Duties to Cooperate: Definition, Legal Basis, and Areas of Application
Concept and Significance of Duties to Cooperate
Duties to cooperate are legal obligations which require a party to perform certain actions or provide documentation within a legal relationship in order to ensure the smooth running of administrative, court, or contractual proceedings. The duty to cooperate is particularly aimed at obliging a responsible or affected person to actively contribute to the clarification of facts or the realization of legal claims. This serves the efficiency and fairness of administrative and court proceedings as well as contractual relationships.
Legal Basis for Duties to Cooperate
Duties to Cooperate in Administrative Law
In administrative law, duties to cooperate play a significant role. They arise in particular from the general obligation to promote proceedings and are explicitly enshrined in numerous laws such as the Tenth Book of the Social Code (SGB X), the Fiscal Code (AO), as well as in special statutory regulations, e.g., in tax law, social law, immigration law, and administrative procedures.
- § 60 SGB I and § 21 SGB X: Oblige beneficiaries to cooperate in clarifying the facts and to provide necessary information or present documents.
- § 90 Fiscal Code (AO): Obligates taxpayers to cooperate in determining tax-relevant facts by providing information and submitting documents.
Duties to Cooperate in Civil Law
Duties to cooperate are also widespread in civil law. Contract parties may be subject to explicit or implied duties to cooperate, for example in contracts for work, lease agreements, or employment law. These duties serve to implement and execute contractual claims.
- § 642 German Civil Code (BGB): Governs the duty of the customer to cooperate in the law on contracts for work, for instance by requiring the customer to perform preliminary acts so that the contractor can deliver their service.
- General Terms and Conditions (GTC): Often contain obligations to cooperate and provide information to ensure the performance of contracts.
Duties to Cooperate in Social Law
In social law, there are extensive duties to cooperate to guarantee a comprehensive and truthful determination of the facts.
- §§ 60 ff. SGB I: Require applicants and beneficiaries, among other things, to disclose circumstances relevant to the approval of benefits.
- Consequences of Breach: Failure to cooperate may result in reductions, refusal, or even reclaiming of benefits.
Process-Oriented Duties to Cooperate
In court proceedings, particularly in civil proceedings, there are procedural duties to cooperate aimed at promoting procedural economy and ascertaining the truth.
- Code of Civil Procedure (ZPO): Requires parties to present the facts, to specify evidence, and to provide truthful information.
- Administrative Court Procedure Act (VwGO): Also provides for cooperation by participants in clarifying the facts of the case.
Content and Scope of Duties to Cooperate
The extent of a duty to cooperate depends on the respective law, contract, or court proceedings. It generally includes:
- Disclosure obligations: Disclosing necessary information
- Proof obligations: Submitting documents, evidence, or other proof
- Duty to Act: Performing acts that are essential to the execution of proceedings
- Obligations to Tolerate: Allowing measures, such as expert assessments or inspections
Duties to cooperate are generally not unlimited. They are restricted to reasonable, lawful, and proportionate requirements. What is considered reasonable depends on the economic, actual, and personal circumstances of the person obliged to cooperate.
Consequences of Breaching Duties to Cooperate
A breach of the duty to cooperate can have far-reaching legal consequences:
- Denial or Withdrawal of Claims: If the duty to cooperate is not fulfilled, an authority may refuse or withdraw a requested benefit.
- Reversal of the Burden of Proof: In civil proceedings, failure to cooperate may lead to a reversal of the burden of proof or put the delinquent party at a disadvantage.
- Fines and Coercive Measures: Various areas of law provide for the use of coercive measures, imposition of administrative fines, or penalties in cases of persistent violation of duties to cooperate.
Exceptions and Limits to Duties to Cooperate
A duty to cooperate may be limited by the principle of proportionality, the protection of personality rights, and the safeguarding of fundamental rights, especially regarding the right to refuse to testify and the right to informational self-determination. For example, no one is required to incriminate themselves (nemo tenetur principle).
In addition, the duty to cooperate must not go so far as to unreasonably burden or overwhelm the person concerned. The authority or court must always examine whether a less severe means is available or whether an internal investigation by the authority is sufficient.
Duties to Cooperate in the International Context
Also at the international level, for example in administrative and tax procedures with cross-border implications, there are extensive duties to cooperate. These may arise from international agreements, EU law, or national provisions with extraterritorial effect. One example is EU-wide obligations to provide information under tax transparency directives.
Summary
Duties to cooperate are a central and multifaceted element of German and international law. They ensure that procedures can be conducted efficiently, transparently, and fairly. The specific structure and scope of duties to cooperate vary depending on the field of law and individual case. Compliance with these duties is essential for the enforcement or granting of rights and claims in both public and private law. A violation may have serious legal consequences for the affected individual or party.
Frequently Asked Questions
What legal consequences arise from breaching duties to cooperate?
Breach of duties to cooperate can have various legal consequences depending on the area of law involved. In administrative law, for example, failure to fulfill duties to cooperate can result in a requested administrative act, such as the granting of social benefits or the issuance of a permit, not being issued at all or only with restrictions (§ 66 SGB I, § 82 AO). At the same time, a breach can lead to negative consequences regarding the burden of proof and may cause the court to rule against the party concerned (§ 427 ZPO, § 86 SGG). In some cases, it may even lead to administrative fines or criminal liability, for example in cases of intentional deception or failure to provide information in tax or social security matters. Furthermore, authorities may revoke decisions, reclaim benefits, or claim damages if the breach of duty has caused a financial loss.
To what extent are duties to cooperate considered reasonable?
Duties to cooperate are subject to the principle of reasonableness. What is reasonable depends on the personal and actual ability of the obligated party as well as on the nature, extent, and timing of the cooperation. In social law, cooperation cannot be required if it involves significant expense, disadvantages, or risks for the person affected (§ 65 SGB I). In tax law, the tax authority cannot require information or evidence that does not objectively exist or whose procurement would be disproportionate. Similarly, in civil proceedings, for instance, duties to cooperate may be limited by personality protection barriers, such as the right to refuse to testify or the protection of trade secrets.
What deadlines must be observed with regard to duties to cooperate?
Meeting deadlines is often crucial with regard to duties to cooperate. Authorities and courts usually set appropriate deadlines within which the requested act of cooperation must be performed (cf. § 20 VwVfG, § 364 AO). In social law, deadlines must be set in accordance with § 66 SGB I, allowing the person concerned a reasonable time to respond. If cooperation is not provided within the set deadline, this may result in disadvantages such as denial or withdrawal of benefits. It is sometimes possible to request an extension of the deadline if there is good cause.
When does the duty to cooperate lapse legally?
The duty to cooperate lapses in particular if fulfilling the obligation is impossible or unreasonable for factual or legal reasons. In social law, this is expressly regulated (§ 65 SGB I): The duty lapses, among other things, if the required act is legally inadmissible, objectively impossible for the person affected, or subjectively unreasonable. Barriers to data protection or criminal procedural law may also hinder the exercise of the obligation. In addition, the duty to cooperate generally lapses if the information required can already be reliably established by the authority, the court, or other sources.
Who bears the burden of proof if duties to cooperate are not fulfilled?
If duties to cooperate are not fulfilled, this typically results in a so-called reversal or shift of the burden of proof. This means that the affected party must prove the necessary facts if they fail to fulfill their duty to cooperate. For example, in social law, a benefit provider may assume that the requirements for a benefit have not been proven in the absence of cooperation unless the contrary is shown (§ 66 SGB I). In civil proceedings, the secondary burden of disclosure lies with the party who is better informed about the relevant facts; however, failure to cooperate may lead to the opponent’s assertions being deemed proven (cf. § 138 ZPO).
What legal remedies are available to contest sanctions for lack of cooperation?
Affected persons have various legal options to defend themselves against sanctions for lack of cooperation. First, they may file an objection or appeal against a burdensome administrative act, for example if benefits are denied or withdrawn in whole or in part. In addition, it is usually possible to have such measures judicially reviewed, for example by lodging a complaint with the social, administrative, or tax courts. During the proceedings, they may argue that cooperation was unreasonable, impossible, or unlawfully required. In many cases, it is also possible for the sanction to be lifted if the required action is performed subsequently and the violation thereby remedied.
How can the scope of duties to cooperate be reliably determined?
The scope of duties to cooperate is generally determined by law, regulations, statutes, or—in contractual relationships—by contractual agreement. Interpretation of the applicable legal norms in consideration of the specific case is always decisive. Authorities and courts are obliged to set understandable and specific requirements and to inform those affected about the nature, scope, and consequences of failing to cooperate (for example, § 82 AO, § 13 SGB I). In case of dispute, the lawfulness and appropriateness of the required cooperation must be reviewed in accordance with constitutional principles and the principle of proportionality.
