Definition and Legal Classification of the Conditional Judgment
Das Conditional Judgment is a term from German civil procedure law and refers to a procedural decision issued within the framework of a documentary procedure (§§ 592 et seq. ZPO). It is a special form of judgment that allows the court to provisionally determine a claim for payment or performance based solely on the documents submitted, while leaving open whether this claim also holds when considering all other evidence in ordinary proceedings. The conditional judgment is therefore an instrument for the accelerated enforcement of claims, provided they can be proven by documents, without permanently denying the defendant legal protection.
Legal Basis
Statutory Regulation
The conditional judgment is regulated in §§ 599 to 605 of the German Code of Civil Procedure (ZPO). The regulations for the conditional judgment apply exclusively within the context of the documentary procedure. In a documentary procedure, the claimant can assert a claim that can be proven by documents. The court initially examines only the facts evidenced by documents and then makes a provisional decision in the form of a conditional judgment.
Purpose and Objective of the Conditional Judgment
The conditional judgment aims to provide the claimant with a fast enforceable judgment when document proof of their claim exists. This significantly accelerates the proceedings, as lengthy and costly evidentiary hearings can be omitted at the first stage. At the same time, the conditional judgment upholds the rights of the defendant, since the latter remains able to present objections supported by other means of evidence beyond documents in the subsequent proceedings.
Procedure and Requirements
Requirements for Issuing a Conditional Judgment
The following requirements under the ZPO must be met for the issuance of a conditional judgment:
- Applicability of Documentary Procedure: The lawsuit must be filed as a documentary procedure (§ 592 ZPO).
- The complaint must include a statement that the documentary procedure has been chosen: The claimant must expressly invoke the documentary procedure.
- Claim Must Be Supported by Documents: The claimant must substantiate their factual assertions with documents.
- The defendant raises objections for which the evidence is not presented by documents: The defendant objects to the claim and does not support their objections with documents.
Procedure up to the Conditional Judgment
The procedure leading up to the issuance of the conditional judgment is structured as follows:
- Filing the Claim in a Documentary Procedure: The claimant files their lawsuit with reference to proceedings pursuant to §§ 592 et seq. ZPO.
- Court Examines Documents: The court considers all documents supporting the asserted claim.
- Defendant’s Pleadings: The defendant may contest the claim with documents or present objections.
- Conditional Judgment: If the claimant has proven the claim with documents and the defendant raises objections for which no documents are submitted, a conditional judgment is rendered (§ 599 ZPO).
The conditional judgment makes it clear that the claim is deemed proven on the basis of the documents, but the final examination of all objections takes place in subsequent proceedings.
Legal Nature and Legal Consequences of the Conditional Judgment
Provisional Enforceability
A conditional judgment is generally provisionally enforceable (§ 708 No. 4 ZPO). This means that the claimant may enforce the judgment even if the subsequent proceedings are not yet concluded. Upon application, a security deposit may be ordered (§ 710 ZPO).
Binding Effect and Reservation
The conditional judgment does not have res judicata effect regarding objections that can be asserted in the subsequent proceedings. The subsequent proceedings allow the defendant to raise all objections, regardless of the standard of proof (including witness evidence and other means of proof), against the claim.
Subsequent Proceedings
The subsequent proceedings commence upon application of the defendant after issuance of the conditional judgment (§ 600 ZPO). In the subsequent proceedings, the lawsuit generally continues with all procedural means of evidence. The conditional judgment is thus an interim judgment, subject to the reservation that a different decision may be made in the subsequent proceedings. If the subsequent proceedings result in a different decision, the conditional judgment must be modified or set aside.
Appeals Against the Conditional Judgment
The conditional judgment is subject to the same legal remedies as an ordinary judgment (§ 599 (2) ZPO). However, an appeal is only admissible if permitted under § 511 ZPO. In the appeal proceedings, the conditional judgment can only be reviewed to the extent that it is based on facts proven by documents. Objections based on other means of proof can only be considered in the subsequent proceedings.
Special Features, Distinctions, and Practical Significance
Distinction from the Final Judgment in the Documentary Procedure
If the defendant also supports their objections with documents, no conditional judgment will be issued; instead, a judgment will be rendered that finally decides the legal dispute. Thus, the conditional judgment differs from a final judgment, which is based solely on documentary evidence and does not permit further review of the disputed facts.
Effects on Costs
With regard to costs, the conditional judgment is provisional and may be modified in the subsequent proceedings. The final decision on costs is only made after conclusion of the subsequent proceedings, based on the outcome of the entire legal dispute (§ 600 (3) ZPO). A cost decision in favor of the claimant in the conditional judgment may be revoked or modified if the claimant loses in the subsequent proceedings.
Practical Significance
The conditional judgment is particularly significant in legal and judicial practice wherever claims can regularly be substantiated by documents, for example, in claims from bills of exchange, checks, promissory notes, or contracts with written documentation. Here, the conditional judgment grants the claimant an expedited possibility of enforcement, but also secures the defendant’s right to a full judicial review.
Summary
The conditional judgment is a unique instrument in German civil procedure that allows a swift provisional decision in favor of the claimant for claims proven by documents, without depriving the defendant of their right to object. Due to its special procedural structure, the conditional judgment appropriately balances the need for expedient proceedings with comprehensive legal review. As a result, the applicant receives a provisionally enforceable title, while the respondent can fully defend their rights in the subsequent proceedings. The conditional judgment therefore enjoys significant practical relevance for the enforcement and defense of documentary claims in German civil procedure.
Frequently Asked Questions
What legal remedies are available against a conditional judgment?
An appeal is admissible against a conditional judgment. The conditional judgment is issued according to § 302 ZPO for the acknowledged part of the claim, while the disputed part is litigated in further proceedings. An appeal against the conditional judgment may be filed regardless of whether the proceedings relating to the remaining part of the claim are still ongoing. The appeal period begins with service of the conditional judgment to the affected party. It should be particularly noted, however, that upon application the court may also combine the appeal against the conditional judgment with the appeal against the final judgment, provided this serves the course of proceedings and does not cause significant disadvantages to the parties (§ 302 (2) ZPO). This decision is at the discretion of the court. If an immediate appeal is pursued, this may be procedurally economical, especially if the acknowledged part of the claim is disputed by the defendant.
How does a conditional judgment affect compulsory enforcement?
The conditional judgment is provisionally enforceable even if it decides only a part of the claim. The disputed claim remains in the further process, but the amount awarded by the conditional judgment can already be enforced by compulsory means (§ 302 (1) ZPO in conjunction with § 708 No. 4 ZPO). The party against whom enforcement is sought may apply for protection against enforcement pursuant to §§ 711, 712 ZPO if, without suspension of enforcement, they would face irreparable harm, a matter which the court examines at its own discretion. There is also the possibility to suspend continued enforcement if it becomes clear during the subsequent proceedings that the conditional judgment was wrongly issued.
What happens if the conditional judgment is set aside in further proceedings?
If the subsequent proceedings reveal that the conditional judgment was wrongly issued, the court will set it aside in whole or in part in the final judgment (§ 302 (4) ZPO). In this case, the claimant must reimburse the defendant for what was obtained through provisional enforcement (§ 717 (2) ZPO), including any profits derived and, where applicable, any resulting expenses or damages. The obligation to return serves to protect the defendant who was wrongly burdened and restores the economic balance between the parties.
Will the part of the claim decided by the conditional judgment be litigated again in further proceedings?
There is generally no new hearing on the claim (acknowledged part) decided by the conditional judgment in subsequent proceedings, unless admissible and justified applications for modification are made, such as by objection or appeal. The subsequent proceedings concern exclusively the unresolved, disputed part of the claim. In this respect, the conditional judgment has partial res judicata effect with regard to the acknowledged part of the claim. However, the decision on enforcement from the conditional judgment may be reviewed in the subsequent proceedings if new facts emerge that may justify setting aside the judgment.
Is a new application or brief required in subsequent proceedings?
After issuance of a conditional judgment, continuation of the proceedings is not automatic and requires an application for continuation pursuant to § 302 (3) ZPO. The claimant or defendant must expressly declare that the proceedings relating to the remaining part are to be continued. This application may be informal, e.g. by simple brief. If such an application is not submitted, the court will terminate the proceedings regarding the disputed part by judgment (e.g. due to withdrawal of the claim or by declaration of settlement).
Does the conditional judgment affect the allocation of costs in the proceedings?
The cost order in the conditional judgment relates only to that part of the proceedings covered by this judgment, i.e., the acknowledged claim. The remaining costs of the proceedings, pertaining to the disputed part, are determined in the final judgment. Thus, a twofold cost order is possible: once in the conditional judgment and once in the final judgment. If the overall outcome leads to a different allocation of costs, a correction is made in the final judgment. The court then determines the final ratio of costs taking into account both judgments (§ 92 ZPO).
What happens if the defendant withdraws their acknowledgment during the proceedings?
A withdrawn acknowledgment is fundamentally invalid in German civil procedure. What matters is that the acknowledgment is maintained until the last oral hearing. If the defendant withdraws the acknowledgment explicitly and credibly before the conditional judgment is rendered, the court must not take the acknowledgment into account, and must decide on all parts of the claim in the disputed proceedings. A withdrawal declared after the conditional judgment has been rendered is ineffective, since the acknowledged partial judgment in this respect becomes final. Only in the subsequent proceedings may a legitimate interest, under certain circumstances, result in the setting aside of the judgment, for example if the acknowledgment was made under duress or by mistake.
