/Grunsky, 10; Bergerfurth, Part 1 (7); Jauernig (ZP), Book 2, Chapter 5 ( 33); Creifelds under
Zulssigkeit; Note 44 in this Chapter.
44 See Creifelds under Prozevoraussetzungen; Chapter XIII D 2 (c) (iii); Chapter XV C (Note 11); Chapter XVI
(Note 17).
45 See Chapter XIII D1 (f) (iv).
46 The basic provision governing the Rechtsweg in civil and criminal proceedings is 13 GVG: see Chapter
XXII C 2.
47 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)).
48 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).
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.
49 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.
50 See Bergerfurth, Part 1 (8); Jauernig (ZP), Book 3, Chapter 13 ( 8182).
51 See Jauernig (ZP), Book 3, Chapter 13 ( 8385) and Baur/Grunsky, 9.
See also 146, 282 and 296 ZPO.
53 See the previous paragraph in the text.
54 See Jauernig (ZP), Book 1, Chapter 3 (21 and 22).
55 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.
56 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.
57 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.
58 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.
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.
59 However, the Vollmachtgeber can immediately withdraw or correct admissions or factual statements made
by the Bevollmchtigten in his presence.
60 See also 164(i)BGB.
61 See Chapter X, Note 31.
62 In a party action (Parteiproze), the court must take account of a defect in a Vollmacht of its own motion,
unless a lawyer appears.
63 The costs of a Verkehrsanwal are normally considered as unnecessary and not recoverable.
See Notes 26 and 55 in this Chapter.
64 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.
65 See Creifelds under Mndliche Verhandlung and Chapter XIII D 2 (c) (vi). See also 272 and 278 ZPO
66 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).
67 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.
68 See Chapter XIII B 2 and 3.
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.
70 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.
71 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.
72 The provisions relevant to the issue of a Klage (writ) are dealt with in Chapter XIID 2 (c).
73 See also Note 89 in this Chapter.
74 See also 207 ZPO.
75 For example, the notice periods for termination of a contract of employment (Kndigungsfristen; 622
BGB).
76 See Baur/Grunsky, 13; Chapter XIII, Note 15.
77 Dealt with here: 230231 ZPO.
78 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 non-
observance 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.
79 Dealt with in Book II of the ZPO (253ff).
80 See333ZPO.
82 See also 148155 ZPO.
83 See also 251a ZPO.
84 A more detailed consideration of Titles 212 ( 300494 ZPO) would extend beyond the scope of this text.
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.
85 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).
86 See Schneider, ZAP 18/98, Fach 13, p 741 (Formfragen); Note 64 in this Chapter.
87 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.
88 For the bailiffs involvement in enforcement proceedings, see Chapter XIII D 8 C (v).
89 Other forms of Zustellung are available where the circumstances require: Ersatzzustellung (substituted
service: 181185 ZPO); ffentliche Zustellung (service by public notice: 203206 ZPO).
90 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.
91 Certain exceptions are set out in 65(vii) GKG.
92 See also Chapter XXII D 8.
93 See Jauernig (ZP), Book 2, Chapter 5 ( 34) and Creifelds under Klagearten.
94 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).
95 See Jauernig (ZP), Book 2, Chapter 5 ( 37); Rosenberg / Schwab, Book II, 96.
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.
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.
97 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).
296
Notes
5 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).
98 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.
99 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.
100 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.
101 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.
102 See generally: Jauernig (ZP), 88; Thomas-Putzo, 260; Rosenberg/Schwab, Book II, Part 1, 100.
103 See Chapter XIII D1 (f) (ii).
104 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.
105 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).
106 See Bergerfurth, Part 2 (10); Jauernig (ZP), Book 2 ( 23).
107 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)).
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).
108 See also Chapter XIII D1 (g) (iv).
109 See Bergerfurth, Part 2 (10).
110 See Bergerfurth, Part 2 (11); Jauernig (ZP), Book 2, Chapter 12 ( 78).
111 It can be longer, if service is to be effected abroad.
112 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).
113 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.
114 This is the Verhandlung zur Hauptsache (see eg, 39,333 ZPO).
115 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.
116 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
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.
117 See Chapter XIIID 2 (c) (iii).
118 See Chapter XIII B 7.
119 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).
120 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.
121 See Note 3 in this Chapter; Creifelds under Rechtliches Gehr.
123 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.
124 The same applies, if, following an oral hearing, the court decides by way of a Beschlu.
125 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.
127 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).
128 See Creifelds under Berufung.
129 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.
130 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.
131 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.
132 See Creifelds under Revision.
133 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:
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).
134 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.
135 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.
136 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.
137 See Baur/ Grunsky, 16 C; Jauernig (ZP), Book 2, Chapter 11, 74 IV-VIII.
138 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).
139 See Creifelds under Beschwerde.
140 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.
141 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.
142 See Note 15 and Section C H in this Chapter; Jauernig (ZP), Book 2, Chapter 11 ( 76); Model/Creifelds/
Lichtenberger, Part 3 C (246).
143 Such actions breach the Rechtskraft of the judgment. See Chapter XIII, Note 15.
144 SeeModel/Creifelds/Lichtenberger,Part3C(247).
145 See Model/Creifelds/Lichtenberger, Part 3 C (248).
300
Notes
146 See Chapter XIII, Note 31.

147 See Chapter XIII at Note 1.
148 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.
149 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.
151 See Friederici, ZAP 9/00, Fach 11, p 555 (Section V).
152 See Unterhalt.
153 See 621a-f ZPO, 4964 FGG.
154 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.
155 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.
156 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.
158 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
159 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.
160 Serious marital failings (schwere Eheverfehlungen) can suffice. See Jauernig (BGB), 1565,3.
161 See Friederici, ZAP 9/00, Fach 11, p 555 (Section 1,5).
162 See Friederici, ZAP 9/00, Fach 11, p 555 (Section IV).
163 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.
164 The subject of enforcement is fully covered in Jauernig (ZVS), Part I. See also: Creifelds under
301
Zwangsvollstreckung; Kallwass, Section 8 ( 120); Model/Creifelds/Lichtenberger, Part 3 C (250255 and

260261).
165 See Jauernig (ZVS), Part 1, 1 II; Chapter XVIII, Notes 56 and 57, below.
166 See Chapter XIIIC E.
167 See Chapter XIV C 3 (Note 23 A).
168 See 8llff and 850ff ZPO; Jauernig (ZVS), Part 1, Chapter 7, 3233; Creifelds under Vollstreckungsschutz,
Lohnpfandung, Pfndungsschutz, Pfandungsverbote and Unpfndbarkeit.
169 See Jauernig (ZVS), Part 1, 1 X and also (xi), below.
170 See Chapter XIV, Note 23 A and (xi), below.
171 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.
172 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.
173 See Jauernig (ZVS), Part 1, Chapter 2, 89.
174 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.
175 See Chapter XXII, Notes 28 and 29.
176 See Jauernig (ZVS), Part 1, 1 VI.
177 The only exception is contained in 777 ZPO
178 See 829845 and 846849 ZPO. See also: Note 168 in this Chapter; Model/Creifelds/Lichtenberger, Part
3 C (251254).
179 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).
180 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).
181 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.
182 See 814825 and 835839 ZPO.
In the case of a Forderung, the court orders its berweisung ((bank) transfer) to the creditor.
302
Notes
183 See Thomas-Putzo, 808.

184 SeeThomas-Putzo,771.
185 Also referred to as a Zwangshypothetk (compulsory mortgage). See Model /Creifelds /Lichtenberger, Part
3 C (255).
186 See 866 ZPO.
187 See 869 ZPO.
188 See Model/Creifelds/Lichtenberger, Part 3 C (256257).
189 For examples, see Thomas-Putzo, 887, 888, Note 1.
190 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).
191 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.
192 See Gottwald in ZAP 20/00, Fach 14, p 391.
193 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.
194 See Model/Creifelds/Lichtenberger, Part 3 C (258259); Chapter XIII, Note 181; Chapter XIV, Note 23
195 SeeModel/Creifelds/Lichtenberger, Part 3C (262).
196 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.
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.
2 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.
3 See Chapter II B (Note 7).
4 See Maurer, Part 1, 5.
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.
6 Teil VII contains provisions regarding Ausschsse (committees/boards) and honorary activity in die
Verwaltungsverfahren. Teil VIII contains final provisions.
7 See Bull, Section II, 8; Maurer, Part 5, 19; generally Erichsen, Part IV, 3642.
8 The Verwaltungsverfahren must be conducted simply and expediently (einfach und zweckmig: 10, 2nd
sentence VwVfG) in German ( 23(i) VwVfG).
9 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.
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.
10 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.
11 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.
12 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.
13 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.
14 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.
15 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.
16 See 37and 39 VwVfG.
17 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.
18 See 38(i)VwVfG.
19 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.
20 See 43(iii), 44(i) and 44(ii) VwVfG. See also: Giemulla/Jaworsky/Mller-Uri, Book I, Chapter 5 C I.
21 See Chapter II, Note 24.
22 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).
23 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.
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 VA) 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.
24 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.
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.
26 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.
27 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).
28 See Giemulla/Jaworsky /Mller-Uri, Book I, Chapter 4 K; Maurer, Part 3, 9 V; Wolff/Bachof/Stober, Part
5, Section 2, 46.
29 Also referred to as a Genehmigung (approval). See Creifelds under Erlaubnis (behrdliche) and
Gewerbezulassung.
30 See Schwerdtfeger, Part 2, 91.
31 The purpose of a norm (and, therefore, the extent of any discretion) have to be ascertained by interpretation
(Auslegung).
32 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.
33 See the previous paragraph in the text.
34 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.
35 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.
36 See Louverv ZAP 9/01, Fach 18, p 699 (Section III 5 and 6).
CHAPTER XV
1 See Creifelds under Beschwerde- und Petitionsrecht and Gegenvorstellungen; 79 VwVfG.

2 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).
306
Notes
3 The OVG is sometimes called the Verwaltungsgerichtshof (VGH).

4 See 67 VwGO.
5 See 47(i) VwGO.
6 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.
7 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.
8 See 68 and 73 VwGO.
9 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.
10 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.
11 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).
12 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.
13 See 74, 81 and 82 VwGO.
14 See 113(i) and 113(iv) VwGO. A VA is illegal, if it is not rechtmafiig (lawful): see Chapter XIV C 3.
15 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.
16 See Creifelds under Verwaltungsstreitverfahren 45; Schmitt Glaeser, Part 4, 1215; Stern, Part 2, 1718.
17 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.
18 See 88 VwGO; Schmitt Glaeser, Part 4, 151.
19 See Chapter XIII, Note 10; Schmitt Glaeser, Part 4, 15II.
See also Chapter XIII, Note 69.
307
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.
2 See Naucke, 6.
3 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.
4 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.
308
Notes
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.
6 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.
7 See Creifelds under Straftat II; Model/Creifelds/Lichtenberger, Part II (395, 403); Naucke, 6 III and IV;
Otto (AS), Part 1 ( 14).
8 See 23(i) StGB. The punishment for an attempted offence can be reduced: see 23(ii) StGB ( 49 StGB).
9 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.
10 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.
11 See 80165 StGB. Regarding Delikte gegen staatliche Rechtsgter see Otto (ED), Part 3, Chapter 2 ( 83
100).
12 See 166184 StGB. Regarding offences against (other) Rechtsgter der Gesamtheit (nichtstaatliche
berindividuelle Rechtsgter) see Otto (ED), Part 3, Chapter 1 ( 6082).
13 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).
14 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)).
15 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.
309
16 See Chapter X B1 5 (Note 22) and Chapter X C 2 2 (Note 105).

17 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.
18 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).
19 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.
20 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.
21 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.
22 Jede Bedingung, die nicht hiniveggedacht werden kann, ohne da der Erfolg entfiele: conditio sine qua non.
23 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.
310
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).
24 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.
25 See13(ii)and49(i)StGB.
26 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.
27 See Baumann (GBS), Chapter 511 and Chapter 5 IV.
28 For example, 228 StGB. See also Jakobs, Book 2, Title 1, Chapter 2 (Section 14).
29 See Jakobs, Book 2, Title 1, Chapter 2 (Section 15 IV).
30 See 32 StGB; Jakobs, Book 2, Title 1, Chapter 2 (Section 12).
31 See 228 BGB.
32 See 904 BGB.
33 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).
34 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.
35 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;
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.
36 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.
37 See 127 StPO and 1631 BGB.
38 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).
39 See 19 StGB; Creifelds under Strafmndigkeit; Chapter X, Note 5.
40 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.
41 See Baumann (GBS), Chapter 614 a.
42 See Creifelds under actio libera in causa.
43 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).
44 See 15 StGB; Baumann (GBS), Chapter 6 II1 a; Naucke 6IV 5 (a) ( 15).
45 See Baumann (GBS), Chapter 6 II 1b.
46 See Baumann (GBS), Chapter 6 II 1 c.
47 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.
48 In other words, the perpetrator is indifferent to the risk of an offence occurring.
49 See the Sourcebook, Chapter 7, Footnote 5.
50 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.
51 See Baumann (GBS), Chapter 6 III; Otto (AS), Part 2, Chapter 1, Section 4 ( 10).
52 Creifelds lists five Schuldausschlieungsgrnde (grounds for the exclusion of Schuld):
Tatbestandsirrtum ( 16 StGB);
Entschuldigter (unvermeidbarer) Verbotsirrtum ( 17 StGB);
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).
53 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
54 Eg, Putativnotwehr: see Creifelds under Notwehr I 3. For Putativnotstand see below and Creifelds under
Notstand 12.
55 See Creifelds under Wahndelikt.
56 See Creifelds under Irrtum II.
57 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.
58 See 17,2nd sentence StGB. Punishment was reduced on this ground in The Shootings at the Berlin Wall Case
(Sourcebook, Chapter 7).
59 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).
60 An act is not rechtswidrig (illegal) in the former case and is carried out without Schuld (guilt) in the latter.
61 Due to personal circumstances existing at the time of, or arising after, the Tat. See Creifelds under
Strafausschlieungs (aufhebungs)griinde.
62 See Creifelds under Strafen and Maregeln der Besserung und Sicherung; Model/Creifelds/ Lichtenberger,
Part II (396); Wesel (FR), Chapter 4 (Dogmatik und Strafe).
63 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.
64 See 3839 StGB.
65 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.
66 See 38 StGB.
67 See 40 StGB.
68 See 47(i) StGB.
69 See 56 StGB.
70 See 57 and 57a StGB.
71 See 59(i) and 59a(i) StGB.
72 See 60 StGB.
73 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.
313
See Creifelds under Konkurrenz (Zusammentreffen) von Straftaten; Haft (BT); Note 23 in this Chapter.
74 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).
75 See Baumann (ER), Part V, 15IV; Naucke, 3; Creifelds under Zzveispurigkeit im Strafrecht.
76 See 62 StGB.
77 See 63 StGB.
78 See 64 StGB.
79 See 66 StGB.
80 See 68 StGB.
81 See 69 StGB; to be distinguished from the Fahrverbot of 44 StGB: see Note 63 in this Chapter ante.
82 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.
83 See 7376 StGB.
CHAPTER XVII
1 See generally: Creifelds under Strafproze(recht); Baumann (ER), Part VI ( 19); Model/Creifelds/
Lichtenberger, Part 3 D (267292); Naucke, 5; Roxin.
2 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.
3 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.
4 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).
5 See 151 StPO; Roxin, Book I, Chapter 2, 13.
See also Note 23 in this Chapter.
6 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.
7 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).
8 See 77 and 77b StGB.
9 Eg, trespass to land (Hausfriedensbruch): 123 StGB; insult (Beleidigung): 185 StGB; breach of the duty of
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).
10 See 158(ii) StPO.
11 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.
12 Regarding the Staatsanwaltschaft, its structure, functions and position see Roxin, Book I, Chapter 1, 10 A.
13 This is the Offizialprinzip (official principle).
See 152 StPO; Roxin, Book I, Chapter 2, 12; Chapter XIII B 3.
14 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.
15 See 150 GVG.
16 The relevant courts are shown in brackets.
17 See the article by Werner Roth entitled Ein klassischer Fall von Befangenheit in the Frankfurter Allgemeine
Zeitung (FAZ) of 20.3.2000.
19 See 153ff StPO and, in this Chapter, Note 40 A.
20 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).
22 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).
23 See 162(i) StPO.
Various points should be noted here:
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
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).
24 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.
25 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 (so-
called Schleppnetzfahndung (dragnet search); 163d StPO).
seizure of post (Postbesdilagnahme): 99100 StPO;
surveillance (monitoring) of telecommunications (berwachung des Fernmeldeverkehrs): 100ab
StPO;
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.
26 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.
317
E 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).
27 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.
28 In civil proceedings, a Beistand can appear with a party, but has no Prozevollmacht. See Chapter XIII D 1
(f) (iv); 90 ZPO.
29 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.
30 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.
31 In certain situations (involving a criminal or terrorist group (kriminelle oder terroristische Vereinigung)), a
complete contact ban (Kontaktsperre) can be imposed: 3138 EGGVG.
32 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,
318
Notes
Polizeirecht, Ordnungsbehrden, Kriminalpolizei, Bundesgrenzschutz, Bundeskriminalamt and

Verfassungsschutz.
33 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.
34 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.
36 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.
37 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).
38 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
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.
39 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.
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).
41 See 407ff StPO.
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.
42 See 157 StPO.
43 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).
44 See 210(i) and 157 StPO.
45 See 207 StPO.
46 See 156 StPO.
48 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.
49 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.
50 Exposition planned. See Model/Creifelds/Lichtenberger, Part 3 D (280283); Roxin, Book I, Chapter 8 (
4145).
51 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).
52 See Creifelds under Shneverfahren.
See also: 279 ZPO; Gteverhandlung.
53 See Model/Creifelds/Lichtenberger, Part 3 D (285287); Roxin, Book I, Chapter 14 ( 6466).
55 See Model/Creifelds/Lichtenberger, Part 3 D (288289); Roxin, Book I, Chapter 11 ( 5657).
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.
322
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 so-
called 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.
4 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.
5 See Schuldt in ZAP 23/97, Fach 17, p 369.
6 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.
7 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.
8 The right to declare an auerordentliche Kndigung is based on 242 BGB and cannot be excluded by
contract.
9 Similarly, the limitation of a contract of employment to a particular period (Befristung) is only valid, if it is
in writing.
10 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.
324
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.
12 See 622 (iv)(vi) BGB.
13 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.
14 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.
15 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.
16 See 3 KSchG.
17 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.
325
18 See 7 KSchG. The alleged invalidity of an auerdentliche Kndigung must be claimed in the same way:
13(i) KSchG.
19 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).
20 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.
21 See Haupt, ZAP 24 / 99, Fach 17, p 499.
22 See Brox (AR), Chapter 11AIII; Hanau / Adomeit, Part D I; Sllner, Part 2, Section 4 ( 1920).
23 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.
24 See Sllner, Part 2, Section 4 (23). See also 130 BetrVG.
25 See Sllner, Part1, 3 IV.
26 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).
27 See 8 BetrVG.
28 See 9 BetrVG.
29 See 5(iii) BetrVG.
30 Betriebe, die unmittelbar und berwiegend 1 politischenkonfessionellen, karitativen, erzieherischen,
wissenschaftlichen oder knstlerischen Bestimmungen oder 2 Zwecken der Berichterstattung oder
Meinungsuerungdienen. See 118(i) BetrVG.
31 See Brox (AR), Chapter 11AIV; Hanau / Adomeit, Part D II; Sllner, Part 2, Section 4 ( 211).
32 See 74(i), 2nd sentence BetrVG.
33 See 74(ii), 1st sentence BetrVG.
34 See 74(ii), 2nd sentence BetrVG.
35 See 74(ii), 3rd sentence BetrVG.
36 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).
37 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).
38 See 76(ii) BetrVG.
39 See 76(v), 1st sentence and 87 BetrVG.
40 See Brox (AR), Chapter 11A III; Hanau / Adomeit Part D III; Creifelds under Mitbestimmung.
41 See Sllner, Part 2, Section 4 ( 21 III-VI); 87(i) BetrVG.
42 See 99(i) and (ii) BetrVG.
43 See 102(i) BetrVG.
44 See 102(ii) BetrVG.
45 See 102(iii) BetrVG.
46 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
47 See 8166 BetrVG.
48 See Hanau/ Adomeit, Part DIV; Sllner, Part 2, Section 4 ( 24) and Chapter XVIII C.
326
Notes
49 See 129(i) BetrVG 1952.

50 See Brox (AR), Chapter 8 and Chapter 9 III; Hanau/Adomeit, Part C I; Sllner, Part 2, Section 2 (910).
51 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).
52 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.
53 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.
54 See Sllner, Part 3, 25.
55 For other examples of compulsory norms in employment law, see Brox (AR), Chapter 111.
56 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.
327
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.
58 See 147(i) No 1 GewO.
59 See 147(iv) GewO.
60 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.
61 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.
62 See 618(iii) BGB, which fixes die extent of the employers liability by reference to 842846 BGB.
63 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.
64 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.
65 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.
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.
2 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.
3 See Chapter XI.
4 See Chapter XI.
328
Notes
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.
6 See Chapter XVIII.
7 The law governing credit institutions is the Gesetz ber das Kreditwesen (KWG) 1976.
See Model/Creifelds/Lichtenberger, Part 8 B ( 851ff).
8 See Hubmann/ Getting, Sections 24; Meyer, Part 5, 12; Rittner, Part 1, 1 C II; Note 1 in this Chapter
9 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.
10 See Baumann (ER), Part III, 11 II 2; Creifelds under Verbnde.
11 See, eg, Creifelds under Gemeinschaftsrecht, europisches; Model/Creifelds/Lichtenberger, Part 8 A (813).
12 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.
13 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).
14 The profession of lawyer is not a Gewerbe: 2(ii) BRAO.
15 Cf the wider term Unternehmensee Chapter XVIII C.
16 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.
18 See 2434c GewO.
19 See Creifelds under Gewerbefreiheit, Stehendes Gewerbe, Gewerbeaufsicht, Gewerbeordnung and
Gewerbezulassung.
20 See Baumann (ER), Part III, 111; Schmidt-Amann, Section 4, Chapter II 2.
21 See Schmidt-Amann, Section 4.
22 See Creifelds under Baurecht, Kartell, Umweltschutz, Steuern and Subventionen; Meyer, Part 6, 14.
Regarding tax law generally, see Tipke/Lang.
23 See Creifelds under Wirtschaftslenkung.
24 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.
25 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).
26 See generally: Brox (HR), Part B ( 2748); Gursky; Medicus (BT), Part 6, 1171.
27 See Brox (HR), Part B, Section 1, 27 II.
329
28 See Meyer, Part 3, 8 BI.

29 See Brox (HR), Part B, Section 1, 2712; Gursky, Part I, Section 1 II B.
30 As under 1006 BGB, there is a rebuttable presumption that the person in possession of a Wertpapier is the
rightful owner.
31 See 407 BGB.
32 See Brox (HR), Part B, Section 1, 28; Gursky, Part I, Section 1 III B.
33 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.
34 See 363 HGB.
35 See 10(i) AktG.
See also the Gesetz zur Namensaktie und zur Erleichterung der Stimmrechtsausbung (Namensaktiengesetz) of
18.1.2001.
36 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.
37 See Brox (HR), Part B, Section 1, 28 III.
38 See Brox (HR), Part B, Section 1, 27 II 2.
39 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.
40 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.
41 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.
CHAPTER XX
1 See generally: Creifelds under Internationales Privatrecht; Fikentscher, Section 17, 115; Schlosshauer-Selbach,
Part 2, Section 31.
2 See Collier, Part I, Chapter 6.
The question of jurisdiction is not a procedural matter in this sense, but an independent, preliminary issue.
330
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).
3 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.
4 Legal residence (Wohnsitz) is no longer a connecting factor in German private international law.
5 Called, respectively, Sachnormverweisung or Gesamtverweisung.
6 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).
7 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).
8 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.
9 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.
10 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.
11 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).
331
B 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.
12 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.
13 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).
14 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).
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.
16 Preference is given to the law of the consumers usual residence.
Article 29 EGBGB enacts Article 5 of the Rome Convention.
19 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.
See the article by Michael Jefferson in the 1993 Student Law Review Yearbook (Cavendish), p 27.
21 See Chapter XIII, Note 28; Thomas-Putzo, 29.
332
Notes
The question which law is applicable to locate the Erfllungsort is one for the private international law of
the forum.
22 See Creifelds under Zustndigkeitsvereinbarung; Thomas-Putzo, 38.
23 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.
24 Article 38 EGBGB is a protectionist clause of questionable validity: see Schlosshauer-Selbach, Part 2, Section
3 II 1.
25 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).
26 See ZAP-Aktuell No 16,25.8.1999, p 811; Grneberg, ZAP 13/00, Fach 9, p 567 (Section III).
27 See the entries under Beweisaufnahme in Appendix A.
28 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.
29 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.
30 See Schellhammer (ZP) (3rd edn (1987)), Book 2, Part 6, Chapter 5.
31 Regarding the application of foreign law by the German courts, see Geimer, Part 9.
333
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.
2 See Chapter XXII C 6.
3 See generally: Geimer; Schack.
4 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.
5 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).
6 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).
7 The presiding judge must send an outgoing request (Ersuchen) to the competent (foreign) authority
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.
9 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.
11 See Notes 4, 7 and 9 in this Chapter. See also: Chapter XIII, Note 171.
12 Bilateral and multilateral treaties and conventions are listed chronologically in an appendix to Schack.
13 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.
14 See generally Creif elds under Auslieferung.
15 See Chapter VIIL Note 34.
16 These are usually bilateral, but within Europe a multilateral European Convention on Extradition (of
13.12.1957) is in force.
17 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.
18 In England, this is called the double criminality rule.
19 See Creifelds under Auslnder 5 and Asylrecht und Asylverfahren; Andrick, ZAP, Fach 19, p 265.
CHAPTER XXII
1 See generally Baur, 2.

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
3 See 1 DRiG.
4 See 45a DRiG. See also Chapter XVII A (Note 4).
5 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.
6 See 36 and 108 GVG.
7 See 44(ii) and 45 DRiG.
8 See 28(ii) DRiG.
335
9 See 30 and 112 GVG. See also Creifelds under Ehrenamtliche Richter.
10 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).
11 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.
12 See 7 DRiG.
13 See 3 DRiG.
14 See 1013 DRiG.
15 See Article 95(ii) GG; 1 Richterwahlgesetz.
16 See Article 94(i) GG; 5 BVerfGG; Creifelds under Richterwahl. See also the comments above Article 93 GG
in the Sourcebook, Chapter 2.
17 See 25 DRiG and Article 97(i) GG. Withdrawal of appointment (Rcknahme der Ernennung) is also possible
on certain grounds: 19 DRiG.
18 See 30 DRiG.
19 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; ZAP-
Justizspiegel, 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.
20 See Jauernig (ZP), Book 1, Chapter 2 ( 15); Model/Creifelds/Lichtenberger, Part 3 A (210); Creifelds under
Rechtspfleger.
21 See Chapter XIII D 8 (c)(vii).
22 And the remuneration of a Rechtsanwalt under 19 BRAGO.
See also Chapter XIII D1 (f) (v).
23 Those marked with an * above.
336
Notes
24 See 1419b RPflG.

25 See 4(ii) RPflG.
26 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.
27 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).
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.
29 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.
30 See generally Youngs (CL), Chapter 3.
31 See Article 95(i) GG; Baumann (ER), Part VI, 17II; Chapter E, Note 16.
32 See Model/Creifelds/Lichtenberger, Part 3 B (215229).
33 See Jauernig (ZP), Chapter 1, 3 IV; Chapter XIII, Note 32; the Grundbuchordnung (GBO) regarding land
registration matters.
34 See Creifelds under freiwillige Gerichtsbarkeit; Jauernig (ZP), Book I, Chapter 4, 27IV; cf 169 GVG.
35 See 12 GVG.
36 See 8 EGGVG.
37 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);
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.
38 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.
39 See 1 Arbeitsgerichtsgesetz (ArbGG); Article 95(i) GG; Youngs (CL), Chapter 3, Part X. See also: Chapter
XVIII (Note 19) ante.
40 See Article 96(i) and (iv)GG.
41 See Youngs (CL), Chapter 3, Parts VII and IX.
42 An OVG is sometimes known as a Verwaltungsgerichtshof (VGH).
43 Regarding the VwGO, see Chapter XV A ante.
44 See Model/Creifelds/Lichtenberger, Part 3 A (204).
45 Rechtsprechung can also just mean case-law, the proper term for which is, however, Fallrecht. See Honsell,
2 III
46 See Chapter XXII C 2.
47 See Chapter XVII B.
48 See Chapter XIII D 8.
49 See Chapter XXIID and E.
50 See Chapter XXII A.
51 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.
52 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.
53 See 2 BRAO.
54 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).
55 See 3(iii) BRAO.
56 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.
57 See 5 BRAO.
58 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.
59 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:
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).
60 See 27(i) BRAO.
61 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.
62 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.
63 See 172(i) BRAO.
64 See the Lawyers Handbook, Part E.
65 See 44 BRAO.
66 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).
67 See 46 BRAO.
A Syndikusanwalt is also prevented from handling the same matter in another professional capacity.
68 See 49(i) BRAO; Chapter XVII C.
69 See 50(i) and (ii) BRAO.
See also 17 BerufsO.
70 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.
71 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.
72 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.
73 A Rechtsanwalt admitted at a particular Landgerichf is now entitled to appear (throughout Germany)
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.
74 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.
75 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.
76 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.
77 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.
78 See Creifelds under Berufsgeheimnis, Gebhrenberhebung and Parteiverrat.
79 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.
80 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.
81 See 60(i) BRAO.
82 See 62(ii) BRAO.
340
Notes
83 See 63 and 78 BRAO.

84 See 174 BRAO.
85 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.
87 See generally: the Lawyers Handbook, Part H I, Section III 6; Feuerich, ZAP 20/94, Fach 23, at p 191; Kleine-
Cosack, ZAP 13/00, Fach 23, p 507.
88 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.
89 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.
91 See 7(i) BRAGO.
92 See 8(i), 1st and 2nd sentences BRAGO and ll(i) and (ii) Gerichtskostengesetz (GKG).
93 See 8(i), 3rd sentence and 8(ii) BRAGO and 18 KostO.
94 See 31(i) BRAGO.
95 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).
96 This includes information to the client, the drafting, lodging or signing of pleadings (Schriftstze) or letters
(Schreiben) and the drafting of documents (Urkunden).
97 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.
98 See 114(i) BRAGO.
99 See 119(i) and 119(ii) BRAGO.
100 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.
101 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.
102 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).
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).
103 See 3(ii) BRAGO.
105 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.
106 See ll(i), sentences 2 and 3 BRAGO.
109 See 21 BRAGO.
111 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.
112 See 123 BRAGO and 114127a ZPO (Chapter XIII, Note 26 ante). See also Jauernig (ZP), Book 4, Chapter
17 (96).
113 See BRAK-Mitteilungen 5/00, p 260.
114 Although called a partner, a member of a Partnerschaftsgesellschaft basically has the status of a Gesellschafter
within 705ff BGB.
115 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
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.
116 (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 BRAK-
Mitteilungen 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.
117 See Model/Creifelds/Lichtenberger, Part 3 A (213) and Creifelds under Notar, Anwaltsnotar and Form
12 and 3.
118 See 1 and 12 BNotO.
119 See 4 BNotO.
120 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.
121 See 8, 36 and 45 BeurkG and 25 BNotO.
See also Chapter X, Note 256.
122 See 2022 BNotO.
123 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.
124 See 6591 BNotO.
125 See Chapter XXII D 8 and 140157 KostO.
126 See 437440 ZPO.
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)
Aberratio ictus (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)
Abdingbar dispositive norms are abdingbar, ie, can be derogated
(departed) from by agreement. See Creifelds under
Abdingbar and Chapter IX B
Abfall refuse, rubbish, waste. See Chapter VI Note 5
Abfindung 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
Abgabe the giving away of something, delivery; placement into
circulation (of a Willenserklrung); casting (of a vote); levy,
tax. See Chapter X B 2 (b)
Abgabenordnung (AO) (Federal) Collection of Taxes Order. See Creifelds under
Abgabenordnung; Chapter XIII D 8 (a); Chapter XIV B 1
Abgeben to give something away, deliver; to place into circulation
(eg, a Willenserklrung); to cast (a vote)
Abgrenzen to separate, demarcate
Abgrenzung separation, demarcation. See Chapter XIII D 2 (c) (iii) (Note
101)
Abhanden kommen to go astray. See Chapter X D 3 (c) (iii) (bonafide acquisition
of ownership to movables); Chapter XIX B; Chapter XIX,
Note 40
Abhilfe 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)
Ab initio from the beginning/start. Also von Anfang an. See Chapter
X F 3 (c) (iv); Chapter XVIII, Note 7
Abkmmling issue, offspring, ie, (legitimate or illegitimate) children. See
Chapter X F 3 (a) (i)
Ablehnen to decline, refuse, object to, reject
Ablehnung(sgesuch) refusal (of), (motion of) objection, challenge (to). See
Chapter XIII, Note 134; Chapter XXII, Note 19; Besorgnis
der Befangenheit. Cf Aufsichtsbeschwerde
Ablsung see Tilgung
Abmahnung prior warning (eg, before summary dismissal of an
employee). See Chapter XVIII B
345
Abnahme acceptance (of a Werk by the customer). See Chapter X,

Note 125 G
Abnutzung wear and tear. See Chapter X F 4 (e)
Absatz marketing, sales. See Chapter XII, Note 42
Abschiebung (physical) removal (of a person on deportation). See Chapter
XXI C
Absduagszahlung payment on account. See 632a BGB
Abschlu conclusion (of a matter or contract). See Chapter X B 2 (e);
Chapter XI C 2 (e); Chapter XVII, Note 38 G
Abschlufreiheit freedom to conclude a contract with whomever one pleases.
See Chapter X, Note 23
Abschnitt section (part of statute). Cf Vorschrift: an individual
provision in a statute, which incorporates the terms
Paragraph () and Artikel (eg, in theGG)
Abschrift copy. Can be einfach (normal, simple) or beglaubigt
(certified). See Chapter XIII D 1 (g) (ii) and D 2 (c) (i) and cf
Ausfertigung
Absehen von to disregard (refrain from) eg, prosecution, imposing (non-
(Strafoerfolgung/Strafe) imposition of) a Strafe. See Creifelds under Absehen von
Strafe; Chapter XVI D; Chapter XVII, Note 40
Absicht (pure) intent. See Chapter XVI C 3 (c)
Absichtlich deliberately
Absolutes Recht absolute right. Cf Relatives Recht and see Chapter X B 1 4
Abstammen to descend from
Abstammung descent (from), extraction. See Chapter X E; Chapter X F 3
(a) (i)
Abstimmung vote, ballot; plebiscite. See Chapter II F (Note 20) and also
Volksabstimmung
Abstrakt abstract
Abstrakte Normkontrolle see Normkontrolle
Abstraktionsgrundsatz abstraction principle. See Chapter X C 2 2 and X D 2 (v)
Abteilung department. See Chapter XXII D 7
Abtretung assignment. See Creifelds under Abtretung and cf
Schuldbernahme. See also Chapter X C 3 (d) and (e) and
Chapter X, Note 241
Abtretungserklrung declaration of assignment. See Chapter X D 3 (h)
Abwgung 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
Abwlzen to shift onto (someone else). See Chapter X C 3 (g) Expos (c)
Abwehr warding-off, repulsion
Abweheklage defensive counter-action. Also actio negatoria
Abwehrrecht(e) defensive right(s). See Chapter VIII A
346
Appendix A: Vocabulary
Abweichung deviation, divergence (from). See Chapter X, Note 189

Abweisen to dismiss, reject (an application or Klage)
Abweisung dismissal, rejection (of an application or Klage). See
Chapter XIII, Note 107
Abwenden to avert. See Chapter XVII, Note 38 C
Abwicklungsverhltnis winding-up relationship. See Chapter X, Note 126 F
Abzahlungskauf 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)
Actio libera in causa act free in origin. See Chapter XVI C 3 (b)
Actio negatoria negatory action. See 1004 BGB
Adquanztheorie 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
Adressat addressee. See Chapter VIII A
Aequitas fairness; equity. See Chapter I (Note 6)
Akte file
Akteneinsicht 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
Aktie share (in an AG). See Chapter XII, Note 10; Chapter XIX B
Aktiengesellschaft (A.G.) public limited company. See Gesellschaft and Vorstand
Aktiengesetz (AktG) Law relating to public limited companies. See Chapter XI A
Akzessoriett accessory relationship. See Creifelds under Akzessoriett
I; Chapter X D 3 (h) (Note 280); Chapter XI B 3
Alle Angelegenheiten all local matters. See Chapter VI
der rtlichen Gemeinschaft
Alleineigentum sole ownership. See Chapter X, Note 231
Allgemein general
Allgemeine general terms, (standard) conditions of business; also
Geschftsbedingungen Vertragsbedingungen. See Chapter X B 2 (d) and (e),
Creifelds under Allgemeine Geschftsbedingungen and the
AGBG
Allgemeine Rechtsgrundstze general principles of law. See Chapter XVI, Note 4
Allgemeiner Teil (AT) general part. See Chapter X B
Allgemeines Brgerliches General Civil Code (for Austria; 1811). See Chapter I (after Note 13)
Gesetzbuch (AGBGB)
Allgemeines Landrecht fr die General Law for the Prussian States (1794). See Creifelds
preuischen Staaten (ALR) under Allgemeines Landrecht and Chapter I (after Note 13)
Allgemeines Persnlichkeitsrecht general right of personality (privacy). See Chapter VIII,
Note 20 B; Chapter X, Note 266 C
347
Allgemein verbindlich of general effect; generally binding. See Chapter VII C, Note
13; Chapter XVIII, Note 52
Allgemeinverfgung (a VA giving a) general direction. See Chapter XIV C 1
Alleinerbe sole heir. See Chapter X F 4 (a)
Als eigene Angelegenheit as ones (its) own matter. See Chapter V B
Amt office (usually part of a Behrde), position. See Creifelds
under Amt; Chapter II, Note 9
Amtlich official (adj)
Amtliche Verwahrung official custody. See Chapter X F 3 (c) (ii) and 5 (e)
Amtsanwalt district public prosecutor (at the AG). See Chapter XVII B
Amtsbetrieb conduct of a matter by the court (rather than by the parties:
Parteibetrieb). See Chapter XIII C C; Chapter XIII D 1 (g) (ii)
Amtsenthebung removal from office. See Chapter XXII A (Note 18)
Amtsgericht (AG) district court. See Creifelds under Amtsgericht; Chapter
XIII D 2 (d) and Chapter XXII C 2
Amtshandlung official act. See Chapter XXI, Note 1
Amtshilfe official assistance (between Behrden). See Chapter XXI,
Note 1. Cf Rechtshilfe
Amtspflicht official duty. See Chapter X, Note 224; Chapter XXII E
Analog analogously
Analogie analogy. See Creifelds under Analogie; Chapter X, Notes
38 and 47 E; Chapter XVI A; entsprechende Anwendung
nderung variation, amendment. See Chapter X C 3 (g) Expos (d).
See also Vernderung
nderungskndigung 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
Andeutung indication, hint. See Chapter X F 3 (c) (iii)
Androhung prior threat/warning (of a particular measure). See Chapter
XIII, Note 190
Aneignung acquisition of ownership to ownerless movables
(appropriation). See Chapter X D 3 (c) (ii)
Anerkenntnis acknowledgement (of a claim). See Chapter XIII D 2 (c) (iv)
Anerkennung acknowledgement; recognition. See Chapter XXI A
Anfall der Erbschaft devolution of the estate (on the heir(s)). See Chapter X F 4 (a)
Anfangsverdacht 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
Anfechtbar(keit) voidable, challengable; voidability, challengability See
Chapter XIV C 3. See also Anfechtung
Anfechten to challenge, contest, impugn
348
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)
Anfechtungsgrund ground for challenge. See Chapter X F 5 (a) (ii)
Anfechtungsklage 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)
Angedroht threatened. See Chapter XVIII H (Note 57)
Angebot offer. See Chapter X B 2 (c)
Angehriger dependant (of a person). See Chapter X F 4 (g) (i)
Angeklagter defendant, accused (after the opening of proceedings),
person indicted. Cf Beschuldigter and see Chapter XVII E
Angelegenheit matter. See Chapter XIII, Note 96
Angemessen fair; appropriate. See Chapter X, Note 126 F; Chapter XVI
D; Chapter XVIII B 3
Angeschuldigter person charged. Cf Beschuldigter and see Chapter XVII E
Angestellter employee. See Arbeitnehmer
Angriffs-und Verteidigungsmittel means of attack and defence. See Chapter XIII D 2 (c) (vi)
Anhngig pending (before a court). See Chapter XIII D 2 (c) (i) and cf
Rechtshngig
Anhaltspunkt clue, indication. See Chapter XIII, Note 67; Chapter XVI,
Note 9; Chapter XVIIB
Anhrung hearing, listening. See Creifelds under Anhrung, Chapter
XIII D 2 (c) (vi); Chapter XIV B 3; Chapter XV D. Cf
Vernehmung
Anklage see Anklageschrift
Anklagebehrde prosecution authority. See Chapter XVII B
Anklagegrundsatz principle that a public prosecution is necessary before a
judicial investigation of an alleged crime can take place. See
Chapter XVII A
Anklagemonopol prosecution monopoly. See Chapter XVII B
Anklagen to prosecute, accuse; cf Beschuldigen and Vorwerfen
Anklageschrift (bill of) indictment. See Creifelds under Anklageschrift. See
also Angeschuldigter, Angeklagter and Chapter XVII E
Anknpfungspunkt connecting factor. See Chapter XX B
Anlage investment
Anlagevermgen fixed assets. See Creifelds under Anlagevermgen
Anla cause, reason, occasion, opportunity (for). See Chapter XVII D
Anleihe (government) bond, (gilt-edged) debenture stock. See Chapter
XIX B
Anmelden to notify, report Also to announce or register (oneself or
something).
Anmeldepflicht see Anzeigepflicht
349
Anmeldung notification, report. See Chapter XI C 3 (b) (i)

Annhern to become dose (approximate) to. See Chapter XXII D 9
Annahme acceptance. See Chapter X B 2 (c); Chapter X F 5 (a)
Annahme als Kind adoption. See Chapter X E and Creifelds under Adoption
Anordnung 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
Anpassung adaptation. See Chapter X, Note 47 D
Anrechnen to credit, set-off
Anschauung opinion, point of view. See Chapter I, Note 16
Anscheinsbeweis prima facie evidence. It can ease the burden of proof
(Beweislasit). See Chapter X, Note 222; Chapter XIII, Note
10. Cf Indizienbeweis
Anscheinsvollmacht ostensible authority. See Chapter XIII, Note 57
Anschlussberufung connected (cross-) appeal. See Chapter XIII D 3 (a)
Anschuldigen to charge (in an indictment (Anklage))
Anschwrzung blackening (of the name) of a business. See Chapter VIII, Note
20 G
Anspruch claim; right (to); cause of action. See Chapter X B 14 and B
4 Expos
Anspruch auf einen gesetzlichen right to a proper (statutory) judge. See Creifelds under
Richter Gesetzlicher Richter and Chapter VIII C (Note 36)
Anspruch auf rechtliches Gehr 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)
Anspruchsgrundlage (legal) basis (substantive ground) for an Anspruch. See
Chapter X B 1 4
Anspruchsnorm a norm containing an Anspruchsgrundlage. Cf Hilfsnorm
Ansprucksvoraussetzung (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
Anstalt institution. See Chapter II C; Chapter XIV, Note 14
Anstand decency, good manners. See Chapter X F 4 (g) (iv)
Anstellen to employ
Anstiftung 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
Anteil part; share. See Chapter X F 4 (b); Chapter XI A 3
Antrag application (for), motion. See Chapter XIII D 2 (c) (iii) and
(iv) (Note 107)
Antragsdelikt offence requiring an application for prosecution. See
Chapter XVII Note 9
350
Antragsteller applicant, petitioner. See Chapter XIII D 6 (b) 3

Antragsgegner respondent. See Chapter XIII D 6 (b) 3
Anwachsung accretion. See Chapter X F 4 (c)
Anwalt see Rechtsanwalt
Anwaltsgericht lawyers court. See Creifelds under Ehrengerichtsbarkeit;
Chapter XXII D 7
Anwaltsproze lawyers action. Cf Parteiproze. See Chapter XIIID 1 (f) (iv)
Anwaltsvertrag contract with a lawyer, retainer. See Chapter X, Note 166;
Chapter XXII, Note 74. See also Mandat
Anwaltszwang compulsory instruction of lawyer. See Chapter XIII D 1 (f)
(iv) and Chapter XXII, Note 73
Anwartschaft(srecht) (right of) expectancy. See Chapter X B 2 (d); Chapter X D 2
(iv); Chapter X Note 256; Chapter X F 4(e)
Anweisung documentary instruction; direction. See Chapter X C 3 (g)
(Title 21); Chapter XIX, Note 36
Anweisungsempfnger recipient of an Anweisung, payee
Anwendung (practical) application. See Chapter X C 2 2 (Note 105)
Anwendungsbereich area of application
Anwesenheit(srecht) presence, attendance; right to be present. See Chapter XVII C
Anzahlung deposit (on a transaction). Cf Hinterkgung
Anzeige (criminal) complaint, information, notice, report;
advertisement. See Strafanzeige
Anzeigepflicht duty of notification, duty to report. See Chapter X C 3 (g)
Expos (c); Chapter XIX A 2
Apostille attestation/authenticity/legalisation clause
quivalenztheorie 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)
Arbeit work
Arbeiter (manual) worker. See Arbeitnehmer
Arbeitgeber employer. See Chapter XVIII A
Arbeitgebervereinigung (-verband) employer association, federation. See Chapter XVIII D
Arbeitnehmer employee; can be Arbeiter or Angestellter. See Chapter
XVIII A
Arbeitsbedingungen terms of employment. See Chapter XVIII, Note 11
Arbeitsgericht (ArbG) employment court. See Chapter XVIII B
Arbeitsgerichtsbarkeit employment jurisdiction. See Creifelds under
Arbeitsgenchtsbarkeit and Chapter XXII C 3
Arbeitsgerichtsgesetz (ArbGG) Law relating to the Employment Courts. See Chapter XXII C 3
Arbeitskampf industrial action. Conducted in two main forms: Streik
and Aussperrung. See Creifelds under Arbeitskampf and
Chapter XVIII D (b) and G
351
Arbeitsplatz workplace; job

Arbeitsschutzrecht work protection law. See Creifelds under Arbeitsschutz and
Chapter XVIII H
Arbeitssicherheitsgesetz (ASiG) Work Safety Law. See Chapter XVIII H
Arbeitssttte work place. See Chapter XVIII H
Arbeitsstttenverordnung Work Places Order. See Chapter XVIII H
(ArbStttVO)
Arbeitsunfhigkeit incapacity for work. See Chapter XVIII, Note 13
Arbeitsunfall accident at work. See Chapter XVIII H
Arbeitsverhltnis employment relationship. Also Dienstoerhltnis
Arbeitsvertrag contract of employment. See Chapter XVIII A and B and
also Dienstuertrag
Arglist craftiness; fraud. See Arglistige Tuschung
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 see Umkehrschlu
Arrest 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
Arzthaftung medical liability (negligence). See Chapter X, Note 222 B;
Chapter XIII B 7 (Note 10 4); grober Behandlungsfehler
Arztuertrag contract (of medical treatment) with a doctor. See Chapter
X, Note 166; Behandlungsvertrag
Asylrecht right of asylum. See Creifelds under Asylrecht und
Asylverfahren and Chapter VIII C (Article 16a GG)
Asylverfahrensgesdz (AsylVfG) Law on Asylum Procedure. See Chapter XXI C
Auctoritas non ventes facit legem authority, not die truth, makes law. See Chapter I (Note 10)
Audi alteram partem see Anspruch auf rechtliches Gehr
Auf Befehl on orders. See Chapter XVI C 2 (b) (Note 34)
Auf eigene Gefahr at ones own risk
Auf eigene Rechnung for ones own account. See Chapter XI, Note 42
Aufenfhalt 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
Aufenthaltserlaubnis residence permit. Also Aufenthaltsgenehmigung
352
Aufenthaltsort place of residence, location. See Chapter XIIID 8 (d) and (e)
Aufllig conspicuous. See Chapter X, Note 58 B
Auffangtatbestand mopping-up provision. See Chapter X B 2 (e); Chapter X,
Note 220
Auffassung opinion
Auf freiem Fu at large/liberty (criminal law sense)
Aufgabe function, job. See Chapter XVII D (Note 32)
Aufgebot public notification of a claim. See Chapter XIII D 9
Aufgrund on the basis of, due to. See Chapter VIII B
Aufheben to repeal, quash, annul, terminate
Aufhebung 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
Aufhebungsvertrag annulment agreement. See Chapter X, Note 150; Chapter
XVIII, Note 5
Aufklrung clarification; enlightenment. See Chapter I (Note 13);
Chapter XIII B 2 (b); Chapter XIII D 2 (c) (vi)
Aufklrungspflicht duty to clarify, duty of disclosure. See Chapter X, Note 135
B, Chapter XXII D 5
Auflage 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
Auflassung 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
Auflsung termination (dissolution) (of a company) eg, through
Kndigung
Auflsungsklage writ claiming Auflsung by court decision. See Chapter XI
C 3 (b) (iv)
Aufrechnung set-off. See Chapter X B 4 and C 3 (c) (Title 3). See also
Vorbehaltsurteil
Aufruf der Sache announcement of the matter (in court). See Chapter XIII D
2 (c) (vi)
Aufschiebende Wirkung suspensive effect. See Chapter XIV C 3
Aufsicht supervision. See Chapter VI; Chapter X F 5 (b); Chapter
XXII D 6. See also Staatsaufsicht
Aufsichtsbeschwerde 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
Aufsichtspflicht duty of supervision. See Chapter X, Note 222 B
Aufsichtsrat supervisory board. It is a compulsory organ of an AG,
Kommanditgesellschaft auf Aktien and Genossenschaft; in a
353
GmbH it is voluntary, except when there are more than

500 employees. See Creifelds under Aufsichtsrat and
Chapter XVIII F
Aufteilen to break up/down, split. See Chapter XIII, Note 96
Auftrag (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.
Auftraggeber instructing person, mandatary, principal. In a non-technical
sense, the equivalent of Kunde (customer). See Chapter
XVIII, Note 2 (c). See also Mandant
Auftragsangelegenhetien matters to be carried out on behalf of the mandatary. Also
bertragene Aufgaben, See Creifelds under
Auftragsangelegenheiten and Chapter VI
Auftragsbesttigung confirmation (acceptance) of order. See Chapter X B 2 (c):
Rules governing offer and acceptance (Note 71)
Auftragsmangel lack of orders. See Chapter XVIII, Note 14
Auftragsverwaltung administration by a/the Land/Lnder on instruction by
the Bund. See Chapter II C
Auftreten appearance, behaviour. See Chapter XIII, Note 57; Chapter
XXII, Note 116
Aufwenden to expend (for), spend (on)
Aufwendung expenditure, disbursement. See Chapter X C 3 (g) (Title
10) and Creifelds under Aufwendungen. Cf Verwendung
Augenschein (evidence by) inspection. See Beweis
Ausbildung training, education. See Chapter VII C (Note 18); Chapter
XXII, Note 10
Ausdrcklich express(ly)
Aus erheblichen Grnden on significant grounds. See Chapter XIII D 1 (g) (iii)
Aus wichtigem Grund for (an) important reason. See Chapter XVIII B
Ausbrgerung removal of citizenship (against ones will). It is forbidden
by Article 16(i) GG. See Creifelds under Entlassung aus der
Staatsangehrigkeit and Chapter VIIIC
Auseinandersetzung 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)
Ausfertigen to draw up, issue (a document)
Ausfertigung 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
354
Ausforschungsantrag application (for evidence) made only to fish for possible

information. See Chapter XIII, Note 67
Ausfhrung the administration, carrying out, execution,
implementation (of); version. See Creifelds under
Ausfhrung von Gesetzen and Chapters V B and VII A
Ausfhrungsgesetz executing, implementing law. See Chapter II, Note 34;
Chapter XIII, Note 171; Chapter XXI, Note 4 and Section B.
Ausgeben to spend (money), issue (shares)
Ausgleichen to equalize, settle (a debt)
Ausgleichsforderung claim to equalization, balancing claim. See Chapter XIII D 6 (b) 2
Ausgleichung equalization (between heirs). See Chapter X F 4 (b) and (g)
(iv)
Aushandeln to negotiate. See Chapter X B 2 (e)
Aushndigung hand-over, delivery (of). See Chapter XIX, Note 36
Aushang notice. See Chapter X B 2 (e)
Aushhlen to erode. See Chapter X B 2 (e)
Aushhlung (inner) erosion, hollowing out. See Chapter VIII, Note 13
Auskunft 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
Auslage(n) disbursement(s). See Chapter XXII D 8 (d) (Note 104)
Ausland abroad; foreign country. See Chapter XXI A. Cf Inland
Auslndergesetz (AuslG) Law regarding Foreigners. See Chapter XXI C
Auslndisches Recht foreign law. See Chapter XX E
Auslandsunterhaltsgesetz (AUG) Foreign Maintenance Law. See Chapter XXI, Note 5.
Auslegen to interpret (a meaning); to advance (money)
Auslegung interpretation (of a meaning). See Chapter X C 2 2 (Note
105); Chapter X F 3 (c)(iii)
Auslegung geht Anfechtung vor interpretation has priority over challenge. See Chapter X,
at Note 45; Chapter X F 3(c) (iii)
Auslegungsregel rule of interpretation/construction. See Chapter X B 2 (c)
(Failure to reach an Einigung); Chapter X F 3 (c) (iii)
Auslieferung extradition. See Creifelds under Auslieferung; Chapter VIII
C (Article 16(ii) GG); Chapter XVI, Note 3 D; Chapter XXI C
Auslobung public offer of reward. See Creifelds under Auslobung and
Chapter X C 3 (g) (Title 9)
Ausnahme exception
Ausnahmebemlligung (special) approval by way of exception. See also Befreiung
and Dispens
Ausnahmefall exceptional case
Ausnahmegericht exceptional court (for a particular case). See Creifelds under
Ausnahmegeridite and Sondergeridit and Chapter XXII C 3
355
Ausnahmsweise by way of exception, exceptionally. See Chapter VII C (Note 16)

Ausnutzen to abuse, exploit. See Chapter X, Notes 58 and 220. See
also Mibrauchen
Ausnutzung exploitation. See Chapter X B 2 (e)
Ausreichend sufficient(ly). See Chapter XVIII, Note 14
Aussage 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
Aussageverweigerungsrecht right to refuse to make a statement. See Aussage; Chapter
XVII, Note 38 D and H
Ausscheiden to leave; departure of member from a company. See Chapter
XI C 3 (b) (iv); Chapter XXII D 9
Ausschlagung disclaimer (of an inheritance). See Chapter X F 5 (a)
Ausschlagungsfrist period for disclaimer. See Chapter X F 5 (a)
Ausschlielich exclusively), sole(ly). See Creifelds under Ausschlieliche
Gesetzgebung and Chapter II B
Ausschlieung exclusion. See Chapter X F 4 (f); Chapter XI C 3 (b) (iv);
Chapter XXII D 7
Ausschu committee; board. See Chapter III, Note 3
Auenprfung external audit (by a tax office). See Creifelds under
Auenprfung
Auenverhltnis external relationship. See Chapter XIII D 1 (f) (iv) (the term
Vollmacht)
Auenwirkung external effect. Also Wirkung nach auen
Auergerichtlich extrajudicial(ly). See Chapter XXII D 8 (b); Prozekosten
Auerordentlich extraordinar(il)y; summary. See Kndigung
uerung 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
Aussetzen to suspend, stay (proceedings)
Aussetzung 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
Aussicht auf Erfolg chance (prospect) of success. See Chapter XIII, Note 134
Aussichtslos without prospect See Chapter XIIID 6 (b) 3
Aussperrung lock-out. See Arbeitskampf
Ausstottung endowment, dowry. See Chapter X F 4 (b); Chapter XIII D 6
(b) 2
Aussteller issuer, drawer (eg, of a bill of exchange). See Chapter XIX
Note 36 and at Note 41
Ausstrahlungswirkung radiation effect (of basic rights on private law). See Chapter
VIII, Note 7. See also Chapter I, Note 10.
356
Ausben to exercise. See Chapter XXII D 2 and Note 59

Ausbung exercise (of). See Chapter XXII, Note 59
Auswrtiges Amt Foreign Office. See Chapter XIV A
Ausweis identity card/document, pass
Ausweisung deportation. See Chapter XXI C
Auswirkung effect (on), repercussion. See Zustimmungsgesetz
Auszahlung payment out. See Chapter X C 3 (g) Expos (Darlehen)
Auszubildender trainee. See Creifelds under Berufsbildung; Chapter XI C
2 (d); Chapter XVIII, Note 2 (a)
Bankgeschfte banking business, transactions. See Chapter X, Note 211
Bankrecht law of banking. See Chapter XIX
Bauantrag application for permission to build
Baubetreuer project manager, consultant. See Creifelds under
Baubetreuung(svertrag)
Baugenehmigung building consent, planning permission. See Chapter XIV C 5
Bauherr the person, who commissions a particular building project,
ie, the building owner, proprietor (for whom the work is
undertaken)
Baurecht building law. See Chapter XIX A 3
Baustelle building site
Bautrger property developer. Like a Makler, a Bautrger is subject
to the Makler-und Bautrger Verordnung. See Creifelds
under Baubetreuung(svertrag) and Makler
Bauunternehmer building contractor
Bayern Bavaria. See Chapter V A and Chapter XXII C 2 (at Note 36)
Beamtenhaftung liability of civil servants. See Chapter X, Note 224
Beamter civil servant officer. See Chapter XIV C 1 (Note 12); Chapter
XVII, Note 22; Chapter XXII A
Bearbeiter person dealing with/handling/responsible for a matter
Beauftragen to appoint, instruct
Beauftragte 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.
Bebauungsplan (local) building plan. See Chapter XV A
Bedachte beneficiary. See Chapter X F 4 (h)
Bedenken reservation (regarding)
Bedeutung importance, meaning
Bedingt durch conditional on; due to. See Chapter X D 2 (iv)
357
Bedingung condition (future uncertain event); can be aufschiebend

(suspensive) or auflsend (resolutive). See Creifelds under
Bedingung and Chapter X B 2 (d)
Bedrfnis(prfung) (test of) need. See Chapter XXII E
Beeintrchtigen to hamper, impair
Beeintrchtigung impairment, interference. See Chapter VIII A; Chapter VIII,
Note 20 C; Chapter X, Note 266 C; Chapter X F 3 (e)
Befhigung capacity (to hold an office or exercise a profession),
qualification. See Chapter XXII A (Note 11) and Creifelds
under Befhigung
Befhigungsnachweis evidence of ability/capacity, certificate of qualification. See
Chapter XIX A 2
Befangenheit bias, prejudice. See Besorgnis der Befangenheit
Befehl order. See Chapter XVI C 2 (b) (Note 34)
Befehlend (a VA) requiring or forbidding particular action. See
Chapter XVIII H (Note 56 B)
Beforderung carriage, transport(ation); promotion. See Chapter X B 2
(e); Chapter X, Note 166
Befreiung exemption, release. See Chapter X C 3 (g) Expos (c);
Dispens
Befriedigung satisfaction. See Chapter X D 3 (h); Chapter X F 5 (b)
Befristet limited to a particular period. See Kndigung
Befugnis authority, power. See Chapter II, Note 3 A
Begehungsdelikt crime by active conduct. See Chapter XVI C 1 (b)
Beglaubigen to certify
Beglaubigte Abschrift certified copy. See Abschrift
Beglaubigung certification. See Chapter XXII E
Begriff term, concept.
Begriffsjurisprudenz conceptual jurisprudence. Cf Interessenjurisprudenz and
see Chapter I
Begrndet(heit) (actually) well-founded(ness). Cf Zulssig(keit),
Schlssig(keit) and see Chapter XIII D 2 (c) (iii)
Begrndung establishment (of); reasoning, reasons for
Begrndungszwang duty of a court to give reasons for a decision. See Chapter
XIII, Note 120 and Creifelds under Begrndung von
Entscheidungen
Begnstigen to favour
Begnstigend favourable, advantageous. See Chapter XIV C 5
Begnstigter beneficiary
Behandlungsvertrag See Arztvertrag
Behauptung allegation. See Chapter VIII, Note 20 E
Behauptungslast (the) burden of allegation (Darlegungslast). See Chapter
XIII, Notes 10 and 67
358
Beheben to remedy, repair (a defect). Also Beseitigen, Nachbessern

Beherrschen to dominate, control, command
Behrde authority. See Chapter II C and Creifelds under Behrden
Beibringungsgrundsatz see Verhandlungsgrundsatz
Beihilfe aiding and abetting (the commission of an offence);
participation as an accessory (Gehilfe). See Creifelds under
Beihilfe; 27 StGB. Cf Anstiftung, Mittterschaft
Beihtife advisory committee, consultative council
Beiseite schaffen to fraudulently remove (something), ie, to place it aside
with the intention of concealing it. See Chapter X F 3 (e)
Beistand partys assistant; aid, support. See Chapter XIII D 1 (f) (iv);
Chapter XVII, Note 28
Beitrag contribution. See Chapter X F 4 (b), Chapter XI B 1
Beitritt accession. See Chapter V A. See alsoSchuldbeitritt
Bekanntgabe notification. See Chapter XIV C 3 and cf Bekanntmachung
Bekanntmachung publication, announcement, notification. See Chapter XI
C 2 (b) (Note 32). See also Verkndung, Verffentlichung
and Creifelds under Bekanntmachung
Bekenntnis confession, creed. See Chapter VIII C (Article 4(i) GG)
Beklagter defendant. See Chapter XIII (at Note 107)
Bekrftigen to affirm, confirm, corroborate, endorse (a statement)
Bekrftigung affirmation (in lieu of oath). See 484 ZPO
Belasten to burden, encumber; incriminate; debit. See Chapter X D 2 (v)
Belastend burdensome, disadvantageous. See Chapter XIV C 5
Belastungszeuge incriminating witness. See Chapter XVII, Note 29
Beleg voucher, receipt
Belegen to substantiate, verify (by means of documentation)
Belehren to advise, instruct, caution
Belehrung advice, instruction, caution. See Chapter XXII E
Beleidigung insult ( 185 StGB). It can consist of a Werturteil (value-
judgment, 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)
Beleihung loan, secondment See Chapter II, Note 11
Bellum omnium contra omnes (a) war of all against all. See Chapter I, Note 10
Bemerkung comment, remark. See Chapter VIII, Note 20 B
Benachrichtigung notification. See Chapter XIII D 8 (c) (v)
Benachteiligung disadvantage, discrimination. See Chapter X B 2 (e);
611a-612a BGB
Benennen to name
Beraten to advise
359
Beratung consultation. See Chapter XXII D 8

Beratungshilfe assisted legal advice (support) (for less well-off persons).
Cf Prozekostenhilfe
Beratungshilfegesetz (BerHG) Law relating to (the grant of) assisted legal advice. See
Chapter XXII C 5 and D 8
Berechtigter person entitled; also Inhaber des Rechts (owner of the right).
See Chapter X D 2 (v) and Verfgungsbefugnis
Berechtigung entitlement. See Chapter XIX B (at Note 30). See also
Inhaberschaft
Berechtigungsschein entitlement voucher. See Chapter XXII, Note 110
Berichterstatter (court) rapporteur
Berichtigung correction. See Chapter VIII, Note 20 E
Beruf occupation, profession. See Creifelds under Beruf (freie
Wahl und Ausbung); Chapter VIII C; Chapter XIX A;
Chapter XXII D 2
Berufsausbung exercise of a profession. See Chapter VII C (Note 18);
Chapter XXII, Note 59
Berufsgenossenschaft occupational cooperative. See Chapter XVIII H
Berufshaftpflichtversicherung professional liability insurance. See Chapter XXII D 4
Berufsordnung professional code. See Chapter XXII D 5
Berufsordnungsrecht law concerning the regulation of professional conduct. See
Chapter XXII D 5
Berufspflicht professional duty. See Chapter X, Note 222 B; Chapter XXII D 5
Berufsrichter professional judge. See Chapter XXII A
Berufsstand professional class. See Chapter XI A
Berufsverbot occupational ban. See Creifelds under Berufsverbot and
Rechtsamvalt IV; Chapter XXII D 7
Berufung (general) appeal. See Chapter XIII D 3 (a)
Berufungsantrag appeal application. See Chapter XIIID 3 (a)
Berufungsbegrndung particulars of appeal. See Chapter XIII D 3 (a)
Berufungsbeklagter respondent. See Chapter XIII D 3 (a)
Berufungsfrist time limit for lodging Berufungsschrift. See Chapter XIII D 3 (a)
Berufungsgrund factual and/or evidential basis for a Berufung. See Chapter
XIII D 3 (a)
Berufungsklger appellant. See Chapter XIII D 3 (a)
Berufungsschrift notice of appeal. See Chapter XIII D 3 (a)
Berufungssumme appeal value, amount. See Chapter XIII D 3 (a)
Beschdigen to damage. See Chapter X F 3 (e)
Bescheid official notice, decision, notification (from a Behrde). See
Chapter XIV, Note 12; 113(iv) VwGO
Beschlagnahme seizure (in the public law sense). See Chapter XVII B. See
also Einziehung. Cf Arrest
360
Beschlagnahmen to seize, confiscate, impound

Beschleunigung acceleration. See Creifelds under Mndliche Verhandlung
and Chapter XIII B 6
Beschlu (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
Beschlussfhig competent to reach a decision, pass a resolution,
constituting a quorum
Beschrnken to limit, restrict.
Beschrnkte persnliche limited personal servitude. See Chapter X D 3 (e)
Dienstbarkeit
Beschrnkung limitation, restriction. See Chapter XI, Note 25; Chapter
XIII D 1 (f) (iv) (The term Vollmacht)
Beschuldigen to accuse, charge (with), incriminate. See Chapter XVII E;
cf Anklagen and Vorwerfen
Beschuldigter suspect, person accused (of). See also Verdachtigter and
Chapter XVII E. After an Anklageschrift is lodged:
Angeschuldigter; after proceedings opened: Angeklagter
Beschwer grievance, gravamen. See Chapter XIII D 3 (a)
Beschwerde 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
Beschwerdefhrer complainant
Beschwerte a person charged (to effect a disposition in a will). See
Chapter X F 4 (h)
Beseitigen to remove, dispose of, overturn. See Chapter XIII C E (Note
15). Also Beheben, Nachbessern
Beseitigung 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)
Besetzung occupation, composition, constitution (eg, of a court). See
Chapter XIII, Note 136; Chapter XXII, Note 5
Besitz possession(s). See Chapter X D 2 (i) and cf Recht zum Besitz.
See also Chapter X, Notes 248 and 266
Besitzkonstitut constructive possession (arrangement). See Chapter X D 3
(c) (ii) and Sicherungsubereignung
Besitzmittlungsverhltnis possession mediation relationship. See Chapter X, Note 257
Besoldung see Gehalt
Besonderer Teil (BT) special part. See Chapters X C 1 and XVI A
Besorgnis der Befangenheit 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
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 discussion, meeting. See Chapter XXII D 8 (b)
Bestandskraft finally binding nature, legal force (authority) of a VA. See
Chapter XIV C 4 and cf Rechtskraft
Bestandskrftig possessing Bestandskraft. See Chapter XIV C 4
Bestandteil part (of a Sache); component. See Chapter X B 2 (e);
Chapter X D 1; Creifelds under Bestandteil. Cf Zubehr
Besttigen to confirm. See Chapter X B 2 (c) (Rules governing offer
and acceptance) (Note 71)
Bestehen to exist, existence; to pass (test); insist (on)
Bestellen to order
Besteller person who orders something, client, customer. See
Bestellung order, appointment. See Chapter XVII C
Bestimmbar capable of specification, ascertainable. See Chapter X, Notes
65 and 237
Bestimmen to specify
Bestimmt 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
Bestimmtheitsgrundsatz principle that a matter must be defined as exactly as
possible. See Spezialittsgrundsatz, Chapter X D 2 and
Chapter XVIA
Bestimmung provision, term; specification, setting (of). See Chapter X
C 3 (b) (Title 1)
Bestreiten to dispute (facts). See Chapter XIII D 2 (c) (iv)
Betubungsmittelgesetz (BtMG) Narcotic Drugs Law. See Chapter XVII, Note 38 C
Beteiligter person involved; participant. See Chapter XIII (Note 37),
Chapter XIV B 3 and Creifelds under Beteiligter
Beteiligung involvement, participation, shareholding), interest (in)
Beteiligungskapital private equity (finance)
Betreiben to engage in, run (a business). See Chapter XI A
Betreuen to look after, care for, attend to; to deal with, be in charge of
362
Betreuer attendant, companion, guardian (of an adult). See Chapter

X E (Section 3)
Betreuung care (and attendance), companionship. It replaced
Entmndigung after 1.1.1992. See Chapter XIII A (Note 1)
Betrieb actual business unit (trading or manufacturing); workplace,
office, firm. See Chapter XVIII C and cf Unternehmen
Betriebsnderung change in a business. See Chapter XVIII B 4
Betriebsbedingt due to circumstances in the Betrieb. See Chapter XVIII B
Betriebspartner business partner. See Chapter XVIII D
Betriebsrat works council. See Creifelds under Betriebsrat, Chapter
XVIII C and cf Personalrat
Betriebssicherheit safety at the workplace. See Chapter XVIII H
Betriebsbergang transfer of a business. See Creifelds under
Betriebsbergang; Chapter XVIII B 4
Betriebsoereinbarung (written) business agreement (relating to a Betrieb). See
Chapter XVIII D
Betriebsverfassungsgesetz Law relating to the constitution of a Betrieb (1952 and
(BetrVG) 1972). See Chapter XVIIIC
Betrug 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 (officially imposed) coercive measure. See Chapter XIII,
Note 190; Chapter XVIII, Note 56 A
Beurkunden to document, authenticate, legalize. See Chapter XXII E
Beurkundung documentation, authentication, legalization. See Chapter
XXII E
Beurkundungsgesetz (BeurkG) Law relating to Beurkundungen. See Chapter XXII E
Beurteilungsspielraum room for judgment. See Chapter XIV C 6
Bevollmchtigte beim Bund minister of a Land responsible for federal matters. See
Chapter V B
Bevollmchtigter authorised person; attorney. See Chapter XIII D 1 (f) (iv)
Bevorzugung preference. See Chapter VIII C
Bewhrung probation. See Chapter XVI D
Bewhrungszeit period of probation. See Chapter XVI D
363
Beweglich movable (adj), mobile. See Chapter X D 1

Bewegliche Sache movable (noun). Old expression: Fahrnis. See Chapter X
C 3 (g) Expos (a)
Beweis 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)
Beweisaufnahme (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
Beweisbedrftig(keit) requiring (to be proved by) evidence (requirement). See
Chapter XIII D 2 (c) (iii) (Note 97)
Beweisbeschlu (formal) order directing the taking of evidence
(Beweisaufnahme). By 359 ZPO, it must indicate the
Beweisthema, the Beweismittel and the Beweisfhrer
Beweis des ersten Anscheins see Anscheinsbeweis
Beweiserhebung see Beweisaufnahme
Beweisfllig liable to supply proof. See Chapter XIII B 7 (Note 10)
Beweisfhrer the party bringing evidence (beweisfhrende Partei)
Beweisgebhr evidence fee. See Chapter XXII D 8
Beweisgegenstand subject of evidence. Also Beweisthema
Beweiskraft evidential force/strength. See Chapter XXII E
Beweislast the burden of evidence (proof). See Chapter X, Note 126 I
and J; Chapter XIII B 7 (Note 10)
Beweislastumkehr See Umkehr der Beweislast
Beweislosigkeit lack (failure) of proof. See Chapter XIII B 7 (Note 10)
Beweismittel 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
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 rule of evidence. See Chapter XIII B 7
Beweisstck item of evidence. See Chapter XVII, Note 30
Beweisthema see Beweisgegenstand
Beweisverfahren 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
Beweiswrdigung assessment of evidence. See Chapter XIII B 7
Bewertung evaluation. See Chapter XIV, Note 33
Bewilligung allowance, approval, consent, licence. See Chapter XIV C
6; Chapter XXI C
Bewirkung the effecting of. See Chapter X C 3 (Note 114); Chapter XIII
D 1 (f) (i)
Bewut conscious. See Chapter XVI C 3 (c)
Bewusstseinsstrung disturbance of consciousness. See Chapter X F 3 (c) (i)
Beziffern to state in figures. See Chapter XIII, Note 96
Bezirk area, district. See Chapter V B
Bezugnahme (auf) reference (to) (documents). See Chapter XIII, Note 64
Bezugsrecht drawing right (to new shares) (of a shareholder in an AG).
See Creifelds under Bezugsrecht
Bildung(swesen) education (system). See Chapter II, Note 7; Chapter VI,
Note 5
Billig(keit) cheap(ness); equitable, fair; equity, fairness. See Chapter
X, Notes 58 A and 227 (b); Chapter XXII D 8 (e). See also
Unbillig
Binden to bind. Cf Beschrnken and Knebeln
Bindung binding, tie. See Chapter II F; Chapter X F 3 (e); Chapter
XIII C G; Chapter XIV (Note 34)
Bis de eadem re ne sit actio no action lies twice in the same matter. See Chapter XIII C
E (Note 15). In criminal law: Ne bis in idem
Blutprobe blood sample. See Chapter XVII, Note 24
Bonitt credit-rating, credit-worthiness
Brsengang floatation (on the Stock Market)
365
Brsennotierung Stock Market listing, quotation

Bsglubig(keit) (in) bad faith. See Chapter X D 3 (c) (iii) (bona fide acquisition
of ownership to movables); Creifelds under Bser Glaube
Brandstiftung arson. See Chapter XVII, Note 38 C
Briefgrundschuld certificated land charge
Briefhypothek a mortgage, for which a mortgage certificate
(Hypothekenbrief) has been issued
Bruchteil fraction, part. See Chapter X F 4 (c)
Buch Book (of a law). See eg, Chapter X A
Buchhypothek a mortgage, which takes the form of an entry in the Land
Register. See Chapter X D 3 (h). Cf Briefttypothek
Bund confederacy, federation, league. See Bundesrepublik
Bundesamt fr Federal Office for/ofSee Bundesoberbehrde
Bundesamt fr Federal Office of Constitutional Protection; in Cologne. See
Verfassungsschutz Chapter XVII D (Note 32)
Bundesanstalt fr Federal Institute for/ofSee Bundesoberbehorde; Chapter IV
Bundesanstalt fr Arbeit Federal Institute of Employment (in Nrnberg). See
Chapter II C (Note 11); Chapter IV (Note 2)
Bundesanwalt federal prosecutor (at the BGH). See Chapter XVII B
Bundesarbeitsgericht (BAG) Federal Employment Court. See Chapter XXII C 3. The
address of the court is: Hugo-Preu-Platz 1, 99084 Erfurt.
Bundesaufsichtsamt fr Federal Supervisory Office for the Credit System; in Berlin.
das Kreditwesen See Chapter IV, Note 2
Bundesbahn 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
Bundesbahndirektion Federal Railway Directorate. See Chapter IV
Bundesbank 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
Bundesbehrde (middle) federal authority eg, Direktion. See Chapter IV
Bundeseigene Verwaltung (own) administration by the Bund. See Chapter II C;
Chapter IV; Chapter XIVA
Bundesfinanzhof (BFH) Federal Finance (Tax) Court. See Chapter XXII C 4. The
address of the court is: Ismaninger Strae 109, 81675
Mnchen
Bundesgebiet federal territory. See Chapter II F (Note 20); Chapter IV
Bundesgebhrenordnung fr Federal Lawyers Fee Order. See Chapter XXII D 8
Rechtsanwlte (BRAGO)
Bundesgerichtshof (BGH) Federal Supreme Court. See Chapter XXII C 2. The address
of the court is:
Herrenstrae 45a, 76133 Karlsruhe
366
Bundesgesetz federal statute. Cf Landesgesetz

Bundesgrenzschutz (BGS) Federal Border Guard. See Chapter XVII D
Bundeskanzler Federal Chancellor. See Chapter in
Bundeskanzleramt Federal Chancellors Office; Chancellery; in Berlin. See
Chapter IV
Bundeskartellamt Federal Cartel Office; in Bonn. See Chapter IV, Note 2;
Chapter XIX A
Bundeskriminalamt (BKA) Federal Office of Criminal Investigation; in Wiesbaden. See
Chapter XIV A; Chapter XVII D (Note 32)
Bundesminister federal ministers). See Chapter III
Bundesministerium federal ministry. See Chapter IV; Chapter XIV A
Bundesnachrichtendienst (BND) 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
Bundesnotarordnung (BNotO) Federal Notaries Order. See Chapter XXII E
Bundesoberbehorde upper federal authority. See Chapter IV; Bundesamt fr,
Bundesanstalt fr
Bundespost Federal Post Office. (Now a public limited company:
Deutsche Post AG). See Chapter E, Note 15; Chapter XIV A
Bundesprsident Federal President See Chapter III
Bundesprsidialamt Federal Presidential Office; in Berlin. See Chapter IV
Bundesrat Federal Council. See Chapter III (Note 3)
Bundesrechnungshof Federal Accounts Court; in Bonn. See Chapter IV
Bundesrecht bricht Landesrecht federal law takes precedence (lit. breaks) the law of a Land
(Article 31 GG). See Chapters E B, VIII A and XIV A
Bundesrechtsanuxiltskammer Federal Lawyers Chamber. It issues a magazine (the BRAK
(BRAK) Mittettungen) containing professional information, which
is sent quarterly to members of the (regional)
Rechtsanwaltskammern. See also Chapter XXII D 6
Bundesrechtsanwaltsordnung Federal Lawyers Order. See Chapter XXII D 1
(BRAO)
Bundesregierung Federal Government. See Chapter III
Bundesrepublik (Deutschland) Federal Republic (of Germany). See Chapter II A
Bundesrichter judge of one of the supreme federal courts (see Article 95 GG)
Bundessozialgericht (BSG) Federal Social (Security) Court. See Chapter XXII C 4. The
address of the court is: Graf-Bernadotte-Platz 5, 34119 Kassel.
Bundesstaat federal state. See Chapter II A
Bundestag Federal Parliament. See Chapter III
Bundestreue (duty of) federal loyalty. See Chapter II, Note 2
367
Bundesunterbehrde (lower) federal authority. See Chapter IV

Bundesverfassungsgericht Federal Constitutional Court. See Chapter in and Chapter
VII C
Bundesverfassungs- Law relating to the Federal Constitutional Court. See
gerichtsgesetz (BVerfGG) Chapter in and Chapter VII C
Bundesversammlung Federal Assembly. See Chapter III
Bundesversicherungsanstalt Federal Institute of Insurance for Employees. See Chapter
fr Angestellte (BfA) XVIII, Note 2
Bundesverwaltungsgericht Federal Administrative Court. See Chapter XXII C 4. The
(BVerwG) address of the court is: Haidenbergstrae 31, 10623 Berlin
Bundeswehr (Federal) Defence Service. See Chapter XIV, Note 1
Bundeswehrverwaltung federal military administration. See Chapter XIV A
Bundeszentralregister 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
Bundeszwang coercion by the Bund. See Chapter II, Note 2 and Chapter
VII, Note 2
Brge guarantor. See Chapter X C 3 (g) (Title 18)
Brgerliches Gesetzbuch Civil Code. See Chapter X
Brgerliches Recht civil law. See Chapter IX A
Brgermeister Mayor. See also Oberbrgermeister
Brgschaft contract of surety, guaranty. See Creifelds under Brgschaft;
Chapter X C 3 (g) (Title 18) and Expos. Cf Garantievertrag.
See also Selbstschuldnerische Brgschaft
Brgschaftserklarung declaration of surety. See Chapter X, Note 177
Bugeldbescheid notice of (a) fine. See Geldbue
Bugeldverfahren fine proceedings. See Chapter XVI, Note 9
Caveat emptor let the buyer beware. See Chapter X, Note 185
Cessio legis see gesetzlicher Forderngsubergang
Chancengleichheit equality of opportunity. See Chapter VIII, Note 22
Clausula rebus sic stantibus an (implied) clause to the effect that matters are to remain
as they are. See Geschftsgrundlage. See also Seidl-
Hohenveldern, Part II, Chapter 2, 22
Conditio sine qua non an essential condition (for); lit a condition without which
(the result is) not (possible). See cfuivalenztheone
Constitutum possessorium see Besitzkonstitut
Contra proferentem 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)
Corpus iuris civilis body (collection) of civil law. See Chapter I
368
Culpa in contrahendo (cic) 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)
Da mihi factun, dabo tibi ius see Verhandlungsgrundsatz
Darlegung exposition, statement, submission
Darkgungslast see Behauptungslast
Darlehen loan. See Creifelds under Darlehen; Chapter X C 3 (g) (Title
5) and Expos; Chapter X, Note 235
Darlehensgeber lender. See Chapter X C 3 (g) Expos
Darlehensnehmer borrower. See Chapter X C 3 (g) Expos
Darstellung presentation, version (of facts). See Chapter XIII, Note 67
Daseinsvorsorge (future) welfare provision (for members of the public). See
Leistungsverwaltung
Daten data; factual information. See Chapter XVII, Note 25
Datenerhebung collection of data. See Bundesnachrichtendienst. Collection
and processing of data is also the domain of the police
see Creifelds under Datenerhebung und-verarbeitung
Datenschutz data protection. See Chapter XVII, Note 25
Dauer duration. See Chapter XIX A 2
Dauerschuldverhltnis 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
Deckungsverhltnis primary (covering) relationship. See Creifelds under
Deckungsverhltnis and cf Valutaverhltnis, See also
Anweisung
Delikt delict (civil or criminal). See Creifelds under Delikt
Deliktsfhigkeit capacity to commit a delict. See Creifelds under
Deliktsfhigkeit and, for the position in criminal law,
Chapter XVI C 3 (b)
Dem Grunde nach (claim) on the basic question, issue (of liability). See
Zwischenurteil
De minimis (non curat lex) the law does not bother itself with trifling matter. See
Unerheblich
Demnchst shortly, soon. See Chapter XIII D 1 (g) (ii)
Depositengeschft see Einlagengeschaft
Depotgeschft a transaction of custody of securities by a bank. See Chapter
X, Note 211
Deutscher Bund German Confederation. See Chapter I (Note 7)
Deutsches Richtergesetz (DRiG) German Judges Law. See Chapter XXII A
Diebstahl 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
Dienen to serve. See Chapter XXII, Note 71

Dienstaufsicht (official) supervision of conduct during service. See Chapter
XXII C 6
Dienstaufsichtsbeschwerde see Aufsichtsbeschwerde
Dienstbarkeit servitude. See Chapter X D 3 (e)
Dienstberechtigter person entitled to (the) services. See Chapter XVIII H
Dienstherr master. Also Dienstberechtigter. See Chapter X, Note 224
Dienstleistung service, provision/supply of a service. See Chapter X, Note
166; Chapter XI, Note 42
Dienstleistungsunternehmen service enterprise/industry. See Chapter XI, Note 31
Dienstsiegel official seal. See Ausfertigung
Dienstvertrag 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
Diligentia quam in suis see Sorgfalt in eigenen Angelegenheiten
Dinglicher Anspruch real claim. See Chapter X D 3 (c) (iv)
Dingliches Recht real right, right in rem. See Chapter X D 2; Chapter X D 3 (h)
Dinglicher Verwaltungsakt real VA. See Chapter XIV C 1
Direktion directorate. See Bundesbehrde
Direktionsrecht (employers) right of direction. See Creifelds under
Direktionsrecht; Chapter XVIII, Note 11
Dispens dispensation. See Chapter XIV C 6 and also
Ausnahmebewilligung and Befreiung
Disposition arrangement, disposition. See Chapter X, Note 135 B
Dispositionsgrundsatz principle that the parties are masters of the proceedings;
also Verfgungsgrundsatz. See Chapter XIII B 3; Chapter
XV D
Dispositiv dispositive. See Chapter IX B
Dissens see Einigungsmangel
Dolmetscher interpreter. See Chapter VIII, Note 18
Dolus directus direct intent. See Chapter XVI C 3 (c)
Dolus eventualis eventual intent. See Chapter XVI C 3 (c)
Dominium see Eigentum
Doppelfunktion double (dual) function. See Chapter V B and Creifelds
under Doppelfunktion von Verwaltungsbehrden. See also
Chapter XVII (Note 33)
Do ut des I give, so that you give. See Chapter X Note 106
Draufgabe bonus. See Chapter X C 3 (b) (Title 4)
Dringender Tatverdacht high (urgent) suspicion that the suspect committed the
offence. See Chapter XVII D (Note 38 A)
Dringlich urgent. See Chapter X F 5 (a) (i)
Dritter third party. See, for example, Chapter X C 3 (a) and (b)
370
Drittorganschaft (principle of the) direction (of a company) by a third party.

See Chapter XI A
Drittschuldner third party debtor. See Chapter XIII D 8 (c) (v)
Drittsicherung (grant of) security by a third party. See Chapter X D 3 (h)
Drittwirkung effectiveness in third party relations; effect on third parties.
See Chapter VIII A
Drohung threat. See Chapter X B 2 (b) (Nullity and challengability
of a Willenserklrung); Chapter X, Note 58 C; Chapter X F
3 (c (iv)
Druckschrift (type of) print, printed publication. See Chapter VIII, Note
20 E
Dulden to allow, suffer to happen; can also mean sufferance
(noun). See Chapter XIII D 2 (c) (ii); Chapter XIII D 8 (d)
Duldung tolerance, leave
Duldungspflicht duty of toleration. See Chapter X D 3 (c) (i)
Duldungsvollmacht allowed authority. See Chapter XIII, Note 57
Durch through. See Chapter VIII B
Durchbrechen to break through pierce, breach. See Chapter X, Note 245;
Chapter XIII C E (Note 15)
Durchfhrung implementation. See Chapter X B 2 (e)
Durchgriffserinnerung piercing Erinnerung, ie, one passed by the judge to the
court. See Chapter XXII B
Durchgriffshaftung the exceptional personal liability of members of a juristic
person. See Chapter XI, Note 16
Durchschnittskunde average customer. See Chapter X B 2 (e)
Durchsetzung the carrying out, enforcement realisation (of). See Chapter
IX B; Chapter XXI B
Durchsuchung search (of premises or persons). See Creifelds under
Durchsuchung; Chapter XIII D 8 (c) (v); Chapter XVII B;
Chapter XXII B. Cf Untersuchung
Echt genuine. See Chapter XVI C 1 (b)
Echtheit genuineness. See Chapter XXII E
Effekten securities (banking sense), stock. See Chapter XIX B
Ehe (state of) marriage. See Creifelds under Ehe, Chapter VIII
C and Chapter X E
Ehegatte spouse. See Chapter X F 3 (a) (i)
Ehegesetz Marriage Law (20.2.1946). See Chapter X E
Ehelich legitimate (child). See Chapter X E and Creifelds under
Eheliche Kinder
Eheliche Lebensgemeinschaft (community of) married life. See Chapter XI A 2. Also
Lebensgemeinschaft der Ehegatten
Ehesache marriage/matrimonial matter (eg, Scheidung). See
Familiensache and Creifelds under Ehesachen
371
Ehevertrag (matrimonial) agreement (by which spouses can regulate

their property status). See Gterrecht; Chapter X, Note 23
Ehre honour. See Beleidigung; Chapter VIII, Note 20 F; Chapter
XVI, Note 13
Ehrenamtlich honorary, lay. See Chapter XXII A
Eid oath. See Chapter XXII B and E
Eidesstattliche assurance of means in lieu of oath. See Chapter XIII D 8 (e)
Offenbarungsversicherung
Eidesstattliche Versicherung assurance, declaration in lieu of oath. See Creifelds under
Eidesstattliche Versicherung; Chapter XIII D 8 (a) and (d);
Chapter XXII E
Eigenkapital own capital (resources); equity share capital (of a company)
Eigenschaft characteristic, quality. See zugesicherte Eigenschaft
Eigentum 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)
Eigentumshnliches Recht quasi-proprietary right. See Chapter X, Note 231
Eigentum verpflichtet ownership obliges (Article 14(ii) GG). See Chapter VIII C
and Chapter X D 3 (c) (i)
Eigentumsvorbehalt reservation of title (clause). See Creifelds under
Eigentumsvorbehalt; Chapter X D 2 (iv); Chapter X Notes
245 and 264
Eigentmer-Besitzer-Verhltnis relationship between the owner and person in possession
of a Sache. See Chapter X D 3 (c) (iv) (Note 266)
Eigentmergrundschuld owners land charge. See Chapter X D 3 (h)
Eigentmerhypothek owners mortgage. See Chapter X D 3 (h)
Eigenvermgen personal assets (eg, of an heir). See Chapter X F 5 (a) and (b)
Eignungsprfung aptitude test (for lawyers from other EC countries enabling
admission as a Rechtsanwalt). See Chapter XXII D 3
Einberufen to convene (a meeting). See Vermittlungsausschu
Einbeziehen to cover, include. See Chapter X, Note 135 A
Einbringung bringing in. See Chapter X C 3 (g) (Title 13)
Einbrgerung naturalisation. See Creifelds under Einbrgerung; Chapter
XIV C 5
Eindeutig dear, definite, unequivocal. See Chapter X F 3 (c) (iii)
Einfach simple; simply See Gesetz
Einfhrungsgesetz zum BGB Introductory Law to the BGB. See Chapter XX
(EGBGB)
Einfhrungsgesetz zum GVG Introductory Law to the GVG. See Chapter XXII C (Note 36)
(EGGVG)
Eingangsstempel date-of-receipt stamp. See Chapter XIII, Note 90
372
Eingehen to enter, go into, conclude (a matter or relationship)

Eingetragener Verein (e.V.) see Verein
Eingliedern to incorporate (into). See Chapter IV
Eingriff(e) attack(s); interference; infringement; intervention. See
Chapters VII C and VIII A
Eingriffsbefugnis see Gesetzesvorbehalt
Eingriffskondiktion type of Nichtleistungskondiktion, where the recipient
obtains a benefit by infringing the claimants rights. See
Eingriffsverwaltung intervention administration. See Chapter II C (Note 12) and
cf Leistungsverwaltung
Einheitlich uniform, united, unanimous(ly). See Creifelds under
Einheitlichkeit der Rechtsprechung; Chapter III, Note 3 and
Einheitsrecht uniform law. See Chapter XX, Note 12
Einigung consensus, (real) agreement. See Creifelds under Einigung
and see also Auflassung, Willensbereinstimmung. See
Chapter X B 2 (c)
Einigungsmangel 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)
Einigungsstelle conciliation body (dealing with problems in a Betrieb).
See Chapter XVIII D
Einigungsvertrag Treaty of Union. See Chapter V, Note 1
Einkommen income
Einlage 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
Einlagengeschft 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
Einlassen to engage (in an action); to enter appearance; to respond
to a writ (as defendant)
Einlassung engagement (in an action); entry of appearance; response
to a writ (by a defendant). See Chapter XIII D 2 (c) (iv)
Einlassungsfrist period during which an Einlassung is possible, period for
engagement (in an action). See Chapter XIII D 2 (c) (vi);
Chapter XXI, Note 7
Einrede objection. See also Einwendung; Chapter X B 1 4; Chapter
X B 4 Expos; Chapter X D 3 (h); Creifelds under Einrede
Einreichung lodging (of a writ). See Chapter XIII D 2 (c) (i)
Einrichtung (public) facility, institution, amenity, establishment. See
Chapter II C
373
Einschrnken to limit, restrict. See Chapter VIII B

Einschrnkung restriction, limitation
Einschreiten to intervene (normally a Behrde). See Chapter XVII B
Einseitig one-sided, unilateral. See Chapter X B 1 7; Chapter X F 3
(e); Chapter X, Notes 31, 106 and 126 E
Einspruch objection, protest. See Creifelds under Einspruch. See also
Einwendung, Einrede, Widerspruch and Rge
Einspruchsgesetz 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
Einstellen to recruit, take into employment. Also to cease, stop, drop
(a matter, investigation, enforcement)
Einstellung recruitment; cessation, suspension; attitude. See Chapters
XIII D 8 (b), XVII E, XVIII E
Einstehenmssen (fr) to take responsibility (be liable) (for). Also Haften (fr)
and Haftung
Einstimmig unanimous(ly). See Chapter X F 4 (b)
Einstimmigkeitsprinzip unanimity principle. See Chapter XI B 2; Chapter XII D
Einstweilige Anordnung 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
Einstweilige Verfgung injunction. See Creifelds under Einstweilige Verfgung;
916945 ZPO; Chapter XIII, Note 149; Chapter XIII D 8 (d)
and (f)
Eintragung entry (in a register); registration. See Chapter XIII D 8 (e)
Eintritt entry. See Chapter XI C 3 (b) (iii)
Eintrittsprinzip principle of representation (in the law of succession). See
Chapter X F 3 (a) (i)
Einvernehmen see Einverstndnis
Einverstndnis agreement, consent. Also Zustimmung. See Chapter X B 2 (e)
Einwanderer immigrant. See also Siedler
Einwanderung immigration. Cf Zuwanderung
Einwendung objection. See Creifelds under and cf Einrede. See also
Chapter XIII, Note 97; Chapter XIII D 2 (c) (iv) (Note 107)
Einwilligung (prior) consent. See Rechtfertigungsgrund
Einwirkung effect, influence, nuisance. See Chapter X D 3 (c) (i)
Einwohner inhabitant, resident (of a local authority). See Chapter II C;
Chapter VI
Einzelfall (specific, particular) individual case
Einzelgeschftsfhrung individual management (ie, by particular persons). See
Chapter XI B
Einzelkaufmann sole trader. See Chapter XI A
Einzelrichter single judge. See Creifelds under Einzelrichter; Chapter
XIII D 2 (c) (i); Chapter XXII, Note 37. See also Strafrichter
374
Einziehung confiscation; forfeiture (of a Gegenstand); revocation,

withdrawal. See Chapter X, Note 343; Chapter X F 5 (d);
Chapter XVI D. See also Beschlagnahme
Elterliche Sorge parental care. See Creifelds under Elterliche Sorge and
Chapter X E
Eltern parents. See Chapter X B 2 (a)
Empfnger recipient
Empfngerhorizont the recipients point of view. See Chapter X B 2 (b)
(Interpretation of a Willenserklrung)
Empfangsbedrftig requiring receipt. See Chapter X B 2 (b) (Validity of a
Willenserklrung)
Empfangsbekenntnis acknowledgement of receipt. See Chapter XIII D 1 (g) (ii)
and D 2 (i)
Endgltig final(ly)
Endurteil final judgment. See Urteil
Engste Verbindung closest connection. See Chapter XX D
Enteignung expropriation, dispossession, compulsory acquisition. See
Creifelds under Enteignung; Chapter VII C (Note 18);
Article 14(iii) GG
Enterbung 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
Entfaltung development, unfolding. See Chapter VIII C
Entgelt(lich) charge, remuneration; for money, reward. See Chapter X,
Note 166; Chapter X C 3 (g) (Title 10)
Entlassung dismissal (of an employee), lay-off, redundancy. See
Kndigung
Entlastungsbeweis exonerating evidence. See Chapter X, Notes 126 I and 135
A; Chapter XVII, Note 38 H
Entschdigung compensation (eg, for Enteignung; for other examples see
Creifelds under Entschdigung). Cf Schadensersatz
Entscheidung decision. See Creifelds under Entscheidung, Bescheid;
Chapter XIII C A; Chapter XXI A
Entscheidungserheblich significant for/vital to a decision. See Chapter VII, Note
12; Chapter XIII D 2 (c) (vi)
(Sich) Entschuldigen to apologise, excuse (oneself)
Entsorgung disposal. See Chapter VI, Note 4
Entsprechen to correspond (to), be commensurate (with)
Entsprechende Anwendung corresponding (analogous) application, application by
analogy. See Analogie
Entwurf draft (of a document)
Entziehung withdrawal (of a right or licence to do something). See
Chapter X F 4 (g) (v); Chapter XVI D. Cf Enterbung
375
Entziehungsanstalt (drug) rejection institution. See Chapter XVI D

Enumerationsprinzip enumeration principle. See Chapter VII C (Note 10)
Erbbaurecht 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)
Erbe heir, beneficiary. See Creifelds under Erbe and Chapter X F
Erbeinsetzung appointment as heir. See Chapter X F 4 (c)
Erbengemeinschaft community between heirs. See Chapter X F 4 (b); Chapter
XI A 3; Creifelds under Erbengemeinschaft
Erbfhigkeit capacity to inherit. See Chapter X F 3 (a) (i)
Erbfall event of succession, death. See also Tod
Erbfolge succession. See Creifelds under Erbfolge and Chapter X F.
See also Rechtsnachfolge
Erblasser testator. See Creifelds under Erblasser; Chapter X F 2
Erbrecht law of succession; right of inheritance. See Creifelds under
Erbrecht, Chapter X F and Article 14(i) GG
Erbschaft estate, inheritance. See Nachla and Creifelds under
Erbschaft
Erbschaftskauf purchase of an Erbschaft. See Chapter X F
Erbschein certificate of inheritance, probate. See Creifelds under
Erbschein; Chapter X F 1 and 5 (d); Chapter XXII E
Erbteil part, share of an estate. See Chapter X F 3 (a) (ii) and 5 (d)
Erbunwrdig(keit) unworthy(iness) to inherit. See Chapter X F 4 (f)
Erbvertrag contract of succession, estate contract. See Creifelds under
Erbvertrag; Chapter X F 3 (b) and (e); Chapter XXII B and E
Erbverzicht waiver of inheritance. See Creifelds under Erbverzicht;
Chapter X F 4 (f)
Erfolg success; (particular) result. See Chapter X, Note 166 and
Chapter XVI C 1 (a)
Erfolgreich successful
Erfolgsdelikt crime requiring a particular result. See Chapter XVI C 1 (a)
Erfolgshaftung liability for the result
Erfolgshonorar success fee. See Chapter XXII, Note 97
Erfolgsort the place at which the (particular) result occurs. See Chapter
XX, Note 24
Erfolgsqualifiziertes Delikt a (qualified) offence, which attracts a heavier punishment in
the event of certain consequences. See Chapter XVI, Note 19
Erforderlich necessary. See Chapter VIII B
Erforschen to investigate, explore. See Chapter XVII D
Erfllung performance, fulfilment. See Creifelds under Erfllung
and Chapter X C 3 (a) and (c) (Title 1)
376
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
Erfllungsort see Leistungsort
Erfllungsortvereinbarung agreement regarding the Erfllungsort. See Chapter XXII
Note 74
Erfllungsbernahme (internal) promise of performance (between an old and
new debtor). See Chapter X, Note 136
Ergnzende Auslegung supplementary interpretation. See Chapter X, Note 47;
Chapter X B 2 (e); Chapter X F 3 (c) (iii)
Ergnzung supplement. See Chapter X C 3 (g) Expos (d)
Ergreifungsort place of seizure (of a suspect). See Chapter XVII, Note 37
Erheblich substantial, considerable. See Chapter XIII D 2 (c) (iii) (Note
97)
Erhebung making, raising (of a complaint); issue (of a writ); levying
(eg, of taxes). See Chapter XIII D 2 (c) (i)
Erinnerung 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
Erkennbar apparent, recognisable. See Chapter X B 2 (b) (Interpretation
of a Willenserklrung); Chapter X, Note 135 A; Chapter
XIII D 2 (c) (vi)
Erkenntnisverfahren proceedings leading to a judgment, judgment proceedings.
See Chapter XIII C A, Chapter XVII (Note 20) and cf
Vollstreckungsverfahren
Erkennungsdienstliche measures to ascertain identity (of a suspect). See Chapter
Manahmen XVII, Note 24
Erklren to declare; explain
Erklrung declaration, statement; explanation. See Chapter X B 2 (b)
(The term Willenserklrung). See also Aussage, uerung
Erklrung mit Nichtwissen declaration of ignorance. See Chapter XIII D1 (g) (i)
Erklrungsbewutsein consciousness of (making) a declaration. See Chapter X
(Note 38)
Erklrung ber persnliche und declaration regarding personal and economic circumstances
wirtschaftliche Verhltnisse (for the purposes of an application for legal aid
(Prozesskostenhilfe))
Erla remission (of debt); decree; issue (of a VA). See Chapter X
C 3 (c) (Title 4), Chapter X, Note 241 and Chapter XV B
Erlaubnis permission, allowance, leave, authority. See Creifelds under
Erlaubnis (behrdliche); Chapter XIV C 6; Chapter XIX A 2.
See also Ermessen
Erlaubnisvorbehalt reservation of the right to grant an Erlaubnis
377
Erledigen to complete, conclude, finish (off), settle, sort out. See

Chapter XIV, Note 19
Erlschen to become extinct, discharged, end; extinction, discharge,
end (of). See Chapter X C 3 (c)
Ermchtigung 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
Ermchtigungsgesetz Enablement Law. See Chapter II (Note 5)
Ermchtigungsgrundlage see Gesetzesvorbehalt
Ermessen discretion. Can be gebunden or frei. See Creifelds under
Ermessen (Verwaltungsermessen) and Chapter XIV C 6. Cf
Unbestimmter Rechtsbegriff
Ermessensfehler faulty exercise of Ermessen. Ermessensfehler by the
executive can be checked by the VG ( 114 VwGO). See
Chapter XIV C 6
Ermessensmibrauch abuse of Ermessen. See Chapter XIV C 6
Ermessensnichtgebrauch non-use of Ermessen. See Chapter XIV C 6
Ermessensreduzierung reduction of Ermessen (to zero). See Chapter XIV C 6
(auf Null)
Ermessensberschreitung excess of Ermessen. See Chapter XIV C 6
Ermessensunterschreitung under-use of Ermessen; also called Ermessensnichtgebrauch
Ermittlung investigation, inquiry. See Creifelds under
Ermittlungsverfahren in Strafsachen; Chapter XVI, Note 40;
Chapter XVII B
Ermittlungsrichter investigative judge. See Chapter XVII, Note 23
Ernennung appointment, nomination (as a Beamter or to a public
office). See Creifelds under Ernennung; Chapter XIV C 5;
Chapter XXII A
Ernsthaft serious(ly)
Erffnen to open (proceedings)
Erffnung opening (eg, of a will by the Probate Court). See Chapter X
F 5 (e)
Erffnungsverfahren (interim) proceedings dealing with the opening of main
(criminal) proceedings. Also called Zwischenverfahren. See
Chapter XVII E (Note 43)
Errterungsgebhr (lawyers) fee for (merely) raising a matter. See Chapter XXII
D8
Erpressung blackmail, extortion. See Chapter XVII, Note 38 C
Errichten to set up, form
Errichtung establishment, formation, execution (of a will). See Chapter
X F 3 (c) (i); Chapter XI B 3 (b)
Error in obiecto an error regarding the object of a criminal act; it has no
effect on the Schuld of the Tter. Cf Aberratio ictus
378
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
Ersatzerbe substitute heir. See Chapter X F 4 (d)
Ersatzvornahme substituted execution (of a measure by an authority). See
Chapter XVIII H
Ersatzzustellung substituted service. See Creifelds under Ersatzzustellung
and Chapter XIII D 2 (c) (i) (Note 89)
Erscheinen to appear, appearance
Erschpfung des Rechtswegs exhaustion of normal legal channels. See Chapter VII C
(Note 14)
Ersetzen to replace
Ersitzung acquisition of ownership to movables through the passage
of time, prescription. See Creifelds under Ersitzung and
Chapter X D 3 (c) (ii)
Erstarken to strengthen (into). See Chapter X D 2 (iv)
Erstatten to refund, replace. Also to file (an Anzeige). See Chapter
XVII A
Erteilen to grant (a licence or permission). See Chapter X, Note 343;
Chapter XIV C 6
Erteilung grant, issue. See Chapter X F 5 (d)
Ertrag yield, output, return (on investment). Also Rendite
Erwachsener adult, grown-up
Erwgung consideration. See Chapter VIII, Note 22
Erwartung expectation. See Chapter X F 3 (c) (iv)
Erweiterung addition; extension. See Chapter X B 2 (e)
Erwerb acquisition. See Chapter X D 3 (c) (ii) and (iii)
Erwerber transferee; acquiror
Erwirkung procurement, obtaining (of). See Chapter XIII, Note 39
Erzeugnis product, produce. See Chapter X D 3 (c) (iii) (Statutory
acquisition of ownership to movables)
Erziehungsmaregel educational measure. See Chapter XVI, Note 40
Essentialia negotii see Wesentliche Bestandteile
Europische Gemeinschaft(en) European Community(ies). Established in parallel with the
(EG) Maastricht Treaty on European Union of 7.2.1992
Europische Menschenrechts- European Convention on Human Rights (ECHR). See
konvention (EuMRK) Chapter II, Note 34; Chapter VIII, Note 18
Europisches bereinkommen European Convention on Jurisdiction and the Enforcement
ber die gerichtliche of Decisions in Civil and Commercial Matters (the Brussels
Zustndigkeit und die Convention 1968; amended by conventions signed in San
Vollstreckung gerichtlicher Sebastian and Lugano in 1988 and 1989). It was incorporated
Entscheidungen in Zivilund into UK law by the Civil Jurisdiction and Judgments Act
Handelssachen (EuGV) 1982 (and 1991). In Germany, it is implemented by AVAG.
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
Europisches bereinkommen ber European Convention on the Law applicable to Contractual
das auf vertragliche Schuldver Obligations 1980 (the Rome Convention). See Chapter XX,
hltnisse anzuwendende Note 12
Recht (EV)
Europische Wirtschafts- European Economic Community (EEC). Originally
gemeinschaft (EWG) established by the EEC Treaty of 27.3.1957. Now known as
the European Community. See Chapter XIX
Europische Zentralbank (EZB) European Central Bank (in Frankfurt am Main). Its forerunner
was the European Monetary Institute. See Creifelds under
Europisches Whrungsinstitut. See also Bundesbank
Eventualantrag See Hilfsantrag
Existenzgrnder person starting up in business. See Chapter XVIII, Note 2
Ex nunc from now on, for the future. See Chapter X, Note 138;
Chapter XIV, Note 23 C Cf Ex tunc
Ex tunc from then, from the start, retrospectively. See Chapter X,
Note 48. See also Rckwirkend
Fabrikant manufacturer. See also Hersteller
Fachanwalt specialist lawyer. See Chapter XXII D 5
Fachkrfte fr Arbeitssicherheit qualified work safety personnel. See Creifelds under
Fachkrfte fr Arbeitssicherheit and Chapter XVIII H
Fahrerlaubnis driving licence. See Creifelds under Fahrerlaubnis; Chapter
XVI D; Fhrerschein
Fahrlssigkeit negligence. See Chapter X, Note 219; Verschulden; Schuld
Fahrnis see Bewegliche Sache
Fahrverbot driving ban. See Creifelds under Fahrverbot and Chapter
XVI (Note 63)
Faktisches Arbeitsverhltnis factual (de facto) employment relationship. See Chapter
XVIII, Note 7
Faktischer Vertrag factual (de facto) contract. See Chapter X, Note 70
Faktische Vollziehung factual enforcement. See Chapter XIV, Note 23 C
Fall case; matter
Fllig due (for performance, payment)
Flligkeit time at which a Leistung (debt, payment) is due; maturity.
See Chapter X (Note 98); Chapter X C 3 (g) Expos
Darlehen; Leistungszeit; Verzug
Fallrecht case-law (system). See Chapter I, Note 6; Chapter XXII,
Note 45; Creifelds under Fallrecht and cf Prjudizien
Falsa demonstratio a false description of an item (does not harm). See Creifelds
(non nocet) under falsa demonstratio non nocet; Chapter X, Note 46; cf
155 BGB
380
Falsche Verdchtigung false suspicion. See Chapter VIII, Note 20 E

Falschlieferung wrong delivery See Chapter X, Note 185 B. Cf Sachmangel
Flschung forgery
Falsus procurator See Vertreter ohne Vertretungsmacht
Familie family. See Creifelds under Familie and Chapter VIII C
Familiengericht Family Court. See Creifelds under Familiengericht; Chapter
XXI, Note 4; Chapter XXII (Note 73)
Familienrecht family law, right. See Chapter X B 1 4 and E
Familiensache family matter (dealt with by the Familiengericht (Family
Court): 23b GVG). See Creifelds under Familiensachen
and Chapter XIII D 1 (e)
Fehler(haft) 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
Fehlerfrei free of faults, perfect. See Chapter XIV B 6
Fernabsatzgesetz (FernAbsG) Law concerning Long-Distance Transactions. See Chapter
X, Expos (after 515 BGB)
Fernmeldegeheimnis telecommunication secrecy. See Article 10(i) GG and
Creifelds under Brief-, Post- und Fernmeldegeheimnis
Fernmeldeverkehr telecommunications (traffic). See Chapter XVII, Note 25
Fertigstellungsbescheinigung certificate of completion. See 641a BGB
Fest fixed; tight. See Chapter X C 3 (g) Expos Darlehen
Festnahme (physical) arrest; also Verhaftung. Cf Arrest. See Chapter
XVII D
Festsetzen to determine, fix, stipulate
Feststellen to ascertain, conclude, establish, declare
Feststellend ascertaining, establishing, effecting a declaration (as to
particular circumstances). See Chapter XIV C 5
Feststellung ascertainment, conclusion, finding, establishment,
declaration (of). See Chapter XX E
Feststellungsklage 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
Filiale see Niederlassung
Finanzamt tax office. It is a lower authority of a Land. See Creifelds
under Finanzamt and Chapter IV
Finanzbehrde tax authority
Finanzgerichtsbarkeit finance jurisdiction. See Chapter XXII C 4 and Creifelds
under Finanzgerichtsbarkeit
Finanzgerichtsordnung (FGO) Finance Courts Order. See Chapter XXII C 4
Finanzhilfe financial aid, subsidy, grant See Chapter V, Note 6
Finanzierungsleasing financed leasing. See Chapter X C 3 (g) Expos (b)
Finanzwesen finance system. See Chapter VII A and Creifelds under
Finanzwesen
381
Firma (trade) firm (name); also called Handelsfirma. See Chapter

XI B 2 (b) and Creifelds under Firma
Fiskalisch fiscal(ly). See Chapter II C and cf hoheitlich
Fiskus the state (as a fiscal entity). See Chapter X F 3 (a) (i) and X F 5 (e)
Fixgeschft time-fixed transaction. See Chapter X C 3 (b)
Fluchtgefahr danger of flight, absconding (by the suspect). See Chapter
XVII D (Note 38 B)
Folge consequence, result
Folgenbeseitigung disposal of consequences. See Chapter XIV, Note 23 C;
Chapter XV C
Folgesache ancillary matter. See Chapter XIII D 6 (b)
Forderung demand, (contractual) claim. See Chapter X C 3 (a); Chapter
X D 3 (h)
Frderung advancement, promotion
Formell formal(ly)
Formelles Recht formal law. See Chapter IX B
Formkaufmann businessman by reason of form. See Chapter XI B 2 (a)
Formlos informal(ly). See Chapter XIV B 3
Formularvertrag standard-form contract. See Chapter X B 2 (e)
Fortdauer der Haft continuation of custody. See Chapter XVII, Note 26 D
Fortsetzungsfeststellungsklage type of Feststellungsklage to establish or declare that a past
VA was illegal. See Chapter XV B
Fortsetzungsklausel continuation clause (in company agreement). See Chapter
XI B 3 (b) (iv)
Forum non conveniens 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
Fracht freight. See Chapter XI B 5
Frachtfhrer freighter. See Creifelds under Frachtfhrer and Chapter X
D 3(h) (Note 280)
Fragen to ask; questions
Fraktion parliamentary grouping. See Chapter VII C (Note 19)
Franchisegeber franchisor. See Chapter XI, Note 42
Franchisenehmer franchisee. See Chapter XI, Note 42
Freibeweis (the principle of) free evidence. See Chapter XX E. Cf
Strengbeweis and see Beweismittel
382
Freibleibend subject to availability, subject remaining unsold. See

Chapter X B 2 (c)
Freier Beruf free profession; eg, a Rechtsanwalt. See Chapter XIX A 2;
Chapter XXII D 2; Creifelds under Freie Berufe
Freier Mitarbeiter freelance assistant. See Chapter XVIII, Note 2
Freiheit freedom. See Creifelds under Freiheit, persnliche and
Chapter VIII C
Freiheit der Kunst, Wissenschaft, freedom of art, science, research and teaching. See Creifelds
Forschung und Lehre under Kunst, Freiheit der, Wissenschaft, Freiheit der and
Lehrfreiheit; Chapter VIII C
Freiheitliche demokratische basic order of freedom and democracy. See Creifelds under
Grundordnung Grundordnung, freiheitliche demokratische and Chapter II G
Freiheitsentziehung deprivation of freedom, detention (in custody). See
Creifelds under Freiheitsentziehung, Chapter VIII C (Note
36) and Chapter XVII D
Freiheitsrecht(e) freedom right(s). See Chapter VIII A
Freiheitsstrafe imprisonment; can be zeitig or Iebenslang. See Chapter
XVI B and D; Chapter XXI, Note 1
Freiwillig voluntarily. See Chapter XXII, Note 101
Freiwillige Gerichtsbarkeit non-contentious (voluntary) civil jurisdiction. See Chapter
XIII, Notes 32 and 37; Chapter XIII D 6 (b) 2; Chapter XXII C 2
Freizeichnungsklausel exclusion clause. See Chapter X B 2 (e)
Freizgigkeit freedom of movement. See Creifelds under Freizgigkeit;
Article 11(i) GG; Verkehr
Fremd foreign, alien, belonging to others.
Fremde Geschfte other persons business. See Chapter X B 4
Fremdsprache foreign language. See Chapter VIII, Note 18
Friedenspflicht duty of employer and Betriebsrat to maintain peace in the
Betrieb. See Creifelds under Friedenspflicht and see
Chapter XVIII D (c) and G
Frist 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)
Fristlos without notice. See Kndigung
Fristsetzung mit setting of a deadline with a threat of rejection (if the
Ablehnungsandrohung deadline is not observed). See 326 BGB
Fristverlngerung extension of time (period). See Chapter XIII, Note 129
Frchte fruits. See Chapter X C 3 (g) Expos (b)
Frher erster Termin initial (oral) hearing. See Chapter XIII D 2 (c) (iv)
Fhrerschein driving licence (ie, the actual document). Also Fahrerlaubnis
Fhrungsaufsicht supervision of conduct. See Chapter XVI D (Note 80)
Fhrungszeugnis certificate of conduct. See Bundeszentralregister
Fund finding of lost property. See Creifelds under Fund and
383
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.
Frsorgepflicht duty of care (towards someone). See Chapter XIII, Note
69; Chapter XVIII, Notes 3 and 61
Fusion amalgamation, fusion, merger. Also Verschmelzung,
Zusammenschlu
Garantenpflicht a special legal duty to act to prevent an Unterlassungsdelikt.
See Chapter XVI C 1 (b)
Garantievertrag contract of guarantee, indemnity. Cf Brgschaft. See
Chapter X Note 177; Schadloshalten
Gastwirt(schaft) inn (keeper). See Chapter X C 3 (g) (Title 13)
Gattungsschuld generic debt. See Creifelds under Gattungsschuld and
Chapter X, Notes 116, 126 F and 234
Gebietskrperschaft territorial corporation. See Chapter II (Notes 1 and 11)
Gebotsnorm (criminal) norm commanding that (requiring) certain
action (to) be carried out. See Chapter XVI C 1 (b)
Gebrauch use.
Gebrauchsmuster 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
Gebrauchsberlassung grant of use. See Chapter X, Note 159; Chapter X C 3 (g)
Expos (a)
Gebhr(en) fee(s). See Creifelds under Rechtsanwaltsgebhr and see
also Gerichtskosten and Chapter XXII D 8
Gebhrenstreitwert Streitwert for the purpose of court fees. See Chapter XIII D 1 (e)
Gebhrenberhebung overcharging. See Chapter XXII D 5
Gebhrenunterschreitung undercutting (of fees). See Chapter XXII, Note 101
Geeignet suitable. See Chapter VIII B
Gefahr danger, threat risk. Also Gefhrdung
Gefahrenabwehr (the) warding-off of dangers. See Creifelds under
Gefahrenabwehr; Chapter XVII D (Note 32); Chapter XXII
(Note 50)
Gefahr im Verzug 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
Gefahrenquelle source of danger. See Chapter X Note 222 B
384
Gefahrtragung carriage of risk. See Chapter X, Note 126 G

Gefahrbergang transition of risk. See Chapter X, Note 126 G
Gefhrden to endanger, threaten
Gefhrdungshaftung strict liability. See Chapter X C 3 (a) (Note 126 D); Chapter
X, Note 222 E; Chapter XVI C (Note 17)
Geflligkeit(sverhltnis) (relationship of grace and) favour. See Chapter X C 3 (a)
(Note 115) and (g) (Note 166)
Gegenbeweis counter-evidence. See Chapter XIII B 7 (Note 10); Chapter
XXII E. Cf Hauptbeweis
Gegendarstellung response. See Chapter VIII, Note 20 E
Gegenleistung counter-performance. See Chapter X C 3 (a)
Gegennorm counter-norm. See Chapter XIII B 7 (Note 10)
Gegenrecht counter-right, defence. See Chapter X B 1 4
Gegenseitiger Vertrag 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)
Gegenseitigkeit reciprocity. See Chapter XXI C
Gegenstand thing; matter. See Creifelds under Gegenstand and Chapter
XB13
Gegenstandswert 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
Gegenberstellung identity parade. See Chapter XVII, Note 38 H
Gegenvorstellung counter-response. See Chapter XV A; Chapter XXII, Note 19
Gegenwrtig present(ly), current(ly). See Chapter VII C
Gehalt salary. Of public officials: Besoldung
Geheimhaltung (maintenance of) secrecy. See Chapter XIV B 3
Geheimhaltungspflicht duty of secrecy. See Creifelds under Berufsgeheimnis;
Chapter XXII D 5
Gehemmt prevented from taking effect/running. See Verjhrung and
Aufschiebende Wirkung
Geistesschwche imbecility. See Chapter X F 3 (c) (i)
Geldbue fine (punishment for Ordnungswidrigkeit). See Chapter
XVI B (Note 9)
Geldforderung money claim. See Chapter XIII D 8 (c) (i)
Geldschuld money debt. See Chapter X, Note 116; Creifelds under
Geldschuld. See also Leistungsort
Geldstrafe fine (punishment for Straftat). See Chapter XVI B and D
and cf Geldbue
Geltend machen to assert, exercise (a claim, right). See Chapter XIII D 1 (f)
(i); Chapter XIX B (at Note 27)
Gemeinde local authority (below a Kreis), commune. See Creifelds
under Gemeinde and Chapter VI
385
Gemeindebezirk borough. See Chapter VI, Note 1

Gemeindeordnung local government law governing the Gemeinden in a Land.
See Chapter VI
Gemeinderat see Gemeindevertretung
Gemeindeverband Gemeinde association. See Creifelds under
Kommunalverbnde 1nd Chapter VI (Note 1)
Gemeindevertretung legislative organ of a Gemeinde, assembly of Gemeinde,
(municipal) assembly of Gemeinde representatives,
(town) council/parliament. See also Gemeinderat,
Stadtverordnetenversammlung and Chapter VI
Gemeindeverwaltung administration, executive of a Gemeinde. See
Oberbrgermeister
Gemeingefhrliche Straftaten offences involving danger to the public (at large). See
Chapter XVI B (Note 14)
Gemeinsam joint(ly). See Chapter XIII D 6 (b) 2.
Gemeinsamer Ausschu (emergency) joint council. See Chapters III and VII A
Gemeinsamer Senat der obersten Joint Senate of the Supreme Federal Courts. See Einheitlich
Gerichtshfe des Bundes
Gemeinschaft nach Bruchteilen 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
Gemeinschaft(lich) community; jointly. Can be zur gesamten Hand
(Gesamthandsgemeinschaft) or nach Bruchteilen. See
Chapter XI A and B
Gemeinschaftsaufgabe 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)
Gemeinschaftsunternehmen joint venture. See Eisenhardt, Chapter 12 ( 52). See also
Unternehmensvertrag
Gemeinschaftswert community value. See Chapter XVI B
Genau exact(ly). See Chapter XIII, Note 96
Genehmigen to approve, allow
Genehmigung approval, permission. See Chapter X B 2 (a) and (b) (Note
35); Chapter XIV C 6; Chapter XIX A 2
Generalbundesanwalt general federal prosecutor (at the BGH); federal attorney-
general. See Chapter XVII B
Generalklausel general clause (eg, 40(i) VwGO). See Creifelds under
Generalklausel
Generalstaatsanwalt general state prosecutor (at the OLG). See Chapter XVII B
Genossenschaft cooperative (association/society). See Creifelds under
Genossenschaft and Chapter XI, Note 5. See also Vorstand
Gerecht(igkeit) just(ice). See Creifelds under Gerechtigkeit. Cf Recht
Gericht court. See Creifelds under Gericht and Chapter XXII C
386
Gerichtlich judicial(ly), by the court

Gerichtsbarkeit 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
Gerichtsbescheid see Chapter XV D
Gerichtskosten court fees. Part of the Prozekosten. See Creifelds under
Gerichtskosten and Chapter XIII D 2 (c) (i)
Gerichtskostengesetz (GKG) Court Fees Law. See Chapter XIII D 2 (c) (i) and Chapter
XXII D 8
Gerichtsperson member of court personnel. See Chapter XIII D 1 (b)
Gerichtsstand (place of) local jurisdiction (rtliche Zustndigkeit), venue.
See Zustndigkeit
Gerichtsstandsvereinbarung agreement on jurisdiction. See Chapter XX D 2; Chapter
XXII, Note 74
Gerichtsverfassung constitution of the court(s). See Creifelds under
Gerichtsverfassung
Gerichtsverfassungsgesetz (GVG) Law relating to the Constitution of the Courts. See Chapter
XIII D 1 (e) and Chapter XXII C 2
Gerichtsvollzieher (court) bailiff. See Chapter XIII D 1 (g) (ii), Chapter XIII D
2 (c) (i) and D 8 (c) (v) and Creifelds under
Gerichtsvollzieher
Gerichtszahlstelle court cashiers office
Geringfgig(keit) insignificant; insignificance. See Chapter XVII E (Note 40 A)
Gesamthnder member(s) of a Gesamthandsgemeinschaft. See Chapter XI A 3
Gesamthandseigentum see Gesamthandsvermgen
Gesamthandsgemeinschaft joint community. See Creifelds under Gesamthandsgemeinschaft;
Chapter X F 4 (b); Chapter XI B 3
Gesamthandsvermgen joint property, assets. See also Gesamthandsgemeinschaft
Gesamtrechtsnachfolge universal succession (principle). See Chapter X F 4 (a)
Gesamtschuld joint debt. See Chapter X, Note 157 and 421ff BGB
Gesamtschuldner joint debtor(s). See Chapter XI B 3
Gesamtstaat whole state. See Chapter II A
Gesamtstrafe combined punishment. See Chapter XVI, Note 73
Geschft business; shop; transaction, bargain, deal
Geschftsanteil 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
Geschftsbesorgungsvertrag 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
Geschftsfhig(keit) capable of undertaking (capacity to undertake) a
387
Rechtsgeschft (legal transaction). See Creifelds under

Geschftsfhigkeit and Chapter X B 1 9 and B 2 (a)
Geschftsfhrer director (of a company)
Geschftsfhrung (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)
Geschftsfhrung ohne transaction (of a matter) without instruction/without a
Auftrag (GoA) mandate. See Creifelds under Geschftsfhrung ohne
Auftrag; Chapter X C 3 (g) (Title 11); Chapter X F 5 (a)
Geschftsfhrungsbefugnis right of company member(s) to manage the company. See
Chapter XI C 3 (b) (ii)
Geschftsgebhr business fee. See Chapter XXII D 8
Geschftsgrundlage basis of the transaction. See Chapter X, Note 47 D and
Leistungsstrung
Geschftsherr principal. See Chapter X C 3 (g) (Title 11)
Geschftslokal place of business. See Chapter XIII D 1 (g) (ii)
Geschftsordnung business code, rules (of procedure), standing orders. See
Creifelds under Geschftsordnung and see also Satzung
Geschftsstelle business office (eg, of a court). See Chapter XIII D 1 (g) (ii)
and D 2 (c) (i)
Geschftswert business value (for fees of the court and lawyers in non-
contentious matters and for the fees of the Notar). See
Creifelds under Geschftswert and Chapter XXII D 8
Geschftswille will to engage in a particular transaction. See Chapter X B
2 (b) (The term Willenserklrung)
Geschmacksmuster (registrable) pattern (or model) of aesthetic content. It must
be novel and original (eigentmlich). See Creifelds under
Geschmacksmuster.
Geselle apprentice
Gesellschaft 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; Handels-
G=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
Gesellschafter member of a company, shareholder. Also Mitglied
Gesellschafterversammlung members meeting
Gesellschaft mit beschrnkter (private) company with limited liability. See Chapter XII
Haftung(GmbH) and Gesellschaft
Gesellschaftsanteil share of a member in a company. Cf Geschftsanteil
Gesellschaftsrecht company law. See Chapter XI
Gesellschaftsvermgen assets of a Gesellschaft. See Chapter XI A 3
Gesellschaftsvertrag company agreement, articles of association; sometimes
388
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
Gesetz betreffend die Law relating to (private) companies with limited liability.
Gesellschaften mit beschrnkter See Chapter XI A1 and Chapter XII A
Haftung (GmbHG)
Gesetz ber die Angelegenheiten Law relating to matters within the non-contentious
der freiwilligen Gerichtsbarkeit (voluntary) civil jurisdiction. See Chapter XXII C 2
(FGG)
Gesetz ber die Ttigkeit Law regarding the activity of european lawyers in
europischer Rechtsanwlte Germany. See Chapter XXII D 3
in Deutschland (EuRAG)
Gesetz zur Regelung des Law to regulate the law of general contract terms. See
Rechts der Allgemeinen Chapter X B 2 (d)
Rechts der Allgemeinen
Geschftsbedingungen (AGBG)
Gesetzesaufbau construction of a law, statute. See Chapter X C 2 2
Gesetzeskonkurrenz concurrence of statutory provisions. See Chapter XVI, Note 73
Gesetzeskraft force of law, statutory force. See Chapter VII C
Gesetzesvorbehalt 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
Gesetzgebende Gewalt legislative power. Also Gesetzgebung. See Creifelds under
Gesetzgebende Gewalt and Chapter II F
Gesetzgebung legislature; legislation. See Creifelds under Gesetzgebung
and Chapter II F
Gesetzgebungskompetenz competence to pass laws; legislative competence. See
Chapter II B
Gesetzliche Frist Frist set by statute. See Chapter XIII D 1 (g) (iii)
Gesetzlicher Erwerb statutory acquisition (of ownership). See Chapter X D 3 (c) (ii)
Gesetzlicher Forderungsbergang assignment by operation of law. See Chapter X, Note 156
Gesetzlicher Richter the judge appointed by statute, ie, it is a basic principle
389
(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
Gesetzlicher Vertreter legal (statutory) representative. See Chapters X B 1 9 and
XIII D 1 (f) (i)
Gesetzliches Schuldverhltnis obligation arising from statute. See Chapter X C 2 3
Gesetzmigkeit der Verwaltung 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
Gesichtspunkt aspect. See Chapter VIII, Note 22; Chapter XIII D 2 (c) (vi);
Chapter XIX A 2
Gestaltungsfreiheit freedom to form (ie, arrange, design, shape) legal
relationships. See Chapter X B 1 6; Chapter X B 2 (e)
Gestaltungsklage writ claiming the Umgestaltung (rearrangement) of a legal
situation, position. See Creifelds under Gestaltungsklage;
Chapter XIII D 2 (c) (ii) and Chapter XV B
Gestaltungsrecht formulation right. See Creifelds under Gestaltungsrecht
and Chapter X B 1 4
Gestndnis confession; admission (of facts by a party). See Creifelds
under Gestndnis and Chapter XIII D 2 (c) (iv) (Note 107)
Gestio pro herede conducting oneself like an heir, ie, meddling in an estate.
See Chapter X F 5 (a) (ii)
Gesundheitsschutz protection of health. See Chapter XVIII H
Gewhrleistung(srecht) guarantee (right). See, regarding a Kaufvertrag, 434, 437,
443, 459ff BGB and, regarding a Werkvertrag, 634ff BGB
and Creifelds under Gewhrleistung
Gewalt(ttigkeit) force, violence. See Landfriedensbruch
Gewaltenteilung separation of powers. See Creifelds under
Gewaltentrennung and Chapter II F
Gewerbe 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
Gewerbeaufsichtsbehrde business (trade) supervisory authority. See Creifelds under
Gewerbeaufsicht; Chapter XVIII H; Chapter XIX A 2
Gewerbebetrieb a specific business (as exercised/operated). See Chapter
XI, Note 31; Chapter XIX A 2; Recht am eingerichteten und
ausgebten Gewerbebetrieb
Gewerbeordnung (GewO) Business (Trade) Order. See Creifelds under
Gewerbeordnung; Chapter XVIII H; Chapter XIX A 2;
Konzession
Gewerberecht business law. See Chapter XIX A2
Gewerbeunternehmer a person, who engages in a business (trade) enterprise; an
entrepreneur
Gewerblicher Rechtsschutz business protection. See Chapter XIX A 1
Gewerbsmig full-time, professional(ly). See Chapter XI, Note 41
Gewerkschaft trade union. See Creifelds under Gewerkschaft,
390
arbeitsrechtliche and Chapter XVIII D and G

Gewinn profit, gain. See Chapter XI B 3 (b) (ii); Chapter XIX A 2
Gewissen conscience. See Creifelds under Glaubens- u.
Gewissensfreiheit and Chapter VIII C (Article 4(i) GG)
Gewissenhaft conscientious(ly). See Chapter XXII D 5
Gewohnheit custom, habit. See Chapter IX B
Gewohnheitsrecht customary law. See Chapter I; Chapter X, Note 135 D;
Chapter XIV A
Gewhnlich usual(ly). See Chapter XI B 2
Girokonto current (giro) account
Girovertrag contract to set up/maintain a current (giro) account at a
bank. See Chapter X C 3 (g) (Title 10); Chapter XIX, Note
36
Glauben to believe; belief. See Chapter VIII C (Article 4(i) GG)
Glaubhaft credible. See Chapter XIII D 6 (b) 1
Glaubhaftmachen to make credible, substantiate
Glaubhaftmachung substantiation. See Chapter XIII B 7 (Note 9). Cf
Substantiierung
Glubiger creditor, obligee. See Creifelds under Glubiger and
Chapter X C 3 (a)
Glubigerbenachteiligung fraud on creditors. See Chapter X, Note 220
Glubigerstreit dispute between creditors. See Chapter XIII D 1 (f) (iii)
Gleichbehandlungsgrundsatz equal treatment principle. See Chapter VIII, Note 22
Gleichberechtigung equal entitlement, right(s) (of). See Creifelds under
Gleichberechtigung and Chapter VIII C (Article 3(ii) GG)
Gleichheit (vor dem Gesetz) equality (before the law). See Creifelds under Gleichheit
vor dem Gesetz and Chapter VIII C (Article 3(i) GG)
Gleichheitsrecht(e) equality right(s). See Chapter VIII A
Gleichordnung equal level, basis. See Chapter IX B
Gliedstaat member state. See Chapter II A
Gratis free of charge. Also Unentgeltlich
Greifbar capable of seizure, tangible. See Chapter XIII, Note 67
Grenze border, boundary, limit
Grenzschutzamt border protection office. Is a Bundesunterbehrde. See
Chapter IV
Grenzberschreitende Ttigkeit cross-border activity (eg, of lawyers)
Grob gross. See Chapter X, Note 259 and Chapter XVI C 3 (c)
Grobe Fahrlssigkeit gross negligence. See Chapter XI B 1
Grober Behandlungsfehler gross medical error (in treatment). See Chapter X, Note 126 J
Grund ground, basis, reason
Grundbuch land register. See Creifelds under Grundbuch and Chapter
X D 3 (b)
Grundbuchamt land registry (office). See Chapter XIII, Note 32
391
Grunddienstbarkeit easement (over land). See Creifelds under

Grunddienstbarkeit and Chapter X D 3 (e)
Grnder founder, promoter
Grundgesetz (GG) Basic Law, federal constitution. See Creifelds under
Grundgesetz and Chapter VII
Grundhandelsgewerbe basic commercial trade, trading activity. See Chapter XI C 2 (a)
Grundkapital basic (share) capital of an Aktiengesellschaft. Called
Stammkapital in the case of a GmbH. See Chapter XII C.
Grundnorm basic norm. See Preface to Second Edition, Note 12; Chapter
I, Note 17
Grundpfandrecht security right (charge) over land. See Chapter X D 3 (h)
Grundrecht(e) basic right(s). See Creifelds under Grundrechte and
Chapter VIII
Grundregel basic rule. See Chapter XIII, Note 10
Grundstzlich basically, fundamentally, essentially, in principle
Grundschuld land charge. See Chapter X D 3 (h)
Grundschuldbrief land charge certificate. See Chapter XIX B
Grundstck(e) piece(s) of land. See Chapter X D 1. Also Immobilie(n);
Liegenschaft(en)
Grundstcksgleiches Recht a right equivalent to land. See Eigentumshnliches Recht
Grundstckskaufvertrag contract for the purchase/sale of land. See Chapter X, Note 256
Grndung creation, establishment, formation, foundation
Grundverfgung basic VA (administrative act (order)). See Chapter XVIII H
Gltig(keit) valid(ity). See Chapter VII B; Chapter VII, Note 12; Chapter
XIV, Note 24
Gutachten written opinion, expertise. See Chapter XXII D 8 community
of property between spouses. See Creifelds under
Gtergemeinschaft Gtergemeinschaft, Chapter XI A 3 and Gterrecht below
Gterrecht (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
1563 BGB; Chapter X E; Chapter XIII D 6 (b) 2; Creifelds

under Ehevertrag, Gtergemeinschaft, Gterrecht, eheliches,
Gterrechtsregister, Gterstnde, Gtertrennung,
Zugewinn, Zugewinnausgleich and Zugewinngemeinschaft
Gterstand property status (relationship) between spouses. See
Gterrecht
Gtertrennung separation of assets/property. See Gterrecht; Chapter X
F 3 (a) (ii)
Gterumlauf circulation of goods. See Chapter XIX B
Gute Sitten good morals. See Chapter X F 3 (c) (iv). See also
Sittenwidrig(keit)
Gteverhandlung conciliation proceedings. See also Einigungsstelle
Gteversuch attempt to reach a settlement. See Chapter XIII D 2 (c) (v);
Vergleich
Gutglubiger Erwerb bona fide acquisition (of ownership). See Creifelds under
Gutglubiger Erwerb; Chapter X D 3 (c) (ii); Chapter XIX B
Haftbefehl arrest warrant. See Chapter XVII B and Creifelds under
Haftbefehl
Haften (fr) 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)
Haftgrund ground (based on fact) for detaining a suspect in custody.
See Chapter XVII C (Note 38)
Haftpflichtversicherung public liability insurance
Haftprfung reexamination/review of custody. See Chapter XVII, Notes
26 B and 38 D
Haftung 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)
Haftungsbeschrnkung limitation of liability. See Chapter XI B; Chapter XXII D 9
Haftverschonung exemption from custody, ie, suspension of an arrest
warrant, bail. See Chapter XVII, Note 26 C
Haltung point of view, position, stance. See also Stellungnahme
Handakte (lawyers) file. See Chapter XXII D 4 and also Akte
Handel trade, commerce. See Chapter XIX A 2
Handelsauskunft trade information, credit reference
Handelsbrauch commercial (trade) custom, usage. See Chapter XI B 5 (Note
58); Chapter XXII, Note 74
Handelsbcher (trade) books. See Chapter XI C 4
Handelsfirma (trade) firm (name). Also Firma
Handelsgeschft commercial transaction. It can mean a trading enterprise
(Unternehmen). See Chapter XI C 5
Handelsgesellschaft see Gesellschaft and Chapter XI A
Handelsgesetzbuch (HGB) Commercial Code. See Chapter XI
Handelsgewerbe trading activity. See Chapter XI, Note 31; Chapter XI C 2 (a)
393
Handelskammer see Kammer fr Handelssachen

Handelskauf trade purchase. See Chapter XI C 5
Handelsmakler (trade) broker. See Chapter XI C 2 (e) and cf Makler
Handelsrecht commercial law. See Creifelds under Handelsrecht;
Chapters XI and XIX A
Handelsregister commercial (trade) register. See Creifelds under
Handelsregister and Chapter XI C 2 (b)
Handelsrichter (honorary) commercial judge. See Creifelds under
Handelsrichter and Chapter XXII A
Handelssache commercial matter. See Creifelds under Handelssache
Handelsstand trade class(ification). See Chapter XI C 1 and 2
Handelsvertreter commercial/mercantile agent, factor, trade representative.
See Chapter X, Note 31; Chapter XI C 2 (e)
Handlung act(ion). See Rechtshandlung; Unerlaubte Handlung;
Chapter XVI C 1 (a)
Handlungsfhigkeit capacity to act. See Chapter X, Note 5
Handlungsfreiheit freedom of action. See Chapter VIII C (Article 2(i) GG)
Handlungsgehilfe trading assistant; also referred to as kaufmnnische(r)
Angestellte(r). See Creifelds under Handlungsgehilfe;
Chapter X, Note 31; Chapter XI C 2 (d)
Handlungslehrling see Lehrling
Handlungsort place at which an act is carried out. See Chapter XX, Note 25
Handlungsvollmacht authority to trade; trading power of attorney. See Creifelds
under Handlungsvollmacht and Chapter XI C 2 (c). Cf
Prokura
Handlungswille will to act (at all). See Chapter X B 2 (b) (The term
Willenserklrung)
Handwerk handicraft, manual activity. See Chapter XIX A 2
Handwerker craftsman, handiman, manual worker. See Chapter XVIII,
Note 2; Chapter XIX, Note 16
Handwerksmeister master craftsman
Handwerksordnung (HandwO) Handicraft Order. See Chapter XIX, Note 16
Handwerksrolle Register of Craftsmen, Handicraft Register
Hauptbeweis main evidence. See Chapter XIII B 7 (Note 10) and cf
Gegenbeweis
Hauptintervention direct intervention. See Chapter XIII D 1 (f) (iii)
Hauptpartei main party. See Chapter XIII D 1 (f) (iii)
Hauptpflicht main/prime obligation. Also Hauptverbindlichkeit. See
Chapter X, Notes 126 F and 159; Chapter X C 3 (g) Expos (c)
Hauptstrafe main punishment. See Chapter XVI D
Haupttermin (main) hearing (in civil proceedings). See Chapter XIII D 2
(c) (iv), (v) and (vi)
Hauptverbindlichkeit main obligation. Also Hauptpflicht. See Chapter X Note 159
Hauptverfahren main (criminal) proceedings. See Chapter XVII E and
Creifelds under Hauptverfahren
394
Hauptverhandlung main (criminal) hearing. See Chapter XVII E and Creifelds

under Hauptverhandlung
Hauptverhandlungshaft main hearing custody. See Chapter XVII F
Hauptversammlung main assembly, (annual) general meeting (of shareholders
in a public company). See Creifelds under
Hauptversammlung
Hausfriedensbruch (criminal) trespass to land. See Chapter XVII, Note 9
Hausratsverordnung Regulation regarding the treatment of the matrimonial
(HausratsVO) home and contents (1944). See Chapter XIII D 6 (b) 2
Haustrwiderrufsgesetz Law regarding the Revocation of Doorstep Transactions.
(HaustrWG) See Chapter X B 2 (e) (Group remedies)
Hehlerei handling (illegally acquired goods). See Chapter XVII, Note
38 C
Heiliges Rmisches Reich Holy Roman Empire (of the German Nation). See Chapter I
(Deutscher Nation) (Note 7)
Heilen to cure, make good, rectify
Heilung cure, remedy. See Chapter XIII D 1 (f) (i); Chapter XIII, Note 96
Heimarbeiter home worker. See Chapter XVIII, Note 2
Heimat(recht) home (law). See Chapter XX, Note 25
Hemmen to impede, suspend, temporarily stop (the running of a
limitation period)
Heranwachsender young person (between 18 and 21); adolescent. Cf
Jugendlicher
Herausgabe(anspruch) (right to claim) the return, release of a Sache. See
Vindikation; Chapter XIII D 8 (d)
Herrschaftsrecht right of dominance. See Chapter X B 1 4
Hersteller manufacturer, producer. See Chapter X C 3 (g) ( 631651
BGB); Chapter X, Note 126 J; Chapter XI, Note 42; Fabrikant;
Unternehmer
Herstellung manufacture, production
Hilfsantrag auxiliary application. See Chapter XIII, Note 41; Chapter
XIII D 2 (c) (iii)
Hilfsbeamter auxiliary officer. See Chapter XVII, Note 22
Hilfsnorm accessory norm. See Chapter X B 1 4 (Note 18)
Hilfsperson assistant. See Chapter XI C 2 (c) to (e)
Hilfsweise on an auxiliary basis
Hilfsweise Anwendung subsidiary application. See Chapter XVIII A (Note 1)
Hinauskndigungsklausel clause in a company agreement enabling a member to be
excluded by the others. See Chapter XI C 3 (b) (iv)
Hindern to hinder, impede, prevent obstruct, stop
Hinreichend sufficient(ly). See Chapter X B 2 (c) (Rules governing offer
and acceptance); Chapter XIII, Note 96; Chapter XIV C
Hinterleger depositor. See Chapter X C 3 (g) Expos Darlehen
Hinterlegung deposit (of property). Cf Anzahlung. See Chapter X C 3
(c) (Title 2)
395
Hinweis reference (to). See Chapter X B 2 (e)

Hinweisen (auf) to point out, refer to
Historische Rechtsschule historical school (of law). See Chapter I
Hochschule high school. See Chapter II C (Note 11)
Hchstpersnlich highly/most personal. See Chapter XIX A 2
Hoheitlich official(ly); based on/endowed with/supported by
formal/public legal authority/command. See Chapter II
C and cf fiskalisch
Hoheitsrecht (individual) sovereign (state) power/right. See Chapter II,
Note 3
Holschuld see Leistungsort
Homo homini lupus man is the wolf of man. See Chapter I (Note 10)
Honorar (professional) fee. See Chapter XXII D 8
Honorarvereiribarung fee agreement. See Chapter XXII, Note 100
Hypothek mortgage; cf Grundschuld. See Chapter X D 3 (h)
Hypothekenbank mortgage bank. See Chapter XIX B
Hypothekenbrief mortgage certificate. See Chapter X D 3 (h); Chapter XIX B
Idealkonkurrenz see Tateinheit
Im eigenen Namen in (ones, his, her, its) own name. See Kommissionr
Im Falle (von) in the event (of)
Immanent implicit in. See Chapter VIII B
Immaterialrechtsgut intellectual property. See Chapter X B 1 3
Immaterieller Schaden immaterial loss. See Chapter X, Note 118
Immobilie(n) see Grundstck(e)
Im ffentlichen Interesse in the public interest. See Chapter XVII at Note 14
Im staatlichen Auftrag on state instructions. See Chapter XVI A (Note 3)
Im Zweifel in the event of doubt. See Chapter X F 4 (d)
Individualabrede individually negotiated agreement. See Chapter X B 2 (e)
Indizienbeweis 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
Indossament indorsement. See Chapter XIX B
In dubio pro reo in case of doubt: for the accused. See Chapter XIII B 7 (Note
10) and Creifelds under In dubio pro reo. Cf ble Nachrede
Industrie industry. See Chapter XIX A 2
Informationsfreiheit freedom of information (access to public sources). See
Creifelds under Informationsfreiheit; Chapter VIII C; Verkehr
Informationsgesellschaft information(-based) society. See Preface to Second Edition,
Note 9
In fremdem Namen in someone elses name. See Chapter XIII D 1 (f) (iv) (The
term Vollmacht)
In gutem Glauben 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) person entitled, holder, owner, proprietor; entitlement,
ownership. See Chapter X B 1 4
Inhaberpapier bearer security (Wertpapier). See Chapter XIX B. Cf
Orderpapier
Inhaberzeichen bearer sign. See Chapter XIX B
Inhalt content. See Chapter X C 3 (a); Chapter XIII, Note 96
Inhaltskontrolle (system of) control of content (of contract terms). See
Chapter X, Note 23; Chapter X B 2 (e)
Inland inland, domestic territory, (within) national boundaries (ie,
Germany). Cf Ausland
Innengesellschaft internal company. See Chapter XI, Note 17
Innenverhltnis internal relationship. See Chapter XIII D 1 (f) (iv)
Innerbetriebliche Grnde internal business reasons. See Chapter XVIII, Note 14
Inquisitionsprinzip 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
Insolvenz insolvency. See also Zahlungsunfhig
Insolvenzfest insolvency-proof. See Chapter XVIII B 4
Insolvenzordnung Insolvency Order. Supercedes the Konkursordnung from
1.1.1999
Insolvenzverwalter insolvency administrator. See Chapter XVIII B 4
Instandhalten to maintain (in proper condition). See Chapter X C 3 (g)
Expos (c)
Instandsetzen to repair, restore. See Chapter X C 3 (g) Expos (c)
Interesse interest (in). See Chapter I
Interessenjurisprudenz jurisprudence based on (a balancing of) interests. Cf
Begriffsjurisprudenz and see Chapter I
Interessenvertreter representative of particular interests, lobbyist. See Chapter
XI A 2
Internationales Privatrecht private international law. See Chapter XX
Interventionswirkung effect of Nebenintervention
Invitatio ad offerendum invitation to treat (make offers). See Chapter X Note 66
Inzidentkontrolle incidental control (of a norm). See Chapter VII C
Ipso iure by operation of law. See Chapter X F 4 (a)
Irrefhren to deceive, mislead. See Chapter X, Note 220. Also
Tuschen
Irrtum mistake. See Chapter X B 2 (b) (nullity and challengability
of a Willenserklrung; Chapter X F 3 (c (iv)
Iura novit curia the court knows the law. See Chapter XIII D 2 (c) (iii) (Note
397
98) and Creifelds under iura novit curia

Ius law, right. See Chapter I, Note 10
Ius civile civil law. See Chapter I (Notes 3 and 6)
Ius cogens compulsory law. See Chapter IX B
Ius dispositivum dispositive law. See Chapter IX B
Ius gentium law common to all mankind; public international law. See
Chapter I, Notes 3 and 9 and Vlkerrecht
Ius honorarium honorary law (of the magistrate or praetor). See Chapter I
(Note 6)
Ius naturale natural law. See Chapter I, Notes 3, 9 and 10
Ius privatum private law. See Chapter I, Note 3 and Privatrecht
Ius publicum public law. See Chapter I, Note 3 and ffentliches Recht
Jahresabschluss annual statement (of a company)
Jahreshauptversammlung see Hauptversammlung
Jederzeit at any time. See Chapter X C 3 (g) Expos (b); Chapter X F
3 (c) (ii); Chapter XVII, Note 38 D
Jenseits vernnftigen Zweifels beyond reasonable doubt. See Chapter XIV B 7
Jugendamt Youth Office
Jugendgericht youth court, juvenile court. See Chapter XVI, Note 40
Jugendgerichtsgesetz (JGG) Juvenile Courts Law. See Chapter XVI, Note 40
Jugendhilfe youth welfare. See Creifelds under Kinder- und Jugendhilfe;
Chapter VI, Note 4
Jugendlicher youth (between 14 and 18). See Chapter XVI, Note 40
Jugendstaatsanwalt youth prosecutor. See Chapter XVI, Note 40
Jugendstrafe juvenile punishment. See Chapter XVI, Note 40
Juristische Person 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
Juristische Person des see Krperschaft des ffentlichen Rechts
ffentlichen Rechts
Justiz judicature. See Chapter XXII C 6
Justizangestellte(r) judicial clerk
Justizgewhrungsanspruch (general) right of (access to) justice. See Chapter VIII C. Cf
Rechtsschutzbedrfnis
Justizielles Grundrecht (so-called) judicial basic right. See Chapter VIII, Note 36
Justizverwaltung judicial administration. See Chapter XXI A; Chapter XXII
C 6. Cf Rechtspflege
Justizverwaltungsakt administrative act issued by a judicial authority in the field
of Justizverwaltung. See Chapter XIV C 1
Kammer chamber (of a court; or of a professional or commercial
body). See Creifelds under Kammer
Kammer fr Handelssachen chamber for commercial matters. See Chapter XIII D 1 (e)
Kannkaufmann voluntary businessman. See Chapter XI, Note 31
398
Kapitalanlage investment. See Chapter XIX B

Knpitalanteil (arithmetical) share in the assets (capital) of an OHG or
KG. See Creifelds under Kapitalanteil; Chapter XI, Note
12. Cf Geschftsanteil
Kapitalaufbringung raising of capital. See Chapter XIX B
Kapitalgesellschaft capital(ised) company, stock corporation. See Creifelds
under Kapitalgesellschaft, Chapter XI A 2 and cf
Personengesellschaft
Kardinalpflicht cardinal duty. See Chapter X B 2 (e)
Karenzentschdigung compensation during the period of restriction (under a
Wettbewerbsverbot). See Chapter XI C (Competition by
employees during and after employment)
Kassation see Aufhebung
Kauf purchase. See Creifelds under Kauf and Chapter X C 3 (g)
(Title 1) ( 433514 BGB)
Kufer purchaser. See also Erwerber
Kaufmann businessman, merchant, trader. See Creifelds under
Kaufmann and see Formkaufmann, Mukaufmann,
Scheinkaufmann and Sollkaufmann. Cf Hndler (dealer)
Kaufmnnische(r) Angestellte(r) (trade) employee. See Handlungsgehilfe
Kaufmnnisches commercial letter of confirmation. See Creifelds under
Besttigungsschreiben Besttigungsschreiben and Chapter X B 2 (c)
Kaufvertrag purchase contract, contract of sale. See Chapter X C 2 2
and Kauf
Kausalitt causation; also Urschlichkeit. See Chapter X, Notes 119
and 126 I; Chapter XVI C 1 (a); Creifelds under Kausalitt
im Strafrecht
Kausalzusammenhang causal connexion. See Chapter X Note 119
Kenntnis knowledge. See Chapter XVII B
Kenntnis der Sachlage knowledge of the position. See Chapter X F 3 (c) (iv)
Kennpzeichen (distinguishing) sign, (reference) number, badge. See
Marke
Kennzeichnen to characterize, distinguish, mark. See Chapter XIII, Note 96
Kette chain. See Chapter X D 3 (h)
Kind child. See Chapter X E
Kindschaftssache parenthood matter. It includes questions of paternity
(Vaterschaft). See Chapter XIII D 6 (a) and 640(ii) ZPO
Kirchlich ecclesiastical. See Chapter X E
Klage writ; (criminal) complaint, indictment; action; suit. See
Creifelds under Klage and Chapters XIII C I, XIII D 2 (c),
XV B and XVII E
Klagenderung amendment of a writ. See Chapter XIII D 2 (c) (iii)
Klageantrag application (to the court) in a writ. See Chapter XIII D 2 (c) (iii)
Klageart type of writ. See Chapter XIII D 2 (c) (ii) and Chapter XV B
399
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
Klagebegrndung see Klagegrund
Klger plaintiff
Klageerwiderung defence to a writ. See Chapter XIII D 2 (c) (iv)
Klageerzwingungsverfahren procedure to compel a criminal prosecution by the
Staatsanwaltschaft. See Chapter XVII, Note 40 B
Klagegrund 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)
Klagenhufung cumulation of claims. See Chapter XIII D 2 (c) (iii)
Klageschrift statement of claim, writ See Chapter XIIID 2 (c) (i)
Klagevortrag submission(s) in the Klage (of the Klger). See Chapter
XIII D 2 (c) (iii)
Klageziel aim of the action. See Chapter XIII, Note 96; Chapter XV D
Klar dead(ly)
Klausel clause (in an agreement). See Chapter XI C 3 (b) (iv)
Kleingedrucktes small print See Chapter X B 2 (e)
Kleingewerbetreibender small businessman. See Chapter XI, Note 31
Knebeln to fetter, restrain. See Chapter X Note 58
Koalition coalition (ie, trade union or employer association). See
Chapter XVIII G
Koditionsfreiheit freedom to form coalitions. See Creifelds under
Koalitionsfreiheit and Chapter VIII C (Article 9(iii) GG)
Kollisionsnorm collision norm. See Chapter XX B
Kommanditgesellschaft (KG) limited partnership. See Gesamthandsgemeinschaft,
Gesellschaft, Personengesellschaft and 161177a HGB.
See also Creifelds under Kommanditgesellschaft
Kommanditgesellschaft auf a limited partnership (KG) capitalised by shaes, ie,
Aktien (KGaA) organised along similar lines to a public limited company
(Aktiengesellschaft). See 278290 AktG, Aufsichtsrat and
Creifelds under Kommanditgesellschaft auf Aktien
Kommmditist member of a KG with limited liability. See Chapter XI C 3 (c)
Kommissionr commissioneer. See Chapter XI C 2 (e)
Kommune communal body, local authority (Kreis or Gemeinde). See
Creifelds under Kommunen and Chapter VI
Komplementr member of a KG with unlimited liability. See Chapter XI C 3 (c)
Konkludentes Verhalten see Schlssiges Verhalten
Konkret concrete (adj)
Konkrete Normkontrolle see Normkontrolle
Konkurrenz concurrence. See Chapter VIII, Note 10 and Chapter X, Note
188
400
Konkurrierend concurrent. See Chapter II B

Konkursgericht bankruptcy court. See Chapter XIII, Note 32
Konkursordnung (KO) Bankruptcy Order (a statute). Since 1.1.1999 superceded
by the Insolvenzordnung
Konnossement bill of lading. See Chapter XIX B
Kontaktsperre contact ban. See Chapter XVII, Note 31
Kontrahierungszwang (the principle of) compulsory contracting. See Chapter X,
Note 23
Kontrollrecht right of control. See Chapter XI C 3 b (ii)
Kontrollstelle control point. See Chapter XVII, Note 25
Konzentration concentration. See Chapter XIII B 6
Konzern see Unternehmensvertrag
Konzession 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
Krperschaft corporation. See Juristische Person
Krperschaft des public corporation. See Creifelds under Krperschaft des
ffentlichen Rechts ffentlichen Rechts and Juristische Person
Krperverletzung bodily harm, injury. See Chapter XVII, Notes 9 and 38 C.
See also Personenschaden
Korrespondenzanwalt correspondence lawyer. See Chapter XIII, Note 55
Kostenerstattung repayment/reimbursement of costs. See Kostenpflicht.
Kostenfestsetzung fixing (taxation) of (procedural) costs. See Creifelds under
Kostenentscheidung and Kostenfestsetzung; Chapter XIII
D 1 (f) (v) and Chapter XXI B
Kostenfestsetzungsbeschlu order for the fixing of costs. See Chapter XIII D 8 (b) (ii)
Kostenordnung (KostO) Costs Order (for court and notary fees in non-contentious
civil matters). See Chapter XXII D 8 and E
Kostenpflicht 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
Kostenstreitwert see Gebhrenstreitwert
Kostenvorschu (advance) payment on account of costs. See Chapter XIII
D 2 (c) (i). See also Prozekostenvorschu
Kraftfahrt-Bundesamt Federal Motor Vehicle Office; in Flensburg. See Chapter
IV, Note 2
401
Kraftfahrzeug motor vehicle. See Chapter X Note 222

Kraftfahrzeugfhrer driver. See Chapter X, Note 222; Chapter XVII, Note 38 C
Kraftfahrzeughalter keeper of a motor vehicle. See Chapter X Note 222
Kraftlos devoid of (legal) effect. See Chapter X F 5 (d)
Kredit loan, credit. Also Darlehen. For the types of Kredit, see
Chapter X D 3 (h)
Kreditgefhrdung endangering of credit, harm to financial status. See Chapter
VIII, Note 20 E
Kreditinstitut credit institution. See Chapter X Note 211; Chapter X C 3
(g) (Title 10)
Kreditmittel means of obtaining credit. See Chapter XIX B
Kreditwesengesetz (KWG) Law concerning the Credit System. See Depotgeschft,
Einlagengeschft
Kreis regional authority (above a Gemeinde); also Landkreis;
lit. circle (of a Land). See Chapter VI; Kommune; Creifelds
under Kreis
Kreisangehrig belonging to a Kreis. See Chapter VI
Kreisausschu (administrative) council of a Kreis. See Chapter VI
Kreisfrei free, independent of a Kreis. See Chapter VI and Creifelds
under Kreisfreie Stdte
Kreisordnung local government law governing the Kreise in a Land.
See Chapter VI
Kreistag parliament of a Kreis. See Chapter VI
Kriegsdienstverweigerung objection to military service. See Chapter VIII C and
Creifelds under Kriegsdienstverweigerer
Kriminalpolizei criminal police. See Chapter XVII D
Kulturhoheit authority in cultural affairs. See Chapter II, Note 7
Kundenfreundlich favourable to the customer. See Chapter X B 2 (e)
Kndigen to give notice (of termination), cancel
Kndigung (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
Kndigungsfrist notice period. See Chapter XVIII B
Kndigungsschutz (employment) protection against Kndigung. See Chapter
XVIII B and Creifelds under Kndigungsschutz fr
Arbeitnehmer
Kndigungsschutzgesetz (KSchG) Employment Protection Law. See Chapter XVIII B
Kunsturhebergesetz (KUG) Law regarding Copyright in Works of the Fine Arts and
Photography (9.1.1907). See Chapter VIII, Note 20 C
Ladung summons (for attendance), subpoena (of a person to a
402
hearing, to attend court). See Creifelds under Ladung;

Chapter XIII C F; Chapter XIII D 2 (c) (vi); Chapter XVII,
Note 38 F
Lager store, stock, depot. See Chapter XI C 5
Lagerschein storage certificate. See Chapter XIX B
Lagerung storage. See Chapter X, Note 166
Land, Lnder (individual) state(s) (of Germany). See Chapter V
Lnderverwaltung (own) administration by the Lnder. See Landeseigene
Verwaltung, Chapter II C and V B
Landesarbeitsgericht (LAG) county employment court. See Creifelds under
Landesarbeitsgericht and Chapter XXII C 3
Landesbehrde authority of a Land. See Chapter V B
Landeseigene Verwaltung (own) administration by a Land. See Lnderverwaltung
and Chapter II C
Landesgesetz statute of a Land, state statute. Cf Bundesgesetz. See
Chapters II B and VII C
Landesoberbehrde upper authority of a Land. See Chapter V B
Landesregierung government of a Land. See Chapter V A
Landessozialgericht (LSG) county social (security) court. See Creifelds under
Landessozialgericht and Chapter XXII C 4
Landesverfassung constitution of a Land. See Chapter V A
Landesverfassungsgericht constitutional court of a Land. See Chapter VII C
Landeszentralbank central (state) bank (of a Land)
Landfriedensbruch 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
Landgericht (LG) 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
Landkreis see Kreis
Landrat chief executive of a Kreis; in Niedersachsen and
Nordrhein-Westfalen: the Oberkreisdirektor. See Creifelds
under Landrat and Chapter VI
Landratsamt office of the chief executive. See Chapter VI
Landtag parliament of a Land. See Creifelds under Landtag and
Chapter V A
Langfristig long-term. See Chapter X C 3 (g) Expos (d)
Laufzeit period, term (eg, of a loan). See Chapter X C 3 (g) Expos
Darlehen
Leasingnehmer leasing customer. See Chapter X C 3 (g) Expos (b)
Leben life. See Chapter VIII C (Article 2(ii), 1st sentence GG)
Lebensgemeinschaft der Ehegatten marital fellowship, community (of life). See Chapter XIII
D 6 (b) 3. Also eheliche Lebensgemeinschaft
403
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
Leerlaufen to run empty, have no practical effect. The term is mainly
used with reference to basic rights. See Chapter II, Note 5
Legalittsgrundsatz 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
Legitimationspapier legitimately document, ie, one that has legitimately effect.
A Legitimationspapier can be einfach (simple) or
qualifiziert (qualified). See Chapter XIX B
Lehrling (craftsmans) apprentice. See Creifelds under
Handwerkslehrling
Leibrente annuity, pension for life. See Creifelds under Leibrente and
Leichte Fahrlssigkeit slight negligence. See Chapter XI B
Leichtfertig reckless(ly). See Chapter XVI, Note 50
Leihe gratuitous loan. See Creifelds under Leihe and Chapter X
C 3 (g) (Title 4)
Leistung 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)
Leistungsbeschreibung description of the act/object of performance (required by
a contract). See Chapter X B 2 (e)
Leistungserfolg (successful) performance. See Chapter X C 3 (a) and
Leistungsort
Leistungsgefahr risk of performance. See Chapter X Notes 116 and 126 F
Leistungshandlung (act of) performance carried out. See Chapter X C 3 (a) and
Leistungsort
Leistungsklage writ claiming a Leistung. See Chapters XIII D 2 (c) (ii),
XIV (Note 23 E) and XV B
Leistungskondiktion 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
Leistungsnhe proximity to an act of performance. See Chapter X, Note

135 A
Leistungsort 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
Leistungspflicht duty of performance. See Chapter X C 3 (a)
Leistungsrecht(e) right(s) to a Leistung; right(s) to a service (performance).
See Chapter VIII A
Leistungsstrung disruption, disturbance, irregularity of/in performance.
See Chapter X C 3 (a) and (b) Titles 1 and 2 and Note 126
Leistungsverpflichtung see Leistungspflicht
Leistungsverwaltung service administration. See Chapter II C (Note 12); Chapter
VI. Cf Eingriffsverwaltung
Leistungsverweigerungsrecht right to decline performance. See Chapter X B 4 Expos
Leistungszeit time for performance. See Chapter X (Note 98) and
Flligkeit
Leitbild model, example. See Chapter X B 2 (e)
Leitender Angestellter leading employee. See Creifelds under Leitende Angestellte
and Chapter XVIII C
Lex causae the applicable law, governing law. See Chapter XX B
Lex fori 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
Lex loci delicti commissi the law of the place of commission of die tort. See Chapter
XX, Note 25 A
Lex posterior derogat legi priori a later law supercedes an earlier one. See Chapter II H
Lex specialis (derogat legi generali) a special law (takes precedence over a general one). See
Sonderregel
Lieferant supplier. See Chapter XI, Note 42
Lieferungskauf 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
Liegenschaft see Grundstck

Lis alibi pendens proceedings/suit pending elsewhere (concurrently). See
Lizenz(vertrag) licence (agreement). See Chapter X C 3 (g) Expos (b);
Chapter XI, Note 42. Cf Erlaubnis; Fhrerschein;
Konzession
Locus standi see Klagebefugnis
Lohnfortzahlung im Krankheitsfall continued pay in case of illness. See Creifelds under
Entgeltfortzahlung im Krankheitsfall; Chapter XVIII, Note 13
Lohnpfndung attachment of earnings. See Chapter XIII, Note 168
Lohnsteuer wages tax. See Chapter XII, Note 13
Lokalisierungsprinzip localisation principle. See Chapter XXII, Note 58
Lombardgeschft 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)
Lschen to delete (from a list/register), to cross/strike off, erase,
extinguish
Lschung deletion, erasure, cancellation, discharge. See Chapter X D
3 (h); Chapter XIII D 8 (e)
Lcke gap. See Chapter II, Note 22; Chapter X, Note 47; Chapter
X B 2 (e); Chapter X F 3 (c) (iii)
Lckenlos free of gaps, complete, seamless. See Chapter XIII, Note 67
Macht power
Machtbereich (des Empfngers) area of control (of the recipient). See Chapter X B 2 (b)
(Validity of a Willenserklrung) (Note 43)
Machtungleichgewicht imbalance/inequality of (bargaining) power. See Chapter
X B 2 (e)
Magistrat (collective) magistrate; executive organ of a Gemeinde. See
also Oberbrgermeister and Creifelds under
Magistratsverfassung
Mahnbescheid 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
Mahnung warning. See Leistungsstrung and Verzug
Mahnverfahren default notice procedure. See Creifelds under
Mahnverfahren and Chapter XIII D 7
Makler (civil law) agent, broker. See Creifelds under Makler and
cf Handelsmakler
Maklerlohn brokers fee; also called Courtage
Mtdervertrag (civil) agency contract. See Creifelds under Mklervertrag
and Chapter X C 3 (g) (Title 8)
Mandant client (of a lawyer); also Auftraggeber. See Chapter XXII D 4
Mandat brief, case. See Chapter XXII D 5. See also Anwaltsvertrag
406
Mangel fault; defect. See Fehler(haft); Gewhrleistung; Chapter X,

Notes 126 J, 166, 185, 189; Chapter XIII, at Notes 20 and 61
Mangels Masse due to lack of assets/ substance (a term of insolvency law)
Mantelgesellschaft a shell/skeleton company, ie, one which previously
traded, but which has meantime suspended its business
activities. Cf Vorratsgesellschaft
Manteltarifvertrag principal (general) tariff agreement (regulating working
conditions for a longer term)
Marke mark, stamp; brand, emblem, logo. See Creifelds under
Marken. See also Kennzeichen
Markenwaren brand name/branded goods. See Creifelds under
Markenwaren; Chapter XI, Note 42
Manahme measure. See Chapter XIV C 1 and Chapter XVI D
Maregel der Besserung measure of improvement and security. See Creifelds under
und Sicherung Maregeln der Besserung und Sicherung and Chapter XVI D
Materiell material(ly)
Materielles Recht material law. See Chapter IX B
Mehrdeutig ambiguous. See Chapter X B 2 (e)
Mehrheit majority; multitude. See Chapter X C 3 (f); Chapter XIB 2;
Chapter XII D
Mehrheitsprinzip majority principle. See Chapter XI B
Mehrparteiensystem multi-party system. See Chapter II G
Mehrseitig multilateral. See Chapter X B 17 and X C 2 3
Mehrwertsteuer value-added tax. Also Umsatzsteuer
Meinung opinion. See also Stellungnahme
Meinungsfreiheit freedom of expression (opinion). See Creifelds under
Meinungsfreiheit and Chapter VIII C
Meinungsverschiedenheit difference of opinion. See Chapter XVIII D
Menschenrecht(e) human right(s). See Chapter II, Note 34
Menschenwrde human dignity. See Creifelds under Menschenwrde and
Chapter VIII C
Merkmal element, characteristic (of). See Chapter X, Note 22; Chapter
XVI, Note 17
Miete rent(al). See Creifelds under Miete; Chapter X C 3 (g)
Expos. Rental payment also called Mietzins
Mietkauf hire-purchase. See Chapter X, Note 238
Mietvertrag rental agreement, lease, tenancy. See Mietvertrag; Chapter
X C 3 (g) (Title 3); Chapter XVIII, Note 6
Mietzins (amount of) rent, ie, rental payment Also called Miete
Mildernde Umstnde mitigating circumstances
Minderjhrig under the age of majority. Cf Volljhrig
Minderjhriger minor. See Chapter X B 2 (a)
Minderkaufmann lesser businessman. See Chapter XI D 2 (a), Mukaufmann
and Creifelds under Minderkaufmann
407
Minderung abatement, reduction (in the price). See Chapter X, Note 189
Ministerprsident prime minister; head of a Landesregierung. See Chapter V A
Miachten to disregard, ignore
Mibrauchen to abuse. See Chapter X, Notes 47 C and 220; Chapter XIV
C 6. See also Ausnutzen
Mitbestimmung(srecht) (right of) co-decision, co-determination; stronger than
Mitspracherecht. see Creifelds under Mitbestimmung and
Chapter XVIII C and F
Miteigentum nach Bruchteilen joint ownership by shares ( 1008ff BGB). It is a sub-
category of the Gemeinschaft nach Bruchteilen. See Chapter
X D 3 (c) (v)
Miterbe joint heir. See Chapter X F 4 (b)
Mitfahrer passenger. See Chapter XVII, Note 38 C
Mitgliedschaftsrecht right of membership. See Chapter XIX B
Mitspracherecht right of co-determination, consultation. See Chapter XVIII
E and cf Mitbestimmungsrecht
Mittter joint perpetrators), accomplice. See Tter; Creifelds under
Mittterschaft (joint perpetration); 25(ii) StGB. Cf
Anstiftung, Beihilfe
Mittelbar indirect(ly). See Chapter II C, Chapter IV, Chapter VIII A
and Chapter X, Note 257
Mittelstufe middle level. See Chapter V B
Mitverschulden contributory fault, contributory negligence. See Chapter X
C 3 (a) ( 254 BGB); Chapter X, Note 183; Creifelds under
Mitverschulden
Mitwirken to assist (by way of cooperation). See Chapter III
Mitwirkung 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
Mord murder. See Chapter XVII, Notes 11, 26 C and 38 B
Motivirrtum mistaken motive. See Chapter X, Note 47 D; Chapter X F 3
(c) (iv)
Mndlichkeitsgrundsatz oral principle. See Creifelds under Mndlichkeitsgrundsatz
and Chapter XIII B 4
Mukaufmann compulsory businessman; two types: Vollkaufmann (full
businessman) or Minderkaufmann (lesser businessman).
See Chapter XI C 2 (a)
Mutmalich presumable, supposed(ly). Also Vermutlich. See Chapter
XVI C 2 (b)
Nachbar neighbour. See Chapter X, Note 253
Nachbessern to correct, repair (a defect). Also Beheben, Beseitigen
Nachbesserung (subsequent) correction/ repair (of a defect). See Chapter
X, Note 189 C
Nach billigem Ermessen in accordance with fair discretion. See Chapter XIII D 2 (d)
408
Nacherbe subsequent heir. See Chapter X F 4 (e)

Nachfolgeklausel succession clause (in company agreement). See Chapter
XI C 3 (b) (iv)
Nachforschungspflicht duty of investigation. See Chapter X, Note 259
Nachgiebig yielding, indulgent. See Dispositiv
Nachholen to carry out anew, make up for. See Chapter XIII, Note 78
Nach Lage der Akten (Aktenlage) on die basis of the file(s). See Chapter XIII D 1 (g) (iii)
Nachla See Chapter X F 4; Chapter XXII B; Erbschaft
Nachlagericht probate court. See Chapter X F 3 (c) (iv); Chapter X F 5 (d)
and (e); Chapter XIII, Note 32
Nachlakonkurs estate bankruptcy. See Chapter X F 5 (b)
Nachlapfleger estate guardian, curator. See Chapter X F 5 (e)
Nachlasache matter relating to a Nachla, probate matter. See Chapter
XXII B
Nachlaverbindlichkeit debt of the estate. See Chapter X F 4 (b) and 5 (b)
Nachlaverwaltung estate guardian, curator. See Chapter X F 5(b)
Nachlieferung further/subsequent delivery. See Chapter X, Note 116
Nachteilig disadvantageous, detrimental. See Chapter XIII D 3 (a)
Nachtrag addendum, supplement; codicil. See Chapter X C 3 (g)
Expos (d)
Nachverfahren see Vorbehaltsurteil
Nachweisen to prove, show, verify, demonstrate
Namensaktie share (in a public company) issued in the name of a
particular person. See Chapter XIX B
Namenspapier see Rektapapier
Nebenabrede collateral agreement. See Chapter X B 2 (e); Chapter X C 3
(g) Expos (d)
Nebenanspruch accessory/collateral claim. See Chapter X, Note 266 B;
Chapter XIII D 2 (c) (vi)
Nebenbestimmung collateral provision (to a VA). See Chapter XIV C 2
Nebenforderung see Nebenanspruch
Nebengesetz secondary, accessory, collateral statute. See Chapter XVI A
Nebenintervenient intervener. See Nebenintervention
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
Nebenklage collateral prosecution. See Creifelds under Nebenklage and
Chapter XVII H
Nebenleistung collateral service. See Leistung; Chapter X D 3 (h)
Nebenpflicht 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
Nebenpunkt accessory (collateral, subordinate) point. See Chapter X B

2 (c) Failure to reach an Einigung
Nebenstrafe accessory punishment. See Creifelds under Nebenstrafen
and Chapter XVI D
Ne bis in idem 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)
Nemo bonus iurista nisi bartolista noone is a good jurist, if he does not follow Bartolus. See
Chapter I (Note 5)
Nemo plus iuris ad alium nobody can transfer to another person a greater right than
transferre potest, quam ipse habet he himself has. See Chapter X D 3 (c) (ii)/(iii), Notes 255
(Nemo dat, quod non habet) and 260
Nennbetragsaktie a share issued for a particular nominal value (Nennwert).
Cf Stckaktie
Neugliederung new division. See Creifelds under Neugliederung des
Bundesgebietes and Chapter II F (Note 20)
Nichtberechtigter unauthorised (third) person. See Chapter X D 2 (v) and D
3 (c) (ii) (Bona fide acquisition of ownership to movables)
Nichtbestehen non-existence, not to exist. See Chapter XIII D 2 (c) (ii)
Nichtehelich illegitimate (child). See Chapter X E and Creifelds under
Nichteheliche Kinder
Nichterfllung failure to perform, non-performance, breach. See Chapter
X, Notes 114 and 126 A
Nichterscheinen non-appearance; a partys failure to attend a Termin. See
Chapter XIII D1 (g) (iv) and Versumnis
Nichtig(keit) 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
Nichtigerklrung declaration of nullity (of marriage). See Chapter XIII D 6 (b)
Nichtigkeitsklage type of writ seeking Wiederaufnahme. See Chapter XIII D 4
Nichtleistungskondiktion (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
Nichtrechtsfhig incapable of carrying rights and obligations (not possessing
legal capacity). See Chapter II C (Note 11). Cf Rechtsfhig(keit)
410
Nichtstun inaction, idleness. See Chapter X B 2 (c)

Nichtverhandeln a partys failure to make submissions at a Termin;
equivalent to Nichterscheinen ( 333 ZPO). See Chapter
XIII D 1 (g) (iv)
Nichtvermgensrechtlich non-monetary. See Chapter XIII D 3 (b)
Nichtvermgensschaden non-pecuniary loss. See Chapter X, Note 227
Nichtzulassungsbeschwerde type of Beschwerde available in administrative, finance,
social and employment proceedings against refusal of leave
to appeal. See Chapter XIII, Note 135
Niederlassung See Sitz; Creifelds under Niederlassung. See also Filiale,
Zweigniederlassung (branch office)
Niederlassungsfreiheit freedom of establishment. See Chapter VIII C; Verkehr
Niedersachsen Lower Saxony. See Chapter V A
Niederschrift written record. See Chapter X, Note 256; Chapter X F 3 (c)
(i) and 5 (e); Chapter XXII E
Niebrauch usufruct. See Creifelds under Niebrauch and Chapter X D
3 (e)
Non liquet (the matter is) not dear. See Chapter XIII B 7
Norddeutscher Bund North German Confederation. See Chapter I (Note 7)
Nordrhein-Westfalen Northrhein-Westphalia. See Chapter V A
Norm norm, legal provision. Also Rechtssatz. See Preface to
Second Edition, at Note 1; Chapter IX B
Normkontrolle 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
Normkontrollverfahren norm-control procedure (eg, under 47 VwGO). See
Normkontrolle
Normzweck purpose of a norm. See Chapter X, Note 219; Chapter XIII C 6
Notar notary. See Creifelds under Notar and Chapter XXII E
Notarkammer Notaries Chamber. See Chapter XXII E
Notfall emergency. See Chapter XXI, Note 1
Notfrist 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)
Ntigung duress. See Chapter X, Note 58 C
Notstand (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)
Nottestament emergency will. See Chapter X F 3 (c) (i)
Notwehr self-defence; a person acting in Notwehr has a
Rechtfertigungsgrund ( 32 StGB). If the appropriate
411
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)
Notwendig necessary. See Chapter XIII D1 (f) (ii) and (v); Chapter XVII C
Novelle (statutory) amendment supplement
Nulla poena sine culpa no punishment without blame. See Chapter XVI C (Note 16)
Nulla poena sine lege no punishment without law. See Chapter VIII C (Note 36)
and Chapter XVI A
Nullum crimen sine lege no crime without law. See Creifelds under Nullum crimen
(nulla poena) sine lege and Chapter XVI A (Note 3)
Numerus clausus closed (fixed) number. See Creifelds under numerus
clausus; Chapter VII C (Note 18); Chapter X D 1
Nutzung benefit, profit. See Chapter X, Note 265
Nutzungsherausgabe release/return of benefits). See Chapter X, Note 266
Nutzungsrecht right of user; (copyright) licence. See Creifelds under
Nutzungsrecht and Chapter X D 1
Oberbegriff principal/upper term. See Chapter XVI, Note 35; Chapter
XIX A 2
Oberbrgermeister senior Mayor; executive organ of a larger Gemeinde. See
also Brgermeister; Magistrat; Gemeindeverwaltung;
Chapter VI; Creifelds under Oberbrgermeister
Oberfinanzdirektion Upper Finance Directorate. It is both a Bundesbehrde and
a Landesbehrde. See Chapter IV
Oberkreisdirektor see Landrat, Chapter VI and Creifelds under
Oberkreisdirektor
Oberlandesgericht (OLG) 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
Oberpostdirektion Upper Post Directorate. It used to be a Bundesbehrde. See
Chapter IV
Oberstaatsanwalt senior state prosecutor (at the LG). See Chapter XVII B
Oberste Bundesbehrde supreme federal authority. See Chapter IV and Creifelds
under Oberste Bundesbehrden
Oberste Bundesorgan(e) supreme organ(s) of the Bund. See Chapter in
Oberste Landesbehrde supreme authority of a Land. See Chapter V B
Oberstes Landesgericht Supreme County/State Court (in Bavaria). See Chapter
XXII C 2
Oberstufe upper level. See Chapter V B
Oberverwaltungsgericht (OVG) administrative court of appeal; sometimes called
Verwaltungsgerichtshof (VGH). See Creifelds under
Oberverwaltungsgericht and Chapters XV A and XXII C 4
Obhut safekeeping, gaurd, care. See Chapter X C 3 (g) Expos (c);
Chapter XVI, Note 24
Objektive Bedingungen der objective conditions of punishability. See Chapter XVI C
Strafbarkeit (Note 17)
Objektives Recht objective law. See Chapter X B 1 4
412
Obliegenheit informal duty (ie, one falling short of a legal obligation).

See Chapter X, Note 111; 43(ii) GmbHG
Offene Handelsgesellschaft (OHG) open trading company. See Creifelds under Offene
Handelsgesellschaft, Chapter XI A and Gesamthandsgemeinschaft,
Gesellschaft and Personengesellschaft
Offenkundig (patently) obvious(ly), well known. See Chapter XIII D 2
(c) (iii) (Note 97 2)
Offensichtlich evidently), obvious(ly). See Chapter XI, Note 69; Chapter
XX, Note 6
ffentlich (in) public
ffentliche Einrichtung public facility, amenity, establishment. See Chapter II C;
Chapter VI
ffentliche Gewalt (the) public power. See Chapter VII C
ffentlicher Glaube public credence (eg, of the Land Register or a certificate of
inheritance). See Chapter X D 3 (b); Chapter X F 5 (d)
ffentlich-rechtlicher Vertrag contract governed by public law, public contract. See
Creifelds under ffentlich-rechtliche Vertrge; Chapter X B
2 (e); Chapter XIV B 3
ffentliches Recht public law. See Chapter IX and Creifelds under Recht II
See also ius publicum
ffentliche Sache public property. See Creifelds under ffentliche Sachen;
Chapter XIV C 1
ffentliche Urkunde public document. See Chapter XXII E
ffentlichkeit (the) publicity). See Chapter XIII, Note 136
ffentlichkeitsgrundsatz the principle that a hearing (usually) takes place in public.
See Creifelds under ffentlichkeitsgrundsatz and Chapter
XIII B 5
Offizialprinzip official principle. See Chapter XVII, Note 13
Ohne Obligo without obligation. See Chapter X B 2 (c)
Ohne rechtlichen Grund without (a) legal basis. See Chapter X B 2 (a); Chapter X C
3 (g) (Title 24); Chapter X (Note 246); Leistungskondiktion
Ohne sachlichen Grund without (a) substantial reason. See Chapter XIV C 6 (Note 34)
Opportunittsgrundsatz opportunity principle; gives a Behrde discretion as to whether
to intervene. See Creifelds under Opportunittsprinzip, Chapter
XVII B and cf Legalittsgrundsatz
Ordentlich ordinary, (in) proper (form). See Kndtgung
Ordentliche Gerichtsbarkeit ordinary jurisdiction; deals with civil, criminal and FGG
matters. See Creifelds under Ordentliche Gerichtsbarkeit and
Chapter XXII C 2
Orderpapier order security ie, in the name of a particular person or order.
See Chapter XIX B; Creifelds under Orderpapier. Cf
Innaberpapier
Ordnung order. See Chapter XVII D (Note 32)
Ordnungsbehrde order authority. See Verwaltungspolizei
Ordnungsgeld see Ordnungsmittel
Ordnungsgem proper. See Chapter X F 4 (b)
413
Ordnungshaft see Ordnungsmittel

Ordnungsmig correct(ly), proper(ty). See Chapter XIII D 1 (f) (i)
Ordnungsmittel 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
Ordnungswidrigkeit minor offence punishable by a fine (Geldbue). See
Creifelds under Ordnungswidrigkeiten and Chapter XVI B
Ordnungswidrigkeitengesetz (OWiG) Minor Offences Law. See Chapter XVI B (Note 9)
Organ 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
Organisationsverschulden organisational fault. See Chapter X C 3 (g) (Note 222)
Organstellung position/status of an Organ; position of responsibility,
representative position. See Organ and Chapter X C 3 (g)
(Note 222 C)
Organstreit(igkeit) dispute between (supreme) constitutional organs. See
Creifelds under Organstreitigkeiten and Chapter VII C
rtlich local. See Zustndigkeit
Ortsblich normal in the (local) area, locality. See Chapter X D 3 (c) (i)
Pacht (commercial) lease. See Creifelds under Pacht; Chapter X
C 3 (g) (Title 3)
Pacta sunt servanda contracts are to (must) be observed (performed). See
Creifelds under pacta sunt servanda, Chapter I and Chapter
X Note 47 D
Pchter (commercial) lessee. See Chapter X C 3(g) Expos (b)
Pandektenwissenschaft science of the pandects. See Chapter I
Paraphierung agreement on the draft text of a treaty by way of initialling.
See Chapter II H
Parlamentarische Demokratie parliamentary democracy. See Chapter III (Note 2) and cf
Prsidialdemokratie
Partei party (to civil proceedings). See Chapter XIII D 1 (f) (i)
Parteibetrieb conduct of proceedings by the parties. See Chapter XIII C
C. Cf Amtsbetrieb
Parteifhig(keit) capable of being (capacity to be) a party. See Creifelds under
Parteifhigkeit and Chapter XIII D 1 (f) (i)
Parteihandlung See Prozehandlung
Parteiffentlichkeit party openness (principle). See Chapter XIII D 2 (c) (iii)
Parteiproze party action. See Creifelds under Parteiproze, Chapter XIII
D 1 (f) (iv) and cf Anwaltsproze
414
Parteivernehmung examination of a party (in a civil court). See Creifelds under

Parteivernehmung
Parteiverrat party disloyalty, acting for both sides in a matter in breach
of trust. See Chapter XXII D 5
Parteivortrag submission(s) of a party. See Darstellung; Chapter XIII D
2 (c) (iii) (Note 97 4)
Partnerschaftsgesellschaft partnership (company). See Chapter XXII D 9
Partnerschaftsvertrag partnership agreement. See Chapter XXII D 9
Pausch(al)vergtung lump-sum (fixed) fee. See Chapter XXII, Notes 100 and 102
Personal staff. See Chapter XI C 2 (d)
Personalausweis see Ausweis
Personalkrperschaft personal corporation. See Chapter II C (Note 11) and cf
Gebietskrperschaft
Personalrat personnel council (in public sector). See Creifelds under
Personalvertretung (representation of personnel), Chapter
XVIII C and cf Betriebsrat
Personengesellschaft a personal company; as opposed to a Kapitalgesellschaft.
See Creifelds under Personengesellschaft. Examples: BGB-
Gesellschaft, OHG and KG. See Chapter XI (Note 17),
Chapter XXII D 9
Personenkreis group of persons. See Chapter X B 2 (e); Chapter XIV C 1
Personenschaden personal injury. See Chapter X, Notes 126 J and 227. See
also Krperverletzung
Personenzusammenschlu alliance (group, union) of persons. See Chapter XI (Note
3)
Persnlich personal
Persnlichkeit personality
Persnlichkeitsrecht personality right. See Creifelds under Persnlichkeitsrecht
and Chapter VIII C (Note 20)
Petitionsrecht right of petition. See Chapter XV A
Pfandbrief mortgage bond (certificate). See Chapter XIX B
Pfandleihe pawnbroking. See Chapter X D 3 (h) (Note 280 D)
Pfandrecht pledge, lien. See Chapter X D 3 (h) (Note 280)
Pfndung distraint, seizure. See Creifelds under Pfndung and
Chapter XIII D 8 (c) (v)
Pfndungsbeschlu court order for Pfndung of a debtors money claims,
attachment order, garnishee order. See Chapter XIII D 8 (c) (v)
Pfndungspfandrecht distraint lien. See Chapter X D 3 (h) (Note 280 C)
Pfleger(in) attendant, administrator, executive; nurse. See Chapter X
E and also Rechtspfleger
Pflegschaft 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
415
Pflicht duty, obligation. See Chapter X C 3

Pflichtgem in accordance with legal obligation, dutifully. See Chapter
XIV C 6
Pflichtteil compulsory portion (of an estate). See Creifelds under
Pflichtteil; Chapter X B 4 (c); Chapter X F 1, 2 and 4 (g)
Pflichtteilergnzungsanspruch a claim to supplement the compulsory portion (of an
estate). See Chapter X F 4 (g) (iv)
Pflichtverteidiger compulsory defender, compulsory defence lawyer. See
Creifelds under Pflichtverteidiger; Chapter XVII C; Chapter
XXII D 4; Chapter XXII, Note 100
Pldoyer final representations in a case by a lawyer in court. See
Chapter XIII D 2 (c) (vi)
Platzverweisung see Verweisung
Plausibel plausible. See Chapter XV, Note 12
Polizei police. See Chapter XIV C 3 and Chapter XVII D
Polizeibehrde police authority. See Verwaltungspolizei
Polizeiprsident Police Chief/Commissioner/President, ie, head of the
municipal/ regional police force
Polizeiprsidium police headquarters
Polizeivollzugsbeamter (executive) police officer, constable
Polizeivollzugsdienst executive police service. See Chapter XVII D (Note 32)
Popularklage popular action. See Chapter XV C and Creifelds under
Popularklage
Position point, item (in a list or schedule); position. See Chapter
XIII, Note 96
Positive Vertragsverletzung (PVV) 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
Postulationsfhig(keit) capable of appearing (capacity to appear) (before a
particular court), right of audience. See Creifelds under
Postulationsfhigkeit and Chapter XIII D 1 (f) (iv)
Prjudiz (case) precedent. See Chapter XIII C G. Cf Fallrecht
Prsidialdemokratie presidential democracy. See Chapter in (Note 2) and cf
parlamentarische Demokratie
Preisgefahr risk of (receipt of) the price. See Chapter X, Note 126 G
Preis-/Leistungsverhltnis price/performance ratio. See Chapter X B 2 (e)
Pressegesetz law governing the press. See Chapter VIII, Note 20 E
Presse- und Informationsamt press and information office of the federal government.
der Bundesregierung See Chapter IV
Prinzip principle
Privatautonomie private autonomy (principle). See Chapter X B 6
Privatklage private prosecution. See Creifelds under Privatklage;
Chapter XVII B and H
416
Privatrecht private law. See Creifelds under Privatrecht and Chapter

IX. See also ius privatum
Probezeit trial (employment) period. See Chapter XVIII B
Produkthaftung product liability. See Chapter X, Notes 126 J, 188 and 227;
Chapter XIII B 7 (Note 10)
Prokura procura. See Creifelds under Prokura and Chapter XI C 2 (c)
Protestatio (facto contraria) a reservation (which does not accord with the external
non valet circumstances) is ineffective. Also Vorbehalt. See Chapter
X B 2 (b) (Note 50)
Protokoll protocol, minute (entry), deposition. Also
Verhandlungsprotokoll
Provision commission, fee. See Chapter XI C 2 (e)
Proze case, action, proceedings
Prozebevollmchtigter person possessing a Prozevollmacht
Prozefhig(keit) capable of taking (capacity to take) steps in the proceedings.
See Creifelds under Prozefhigkeit and Chapter XIII D 1 (f) (i)
Prozefrderungspflicht duty of the parties to further the proceedings. See Chapter
XIII D 2 (c) (vi)
Prozefzhrungsbefugnis right to conduct an action. See Creifelds under
Prozefhrungsbefugnis and see Chapter XIII D1 (f) (iv).
See also Klagebefugnis
Prozefhrungsrecht right to conduct an action. Also called Prozefhrungsbefugnis
Prozegebhr procedure fee. See Chapter XXII D 8
Prozegericht court hearing the case, action. See Creifelds under
Prozegericht and cf Vollstreckungsgericht
Prozehandlung 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
Prozehandlungsvoraussetzung precondition for a Prozehandlung (eg, Parteifhigkeit,
Prozefhigkeit, Prozevollmacht and Postulationsfhigkeit)
Prozehindernis obstacle to the proceedings. See Chapter X Note 20
Prozekosten 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
Prozekostenhilfe legal aid. See Chapter XIII, Note 53; Chapter XXII D 8
(Notes 101 and 110); Creifelds under Prozekostenhilfe;
114127a ZPO
Prozekostenvorschu advance/payment on account of costs. See Creifelds under
Prozekostenvorchu, Chapter XIII D 2 (c) (i); Unterhalt
Prozeleitende Verfgung (interlocutory) direction from the court in the course of
proceedings. See Chapters X D 2 (v) and XIII D 2 (c) (v)
Prozeleitung conduct/ direction of proceedings (by the court). See Chapter
XIII C C; Chapter XIII, Note 69; Chapter XIII D 2 (c) (vii)
417
Prozerecht procedural law. See Chapter IX B

Prozestandschaft transfer of Prozefzhrungsrecht to someone who has no
Sachlegitimation. See Creifelds under Prozestandschaft
and Ermchtigung; Chapter XIII D 1 (f) (iv)
Prozestoff material at issue (in a dispute). See Chapter XIII, Note 69
Prozeunfhig not prozefhig
Prozeurteil 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
Prozevollmacht authority to act, power of attorney in proceedings. See
Creifelds under Prozevollmacht and Chapter XIII D 1 (f) (iv)
Prozevoraussetzung precondition for the proceedings. See Creifelds under
Prozevoraussetzungen and Chapter XIII D 1 (f) (i). See also
Sachurteilsvoraussetzung
Prfen to examine, test, check. See Chapter X B 1 4 (Note 18)
Prfung examination, test, check. See Chapter XXII A and D 3
Prfungsmastab standard against which an examination is (to be) made
(measured). See Chapter VIII C (Note 23)
Prfungspflicht duty of examination, duty to check. See Chapter XXII, Note 74
Publicum ins est, quod ad statum public law looks to the situation of the Roman state, private
rei Romanae special, privatum (law) to the advantage of single persons (ie, public law
quod ad singulorum utilitatem serves the interests of the state, private law the interests of
the individual) (Ulpian). See Chapter IX A (Note 1)
Putativnotstand see Notstand
Putativnotwehr where a person mistakenly believes he is acting in self-
defence. See Chapter XVI C 3 (d) (Note 54)
Qualifikation characterisation. See Chapter XX B
Quelle source. See Rechtsquelle
Quidquid non agnoscit glossa, what is not acknowledged by the gloss is not
non agnoscit curia acknowledged by the court. See Chapter I (Note 4)
Quota litis 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
Rahmen frame(work). See Chapter II B and Chapter XXII D 8
Rasterfahndung 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
Rat advice; council. See Chapter X Note 215; Chapter XXII, Note 71
Rate instalment (eg, on repayment (Zurckzahlung) of a loan
(Darlehen)), rate
Ratifikation ratification (of a treaty). See Chapter II H
418
Raub robbery. See Chapter XVII, Note 38 C

Ruberischer Angriff aggression (assault) in the course of a robbery. See Chapter
XVII, Note 38 C
Rume rooms, premises. See Chapter X C 3 (g) Expos (a)
Rumung eviction. See Chapter X Note 266
Realakt pure factual act. See Chapter X B 1 8 and Chapter XV C
Realkonkurrenz see Tatmehrheit
Reallast successive duty of supply from a property. See Chapter X
D 3 (g) and Creifelds under Reallast
Rechnen mit (etwas) to reckon with (something). See Chapter X B 2 (e)
Rechnung bill, invoice, statement. See Chapter X, Note 127
Rechnungshof accounts court. See Chapter IV
Recht 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)
Recht am eingerichteten und right to an established and exercised business. See Chapter
ausgebten Gewerbebetrieb VIII, Note 20 F; Chapter X, Note 266 C; Chapter XVIII, Note 53
Recht auf Konsultation right to consultation. See Chapter XVII, Note 38 H
Recht der Selbstuerwaltung right of self-administration; autonomy. See Chapter VI
Recht zum Besitz right to possession. See Chapter X D 3 (c) (iv) and cf Besitz
Rechtfertigen to justify
Rechtfertigung justification
Rechtfertigungsgrund justifying reason. See Chapter XVI C 2 and Einwilligung,
Notwehr, Notstand
Rechtliches Gehr see Anspruch auf rechtliches Gehr
Rechtlich geschtztes Interesse legally protected interest. See Chapter X B 1 4
Rechtlich verbindlich legally binding. See Chapter X, Note 66
Rechtmig(keit) legal(ity). See Chapter XIV C 3 and Gesetzmigkeit der
Verwaltung
Rechtmiger Eingriff legitimate infringement (of a basic right). See Chapter VIII B
Rechtsangleichung harmonisation of law(s). See Preface to Second Edition;
Chapter V, Note 1
Rechtsanwalt lawyer. See Creifelds under Rechtsanwalt and Chapter XXII D
Rechtsanwaltskammer (RAK) Lawyers Chamber. See Chapter XXII D 6
Rechtsauffassung legal opinion, view. Also Rechtsansicht. See Chapter XIII,
Note 3
Rechtsausfhrung legal submission. See Chapter XIII, Note 3
Rechtsbegriff legal term. See Unbestimmt
Rechtsbehelf (every form of) legal remedy, formal or informal; includes
Rechtsmittel. See Creifelds under Rechtsbehelf and Chapter
XV A
Rechtsbeziehung legal relationship. See Rechtsverhltnis
419
Rechtsbindungswille will to be legally bound by ones act. See Chapter X B 2 (b)

(the term Willenserklrung)
Rechtsfhig(keit) 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
Rechtsfolge legal consequence. See Chapter X B 1 5; Chapter X B 1 7
and Chapter X C 22
Rechtsfolgeirrtum mistake as to the legal consequence. See Chapter XVI C 3 (d)
Rechtsfortbildung development of (the) law (by the judiciary). See Chapter X
Note 47 E
Rechtsfrage legal question; question of law. See Chapter XVIII D (Note
37)
Rechtsgeschft legal transaction; juristic act. In Latin: negotium. See
Creifelds under Rechtsgeschft and Chapter X B 1 7
Rechtsgeschftliches obligation arising from a Rechtsgeschft. See Chapter X C 2 3
Schuldverhltnis
Rechtsgeschftshnlich similar to a Rechtsgeschft. See Chapter X B 1 7
Rechtsgestaltend creating or amending a legal relationship or situation. See
Chapter XIV C 5
Rechtsgrundlage legal basis. See Chapters VII B and VIII, Note 15
Rechtsgut asset of legal (social) importance. See Chapter X, Notes 219,
222 B, 266 C; Chapter XVI B
Rechtshandlung legal action; legal act. See Chapter X B 1 8
Rechtshngig(keit) (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
Rechtshilfe legal assistance, cooperation. See Chapter XXI A. Cf
Amtshilfe
Rechtshilfeordnung in Order for Legal Assistance in Civil Matters. See Chapter
Zivilsachen (ZRHO) XXI, Note 7
Rechtsinstitut legal institution. See Chapter I, Note 13
Rechtskraft 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
Rechtskrftig possessing Rechtskraft
Rechtsmacht legal power. See Subjektives Recht
Rechtsmangel defect in title. See Chapter X, Note 185. Cf Sachmangel
Rechtsmittel (devolutive) legal remedy, appeal. See Creifelds under
Rechtsmittel; Chapter XIII C H and D 3; Chapter XIII, Note
90. Cf Rechtsbehelf
Rechtsnachfolge succession (to the right/interest/title of another person). Also
Sukzession. It can be based on a Rechtsgeschft (eg, transfer
420
of ownership) or arise from statute (eg, gesetzliche Erbfolge).

See Chapter X, Note 255. See also Gesamtrechtsnachfolge
Rechtsnorm legal norm. See Chapter VII B; Chapter IX B; Chapter XVIII,
Note 52
Rechtsobjekt legal object. See Chapter X B 1 3
Rechtsordnung legal system. See Chapter X B 1 4; Chapter XX B
Rechtspflege administration of justice. See Creifelds under Rechtspflege
and Chapter XXII C 5
Rechtspfleger 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
Rechtspflegergesetz (RPflG) Law relating to the Rechtspfleger. See Chapter XXII B
Rechtsprechende Gewalt judicative power. Also Rechtsprechung. See Creifelds under
Rechtsprechende Gewalt and Chapter II F
Rechtsprechung judicature; case-law. See Creifelds under Rechtsprechung
and Chapter II F
Rechtsquelle legal source. See Chapters X A and XIV A
Rechtsreflex legal reflex. Cf Subjektives Recht
Rechtssatz legal provision. Also Norm. See Chapter X B 1 5 (Note
22); Chapter X C 2 2 (Note 105)
Rechtsschein legal appearance, aura. See Chapter XI C 2 (c); Chapter
XIII, Note 57; Chapter XVIII, Note 7
Rechtsschutz legal protection. See Chapter XXI A
Rechtsschutzbedrfnis 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
Rechtsschutzgarantie right of everyone to protection of the courts (Article 19(iv)
GG). See Creifelds under Rechtsweggarantie and Chapter
VIII C
Rechtsschutzinteresse see Rechtsschutzbedrfnis
Rechtssicherheit legal certainty. See Preface to Second Edition; Chapter II E;
Chapter X, Note 260
Rechtssphre legal sphere. See Chapter VII C
Rechtsstaat state in which the (rule of) law prevails. See Creifelds under
Rechtsstaat and Chapter II E
Rechtsstreit legal dispute. Also Streit; Streitigkeit
Rechtssubjekt legal subject, person. See Creifelds under Rechtssubjekt and
Chapter X B 1 2
Rechtsunwirksam legally ineffective, of no legal effect. Also Unwirksam
Rechtsverhltnis legal relationship. See Chapter X B 1 5
Rechtsverordnung 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
Rechtsweg legal route (to a particular court). See Creifelds under

Rechtsweg and Chapters XIII D 1 (f) (i) and XV C
Rechtswidrig(keit) illegal(ity). Also Widerrechtlich
Rechtswissenschaft legal science, jurisprudence. See Preface to Second Edition,
Note 1
Rechtszug (court) instance. See Chapter XIII A and D 2
Rechtzeitig in (good) time. See Chapter X C 3 (g) Expos (c); Chapter
XIII D 2 (c) (v)
Referendar 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
Reforrnatio in peius 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)
Regeln to regulate, govern, settle (a matter)
Regelung (legal) provision, rule, arrangement
Regelunterhalt standard maintenance (for an illegitimate child). See
Chapter XIII D 6 (c) and Creifelds under Unterhaltsproze
Regelungsfrage regulatory question; question of regulation. See Chapter
XVIII D (Note 37)
Regierung government. See Chapter II, Note 8
Regierungsbezirk governmental area, district. See Creifelds under
Regierungsbezirk and Chapter V B
Regierungsprsident president of the government (of a Regierungsbezirk). See
Chapter V B
Registergericht court of registration. See Chapter XIII, Note 32
Regre regress. Also Rckgriff
Reichsgericht Imperial Court. See Chapter X B 2 (e)
Reichskammergericht Imperial Chamber (Court). See Chapter I
Reichsversicherungsordnung Imperial Insurance Order. See Chapter XVIII H
(RVO)
Reif mature. See Chapter XVI, Note 40
Reisegewerbe travelling business/trade. See Chapter XIX B; Creifelds
under Reisegewerbe
Reisevertrag travel contract. See Creifelds under Reisevertrag and
Rei vindicatio see Vindikation
Rektapapier security issued in favour of a specifically named person.
Also Namenspapier. See Chapter XIX B
Relatives Recht relative right. Cf Absolutes Recht and see Chapter X B 1 4
Religionsunterricht religious instruction. See Chapter VIII C (Article 7 GG) and
Creifelds under Religionsunterricht
Rendite see Ertrag
422
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
Renvoi see Rckverweisung
Replik the plaintiffs reply to a Klageerwiderung. See Chapter XIII
D 2 (c) (iv)
Res judicata the matter has (already) been decided. See Chapter XIII C E
Restitutionsklage type of writ seeking Wiederaufnahme. See also
Nichtigkeitsklage
Revision 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)
Rezeption des rmischen Rechts reception of Roman law (in Germany in the Middle Ages).
See Chapter I (Note 6)
Rheinbund Rhein Confederation. See Chapter I (Note 7)
Rheinland-Pfalz Rheinland-Palatinate. See Chapter V A
Richter judge. See Creifelds under Richter and Richtergesetze and
Chapter XXII A
Richterliche Frist Frist set by a judge. See Chapter XIII D 1 (g) (iii)
Richterliche
Rechtsfortbildung development of the law by the judiciary. Also Richterrecht
Richterliches Prfungsrecht the judiciarys (inherent) right to check the validity and
constitutionality of a Rechtsnorm. See Creifelds under
Richterliches Prfungsrecht and Chapter VII B and C
Richterrecht 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
Richterwahlausschu judicial selection council. See Chapter XXII A
Richtlinie directive. See Chapter XXII D 5; Creifelds under
Richtlinien; Verwaltungsvorschrift
Rckgewhr return. See Chapter X, Note 138; Chapter X D 3 (h)
Rckgriff regress. See Creifelds under Regre
Rckgriffskondiktion type of Nichtkistungskondiktion, where the claimant takes
regress against a person, who has obtained a benefit at the
formers expense
Rcknakme withdrawal, taking back. Can refer to a Klage, Rechtsmittel
or VA. See Chapter X F 3 (c) (ii); Chapter XIV C 4. Cf Rcktritt
Rcksicht(nehmen) (to take into) consideration, account. See Chapter X, Notes
47 C and 135 B
Rcktritt withdrawal, rescission, termination. See Creifelds under
Rcktritt vom Vertrag; Chapter X C 3 (b) (Title 5); Chapter
X Note 245
Rckverweisung reference back, renvoi. See Chapter XX B
423
Rckwirkend retrospectively. See Chapter X F 4 (f) and 5 (b). See also Ex

tunc
Rckwirkung 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)
Ruf reputation. See Chapter VIII, Note 20 F
Rge 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
Ruhen to rest; the resting of. See Chapter XIII D 1 (g) (v)
Rundfunk- und Fernsehanstalt 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 BGB-
Gesellschaft) established by the various regional broadcasting
stations. The respective regional producing station therefore
has responsibility for particular programmes
Sachbearbeiter case manager, person in charge of/responsible for dealing
with a matter
Sachdienlich conducive, helpful (to the matter), relevant. See Chapter
XIII D 1 (g) (i)
Sache (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
Sachenrecht law of property. See Chapter X D
Sachgebiet subject area. See Chapter V, Note 6; Chapter X A (Note 3)
Sachgerecht appropriate, proper. See Chapter XIII, Note 69
Sachgesamtheit collection of Sachen. See Chapter X C 3 (g) Expos (a);
Chapter X D 2 (iii)
Sachherrschaft dominance over a Sache. See Chapter X D 2 (i)
Sachkunde expertise, expert knowledge. See Chapter X, Note 215
Sachlegitimation legitimation (in proceedings); can be active or passive. See
Chapter XIII D 1 (f) (iv)
Sachlich factual; pertinent; to the point; substantive
Sachlichkeitsgebot duty to be relevant. See Chapter XXII D 5
Sachmangel defect/fault in a Sache. See Chapter X, Note 185; Chapter
X C 3 (g) Expos (c). Cf Rechtsmangel and Falschlieferung
Sach und Streitstand (the) non-contentious and contentious subject-matter,
position (in the case). See Chapter XIII D 2 (c) (vi)
Sachurteil judgment on the substantive matter, point. It deals with
the Streitgegenstand and decides whether a Klage is
begrndet or not. Cf Prozeurteil
Sachurteilsvoraussetzung (pre)condition for a (substantive) judgment in the
proceedings. Also called Prozevoraussetzung and
Zulssigkeitsvoraussetzung. See Chapter XIII D 1 (f) (i)
424
Sachverhalt set of facts, position (in a particular case)

Sachverstndiger expert. See Beweismittel; Chapter XVII, Notes 22 and 30
Sachvorschrift substantive legal provision. See Chapter XX B
Salvatorische Klausel saving clause (eg, in an agreement, to protect against the
risk of invalid provisions). See Chapter X B 2 (e)
Sammelverwahrung collective deposit. See Chapter XIX B
Sanierung reconstruction, rescue (of a business/company). See
Chapter XVIII B 4
Satzung 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.
Satzungsnderung amendment of the articles (of a company)
Satzungsversammlung rule making assembly (of BRAK). See Chapter XXII D 5
Schadensersatz 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
Schadensersatz wegen damages for non-performance. See Chapter X, Note 126 I
Nichterfllung
Schadloshalten to indemnify. See Chapter XIII D 1 (f) (iii); Garantievertrag
Scheidung divorce. See Creifelds under Ehescheidung; Chapter X E;
Scheinkaufmann apparent businessman. See Chapter XIII, Note 57
Scheinselbststndigkeit pretended/feigned/ostensible self-employment. See
Chapter XI, Note 40; Chapter XVIII, Note 2 (c)
Scheinvollmacht apparent (ostensible) authority. See Chapter XI C 2 (c)
Scheitern to fail. See Chapter X, Note 135 B
Schenkung gift, donation. See Chapter X C 3 (g) (Title 2); Chapter X F
3 (e) and 4 (g) (iv). Cf Zuwendung
Schenkungsversprechen promise of a gift (for the future). See Creifelds under
Schenkung; Chapter XXII E
Schickschuld see Leistungsort
Schiedsgericht court of arbitration. See Chapter XIII D 10
Schiedsmann (official) arbitrator, who presides over the Shneverfahren
and neighbour disputes. See Creifelds under Schiedsmann
Schiedsrichterliches arbitration procedure. See Chapter XIII A and Chapter XIII D 10
Verfahren
Schiedsspruch arbitration award/decision. See Chapter XIII, Note 171;
Chapter XXI A
Schiedsvertrag arbitration agreement. See Chapter XIII D 10
Schlechtleistung bad performance. Can found a claim for positive
Vertragsverletzung (PVV)
425
<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
Schlichte Ttigkeitsdelikt crime merely requiring a particular activity. Cf Erfolgsdelikt
and see Chapter XVI C 1 (a)
Schlichtes Verwaltungshandeln pure administrative action, rather than Hoheitliches
Verwaltungshandeln. See Chapter XV C
Schlichtung mediation
Schlsselbegriff key concept/term. See Chapter VI, Note 6
Schlssig(keit) apparently) well-founded(ness) (conclusive(ness)) (of a
Klage). See Chapter XIII D 2 (c) (iii) and Creifelds under
Schlssigkeit
Schlssiges Verhalten 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
Schlssigkeitsprfung test of apparent well foundedness. See Chapter XII D 2 (c)
(iii) (Note 97)
Schmhkritik disparaging criticism. See The Tucholsky Cases
Schmerzensgeld damages for pain and suffering. See Creifelds under
Schmerzensgeld; Chapter VIII, Note 20; Chapter X, Note
227. Cf Schadensersatz
Schmiergeld slush money. See Chapter X, Note 220
Schffe lay criminal judge, magistrate. See Creifelds under
Schffen and Chapter XXII A
Schffengericht lay magistrates court. See Chapter XXII, Note 37
Schnheitsreparatur cosmetic repair. See Chapter X C 3 (g) Expos (c)
Schranke(n) limit(s) of (a) basic rights); can in turn be subject to a
Schranke-Schranke. See Creifelds under Grundrechte 4 and
Chapter VIII B
Schranke-Schranke see Schranke
Schrankenlos unlimited. See Chapter X, Note 23
Schreiben to write; letter. See Chapter XXII D 8
Schriftformklausel clause (in standard business terms) requiring amendments
to be made in writing. See Chapter X B 2 (e)
Schriftliches Vorverfahren preliminary written procedure. See Creifelds under
Mndliche Verhandlung and Chapter XIII D 2 (c) (iv)
Schriftsatz pleading. Can be vorbereitend (preparatory), bestimmend
(definitive) or nachgereicht (lodged later). See Chapter XIII
D 1 (g) (i) and Creifelds under Schriftstze
Schriftstck (ordinary) written item, document. See Chapter XIII D 1 (g) (ii)
Schuld blame, guilt (in criminal law); debt. See Chapter XVI C 3
and cf Verschulden
426
Schuldanerkenntnis (abstract) acknowledgement of debt. See Creifelds under

Schuldanerkenntnis and Chapter X C 3 (g) (Title 20). Cf
Schuldschein. See also Schuldversprechen
Schuldangemessen appropriate to (the) Schuld. See Chapter XVID (at Note 73)
Schuldausschlieungsgrund reason excluding (justifying the exclusion of) Schuld. See
Chapter XVI C 3 (d). See alsoTatbestandsirrtum,
Verbotsirrtum and Notstand
Schuldbeitritt accession of a debtor in addition to the existing one(s). Cf
Schuldbernahme and see Chapter X, Note 157
Schuldfhig capable of blame. See Chapter XVIC 3 (b). Cf Schuldunfhig
Schuldner debtor, obligor. See Chapter X C 3
Schuldnerverzeichnis (black) list of debtors. See Creifelds under
Schuldnerverzeichnis; Chapter XII D 8(e)
Schuldrecht law of obligations. Also Recht der Schuldverhltnisse. See
Creifelds under Schuldrecht and Chapter X C
Schuldschein IOU, debenture. See Chapter XI, Note 57. Cf
Schuldanerkenntnis
Schuldtitel See Vollstreckungstitel
Schuldbernahme substitution (of one debtor for another). See Creifelds under
Schuldbernahme. Cf Erfllungsbernahme, Schuldbeitritt
and Abtretung. See also Chapter X C 3 (d) and (e)
Schuldunfhig(keit) incapable of (incapacity for) blame. See Chapter XVIC 3
(d) (Note 52)
Schuldverhltnis obligation (relationship). See Chapter X C; Creifelds under
Schuldverhltnis and Schuldrecht
Schuldverschreibung aufden promissory note, debenture. See Creifelds under
Inhaber Inhaberschuldverschreibung and Inhaberpapier. See also
Schuldversprechen (binding) promise. See Chapter X C 3 (g) (Title 20). Cf
Schuldanerkenntnis
Schulwesen school system. See Chapter VIIIC (Article 7 GG)
Schutz protection
Schutzbereich protected area. See Chapter VIIIA
Schutzgesetz protective statute. See Chapter X C 3 (g) (Note 219)
Schutzpflicht duty of protection. See Chapter X, Note 135 A; Chapter
XVIII H
Schutzschrift protective pleading. See Chapter VIII, Note 20 G
Schutzvorkehrung protective measure. See also Vorkehrung
Schutzwrdig worthy of protection. See Chapter X F 3 (c) (iv)
Schweben(d) (to be) pending, remaining) in suspense, abeyance. See
Chapter X B 2 (a) and (b) (Note 35)
Schwebezustand period of suspense. See Chapter X F 5 (a)
Schweigen to be silent; silence. Cf Stillschweigen. See Chapter X, Notes
31,40 and 71
427
Schweigepflicht duty of silence. See Chapter XVII C; Chapter XXII D 5. See

also Geneimhaltungspflicht
Schwellenwert threshhold figure (value). See Chapter XVIII, Note 13
Schwerpunkt main/focal point. See Chapter X B1 2
Schwierig(keit) difficult(y)
Schwurgericht 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.
Seehandel sea trade. See Chapter XIC1
Selbstbestimmung(srecht) (right of) self-determination. See Chapter II G; Chapter X
B1 6
Selbsthilfe self-help. See Creifelds under Selbsthilfe and Chapter X B 3
Selbstorganschaft (principle of the) personal direction of a company by its
members. See Chapter XIA 4
Selbstschuldnerische Brgschaft 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)
Selbstverteidigung self-defence. Also Notwehr. See Chapter X B 3
Selbstverwaltungsangelegenheiten autonomous matters; also known as eigene Aufgaben. See
Chapter VI
Selbs tverwaltungskrperschaft self-governing corporation. See Chapter VI
Sicherheit security. See Chapter XVII, Note 32; Chapter XIX B
Sicherheit des Rechtsverkehrs business safety. See Chapter X F 3 (c) (iv). Cf
Rechtssicherheit
Sicherheitsbeauftragter safety officer. See Chapter XVIII H
Sicherheitsleistung (provision of) security (for costs). See Creifelds under
Sicherheitsleistung; Chapter X B 3; Chapter XIII D 1 (c);
Sichern to secure
Sicherstellen to take into safekeeping. See Chapter XVII, Note 25
Sicherung the securing of
Sicherungsabrede see Sicherungsvertrag
Sicherungshypothek security mortgage. It is a means of enforcement regarding
a money claim. See Chapter XIII D 8 (c) (vi) (Note 185)
Sicherungsrecht security right. See Chapter X D1
Sicherungsbereignung 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
Sicherungsverfahren security proceedings. See Creifelds under Sicherungsverfahren

and Chapter XVIII
Sicherungsvertrag security agreement. See Chapter X, Note 257; Chapter X D 3 (h)
Sicherungsverwahrung placement/retention in secure custody. See Chapter XVID
Siedler 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)
Singularzulassung (principle of) single admission (of Rechtsanwlte at a LG
or an OLG). See Chapter XXIID 3
Sinn meaning, sense. See Chapter X F 3 (c) (iii)
Sittenundrig(keit) (in) breach of (contrary to) good morals. See Creifelds under
Sittenwidrigkeit and Chapter X B 2 (b) (Note 58)
Site 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
Sofortige Vollziehung immediate enforcement (of a VA). See Creifelds under
Vollziehung, sofortige, Chapter XIV C 3 and Chapter XVIII H
Sofortiger Vollzug see Sofortige Vollziehung
Sollkaufmann a person who, due to the type and extent of his or her
activities, should be a Kaufmann. See Chapter XIC 2 (a)
Sondergesetz special law. See Chapter IX A
Sonderrecht special law, right. See Chapter XIA1
Sonderregel special rule, provision. See Chapter X, Notes 126 G and
188; Lex specialis
Sorgerecht (right of (care and)) custody. See Elterliche Sorge
Sorgfalt care, diligence. See Chapter X, Note 126 D; Chapter XVIC
3 (c)
Sorgfalt in eigenen standard of care observed in owns own affairs. See
Angelegenheiten Creifelds under Sorgfalt in eigenen Angelegenheiten; Chapter
X C 3 (b) Title 5 (Expos); Chapter X F 4 (e); Chapter XI B 1
Sorgfaltspflicht duty of care. See Chapter X, Note 135 B and Chapter XI C
5. See also Verkehrs(sicherungs)pflicht
SoziaZlgericht (SG) Social (Security) Court. See Chapter XXII C 4
Sozialgerichtsbarkeit social jurisdiction. See Creifelds under Sozialgeriditsbarkeit
and Chapter XXII C 4. See also Kostenpflicht
Sozialgerichtsgesetz (SGG) Law relating to the Social (Security) Courts. See Chapter
XXII C 4
Sozialgesetzbuch (SGB) Social Security Law. See Creifelds under Sozialgesetzbuch;
Chapter X, Note 156
Sozialhilfe social support security, welfare. See Creifelds under
Sozialhilfe; Chapter VI, Note 4
429
Sozialrecht social security law. See Chapter II, Note 19

Sozialstaat (social) welfare state. See Chapter VIII, Note 22
Sozialtypisches Verhalten socio-typical behaviour. See Chapter X B 2 (c) (Note 70)
Sparbuch savings book. See Chapter XIX B
Sparkasse (public) savings bank. See Chapter VI, Note 4
Spediteur carrier, forwarder, haulier. See Creifelds under Spediteur
and Chapter X D 3 (h) (Note 280)
Spedition forwarding (shipping) agency; shipment. See Chapter X,
Note 166 and Chapter XIC 5
Sperren to bar, block (off), restrict; to ban, prohibit
Spezial special. See Chapter X D 2 (iii)
Spezialitt speciality. See Chapter X D 2 (iii); Chapter XXIC
Spiel game. See Chapter X C 3 (g) (Title 17)
Sprungrevision leap-frog appeal (on a point of law). See Chapter XIII, Note 133
Staatenbund confederation (of states). See Creifelds under Staatenbund,
Chapter I (Note 15) and Chapter II A
S taatsangehrigkeit citizenship, nationality. See Creifelds under
Staatsangehrigkeit; Chapter XIV C 5; Chapter XX B. See
also Ausbrgerung
Staatsanwalt(schaft) public prosecutors office); state attorney (s department).
See Creifelds under Staatsanwaltschaft and Chapter XVII B
Staatsaufsicht state supervision. See Chapter V, Note 7
Staatsbrger citizen
Staatsgebiet state territory. See Chapter II, Note 1
Staatsgerichtshof constitutional court (in Baden-Wrttemberg, Bremen,
Hessen and Niedersachsen). See Creifelds under
Staatsgerichtshof and Chapter VII (Note 11)
Staatsgewalt state power. See Creifelds under Staatsgewalt; Chapter II,
Note 1; Chapter IIAandF
Staatshaftung state liability. See Chapter X Note 224; Chapter XXII, Note 19
Staatskanzlei state chancellery (of a Land). See Chapter V B
Staatskasse state treasury. See Chapter XXII, Note 100
Staatsprfung State Examination (eg, to become a Rechtsanwalt). See
Chapter XXII A
Staatsrecht state law. See Chapter II, Note 1; Chapter IX A; Creifelds
under staatsrecht
Staatsvertrag (state) treaty. See Chapter II H; Chapter V, Note 1; Chapter
XXIA
Staatsverwaltung state administration, executive. See Chapters II C, IV and V B
Staatsvolk state people, population. See Chapter II, Note 1
Stadt town, city. See Chapter VI
Stadtplanung town planning. See Chapter VI, Note 4
Stadtstaat city state. See Chapter V A
Stadtverordnetenversammlung see Gemeindevertretung
430
Stammaktie ordinary share (in a public limited company)

Stammeinlage basic/original share, stake (of a member in a company, ie,
a Kapitalgesellschaft). See also Gesellschaftsanteil
Stammkapital 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)
Standesrecht rules of professional conduct. See Chapter XXII D 5
Stndig continuous(ly), constantly. See Handelsvertreter
Standort see Site
Steckbrief warrant of apprehension. See Chapter XVII D (Note 38 E)
and cf Haftbefehl
Stehendes Gewerbe standing /general /regular business. See Chapter XIX B
Stelle point, place; office, job; digit. See Chapter XIII D 2 (c) (i)
and Chapter XIV B3
Stellung position. See Chapter XI C 2 (c)
Stellungnahme comment(s), opinion, (statement of) position. See Chapter
XIII, Note 3. See also uerung, Haltung, Meinung
Stellvertreter seeVertreter
Steuerbescheid notice for the payment of taxes, tax assessment. See
Creifelds under Steuerbescheid; Chapter XIV C 5
Steuer(recht) tax (law). See Chapter XIX; the terminology in Creifelds
after Steuer
Stichtag (fixed) reference date. See Chapter XIII D 6 (b) 2
Stiftung 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
Stille Gesellschaft silent partnership. See Chapter XI C 3 (a) and (d)
Stillegung closure, shut-down (of a business). See Chapter XVIII, Note 14
Stillschweigen silence. See Schweigen
Stimme (individual) vote. See Chapter III, Note 3
Stofflieferant supplier of materials. See Chapter X, Note 264
Strer person responsible (for disruption, disturbance, interference,
obstruction, trouble). See Creifelds under Strer
Strung disruption, disturbance, interference, interruption. See
Creifelds under Gefahrenabwehr
Strung der Geistesttigkeit mental disorder. See Chapter X F 3 (c) (i)
Strafantrag application for prosecution. See Creifelds under
Strafantrag; Chapter VIII, Note 20 D; Chapter XVII A
Strafanzeige notice of an offence, complaint. See Creifelds under
Strafanzeige and Chapter XVII A
Strafaufhebungsgrund reason to lift a Strafe. See Strafausschlieungsgrund
Strafausschlieungsgrund reason to exclude a Strafe. See Creifelds under
Strafausschlieungsgrnde, Chapter XVIC 3 (d) and also
Strafaufhebungsgrund
Strafaussetzung zur Bewhrung suspension of sentence on good behaviour (probation). See
431
Creifelds under Probation, Strafaussetzung and Chapter

XVID
Strafbarkeit punishability. See Chapter XVIA
Strafbefehl punishment order. See Creifelds under Strafbefehl and
Chapter XVII E
Strafbemessung assessment of punishment. See Chapter XVI, Note 73
Strafe punishment. See Chapter XVID
Strafgesetzbuch (StGB) Criminal Code; Penal Code. See Creifelds under
Strafgesetzbuch and Chapter XVIA
Strafkammer criminal chamber (at a Landgericht). See Chapter XXII,
Note 37
Strafprozeordnung (StPO) Criminal Procedure Order. See Creifelds under
Strafproze(recht) III and Chapter XVII A
Strafrecht criminal law. See Creifelds under Strafrecht and Chapter XVI
Strafrichter single criminal judge. See Chapter XVII A (Note 4) and
Einzelrichter
Straftat (criminal) offence, crime. It can be a Verbrechen or a
Vergehen: see Chapter XVIB
Strafverfahren criminal (punishment) proceedings. See Chapter XVII
Strafverfolgung pursuit of crime; prosecution. See Chapter XVII D (Notes
11 and 33)
Strafvollstreckung enforcement of punishment. See Chapter XVIIA and J
Strafvollzugsbehrde prison authority. See Chapter XXIIC 6
Strafvorbehalt reservation of punishment. See Chapter XVID and
Verwarnung
Straenverkehrsgesetz Road Traffic Law. See Chapter X Note 222 E; Chapter XVI
B (Note 9); Creifelds under Straenverkehrsrecht
Streik strike. It is a means of Arbeitskampf. See Chapter XVIII G
and Creifelds under Streik
Streit dispute. Also Rechtsstreit
S treitgegenstand object of the action, matter in dispute. Also Streitsache.
See Chapter XIII D 2 (c) (iii)
Streitgenossen joint parties. See Chapter XIII D1 (f) (ii) and
Strtitgenossenschaft
Streitgenossenschaft joinder of parties. See Creifelds under Streitgenossenschaft
Streithilfe in dispute, disputed, contentious; dispute. See Chapter VII,
Note 10
Streitig(keit) see Nebenintervention
Streitkrfte armed forces. See Chapter XIV, Note 1
Streitsache see Streitgegenstand
Streitverkndung notification of dispute, third party notice. See Creifelds
under Streitverkndung and Chapter XIII D 1 (f) (iii)
Streitwert value of the (matter in) dispute. See Creifelds under
Streitwert and Chapter XXII D 8
432
Strengbeweis (the principle of) strict evidence. See Chapter XX E. Cf

Freibeweis and see Beweismittel
Stckaktie a single (proportionate) share in the capital of an
Aktiengesellschaft. See Chapter XII, Note 10. Cf
Nennbetragsaktie
Stckschuld specific (individual) debt. See Chapter X, Note 116
Stufenklage step action. See Chapter XIII, Note 96; Chapter XIII D 2 (c)
(iii); Chapter XIII D 6 (b) 2 (v) and 3 (b)
Stundensatz hourly rate. See Chapter XXII, Note 101
Stundung respite. It postpones the Flligkeit of a Leistung. See
Chapter X (Note 98)
Sub judice see Rechtshngig
Subjektives ffentliches Recht public subjective right. See Chapter X B 1 4 (at Note 21)
and Creifelds under Subjektives ffentliches Recht
Subjektives Recht subjective legal right. See Creifelds under Subjektives Recht
and Chapter X B 1 4. a Rechtsreflex
S ubsidiarittsprinzip subsidiarity principle. See Creifelds under Subsidiaritt;
Chapter V, Note 6; Chapter VII C, Note 16
Substantiierung substantiation. See Chapter XIII, Note 67; Chapter XVIII,
Note 14
Subsumtion subsumption (of facts under a legal norm). See Chapter X
C 2 2 (Note 105)
S hneverfahren conciliation proceedings (precondition for certain types of
private prosecution). See also Gteverhandlung
Syndikus(anwalt) in-house lawyer. He cannot represent his employer in his
capacity of Rechtsanwalt before a court. See Chapter XXII,
Notes 59 and 67
Tagessatz daily rate. See Chapter XVI D
Tantieme share of profits, royalty. See Chapter XIII E
Tarifvertrag tariff agreement. See Chapter XVIII G. See also
Manteltarifvertrag
Tarifvertragsgesetz (TVG) Law relating to Tariff Agreements. See Chapter XVIII G
(Note 52)
Tat(be/um)standsirrtum mistaken belief that an element of a (criminal) Tatbestand
does not exist. It is a Schuldausschlieungsgrund ( 16 StGB).
See Chapter XVI C 3 (d)
Tatbestand 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
Tatbestandsmig(keit) (in) accordance with a Tatbestand
Tatbestandsmerkmal element of a Tatbestand. Also called a Tatumstand. See
Tateinheit unity of act; ideal concurrence. See Chapter XVI, Note 73
Tter perpetrator (of a crime). See Creifelds under Tter,
Chapter XVI C 1 (b) and C 3. See also Mittter
433
Ttig(keit) active(ity). See Chapter X, Notes 159 and 166; Chapter XXII,
Note 59
Tatmehrheit plurality of acts; real concurrence. See Chapter XVI, Note 73
Tatort place of commission/scene (of a tort or crime). See Chapter
XX, Note 25; Chapter XVII, Note 37
Tatsache fact. See Chapter XIII D 1 (g) (i)
Tatschlich actual; in fact; really. See Chapter X D 2 (i)
Tatschliche Vermutung actual presumption. See Vermutung
Tatsachenvermutung presumption of fact. Cf Tatschliche Vermutung and see
Tauglich(keit) fit(ness), useful(ness) (for). See Chapter X C 3 (g) Expos (c)
Tausch exchange, barter. See Chapter X C 3 (g) IV and Creifelds
under Tausch
Tuschen to deceive, defraud. See Arglistige Tuschung, Betrug,
Irrefhren
Taxe official rate for certain work. See Creifelds under Taxen;
Chapter X, Note 166
Teilhaber shareholder, participant. See Gemeinschaft nach Bruchteilen
and Chapter XIA3
Teilklage partial claim. See Chapter XIII, Note 96
Teilnahme am allgemeinen Verkehr participation in general traffic. See Chapter XVIII H
Teuung division, separation. See Chapter X F 4 (a)
Teilurteil partial judgment. See Urteil
Telekommunikationsgesetz (TKG) Telecommunications Law. See Chapter II, Note 15
Tendenzbetrieb Betrieb with a particular social purpose
Termin hearing (date), appointment, date. See Chapter XIII C F;
Chapter XIII D 1 g (iii)
Testament will. See Creifelds under Testament and Verfgung von Todes
wegen; Chapter X D 2 (v), Chapter X F and Chapter XXII E
Testamentsvollstrecker executor. See Chapter X F 4 (b) and (i)
Testierfreiheit testamentary freedom. See Chapter X F 2 and 3 (b)
Tilgung (re-)payment, discharge, redemption. Also Ablsung. See
Chapter X D 3 (h)
Titel title; can include a court judgment. See Chapter XIII D 8 (b)
Tod death. See Chapter X B 4 (c) ( 1922(i) BGB)
Todeserklrung declaration of death. See Creifelds under Todeserklrung
and see Chapter XE
Totschlag manslaughter. See Chapter XVII, Note 38 B
Traditio see bergabe
Troditionspapier see Chapter XIX B
Trger carrier(s). See Rechtsfhigkeit and Verwaltungstrger
Tragweite range, implication, effect. See Chapter XXIIE
434
Transformationsgesetz See Zustimmungsgesetz

Transparenzgebot transparency principle. See Chapter X B 2 (e)
Tratte see Wechsel
Trennung separation. See Chapter X F 5 (b); Chapter XIII D 2 (c) (iii)
and D 6 (b) 3. See also 1567 BGB
Treuepflicht duty of loyalty (eg, of an employee). See Chapter XI B;
Chapter XVIII H (Note 61)
Treuhnder trustee. See Chapter X Note 220
Treu und Glauben (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
Tun to do; can also mean act (noun). See Chapter XVIC 1 (b)
Typenfreiheit free choice of type. See Chapter X D 2 (ii) and cf
Typenzwang
Typenzwang compulsory/fixed choice of type. See Chapter X F 3 (b). Cf
Typenfreiheit
bereignung transfer of ownership. See Chapter X D 3 (c) (ii)/ (iii)
bereinkommen agreement, convention. See Chapter XXIA
berfhren to convict (of a criminal offence). Also Verurteilen
berfhrungsstck seizure item, ie, found on a person when arrested
bergabe transfer of physical possession, handing over, delivery (of).
See Chapter X Note 234; Chapter X D 3 (c) (ii)/(iii)
bergang transfer, transition
berlassen to let someone have, leave, hand over (something) (to
somebody)
berlassung handing over, cession, grant. See Chapter X C 3 (g) Expos (c)
bermaverbot prohibition of excess. See Creifelds under bermaiverbot
and Chapter VIIIB
bermittlung transmission. See Chapter XVII, Note 25
bernahme acquisition, takeover
berordnung dominance. See Chapter IX B
berrtliche Angelegenheiten local matters extending beyond the area/capacity of a
Gemeinde. See Chapter VI
berprfen to check, reexamine, review. See Chapter XVIII, Note 14
berraschen to surprise. See Chapter X B 2 (e)
berraschungsentscheidung surprise decision. See Chapter XIII, Note 3; Chapter XIII D
2 (c) (vi)
berrumpeln see berraschen
berschreiten to transgress, exceed. See Chapter XIV C 6 and Chapter
XVIC 3 (d) (Note 52)
berschuldet over-indebted. See Chapter X F 5 (b). Cf zahlungsunfhig
435
berschu excess balance, surplus. See Chapter X F 4 (b)

bersetzung translation. See Chapter VIII, Note 18
bertragen to transfer, allocate, transmit
bertragene Aufgaben transferred or allocated tasks, matters. Also
Auftragsangelegenheiten. See Chapter VI
bertragene Geschfte transferred business, matters. See Chapter XXII B
bertragung transfer; allocation; transmission. See bereignung
berwachung monitoring, surveillance. See Chapter XVII, Note 25;
Chapter XIX B
berweisung (bank) transfer (of funds). See Chapter XIII, Note 182
berweisungsvertrag contract to undertake a bank transfer. See Chapter X C 3
(g) (Title 10)
berwiegend predominantly, mainly
berzeugen to convince
berzeugung conviction, firm belief. See Beweiswrdigung
Ubi ius, ibi remedium where there is a right, there is a remedy. See Chapter X,
Note 16
ble Nachrede 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
Ultima ratio final measure, step; last resort. See Chapter XVID
Umdeutung fresh interpretation. See Chapter VIII, Note 6; Creifelds
under Umdeutung; 140 BGB
Umfang extent, range, breadth, width. See Chapter XI, Note 25;
Vollmacht
Umgehung circumvention, avoidance. See Chapter XVIII, Note 2 (c);
Chapter XX, Note 6; Chapter XXII D 5
Umgestalten to rearrange, redesign, reshape, transform. See Chapter X
C 3 (b) Title 5 (Expos)
Umgestaltung rearrangement, reshaping. See Chapter XIII D 2 (c) (ii)
Umkehr der Beweislast reversal of the burden of proof. See Preface to Second
Edition, Note 11 A; Chapter X Notes 126 J and 135 A;
Umkehrschlu opposite conclusion (by reversal of argument/argumentum
e contrario). See Chapter X Note 47 E
Umlauf circulation
Umlaufvermgen current assets
Umsatz turnover
Umsatzrckgang decline in turnover. See Chapter XVIII, Note 14
Umsatzsteuer see Mehrwertsteuer
436
Umstand circumstance. See Chapter X F 3 (c) (iii)

Umstellung conversion, change (to)
Umwandlung conversion, transformation
Umweltrecht environmental law. See Chapter XV C (Note 12); Chapter XIX
Umweltschutz protection of the environment. See Chapter VI, Note 5

Unabhngig(keit) independent(ce). See Chapters II G, XIII (at Note 30), XXII
A and XXII D 2
Unabwendbares Ereignis unavoidable event (a defence against liability for a road
traffic accident: 7 (ii) StVG)
Unanfechtbar(keit) non-(un-)challengable(ility). See Chapter XVIII H (Note 56 B)
Unangemessen improper, inappropriately). See Chapter X B 2 (e); Chapter

XXII, Note 101
Unaufschiebbar incapable of postponement. See Besorgnis der Befangenheit;
Chapter XIV C3
Unbedingt unconditionally, definitely. See Chapter XIIID1 (f) (i)
Unbegrndet unfounded. Cf Begrndet
Unbeschrnkt unlimited. See Chapter X F 5 (b); Chapter XIC 3 (b) (i)
Unbestellbar undeliverable. See Chapter XIII D1 (g) (ii)
Unbestimmt indefinite. See Chapter X C 3 (g) Expos (d)
Unbestimmter Rechtsbegriff indefinite legal term. See Creifelds under Unbestimmte
Rechtsbegriffe and Chapter XIV C 6. Cf Ermessen
Unbeweglich immovable (adj). Cf Beweglich
Unbewut unconscious (non-medical sense). See Chapter XVIC 3 (c)
Unbillig inequitable, unfair. See Chapter XIV, Note 23 C. See also
Billig
Unbrauchbarmachung rendering (something) useless; neutralisation (of). See
Creifelds under Unbrauchbarmachung and Chapter XVID
Undurchsichtig intransparent, obscure, opaque. See Chapter X B 2 (e)
Unecht not genuine, false, artificial. See Chapter XVIC1 (b)
Unehelich illegitimate (child). Also Nichtehelich
Unentbehrlich see Unerlilih; Chapter X B 2 (e)
Unentgeltlich gratuitous(ly). Also Gratis
Unerheblich insignificant, unimportant. See Chapter X C 3 (g) Expos
(c)
Unerllich essential, indispensable. See Chapter XVID
Unerlaubte Handlung tort, tortious act. See Creifelds under Unerlaubte Handlung,
Delikt; Chapter X C 3 (g) (Title 25); Chapter XX, Note 25
Unfallort scene of the accident. See Chapter XVI, Note 23
Unfallschutz protection against accident. See Creifelds under
Unfallschutz and Chapter XVIII H
437
Unfallverh tungsvorschriften regulations for the prevention of accidents. See Chapter

XVIIIH
Ungerechtfertigte Bereicherung unjust enrichment. See Creifelds under Ungerechtfertigte
Bereicherung, Chapter X C 3 (g) (Title 24),
Leistungskondiktion and Nichtleistungskondiktion
Ungewhnlich unusual. See Chapter X B 2 (e)
Ungleichbehandlung unequal treatment. See Chapter VIII, Note 22
Universalittsgrundsatz universality principle. See Chapter VI
Unkenntnis ignorance
Unklar unclear(ly). See Chapter X F 3 (c) (iii)
Unmittelbar direct(ly)
Unmittelbar betroffen directly affected. See Chapter VII C
Unmittelbar drohende Gefahr immediate threat of danger. See Chapter XVIII H (Note 56)
Unmittelbarer Zwang direct force. See Chapter XVIII H
Unmittelbar geltendes Recht directly applicable law. See Chapter VIII A
Unmittelbarkeitsgrundsatz 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
Unmglichkeit impossibility. See Chapter X C 3 (a) (Titles 1 and 2) (Note
126) and Chapter X C 3 (b)
Unparteiisch impartial, neutral. See Chapter XIII, Note 69; Chapter XXII
E. See also Besorgnis der Befangenheit.
Unrechtmiger Besitzer person in illegal possession. See Chapter X, Note 266 B
Unrechtsbewutsein consciousness of illegality. See Creifelds under Bewutsein
der Rechtswidrigkeit and Chapter XVIC 3 (d)
Unregelmssig irregular(ly). See Chapter X C 3 (g) Expos Darlehen
Unschuldsvermutung presumption of innocence. See Chapter XVII A
Unttigkeitsbeschwerde complaint of inactivity. See Chapter XXII, Note 19
Unttigkeitsklage see Verpflichtungsklage
Unterbrechung interruption. See Chapters X B 4 and XIII D 1 (g) (v)
Untere Landesbehrde lower authority of a Land. See Chapter V B
Untere Verwaltungsbehrde lower administrative authority. See Chapters IV and V B
Untereinander amongst each other. See Chapter XIC 3 (b) (ii)
Unterhalt 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
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 maintenance agreement. See Chapter XIIID 6 (b) 2 (iv)
Unterhndler (government) negotiator, representative. See Chapter II H
Unterlagen documents, papers
Unterlassen to omit (stop) to do, desist from. It can also mean omission
(noun). See Chapter X, Note 219
Unterlassung 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
Unterlassungsdelikt crime by omission. See Chapter XVIC1 (b)
Unterlassungsklage action for a restraining order/order of stoppage. See
Chapter XIII, Note 96 and at Note 190
Unternehmen (whole) enterprise, business, undertaking. See Creifelds
under Unternehmen. Cf Betrieb and Gewerbe
Unternehmensvertrag 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
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).
Unternehmer businessman, entrepreneur; manufacturer, producer. See
Chapter X, Note 166; Chapter XIC 2 (e); Kaufmann;
Hersteller
Unternehmerentscheidung commercial decision. See Chapter XVIII, Note 14
Unternehmer(isches)risiko commercial risk
Unterordnung subordination. See Chapter IX B
Untersagen to forbid, prohibit
Unterschlagung 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)
Unterschrift signature. Also (as an act): Unterzeichnung
Unterstufe lower level. See Chapter V B
Untersuchung examination, investigation, (bodily) search). See Chapter
XVII A and B and see also Ermittlung, Durchsuchung,
Prfung
Untersuchungsgrundsatz inquisition maxim; applies in criminal and administrative
law and in FGG matters. See Creifelds under
Untersuchungsgrundsatz and Chapter XIIIB2
Untersuchungshaft remand in custody (for investigation). See Creifelds under
Untersuchungshaft; Chapter XVII, Notes 26 and 38
Unterwerfung submission (of oneself to). See Chapter X B 2 (e);
Vollstreckbare Urkunde
Unterzeichnung (act of) signature. See Chapter IIH
Untreue 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).
Unbersichtlich difficult to oversee, complex (to grasp), involved, of
440
rambling scope, untidily arranged. See Chapter X B 2 (e)

Unvereinbar incompatible. See Chapter VII C
Unverhltnismig disproportionate; unreasonable
Unverjhrbar not subject to Verjhrung. See Chapter X B 4 and Chapter
XVII, Note 11
Unverletzlich(keit) inviolable(ity). See Chapter VIII C
Unversehrtheit intactness, integrity. See Chapter VIII C
Unvertretbare Handlung an act incapable of being undertaken by someone other
than the debtor. See Chapter XIIID 8 (d)
Unverzglich without delay, forthwith, promptly. See Creifelds under
Unverzglich; Chapter X B 2 (b) and (c); Chapter X, Note
31; Chapter XXII D 5
Unvorhergesehen unforeseen. See Chapter X C 3 (g) Expos (c)
Unwirksam ineffective. See Chapter X B 2 (b) (Note 35); Chapter X B 2
(e); Chapter XIV C 3 (at Note 20)
Unzulssig inadmissible; not allowed. See Creifelds under
Unzulssigkeit; Chapter XIII D 1 (f) (i); Chapter XIII, Note
69; Chapter XV C
Unzumutbar 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
Unzweideutig in no uncertain terms, unequivocally). See Chapter XXII E
Urheber author, creator. See Chapter XIIID 1 (f) (iii)
Urheberrecht copyright (law). See Chapter X, Note 266 C; Chapter XIX,
Note 1; Creifelds under Urheberrecht
Urkunde 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
Urkundenproze (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
Urkundenrolle (annual) roll of Urkunden (maintained by a Notar). See
Chapter XXII E
Urlaub holiday. See Chapter XVIII, Note 2 (b)
Urproduktion original production, extraction of natural produce (from
the land). See Chapter XI, Note 31; Chapter XIX B
Urschlich(keit) causal, causation; also Kausal(itt). See Chapter XVIC 1 (a)
Urteil 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
(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)
Valuta monies (Gelder). Also (foreign) currency (Whrung)
Valutaverhltnis 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
Variabel variable. See Chapter X C 3 (g) Expos Darlehen
Vaterschaft paternity. See Chapter XIII, Note 149; Kindschaftssache
Venire contra factum proprium
(nemini licet) (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)
Vernderung change, alteration. See Chapter X F 3 (c) (ii). See also
nderung
Verantworten to answer (take responsibility) for
Verantwortung responsibility
Verarbeitung processing. See Creifelds under Verarbeitung and Chapter
X D 3 (c) (ii)
Veruerer transferor (vendor). See Chapter X D 3 (c) (iii) (Bona fide
acquisition of ownership to movables)
Veruerung disposal; (sale). See Chapter X, Notes 159 and 242
Veruerungsverbot provision restricting disposal. See Creifelds under
Veruerungsverbot and Chapter X D 2 (v)
Verband association, federation. See Creifelds under Verbnde;
Chapter VIII, Note 20 G; Chapter XI A 2; Chapter XIX, Note 10
Verbandsklage action by a federation. See Creifelds under Verbandsklage
and Chapter XIVC
Verbindlich see Rechtlich verbindlich
Verbindung connection. See Creifelds under Verbindung von Sachen and
Chapter X D 3 (c) (ii)
Verbot prohibition. See Chapter XIV C 6
Verbotene Eigenmacht forbidden /illegal self-assumption (with regard to
possession). See Chapter X, Note 266 D
Verbotsirrtum 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)
Verbotsnorm (criminal) norm forbidding certain action or injury to a
Rechtsgut. See Chapter XVI C 1 (b)
Verbrauchbare Sache consumable thing. See Chapter X D 1
Verbraucher consumer. See Chapter X B 2 (e); Chapter XX D (at Note 16)
Verbraucherkreditgesetz Consumer Credit Law. See Abzahlungskauf
(VerbrKrG)
442
Verbrauchervertrag contract with a consumer. See Chapter X, Note 127

Verbrauchsgter consumer goods. See Preface to Second Edition, Note 11
Verbrechen category of Straftat. See Chapter XVIB
Verdacht suspicion. See Chapter XVII D
Verdchtigter suspect (person). See Chapter XVII E
Verdeckter Ermittler undercover agent. See Chapter XVII, Note 25
Verdienstausfall loss of earnings. See Chapter XIII, Note 96
Verdingungsordnung fr (internal) administrative regulations governing the award
Bauleistungen (VOB) 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
Verdrngen to displace, oust. See Chapter XVI, Note 73
Verdunkeln to obscure. See Chapter XVIID
Verdunkelungsgefahr danger of justice being obstructed (obscured). See Chapter
XVII D (Note 38 B)
Verein 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
Vereinbar compatible. See Chapter VII C
Vereinbarung agreement. Also Abmachung, Einigung, Vertrag
Vereinfacht simplified; simply
Vereinigung union. Also Zusammenschlu. See Chapter V A and
Chapter VIII C Cf Gewerkschaft
Vereinigungsfreiheit freedom of (private) association, also called
Vereinsautonomie. See Creifelds under
Vereins(Vereinigungs)freiheit and Chapter VIII C (Article 9
GG). Cf Koalitionsfreiheit
Vereiteln to thwart, foil. See Gefahr im Verzug
Vererben to leave/transmit by way of inheritance
Vererblich heritable; hereditary
Verfahren procedure; proceedings. See Chapter XIIID 2
Verfahrensmangel procedural defect See Chapter XIII D1 (f) (i); Chapter XIII,
Note 69
Verfahrensrecht procedural law. Also Prozerecht
Verfall forfeiture, expiration. See Chapter XVID
Verfassung constitution; (physical) condition. See Creifelds under
Verfassung and Chapters VA and VII
Verfassungsbeschwerde constitutional complaint. See Creifelds under
Verfossungsbeschwerde and Chapter VII C
Verfassungsgem in accordance with the constitution, constitutional. See
Chapter VIIB
Verfassungsgericht constitutional court. See Creifelds under Verfassungsgerichtsbarkeit
and Chapter VIIC
443
Verfassungskonforme Auslegung 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
Verfassungsmige Ordnung constitutional order. See Chapter II F; Chapter VIII Note 20
Verfassungsmigkeit accordance with the constitution, constitutionality. Cf
Verfassungswidrig
Verfassungsorgan supreme federal (constitutional) organ (ie, mentioned in
the constitution). See Chapter III
Verfassungsrecht constitutional law (ie, law of the constitution only). Cf
Staatsrecht
Verfassungsschutz 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
Verfassungsstreit(igkeit) constitutional dispute. See Chapter VII C (Note 10) and
Enumerationsprinzip
Verfassungswidrig(keit) unconstitutional(ity). See Creifelds under
Verfassungswidrigkeit von Gesetzen) Chapter II G; Chapter
VII B and C
Verfehlung transgression (by a youth). See Chapter XVI, Note 40
Verfolgung persecution; prosecution. See Chapter XVII A; Chapter XXI C
Verfgung 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
Verfgungsbefugnis 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
Verfgungsbeschrnkung provision limiting a persons Verfgungsbefugnis. See
Chapter X D 2 (v); Chapter X, Note 256
Verfgungsgrundsatz see Dispositionsgrundsatz
Verfgung von Todes wegen see Verfgung; Chapter X F 3 (b)
Vergehen category of Straftat. See Chapter XVIB
Vergewaltigung rape. See Chapter XVII, Note 38 C
Vergleich 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 settlement fee. See Chapter XXII D 8 (Note 96)
Vergleichsordnung Composition Order. See Chapter XVIII, Note 20
Vergtung reimbursement, reward, payment, fee. See Chapter X, Note 166
Verhaftung See Festnahme
Verhalten behaviour; conduct. See Chapter X B 2 (b) (The term
Willenserklrung); Chapter X B 2 (c) (Note 70); Chapter
XVI C 1 (a)
Verhltnismig proportional, fair. See Chapter VIII B
Verhltnismigkeitsgrundsatz 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)
Verhandeln to negotiate
Verhandlung hearing; negotiation
Verhandlung zur Hauptsache hearing on the substantive issue. See Chapter XIII D 2 (c)
(vi). Cf Hauptverhandlung
Verhandlungsgebhr hearing fee. See Chapter XXII D 8
Verhandlungsgrundsatz 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
Verhandlungsprotokoll record, protocol of the hearing. See Chapter XIII D1 (g) (i)
Verhandlungsschluss closure of a hearing. See Chapter XIII D 2 (c) (vii)
Verhindern see Hindern
Verhten to prevent. See Chapter XVII D
Verjhrung limitation (of action), prescription. See Creifelds under
Verjhrung I; Chapter X B 3 Expos; Chapter XVIII A, Note 11
Verkehr 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 self-
employed persons).
445
Freedom of information (Informationsfreiheit) is a collateral

right See Articles 3955 EC Treaty.
Verkehrsanwalt (local) instructing/correspondent lawyer. See Chapter XIII,
Note 55
Verkehrsfhig(keit) negotiable(-ility). See Chapter XIX B
Verkehrs(sicherungs)pflicht 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
Verknden to proclaim, pronounce
Verkndung 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
Verlngerung extension. See Chapter X C 3 (g) Expos (f)
Verleiten zum Vertragsbruch inducement to breach of contract. See Chapter X Note 220
Verletzen to injure, infringe, breach
Verletzung injury, infringement, breach. See Chapter VIIIA and Note 20 C
Verleumdung (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
Verlbnis engagement (before marriage). See Creifelds under
Verlbnis and Chapter X E
Verlust loss. See Chapter X D 3 (c) (ii)/(iii)
Vermchtnis legacy, bequest ( 1939, 21472191 BGB). See Creifelds
under Vermchtnis; Chapter X, Note 106; Chapter X F 4
(a) and (h)
Vermchtnisnehmer legatee. See Chapter X F 4 (h)
Vermeidbar avoidable. See Chapter XVIC 3 (d)
Vermeiden to avoid
Vermerk note (under seal). See Chapter XXII E
Vermischung mixture. See Creifelds under Vermischung and Chapter X
D 3 (c) (ii)
Vermitteln to mediate, procure, arrange, obtain (for)
Vermittlung mediation, intercession (good offices), arrangement,
referral. See Chapter XI, Note 41
Vermittlungsausschu 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
Vermgen 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
B (at Note 14); Chapter XXII D 8

Vermgensoffenbarung disclosure of assets. See Chapter XIII D 8 (e)
Vermgensrechtlich monetary See Chapter XIII D1 (e) and D 3 (b)
Vermgensschaden pecuniary loss. See Chapter X Notes 118 and 227
Vermgensvorteil pecuniary advantage. See Chapter X F 4 (h) (i)
Vermuten to presume, suppose
Vermutlich presumably. See also Mutmalich
Vermutung 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
Vernehmung 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
Ermittlungsverfahren (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.
Vernichtung destruction. See Chapter X F 3 (c) (ii)
Vernunft reason; (good) sense. See Chapter I (at Note 12)
Vernnftig sensible, reasonable. See Chapter XIIIB 7
Verffentlichung publication. See also Verkndung
Verordnung see Rechtsverordnung
Verordnung zur einheitlichen Order for the Uniform Regulation of the Constitution of the
Regelung der Gerichts- Courts. See Chapter XXII, Note 19; Chapter XXII C 6
verfassung (G VVO)
Verpflichtung obligation. See Chapter X C 2 2 and D 2 (v)
Verpflichtungsklage 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
Verrat treason. See Chapter II G
Verrichtungsgehilfe person entrusted with a particular task. See Creifelds under
unerlaubte Handlung V; Chapter X C 3 (g) ( 831 BGB). Cf
Erfllungsgehilfe
Versagen to deny, refuse (something); fail. See Chapter XXII, Note 59
Versammlungsfreiheit freedom of assembly. See Creifelds under
Versammlungsfreiheit and Chapter VIII C
447
Versand see Versendung

Versumnis a Nichterscheinen or Nichtverhandeln by a party. Can lead
to a Versumnisurteil
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)
Versumung failure to observe /miss a time limit. See Chapter X F 5 (a)
(i); Chapter XIII D 1(g) (iv)
Verschaffung procurement, provision (of). See Chapter X C 2; Chapter
X, Note 185; 651 BGB
Verschaffu ngsvermchtnis procurement legacy. See Chapter X F 4 (h)
Verschlechterung deterioration. See Chapter X C 3 (g) Expos Darlehen
Verschmelzung see Fusion
Verschulden 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
Verschulden bei Vertragsschlu see Culpa in contrahendo
Verschwgert related by marriage; an in-law. Cf Verwandt
Verschwiegenheitspflicht See Schweigepflicht
Versendung despatch, shipping. See Chapter X Note 256
Versetzen to transfer, remove (a person), place, transplant; put into
(a position, state). See Chapters VII E and XXII A
Versetzung transfer, removal, transplanting; putting (into). See Chapter
XVIII, Note 11; Chapter XVIII E; Chapter XXII A
Versicnerungsvertragsgesetz (VVG) Insurance Contracts Law. See Creifelds under
Versicherungsvertrag, Chapter X, Note 156
Versorgungsausgleich equalization of (pension and disability) pro vision /support
(after divorce). See Creifelds under Ehescheidung 5;
Chapter X E
Versptet too late, out of time, delayed. See Chapter XIII D 2 (c) (iv)
Versptung delay
Versprechen promise. See Chapter X C 3 (b) (Title 3); Chapter X, Note 159
Verstoss violation. Also Zuwiderhandlung
Vertagung postponement, adjournment (of a hearing). See Chapter
XIII D 1 (g) (iii); Chapter XIII, Note 116
Verteidiger defender, defence lawyer. See Chapter XVII C
Verteidigung defence
Verteidigungsabsicht intention to defend. See Chapter XIII D 2 (c) (iv)
Verteidigungsfall 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
Verteidigungsvortrag submission(s) in the defence (of the Beklagter). See Chapter
XIII, Note 97
448
Verteilung apportionment, distribution. See Chapter X F 4 (b)

Verteilungsverfahren distribution procedure. See Chapter XIII D 8 (c) (vii)
Vertrag contract, agreement. See Creifelds under Vertrag; Chapter
X B 2 (c) and C 23
Vertragsabschlu see Abschlu
Vertragshnliches quasi-contractual relationship of trust. See Chapter X, Note
135 B
Vertragsanbahnung precontractual period, phase. See Chapter X Note 66
Vertrag mit Schutzwirkung
Vertrauensverhltnis contract with protective effect in favour of a third party.
See Chapter X C 3 (b) (Title 3) (Note 135 A)
Vertragsbedingungen see Allgemeine Geschftsbedingungen
Vertragsfreiheit
zugunsten Dritter freedom of contract (principle). It is part of the principle of
Privatautonomie
Vertragshndler authorised dealer, distributor. See Chapter XI, Note 42
Vertragsmssig in accordance (conformity) with the contract. See Chapter
X C 3 (g) Expos (c)
Vertragsstrafe contractual penalty. See Chapter X C 3 (b) (Title 4) and
Chapter XI C 5
Vertragsverhandlung (pre)contractual negotiation. See Chapter X, Notes 66 and 135 B
Vertrag zugunsten Dritter contract for the benefit of a third party. See Chapter X C 3
(b) (Title 3)
Vertrauen confidence, trust. See Chapter X F 3 (c) (iv)
Vertrauensbruch breach of trust. See Chapter X Note 220
Vertrauensschutz protection of trust. See Chapter II E; Chapter X Note 46;
Chapter XIII, Note 57; Chapter XVI, Note 4
Vertrauensstellung position of trust. See Chapter X Note 166; Chapter XVIII B
Vertraulich confidentially), in confidence. See Chapter XXII D 7
Vertreiben to distribute; drive out. See Chapter XI, Note 42
Vertretbare Handlung an act capable of being undertaken by someone else. See
Chapter XIII D 8 (d)
Vertretbare Sache fungible thing. See Chapter X C 3 (g) Expos Darlehen;
Chapter X D 1
Vertretenmssen see Verschulden
Vertreter representative, agent, deputy. See Chapter XIII D 1 (f) (iv).
a Beauftragte
Vertreter ohne Vertretungsmacht unauthorised agent/representative. See Chapter X Note
31; Chapter XIII D 1(f) (iv)
Vertretung representation, representative body, agency Cf
Geschftsfhrung
Vertretungsbefugnis right of representation. See Chapter XXIID 9 and also
Vertretungsmacht
Vertretungsmacht power to represent authority. See Chapter XIB and C 2 (c);
Vollmacht
Veruntreuung see Untersddagung
Verursachen to cause. See Chapter X, Note 119
449
Verurteilen to adjudge, convict. Also berfhren

Verwahrer custodian
Verwahrung deposit in custody, safe-keeping. See Creifelds under
Verwahrung; Chapter X C 3 (g) Expos Darlehen; Chapter
X C 3 (g) (Title 12)
Verwaltung administration, executive, management. See Creifelds
under Verwaltung, ffentliche and Vollziehende Gewalt;
Chapter II C
Verwaltungsakt administrative act. See Creifelds under Verwaltungsakt;
Chapter XIV C
Verwaltungsaufgabe administrative function, task. See Chapter II C
Verwaltungsgericht (VG) administrative court. See Chapters II C, XV A and XXII C 4
Verwaltungsgerichtshof (VGH) see Oberverwaltungsgericht
Verwaltungsgerichtsordnung Administrative Courts Order. See Creifelds under
(VwGO) Verwaltungsgerichtsbarkeit; Chapter XV A
Verwal tungspolizei (so-called) administrative police. Incorporated in this term
are the terms Polizeibehrde and Ordnungsbehrde. Cf
Vollzugspolizei and see Chapter XVII D (Note32)
Verwaltungsprivatrecht administration in private law form. See Creifelds under
Verwaltungsprivatrecht; Chapter II C
Verwaltungsrecht administrative law. See Creifelds under Verwaltungsrecht;
Chapter XIV
Verwaltungsrechtsweg legal route (access) to the administrative courts. See
Chapter XV C
Verwaltungsttigkeit administrative activity. See Chapter II C
Verwaltungstrger carrier of administration. See Chapter IIC
Verwaltungsunterbau administrative sub-construction (structure). See Chapter XIV A
Verwaltungsverfahrensgesetz Administrative Procedure Law. See Creifelds under
(VwVfG) Verwaltungsverfahren(sgesetz); Chapter XIV B
Verwaltungsvollstreckungsgesetz Administrative Enforcement Law. See Creifelds under
(VwVG) Verwaltungsvollstreckungsgesetz; Chapter XVIII H (Note 56)
Verwaltungsvorschrift (internal) administrative regulation. See Chapter XIV A,
Maurer, Part 6, 24 and Creifelds under Verwaltungsvorschriften
and Weisungsrecht. See also Richtlinie
Verwaltungszustellungsgesetz Administrative Service Law. See Chapter XIII D1 (g) (ii)
Verwaltungszwang administrative force. See Creifelds under
Verwaltungszwang; Chapter XVIII H (Note56)
Verwandlung conversion, transformation. See chapter X B 17 (Notes 24)
Verwandt(er/schaft) related, (blood) relative, kinship. See Creifelds under
Verwandtschaft; Chapter X E; Chapter X F 3 (a) (i). Cf
Verschwgert
Verwarnung warning, caution. See Creifelds under Verwarnung bei
Ordnungswidrigkeiten, Verwarnung mit Strafvorbehalt
and Probation; Chapter XVIB (Note 9) and XVID (Note 71)
450
Verwarnungsgeld (money) penalty. Cf Geldbue

Verweis (disciplinary) direction, rebuke. See Chapter XXII D 7
Verweisung (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
Verwender user (of standard business terms). See Chapter X B 2 (e)
Verwendung 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
Verwendungskondiktion type of Nichtleistungskondiktion, where the recipient
obtains a benefit due to a Verwendung by the claimant on
something belonging to the recipient
Verwerfen to dismiss (a legal remedy). See Chapter XIII, Note 138
Verwerflich objectionable. See Chapter X, Note 220
Verwertbarkeit usability, admissibility (of evidence). See Chapter XVII,
Note 38H
Verwertungsrecht disposal right. See Chapter X D 1
Verwirkung 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
Verzeichnis list, schedule. Also index, register. See Chapter XIII D 6 (b)
2; Chapter XIII D 8 (e)
Verzicht (auf) renunciation, waiver (of). See Chapter XIII D 1 (f) (iv) (The
term Vollmacht)
Verzichten (auf) to renouce, waive, forgo, do without
Verzinslich interest-bearing. See Chapter X C 3 (g) Expos Darlehen
Verzug delay. See Chapter X C 3 (a) (Titles 1 and 2) (Notes 126 and 127)
Verzugsschaden loss due to delay. See Chapter X, Note 126 F
Vier-Augen Prinzip four-eye principle. See Chapter XI, Note 25
Vindikation 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)
Volenti non fit iniuria no wrong is done to him who consents. See Einwilligung
Volk people. See Chapter II F
Volksabstimmung (Volksentscheid) plebiscite. See Chapter II F (Note 20)
Volksgeist spirit of the people. See Chapter I (Note 16)
Volkssouveranitt sovereignty of the people. See Chapter II F
Volkszhlung public nsus. See Chapter VII C
Vlkermord (rules of) customary public international law. See Chapter
II H
451
Vlkergewohnheitsrecht genocide. See Chapter XVII, Note 38 B

Vlkerrecht public international law. See Chapter II H; Chapter XIV A
and ius gentium. See also Creifelds under Vlkerrecht and
Primat des Vlkerrechts
Volljhrig(er) over the age of majority, adult. Also Erwachsen(er). Cf
Minderjhrig
Volljhrigkeit age of majority. See Chapter X B 2 (a)
Vollmacht power of representation, power of attorney, authority
(granted by Rechtsgeschft cf statutory authority). See
Chapter XIII D1 (f) (iv)
Vollmachtgeber grantor of a Vollmacht
Vollmachtlos without a VollmachtZ
Vollrecht full right. See Chapter X D 2 (iv)
Vollstndig complete; full(y). See Chapter II, Note 23; Chapter XIII D 2
(c) (v)
Vollstreckbarerklrung declaration of enforceability. See Chapter XIII D 28 (b) (VI)
Vollstreckbar(keit) enforceable(ility). See Creifelds under Vollstreckbarkeit.
See also Chapter XIII D 8 and Chapter XVIII H (Note 56)
Vollstreckbare Ausfertigung enforcement duplicate, copy. See Chapter XIII D 8 (b)
Vollstreckbare Urkunde 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)
Vollstreckung enforcement, execution. Also Zwangsvollstreckung
Vollstreckungsbescheid enforcement notice. See Chapter XIII C I; Chapter XIII D 8
(b) (ii); Mahnverfahren
Vollstreckungserinnerung legal remedy (to the judge)) against a measure taken by a
Rechtspfleger judge in enforcement proceedings. See
766 ZPO. Cf Erinnerung
Vollstreckungsgericht enforcement court. Always the Amtsgericht. See Creifelds
under Vollstreckungsgericht, Chapter XIII D 8 and cf
Prozegericht
Vollstreckungshandlung act of enforcement
Vdlstreckungsklausel enforcement clause. See Chapter XIII, Note 171
Vollstreckungstitel title capable of enforcement (vollstreckbar). See Chapter
XIII D 8 (b); Creifelds under Vollstreckungstitel
Vollstreckungsunterwerfung submission to enforcement See Vollstreckbare Urkunde
Vollstreckungsurteil enforcement judgment See Chapter XIII, Note 171
Vollstreckungsverfahren enforcement proceedings. Cf Erkenntnisverfahren. See
452
Chapter XIII C A and D 8

Vollurteil full judgment. See Urteil
Vollziehbar enforceable. Also Vollstreckbar
Vollziehbare Anordnung enforceable order
Vollziehende Gewalt executive power, executive; also Verwaltung. See Creifelds
under Vollziehende Gewalt and Chapter II F
Vollziehung enforcement, execution. See also Vollstreckung, Vollzug
and sofortige Vollziehung
Vollzug enforcement. See Vollziehung
Vollzugsakt act of implementation, enforcement; implementing
measure. See Chapter VII C
Vollzugspolizei (so-called) executive police. Cf Verwaltungspolizei and see
Chapter XVII D
Von Amts wegen 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
Von entscheidender Bedeutung of decisive importance, of the essence. See Chapter X C 3 (b)
Vonneuem anew, afresh. See Chapter XIIID1 (g) (v)
Vorab in advance
Vor die Klammer gezogen drawn before the clasp, to the front. See Chapter X C 2 2
Vorausklage see Selbstschuldnerische Brgschaft
Voraussetzung (precondition (for). See Chapter X, Note 22
Vorausvermchtnis advance legacy. See Chapter X F 4 (h)
Vorauszahlung prepayment. See Chapter XIIID 2 (c) (i)
Vorbehalt reservation. See also Protestatio
Vorbehaltlos without reservation. See Chapter XIIID1 (f) (i)
Vorbehalt des Gesetzes see Gesetzesvorbehalt
Vorbehaltsurteil 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
Vorbereiten to prepare
Vorbereitende Manahme preparatory measure. See Chapter XIIID 2 (c) (v)
Vorbereitung preparation (for)
Vorbereitungsdienst preparatory period of service. See Chapter XXIIA
453
Vorbescheid a VA dealing with preliminary matters/points. See

Creifelds under Vorbescheid; Chapter XIV C 2
Vorerbe prior heir. See Chapter X F 4 (e)
Vorfrage preliminary question. See Chapter VII, Note 13; Chapter
XIII, Note 71
Vorfhrung (compulsory) appearance, presentation (eg, before a judge).
See Chapter XVII, Note 38 D and F
Vorfhrungsbefehl order requiring a persons appearance, presentation order.
See Chapter XVII, Note 38 F
Vorhaben plan, project, proposal
Vorhersehbar foreseeable, predictable. See Preface to Second Edition,
Note 8
Vorkaufsrecht right of preemption. See Chapter X D 3 (f)
Vorkehrung precautionary measure. See Chapter X C 3 (g) Expos (c);
Chapter X, Note 222B
Vorlage(verfahren) presentation, reference (procedure). See konkrete
Normkontrolle; Chapter X D 3(h)
Vorlufig provisional(ly), temporary(ily). See Chapter XIII, Note 149;
Vollstreckbar(keit); Vorlufiger Rechtsschutz
Vorlufiger Erbe provisional heir. See Chapter X F 5 (a)
Vorlufiger Rechtsschutz provisional legal protection. See Chapter XIV C 3 (Notes
23 C and 34)
Vorlegung presentation. See Chapter X C 3 (g) (Title 23); Chapter XIX B
Vormerkung priority notice (reservation). See Creifelds under Vormerkung;
Chapter X D 3 (b) and (h); Chapter X, Note 256
Vormund(schaft) guardian(ship). See Chapter X E
Vormundschaftsgericht guardianship court. See Chapter X, at Note 34; Chapter
XIII, Note 32; Chapter XVI, Note 40
Vorpfndung (prior) notification of the impending Pfndung of a money
claim, predistraint (warning). See Chapter XIII D 8 (c) (v)
Vorrang precedence, priority. See Chapter X F 3 (b)
Vorrang des Gesetzes (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
Vorratsgesellschaft off-the-shelf/ready-made company. Cf
Mantelgesellschaft
Vorsatz intent; a form of Verschulden in civil law and of Schuld in
criminal law. Cf Absicht
Vorstzlich intentionally, wilfully Cf Absichtlich
Vorschlag(en) suggestion, to suggest
Vorschrift provision, rule, regulation. Cf Abschnitt
Vorsitzender presiding person (judge), chairman. See Chapter XIII, at
Note 106
454
Vorsorgende Rechtspflege precautionary administration of justice. See Chapter XXIIE

Vorsorglich by way of (as a) precautionary measure)
Vorstand 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
Vorstellung conception, idea. See Chapter X F 3 (c) (iv)
Vorverfahren preliminary proceedings. See Chapter XV C; Chapter XVII,
Note 20
Vorvertrag preliminary contract. See Chapter X, Note 135 B
Vorwerfbar reproachable, blameworthy. See Chapter XVIC 3 (a)
Vorwerfen to reproach, blame, accuse (of); cf Anklagen, Beschuldigen
Vorwurf reproach, accusation
Waffengleichheit equality of arms. See Chapter XIII, Note 3
Wahl election, choice. See Chapter II, Note 26
Wahlfreiheit freedom of choice
Wahlschuld selectable (alternative) debt. See Chapter X C 3 (a) (Title 1)
Whlbar capable of election. See Chapter XVIII C
Wahndelikt an offence of madness (ie, one that does not exist). See
Chapter XVI C 3 (d)
Wahrheitsgem truthful
Wahrheitspflicht duty to be truthful. See; Chapter XIII B 2 and D 1 (g) (i);
Chapter XVIIC
Wahrnehmung perception; safeguarding, pursuit (of ones interests)
Wahrscheinlich(keit) probable, probability. See Chapter XIII B 7 and Beweis
Wandlung rescission (of a contract of sale). See Chapter X, Note 189 B
Ware(n) product, goods. See Chapter XI, Note 42 and C 5
Warnung warning. See Chapter XXII D 7
Wechsel 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
Wechselbezgliche Verfgung interdependent disposition (in a joint will). See Chapter X F
3 (d)
Wechselproze (particular form of) action on the basis of a Wechsel. See
Chapter XIII D 5
Wechselwirkungstheorie theory of reciprocal effect. See Chapter VIIIB
Wegfall der Geschftsgrundlage falling-away (collapse, disappearance) of the basis of the
transaction; frustration. See Geschftsgrundlage
Wegfall eines Arbeitsplatzes redundancy. See Chapter XVIII, Note 14
455
Wehrstrafgesetz (WStG) Military Crime Law. See Chapter XVI, Note 34

Weimare Reichsverfassung (Imperial) Constitution of (the) Weimar (Republic). See
Chapter II (Note 5)
Weisung direction, order, directive. See Chapter XIIE
Weisungsrecht right of direction. See Chapter V, Note 7; Chapter X, Note 222
Weiterbeschftigung continued employment. See Chapter XVIII E
Werbung advertising, publicity. See Chapter XXII D 5
Werk a(n) (item of) work; a particular result, agreed upon under
a Werkvertrag
Werklieferungsvertrag 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
Werkvertrag 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
Wert value. See Preface to Second Edition, Note 12; Chapter X,
Notes 138 and 220; Chapter X F 4 (g)
Wertordnung value-order. See Chapter VIIIA
Wertpapier valuable paper documenting a particular right, security
(eg, Wechsel). See Chapter XIX B; Creifelds under
Wertpapier, Inhaberpapier and Orderpapier
Wertung appraisal, evaluation. See Chapter X B 2 (e)
Werturteil see Beleidigung
Wesensgehalt essence. See Chapter VI, Note 4 and Chapter VIII B
Wesensgleich essentially similar (to). See Chapter X D 2 (iv)
Wesentlich(keit) essential; importance, significance. See Chapter VIII B;
Chapter X D 3 (c) (i); Chapter X F 4 (b); Chapter XXII D 5
Wesentliche Bestandteile essential/substantial components. See Chapter X B 2 (c)
Rules governing offer and acceptance and Failure to reach
an Einigung; Chapter X D1
Wettbewerbsbeschrnkung restraint on competition. See Creifelds under
Wettbeiverbsbeschrnkungen and Chapter XIX, Note 9
Wettbewerbsrecht competition law. See Chapter XIX, Note 9
Wettbewerbsverbot prohibition of competition (by statute or covenant). See
Chapter XI C 2 (d); Creifelds under Wettbewerbsverbot
Wette bet. See Chapter X C 3 (g) (Title 17)
Widerklage counterclaim. See Chapter XIIID 1 (f) (iii) and D 2 (c) (iv)
(Note 107)
Widerrechtlich illegal. Also Rechtswidrig. See 823(i) BGB
Widerruf 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
Widersprechen to contradict, object to

Widerspruch (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
Widerspruchsbehrde objection authority, ie, the Behrde responsible for
handling a Widerspruch and issuing a
Widerspruchsbescheid
Widerspruchsbescheid notice giving decision after a Widerspruch in connection
with a VA
Widerspruchsverfahren objection proceedings (in connection with a VA). See
Widerspruch
Widerstandsrecht right of resistance. See Creifelds under Widerstandsrecht
and Chapter VIII (Note 36)
Widmung adoption/dedication (of property/a thing) for public
purposes. See Creifelds under Widmung; Chapter VI;
Chapter XIV C 5
Wiederheirat see Wiederverheiratung
Wiederaufgreifen to reconsider, reconsideration. See Chapter XIV C 4
Wiederaufnahme (des Verfahrens) resumption, reactivation, reopening (of proceedings) after
Rechtskraft. See Chapter XIII A, C H and D 4,
Nichtigkeitsklage and Restitutionsklage. See also Chapter
XVI, Note 5; Chapter XVII A
Wiedereinrumung (des Besitzes) restoration (of possession). See Chapter X, Note 265 D
Wiedereinsetzung in den vorigen reinstitution (of proceedings) into the previous position.
See Chapter XIII Stand Notes 18, 78 and 129
Wiedererffnung der Verhandlung reopening of the hearing. See Chapter XIII D 2 (c) (vi)
Wiederherstellung restoration, resumption. See Chapter XIII D 6 (b) 3; Chapter
XIV C 3 and aufschiebende Wirkung
Wiederholungsgefahr danger of repetition. See Chapter XVII D (Notes 26 and 38 B)
Wiederkehrende Geldleistungen recurring payments. See Chapter X, Note 127
Wiedervereinigung reunification. See Creifelds under Wiedervereinigung and
Chapter V A
Wiederverheiratung re-marriage. See Creifelds under Wiederverheiratung im
Falle der Todeserklrung and Chapter X E
Willenserklrung declaration of will; made up of Handlungswill,
Rechtsbindungswille and Geschftswille. See Creifelds
under Willenserldrung and Chapter X B 1 5 and B 2(b)
Willensmangel defect of will. See Chapter X, Note 49
Willensbereinstimmung see Einigung
Willkr arbitrary will, arbitrariness. See Chapter I, Note 12 and
before Note 16; Chapter VII, Note 16
Willkrlich arbitrary. Conduct which is willkrlich can give rise to
457
sanctions in different fields eg, in administrative or

employment law. See Chapter VIII, Note 22; Chapter XXII,
Note 5
Willkrverbot prohibition of arbitrariness (principle). See Chapter VIII,
Note 22
Wirksam(keit) effective(ness), valid(ity). See Chapter X B 2 (b) (Validity of
a Willenserklrung); Chapter XIII, Note 90; Chapter XIV C 3
Wirkung effect
Wirkung nach auen see Chapter XIV C1 and Auenwirkung
Wirtschaft economy, industry
Wirtschaftsfrderung promotion of the economy. See Chapter VI, Note 5
Wirtschaftskriminalitt business/commercial (white-collar) crime
Wirtschaftslenkung direction/regulation/steering of the economy. See Chapter
XIX
Wirtschaftsrecht business/commercial law. See Chapter XIX
Wirtschaftsstrafgesetz (WiStG) Commercial Crime Law 1954. See Chapter X, Note 209 and
Chapter XIX, Note 24
Wirtschaftsstrafkammer commercial criminal chamber (at a Landgericht). See
Wirtschaftsstrafrecht (area of) law relating to commercial crime. See Chapter XIX
Wirtschaftsverfassungsrecht (area of) law relating to the constitutional form of the
economy. See Chapter XIX
Wirtschaftsverwaltungsrecht (area of) law relating to the administration/management
of the economy. See Chapter XIX
Wissensvorsprung an informed advantage, a lead based on particular (inside)
information. See Chapter X, Note 215
WohldesKindes welfare of the child. See Chapter XIII, Note 158
Wohlwollend favourable, kind. See Chapter X F 3 (c) (iii)
Wohnraum living space, (residential) accommodation. See Chapter X
C 3 (g) Expos (a)
Wohnsitz (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
Wohnung dwelling, flat, home, apartment. See Creifelds under
Wohnung, Unverletzlichkeit deS; Chapter VIII C (Article 13
GG); Chapter XIII D 1 (g) (ii)
Wohnungseigentum (right of) property in an apartment, ownership of a flat.
See Chapter X, Note 267
Wohnungseigentumsgesetz Ownership of Flats Law. See Chapter XI, Note 13
(WEG)
Wortlaut wording (of a text). See Chapter X F 3 (c) (iii)
Wucher extortion, profiteering, usury. See Chapter X, Notes 58 and 245
Wrde dignity. See Chapter VIII C (Article l(i) GG)
458
Wrdig worthy. See Chapter X F

Zahlung payment
Zahlungsaufforderung demand for payment. See Chapter X, Note 127
Zahlungsbedingungen conditions of payment. See Chapter X B 2 (e)
Zahlungsfrist period for payment. See Chapter X, Note 127
Zahlungsmtttel means of payment. See Chapter XIX B
Zahlungsunfhig insolvent. See Chapter X F 5 (b). Cf berschuldet
Zedent assignor. See Chapter XIX B
Zeichnen to subscribe (for shares in a company)
Zeitablauf effluxion of time. See Chapters X C 3 (c) and XVIIIB
Zeitarbeit temporary work. See Chapter XVIII, Note 13
Zeitbestimmung time provision. See Chapter X B 2 (d)
Zeitpunkt (point in) time, moment. See Chapter X F 3 (c) (iii) and 4 (e)
Zeitraum period, space of time. See Chapter XIII D 6 (b) 2
Zerstren to destroy. See Chapter X F 3 (e)
Zessionar assignee. See Chapter XIX B
Zeuge witness. See Chapter XVII, Note 22
Zeugenbeweis witness evidence. See Chapter XIII D 2 (b); Beweismittel
Zeugnis certificate; (employers) reference, report; witness
statement. See Chapter X F 5 (d); Chapter XIX B
Zeugnisverweigerungsrecht right to refuse to give evidence. See Chapter XVII, Note 22
and Chapter XVII C. See also Aussage
Ziel aim, target, destination, finish-line (point)
Zinsen interest. See Creifelds under Zinsschuld and Chapter X C
3 (a) ( 246248 BGB)
Zinslos interest-free. See Chapter X C 3 (g) Expos Darlehen
Zinssatz interest rate. See Chapter X D 3 (h)
Zitiergebot citation requirement. See Chapter VIII B
Zivilkammer civil chamber (of a LG). See Chapter XIII D1 (e)
Zivilproze civil procedure, civil proceedings. See Chapter XIII
Zivilprozeordnung (ZPO) Civil Procedure Order/ Code of Civil Procedure. See
Chapter XIII A
Zollamt customs office. Is a Bundesunterbehrde. See Creifelds
under Zollbehrden; Chapter IV
Zollverein customs union. See Chapter I, Note 15
Zubehr accessories, fittings, appurtenances. See Chapter X C 3 (b)
(Title 1); Chapter X D 1; 97 and 314 BGB; Creifelds under
Zubehr. Cf Bestandteil
Zuchtmittel disciplinary measure. See Chapter XVI, Note 40
Zufllig by chance, fortuitously). See Chapter X, Note 126 G
459
Zugang communication, receipt (eg, of a Willenserklrung). See

Chapter X B 2 (b) (Validity of a Willenserklrung)
Zugehen to be communicated (to), received (by), reach
Zugesicherte Eigenschaft assured (guaranteed) quality (of a Sache). See Chapter X,
Note 189
Zugewin nausgleich equalisation/settlement of gain (on termination of a
Zugewinngemeinschaft). See Chapter X F 3 (a) (ii)
Zugewinn(gemeinschaft) (community based on) gain. See Chapter X F 3 (a) (ii);
Chapter X F 4 (g) (iii); Chapter XIII D 6 (D) 2; Gterrecht
Zulssig(keit) admissible, admissibility; permissible. Cf Begrndet(heit)
Zulssigkeitsvoraussetzung see Sachurteilsvoraussetzung
Zulassung admission, leave (of a court). See Chapter II C; Chapter
XIII D 3 (b); Chapter XIV, Notes 14 and 34
Zumutbar acceptable, bearable, viable. See Chapter X B 2 (e); Chapter
X D 3 (c) (i)
Zunchst in the first instance, first of all. See Chapter XIC 3 (b) (ii)
Zurechenbar attributable (to). See Chapter X, Notes 119 and 222 B
Zur Entscheidung reif see Vorbehaltsurteil
Zurckbehaltungsrecht (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
Zurcknahme withdrawal. See Chapter XIV C 4
Zurcktreten to give way, stand back, resign. See Chapter XVI, Note 4
Zurckverweisen to remand, transfer back (to another court). See Chapter
XIII D 3 (b)
Zurckweisen to reject (an application or appeal). See Chapter XIII, Note
138
Zurckzahlen to repay
Zusammenarbeit cooperation. See also Mitwirkung
Zusammenschlu union, joint or merged enterprise. See Fusion, Vereinigung
Zusatzpftichtteil additional compulsory portion. See Chapter X F 4 (g) (ii)
Zustand condition, state. See Chapter X C 3 (g) Expos (c)
Zustndig competent, responsible, in charge
Zustndigkeit competence, jurisdiction (in a particular case; cf
Gerichtsbarkeit). Can be sachlich, rtlich, funktionell
(instanziell) or international. See 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
Zustndigkeitsstreitwert Streitwert for the purpose of Zustndigkeit (of a court).
See Chapter XIII D 1 (e)
460
Zustellung service (of document). See Creifelds under Zustellung and

Chapter XIII D 2 (c) (i)
Zustellungsbevollmchtigter person authorised to accept service. See Chapter XIIID 1
(g) (ii)
Zustellungsurkunde certificate of service. See Chapter XIII D 1 (g) (ii) and D 2 (c) (i)
Zustimmung 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
Zustimmungsgesetz 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. The 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
Zuteilen to allot (shares)
Zuverlssigkeit reliability. See Chapter XIX B
Zuwanderung (permitted) influx of (contingent of) foreigners. Cf
Einwnderung
Zuweisung allocation, assignment (to). See Chapter V, Note 6; Chapter
XV, Note 10; Chapter XVIII, Note 11
Zuwendung 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)
Zuwiderhandlung contravention, infringement. Also Verstoss
Zwangsgeld (compulsory) fine. See Chapter XIIID 8 (d); Chapter XVIII H
Zwangshypothek compulsory mortgage. See Sicherungshypothek
Zwangsmanahme compulsory measure (in criminal proceedings). See
Chapter XVII, Note 26F
Zwangsmittel compulsory measures) (in administrative /police law). See
Chapter XVIII H
461
Zwangsvers teigerung compulsory sale by auction. See Chapter XIIID 8 (c) (vi)
(Note 187)
Zwangsverwaltung compulsory administration. See Chapter XIII D 8 (c) (vi)
(Note 186)
Zwangsvollstreckung enforcement. Also Vollstreckung. See Chapter XIII D 8;
Chapter XXIA
Zweck 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
Zweckmig(keit) appropriateness), expediency, expedient(ly). See Chapter
XIV C 6 (Note 31)
Zweckuerband a (voluntary or compulsory) grouping of Gemeinden (or
Gemeindeverbnde) for the purpose of fulfilling a particular
task. See Creifelds under Zweckuerband and cf
Gemeindeverband.
Zweifel doubt. See Chapter XIII B 7 (Note 9). See also Im Zweifel,
Jenseits vernnftigen Zweifels
Zweig branch. See Chapter XXII C 1
Zweigniederlassung branch office. See Chapter X, Note 7
Zweispurig two-tracked. See Chapter XVID
Zweistufentheorie two-tier theory. See Chapter II C
Zweitberuf second occupation. See Chapter XXII, Note 59
Zwingend compulsory, mandatory. See Chapter IX B; Chapter X C 3
(g) Expos; Chapter XIC 2 (c); Chapter XVIII, Note 52;
Chapter XX D1
Zwischenstaatlich inter-state, international. See Chapter XXIA
Zwischenurteil 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
aSachurteil, but a Prozeurteil. See Prozeurteil,
Sachurteil and Urteil; Creifelds under Zwischenurteil and
Grundurteil. See also Dem Grunde nach and 303304
ZPO
Zwischenverfahren see Erffnungsverfahren
462
APPENDIX B
ABBREVIATIONS REFERRED TO IN THE TEXT

(FOR ENGLISH MEANINGS SEE APPENDIX A)
ABGB Allgemeines Brgerliches Gesetzbuch

AC Appeal Cases
ADHGB Allgemeines Deutsches Handelsgesetzbuch
AG Aktiengesellschaft
adj adjective
AG Amtsgericht
AGBG Gesetz zur Regelung des Rechts der Allgemeinen
Geschftsbedingungen
AktG Aktiengesetz
A11ER All England Law Reports
ALR Allgemeines Landrecht fr die Preuischen Staaten
Am J Comp L American Journal of Comparative Law
AO Abgabenordnung
ArbBeschFG Arbeitsrechtliches Beschftigungsfrderungsgesetz
ArbG Arbeitsgericht
ArbGG Arbeitsgerichtsgesetz
ArbStttVO Verordnung ber Arbeitssttten
ASiG Arbeitssicherheitsgesetz
AsylVfG Asylverfahrensgesetz
AT Allgemeiner Teil
AUG Auslandsunterhaltsgesetz
AuslG Auslndergesetz
AVAG Anerkennungsund Vollstreckungsausfhningsgesetz
BAG Bundesarbeitsgericht
BBankG Bundesbankgesetz
BerHG Beratungshilfegesetz
BerufsO Berufsordnung
BetrVG Betriebsverfassungsgesetz
BeurkG Beurkundungsgesetz
BFH Bundesfinanzhof
BGB Brgerliches Gesetzbuch

BGH Bundesgerichtshof
BGS Bundesgrenzschutz
BKA Bundeskriminalamt
BND Bundesnachriditendienst
BNotD Bundesnotarordnung
BORA =BerufsO
BRAGO Bundesgebhrenoixinung fr Rechtsanwlte
BRAK Bundesrechtsanwaltskammer
BRAO Bundesrechtsanwaltsordnung
BSG Bundessozialgericht
BT Besonderer Teil
BtMG Betubungsmittelgesetz
BVerfG Bundesverfassungsgericht
BVerfGE Entscheidungen des Bundesverfassungsgerichts
BVerfGG Bundesverfassungsgerichtsgesetz
BVerwG Bundesverwaltungsgericht
BVwVG Bundesverwaltungs-Vollstreckungsgesetz
CA Court of Appeal (London)
cf compare
ChD Chancery Division (High Court, England)
CISG UN Convention on Contracts for the International Sale of Goods
CPR Civil Procedure Rules (England)
DRiG DeutschesRichtergesetz
ECJ European Court of Justice (Luxemburg)
ECR European Court Reports
EEC/EC European (Economic) Community
EFZG Entgeltfortzahlungsgesetz
EG Europaische Gemeinschaft(= EC)
EGBGB Einfhrungsgesetz zum BGB
EGGVG Einfhrungsgesetz zum GVG
EU Europische Union
EuGV Europisches beremkommen ber die gerichtliche Zustndigkeit
und die Vollstreckung gerichtlicher Entscheidungen in Zivil- und
Handelssachen
EuMRK Europische Menschenrechtskonvention
EuRAG Gesetz ber die Ttigkeit europischer Rechtsanwlte in
464
Appendix B: Abbreviations
Deutschland
Eur L Rev European Law Review
EV Europisches bereinkommen ber das auf vertragliche
Schuldverhltnisse anzuwendende Recht
EWG = EEC
EZB Europische Zentralbank
eg for example (exempli gratia)
eG eingetragene Genossenschaft
eV eingetragener Verein
FamRndG Familienrechtsnderungsgesetz
FernAbsG Fernabsatzgesetz
FGG Gesetz ber die Angelegenheiten der freiwilligen Gerichtsbarkeit
FGO Finanzgerichtsordnung
Gazette Gazette of The Law Society (England)
GBO Grundbuchordnung
GbR Gesellschaft des brgerlichen Rechts
GenG Gesetz betreffend die Erwerbs und Wirtschaftsgenossenschaften
GewO Gewerbeordnung
GG Grundgesetz
GKG Gerichtskostengesetz
GmbH Gesellschaft mit beschrnkter Haftung
GmbHG Gesetz betreffend die Gesellschaften mit beschrnkter Haftung
GVG Gerichtsverfassungsgesetz
GVVO Verordnung zur einhdtlichen Regelung der Gerichtsverfassung
GWB Gesetz gegen Wettbeweibsbeschrnkungen
HandwO Handwerksordnung
HausratsVO Hausratsverordnung
HaustrWG Haustrwiderrafsgesetz
HGB Handelsgesetzbuch
HL House of Lords
ie that is (id est)
ICLQ International and Comparative Law Quarterly
InsO Insolvenzordnung
JGG Jugendgerichtsgesetz
KG Kommanditgesellschaft
KO Konkursordnung
465
KostO Kostenordnung
KSchG Kndigungsschutzgesetz
KUG Kunsturhebergesetz
KWG Gesetz ber das Kreditwesen
LAG Landesarbeitsgericht
LG Landgericht
lit literally
LSG Landessozialgericht
MHRG Gesetz zur Regelung der Miethhe
OHG Offene Handelsgesellschaft
OLG Oberverwaltungsgericht
OVG Oberlandesgericht
OWiG Ordnungswidrigkeitengesetz
PartGG Partnersdhaftsgesellschaftsgetz
ProdHaftG Produkthaftungsgesetz
RAK Reditsanwaltskammer
RPflG Rechtspflegergesetz
RSC Rules of the Supreme Court (England)
RVO Reichsversicherungsordnung
SG Sozialgericht
SGA Sale of Goods Act
SGB Sozialgesetzbuch
SGG Sozialgerichtsgesetz
StGB Strafgesetzbuch
StPO Strafprozeordnung
StrEG Gesetz ber die Entschdigung fr Strafverfolgungsmanahmen
StVG Straenverkehrsgesetz
StVO Straenverkehrsordnung
StVZO Straenvekehrszulassungsordnung
TKG Telekommunikationsgesetz
TVG Tarifvertragsgesetz
TzBfG Gesetz ber Teilzeitarbeit und befristete Arbeitsverhltnisse
UWG Gesetz gegen den unlauteren Wettbewerb
VA Verwaltungsakt
VerbrKrG Verbraucherkreditgesetz
VG Verwaltungsgericht
466
Appendix B: Abbreviations
VGH Verwaltungsgerichtshof
viz namely (videlicet)
VOB Verdingungsordnung fr Bauleistungen
Vol Volume
VVG Versicherungsvertragsgesetz
VwGO Verwaltungsgerichtsordnung
VwVG Verwaltungsvollstreckungsgesetz
VwVfG Verwaltungsverfahrensgesetz
WEG Wohnungseigentumsgesetz
WiKG Gesetz zur Bekmpfung der Wirtschaftskriminalitt
WiStG Wirtschaftsstrafgesetz
WoRKSchG Wohnraumkndigungsschutzgesetz
WStG Wehrstrafgesetz
ZEuP Zeitschrift fr Europisches Privatrecht
ZPO Zivilprozeordnung
ZRHO Rechtshilfeordnung in Zivilsachen
ZVG Gesetz ber die Zwangsversteigerung und die Zwangsverwaltung
467
APPENDIX C
PARAGRAPH REGISTER
Law and paragraph () Translation (T) Where referred to
AGBG
111 Chapter X B 2 (e)
1(i), 1st sentence chapter X B 2 (e)
1(i), 2nd sentence Chapter X B 2 (e)
1(ii) Chapter X B 2 (e)
2 Chapter X B 2 (e)
3 Chapter X B 2 (e)
4 Chapter X B 2 (e)
5 Chapter X B 2 (e)
6(i) Chapter X B 2 (e)
6(iii) Chapter X B 2 (e)
8 Chapter X B 2 (e)
9 Chapter X B 2 (e)
9(ii) No 1 Chapter X B 2 (e)
9(ii) No 2 Chapter X B 2 (e)
11 No 7 Chapter X, Note 87
11 No 8 Chapter X B 2 (e)
11 No 10 Chapter X, Note 189 C
11 No 10 (f) Chapter X, Note 99
11 No 11 Chapter X B 2 (e)
11 No 15 (a) Chapter X Note 126 I
13(iv) Chapter XB 2 (e)
21 Chapter X B (e)
21, 1st sentence Chapter X B 2 (e)
21, 2nd sentence Chapter X B 2 (e)
Chapter X C, Expos: Fernabsatz
24, 1st sentence Chapter X B 2 (e)
24, 2nd sentence Chapter X B 2 (e)
469
AktG
1(i) Chapter XI A 1
1(i), 2nd sentence Chapter XI, Note 16
6 Chapter XII, Note 10
10(i) Chapter XIX, Note 35
15 Unternehmensvertrag
23(i) 99, 218
7694 Vorstand
278290 KG auf Aktien
ArbGG
1 Chapter XXII, Note 39
2(i) No 1 Chapter XVIII, Note 52
5(i) Chapter XVIII, Note 2 (a)
12a Kostenpflicht
12(vii) Chapter XXII D 8 (c)
62 Chapter XXII D 8 (a)
85 Chapter XXII D 8 (a)
ArbStttVO
53(i) 187
53(ii) 187
ASiG
5 187
6 187
AVAG
34(i) Chapter XXI, Note 13
BBankG
12-13 Chapter IV, Note 2
BerHG
8(ii) Chapter XXII, Note 110
BerufsO
1118 Chapter XXII D 5
11 Chapter XXII D 5
470
Appendix C: Paragraph Register
12 Chapter XXII, D 5
21(i) Chapter XXII, Note 101
22 Chapter XIII, Note 55
25 Chapter XXII, D 7;
BetrVG 1952
129(i) Chapter XVIII, Note 49
BetrVG 1972
2(i) 184
5(ii) Chapter XVIII, Note 23
5(iii) Chapter XVIII, Note 29
8 Chapter XVIII, Note 27
74(i), 2nd sentence Chapter XVIII, Note 32
74(ii), 1st sentence Chapter XVIII, Note 33
74(ii), 2nd sentence Chapter XVIII, Note 34
74(ii), 3rd sentence Chapter XVIII, Note 35
76(v) 1st sentence Chapter XVIII, Note 39
76(vi) Chapter XVIII, Note 37
92105 183
102(v) Chapter XVIII, Note 46
106113 183
111ff Chapter XVIII, B 4
471
BeurkG
5 Chapter X, Note 256

16(ii) Chapter X, Note 256
1721 254
3943 Chapter XXII, E
45 Chapter XXII, Note121
47 Ausfertigung
49(i) Ausfertigung
BGB
189 27
1240 27
2.T.36
7 Chapter X B 12
7(ii) Chapter X B 12
811 Chapter X B 12
12 T Chapter VIII, Note 20 C; Chapter X, Note 5
13 Chapter X, Expos: Fernabsatz
14 Chapter X, Expos: Fernabsatz
2179 97
21 Chapter XI, Note 15
24 Chapter X, Note 7;
Chapter XI A 5
25 97
2631 Vorstand
26 Chapter XI A 6
30 Chapter X, Note 222,Organ
31 97; Chapter X, Notes 222
and 224; Chapter XI A 6,
Organ
5758 Chapter XI, A 5
54 Chapter XI, A 6
54, 1st sentence Chapter XI, A 6
54, 2nd sentence Chapter XI, A 6
8088 Chapter II, Notes 11
89(i) Chapter X, Notes 222 and 224
90103 28
91 Chapter X, D 1
92 Chapter X D 1
9394 Chapter X D 1
97 Chapter X D 1
104ff Chapter X, Note 166
104115 T 30
472
104185 30
104 T 30
105 T 32, Chapter X, Note 245
106 T 30
107113 T 30
107 T 30
108110 T 30
108(i) T 32
108(ii) T 30, Chapter X Note 31
109 T 30
110 T 30
116118 T 30
116124 T 31, Chapter X, Notes 35 and 49
116144 T 30, 31
116 T 32
117 T 32
118 T 32
119123. T Chapter X, Notes 47, 51,135 C
119 T 32, 34, Chapter X, Notes 45,47,48 and 49;
Chapter X F 3 (c) (iv) and 5 (a)
119(i), 2nd alternative T Chapter X, Note 38
119(ii). T 34, Chapter X, Note 47 D
120 T 32, 34, Chapter X, Notes 45, 48 and 49
121(i) T 34
122 T 34
123 T 32,34, Chapter X, Notes 48,58 C, 135 B and 245,
Chapter X F 5 (a)
124(i) T 34
125129 T 31
125127 T Chapter X, Note 56
125 T 31, Chapter X,
Note 35; Chapter X C 3 (g) Expos (d)
125, 1st sentence T 34
126m T 34
126(iii) Chapter X, Note 54
126a Chapter X, Note 54
126b Chapter X,Note 54
127 T 34
128 T 34
129 T 34
130132 T 31
130(i) T 32, Chapter X, Note 67
131 T 32
133 T 31, ChapterX, Note44; ChapterX B 2 (e),
Chapter X F 3 (c) (iii)
134138 T 31
134 T 39, 37, 34, 31, Chapter X,
Notes 35 and 209, Chapter X B 2 (e)
135 T 74
137 T 74
473
138 T 31, 34, 37, 39, Chapter X, Notes 35 and 58

138(i) T 34, Chapter X F 3 (c) (iv); Chapter X, Note 302
138(ii) T Chapter X, Notes 58 and 245
139144 T 31
139 T Chapter X B 2 (e); Chapter X, Note 245
142(i) T 32, 51, Chapter X F 3 (c) (iv); Chapter XVIII, Note 7
143(i) T 41
145153. T Chapter X, Note 64
145157 T 30, 34
146. T 35
147 T 35
148 T 35
150 T 35
151 T 35
154155. T Einigungsmangel
154 T 34
155 T 34, Falsa dmonstratio
157 T 32, Treu und Glauben, Chapter X, Note 47,
Chapter X B 2 (e); Chapter XXII, Note 74
158163 30, 36
158(ii). T 51, Chapter X, Note 245
160 T 36
161 T 36
162 T 37, Treu und G/auben
163 T 36, 51
164181 T 30
164(i) Chapter XII, Note 60
177ff Chapter XI B 2
177(i) Chapter X Note 31
179 Chapter X, Note 31; Chapter XII B
182185 T 30
186193 41
186240 41
194225 41
194(i) 29, 42
195197 42
195 T 42, Chapter X, Note 135 A
196(i) No 1 42
196(i) No 3 42
196(i) No 4 42
196(i) No 14 42
196(i) No 15 42
474
196(ii) 42
197 42
198,1st sentence 43
201,1st sentence 43
202207 43
208216 43
217 43
218(i) Chapter X B 4(b)
222(i) 42
222(ii) 43
223(i) 44
225 44
226231 T 42
228 T Chapter X, Note 58 C; Chapter XVI, Note 31
232240 42
241242 T 46
241292 T 45
241304 45, 46
241432 44
241853 27, 44
241 T 44,45, Chapter X, Note 126
241a Chapter X, Expos: Fernabsatz
242 T 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
243245 46
243(i) T Chapter X, Note 116
243(ii) T Chapter X, Note 116
244245 46
246248 T 46, Zinsen
246 T Chapter XI, Note 59
249ff T Chapter X, Notes 119 and 227
249255 T 46
249 T 46
250 T 46
251 T 46
252 T 46
254 T 46, Chapter X, Note 183, Mitverschulden
255 T 46
256257 46
258 46
259260 Chapter XII, D 8 (d)
259261 46
259(ii) Unterhalt
261 Unterhalt
262265 46
266 46
475
267268 46
269270 46
269(i) Leistungsort Chapter X B 12
270 Leistungsort, Chapter X, Note 116
271272 46
271(i) Chapter X, Notes 98 and 124
273274 46, Zurckbehaltungsrecht
275ff T 51
275283 T 46
275304 Chapter X, Note 126 E
275(i) T Chapter X, Notes 116 and 126 F
276 T 50,
Chapter X, Notes 126 D and 219
276(i) T 130; Chapter X, Note 126 H
276(i), 3rd sentence T Chapter X, Note 5
277 T Chapter XI B 1
278 T Chapter X, Note 126 H and I;
Chapter X, Note 135 A; Chapter X, Note 222;
Chapter XXII, Note 74; Erfllungsgehilfe
280 T Chapter X Note 126I
280(ii) T 48
282 T Chapter X, Notes 126I and 135 A;
Chapter XIII, Note 10 4
283 T Chapter X, Note 126I
284290 T 46
284285 T 46, Chapter X, Note 126 F
284(ii) T Chapter X, Note 127
284(III) Chapter X, Note 127
285 T Chapter X Note 126 I
286290 T 46
286 T 46
286(i) T Chapter X Note 126 F
286(ii) 279 48
287 T 46
288290 T 46
288 T Chapter X, Note 127; Chapter XI, Note 60
291292 47
292 T 31
293299 47
293304 45
300304 47
305319 T 47
305361 47
305 T 47, 51, Chapter X, Notes 23, 106, 132, 159
306307 T 47
306309 T 47, Chapter X Note 126 E
306 T Chapter X, Note 126 E
476
307308 T 47
308 T 47
309 T 47
310312 47
313 47, 216, Chapter X, Note 256
314 47, Zubehr
315-319 Chapter X Note 64
315316 T 47
317319 T 47
320ff T Chapter X, Note 188
320327 T 47, Chapter X Note 126 E
320 T 48,Zurckbehaltungsrecht
320(i) T Chapter X, Note 166
321 T 48
322 T 48
323ff T 51, Chapter X, Note 166
323325 T 48, Chapter X,Note 106
323(i) T Chapter X, Note 126 F
324 T Chapter X, Note 126 G
325 T Chapter X, Notes 126 G and 166
326 T 48, 49, Chapter X Notes 106, 126 F and 166;
Leistung
326(ii) T Chapter X, Note 126 F
327 T 48, Chapter X, Note 126 F
327,2nd sentence T 48
328335 T 45
328 T 48
329332 48
329 T 48
330 48
331 48
332 48
333335 T 48
333 T 48
334 T 48
335 T 48
336345 47
336338 48
339345 48
343(i) Chapter XI, Note 61
346ff 50, 51
346349 48
346356 Chapter X Note 126 F
346361 47, 48
347 48
347,1st sentence 48
350353 48, 50
350 50
351 49, 50
352 50
477
354355 49
356 49
357358 49
357361 49
359 49
360 49
361 49
361a Chapter X, Expos: Fernabsatz
361b Chapter X, Expos: Fernabsatz
362371 50
362397 50
362(i) 45, Chapter X, Note 114
362363 51
364365 51
366367 51
368370 51
368371 51
371 51
372375 51
372386 50
376377 51
378379 52
380382 52
383386 52
387388 52
387396 50
389 52
390395 52
396 52
397 50, 52
398413 52
398 52,Chapter XIX B
399400 52
401 52
402403 52
404411 52
407 Chapter XIX, Note 31
412 52
413 52
414415 52
414419 52
416 52
417 52
418 52
419 52
420432 52
420 52
421 Gesamtschuld
421ff 53
422425 53
478
427 53, Chapter XI B 3; Chapter XII B

428430 53
431432 53
431 Chapter XI, B 3
433ff Chapter X Note 234
433514 Kauf
433515 53, 54
433811 72
433853 44, 53
433 54
433(i) Chapter X, Note 185
433(i), 1st sentence 44, 45
434ff Chapter X, Note 188Z
434 54, Gewhrleistung
435436 54
437438 54
437 Gewhrleistung
439 54
440441 54
440(i) 48
442444 54
443 Gewhrleistung
445 54, Chapter X C 3 (g) Expos (b)
446147 54, Chapter X Note 126 G; Chapter X C 3 (b) Expos
446 Chapter X Notes 126 G and 234
447 Leistungsort
448450 54
451 54
452 54
453 55
454 55
455 48, 55, 72, Chapter X Note 245
456458 55
459493 55
459ff Fehler(haft), Gewhrleistung(srecht),
Chapter X Note 126 D
459 55, Chapter X, Note 189
461 55
462465 55
462 Chapter X Notes 116 and 189
466 55
467 48, 55, Chapter X Note 189
468471 55
472 55
473475 55
479
473 55
474 55
475 55
476a 73
477(i) Chapter X B 4 (c)
478479 55
480 55, Chapter X, Notes 116 and 189
481492 55
493 55
494 55
495496 55
497503 55
504514 55, 77
515 55
516534 53
516517 56
516(i) Zuwendung
518520 56
518 216 Chapter X, Note 106
521524 56
525527 56
528534 56
535580a 56
535597 53, 56
535536 56
535 Chapter X C 3 (g) Expos
536 Chapter X C 3(g) Expos
537541 56
537(i) Chapter X C 3 (g) Expos
537(iii) Chapter X C 3 (g) Expos
538(ii) Chapter X, C 3 (g) Expos
541a541b 56
542544 56, Chapter XVIII, Note 6
542(i), 1st sentence Chapter X C 3 (g) Expos
542(i), 2nd sentence Chapter X C 3 (g) Expos
542(i), 3rd sentence Chapter X C 3 (g) Expos
542(ii) Chapter X C 3 (g) Expos
543,2nd sentence Chapter X C 3 (g) Expos
545 57
546 57
547 Chapter X B 4 (c) 43, 57
547a Chapter X B 4 (c), 43, 57
480
548 57, Chapter X C 3 (g) Expos

549 57
550a 57
550b 57
551552a 57
553554b 57, Chapter X C 3 (g) Expos; Chapter XVIII, Note 6
554a Chapter X C 3 (g) Expos
554b Chapter X C 3 (g) Expos
556 57
556a-556c 57
556a (i), 1st sentence Chapter X C 3 (g) Expos
556b (i) Chapter X, Note 280
557 57
558 Chapter X B 4 (c), 43, 55, 57
559563 57
564565 Chapter XVII, Note 6
564 57
564a-564b 57, Chapter X, Note 203
564a (i) Chapter X C 3 (g) Expos
564b (i) Chapter X C 3 (g) Expos
564b (iii) Chapter X C 3 (g) Expos
564b (vi) Chapter X C 3 (g) Expos
564b (vii) Chapter X C 3 (g) Expos
564c 57
564c(i) Chapter X, Note 208
564c(ii) Chapter X, Note 209
565 57 Chapter X C 3 (g) Expos
565a 57
565b-565e 57
566, 2nd sentence Chapter X Note 204
567 57
569a569b 57
570 57
570a 57
571576 57
571(ii), 1st sentence Chapter X C 3 (g) Expos
571(ii), 2nd sentence Chapter X C 3 (g) Expos
577 58
481
578 58
579 58
580580a 58
580 Chapter X, C 3(g) Expos
581 Chapter X, C 3(g) Expos
581584b 58
582584b Chapter X C 3 (g) Expos
585597 58
598606 53
599600 59 Chapter X C 3 (g) Expos
601604 64
605 64
605 No 2 Chapter X, Note 199
606 64, Chapter X Note 95
607610 53, 64
607(i) Chapter X C 3 (g) Expos; Chapter X Note 235
609(ii) Chapter XC 3 (g) Expos
609a Chapter X C 3 (g) Expos,
Chapter XVIII, Note 6
611630 53, 65, Chapter XVIII, Note 1
611ff Chapter XVIII, Note 60
611 65
611a-611b 65
611a-612a Benachtligung
612 65
612a 65
613 65
613a 65
613a(iv) Chapter XVIII B 4
614 65
615616 65
617619 65
618(i) 125
620 65
621622 65
622 181, Chapter XII E; Chapter XIII, Note 75
622(i) 181
482
622(ii) 181
622(iii) 182
622(iv)-(vi) Chapter XVIII, Note 12
623 65
624 65
625 65
626628 65
626(i) 181
626(ii) 181
627(i) 181
629630 65
630 Chapter XVIII B
631651 Herssteller
631651k 53, 65
631632 65
631 Chapter X, Notes 104 and 166
631(ii) Chapter X, Notes 166
632a 66, Chapter X, Note 166
633ff Chapter X, Note 234
633 66, Fehler(haft)
633(ii) Chapter X, Notes 166 and 189
633(iii) Chapter X Note 166
634ff Gewhrleistung(srecht)
634636 66
634 Chapter X Note 166
634(iv) 48
637 66
638639 66
638(i) Chapter X B 4 (c); Chapter X, Note 166
639(ii) 43
640641 66
642643 66
644646 Chapter X Note 126 G
644 66, Chapter X Note 126 G
645 66
646 66, Chapter X Note 166
647648 66
483
650 66
651 66, Chapter X, Notes 104 and 264, Verschaffung
651a-651l Chapter X B 2 (e) (Group remedies)
651a-651k Chapter X, Note 166
651a651b 66
651c-651g 66
651h 66
651i 66
651j 66
651k 66
652656 53, 66
657661 50, 66
661a Chapter X, Expos:Fernabsatz
662676 66
662ff Beau/ftragte
662 66
663 66
664668 66
669670 66
671674 66
675(ii) Chapter X C 3 (g) (Title 10)
675a Chapter X C 3 (g) (Title 10)
676 67
676a-c Chapter X C 3 (g) (Title 10)
676d-e Chapter X C 3 (g) (Title 10)
676fh Chapter X C 3 (g) (Title 10)
676h Chapter X, Expos:Fernabsatz
677687 53
677 67
678679 67
680 67
681 67
682 67
683 67
684 67
685 67
686 67
687 67
688700 Chapter X, C 3 (g) Expos, 73
700(i) Chapter X, C 3 (g) Expos
701704 54
705740 54, 68, 105
705ff Chapter XXII D 9
484
705 68,Chapter XI, Note 4

706707 68
706(i) Chapter XI B
708 68, Chapter XI B
709712 68
709(i) Chapter XI B, Chapter XII D
710 Chapter XI B
714715 68
714 Chapter XI B
716 68
717 68
718720 68
718(i) 98
719(i) 98
721722 68
723729 68
730735 68
736740 68
741758 54, 68
741ff Gemeinschaft nach Bruchteilen, Chapter X, Note 267
741 68, Chapter XI, Note 14
742743 68
744746 68
745 Chapter X F 4 (b)
747748 68
747 98
749751 68
749(i) Chapter XI A 2
749(ii)751 Chapter XI, Note 7
752754 68
755757 68
758 68
759761 54, 68
762764 54, 68
765778 54, 68
765766 69
766, 1st sentence Chapter X, Note 177
767 69
768 69
769 69
770773 69
771 Selbstschuldnerische Brgschaft
773(i)No 1 selbstschukdnerische Bgschaft
775777 69
778 69
485
779 54, 69, Chapter XXII, Note 96

780782 54, 69
783792 54, 69, Chapter XIX B
783786 69
787791 69
792 69
793808a 54, 69, Chapter XIX B
793797 69
793(i), 2nd sentence Chapter XIX B
798800 69
801802 69
803808a 69
807 Chapter XIX B; Chapter XIX, Note 41
808 Chapter XIX B; Chapter XIX, Note 41
808(i), 1st sentence Chapter XIX, Note 41
808(i), 2nd sentence Chapter XIX, Note 41
809811 54, 69
812822 54, 69
812ff 50, Leistung, Chapter X, Notes 48 and 209;
812 30, Chapter XIII D 8 (c) (v)
812813(i) 69
812(i), 1st sentence, 1st alternative Leistungskondiktion, Chapter X, Note 245
812(i), 1st sentence, 2nd alternative Nichtleistungskondiktion
813(ii)815 69
817, 1st sentence 70
817, 2nd sentence 70
818(i) 70
818(ii) 70
818(iii) 30,.70
818(iv)820 70
818(iv) 30
819(i) 30
821 70
822 70
823853 T
54,.70 823ff T Chapter X, Note 126 D; Chapter XIII, Note 174
823 T 70, Chapter VIII Note 7; Chapter X, Notes 126 J,
219, 222, 224 and 254; Chapter XIII D 8 (c) (v)
823(i) T Widerrechtlich, Chapter VIII, Note 20;
Chapter X, Notes 219, 222, 224 and 266;
823(ii) T Chapter VIII, Note 20 C; Chapter X, Note 219
824826 T 70
824 T Chapter VIII, Note 20 E; Chapter X, Note 220
486
826 T Chapter VIII, Notes 7 and 20; Chapter X,

Notes 58 and 220; Chapter XIII, Note 15
827829 T 70
830 T 70
831 T 70, Chapter X, Notes 135, 222
and 224; Verrichtungsgehilfe
832 T 70
833834 T 70
833 T Chapter X, Note 126 D
836838 T 70
839 T 70 and Amtspflicht; Chapter X, Notes 220 and 224
839(i) T ChapterX, Note 224
839(i), 2nd sentence T Chapter X, Note 224
839(ii), 1st sentence T Chapter XXII, Note 19
839(ii), 2nd sentence T Chapter XXII, Note 19
840841 70
842846 T Chapter XVIII, Note 62
842843 T 70
844846 T 70
847 T 70
847 analogously T Chapter VIII, Note 20
847(i) T Chaper X, Note 227
848851 T 70
852853 T 71
852(i) T Chapter X B 4(c)
854872 71, 73
8541296 71
862 ChapterX, Note 254
873878 74
873902 71, 73
873 44, 71, 73
875 73
877 73
879881 74
883888 74
891893 74
891ff Chapter X D 3(h)
891 Chapter X D 3(b)
892 Chapter X D 3 (b) and X F 5 (d)
487
892(i), 1st sentence Chapter X D 3 (b)

892(i), 2nd sentence Chapter X D 3 (b)
893 Chapter X D 3 (b)
894899 74
898 42
900902 74
902 42
903924 74
9031011 74
903 74
904 Chapter X, Note 58; Chapter XVI, Note 32
906(i) Chapter X D 3 (c) (i)
906(ii) Chapter X D 3 (c) (i)
925928 44, 75
925(i) 75, Auflassung
925(i), 1st sentence Chapter X, Note 256
925(ii) Chapter X, Notes 245 and 256
929936 76
929984 44, 75
929 76
929, 1st sentence Chapter X, Note 256
930 76
931 76
932 76, Chapter X D 3 (b); Chapter X F 5 (a); Chapter XI, Note 62
935 76
935(ii) Chapter XIX B
937945 76
937984 76
946952 76
947948 Chapter XI A 2
950(i), 1st sentence Chapter X, Note 264
952 ChapterXIX B
953957 76
956957 ChapterX, Note 195
958964 76
965984 76
9851007 77
985 77, Chapter X, Notes 245 and 266;
Chapter XIIID 8 (c)(v)
987ff 49, 50
989 31
990 31
488
1004 77, Chapter VIII, Note 7;

Chapter X, Notes 254 and 266 D
1004 analogously Chapter VIII, Note 20; Chapter XV, Note 15
1006 Chapter XIII, Note 10; Chapter XIX, Note 30
10081011 77
1008ff Miteientum nach Bruchteilen
10121017 77
10181029 77
10181093 77
10181203 71
10181296 71
10301089 77
10901093 77
10941104 77
11051112 77
11131190 78
11131203 78
11131296 78
1113 Chapter X D 3(h)
1115 Chapter X D (h)
1116(ii) Chapter X D (h)
1117(i) Chapter X D (h)
1160(i) Chapter X D (h)
11911203 78
12041258 80
12041296 80
12731296 80
489
12971302 80
12971588 80
12971921 80
13031322 80
13231322 80
13231347 80
13481362 80
1360 Untehalt
1360a(iv) Unterhalt
1361 Untehalt
1361(ii) Chapter XIII D 6 (b) 2
1361(iv), 4th sentence Chapter XIII D 6 (b) 2; Unterhalt
1363ff Chapter XIII D 6 (b) 2
13631390 Gterrecht
13631563 80
1363(i) Gterrecht
1365 101
1371 Chapter X F 3 (a) and 4 (g)
1371(i) Chapter X F 3 (a) and 4 (g)
1371(ii) Chapter X F 3 (a) and 4 (g)
1371(iii) Chapter X F 3 (a) and 4 (g)
1372 Gterrecht
1373 Chapter XIII D 6 (b) 2
1375(ii) Chapter XIIID D 6 (b) 2
1375(iii) Chapter XIII D 6 (b) 2
1376(i) Chapter XIII D 6 (b) 2
1377(iii) Chapter XIII D 6 (b) 2
1378(i) Gterrecht, Chapter XIII D 6 (b)
14081518 Gterrecht
15581563 Gterrecht
15641568 Chapter X E
15641587P 80
1565(i), 1st sentence Chapter XIII D 6 (b) 3
1565(i), 2nd sentence Chapter XIII D 6 (b) 3 and Note 159
1566(ii) Chapter XIII D 6 (b) 3 and Note 159
1567 Trennung
15691586 Chapter X E; Unterhalt
1580 Chapter XIII D 6 (b) 2; Unterhalt
1585b Chapter XIII, Note 156
1585c Chapter XIII, Note 156
490
15871587p Chapter X E
1588 81
15891590 81
15891772 81
1589 Chapter X F 3 (a)
15911600o 81, Chapter X F 3 (a)
16011615o 81
16011615 Unterhalt
1605 Chapter XIII D 6 (b) 2; Chapter XIII, Note 154; Unterhalt
1615a1615o Unterhalt
16161625 81
16261704 81
1629 30
1629(ii), 2nd sentence Chapter XIII, Note 156
1631 Chapter XVI, Note 37
1643 31
1671(iii) Chapter XIII, Note 158
17051718 81
17191740g 81
17411772 81
1773ff Chapter X, Note 345; Chapter XVI, Note 40
17731895 81
17731921 81
1821 31
1822 31
1837(i) Chapter X F 5 (b)
18961908i 81, Chapter XIII, Note 1
19091921 81, Pflegshaft
19221941 81
19222385 81
1922(i) Chapter X B 4 (c), Tod
1923 Chapter X F 3 (a) (i)
19241936 Chapter X F 3 (a) (i)
19241929 Chapter X F 3 (a) (i)
1924 Chapter X F 3 (a) (i)
1924(iii) Chapter X F 3 (a) (i)
1924(iv) Chapter X F (a) (i)
1925 Chapter X F (a) (i)
1925(iii) Chapter X F (a) (i)
1931 Chapter X F 3 (a) (i) and 4 (g)
1931(i) Chapter X F 3 (a) (ii)
1931(ii) Chapter X F 3 (a) (ii)
1931(iii) Chapter X F 3 (a) (ii)
1931(iv) Chapter X F 3 (a) (ii)
1933,1st sentence. Chapter X F 3 (a) (ii)
491

1937 Chapter X F 3 (b) and (c); Chapter X F 4 (c)
1938 Enterbung Chapter X F 4 (f)
19391940 Chapter X F 4(h)
1939 Vermchtnis Chapter X F 4 (h)
1940 Chapter X F 4 (h)
1941 Chapter X F 3 (b) and (e), Chapter X F 4 (c)
19422063 Chapter X F 3 (b) and (e), Chapter X F 4 (c)
19421966 81
1942(i) Chapter X F 4 (a) and 5 (a)
1944(i) Chapter X F 5 (a)
1944(ii) Chapter X F 5 (a)
1944(iii) Chapter X F 5 (a)
1949(i) Chapter X F 5(a)
1954(iv) Chapter X F 5 (a)
1956 Chapter X, Notes 335 and 338
1960(ii) Chapter X F 5 (e)
1964(i) Chapter X F 5 (e)
1964(ii) Chapter X F 5 (e)
19672017 Chapter X F 5 (b)
1967(ii) Chapter X F 5 (b)
20182031 Chapter X F 5 (c)
20322063 Chapter X F 4 (b)
2033 Chapter X F 4 (b); Chapter X, Note 311
2048 Chapter X F 4 (a) and (b)
2050 Chapter X F 4 (b) and (g)
2057a X F 4 (b) and (g)
492
20582063 Chapter X F 5 (b)

20642273 81
20642086 Chapter X F 3 (c)
20662077 Chapter X F 3 (c) (iii)
2068 Chapter X F 4 (d)
2078(i) Chapter X F 3 (c) (iv)
2078(ii) Chapter X F 3 (c) (iv)
2078(iii) Chapter X F 3 (c) (iv)
2079 Chapter X F 3 (c) (iv)
2081(i) Chapter X F 3 (c) (iv)
2082 Chapter X F 3 (c) (iv)
2084 Chapter X F 3 (c)
20872099 Chapter X F 4 (c)
2087 Chapter X, Note 299; Chapter X F 4 (c)
20962099 Chapter X F 4 (d)
21002146 Chapter X F 4 (e)
2100 Chapter X F 4 (e)
21042105 Chapter X F 4 (e)
21132115 Chapter X F 4 (e)
2113(iii) Chapter X F 4 (e)
2137(ii) Capter X F 4 (e)
21472196 Chapter X F 4 (e)
21472191 Vermchtnis
2169(i) Chapter X F 4 (h)
2180(i) Chapter X F 4 (h)
21972228 Chapter X F 4 (i)
493

22292264 Chapter X F 4 (c)
2229(i) Chapter X F 3 (c) (i)
2229(iv) Chapter X F 3 (c) (i)
22312248 Chapter X F 3 (c) (i)
2232 84, Chapter X F 3 (c) (i)
22492252 Chapter X F 3 (c) (i)
2247(i) Chapter X F 3 (c) (i)
2253 Chapter X F 3 (c) (ii)
2254 Chapter X F 3 (c) (ii)
2255,1st sentence Chapter X F 3 (c) (ii)
2256(i) Chapter X F 3 (c) (ii)
2258(i) Chapter X F 3 (c) (ii)
2258(ii) Chapter X F 3 (c) (ii)
2259(i) Chapter X F 3 (c) (e)
2259(ii) Chapter X F 3 (c) (e)
2260(i) Chapter X F 3 (c) (e)
2260(iii) Chapter X F 3 (c) (e)
2270(i) Chapter X F 3 (d)
2270(ii) Chapter X F 3 (d)
2271(ii) Chapter X F 3 (d)
22742302 81, 87, Chapter X F 3 (e)
2276 218
2301 218
23032338 81, Chapter X F 4 (g)
2303(ii) Chapter X F 4 (ii)
2305 Chapter X F 4 (g)
2307(i) Chapter X F 3 (a) (ii) and 4 (g)
2311(i) Chapter X F 4 (g)
2314(i) Chapter X F 4 (g)
494

2332(i) Chapter X B 4 (c); Chapter X F 4 (g)
23332336 Enterbung
23332335 Chapter X F 4 (g)
23392345 81 Chapter X F 4 (f)
23402342 Chapter X F 4 (f)
2344 Chapter X F 4 (f)
23462352 81, Chapter X F 4 (f)
23532370 81, Chapter X F 5 (d)
2356(ii) 218
23712385 81
BNotO
2024 218
BRAGO
3(v) Chapter XXII, Note 101
8(i), 1st sentence Chapter XXII, Note 91
8(i), 3rd sentence. Chapter XXII, Note 92
8(ii), 2nd sentence Chapter XXII D 8 (a)
11(i) 214, 215
11(i),2nd sentence Chapter XXII Note 105
495
11(i), 3rd sentence Chapter XXII, Note 105

13(i) Chapter XXII, Notes 101 and 104
13(ii) Chapter XXII, Notes 104
13(v) Chapter XXII, Note 101
BRAO
13 208, Chapter XXII, Note 54
1 208
3(iii) Chapter XXII, Note 55
442 208
4 208
7 Nos 16 Chapter XXII, Note 59
7 No 7 Chapter XXII, Note 59
7 No 8 Chapter XXII, Note 59
4359b 208, 209
43 209
496
43a Chapter XXII D 5

43b Chapter XXII D 5
43c Chapter XXIID 5
45(i) No 4 Chapter XXII, Note 66
45(ii) No 2 Chapter XXII, Note 66
49(i) Chapter XVII C; Chapter XXII, Note 68
49b(i) Chapter XXII, Notes 100 and 101
49b(ii) Quota litis, Chapter XXII, Note 101
51a(i) Chapter XXIID 9
51a(ii), 2nd sentence Chapter XXII D 9
51a(ii), 3rd sentence Chapter XXII D 9
59 c-m Chapter XXII, Note 116
6091 208
74a Chapter XXII, Note 87
92161a 208
113(ii) Chapter XXIID 7
115,1st sentence Chapter XXII D 7
115b Chapter XXIID 7
118(i) Chapter XXIID 7
118(ii) Chapter XXIID 7
135 Chapter XXIID 7
162174 208
175191 208
226 Chapter XXII Note 62
BtMG
497
BVerfGG
1(i) 9
5 Chapter VII, Note 16
13 18
31(i) 18
31(ii) 19, Chapter VII, Note 18
64(i) Chapter VII, Note 19
78 18
79(i) 18
82(i) 18
90(i) 19
90(ii) 19
90(11), 2nd sentence Chapter VII, Note 14
93(i) 19
93(iii) 19
93a(ii) Chapter VII, Note 16
95 19
BVwVG
6(ii) Chapter XXIII, Note 56
13(iii) Chapter XXIII, Note 57
DRiG
145a 203
26(ii) Chapter XXII Note 19
4670 203
7184 203
85126 203
498
EFZG
5(i), 1st sentence Chapter XVIII, Note 13
EGBGB
Article(s)
338 195
36 195
3(i), 1st sentence 195
3(i), 2nd sentence 196
3(ii) 195
3(iii) Chapter XX, Note 6
4(i) 196
4(i), 2nd sentence Chapter XX, Note 7
5(i), 2nd sentence Chapter XX C
6 Chapter XXIII, Note 148; Chapter XX, Notes 6 and 14
710 Chapter XX C
712 195
7 Chapter XIII, Note148
11 Chapter XX Notes 2 and 19
11(i) Chapter XX Note 19
1324 195
14(i) Chapter XX C
15(i) Chapter XX C
18(i) 196
2526 195
2738 195
27(iii) 197
28(ii), 1st sentence 197
29 197
29a Chapter X Expose: Fernabsatz
30(ii) 197
31(i) 198
31(ii) 198
32(i) 197
32(ii) 198
34 Chapter IX, Note 6
35(i) 198
38 198
40 Chapter XX, Note 24 A
220(i) 195
499
EGGVG
2330 Chapter XV, Note 2
EG-Vertrag (EC Treaty)

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

Article(s)
5 No 1 Chapter XIII, Note 28 C; Chapter XXII, Note 74
5 No 3 Chapter XX, Note 25
5 No 5 Chapter XIII, Note 28 C
17(i), 2nd sentence Chapter XXII, Note 74
2123 Chapter XIII, Notes 28 C and 101
31ff Chapter XIII, Note 171
52 Chapter XIII, Note 28D
53 Chapter XIII, Note 28D
EuMRK
Article(s)
6 Chapter VIII,
Note 18; Chapter XVII, Note 6
6(iii)a Chapter VIII, Note 18
6(iii)d Chapter XVII, Note 29
6(iii)e Chapter XVII, Note 29
7(ii) Chapter XVI, Note 4
EV (Rome Convention)
Article(s)
3 Chapter XX, Note 13
3(iii) Chapter XX, Note 14
500
FamRndG
Article(s)
FGG
16a Chapter XIII, Note 148
36 Chapter XIII, D 6 (b) 2
45 Chapter XIII, D 6 (b) 2
GBO
GenG
2435 Vorstand
GewO
1 Chapter XIX, B
2434c Chapter XIX, Note 18
105139m Chapter XVIII, Note 2 (a)
120a 186
120d 186
120e 187
147(i) No 1 Chapter XVIII, Note 58
147(iv) Chapter XVIII, Note 59
GG
Article(s)
13 T Chapter VIII, Note 16
117 T 22, Chapter VIII, Note 36
118 T
21
119 T 21
1(i) T 22, Chapter VIII, Note 20
1(iii) T 21
2(i) T 22, Chapter VIII, Notes 4 and 20,
Chapter X, Note 23; Chapter XIII, Note 69
2(ii), 1st sentence T 22
501
2(ii), 2nd sentence T 22, Chapter VIII, Note 36

3(i) T 22, Chapter VIII, Notes 6 and 22, Gleichheit
3(ii) T 22, Chapter VIII, Note 23, Gleichberechtigung
3(iii) T 22, Chapter VIII, Note 18
4(i) T 22, Chapter VIII, Note 4, Gewissen
4(iii) T 22
5(ii) T Chapter VIII, Note 4
5(iii) T 23, Chapter VIII, Note 4
6 T 23
7 T 23
8(i) T 21, 23, Chapter VIII, Note 4
8(ii) T Chapter VIII, Note 4
9(i) T 21,23
9(ii) T Chapter
9(iii) T 23, Koalitionsfreiheit
10(i) T 23,Fernmeldegeheimnis
11(i) T 21, 23, Freizgigkeit
12(i) T 21, 23, Chapter VII, Note 18; Chapter XXII, Note 59
13(i) T 23
13(ii) T Chapter XIII D 8 (c) (v); Chapter XXII, Note 26
14(i) T 23,Eigentum, Erbrecht
14(i), 1st sentence T Chapter X F 2
14(ii) T 75, Eigentum, Erbrecht
14(iii) T Enteignung, Chapter VII, Note 18
16 T 23
16(i) T Ausbrgerung
16(ii) T Auslieferung
16a T Asylrecht
17 T 23
18 T 8
19(ii) T 22, Chapter VIII, Note 13
19(iv) T 6, 22, Rechtsschutzgarantie, Chapter VIII, Note 17,
2037 T 17
20 T Chapter II, Note 18; Chapter VII, Note 2;
Chapter VIII, Note 2
20(i) T 6
20(ii) T 6
20(iii) T 6, 22, 117, 160
20(iv) T 18, Chapter VIII, Note 36
21 T Chapter II, Notes 26 and 30; Chapter VII, Note 2
21(ii) T 18
22 T Chapter VII, Note 2
502
23 T Chapter I, Note 13; Chapter II, Notes 3 and 31;

Chapter VII, Note 16
2327 T Chapter II, Note 31
25 T Chapter II, H
28(i) T Chapter II, Note 2
28(i), 1st sentence T 13
28(i), 2nd sentence T 13
28(ii) T 15
29(vii) T Chapter II, H
30 T 14, Chapter II, Note 3
31 T 5, 21, 157, Bundesrecht bricht Landesrecht,
Chapter II, Note 7
32(i) T Chapter II H
32(iii) T Chapter II H
33 T 18, Chapter VII, Note 2
34 T Chapter X, Note 224; Chapter XXII, Note 19
35(i) T Chapter XII, Note 1
35(ii)(iii) T Chapter XII, Note 1
37 T Chapter II, Note 2; Chapter VII, Note 2
3848 17
3869 9, 17
38 T 18
43(ii) Chapter III, Note 3
5053 Chapter III, Note 3
50 17
53 17
53a 9
5461 17
59(i) Chapter II H
59(ii) Chapter II H
6269 17
62 9
70ff Chapter II, Note 3
7078 T Chapter II, Note 7; Chapter VII, Note 3
70 5, ChapterV, Note 6
71 5
72 5
73 No 9 Chapter XIX, Note 1
75 5
503
77 Zustimmungesgestz
77(ii) Vermittlungsausschu
77(iii) Einspruchsgesetz
79(iii) T 6 Chapter II, Note 18
80(i) T Chapter VIII, Note 15
80(ii) Zustimmungsgesetz
80a81 T Chapter VII, Note 3
8391 17
83 14, 157
84 14
84(i) Zustimmungsgesetz
85 Chapter V, Note 7
86 157
87ff Chapter XIV, A
87(iii) 11
87ab Chapter XIV, Note 1
87b Chapter XIV A
87d Chapter XIV A
87e Chapter XIV A
89 Chapter XIV A
91a91b Chapter VII, Note 6
92104 T 17
93 T 18, Chapter III, Note 5; Chapter VII, Note 15;
93(i) No 1 T 19
93(i)No2 T 18
93(i) No 3 T 19
93(i) No 4a T 22, Chapter VIII, Note 17
93(i)No 4b T 19
94(i) T Chapter XXII, Note 16
95 T Bundesrichter
95(i) T Chapter XXII, Notes 31 and 39
95(ii) T Chapter XXII, Note 15
96(i) T Chapter XXII, Note 40
96(iv) T Chapter XXII, Note 40
9798 T Chapter VII, Note4
97(i) T 17, 117, Chapter XXII, Note 17
98 T Chapter XXII, Note 2
100(i) T 18, Chapter XIII, Note 71
100(ii) T Chapter II, Note 35
100(iii) T Chapter XIII, Note 19
101(i) T 6, 119, 206, Gesetzlicher Richter
504
101(i), 2nd sentence T 203, Chapter VIII, Note 36

101(ii) T 206, Chapter XXII, Note 38
103 T 18
103(i) T 6, 115, Chapter VIII, Notes 18 and 36,
Chapter XIII D 2 (c)(vi)
103(ii) T 167, Chapter VIII, Note 36;
Chapter XVI, Note 3; Rckwirkung
103(iii) T Chapter VIII, Note 36; Chapter XVI, Note 5
104(i) Chapter VIII, Note 36
104(ii) T 178
104(iii) T 178
104(iii), 2nd sentence T 178
104a115 17
104a (iv) Chapter V, Note 6
108 Chapter XIV, A
115a115l Chapter VII, Note 6
116146 17
142 21
GKG
11(ii) 214, Chapter XXII, Note 91
1234 119, 213
65(i) 129
65(vii) Chapter XIII, Note 91
GmbHG
2 Chapter XI A 5; Chapter XII B 1
2(i) 218
4(ii) Chapter XIII, Note 57
4a(ii) Chapter XI, Note 20
5 Chapter XII, B 3
5(i) Chapter XII C
5(iii) Chapter XIIC
6(i) Chapter XII, E
6(ii), 1st sentence Chapter XII E
6(ii), 2nd and 3rd sentenos Chapter XII E
6(iii) Chapter XII E
6(iii), 2nd sentence Chapter XII E
7(ii) Chapter XII C
9 Chapter XII B 3
11(i) Chapter XII B
11(ii) Chapter XI, Note 22; Chapter XII B 2
13(i) Chapter XII D
13(ii) Chapter XI, Note 16
14 Chapter XII C
15(iii) Chapter XII C
505
15(iv) Chapter XII C

15(v) Chapter XII C
17(i) Chapter XII C
17(ii) Chapter XII C
30(i) Chapter XII C
35 Chapter X, Note 27; Chapter XII E
36 Chapter XII E
37(i) Chapter XII E
37(ii) Chapter XI, Note 25; Chapter XII E
38(ii) Chapter XII, Note 13
40(i) Chapter XII E
43(ii) Obliegenheit
46 Chapter XII D
47(i) Chapter XII D
GVG
13 6
22(iv) Chapter XIII D 1 (e)
23 No 1 Chapter XIII D 1 (e)
23 No 2a Chapter XIII D 1 (e)
23a Chapter XIII D 1 (e)
23b 162, Familiensache, Chapter XIII, Note 31,
25 Chapter XIII D 1 (e); Chapter XVII, Note 4,
28 Chapter XVII, Note 4; Chapter XXII, Note 37
71(i) 119
71(ii) No 2 Chapter XIII D1 (e)
72 136, 138
7374 Chapter XVII, Note4
74(i), 1st sentence Chapter XXII, Note 37
74(i), 2nd sentence Chapter XXII, Note 37
74(ii) Chapter XIII, Note 133; Chapter XXII, Note 37
74c Chapter XXII, Note 37
95 119
119 120, 138
506
119(i) 136
120 Chapter XIII, Note 133, Chapter XXII, Note 37
133 120, 138
135 Chapter XIII, Note 133; Chapter XVII, Note 4
136-138 Chapter XIII, Note 19
141-152 Chapter XVII, Note 4
158(i) Chapter XXI, Note 1
162-163 Chapter XXI, Note 1
169 116, Chapter XIII, Note 136; Chapter XXII, Note34
169, 2nd sentence Chapter XIII, Note 8
184 Chapter VIII, Note 18
HGB
17 101
1104 100, 101
1(ii) 101, Chapter XI, Note 31
1(ii) No 6 104
1(ii) No 7 104
2 101, Chapter XI, Note 31
4(i) 101
6 101
816 101
837 101
8 104
13ac Chapter X, Note 7
15(iii) Chapter XI, Note 32
1737 101
17 101
Chapter XI, Note 48; Sitz
4858 101
4883 101
507
49(i) 101
50(i) 101
53(i) 101
54 102
54(iii) Chapter XI C 2 (c)
56 Chapter XI C 2 (c)
5983 101, 102, Chapter XVIII, Note 2 (a)
59 102
60(i) Chapter XI C 2 (d)
61(i) Chapter XI C 2 (d)
61(ii) Chapter XI C 2 (d)
74ff ChapterXI C 2 (d)
74 Chapter XI C 2 (d)
74a (i) Chapter XI C 2 (d)
74(b) (ii) Chapter XI C 2 (d)
74c (i) Chapter XI C 2 (d)
75 Chapter XI C 2 (d)
75a Chapter XI C 2 (d)
75h Chapter X, Note 31
8492c 101
84104 104
84(i) 104
87 104
93104 101
93 104
105108 104
105160 97, 104
105177 97
105237 100, 104
105(i) 98, 104
105(ii) 97, 105, Chapter XI, Note 51
107 105
109122 104, 105
109 105
110111 105
110122 105
112113 105
114117 105
115(i) 100, 105, Chapter XI B
115(ii) 105
116 105
116(i) 100, Chapter XI B
116(ii) 105
118 105
119 105
508
119(i) Chapter XII D

120122 105
123130b 104, 105
123 105
123(i) 106
123(ii) 106
124 105, Chapter XXII D 9
124(i) 106, Chapter XI C 3 (b) (iv)
125125a 106
125(i) 100, Chapter XI B
126 105, 106
127 106
128129a 106
128 100, Chapter XI B
129(iv) Chapter XI, Note 50
130 106
130a130b 106
131144 104, 106
131 106
133 106
133(i) 106
133(ii) 106
138 106
139 106
140 106
143 106
145158 104, 107
145(i) 107
146155 107
157(i) 107
159160 104, 107
159 107
161177a 197, 104, 107, Kommanditgesellschaft
161 107
161(i) 98
161(ii) 97
162 107
163169 107
170 107
171176 107
177 107
177a 107
230237 104, 107
238263 107
238339 100, 107
264335 108
336339 108
343460 100, 108
343(i) 108
344(i) 106
509
344(ii) 106, Chapter XI, Note 56

345 108
346 108, Chapter X B 2 (e)
347(i) 108
348 108
349 108
352(i) 108
353 108
363 Chapter XI, Note 56; Chapter XIX, Note 34
366(i) 108
369372 108
373382 109
377(i) 109
377(ii) 109
383406 109
383 104
396 104
407415 107
416424 109
425452 109
453460 109
476905 100
InsO
80(i) Chapter XVIII B 4
81(i) Chapter X D 2 (v)
113(i) Chapter XVIII B 4
JGG
KostO
32 214
510
KSchG
1(i) 182
1(ii), 1st sentence Chapter XVIII, Note 14
1(ii), 4th sentence Chapter XVIII, Note 14
4(i) 182
KUG
22ff Chapter VIII, Note 20 C
MHRG
1 X C3 (g) Expos
OWiG
41(i) Chapter XVI, Note 9
68(i) ChapterXVI, Note 9
PartGG
1 Chapter XXII D 9
2 Chapter XXIID 9
3 Chapter XXII D 9
4 Chapter XXII D 9
5 Chapter XXII D 9
6 Chapter XXII D 9
6(ii) Chapter XXII D 9
7 Chapter XXIID 9
7(i) Chapter XXII D 9
7(iii) Chapter XXII D 9
8 Chapter XXII D 9
8(i) Chapter XXII D 9
511
9 Chapter XXII D 9
10 Chapter XXII D 9
ProdHaftG
1 Chapter X Note 126 J
1(iv) Chapter X Note 126 J
3(ii) Chapter X Note 126 J
6(i) Chapter X Note 126 J
15(ii) Chapter X Note 126 J
Richterwahlgesetz
RPflG
3 204
8(iv) Chapter XXII, Note 27
11 148, 149, Chapter XIII, Note 141, Erinnerung
1419b Chapter XXII, Note 24
2024a 204
20 No 12 147, Chapter XIII, Note 172
20 No 17 147, 151
29-31 204
RVO
636 188
637(i) 188
708 187
714(i) 187
719 187
SGB(IV)
7a Chapter XVIII, Note 2
512
SGB(X)
24 Chapter XIV, Note 9
SGG
183 Kostenpflicht
StGB
179b 167
1 T 167
7(ii) No 2 Chapter XVI, Note 3 D
11(i) No 8 XVI, Note 74
12 T 167
13 T Chapter XVI, Note 23
13(ii) T 169, Chapter XVI, Note 25
14 Chapter XVI C 1(c)
15) T Chapter XVI, Note 44
16) T Tat(be/um)standsirrtum, Chapter XVI, Note 52
16(i)) T 172
17 T 172, Verbotsirrtum, Chapter XVI, Notes 52 and 57
17, 2nd sentence T Chapter XVI, Note 58
19 T Chapter X, Note 5; Chapter XVI, Notes 39 and 52
20 T 171, Chapter X, Note 5; Chapter XVI, Note 52
21 T 171
23(i) T Chapter XVI, Note 8
23(ii) T Chapter XVI, Note 8
25(ii) T Mittterschft
26 T Anstiftung
27 T Beihilfe
32 T Notwehr Chapter XVI, Note 30
34 T Notatsand, Chapter X Note 58,
35 T Notstand, Chapter X, Note 58,
Chapter XVI, Notes 33, 52 and 59
35(i) T 172
35(ii) 172
3844 173
3876a 173
44 Chapter XVI, Notes 63 and 81
513

57a Chapter XVI, Note 70
59a(i) Chapter XVI, Note 71
77b Chapter XVII, Note 8
7878c Chapter XVII, Note 11
78(ii) Chapter XVII, Note 11
78(iii) Chapter XVII, Note 11
78a Chapter XVII, Note 11
80358 167
86(ii) 8
93(ii) 8
125 Landfriedensbruch
125a Chapter XVII, Note 38 C
129a Chapter XVII, Note 38 B
142 Chapter XVI, Notes 23 and 73
153 Chapter XIII, D 8 (d)
156 Unterhalt
163 Chapter XIII, D 8 (d)
164 Chapter VIII, Notes 20 E
170b Unterhalt
177 Chapter XVII, Note 38 C
185ff Chapter VIII, Notes 7 and 20 D
185 T Beleidigung Chapter XVI, Note 35
186187 T Chapter VIII, Note 20 E
186 T Chapter XVI, Note 35, ble Nachrede
187 T Chapter XVI, Note 35, Verleumdung
194 Chapter VIII, Note 20 D
514
203 Chapter XVII, Note 9; Chapter XXII D 5

211 T Chapter XVII, Note 38 B
212 T Chapter XVII, Note 38 B
220a (i) No 1 T Chapter XVII, Note 38 B
223 T Chapter XVII, Note 9
224227 T Chapter XVII, Note 38 C
242 Diebstahl
246(i) Unterschlagung
246(ii) Unterschlagung
263 Betrug, Chapter XVII, Note 38 C
266 Untreue
306306c Chapter XVII, Note 38 C
311(i)(ii) Chapter XVII, Note 38 B
315c (iii) Chapter XVI, Note 73
316a Chapter XVII, Note 38 C
323c T Chapter XVI, Notes 14, 23 and 73
StPO
1150 175
1 175
7(i) Chapter XVII, Note 37
8(i) Chapter X B 1 2;
Chapter XVII Note 37
9 Chapter XVII Note 37
37(i) 177
5253 Chapter XVII Note 22
52(iii) Chapter XVII Note 22
53(i) No2 178
55(ii) Chapter XVII Note 22
81a (ii) Chapter XVII, Note 24
81g Chapter XVII, Note 24
515

97(v) Chapter XVII, Note 25
98(ii), 1st sentence Chapter XVII, Note 25
98a ChapterXVII,Note 25
98ac Chapter XVII, Note 25
100ab Chapter XVII, Note 25
100cd Chapter XVII, Note 25
105 (i)Chapter XVII, Note 25
110ae Chapter XVII, Note 25
111bp Chapter XVII, Note 25
112ff Chapter XVII, Note 25
112(i), 2nd sentence Chapter XVII, Note 26
112(iii) Chapter XVII, Notes 26 and 38 B
112(iv) Chapter XVII, Note 26
112(iv) Chapter XVII, Note 26 and 38 C
112a (i), 2nd sentence Chapter XVII, Note 38 C
112a (i), 1st sentence Chapter XVII, Note 38 C
112a (ii) Chapter XVII, Note 38 C
114a Chapter XVII, Note 38 D
115(i) Chapter XVII, Note 38 D
115(ii) Chapter XVII, Note 38 D
115(iii) Chapter XVII, Note 38 D
115(iv) Chapter XVII, Note 38 D
115a (i) Chapter XVII Note 38 D
117 Chapter XVII, Note 38 D
117(i) Chapter XVII Notes 26 and 38 D
117(ii) ChapterXVII, Note 26
117(iv) Chapter XVII, Note 26; Chapter XVII C
117(v) Chapter XVII, Note 26
118 Chapter XVII Notes 26 and 38 D
118(i) Chapter XVII, Note 38 D
120(i), 1st sentence Chapter XVII, Note 26
125(i) Chapter XVII, Note 38 A
516

128(i) 178
128(ii) 179
131 Chapter XVII, Note 38 E
133 Chapter XVII, Note 38 F
135 Chapter XVII, Note 38 F
136 Chapter XVII, Note 38 H
136(i), 2nd sentence Chapter XVII, Note 38 H
136(i), 3rd sentence Chapter XVII, Note 38 H
136(ii) Chapter XVII, Note 38 H
136a Chapter XVII, Note 38 H
137(i) 177, Chapter XVIIC
137(i), 2nd sentence Chapter XVII C
138 Chapter XVII C
138ad Chapter XVII C
140(i) Chapter XVII C
140(ii) Chapter XVII C
141ff Chapter XVII Note 29
141(iii) Chapter XVII C
142(i) Chapter XVIIC
143 Chapter XVII C
145 Chapter XVII C
146, 1st sentence Chapter XVII C
147 Chapter XVII C
148 Chapter XVII C
149 Chapter XVII C
151295 175
153(i) Chapter XVII, Note 40 A
153a (i) Chapter XVII Note 40 A
153c Chapter XVII, Note 40 A
153d Chapter XVII, Note 40 A
154(i) Chapter XVII Note 40 A
155(i) 175, Chapter XVII A
155(ii) 175, Chapter XVII A
157 Chapter XVII, Notes 42 and 44
517

163a (i) Chapter XVII, Note 38 G
163a(iii) Chapter XVII, Note 22
163a (iii)/(iv) ChapterXVII, Note 38 H
163(a) (iv) ChapterXVII, Note 38 H
163(a)(v) ChapterXVII, Note 22
163b ChapterXVII, Note 24
163d ChapterXVII, Note 25
168(c)(i) ChapterXVII C
169a Chapter Chapter, Note 38 G
171177 Chapter XVII, Note 40 B
174(ii) Chapter XVII, Note 40 C
212a(iii) Chapter XVII, Note 48
212b (i) Chapter XVII, Note 43
226275 179
244257 Beweisaufnahme
244(ii) Chapter XIII, Note 10 5
244(iii) Chapter XIII, Note 9 4
259(i) Chapter VII,Note 18
261 Chapter XIII, Note 10 5
296358 175
333 Chapter XIII Note 133
358(i) Chapter XVI Note 14
359373a 175, Chapter XVI, Note 5
374406h 175, 180
374394 180
380(i) Chapter XVII H
395402 180
403406c 180
406d406h 180
518
407412 180
407448 175,180
407(i), 4th sentence Chapter XVII, Note 41
413416 180
430443 180
444 180
449463d 180
449473 175,180
464473 180
465 Kostennoflicht
StVG
7(ii) unabwendbaresEreignis
TVG
UWG
1 Chapter VIII, Note 20 G
3 Chapter VIII, Note 20 G
13(ii) Chapter VIII, Note 20 G
14(i) Chapter VIII, Note 20 G
WG
VwGO
40(i) 164, Generalklausel, Chapter VII, Note 10;
519
42(i) Chapter XV, Note 7, Verpflichtungsklage

42(ii) Chapter XIV, Note 23 C, Chapter XV, Note 12
43(i) Chapter XV, Note 7
44a Chapter XIV, Note 13
47(i) Normkontrollverfahren Chapter XIV Note 24;
Chapter XV, Note 5
47(vi), 2nd sentence Chapter VII, Note 13
80(i) 160
80(ii) Chapter XIV, Note 23 B and C
80(ii) Nos 13 Chapter XIV, Note 23 B and C
80(ii) No 4 Chapter XIV, Note 23 B and C
80(iii) Chapter XIV, Note 23 B
80(iv) Chapter XIV, Note 23 D
80(iv), 3rd sentence Chapter XIV, Note 23 C
80(v) Chapter XIV, Note 23 C and E
80(v), 1st sentence Chapter XIV, Note 23 C
80(v), 3rd sentence Chapter XIV, Note 23 C
80(v), 4th sentence Chapter XIV, Note 23 C
80(v), 5th sentence Chapter XIV, Note 23 C
80(vi) Chapter XIV, Note 23 C
82(i) Chapter XII, Note 96
84(i) Chapter XV D
84(iii) Chapter XV D
86(i) Chapter XIII, Notes 4 and 96; Chapter XV, Note 17
86(ii) Beweisverfahren
88 Chapter XV Note 18
90(i) Chapter XIII, Note 96
100 Chapter XV D
101(iii) Chapter XV D
107 Chapter XV D
108(i) Chapter XV D
113(i), 2nd sentence Chapter XIV, Note 23
113(i), 4th sentence Chapter XV, Note 7
113(iv) Chapter XV, Note 14
520
114 Ermessnsfehler, Chapter XIV, Note 32

122 Chapter XV D
123 Chapter XIV, Notes 23 C and E and Note 34
123(v) Chapter XIV, Note 23
VwVfG
18 158
1(i) 158
1(iii) 158
1(iv) 158
2 158
2(iii) No 1 Chapter XIV Note 5
48 Chapter XXI Note 1
4 Chapter XXI Note 1
7(i) Chapter XXI Note 1
7(ii) Chapter XXI Note 1
934 158
9 158
10 158
10, 2nd sentence Chapter XIV, Note 8
1130 158
22,1st sentece 159
23(i) Chapter XIV, Note 8
24(i) 159, Chapter XV, Note 17
25 159
28 159, Chapter VIII, Note 36
29 159
30 159
3553 158
43 (ii) Chapter VIII,
Note 8; Chapter XIV, Note 19
43(iii) Chapter XIV, Note 20
44(ii) Chapter XIV, Note 20
5462 158
6371 158
6378 158
7980 158
521
WEG
WiStG
WStG
ZPO
111 118
149 118, 119
1252 115,118
1 118, 119
29 119
1237 118, 119, Chapter XIII, Note 28
1317 Chapter XX C 2
13 Chapter X B 1 2; Chapter XIII, Note 28; Chapter XIII D 8 (e);
Chapter XX C; Sitz
16 Chapter X, Note 9; Chapter XIII D 8 (e)
2426 Chapter XIII, Note 28.
29 Chapter XIII, Note 28; Chapter XX C 2
29(ii) Chapter XX C 2
32 Chapter XX Note 24
3840 118
38(ii) Chapter XX C 2
38(iii) Chapter XX C 2
39 Chapter XIII, Notes 47 and 114
4149 118
42(ii) Besorgnis der Befangenheit
43 Besorgnis der Befangenheit
44(iv) Besorgnis der Befangenheit
522
47 Besorgnis der Befangenheit

5058 118, 120
50127a 118, 120
50 121
50(ii) Chapter XI A 6
51(ii) 121
52 121
5963 118, 121
61 122
62(i) 122
6477 118, 122
64 122
66(i) 122
67 122
68 122
72(i) 122
74(iii) 122
75 122
76 122
7890 118, 122
78 123, 125
79 123
80(i) 124
81 124
83(i) 124
85 124
88 124
90 123, Chapter XVII, Note 29
91101 125
91107 118, 125
91127a 125, Chapter XIII, Note 26
91 (i), 1st sentence 125
93a Chapter XIII, D 6 (b)
103107 125
108113 119
108 147
114127a 118, Prozekostenhilife
121(iv) Chapter XIII, Note 55
128165 118, 125
128252 118, 125
128(i) Chapter XIII C F; Chapter XIII D 1 (g) (i)
128(ii) 116
128(iii) 116
128(iii), 1st sentence Chapter XIII D 2 (d)
128(iii), 4th sentence Chapter XHI, Note 125
129133 125
130 No 1 Chapter XIII D 2 (c) (i)
523

134135 125
136140 125
136(i) Chapter XIII D 2 (c) (vii)
136(ii) Chapter XIII D 2 (c) (vii)
136(iii) Chapter XIII D 2 (c) (vii)
136(iv) Chapter XIII D 2 (c) (vii)
137(i) 133, Chapter XIII D 2 (c) (vii)
137(ii) 133,
137(iii) 133, Chapter XIII, Note 64
138 116
138(i) 125
138(ii) 125
138(iii) 125
138(iv) 125
139 115, 126, 133, Chapter XIII, Notes 67, 69 and 116
141155 126
141(i), 1nd sentenceChapter XIII, Note 113
141(i), 2nd sentenceChapter XIII, Note 113
142(iii) Chapter VIII, Note 18
145 Chapter XIII D 2 (c) (iii )
146 Chapter XIII D 2 (c) (iii); Chapter XIII, Notes 52 and 119
148155 Chapter XIII,Note 82
156 Chapter XIII D 2 (c) (vi)
157 Chapter XIII D 1 (f) (iv); Chapter XIII, Note 116
157(i) Chapter XIIID 1 (f) (iv)
157(ii) Chapter XIII D 1 (f) (iv)
159165 126
16207 126
66213a 118, 126
166 126
170 126
170(i) 129
173178 126
174(ii) 129
175(i) 127
180 127
188(i) 126
190192 126
193197 126
198(i) 126, Chapter XIII C C
198(ii) 126
207 ChapterXIII, Note 74
208213a 126, 129
524
208 126
209213a 126
211 126, 129
212 129
212a 129
214229 118, 127
214 117, Chapter XIII C F
216 Chapter XIII C F
217 132
220(i) 133
223224 127
227(i) 127
230238 119, 127
236(ii) Chapter XIII Note 78
238(iii) Chapter XIII Note 78
239252 119, 127
246 128
249 128
251 128
251a 127, Chapter XIII Note 83
253(i) Chapter XIII Note 79
253299a 128, 129
253494 128, 136, 138, 140, Chapter XIII D 6 (b) 1
253510b 115, 128
253(i) 129
253(ii) No l Chapter XIII D 2 (c) (i)
253(ii)No2 129, 130
254 Chapter XIII, Note 96; Chapter XIII D 2 (c) (iii); Chapter XIII D 6 (b)
256(i) 130
260 Chapter XIII D 2 (c) (iii) (Note 102)
261(iii) No 1 Chapter XIII, Notes 71 and 101
270 Chapter XIII C C
270(i) 129
270(iii) 127
271 129
271(ii) 132
272(i) 116
272(ii) 131
272(iii) 116
273 132, Chapter XIII, Notes 69 and 116
274(i) 132
274(iii) 131, 133 Chapter XXI, Note 7
525
275 131
275(i) 131, Chapter XIII, Note 107
275(ii) 131, Chapter XIII, D 2 (c) (iv)
275(iv) 132
276(i) 132
276(ii) 132
276(iii) 132
277(ii) 132
277(iii) 132
277(iv) 132
278(i) 133
278(i), 2nd sentence Chapter XIII, Note 115
278(ii), 2ndsentence 133
278(iii) Chapter XIII, Notes 69 and 116; Chapter XIII D 2 (c) (vi)
278(iv) Chapter XIII, D 2 (c) (vii)
279 Chapter XIIID 2 (c) (iv); Chapter XVII (Note 52)
279(i) Chapter XIII, Note 70; Chapter XIII D 2 (c) (v)
282(iii) 133
284 133
285 133
286(i) 116
286(ii) 116, Chapter XXII, E
293 Chapter XX D
294 Chapter XIII, Notes 9 and 78; Chapter XIII D 8 (d)
295(i) Chapter XIII D1 (f) (i) (Note 42)
295(iii) Chapter XIII, D 1(f) (i)
296(i)(iii) 133
296(i) 132
296(ii) 133
296a Chapter XIII, D 2 (c) (vii)
297(ii) 133
299 Chapter XV D
300329 128
300 116
300(i) 131, Chapter XIII D 2 (c) (iv) and (vii)
301 Teilurteil
526
302 Vorbehalsurteil
303304 Zwischnurteil
307(i) Chapter XIII D 2 (c) (iv), Chapter XIII, Note 107
309 116
310 117
310(i) Chapter XIII, D 2 (c) (vii)
313(i) Urteil
318 117
322(i) 117, Chapter XIII, Note 101
330347 128, Chapter XIII, Note 116
330 127, 131, Chapter XIII D 2 (c) (iv)
331 127, 147
331(i) 131, Chapter XIII D 2 (c) (iv)
331(iii) 127, 132
333 Nichtcverhandeln Chapter XIII, Notes 80, 114 and 116
338 117
348350 128
348(i) 129
355484 Chapter XX D
355370 128
358 Chapter XIII, Note 9, Beweisaufnakme
359 Beweisbeschlu
371455 Beweismittel
371372a 128
373401 128
402414 128
415418 Chapter XIII E
415(i) Chapter XIII E
415(ii) Chapter XIII E.
416 Chapter XIII E
418(i) Chapter XIII E.
415444 128
445455 128
478484 128
484 Bekrftigung
485494 128
495510b 128, 134, Chapter XIII, Note 55
527
495 128
495a 134
496 134
504 Chapter XIII, Note 69; Chapter XIII D 2 (d)
511544 135, 136
511577 115, 135
511 136
511a 136
516 136
519 136
519b Chapter XIII D 3(a)
521 Chapter XIII D 3(a)
522(ii) Chapter XIII D 3(a)
523 136
525 136
527529 137
536 Chapter XIII D 3(a)
545566a 137, 138
546(i) 137
549(i) 186, Chapter XX D
550 138
551 138, Chapter XIII Note 136
552 138
553 138
554(ii) 138
554a 138
554b Chapter XIII Note 134
557 138
559(ii), 1 st sentence 138
561(i) 138
563565a 138
564 Chapter XIII D 3 (b)
566a Chapter XIII Note 133
566a(iii) Chapter XIII Note 133
567577 138
567 138
568 Chapte XIII, Note 140
571 138
577 138, Chapter XIII Note 141
578591 115, 139, Chapter XIII, Note 15
579 139
580 139
592605a 115, 139
599 Vorbehalsurteil
606606a XIII D 6 (b)
528
606620g 139
606638 139
606644 115, 139
606 139, 140, Chapter XIII, Note 28; Chapter XIII D 6 (b)
606a Chapter XIII D 6 (b)
608 Chapter XIII D 6 (b)1
611 Chapter XIII D 6 (b); Chapter XIII, Note 123
613 Chapter XIII, Notes 113 and 115; Chapter XIIID 6 (b) 1
615 Chapter XIII D 6 (b); Chapter XIII, Note 120
615(ii) Chapter XIII D 6 (b)
616(iii) Chapter XIII D 6 (b)
620620g Chapter XIII D 6 (b)
620 Nos 14 Chapter XIII D 6 (b)
620 No 5 Chapter XIII D 6 (b)
620 No 6 Chapter XIII D 6 (b)1
620 Nos 7 and 8 Chapter XIII D 6 (b)
620 No 9 Chapter XIII D 6 (b)1
620a (i) Chapter XIII D 6 (b)1
620a (ii Chapter XIII D 6 (b)1
620b(i) Chapter XIII D 6 (b)1
620b (ii) Chapter XIII D 6 (b)1
620c, 1st sentence Chapter XIII D 6 (b)
620c, 2nd sentence Chapter XIII D 6 (b) 1
620f Chapter XIII D 6 (b)1
621621f 141
621(i) 141, 144, Chapter XIII D 6 (b)
621(ii), 2nd sentence 142
621(iii) 142
621af Chapter XIII, Note 153
621a 142
622630 144
622 144
623(i) Chapter XIII D 6 (b)
629(i) 146...
629d Chapter XIII D 6 (b)
630(iii) Chapter XIII Note 159
631638 146
640-641k 139
529
640(ii) Kindschaftssache
641l 644 139, 145
642644 145
688703d 115, 146
689(i) 119
689(ii), 1st sentence Chapter XIII, Note 22
689(ii), 2nd sentence Chapter XIII, Note 22
693(ii) 123, Chapter XIII, Note 23
696(i) 117
699 117
700 117
703d Chapter XIII, Note 22
704802 146
704945 146
704 146
705706 147
707 149
708710 146
708720a 147
708 147
709 147
710 147
711714 147
711 147
712 147
717 148
717(i) 148
717(ii) 148
719 147, Chapter XIV, Note 23 A
720a 147, 148
720a(i) 148
721 148
724734 148
724(ii) 148
725 148
731 149
732 149
732(ii) 149
733 148
735745 148
736 Chapter XI C 3 (b) (iii)
747749 148
750751 148
750(iii) 148
751(ii) 148
753765 148
530

755 Chapter XIII D 8 (c) (v)
764 148, Chapter XIII, Notes 32 and 180
764(i) 119
765a 147
766777 148
766 149, 151,Vollstreckungserinnerung
767 149, 151, Chapter XIII D 8 (c) (v)
767(i) 149
767(ii) 149
767(iii) 149
768 149, 151, Chapter XIII D 8 (c) (v)
769(i) 149
769(ii) 149
771 Chapter XIIID 8 (c) (v); Chapter XIII, Notes 174 and 184
771(i) Chapter XIII D 8 (c) (v)
775 149
776 149
778785 148
88792 149
793 148, Chapter XXII, Note 29
794801 146
794(i) 131, 146
794(i) No 1 Chapter XIII D 2 (c) (iv)
794(i) No 5 Vollstrekabre Urkunde
794a 148
803807 150
803863 150
803-882a 146, 150
803(i) 150
804(i) Chapter X, Note 280 C
807 Chapter XIII D 8 (e)
807(i) Nos 3 and 4 Chapter XIII, Note 193
808827 150
808(ii) Chapter XIII D 8 (c) (v)
828863 150
829(ii) Chapter XIII D 8 (c) (v)
531

864371 150
872882 150
882a 150
883898 146, 152
883886 Chapter XIII D 8 (d)
883 153, Chapter XIII D 8 (d) and (e)
889 Chapter XIII D 2 (c) (iii) (Note 96); Chapter XIII D 8 (d)
890 Chapter XIIID 8 (d)
899915 146, 153, Chapter XIII D 8 (e)
899 Chapter XIIID 8 (e)
900(ii) Chapter XIIID 8 (e)
900(iii) Chapter XIIID 8 (e)
900(iv) Chapter XIIID 8 (e)
901 Chapter XIII D 8 (e)
903 ChapterXIII D 8 (e)
915a Chapter XIIID 8 (e)
916945 146, 154, Einstwelige VerFgugng
916(i) Chapter XIIID 8 (f)
917 Chapter XIIID 8 (f)
917(i) Chapter XIIID 8 (f)
920 Chapter XIII, Note 9; Chapter XIV, Note 23 E
920(ii) Chapter XIII D 8 (d) and (f)
921 Chapter XIII D 8 (f)
929(ii) Chapter XIII D 8 (f)
930(i) Chapter XIII D 8 (f)
935ff Chapter VIII, Note 20G
935, 940 analogously Chapter XIII, Note 149
936 Chapter XIII, Note 9; Chapter XIII D 8 (d) and (f)
945 Chapter XIV, Note 23 C and E
9461024 115, 155
989ff 155
10251048 115, 155
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 Where referred to: Chapter(s) & Note(s)
Statute of Frauds 1677 Chapter X, Note 177 B
Bills of Sale Act 1882 Chapter X Note 257
Law of Property Act 1925 Chapter X, Notes 177 B and 234 C
Consumer Credit Act 1974 Chapter X, Note 238
Sale of Goods Act 1979 Chapter X Notes 185, 234 B and 260
Supply of Goods and Services Act 1982 Chapter X Note 234 B
Civil Jurisdiction and Judgments Act 1982 Chapter X Note 8
Foreign Limitation Periods Act 1984 Chapter X Note 92
Child Abduction and Custody Act 1985 Chapter XXI, Note 4
Consumer Protection Act 1987 Chapter X Note 126 J
Law of Property (Miscellaneous Provisions) Act 1989 Chapter X, Note 177 B
Extradition Act 1989 Chapter XXI, Note 17
Contracts (Applicable Law) Act 1990 Chapter XX, Note 12
Private International Law
(Miscellaneous Provisions) Act 1995 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 legal 30, 12324,

Abstraction 248n27, 292n57
principle 44, 73, unauthorised 248249n31
276nn245246, 278n260 Agreement
Accusation See Einigung
principle 175 Amtsgericht
Accused, (district court) 128, 134135,
rights of 175, 177, 318nn2728, 320n38d 292n55
See also Suspects admission/registration
Actus reus 168 of lawyers 204205, 216
Administration appeals against 135136, 205
carriers of applications to 117, 177
(Verwaltungstrger) 56 functions 291n32, 337338n37
federal 56, 9, 11, 157 jurisdiction 119, 153,
judicial 207 289n22, 291n47
of Lnder 14, 229n10, Anfechtung (challenge)
229n7 See Verwaltungsakt; Willenserklrung; Wills
levels of 11, 14 Anspruch
Administrative law 25, 157162 See Claim(s)
courts 206, 237n10, Antragsdelikte
304n5 (prosecutions on
federal statutes 157158 application) 176, 315n9
procedure 163165 Anwaltszwang
Advice, legal See Legal representation: mandatory
position of Anweisung (documentary
271n215 instruction) 54, 69
AG (Aktiengesellschaft= Appeals 117, 120, 135139,
public limited 289n15, 336n19
company) 97, 98, 99, grounds for 136137, 137138
111, 286n11, 324n2a Arbeitsgericht
AGBG (standard See Courts: employment
business terms) 3741, 254nn8183 Arbeitsschutzrecht
exceptions 3738, 39 See Health and safety
incorporation 38, 254n84 Arbeitsvertrag
interpretation 3839, 254n85 See Contracts: of employment
(in)validity 39 Arbitration agreements 155
remedies 41 Arrest (Ger)
scope 39 See Seizure
statutory control 4041, Arrest (of suspect) 177, 319n36
254nn8687 grounds for 320321n38a-c
Agents warrants 178179, 318n26,
business 104, 249n31, 319n38a, 320nn38d40
285nn4043 Assets 246n12
553
disclosure of 143, 153154, status of 17

301nn154155 Basic rights
land 152 (Grundrechte) 2123, 241243n20
movable vs equality of treatment 22, 243n22
immovable 71, 150, 246n11, European Charter 222n7
274nn232233 hierarchy 240241n10
protection of 272n219 infringements of 22
seizure of limitations 2122, 241nn1315,
See Arrest; Pfndung 244n26
Aufgebotsverfahren (claim listed 2223, 244n36
notification procedure) 155 personal
Auftrag, Geschftsfhrung ohne development 22, 242n20b-c
(transaction without instruction) relation to
See Rechtsgeschft private law 21, 23940n7
Auslieferung Bavaria 206, 227n14
See Extradition Bedingungen
Autonomy, principle of 29, 248n23 (conditions) 3637, 254nn7475
AVAG (international law on Berlin Wall,
recognition and shootings at 308nn3b-4, 309n13,
enforcement) 336n13 310n23b, 311n34, 313n58
Berlin will 86, 281n305
B
Berufung
Bailiffs, rights/
(general appeal) 135137, 300n133
duties of 129, 148, 151,
Berufungssumme
153154, 295n88,
(appeal value) 136
302n180, 304n193
Beschlu
Banks/bank accounts 67,
See Court orders
271n211, 271n215, 330n36
Beschwerde (form of appeal)
Barristers
See Complaints
See Rechtsanwalt
Besitz (possession) 73, 277n257
Basic Law (GG=
Betrieb (works) 183
Grundgesetz) ix, 5, 67, 229n5,
Betriebsrat (works council) 18385
231232n23, 239n2
Betting 54
breaches of 1819
BGB (Brgerliches Gesetzbuch
disputes over-
=Civil Code) ix, x, 25, 2795,
interpretation 19
257n109
divisions of 17, 236237nn24
principal divisions 27
and international
Book I: allgemeiner Teil
relations 8
(general part) 2744, 45
and Lnder 1314, 18
Book II: law of
and law of succession 82
obligations 27, 4471
and local government 1516
Book III: law of
and procedure 115
property 27, 7180
and state power 7, 231n20
554
Index
Book IV: family law 27, 8081 Constitutional Court) 1819, 229n7,
Book V: law 237239nn1420
of succession 27, 8195 Burden of proof
and commercial law 97100, 109 administrative law 165
definitions of terms civil law 116, 260261n126ij,
used in 2730 288n10
institution (1900) 3 contracts for services 266n166
and international law 195199 criminal law 288n10.5
on Rechtsgeschft 3041 employment law 325n14
Bonds 54, 69, 191, property rights 273n222b,
330n33 279n266c
BRAO (Bundesrechtsanwaltsordnung Brgerliches Recht
=Federal Lawyers See Civil law
Ordinance) 207217 Business law
Bund (Federal Republic) See Commercial law; Wirtschaftsrecht
administration 11, 157 Business terms, standard
constitution 5, 17, 22829nn23 See AGBG
(See also Basic Law)
C
decentralisation
Children
of power 5, 228229n3a
See also Minors
disputes between
custody/access 141142, 144,
departments 19, 239n19
145, 302n158, 335n4
executive organs 56, 11, 229n8,
inheritance 82, 86, 88
230n11
international law 335nn45
formation 227n15
kidnapping 335n4
institutions 6, 230nn1112, 234n2
maintenance 141143, 144, 145,
jurisdiction 329n1
224n11a, 302n149, 302n154,
legislature 9, 233234nn15,
302n156, 334n5
241n15
Cicero 225226n9
ministries 157, 207
Civil Code
relationship
See BGB
with Lnder 5, 19, 228n2,
Civil law 25, 2796
229nn67, 235n7
See also Procedure
Bundesgerichtshof (Federal
European 223n10b, 224n11b
Supreme Court) 120, 205206,
international 195202
335n4
lawyers fees 214
appeals to 120, 137138,
reform 224n11b-c
300301nn133134,
Civil servants 273n224
301n138
See also Rechtspfleger
Bundesrat (Federal
Claim(s) (Ansprche)
Council) 9, 233234n3
See also Klage
Bundestag (Federal
amendments 250251n47c
Parliament) 9, 233234n3
arising out of
Bundesverfassungsgericht (Federal
555
ownership 77, 278280n266 Constitutional law 25

compulsory Consumer law 55, 59, 6566
entitlement 9192 EU 223224n11a
defence to 29, 247n20 protection of rights 37, 41, 108109
definition 29, 246n16 Contracts
grounds for 70, 262263n135 third parties 48
norms 246247n18 Contract(s) (Vertrge)
right to 275n236 as basis of law
time limits 4244 of obligations 4445, 255n101,
types 247n18 256n104, 256n106
Commercial Code breach of 258259n126c,
See HGB 265n166, 268n188
Commercial law 25, 97109 challenges to 325n7
See also Wirtschaftsrecht conclusion 29, 3436, 248n23,
and AGBG 39 253n60, 264n166
agents 104, 285nn4043 conditions of 36
bookkeeping 107108 of employment 102103, 181183,
chamber 295n75, 323n1,
(Handelskammer) 119, 203 324n6, 328n60
employees 102103 estate 87
GmbH 111114 EU law 224n 11b
Law against Unfair freedom of 29, 37, 248n23,
Competition 243n20g 262n132
liability 99100, 105106, of instruction 6667, 272n215
111112 invalidity 248249n31
and obligations 68 liabilities regarding 258261n126,
transactions 108109 258nn11819
Common law xi, 225n3, 225n6, obligations
227n13 regarding 4748, 250251n47c,
Company law 257258nn11516
See Commercial law; Gesellschaft; GmbH offer and
Compensation 258nn118119 acceptance 35, 253254nn6571,
Competition 189, 330n9 265n166
employee/employer 10203 rental 5859
unfair 243n20g rights of rescission 4850
Complaints (Beschwerden) 137138, of sale 274n234,
301nn140141 276n245,
constitutional 1819, 235n4, 276nn237238
237239nn1418 of service 65, 113114,
Compulsory 264n159, 322n1,
entitiement 9192, 281n321 324n6, 328n60
withdrawal 92 for services 43, 6566,
Constitutional courts 1819, 237n10 264267n166, 264n159, 278n264,
556
Index
324n6, 328n60 261262n127

of surety 54, 69, 267n177 Criminal Code
third parties 262263n135 See StGB
travel 66 Criminal law 25, 167174
types 256n104, 256n106, See also Offences
264265n159 commercial
Costs 125, 293n63 (white-collar) 190, 329,
See also Fees 338n37
of criminal law 180 counsel 176178
of enforcement 149 courts 176, 314n4, 315n7, .
notaries 218 338n37
Counsel (in criminal cases) general principles 167, 309n6
See also Rechtsanwalt 176178 injured party,
Court orders 73, 117, 137 involvement of 180, 322n51
appeals against lawyers fees 214
(Beschwerden) 138139 main proceedings 177178, 179,
family law 140141 323n43
Courts 118, 119120 preliminaries
accessibility 25, 116, 165, 237n10 to trial 316nn2226
administrative 163, 164165, procedural maxims 175, 287n5, 314n6
206, 237n10, procedure 175180, 314nn23
303n5, 338n42 prosecutions 176, 314n11,
of appeal 120, 135139 314n9, 315n14
constitutional 1819, 229n7, 237n10 punishment 173174, 180, 309n8,
criminal 176, 315n4, 315n7, 313n63, 313n65, 313n73,
338n37 314nn8182, 321n41
employment 206 responsibility
enforcement 147, 148, 149, 153 See Schuld
family 140, 291n31 statute based 167, 308n3, 308n6
hierarchy 1819, 135136, Culpa in contrehendo 263n135b-d,
140, 205206 269n188
international law 198199
D
jurisdiction 119
Damages, claims for 209, 218
juvenile 313n40
grounds 70, 102, 224n11b,
preparation
258n119, 272n220,
for hearings 132
273n222
probate 95
pain and
special types 206, 339n38
suffering 70, 274n227
Creditors/debtors 7830
third parties 70, 274nn226227
and enforcement 146155, 224n11a
Darlehen
and inheritance 94
See Loans
multiple 53
Debtors
time limits 4244, 255n98,
See also Creditors/debtors
557
compulsory declarations 304n193 and Betriebsrat 183, 326n26,

protection of 147148 326n30
substitution of 5253, 264n157 categories 323n2
Defamation 242243n20d-f, competition with
311n35 employer 102103
Democracy contracts 65, 102103,
basic principles 78 181183, 324n7a
role in law making 221222nn45 dismissal 182, 185,
Deportation 202 324nn1011,
Dienstgericht (supervisory/ 325nn1314, 326n46
disciplinary court) 204 exclusions from
Dingliche(s) Recht(e) definition 326n23
See Rights: real protection 103, 182, 186188,
Directors 325n13, 328nn6165
See GmbH Employers
Discretion bankruptcy 183, 327n20
See Ermessen and Betriebsrat 184, 326nn3637
Distraint contracts 181183
See Pfndung liability 187188, 272n222a-b,
Divorce 144145, 224n11a, 328nn6165
302n156, 302n159160 Employment law 181188, 265n159
Doctors 288n10.4 accidents 187188
Betriebsrat 183185
E
coalitions 186
E-commerce Law 223n11a, 252n54
contracts 102103, 181183,
EGBGB (Einfhrungsgesetz
322n1
(introductory note)
courts 206
zum BGB) 195199
health and
Ehegatte
safety 186187, 328
See Spouse
industrial action 184, 186,
Ehesachen
326, 327n53
(marriage matters) 139142, 144145
lawyers fees 214
and international law 196, 332n11
tariff agreements 186, 327n52
Eidesstattliche Versicherung
Enforcement 146155, 302n171
(assurance in lieu
duplicate
of oath) 153
(documenting
Eigentum
judgment) 148, 151
See Ownership
land 152
Einigung (agreement/
money claims 146, 150152,
consensus) 3436
153, 154155
in family law 144, 302n159
organs 148
in property law 277n256b
(See also Bailiffs)
Employees
preventive 147148
558
Index
property claims 146, 152154 legislation,

suspension 149 examples of 223224n11a,
English law 252n54
See British Rome Convention (on
Enlightenment (C18) 2 contractual
Erbengemeinschaft obligations) 332nn1220
See Heirs: community of rules of evidence 335n9
Erbfolge service of process 335n7
See Inheritance, modes of unification of
Erbschein (certificate legal system vii, xxi,
of inheritance) 9495, 282n343 223224nn10b-12
Erbvertrag vs domestic law 201, 202,
See Contract(s): estate 211, 221222n5, 222nn79,
Erfllung (fulfilment, 230n12, 232233n34,
of obligation) 45, 5152 232n31, 308n3c
Erlaubnis (permission), Evidence
grant of 161162, 190, documents in 219
307n29 free (Freibeweis) 199, 333n28
Ermessen (discretion), items seized as 177, 316n25, 318n30
exercise of 161162, rules of 116, 199, 333nn2728
306nn3135 taking of 116, 130, 133, 199,
Erwirkungshandlungen 287n9, 296n99, 335n9
(See Glossary) 120, 291n39 Executive
Estate(s) See Bund: executive organs
contracts 87 Executors 88, 92, 281n337,
debts of 94 282n342
disclaiming 93 Extradition, 202 308n3d
disposition of 8792
F
European Convention on
Family law 8081, 123,
Human Rights 222n7, 232233n34,
135, 139145
237n9, 308n4
appeals 136
European Court
courts 140, 291n31
of Justice vii, 231n19, 340n74
foreign decisions 301302n148
European Union 221225nn413
and international law 196197
Civil Code
maintenance 142144, 302n149,
(proposed) x, 224n11b,
302n154
227n13
marriage 139141
cooperation between
temporary orders 140141, 302n149
member states 334335nn56,
Faulty goods,
334n1
liability for 55, 261n126j,
debt law 302n163, 302n171
269n189
family law 301302n148
Federal Republic/
jurisdiction within 199
federal institutions
Lawyers Code 211
559
See Bund(es-); Germany Genehmigung (approval)

Fees, lawyers 213216 See Erlaubnis
administrative/ Genossenschaft
finance cases 214 (cooperative society).
agreements 341nn101102, German language
342n111 characteristics of 282n5 ix, 221nn34
calculation 213215 as language of courts 241n18,
civil cases 214, 341nn9597 277n256a
claiming 215, 342n105 Germany
criminal cases 214, 341n100 defence 303n1
employment cases 214 electoral system 7, 232n26
framework 215 foreign relations 8, 201202, 232n31
legal aid 215, 342n111 government 59, 11, 157,
level 215, 341342nn101102 228229nn37,
reform 216 233234nn15
Fernabsatz (long-distance history of law in ix, 13, 221nn12,
transactions) 56, 223n11a 314n3
Feuerbach, Paul Johann legal system
Anselm 227n14 See Separate main heading
Foreign law, role in German literature of 2, 226227n11
legal process 199, 340n74 reunification 13, 234n1
Foreign relations 8 study of law in 221n1
and AGBG 39 Gesamtrechtsnachfolge
Foreign residents 126127 See Succession: universal
Formal vs Geschftsanteil
material law 26 See GmbH: capital
Freedom(s), right to 78, 21, 2223, Geschftsfhigkeit (ability to
239n4, 244n26 undertake
Freiheitliche demokratische legal action) 3031, 33, 67,
Grundordnung 78 245n5, 256n106
Fundamental principles and GmbH 112113
(of German law) 67 of parties 120, 121
See also Basic Law (Grundgesetz) Geschftsgrundlage (basis
of transaction) 251n47d
G
Gesellschaft (company)
Gemeinde(n)
See also Commercial law; GmbH
See Local authorities
bookkeeping 107108
Gemeinschaft
definitions 9799, 104
(community) 54, 68, 282283nn1314
domicile 246n7, 290n28c,
defined 9798
291n48
of heirs 8788, 282n311
formation 9899, 105
Gemeinschaftliches Testament
liability 99100, 105106,
See Wills: joint
283n26, 285nn5051
560
Index
management 99100 hearing) 132, 135

members 98, 99100, 105106,
H
282n12, 283n16,
Haftung
283n25, 285nn5051
See Commercial law: liability
termination 106107, 325n7b
(Handels-)Vertreter
trading 104107
See Agents
types 97, 104, 282nn45,
Handelsgeschft(e) (commercial
283n17
transaction(s)) 108109
Gestaltungsrechte (Rights
Handelsgesellschaft
of formulation) 29, 247n19
See Gesellschaft: trading
Gewerbe (type
Handelsregister
of business) 189190, 284n31
(trade register) 101, 285n32
Globalisation. 332n12
Handicrafts 329n16
GmbH (limited
Hauptverhandlung (main
liability company) 25, 97, 111114
hearing, criminal cases) 179
capital 112, 286nn89
Health and safety
directors 113114, 286n13,
(workplace) 186187,
287n15, 324n2a
328nn665
domicile 283n20
compulsory
formation 9899, 111
measures 186, 327nn5657
lawyers 342n116
Hearings 125128, 131135
legal status 112113
in administrative
liability 111112
courts 164165
organs 112113
alternatives to 135
registration 112
in Amtsgericht 134135
GoA (transaction without
fixing of date 132133
instruction)
interruption 127128
See Rechtsgeschft
in Landgericht 131134
Goethe, Johann
oral principle 116, 117, 125
Wolfgang von 2, 226227n11
preliminary 131132
Good faith (Glauben)
preparation for 132
in business transactions 108109
preparatory
in court proceedings 37, 120
pleadings 125, 292n64
in transfers of
procedure 133134, 300n120
ownership 76
publicity 116, 288n8
Grotius, Hugo 12, 225226n9
time limits 127, 128, 131133,
Grundgesetz (GG)
294n78, 299n111
See Basic Law
Heirs
Grundrechte
acceptance 93, 95,
See Basic rights
281nn33638
Guarantees 267n177,
appointment 8890
269n188
community of
Gtetermin (settlement
(Erbengemeinschaft) 8788
561
compulsory of obligations 197199, 245n6,

entitlement 9192, 281n321 332n12
disclaimer, right of 93, 95, personal/family 196197
281n332, 281n334 sources 201202
exclusion 90 substitute
legal status 8788 jurisdiction 308n3d
liability for debts 94 vs domestic law.. 195196, 221222nn45,
HGB (Handelsgesetzbuch= 232n31, 330n2,
Commercial Code) 97, 100109 331nn67
principal divisions 100 Interpreter/translator,
Historical school (of legal employment of 241n18,
thought) 278n256a, 336n9
See Theories
J
History (of German law) 13, 225n7,
Judges 20305
227nn1415, 314n3
appointment 20304, 335n5,
Hobbes, Thomas 226n10
336n17
Holy Roman Empire 1, 225n7
in civil hearings 116, 125126,
Hostelries 54
134, 294n69, 299n116
Human rights 308nn3c-4
in civil
See also Basic rights; European Convention
preliminaries 131132
I in criminal cases 177178, 317n25
Inheritance independence 7, 117, 204
See also Heirs knowledge of law 199, 297n98
certificate of 9495 as law makers 334n2
disclaiming 93 preparation 203, 336nn1011
by disposition on death 83 professional vs
by statute 8283 honorary 203
by will 8487 qualifications 203
Injured party, submissions to
involvement of 180 (from Rechtspfleger) 20405
Innocence, supervision/
presumption of 175 discipline 204, 336338n19
Inquisition principle 175 Judgment
Interest rates 65, 262n128 enforcement 146
Interest theory 25 overturning 117,
International law 25, 195199, 288n15, 289n21
201102 passing of 116, 117, 134,
See also European Union; Germany: 288n15
foreign relations preconditions for 121
cooperation 201, 202, 334n1 Judicial review 237n9, 237n12
enforcement 302n171,335n13 Jurisdiction 6, 119, 135,
extradition 202, 335nn1617 289n28
general principles 8, 195196, agreements 198199, 340n74
233n35 challenges to 291n47
562
Index
criminal law 314n4, 314n7, types 129130, 307n12,

337n37 307n15
family law 140, 291n28f Klagenhufung
international 198199, See Klage(n): multiple
290n28a-b, Kndigung
330nn23 See Termination
national system 1819, 205
L
substitute 308n3d
Ladung (summons
types 205207
to attend) 132133, 179,
Juristic persons
298n113
(juristische Personen) 98, 99, 112113,
Land
273n222c
compulsory sale/
assets 283n16
administration 152, 276n244,
defined 2728
302n185
Justice, administration of 6, 207
natural produce
Justizverwaltung (judicial
(Urproduktion) 189, 329n13
administration) 207
ownership/
K possession 71, 75
Kant, Immanuel 2, 227n12 Register 74, 78, 79, 152,
Kaufmann (businessman) 279n272
definition 101, 246n7, 284n31 rental 6263
powers/restrictions 35, 39, 101102, rights 74, 7778
108109, 198, Lnder (states)
254n71, 285n57 administration 56, 14,
KG (Kommanditgesellschaft 229230n10, 229n7
=limited partnership) 97, 9899, authority 5, 1314, 229n7,
104, 107, 283n18 234235n6, 234n4
domicile 246n7 constitutional order 13, 18
termination 107, 324n7b courts 20506
Klage(n) (plaint/writ) police forces 318n32
in administrative treaties between 8
law 163164, 308n15, Landgericht
307nn1112 (county court) 128134, 205,
amendment 130, 297n100 338n37
consideration 131132, 296n97 appeals to/against 135136
content 130, 296297n96 civil/commercial
in criminal law 175 chambers 119, 203, 338n37
defence to 132, 297n107 Landlords
in employment law 182, 325n17 See Rent
in enforcement cases 151 Lawyers
multiple 130131 See Counsel; Rechtsanwalt
service 129 Leases
settlement, See Rent
attempts at 132 Legacies 87, 92, 280n291
563
Legal aid 215, 342n111 Local authorities

Legal representation 122123, 292n55 (Gemeinden) 1516, 235n1
appointment 132, 177, 209 areas of authority 15, 235236nn57,
in criminal cases 177178 236n11
mandatory 123, 124 Locke, John 226n10
Legal system, German Locus standi
basic principles 58, 205207 See Prozefhrungsbefugnis
characteristics 222223nn810
M
compared to British ix, 222223n10a
Mahnbescheid
reform, need for 222n9
(default notice) 117, 289n23
reforms, undertaken 224n11b-c
Mahnverfahren (default
views of 222223n10a
notice procedure) 117, 146, 289n22,
Legal (trans)actions
302n163, 335n13
See Rechtsgeschft
Mediaeval law/
Leihe (type of lease) 59, 255n95
jurists 1
Leistung (=contractual
Mediation
obligation)
(compulsory) 132, 135
defined 45, 257n115
Mens rea 168
disturbances to
Mental incapacity 30, 84
(Leistungsstrungen) 46, 258261n126
Miete
duties regarding 257258n116
See Rent
in land rights 74
Minors
types 257n111
court representation 121
Liability
criminal
civil servants 274n224
responsibility 171, 312n40
company 99100, 105106,
in family law 8081, 144145
111112, 283n26,
legal capabilities 3031, 33, 84,
285nn5051
248249n31
contractual 258261n126,
Modified subject theory
258nn118119
, See Special rights theory
262263
Mortgages 7880
employers 187188, 273n222a-b
faulty goods 55, 261n126j, 270n189 N
heirs 94 Nachlagericht
legal See Courts: probate
partnerships 217, 343344nn115116 Nationality,
notaries 218, 342n123 significance of 196
public duty, Natural law
failure in 273n222b-d, See Theories
274n224 Negligence 268n183, 271n219
torts 70, 271n219, civil servants 273n224
273274n222 criminal law 171172, 312n50
Loans 6465, 78, employers 188, 273n222,
270nn210211 328n63
564
Index
Norms and international

compulsory vs law 197199, 332n12
dispositive 26, 37, 186, of multiple debtors/
245n6, 327n55 creditors 53
control 163, 306n6 and Rechtsgeschfte 4445
in criminal law 168, 307n1 reform 224n11b
distinguishability rights of rescission 4851
(public/private) 2526 statutory 45, 7071
in employment law 186, 327n55 transfer of 5253
European 224n12 typical examples 5358, 64, 6571
hierarchy 17, 237n7 Offences, criminal
in international law 195, 331nn35, on behalf of others 169170
333n29 consequences 173174
interpretation 161, 306n31 elements of 168172,
procedural 293n69 310311nn1519
role in legal system ix, xi, 227n17 guilt 170172, 310n18,
supplementary 307n1 312n38, 312n40
traffic 273n222e illegality 170
validity 1718, 163, 237nn89, justification
237nn1213 (Rechtfertigung) 170,
Notaries 217219 311n26, 311nn3336
appointment 217, 342n120 by omission 169, 311312nn2324
capacities and types 167168, 309nn910,
duties 218, 277n256a, 309nn1314
281n311 OHG (offene
liability 218, 342n123 Handelsgesellschaft) 97, 9899,
104106
O
domicile 246n7
Oberlandesgericht (county court
termination 106107, 324n7b
of appeal) 120, 135139, 205206,
Orderpapiere (order
300n133, 301n135,
securities) 191192
306n2
Ownership (Eigentum) 71, 7577,
and lawyers
278n265
admission 208209
definitions 75, 274n231
Oberste Landesgericht (supreme
joint 77
county court, Bavaria) 206
transfer of 7576, 275n237,
Obligations (law of) 4471
277nn255256, 277278n260,
basic principles 4445,
279n264, 330n40
25556nn102106,
26465n159 P
content of 4549 Pacht (type of lease) 59
and contracts 45, 4748, 197198, Parliament(s)
332n12 federal 9, 11
discharge of 5152 state 13
Parties (to court
565
action) 118, 120125, and basic rights 21, 239240n7

291n37 Privatisation 157, 230231n15
delays by 133, 300n120 Privatklage (private
joint 121122 prosecution) 176, 180,
Parteifhigkeit 120, 121 316n14, 322n51
requirement Procedure
to attend 133, 299n113 administrative 163165
roles in hearing 125126, 133, administrative
299n115116 vs. civil 165
submissions 125, 133, basic principles 115117, 165,
293n67, 297n97 288288n10
Partnerships civil law 25, 26, 11555
See KG; Rechtsanwalt costs 125
Pensions 54 criminal law 175180
Personal development, documentation 218
freedom of 22, 242n20b-c enforcement 146155
Persons, legal family law 139145
natural vs juristic 27, 121, 248n27 hearings 125128
and obligations 44 inheritance 9395
qualifications 2728, 245246n6 international law 198199, 201202
Pfandrecht (pledge) 80, 280281n280 and parties 120125
Pfndung proceedings at
(distraint) 147, 148, 150152, 154, first instance 128135
281n280c, 281n280c Prozehandlungen 120121,124
Pflichtteil reform 224n11c
See Compulsory entitlement remedying
Police 178179, 316n22, of faults 120121, 292n42
319320nn3234, time limits 42
338n51 Proceedings 118119, 125128
international See also Procedure;
cooperation 334n1 Prozehandlungen
Postulationsfhigkeit conduct of 116117, 125126,
(=right of audience) 124 134, 300n120
Power, state criminal 179, 315,n20
derivation 7 321nn3940, 322n43
horizontal separation 7, 231n22 at first instance 128135
Power of attorney interruption 127128, 295n71
See Vollmacht judgment vs
Precedents 117 enforcement 116, 125
Prison sentences 167, 173 lawyers fees 214
Private law recording/
(Privatrecht) 25, 245n1 televising of 287n8
See also Civil law; Commercial law; reopening 117, 134, 139,
Company law 290n21, 300n123
566
Index
special types 116, 180 admission 208209, 339340n59,

Procura 101102, 285nn3437 339n61
Product Liability Law and clients 209, 339n70,
(ProdHaftG) 261n126j 340n74, 341n101
Professional complaints against 212213, 341nn8839
associations 184, 186 conflicts of
Property (laws of) 7180 interest 209, 210, 339n71,
See also Assets 339n66
land law 74, 7778 fees
marital 80, 142143, 196, See Separate main heading
332332n11 and foreign law 340n74
mortgages 7880 misconduct 211, 212213
ownership 7577 non-German
possession 71 nationals 208, 338n56, 340n77
rights 7273, 74 partnerships 216217,
Prozefhrungsbefugnis 342nn114116
(=locus standi) 124 publicity 210, 341n72
Prozehandlungen (steps rights and duties 209211,
in proceedings) 120121, 124, 291n38, 340nn7379
291nn4142 specialisation 210
Prozerecht status 208
See Procedural law Rechtsfhigkeit (capacity for
Prozevoraussetzungen rights and obligations) 245n5, 256n106
(preconditions for defined 27
judgment) 121 Rechtsgeschft(e) (legal
Public law transaction(s)) 2941
and AGBG 3940 commercial 10809
branches of 25 conditions placed on 3637
commercial 190 defined 248n24
vs private 2526, 245n1 forms of 34
Purchase, types of 55 international
PVV validity 332n19
See Contract, breach of null/ineffective 249n35, 252n58,
324n7a
R
and obligations 4445, 67
RAK (Rechtsanwaltskammer
sittenwidrig
=Lawyers Chamber) 123, 211212,
(immoral) 34, 252n58
341n85
vs Prozehandlungen 120
Reasonable doubt,
without instruction 53, 67,
principle of 116
267268n169
Rechtsanwalt (lawyer) 207217, 338n54
Rechtshandlung(en)
See also Legal representation;
(legal action(s)),
Staatsanwaltschaft; Verteidiger
defined 2930
Rechtsmangel (defect
567
in title) 54, 269n185 point of law) 137138, 199,

Rechtsobjekte, defined 28 300301nn133135
Rechtspflege (administration grounds for 301n136
of justice) 207 Rights
Rechtspfleger (legal of accused 175
executive, in basic
Amtsgericht) 119, 147, 151, See Separate main heading
204205, 302n172, to be heard 115, 134, 175,
337nn2728 288n3, 303n9
Rechtsstaat principle 67, 13, of Betriebsrat 184185, 327n46
231nn1819 consumer 37, 41
Rechtssubjekte of customers 266267n166
(legal subjects) land 74, 7778
See Persons procedural 115, 175
Rechtswidrigkeit of property 71, 7273
(illegality) 170 real (dinglich) 71, 7273, 78,
Referendar, office of 203, 336n10 276n236
Reichskammergericht, of rescission 4851
establishment of 1 subjective 2829, 246n16
Rektapapiere (specifically Road accidents 273n222e, 274n227
named securities) 192, 330n40 Roman law 13, 225nn36,
Remedies, legal 120121, 135139, 245n1, 264265n159,
292n42, 336n19 282n10
See also Appeals Rome Convention 332nn1220
in administrative law 163 Rousseau,
in enforcement 148149 Jean-Jacques 226227n11, 226n9
lawyers Rcktritt
misconduct 212213 See Rescission
Rent (Miete),
S
laws of 5864, 270nn198199
Sale/purchase 53, 54, 269270nn18839,
agreements 43, 5859, 270n202,
268n185, 274275n234
271n204, 271n206,
Satzung (articles
271n208
of association) 9899
land 6263
Savigny, Friedrich
rights and duties 6062
Karl von, Prof 23, 227n13,
tenure 6364, 271nn206209
227n16, 277n246
transfer of 6263
Schiller, Friedrich von 2, 226227n11
Rescission (termination/
Schuld (guilt) 170172, 311n18
withdrawal),
exclusion 172, 312nn5254,
rights of 4851, 55, 263264nn13839,
313nn5761
264n147
intent 171172, 312n47
Revision (appeal on
minors 171, 312n40
568
Index
negligence 171172, 312n50 and AGBG 4041,

Schuldverhltnis 254255nn8687
(obligation), defined 45, 257n115 as binding 7, 117, 167,
See also Obligations, law of 230231n23, 290n18
Securities criminal law,
See Wertpapiere role in 167, 176, 307n3,
Seizure 308n6
of criminal evidence 177, 316n25 gaps in 251n47e, 309n6
of (debtors) assets 154155, and inheritance 8283
302nn179181 interest rates 262n128
Service and obligations 45, 256257n108
contract(s) of 65, 102103, and ownership 76
113114, 265n159, and Verjhrung 42, 4344
323n1, 325n6, 328n60 StGB (Strafgesetzbuch
of legal process 126127, 129, 152, =Criminal Code) ix, x, 167174
224n11a, 295296nn8790, StPO (Strafprozeordnung
335n7 =Criminal Procedure
Settlement Order) 175180
(out of court) 132, 135 Streitgegenstand
Social security 230n12, 303n10, (object of action) 130, 296297n96,
323n2c 297n101
Sozialgesetzbuch Streitschlichtung
(Social Code) 188 See Mediation
Special rights theory 25 Streitwert (value of monetary action) 119,
Specificity 134135
principle 296297n96 Subjektives Recht
Spouse(s) See Rights, subjective
inheritance by 82, 83, 91, 281n287 Subordination theory 25
joint wills 86, 282n305 Substantiation,
Staat (state) requirement of 125, 293n67
defined 228n1 Succession (laws of) 27, 8195
power structure 7, 231n20 disposition of estate 8792
Staatsanwaltschaft (state exclusion from 90
attorneys office) 176177, modes of inheritance 8287
316nn2226, 315n20 procedural aspects 9395
Stammkapital universal, principle of 87
See GmbH: capital Supreme federal organs/
Standard business terms authorities
See AGBG See Bund: executive organs
State Suspects
See Bund; Staat See also Accused
Statute(s) arrest 177, 317n26,
administrative 157158 319320n38, 319n36
569
examination 320n38g-h, claims for

320n38d damages 274275nn226227
investigation 177, 179, in company law 105106, 284n32,
316nn2426 285nn5051
remanded in custody 317n26, contracts for
319320n38a-d benefit of 48, 262263n135
Switzerland, Civil Code 222n8 in enforcement
cases 151, 152
T
injuries to 273n222b
Tatbestand (=content, of
protection of 292n57
criminal offences) 168170
Time limits
Tax law 25
administrative law 164
Temporary orders
AGBG 41
enforcement 149
appeals 136, 295n78
family law 140141, 302n149
company liability 107
Tenants
contracts 49, 324n9
See Rent
criminal
Tenure, security/
prosecutions 176, 315316n11,
termination of 6364
322n48
Termination (Kndigung)
debts 4244, 255n98,
of company 97, 106107,
261262n127
282n7, 324n7b
default notices 117
of contracts 113, 324n6,
hearings 127, 131133, 295n78,
324n7a, 324n8
298n111
of employment 65, 103, 181183,
inheritance law 86, 88, 91, 93
295n75, 325326nn1011
Rechtsgeschfte 3637, 4144,
of lease 61, 6364, 271nn208209
255n98
of legal
rental
partnership 217
agreements 271n204, 271n206,
of loan 6465
271n208
of Rechtsgeschft 51, 264n147
Torts 45, 54, 7071, 269n183,
Terrorism 318n31
272n219
Testament
burden of proof. 261n126j,
See Wills
273274n222b
Theories of law
commercial law 243n20g
Classical 225226n9, 225n3
employment law 272n222b, 327n53
free school 226n17
failure of safety 272273n222b-d
historical school 2, 224n12,
international
227228n17, 227n16
law 199,333n25
natural law 12, 225226nn910
negligence 273274n222b-d,
positivist 226n10, 226n17
274n224
Thibaut,
personal injury 252n58d,
Friedrich, Prof 2
272273n220,
Third parties 122
274275n227
570
Index
place of judicial review 237n9

commission 333n25 lawyers duties 341n74, 340n77
procedure 199 negligence 272n219
property. 280n266d property 246n11, 27778n255,
right to sue. 273n226 279n264, 280n266d
road accidents. 273n222e rescission 263n138
time limits 43 Roman
Trades unions 184, 186 influence 225n6
Treaties. 8, 201, 233234n3, sale of goods 269n185, 269n188,
234n12, 335n12 275276n234b-c,
extradition 202, 335n16 276n238, 279n260
Treu und Glauben, Scotland 246n16
principle of 37, 120, 250n47a-b securities 190
See also Good faith subjective rights 246n16
Truth, duty to tell 115, 125, 287n5, torts 243n20g, 272n219,
292n66 280n266d, 334n25b
treaties 232233n34, 335n6
U
Unerlaubte Handlungen
UK law
See Torts
absence of constitution 226n10
Ungerechtfertigte
burden of proof 288
Bereicherung (unjustified
compared to German law
enrichment) 54, 6970, 73
(in general) ix, x, 168,
Unternehmen
22223n10a, 253n62
(enterprise) 183, 185
conditions 254n75
Untersuchung(shaft)
contracts 252n58c,
See Suspects: remanded in custody
253n62, 253n65, 253n67,
Urkunden- and Wechselproze
254n70, 254n75, 332n15,
(speedy financial
332nn1213
actions) 139
criminal
Urprvduktion (extraction of
offences 168, 311n26
natural produce) 189, 329n13
criminal
UWG (Law against
procedure 314n2
Unfair Competition) 243n20g
declaration
of intent 249n38 V
domicile 246n9 Vendor, duties/
estoppel 251n47c liabilities of 270n189
and EU 335n4, 335 Verband (federation/
extradition 335nn1718 association), defined 9798
guarantees 268269n177 Verein (association/
inheritance 281n337 club) 97, 98, 99,
international 283n15
law 331 332nn1213, unregistered 99
333n25b
571
Verfgung (various meanings: definition 159

See Glossary) enforceability 327n56
in court judgment 117, 301n140 grant of Erlaubnis 161162, 307n29
definitions 44, 7273, types 160161, 32728n57
255n102, validity 160, 305nn2425
276n241 Verwaltungsverfahren
in law of succession 83, 86, 281n311 (gesetz) ((law of)
limitation/prevention 73 administrative
in preparation proceedings) 157159, 303n8
for hearings 132 Vollmacht (authority/
in property rights 72, 73, 74, power of attorney) 123124, 293n62,
27677n245, 292nn5759
278n257 in family law 140
and Rechtssubjekte 44, 255n102 Vollstreckbare Ausfertigung
Verhandlung(en) See Enforcement: duplicate
See Hearings
W
Verjhrung (time
Werkvertrag
limitation) 4244, 255n92,
See Contract(s): for services
255n98
Wertpapiere (securities) 190193
Vermchtnis
See also Bonds
See Legacies
definition 191
Verpflichtung (duty
exclusions from
to perform) 258n126a
definition 192193, 330n41
defined 45
types 191192, 330n36
Verteidiger (defender) 177178, 317n27,
Wiederaufnahme des Verfahrens
318nn2931
See Proceedings: reopening
Vertrag (and compounds)
Willenserklrung (declaration
See Contracts
of will, ie, intent)
Vertretbare Sachen (fungible
agreement over 3436
goods) 71, 274n234a,
challenges to 3334, 250n45, 251n48
275n235
definitions/
Vertreter/ung
components 32
See Agents: legal
interpretation 3233, 249250n44,
Verwaltung (and compounds
250n46
other than below)
(in)validity 3031, 32, 3334,
See Administration; Administrative law
249n35, 251nn4950
Verwaltungsakt
place in
(administrative
Rechtsgeschft 2930, 248n24
act) 17, 158, 159162,
requirements 249n43,
237n8, 303nn1213
249nn3839
annulment 160, 305nn2627
Wills (Testamente) 8487
challenges to 160, 163165,
appointment of heirs 8890
304305nn2223,
capacity to make 84
304n13, 307n2
572
Index
challenges to 8586, 90, 93 basic principles 115116

interpretation 8485 Book I: General
joint 86, 282n305 Provisions 118128
legacies 87, 92 Book II: Proceedings at
probate 95, 283n345 First Instance 128135
revocation 84, 86 Book III: Remedies 135139
types 84 Book IV: Wiederaufnahme des
validity 8586 Verfahrens 139
Wirtschaftsrecht Book V: Urkundenand
(business law) 189193 Wechselproze 139
See also Commercial law; GmbH Book VI: Family Matters 139145
definitions 189, 328n2 Book VII: Mahnverfahren 146
Wirtschaftsverfassungsrecht Book VIII:
(SeeGlossary) 190 Zwangsvollstreckung 146155
Wirtschaftsverwaltungsrecht Book IX:
(SeeGlossary) 190 Aufgebotsverfahren 155
Witnesses, examination of 318n29 Book X: Arbitration 155
Wohnsitz (domicile) on documentation 219
defined 2728, 246nn79 and international law 198199,
significance in 201202
(international) law 195, 19697,
291n28c-d, 331n4, Zustndigkeit
331nn810 See Jurisdiction
Zustellung
Z
See Service: of legal process
ZPO (Zivilprozeornung =
Zwangsmittel
Order of Civil
(compulsory measures).. 186, 328
Procedure) 115155, 289n25
329nn5657
principal divisions 115
573

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The German Legal System

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THE GERMAN LEGAL SYSTEM

AND LEGAL LANGUAGE

A General Survey together with Notes

Howard D Fisher LLB (Lond) (Hons)

Fisher, Howard D 2002

ISBN 1 85941 706 X

Printed and bound in Great Britain

conduct of the proceedings and closure of the hearing;

THE INTERNATIONAL PERSPECTIVE

I hope that these changes will be considered helpful.

II THE FEDERAL STATE 5

III THE SUPREME FEDERAL ORGANS 9

IV THE SUPREME AND OTHER FEDERAL AUTHORITIES 11

VII THE CONSTITUTION (GRUNDGESETZ) 17

VIII THE BASIC RIGHTS 21

XI PRIVATE LAW: BGB COMPANY LAW AND

XII THE PRIVATE LIMITED COMPANY (GMBH) 111

XIII CIVIL PROCEDURE 115

(b) Section 1 ( 149 ZPO) 118

XIV ADMINISTRATIVE LAW 157

XV ADMINISTRATIVE PROCEDURE 163

XVI CRIMINAL LAW 167

D Consequences of an Offence 173

XVIICRIMINAL PROCEDURE 175

XVIIIEMPLOYMENT LAW 181

XIX BUSINESS LAW (WIRTSCHAFTSRECHT) 189

D The Law of Obligations 197

XXIITHE LEGAL PROFESSION AND COURT SYSTEM 203

(c) Other proceedings 214

Paragraph Register 469

Drews/Wacke/Vogel/Martens: Gefahrenabwehr: Allgemeines Polizeirecht (Ordnungsrecht)

Notes as Jauernig (BGB)

Maurer: Allgemeines Verwaltungsrecht; 13th edn (2000) (CH Beck)

Schlosshauer-Selbach: Internationales Privatrecht; 1st edn (1989) (CF Mller)

II THE FEDERAL STATE1

A THE DIVISION OF POWER

In Germany, state power (Staatsgewalt) is not centralised. Germany is divided into

B THE PASSING OF LAWS

(mittelbar) by delegation to other carriers. Such carriers of indirect state administration

D THE ADMINISTRATION OF JUSTICE

The administration of justice in Germany is divided into five branches (Zweige):

E THE RECHTSSTAAT PRINCIPLE

F THE ORIGIN, SEPARATION AND BINDING OF STATE POWER

Article 20(ii) GG sets out other fundamental principles.

G THE FREIHEITLICHE DEMOKRATISCHE GRUNDORDNUNG

The freiheitliche demokratische Grundordnung is the basic order of freedom and

III THE SUPREME FEDERAL ORGANS1

The main supreme organs of the Bund (oberste Bundesorgane) are:

IV THE SUPREME AND OTHER

Before the reunification (Wiedervereinigung) of Germany on 3.10.1990,1 the following

B STATE ADMINISTRATION IN THE LNDER

Local matters extending beyond the capacity of a Gemeinde (berrtliche

the Chief Executive (Landrat or, in Lower Saxony and Northrhein-Westphalia,

VII THE CONSTITUTION (GRUNDGESETZ)

The federal constitution of the Bund (Grundgesetz/Basic Law) dated 23.5.1949

B RANK OF THE BASIC LAW AND VALIDITY OF NORMS

C THE FEDERAL AND STATE CONSTITUTIONAL COURTS

(i) The competence (Zustndigkeit) of the Federal Constitutional Court

VIII THE BASIC RIGHTS

B LIMITATION OF BASIC RIGHTS9

C THE ACTUAL RIGHTS 16

Article 19(iv) GG guarantees the right of everyone to go to law (usually to the

of reporting (Freiheit der Berichterstattung) and freedom of information/access to

IX PUBLIC AND PRIVATE LAW