German Legal System 2002

THE GERMAN LEGAL SYSTEM AND LEGAL LANGUAGEThird Edition

Cavendish Publishing Limited London Sydney

THE GERMAN LEGAL SYSTEM AND LEGAL LANGUAGEThird Edition A General Survey together with Notes and German Vocabulary

Howard D Fisher LLB (Lond) (Hons) Rechtsanwalt

Cavendish Publishing Limited London Sydney

First published in Great Britain 2002 by Cavendish Publishing Limited, The Glass House, Wharton Street, London WC1X 9PX, United Kingdom Telephone: +44 (0)20 7278 8000 Email: Facsimile: +44 (0)20 7278 8080

[email protected]

Website: www.cavendishpublishing.com

Fisher, Howard D First edition Second edition Third edition

2002 1996 1999 2002

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, scanning or otherwise, except under the terms of the Copyrights Designs and Patents Act 1988 or under the terms of a licence issued by the Copyright Licensing Agency, 90 Tottenham Court Road, London W1P 9HE, UK, without the prior permission in writing of the publisher.

Fisher, Howard German legal system and legal language3rd ed 1 LawGermany 2 LawGermanyTerminology I Title 349.4'3

ISBN 1 85941 706 X

Printed and bound in Great Britain

In memory of my parents

PREFACE TO THE THIRD EDITIONThis 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 EDITIONTHE GERMAN LEGAL SYSTEM Germany has one of the most scientific legal systems anywhere in the world. For a person with English as his or her mother tongue to seek to understand that system is not easy, even with a legal education. Why is this so? The principal reason lies in the fact that, for historical reasons, the methods and sources of German and English law have developed differently. Another reason is the German language and its seemingly endless supply of formal terminology. Certainly, legal and everyday language are not the same anywhere, but where can this be more so than in Germany? If the linguistic complexities were not enough, the enormous codification of practically every area of law in Germany will remain a formidable obstacle to comprehension of the German system for a foreigner, even after the dawn of the new Europe after 1993. The German legal system remains, generally speaking, a system of (positive) norms, ie, traditional German legal thinking revolves, in the vast majority of cases, around the twin immutable pillars of an established system and norms regarded as authoritative.1 This contrasts markedly with the mixed system of precedents and statutes and thinking in terms of problems (Problemdenken) prevalent in common law countries. Alternative legal methods have not (yet) made great inroads in Germany.2 The main tool of the German legal system is the German legal language, which is of a precision unmatched (and perhaps unattainable) in English.3

THIS BOOK This book contains a general survey in the English language of the structure and concepts of some of the main areas of German law. My aim has thereby been to provide a basic insight into the German legal system and technical language. The book is based on my understanding and study of German laws and texts and constitutes a summary and introduction only. A more detailed account, for example, of the Grundgesetz and the BGB, would have involved lengthy exposition, which I wanted to avoid. Understanding the layout of the various laws is, in my view, the main task for the newcomer (see Chapter X, Note 109). In particular, the book does not deal with banking, competition, insurance, intellectual property, planning (building), environmental or tax law nor with many of the numerous statutes in the fields of private and public law to be found in the handbook collections Schnfelder and Sartorius (for examples see Chapter XIX A). These areas can be considered at another time. It should also be mentioned that I merely touch upon the Special Part of the Criminal Code (StGB; Chapter XVI B) and that, in the law of criminal procedure, a description of the provisions concerning the main hearing and consequent remedies still needs to be added (Chapter XVII G). To well versed German lawyers and experts the book will, I am sure, provide opportunity for criticism of misunderstanding, errors and incompleteness. Readersix


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.9x

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

CONTENTSPreface to the Third Edition Preface to the Second Edition Materials Bibliography Cross-References I II HISTORICAL INTRODUCTION THE FEDERAL STATE A B C D E F G H The Division of Power The Passing of Laws The Executive The Administration of Justice The Rechtsstaat Principle The Origin, Separation and Binding of State Power The Freiheitliche Demokratische Grundordnung Foreign Relations vii ix xxiii xxv xxxi 1 5 5 5 5 6 6 7 7 8 9 11 13 13 14 15 17 17 17 18

III THE SUPREME FEDERAL ORGANS IV THE SUPREME AND OTHER FEDERAL AUTHORITIES V THE LNDER A B Introduction State Administration in the Lnder

VI LOCAL GOVERNMENT VII THE CONSTITUTION (GRUNDGESETZ) A B C Introduction Rank of the Basic Law and Validity of Norms The Federal and State Constitutional Courts

xiii


VIII THE BASIC RIGHTS A B C IX Introduction Limitation of Basic Rights The Actual Rights

21 21 21 22 25 25 25 27 27 27 27 30 30 31 34 36 37 41 42 44 44 44 45 45 47 51 52 52 53 53 71 71 72

PUBLIC AND PRIVATE LAW A B Introduction Distinguishability of Norms

X

PRIVATE LAW: THE CIVIL CODE (BGB) A B Introduction Book I: The Allgemeiner Teil ( 1240 BGB) 1 2 Terminology to Note The Provisions of the Allgemeiner Teil Regarding Rechtsgeschfte ( 104185 BGB) (Section 3) (a) Title 1 ( 104115 BGB) (b) Title 2 ( 116144 BGB) (c) Title 3 ( 145157 BGB) (d) Title 4 ( 158163 BGB) (e) Standard business terms (AGB) The Rest of the Allgemeiner Teil ( 186240 BGB) (Sections 47) Expos: Verjhrung ( 194225 BGB) (Section 5) Introduction Points to Note Sections 17 (a) (b) (c) (d) (e) (f) (g) D 1 2 Section 1 ( 241304 BGB) Section 2 ( 305361 BGB) Section 3 ( 362397 BGB) Section 4 ( 398413 BGB) Section 5 ( 414419 BGB) Section 6 ( 420432 BGB) Section 7 ( 433853 BGB)

3 4 C 1 2 3

Book II: The Law of Obligations ( 241853 BGB)

Book II: The Law of Property ( 8541296 BGB) Introduction Dingliches Recht and Verfgungxiv

Contents

3

Sections 19 (a) Section 1 ( 854872 BGB) (b) Section 2 ( 873902 BGB) (c) Section 3 ( 9031011 BGB) (d) Section 4 ( 10121017 BGB) (e) Section 5 ( 10181093 BGB) (f) Section 6 ( 10941104 BGB) (g) Section 7 ( 11051112 BGB) (h) Sections 8 and 9 ( 11131296 BGB)

73 73 74 75 77 77 77 77 78 80 81 81 82 82 82 83 84 86 87

E F

Book IV: Family Law ( 12971921 BGB) Book V: Law of Succession ( 19222385 BGB) 1 2 3 Introduction Constitutional Guarantee The Modes of Inheritance (Erbfolge) (a) By statute ( 19241936 BGB) (b) By disposition on death (Verfgung von Todes wegen) (c) The will (Testament; 1937, 20642086, 22292264 BGB) (d) The joint will (Gemeinschaftliches Testament; 22652273 BGB) (e) The estate contract (Erbvertrag; 1941, 22742302 BGB)

4

5

The Estate (Erbschaft/Nachla) and the Heir(s) 87 (a) Universal succession ( 1922 BGB) 87 (b) The community of heirs (Erbengemeinschaft; 20322063 BGB) 87 (c) Appointment of an heir (Erbeinsetzung; 1937, 1941, 20872099 BGB) 88 (d) Appointment of a substitute heir (Ersatzerbe; 20962099 BGB) 89 (e) Appointment of a subsequent heir (Nacherbe; 21002146 BGB) 89 (f) Exclusion from succession 90 (g) Entitlement to a compulsory portion (Pflichtteil; 23032338 BGB) 91 (h) Legacies and directions (Vermchtnis/Auflage; 19391940 21472196 BGB) 92 (i) Appointment of an executor (Testamentsvollstrecker; 21972228 BGB) 92 Procedural Aspects 93 (a) Acceptance (Annahme) and disclaimer (Ausschlagung; 19421966 BGB) 93 (b) Liability of the heir(s) for debts (Haftung fr Nachlaverbindlichkeiten; 19672017, 20582063 BGB) 94 (c) Claims against third parties ( 20182031 BGB) 94 (d) The certificate of inheritance (Erbschein; 23532370 BGB) 94 (e) The probate court (Nachlagericht) 95xv


XI

PRIVATE LAW: BGB COMPANY LAW AND THE COMMERCIAL CODE (HGB) A B C Context and Definitions

97 97

Duties, Management (Geschftsfhrung), Representation (Vertretung) and Liability (Haftung) 99 The HGB in Detail 1 2 Introduction Book I ( 1104 HGB): Handelsstand (a) Section 1 ( 17 HGB) (b) Sections 2 and 3 ( 837 HGB) (c) Section 5 ( 4858 HGB) (d) Section 6 ( 5983 HGB) (e) Sections 7 and 8 ( 84104 HGB) Book II ( 105237 HGB): Handelsgesellschaften (a) (b) (c) (d) 4 5 Content Section 1 ( 105160 HGB) Section 2 ( 161177a HGB) Section 3 ( 230237 HGB) 100 100 101 101 101 101 102 104 104 104 104 107 107 107 108 111 111 111 112 113 115 115 115 116 118 118 118

3

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

XII THE PRIVATE LIMITED COMPANY (GMBH) A B C D E Introduction Establishment Stammkapital, Stammeinlage and Geschftsanteil Organs 112 Directors (Geschftsfhrer)

XIII CIVIL PROCEDURE A B C D The Zivilprozeordnung (ZPO) The Maxims of Civil Procedure Points to Note The ZPO in Detail 1 Book I ( 1252 ZPO): General Provisions (a) Contentxvi

Contents

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

118 118 118 119 120 125 128 128 128 129 134 135 135 135 137 138 139 139 139 139 139 145 146 146 146 146 150 152 153 154 155 155 157 157 157 157

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2 3 C 1 2 3 4 5 6

Content The Verwaltungsverfahren Definition Content Validity and Legality Bestandskraft, Rcknahme and Widerruf Types Grant of an Erlaubnis or Genehmigung

158 158 159 159 159 160 160 160 161 163 163 163 163 164 167 167 167 168 168 168 169 169 170 170 170 170 170 171 171 172 173 173 173

TheVerwaltungsakt (VA)

XV ADMINISTRATIVE PROCEDURE A B C D Available Remedies. The Verwaltungsgerichtsordnung (VwGO) Types of Writ Preliminary Requirements The Hearing in the Administrative Court

XVI CRIMINAL LAW A B C Introduction Types of Offence Elements of an Offence 1 Tatbestandsmigkeit of the Handlung (a) When an act is tatbestandsmig (b) Crimes by omission (c) Acts by persons representing others Rechtswidrigkeit of the Handlung (a) When a Handlung is rechtswidrig (b) Rechtfertigungsgrnde Schuld (a) Meaning of Schuld (b) Schuldfhigkeit (c) Forms of Schuld (d) Exclusion of Schuld

2

3

D

Consequences of an Offence Strafen Mareglen der Besserung und Sicherungxviii

Contents

XVIICRIMINAL PROCEDURE A B C D E F G H I J Introduction The Staatsanwaltschaft TheVerteidiger The Police Action Following Investigation Hauptverhandlungshaft Involvement of the Injured Party (Book V StPO) Special Types of Proceedings (Book VI StPO)

175 175 176 177 178 179 179 180 180

The Main Proceedings and Thereafter (Book II (Section 6)Book IV StPO) 180

Enforcement of Punishment and Costs of the Proceedings (Book VII StPO) 180 181 181 181 183 184 184 185 186 186 187 189 189 190 191 195 195 195 196

XVIIIEMPLOYMENT LAW A B C D E F G H I Introduction Form and Termination of a Contract of Employment The Betrieb and Betriebsrat Cooperation between Employer and Betriebsrat The Rights of the Betriebsrat Mitbestimmung in Large Unternehmen The Coalitions Arbeitsschutzrecht Accidents at Work

XIX BUSINESS LAW (WIRTSCHAFTSRECHT) A B Introduction Law of Securities (Wertpapierrecht) What is a Wertpapier? XX PRIVATE INTERNATIONAL LAW A B C The EGBGB Points to Note Personal and Family Matters

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D

The Law of Obligations 1 2 Contractual Obligations Questions of Jurisdiction (Zustndigkeit) (a) Special venues (b) Agreements 3 Non-Contractual Obligations

197 197 198 198 198 199 199 201 201 201 202 203 203 204 205 205 205 206 206 207 207 207 207 208 208 209 209 211 212 213 213 214

E

Proof of Foreign Law

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

XXIITHE LEGAL PROFESSION AND COURT SYSTEM A B C The Judges The Rechtspfleger The Court System 1 2 3 4 5 6 D 1 2 3 4 5 6 7 8 The Gerichtsbarkeiten The ordentliche Gerichtsbarkeit The besondere Gerichtsbarkeit The Verwaltungsgerichtsbarkeit Rechtspflege Justizverwaltung Introduction Status of the Rechtsanwalt Admission as a Rechtsanwalt Relationship of the Rechtsanwalt to his Client Rights and Duties of the Rechtsanwalt The Rechtsanwaltskammer Complaints Legal Fees (a) Basis of calculation (b) Civil proceedings and non-contentious mattersxx

The Rechtsanwalt

Contents

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

Other proceedings Level of fees Framework fees Legal assistance and legal aid Future reform

214 215 215 215 216 216 217 221 221 221 225 228 233 234 234 235 236 239 244 245 282 286 287 303 306 308 314 322 328 330 334 335

The Partnerschaftsgesellschaft

NOTES Preface to the Third Edition Preface to the Second Edition (With Corrections) Chapter I Chapter II Chapter III Chapter IV Chapter V Chapter VI Chapter VII Chapter VIII Chapter IX Chapter X Chapter XI Chapter XII Chapter XIII Chapter XIV Chapter XV Chapter XVI Chapter XVII Chapter XVIII Chapter XIX Chapter XX Chapter XXI Chapter XXIIxxi


APPENDIX A Vocabulary: Selected German and Latin Words and Phrases (With Their English/Legal Meanings) APPENDIX B Abbreviations Referred to in the Text (For English Meanings See Appendix A) 463 APPENDIX C Paragraph Register APPENDIX D Table of Cases German Cases European and United Kingdom Cases APPENDIX E Table of English Statutes APPENDIX F Table of Articles from ZAP Index 543 553 541 533 533 540 469 345

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MATERIALSIn 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

BIBLIOGRAPHYBattis/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 thexxvi

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-REFERENCESThe 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 law1


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: the2

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 indirectly5


(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;287


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 (Bundesverfassungsgerichtsgesetz (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 IV IVa V VI VII VIII IX X XI The Bundestag: Articles 3848; The Bundesrat: Articles 5053; The Gemeinsamer Ausschu (Joint Council): Article 53a; The Bundesprsident: Articles 5461; The Bundesregierung: Articles 6269.

Legislative competence and procedure: Articles 7082 (entitled Die Gesetzgebung des Bundes).3 Administration of federal laws: Articles 8391 (entitled Die Ausfhrung der Bundesgesetze und die Bundesverwaltung). The judicature: Articles 92104 (entitled Die Rechtsprechung).4 Finances: Articles 104a-115 (entitled Das Finanzwesen).5 Transitional and final provisions: Articles 116146.6

B RANK OF THE BASIC LAW AND VALIDITY OF NORMS The Basic Law ranks higher than other legal norms (Rechtsnormen), which must be interpreted so as to conform with it (verfassungskonforme Auslegung).7 It is often of importance to establish whether a particular norm is valid (gltig)/ constitutional (verfassungsgem). The judiciary (which is independent Article 97(i) GG) has the right to check whether this is so (richterliches Prfungsrecht). Thus, for example, where a Verwaltungsakt (administrative act (VA)) is concerned, not only must it be valid, but the (authorising) norm upon which it is basedthe Ermchtigungsgrundlage (Rechtsgrundlage)must also itself be valid.8 The following questions arise: What sort of norm is involved? It may form part of a Gesetz (statute), a Rechtsverordnung (statutory regulation) or a Satzung (bye-law). Is the norm formally or materially invalid /unconstitutional (verfassungswidrig)?17


On the formal side, the relevant body must have possessed legislative competence (Zustndigkeit), gone through the correct procedure (Verfahren) and issued the norm in the appropriate form. On the material side, there must be no violation/ contravention of higher-ranking norms (kein Versto gegen hherrangiges Recht), eg, no breach of basic rights.9

C THE FEDERAL AND STATE CONSTITUTIONAL COURTS (i) The competence (Zustndigkeit) of the Federal Constitutional Court (Bundesverfassungsgericht) is set out in Article 93 GG (and in 13 BVerfGG);10 or, in the case of the constitutional court of a Land, in its constitution (and VerfGG). The decisions of the Federal Constitutional Court bind the constitutional organs of the Bund and the Lnder, as well as all courts and authorities ( 31(i) BVerfGG). (ii) If a court considers a Gesetz upon which its decision depends to be unconstitutional, it is obliged to refer the (legal) question as appropriate to the Federal Constitutional Court or to the constitutional court of the Land (Landesverfassungsgericht): 11 so-called concrete norm-control ( konkrete Normkontrolle; Article 100(i) GG).12 Thus, in accordance with the subsidiarity principle, to prevent diverging decisions and in order to uphold the authority of the legislature, whenever the preliminary question is raised in legal proceedings whether there is a collision between a particular (statutory) norm and a higher-ranking (constitutional) norm, the competence to decide the issue (ie, the validity of the lower norm) is centralised/concentrated at the appropriate constitutional court, which is said to have a monopoly power of rejection (Verwerfungsmonopol). Otherwise, under its richterliches Prfungsrecht ((inherent) right of judicial review) the court hearing the case can decide incidentally (inzident) itselfsocalled incidental control (Inzidentkontrolle)as it anyway can in the case of norms ranking below statutes (eg, Rechtsverordnungen=statutory regulations).13 (iii) On application by the government of the Bund or a Land or 1/3 of the members of the Bundestag, the Federal Constitutional Court can decide whether a norm (including one below a statute) is unconstitutional or whether the law of a Land is incompatible with federal law: so-called abstract norm-control (abstrakte Normkontrolle; Article 93(i) No 2 GG). In such proceedings, the Federal Constitutional Court acts as guardian of the constitution (Hter der Verfassung). If the norm is found to be unconstitutional or the law incompatible, it is declared void ( 78 BVerfGG). Moreover, if a criminal conviction is based on such a norm, a re-opening of the case (re-trial) is possible ( 79(i) BVerfGG). These last-mentioned provisions apply correspondingly in cases of concrete norm-control ( 82(i) BVerfGG). (iv) Any person can apply to the Federal Constitutional Court by way of constitutional complaint (Verfassungsbeschwerde) (usually only after normal legal channels have18

Chapter VII: The Constitution (Grundgesetz)

been exhausted)14 on the basis that one of its basic rights (or those in Articles 20(iv), 33, 38, 101, 103 and 104 GG) has been infringed by the (German) public power (ffentliche Gewalt, ie, by the legislature, executive or the judiciary; Article 93(i) No 4a GG and 90(i) and 90(ii) BVerfGG).15 A constitutional complaint directed against a (judicial or administrative) decision must be lodgedand substantiatedwithin a period of one month from service or informal notification of the decision in full form, as required by the relevant procedural provisions, otherwise within one month from pronouncement of the decision or the date on which the decision is made known: 93(i)BVerfGG. In the case of a constitutional complaint against a statute or other official act, the complaint must be brought within a year from the date the statute came into force or the date the official act was issued: 93(iii) BVerfGG. In order for the complaint to be admissible (zulssig), the infringement must affect the complainant individually, currently and directly (selbst, gegenwrtig und unmittelbar).16 Local authorities can also apply to the Federal Constitutional Court in the event that a federal statute infringes their right of self-administration (Article 93(i) No 4b GG). If it allows the complaint, the Federal Constitutional Court pinpoints the relevant breach of the Basic Law. In the case of a court decision, it quashes it and refers it back to a competent court;17 in the case of a (provision in a) statute, it declares it void ( 95 BVerfGG).18 (v) The decision of the Federal Constitutional Court regarding a norm has statutory force (Gesetzeskraft; 31(ii) BVerfGG). (vi) The Federal Constitutional Court can also decide (inter alia) in disputes: between supreme federal organs regarding the interpretation of the Basic Law (Article 93(i) No 1 GG; Organstreit);19 between the Bund and Lnder regarding their constitutional rights and obligations (Article 93(i) No 3 GG; Bund/Lander Streit).20

19

CHAPTER VII

VIII THE BASIC RIGHTS

A INTRODUCTION1 The basic rights (Grundrechte) are dealt with at the beginning of the Basic Law (Articles 119 GG).2 Certain of the basic rights only benefit Germans (Articles 8(i), 9(i), 11(i) and 12(i) GG). Despite the precedence of federal laws over that of the Lnder (Article 31 GG; Bundesrecht bricht Landesrecht), those basic rights also contained in constitutions of the Lnder remain in force so far as they accord with Articles 118 GG (Article 142 GG). The basic rights bind (binden) the legislature, executive and judicature as directly applicable law (unmittelbar geltendes Recht; Article 1(iii) GG).3 The main groupings are those of freedom rights (Freiheitsrechte) and equality rights (Gleichheitsrechte).4 The basic rights are principally regarded as (subjective) defensive rights (Abwehrrechte) against attacks (Eingriffe) by the state. However, they also include certain institutional guarantees and are the expression of an objective value-order (Wertordnung).5 Increasingly, there is a tendency to regard certain of the basic rights as conferring the right to claim positive action from the state (Grundrechte as Leistungsrechte).6 The applicability of basic rights in the area of private relations (the so-called Drittwirkung of basic rights) is not generally accepted, although they can indirectly (mittelbar) be called in aid in the interpretation of private law.7 It is customary to speak of the adressee (Adressat) of a Grundrecht, its carrier (Trger), its protected area (Schutzbereich), its impairment (Beeintrachtigung) or infringement (Verletzung).8

B LIMITATION OF BASIC RIGHTS9 It is possible for basic rights to be limited (eingeschrankt). In many cases, the right for this to be done through or on the basis of a statute (durch Gesetz oder aufgrund eines Gesetzes) is expressly reserved in the various Articles of the Basic Law (so-called Gesetzesvorbehalt). The limiting statute must apply generally and not only to an individual case and the Article being limited must be cited (Article 19(i) GG: the Zitiergebot). It is also possible for the limits (Schranken) of a basic right to be implicit (immanent) in the relevant basic right or interpreted by means of a balancing (Abwgung) between conflicting rights.10 The limitation of basic rights is itself limited by so-called (often unwritten) SchrankenSchranken:11

21


An express limitation of a basic right must itself be interpreted in the light of the basic right (the so-called Wechselwirkungstheorie (theory of reciprocal effect)).12 In no case can the essence (Wesensgehalt) of a basic right be touched (angetastet; Article 19(ii) GG)).13 The so-called bermaverbot (prohibition of excess), which flows from the principle that the executive must act in accordance with statute and law (Article 20(iii) GG: Bindung der Verwaltung an Gesetz und Recht/Gesetzmigkeit und Rechtmigkeit der Verwaltung). The measures undertaken by the executive must be proportionate, ie, suitable (geeignet), necessary (erforderlich) and in fair relation to the intended goal (verhtttnismig).14 Essential (political) decisions (wesentliche Entscheidungen) must be taken by the legislature and cannot be delegated to the executive (Wesentlichkeitsprinzip).15

An infringement (Verletzung) of a basic right is only legitimate (a so-called rechtmiger Eingriff), if there is appropriate statutory authority (Ermchtigung) covered (gedeckt) by a Gesetzesvorbehalt, which is itself not limited by a Schranken-Schranken.

C THE ACTUAL RIGHTS 16 Article 19(iv) GG guarantees the right of everyone to go to law (usually to the administrative courts), if his rights are infringed by the executive (Rechtsschutzgarantie). This right is supplemented by the right to lodge a constitutional complaint (Article 93(i) No 4aGG).17 In private law matters, a general right of (access to) justice (Justizgewhrungsanspruch) is derived from Article 2(i) GG.18 The following basic rights are included in Articles 117 of the Basic Law: human dignity (Article l(i): Menschenwrde);19 free development of the personality/freedom of action (Article 2(i): freie Entfaltung der Persnlichkeit/allgemeine Handlungsfreiheit);20 the right to life and bodily integrity (Article 2(ii), 1st sentence: Recht auf Leben und krperliche Unversehrtheit);21 freedom of the person (Article 2(ii), 2nd sentence: Freiheit der Person); equality before the law (Article 3(i): Gleichheit vor dem Gesetz);22 equal rights of men and women (Article 3(ii): Gleichberechtigung zwischen Mann und Frau);23 no discrimination or preference due to sex, descent, race, language, home, origin, belief, religion or political views (Article 3(iii): Benachteiligungs- und Bevorzugungsverbot); freedom of belief, conscience and confession (Article 4(i): Freiheit des Glaubens, Gewissens und des Bekenntnisses);24 the right to conscientious objection against military service (Article 4(iii): Recht zur Kriegsdienstverweigerung aus Gewssensgrnden);25 freedom of expression (Meinungsfreiheit), press freedom (Pressefreiheit), freedom22

Chapter VIII: The Basic Rights

of reporting (Freiheit der Berichterstattung) and freedom of information/access to public sources (lnformationsfreiheit) (Article 5(i));26 freedom of art, science, research and teaching (Article 5(iii): Freiheit der Kunst, Wissenschaft, Forschung und Lehre);27 protection of marriage and the family (including illegitimate children) (Article 6: Schutz der Ehe und der Familie);28 state supervision of the school system (Schulwesen); participation in religious instruction (Religionsunterricht) (Article 7);29 freedom of assembly (Article 8(i): Versammlungsfreiheit); freedom of (private) association (Article 9(i): Verein(igung)sfreiheit or Vereinsautonomie) and freedom to form coalitions (Koalitionsfreiheit: Article 9(iii));30 secrecy of communication by letter, post and telephone (Article 10(i): Brief-, Postund Fernmeldegeheimnis); freedom of movement (Freizgigkeit) and freedom of establishment (Niederlassungsfreiheit) (Article 11(i)),31 free choice of workplace and occupation (Article 12(i): Freiheit der Arbeitsplatzund Berufswahl);32 inviolability of the home (Article 13(i): Unverletzlichkeit der Wohnung); guarantee of property and succession (Article 14(i): Garantie des Eigentums und des Erbrechts);33 prohibition on removal of citizenship and extradition (Article 16: Verbot der Ausbrgerung und Auslieferung);34 right of asylum (Article 16a: Asylrecht);35 right of complaint and petition (Article 17: Petitionsrecht).36

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).525


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: Book II: Book III: Book IV: Book V: Allgemeiner Teil (general part), 1240. Schuldrecht (law of obligations), 241853. Sachenrecht (law of property), 8541296. Familienrecht (family law), 12971921. Erbrecht (law of succession), 19222385.

Each Book (Buch) is divided into Abschnitte (Sections), which are in turn sub-divided into Titel (Titles). B BOOK I: THE ALLGEMEINER TEIL ( 1240 BGB)4 The key rules contained in Book I of the BGB (the Allgemeiner Teil); 1240) are valid for all the other Books of the BGB and are of general application for the whole of German private law. The Allgemeiner Teil (AT) is divided into seven Sections. 1 Terminology to Note A knowledge of the following terminology is essential for an understanding of the BGB: 1 2 Die Rechtsfhigkeit: the capacity to be a carrier of rights and obligations (die Fhigkeit, Trger von Rechten und Pflichten zu sein).5 Die Rechtssubjekte (legal subjects or persons).6 Only Rechtssubjekte possess Rechtsfhigkeit. Rechtssubjekte are either natural persons (natrliche Personen=Menschen, ie, humans) or juristic persons (juristische Personen). These concepts are dealt with in Section 1 of the Allgemeiner Teil (entitled Personen; 189). Every natural person has a Wohnsitz ((place of) residence). A juristic person has a (Haupt)-niederlassung ((main) office, place of business) or Sitz (seat/(registered) address).7 Wohnsitz is a legal term (Rechtsbegriff) and refers to the focal point of a persons affairs (der rumliche Schwerpunkt der Lebensverhltnisse eines Menschen). Its broad equivalent in the English (legal) language is the term domicile, although a better translation thereof would be Heimat (home).27


A persons Wohnsitz is of importance for various purposes, eg, as the place of performance under 269(i) BGB and in order to establish which court has local jurisdiction in civil or criminal proceedings ( 13 ZPO and 8(i) StPO).8 One distinguishes a persons: main (Haupt-) and secondary (Zweit-) Wohnsitz ( 7 (ii) BGB), the former usually being the significant one for (public) legal purposes; voluntary (gewillkrtes) and statutory (gesetzliches) Wohnsitz ( 7 and 8 11 BGB respectively); and (temporary) residence ((vorbergehender) Aufenthalt).

Mere Aufenthalt does not suffice to establish a persons Wohnsitz, even if it is habitual/usual (gewhnlich) or continuous (dauernd). The key element of a Wohnsitz is constant settlement (stndige Niederlassung) at a particular place, the decisive factor being the desire to establish an intensive connection (intensive Bindung) to that place.9 3 Die Rechtsobjekte (legal objects):10 A Rechtsobjekt is any thing/matter (Gegenstand) with which the law can concern itself. If a Gegenstand is corporeal/tangible (krperlich), it is known as a Sache. Sachen are dealt with in Section 2 of the Allgemeiner Teil (entitled Sachen; 90103).11 Other Rechtsobjekte are Immaterialrechtsgter (intellectual property) and Rechte (rights). Unlike Rechtssubjekte, Rechtsobjekte have no rights and usually belong to Rechtssubjekte.12 4 Das subjektive Recht (subjective (legal) right).13 A subjektives Recht is conferred upon a person by the legal system (Rechtsordnung) to protect his interests. A subjektives Recht is the legal power (Rechtsmacht) or legally protected interest (rechtlich geschtztes Interesse) of the individual, as opposed to the objective law (das objektive Recht), which is the sum-total of all valid norms. It is to be distinguished from the so-called Rechtsreflex (legal reflex), which is the nonenforceable favouring of an individual by the legal system. With certain exceptions, the state has a monopoly regarding the protection of a subjective legal right.14 One speaks of the acquisition (Erwerb) and transfer (bertragung/bergang) of a subjective legal right and of limits (Grenzen) on its exercise.15 Subjective legal rights are divided into the following main types.16 The first two are absolute rights (absolute Rechte), effective against everyone. The others are relative rights (relative Rechte), as they are only directed against individual persons within a particular legal relationship: Herrschaftsrechte (rights of dominance): they give power over Gegenstnde (eg, Sachen; they are then known as real rights (dingliche Rechte)). The most28

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

comprehensive dingliches (Herrschafts-)recht is Eigentum (ownership). Power over incorporeal things (eg, Ansprche ) is known as Inhaberschaft (entitlement/ownership). Persnlichkeitsrechte (personality rights). A general right to ones personality is based on Articles 1 and 2 of the Basic Law.17 Ansprche (claims). An Anspruch is defined in 194(i) BGB as das Recht, von einem anderen ein Tun oder ein Unterlassen zu verlangen (the right to demand an act or omission from another). A contractual Anspruch is known as a Forderung (241 BGB).

An Anspruch must always have an Anspruchsgrundlage (basis), the conditions of which must all be fulfilled if the Anspruch is to be begrndet (well founded).18 Gestaltungsrechte (formulation rights). Their exercise enables their Inhaber to influence a particular legal situation (eg, the right of challenge (Anfechtung), the right to give notice (Kndigung), the right of withdrawal/rescission (Rcktritt)).19 Gegenrechte (counter-rights, defences). These enable a defendant to negate an Anspruch. They are classified as Einwendungen and Einreden.20 Familienrechte (family rights), eg, parental rights.

Subjective rights exist both in private and public law (a public subjective right is a subjektives ffentliches Recht).21 5 Das Rechtsverhltnis: the legal relationship between Rechtssubjekte or between Rechtssubjekte and Rechtsobjekte. It gives rise to (subjective) legal rights and/or duties (Rechte und Pflichten).22 Die Privatautonomie (private autonomy (principle)). In accordance with mans right to self-determination (Selbstbestimmung), it is a basic principle of the legal order (Rechtsordnung) that the individual is free to enter into and form legal relationships (Gestaltungs

German Legal System 2002

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