Term and Legal Classification of the Court of Appeal
Ein Court of Appeal is a court of ordinary or special jurisdiction whose main function is to review decisions of first instance courts, both on factual and legal grounds, through a formal legal remedy known as an appeal. Courts of appeal play a central role within judicial hierarchies and serve to ensure legal protection and legal peace in judicial proceedings. The legal principles, responsibilities, and functions of the court of appeal are set out in detail in various codes of procedure under German law and the laws of other German-speaking countries.
Position of the Court of Appeal within the Judicial Hierarchy
The court of appeal generally constitutes the second instance in judicial proceedings. In the various branches of the judiciary and codes of procedure, specific regulations exist regarding appellate review of court decisions.
Ordinary Jurisdiction
Civil Jurisdiction
In the Civil Jurisdiction the Regional Court (LG) functions as the court of appeal for decisions of the Local Courts (AG) in civil matters, unless a leap revision is already permitted. Subsequently, judgments of the Regional Court may be appealed to the Higher Regional Court (OLG), provided the Regional Court has acted as the court of first instance.
Criminal Jurisdiction
Im Criminal Proceedings As a rule, the Regional Court serves as the court of appeal for judgments of the Local Court. In an independent proceeding, it reviews the decision both factually and legally. A subsequent appeal (Revision) to the Higher Regional Court or the Federal Court of Justice is possible under certain circumstances after the appellate procedure.
Labor Jurisdiction
In the field of Labor Court Procedures the State Labor Court (LAG) acts as court of appeal for decisions of the labor courts of first instance. The admissibility of an appeal depends on various prerequisites, in particular the amount in dispute and the fundamental significance of the matter.
Administrative Jurisdiction
Within the system of administrative courts, the appellate court is the Higher Administrative Court (in some federal states: Administrative Court of Appeal), which, as the second instance, rules on appeals against judgments of the administrative courts.
Fiscal Jurisdiction
In the Fiscal Jurisdiction unlike in the aforementioned branches of the judiciary, there is no appellate court in the classical sense. The appeals process provides for an appeal in the form of revision to the Federal Fiscal Court after the decision of the Fiscal Court.
Jurisdiction and Function of the Court of Appeal
Subject-Matter Jurisdiction
The court of appeal reviews the first instance decision both factually and legally. This distinguishes it significantly from the court of revision, which generally only performs a legal review (control of legality).
Duties and Scope of Review
Review of Facts and Law
The court of appeal is typically empowered to conduct a complete Review of Facts and Law (full second instance of fact-finding). It may admit new evidence, conduct its own hearings, and fully reassess the findings of fact made by the first instance court.
Finality and Binding Effect
Judgments and decisions of the court of appeal attain legal force if no further legal remedies are available. In certain cases, the admission of an additional legal remedy, such as revision, is possible.
Appellate Proceedings before the Court of Appeal
Admissibility of the Appeal
An appeal cannot be lodged in every case. Its admissibility usually depends on a minimum amount in dispute or the specific admission by the court of first instance. The respective procedural codes govern this through specific regulations (e.g., § 511 ZPO for civil proceedings, § 64 ArbGG for labor court procedures).
Filing and Statement of Appeal
Die An appeal is subject to form and time limits. It must be filed in writing and with grounds given within a certain period after service of the first instance judgment. The statement of appeal must specify concretely the extent to which the judgment is being contested and the changes sought.
Procedure and Decision-Making Authority
The court of appeal is authorized, after appropriate review, to set aside, amend, or fully confirm the first instance judgment. It may conduct its own oral proceedings, including taking evidence and hearing the parties.
Characteristics and Significance of the Court of Appeal
Procedural Particularities and Judicial Practice
Courts of appeal are of particular importance in the area of legal protection. They serve as a corrective for errors in first instance decisions, contribute to the uniformity and development of case law, and ensure effective legal protection.
Hierarchy of Legal Remedies and Further Instances
Against decisions of the court of appeal, further remedies—such as revision or (non-)admission complaints to the Federal Court of Justice, Federal Labor Court, Federal Administrative Court, or another highest federal court—may be available in certain cases.
Courts of Appeal in the International Context
In other legal systems, such as Austria or Switzerland, there are comparable structures of judicial instances with their own versions of courts of appeal (e.g., Higher Regional Courts in Austria, Cantonal Courts in Switzerland). Here, too, appellate courts serve to review and correct first instance court decisions.
Summary
The court of appeal plays a central role in the system of judicial legal protection. It ensures the review of first instance decisions both factually and legally, guarantees correct application of the law as well as preservation of procedural rights, and secures the development of the law. As the second instance, the court of appeal significantly contributes to legal security, trust in the administration of justice, and harmonization of case law.
Frequently Asked Questions
What are the duties of the court of appeal in civil proceedings?
In civil proceedings, the court of appeal reviews judgments from the first instance for legal errors and—under certain circumstances—also for factual errors. The appeal is a so-called legal remedy procedure in which the entire subject matter of the dispute is renegotiated. The court of appeal is generally not bound by the findings of the first instance court, but can admit new facts and evidence if they were already permissible in the first instance or could not have been presented through no fault of the party (§ 529 ZPO). The court of appeal can confirm, modify, or overturn the judgment of the first court, and either rule in the matter itself or refer the case back. The most important task is thus the comprehensive review of the challenged decision for legal, and within permissible limits, factual errors in order to correct substantive and procedural mistakes.
Who is entitled to lodge an appeal?
An appeal may generally be lodged by any party aggrieved by the first instance judgment (§ 511 ZPO). This means that the party must disagree with the outcome or parts of the decision and be adversely affected in its rights by the judgment. Third parties who, under procedural rules, could be included in the proceedings (e.g., third-party intervenors) may, under certain circumstances, also lodge an appeal. The precise examination of whether there is an aggrievement and entitlement to appeal is carried out by the court of appeal as part of the admissibility review.
What deadlines and formal requirements must be observed in an appeal?
Strict time limits and formal requirements apply to filing an appeal. The appeal period is generally one month from the service of the full judgment (§ 517 ZPO). The grounds of appeal must be submitted to the court of appeal within two months after service of the judgment (§ 520 ZPO). Both the appeal and the statement of grounds must be signed by a licensed Rechtsanwalt and filed in writing with the competent court, whereby electronic filing with a qualified electronic signature is now also permissible. Failure to meet the deadline usually results in inadmissibility of the appeal, unless restitution to the previous status is requested and granted.
To what extent does the court of appeal review the first instance decision?
The court of appeal reviews the first instance decision within the scope of the appeal application and the subject matter of dispute (so-called “principle of party disposition”). It is bound by the grounds of appeal and the parties’ submissions. New facts and evidence may only be introduced to a limited extent in the appeal, in particular if they were presented in the first instance or could not have been submitted previously. The legal review is comprehensive, covering procedural errors as well, while the factual review is limited to the parties’ submissions and admissible evidence. The court of appeal may correct, modify, or refer the case back to the first instance court if necessary.
What legal remedies are available after a decision by the court of appeal?
Against the decision of the court of appeal, further legal remedies such as revision (in civil proceedings) or a complaint against the refusal to admit revision may be lodged, depending on the amount in dispute and statutory requirements (§§ 542 ff. ZPO). However, revision is only allowed in matters of fundamental importance, divergence, or procedural errors and must be expressly admitted by the court of appeal. If admission is denied, a complaint against the refusal may be possible under certain conditions if the value of the complaint exceeds 20,000 euros. Otherwise, the legal force of the appellate judgment may be overcome if extraordinary legal remedies, such as reopening of proceedings, are available.
How is the decision and judgment delivered in appellate proceedings?
In civil proceedings, the court of appeal usually consists of a panel or senate (generally three professional judges at the Regional Court or Higher Regional Court). The judgment on appeal is given after an oral hearing or in written proceedings and announced in accordance with the procedural rules (§§ 311, 525 ZPO). The reasons for the decision must be communicated to the parties. Announcement may be by reading out the operative part or by service of the written judgment. The court of appeal is obliged to provide a reasoning for its judgment to ensure comprehensibility and reviewability of its decision.
Do additional costs arise in appellate proceedings, and how are they allocated?
By lodging an appeal, new court and legal fees arise, which depend on the amount in dispute (§§ 3 ff. GKG, RVG). Costs are allocated according to the outcome of the appellate proceedings: generally, the losing party bears the costs of the legal dispute, including the costs of the appeal (§ 91 ZPO). A different allocation of costs may occur, for example, if only partial success is achieved or there are special reasons such as significant cost-causing conduct. The obligation to bear costs includes both court fees and necessary expenses of the opposing party, in particular legal fees.
