Concept and significance of the theory of condition
Die Theory of condition, also known as the equivalence theory, is a fundamental concept in German criminal law and civil law. It serves to determine causality – that is, the causal relationship – between an act and a result. The theory of condition answers the question of when an act is legally relevant for the outcome that has occurred and thus serves as the basis for legal sanctions or claims. It represents a central dogmatic approach to understanding causality and is particularly applied in the examination of legal elements and liability.
Legal background and development
Historical origins
The theory of condition developed in the 19th century as part of efforts to create objective and systematic criteria for the assessment of causality. It emerged especially within the framework of criminal law dogmatics but also finds application in civil law. The classical formulation of the theory of condition is attributed to members of the so-called classical school, such as Franz von Liszt and other 19th-century criminal law scholars.
Statutory foundations
Although the theory of condition is not explicitly regulated by statutory provisions, it constitutes the recognized basis for assessing causality in various branches of law, in particular:
- Criminal law: The fulfillment of criminal elements regularly presupposes a result caused by the act (e.g., Section 212 German Criminal Code – manslaughter).
- Civil law: In cases of tortious liability (§ 823 German Civil Code) or breaches of contract, the causal relationship is likewise decisive.
Fundamental principles of the theory of condition
Conditio sine qua non formula
At the core of the theory of condition is the so-called Conditio sine qua non formula. According to this formula, an act is causal for the occurrence of an outcome if it cannot be thought away without the outcome disappearing in its concrete form. Every condition that cannot be eliminated without the result no longer occurring is deemed a legal cause.Example: If A throws a stone from a bridge that injures a pedestrian B walking below, A’s act (throwing the stone) is a conditio sine qua non for B’s injury, since without the act the outcome would not have occurred.
Equivalence of all conditions
The theory of condition is based on the principle that all conditions for the result are equally causative (equivalent). No distinction is made between primary and secondary causes or between essential and non-essential conditions; every condition that has brought about the result is also legally regarded as a cause.
Application of the theory of condition in criminal law
Significance for fulfillment of legal elements
The theory of condition is primarily applied in criminal law for result-based offenses . It serves to examine whether a person’s conduct can be deemed the cause of a statutory result and thus fulfills the objective element of a criminal provision.
Special applications
Alternative causality
In the case of alternative causality, several independently established conditions each would have led to the result on their own. A typical example is the simultaneous poisoning of a victim by two different perpetrators. According to the theory of condition, both acts are to be considered causal.
Cumulative causality
Here, several conditions jointly reinforce their effect in such a way that they bring about the result. A classic example is when several persons jointly commit a harmful act that only collectively leads to the result. The theory of condition treats each individual act as causal.
Superseding causality
In superseding causality, an initially established condition is overtaken by a later one, which actually causes the result. In such cases, the originally established condition is usually excluded as a legally relevant cause, because the result would have occurred even without it.
Limits of the theory of condition in criminal law
In practice, the theory of condition, with its principle of equal value of all conditions, encounters limits, particularly regarding the attribution of the result. To avoid unreasonable outcomes, value judgments are often applied using additional attribution doctrines such as the doctrine of objective attribution or the adequacy theory.
Application of the theory of condition in civil law
The theory of condition is also the principal doctrine of causality in civil law, especially with regard to liability for damages.
Liability elements
In tort law (e.g., under § 823 para. 1 German Civil Code), establishing causality between wrongful conduct and harm is indispensable for affirming a claim for damages. The conditio sine qua non formula is used for this assessment.
Multiple causes
Complex causality scenarios are also evaluated in civil law using the theory of condition. If several causes are possible, each legal cause giving rise to liability is attributed legal significance.
Limitations through other theories
Analogous to criminal law, in certain civil law cases the theory of condition is restricted by supplementary doctrines, in particular the adequacy theory and the protective purpose doctrine, to allow for appropriate allocation of liability.
Criticism and alternative causality doctrines
The theory of condition is not without controversy in legal scholarship. A major criticism is that it makes no distinction as to the significance of each condition for the result when there are many. Especially in atypical chains of causation, this can lead to unjust or impractical outcomes.
Adequacy theory
The adequacy theory requires that the act which caused the result must, according to the ordinary course of events and general life experience, be suitable for causing the result. Its aim is to establish a more appropriate limitation of liability for causes.
Doctrine of objective attribution
The doctrine of objective attribution additionally requires that the result be attributable to the actor from an objective legal perspective, meaning that a relevant danger link must exist in the legal sense.
Summary
The theory of condition is the classical and most widespread doctrine of causality in German law. It is fundamental for establishing cause and effect in both criminal and civil law and is primarily oriented toward the conditio sine qua non formula. Despite its criticisms and limitations by other doctrines of attribution, it remains the starting point for any examination of causality. Due to its consistent methodology and simple applicability, the theory of condition continues to be a central conceptual component in the dogmatic analysis of causal relationships in the German legal system.
Frequently asked questions
When is the theory of condition applied in German law of obligations?
The theory of condition (also: conditional theory) is used in German law of obligations, particularly when interpreting conditional legal transactions. It helps determine how the condition (§ 158 German Civil Code) affects the legal relationship and the validity of the agreement. According to the theory, a legal transaction under a suspensive condition only becomes effective or due upon the occurrence of the condition, while one under a resolutive condition is initially effective, but expires retroactively upon fulfillment of the condition. In contractual practice, it is always necessary to examine whether the parties have indeed chosen a suspensive or resolutive condition. The theory is legally relevant, for example, in purchase contracts, gifts, or security assignments when the coming into effect of certain rights or obligations is to depend on future, uncertain events. The theory of condition is also of crucial importance when reversing performances already rendered after the termination of the contract due to a resolutive condition (§ 355 German Civil Code by analogy, §§ 812 ff. German Civil Code).
How does the theory of condition affect the effectiveness of contracts with a condition?
According to the theory of condition, a contract concluded under a suspensive condition is initially provisionally ineffective; upon occurrence of the condition, the contract becomes fully effective ex nunc (from now on). This means that rights and obligations arise only with the occurrence of the condition. In case of a resolutive condition, however, the legal effect terminates ex tunc (retroactively) with the occurrence of the condition, i.e., the contract is considered void from the start. In legal practice, this is particularly important for rights of withdrawal, declarations of rescission, or the agreement of retention of title. It should also be noted that only limited rights are available during the pending period, such as security rights under § 160 German Civil Code or prohibitions of assignment until the condition is met.
How does the theory of condition differ from alternative theories (such as the theory of potestative conditions)?
The theory of condition assumes that the occurrence of the condition is an uncertain future event that cannot be determined solely by the parties. In contrast, the theory of potestative conditions (favorable conditions that are within the power of one party) distinguishes when a condition and when a mere time limit or reservation of modality exists. Legally, the key point is that pure declarations of will or actions, which depend solely on the will of one party, do not constitute a condition within the meaning of § 158 German Civil Code, but are classified as rights of formation or time limits. Thus, the theory of condition emphasizes the objectivity of the uncertain event more than subjective structuring possibilities.
What practical effects does the theory of condition have on the unwinding of contracts?
If unwinding is required, for example in the case of a resolutive condition, § 159 German Civil Code applies. The principle of effect “ex tunc” ensures that all rights and obligations arising from the contract must be unwound. In practice, this means that services already received are to be returned according to the principles of unjust enrichment (§§ 812 ff. German Civil Code). In the case of a suspensive condition, performance cannot yet be demanded; however, if one party mistakenly sues for fulfillment, the court will dismiss the claim due to the lack of maturity. Important: During the pending phase, securities may be arranged (§ 160 German Civil Code), and a notice of priority in the land register may take effect.
What is the significance of the theory of condition for security transactions such as retention of title?
Retention of title (§ 449 German Civil Code) is the prime example of the practical significance of the theory of condition. Legally, ownership is transferred under the suspensive condition of full payment of the purchase price. As a result, the seller remains the owner before the condition occurs (payment), but from the time the condition is fulfilled (payment made in full), the buyer is considered the owner. The theory of condition provides the dogmatic foundation for this and stipulates that all related effects – particularly security and withdrawal rights – take effect or expire only upon or after occurrence of the condition.
Are there any special formal requirements for conditional transactions under the theory of condition?
As a rule, the condition does not affect the formal requirements of the underlying legal transaction. That is, if the legal transaction requires a specific form (e.g., § 311b German Civil Code for purchase contracts concerning real estate), the agreement of the condition must also comply with this form. It is irrelevant whether the condition is suspensive or resolutive. The validity of the agreement on the condition always requires that it satisfies the same strict requirements as the underlying transaction itself. The same applies to the notice of the occurrence of a condition to third parties, if so required by law (such as entries in the land register).
