Definition and significance of the notice of appeal and statement of grounds of appeal
Der Notice of appeal and the statement of grounds of appeal are central instruments in German civil and criminal procedural law. They serve to enable judicial review of first-instance decisions by a higher court within the appeals process. They initiate, structure, and substantiate the appeal proceedings. The relevant legal provisions for appeals are set out in Sections 511 et seq. of the Code of Civil Procedure (ZPO) and Sections 312 et seq. of the Code of Criminal Procedure (StPO).
Appeal in civil law: Notice and statement of grounds
Notice of appeal under ZPO
According to Section 519 (2) No. 1 ZPO, the notice of appeal is a mandatory requirement for an appeal in civil proceedings. This application specifies to what extent and for what purpose the challenged decision shall be reviewed. Accordingly, the notice of appeal must specify precisely what modification or reversal of the first-instance judgment is sought.
Statement of grounds of appeal under ZPO
The statement of grounds of appeal provides the substantive support for the notice of appeal. Pursuant to Section 520 (3) ZPO, the statement of grounds of appeal must be filed within one month of service of the judgment. It should set out the grounds of appeal, i.e., the facts, legal opinions, and errors which, in the view of the party, render the first-instance decision incorrect.
Form and content of the statement of grounds of appeal
The statement of grounds of appeal must include the stated grounds for the appeal, with a distinction being made between:
- Violation of law (Section 546 ZPO): errors in the application of substantive or procedural law.
- Errors of fact: incorrect or incomplete findings of fact by the lower court.
The statement of grounds of appeal must clearly identify the challenged points and indicate the resulting changes to the decision. The scope of the review by the appellate court is largely determined by the nature and extent of the appeal grounds.
Deadlines and formal requirements
If the statement of grounds of appeal is not included in the notice of appeal itself, it must be submitted in writing and signed by a legal representative to the appellate court (Sections 519, 520 ZPO). Failure to meet the deadline may result in the inadmissibility of the appeal; reinstatement into the previous status is only possible in exceptional cases.
Appeal in criminal law: Notice and statement of grounds
Notice of appeal under StPO
In criminal proceedings, the notice of appeal is filed pursuant to Section 317 StPO. It is lodged against the judgment of a first-instance court and must be filed within one week of pronouncement of the judgment. There are no special form requirements for the notice of appeal, but it must clearly express the intention to challenge the judgment.
Statement of grounds of appeal under StPO
In contrast to civil proceedings, giving reasons for the appeal in criminal cases is generally not a mandatory requirement and may be provided voluntarily. In practice, however, it is advisable to set out the grounds for challenging the judgment at the latest by the main hearing.
Significance of the statement of grounds of appeal in criminal proceedings
In criminal proceedings, the statement of grounds of appeal can particularly aim to
- challenge findings of fact,
- raise procedural errors, or
- assert errors of law.
In criminal proceedings, the appellate court is not bound by the statement of grounds but must, pursuant to Section 327 StPO, comprehensively review all facts of the case (principle of investigation).
Admissibility and scope of review by the appellate court
Appealability of decisions
An appeal is only permissible against certain decisions:
- In civil proceedings: Appealable judgments are defined in Section 511 ZPO. Generally, a disputed amount of more than EUR 600 is required, unless the first-instance court has expressly allowed the appeal.
- In criminal proceedings: The appeal is admissible under Sections 312 and 313 StPO under certain conditions, particularly against judgments of the local courts.
Scope of review in appeal proceedings
In civil proceedings, the appellate court is generally bound by the findings of fact made by the first-instance court under Section 529 ZPO, unless there are serious doubts as to their correctness.
In contrast, in criminal proceedings a complete review of both facts and law is undertaken (generally a de novo instance). The appellate court is required to reconsider the judgment and all facts relevant to the decision afresh.
Legal consequences of an inadequate notice of appeal or incomplete statement of grounds
An inadequate notice of appeal or an incomplete statement of grounds of appeal can lead to the inadmissibility of the appeal. The formal requirements are strictly examined by the courts, as they serve the acceleration and concentration of the appellate proceedings.
It should also be noted that subsequent changes to the notice of appeal or the grounds are only permissible to a limited extent. After expiry of the deadline for the statement of grounds, new grounds of attack or defense may only be admitted under the strict conditions set out in Sections 530, 531 ZPO.
Summary and practical importance
The regulations on the notice of appeal and the statement of grounds are central components of German procedural law. They ensure that appellate proceedings can be clearly defined, manageable, and conducted effectively. The strict formal requirements safeguard the interests of both parties and support the functionality of the courts.
The precise formulation and timely submission of the notice of appeal and the statement of grounds together form the foundation for successful appellate proceedings. This applies equally to both civil and criminal procedure.
Frequently asked questions
What deadlines must be observed for a notice of appeal and statement of grounds?
In German civil procedure law, the deadlines are set out in Sections 517 and 520 ZPO. An appeal against a first-instance judgment must be lodged within one month of service of the complete, reasoned judgment (Section 517 ZPO). The statement of grounds of appeal must be filed within two months of service of the judgment (Section 520 (2) ZPO). If service is effected on the same day, both deadlines run concurrently. An extension of the deadline for filing the grounds is possible by means of a substantiated application submitted to the appellate court, provided that there are no compelling obstacles and the application is filed before expiry of the period (Section 520 (2) sentence 3 ZPO). Failure to comply with the deadline generally results in the inadmissibility of the appeal, unless reinstatement into the previous status is applied for and granted in accordance with Section 233 ZPO.
What formal requirements must the notice of appeal meet?
The notice of appeal must be submitted in writing to the court of second instance, i.e., the appellate court (Section 519 (2) ZPO). The application must state to what extent the judgment is contested and what modification of the judgment is sought. The appeal document must be signed by a lawyer authorized to appear before the court, as representation by counsel is mandatory at the Regional Court and the Higher Regional Court (Section 78 ZPO). It is also important that the appeal document precisely specifies the parties and the challenged judgment, in particular with reference number and date of issuance. The application may relate to individual points of the judgment (so-called partial appeal).
What substantive requirements apply to the statement of grounds of appeal?
Pursuant to Section 520 (3) ZPO, the statement of grounds of appeal must set out the specific applications with which the judgment is contested, as well as the reasons for the appeal. The statement must address every alleged infringement of law or incorrect evaluation of facts—mere repetition of arguments presented at first instance is insufficient. The statement of grounds must indicate which specific facts or legal considerations of the first-instance court are, from the appellant’s perspective, incorrect and to what extent this affects the judgment. If an adequate statement is lacking regarding the challenged parts of the judgment, the appeal is at risk of being declared inadmissible.
What is the effect of an appeal on the legal force and enforceability of the first-instance judgment?
Filing an appeal does not automatically stay the legal finality of the judgment (Section 705 ZPO), but it does have a suspensive effect; that is, the first-instance judgment does not become legally binding. Full enforceability, however, remains if the judgment has been declared provisionally enforceable (Sections 708 et seq. ZPO). The appellant has the option to apply for protection against enforcement (Sections 711, 719 ZPO) in order to stay enforcement entirely or partially until the decision on the appeal.
Is it possible to introduce new facts or evidence at the appellate stage?
Pursuant to Section 529 (1) No. 2 ZPO, the appellate court is generally bound by the facts found by the first-instance court unless there are specific indications to doubt their correctness. New facts and evidence may only be admitted after Section 531 (2) ZPO if they became known only later or if their submission at first instance was not due to negligence. Thus, submissions are subject to strict admissibility requirements. Expanding the factual presentation at the second instance is an exception and must be specifically justified in each case.
Can the appeal be limited to specific parts of the challenged judgment?
Yes, in accordance with Section 511 ZPO, so-called partial appeal is permissible. The appellant can limit the appeal to individual claims or to specific assessable parts of the judgment. This must be expressly stated in the appeal document; otherwise, the entire judgment is deemed to be contested. However, such limitation is not permissible if there is a single subject matter in dispute or the parts concerned are inextricably linked.
What is the role of the so-called minimum amount in dispute for appeals?
The minimum amount in dispute for appeals is the threshold that must be reached for an appeal to be admissible at all. Pursuant to Section 511 (2) No. 1 ZPO, this is 600 euros. If the value of the subject matter of the appeal falls below this threshold, an appeal is generally excluded, unless the first-instance court has expressly permitted the appeal in its judgment (Section 511 (2) No. 2 ZPO). The calculation of the minimum amount in dispute for appeals is based on the appellant’s economic interest in the success of the appeal.
