Definition and Importance of Files
The Term files refers in the legal context to a systematically organized collection of written documents, records, drawings, proofs, as well as audio and video recordings relating to a specific administrative or legal matter. Files constitute the main working tool in administration, judiciary, business, and other sectors, as they form the basis for processing, deciding, and reviewing procedures. The management and use of files are a central element of rule-of-law administration and procedural action.
Legal Framework for File Management
Official File Management
In authorities, courts, and public institutions, there is often a duty to maintain files (file-keeping obligation). The basis for this is formed by various regulations, such as the Administrative Procedure Act (VwVfG), the Code of Civil Procedure (ZPO), the Code of Criminal Procedure (StPO), and special laws. Files document the course and decision-making of administrative proceedings and serve the transparency, traceability, and controllability of state action.Legal Bases:
- § 29 VwVfG (Access to files in administrative procedures)
- § 99 ZPO (Duty to produce and right of inspection)
- § 147 StPO (File inspection in criminal proceedings)
Types of Files
Administrative Files
All documents pertaining to administrative proceedings are recorded here, including applications, statements, notices, expert reports, and correspondence.
Court Files
Court files include all documents relating to court proceedings, such as statements of claim, written pleadings, pieces of evidence, protocols, and judgments.
Criminal Files
In criminal matters, files contain investigation and procedural steps, interrogation protocols, police reports, evidence, and decisions.
Personnel Files
Personnel files document the employment relationship of a person with a public or private body, including application documents, employment contracts, evaluations, and disciplinary actions.
Electronic Files (E-Files)
With the ongoing digitization, electronic files are increasingly replacing the traditional paper files. Electronic files are legally permitted in numerous areas of law and are protected by technical and organizational measures.
Purpose and Functions of Files
Documentation Function
Files provide binding documentation of all essential events, legal acts, and decision-making bases and ensure their traceability.
Control and Review Function
Files serve for internal and external control, for example by superiors, supervisory authorities, or courts. They enable the retracing of decision paths and circumstances afterwards.
Evidence Function
In judicial and extrajudicial proceedings, the content of the file regularly serves as evidence. The state of the file can be decisive for the assessment of facts and the legal evaluation of a procedure.
Organizational and Memory Function
Files facilitate the processing and continuation of procedures by documenting the current status. They are the “memory” of authorities, businesses, and institutions.
File Organization and File Management
Principles of File Management
File management is subject to certain principles, such as the principle of file truthfulness and completeness. All relevant documents must be documented and stored completely, correctly, securely against manipulation, and in continuous order. Any change or addition must be traceable.
File Plan and File Reference Number
A file plan determines the systematic order of file collections. Each procedure receives a unique file reference number for identification and allocation.
Retention Obligations and Time Limits
Depending on the type and importance of a procedure, different retention obligations and time limits apply. These result from legal provisions, for example from archive laws, documentation requirements in the public service, or commercial and tax regulations (§ 147 AO, § 257 HGB).
Data Protection and File Secrecy
Files often contain personal or confidential data. The use, inspection, and transfer of files are governed by data protection regulations, especially the General Data Protection Regulation (GDPR) and the Federal Data Protection Act (BDSG). File secrecy protects the integrity and confidentiality of file contents.
Right to Access, Production, and Information from Files
File Inspection in Administrative Procedures (§ 29 VwVfG)
Parties are entitled to inspect the files unless their interest in information is restricted by public or legitimate interests of third parties.
File Inspection in Court Proceedings (§ 299 ZPO, §§ 147, 406e StPO)
In civil proceedings, each party may request file inspection at court. In criminal proceedings, such a right is granted to the defense and the accused. Third parties may claim access to files under certain conditions.
Freedom of Information and File Production
According to the Freedom of Information Act (IFG) and corresponding state laws, citizens have the right to access official information and files, provided there are no grounds for exclusion such as data protection or confidentiality.
Files in the Digital Age
Introduction of Electronic Files
The digitization of administration and the judiciary promotes the migration from paper files to electronic files. Legal frameworks, IT security standards, and electronic archiving play an important role in this. Electronic files must comply with the requirement of written form, as well as being immutable, traceable, and secure.
Advantages and Challenges of the E-File
Advantages:
- Increased efficiency
- Faster access
- Space saving
- Improved searchability
Challenges:
- Ensuring data protection
- Preservation of authenticity and integrity
- Compatibility of IT systems
Conclusion
Files are a central tool for actions of rule-of-law administration, judicial proceedings, and organizational management. They serve as evidence, documentation, and proof, are subject to clear legal requirements, and are increasingly maintained digitally. Proper and compliant file management ensures transparency, legal certainty, and the protection of personal data. Understanding the legal frameworks and functions of files is a fundamental requirement for handling governmental, judicial, and business procedures.
Frequently Asked Questions
Who has the right to inspect a file?
The right to examine files is a central element of many legal proceedings and covers both administrative and court files. In principle, file inspection is granted to those persons who are directly affected by the contents of the file, especially parties in administrative or court proceedings. In administrative law, § 29 Administrative Procedure Act (VwVfG) governs the right of file inspection, while in civil proceedings § 299 ZPO and in criminal proceedings § 147 StPO are decisive. However, the right of file inspection is not absolute: It can be restricted or even entirely denied, especially where overriding interests of third parties, protection of business or trade secrets, or legitimate public concerns are involved. Data protection may also play a role, particularly with regard to personal data. Authorized persons or lawyers also regularly receive access, provided a proper power of attorney is presented. Special rules apply in criminal proceedings, for instance, regarding access by the accused or joint plaintiffs, where restrictions may exist to protect the interest of investigations.
How long must files be retained?
The statutory retention period for files always depends on the type and purpose of the particular file. In the public sector, state and federal laws regulate retention obligations, such as registrar guidelines or special laws like tax law (§ 147 AO for tax-related records). In court proceedings, periods are usually between five and thirty years, depending on the type of case and the legal force of the decision. For example, files containing judgments in family law disputes must sometimes be kept for especially long periods. In the private sector, retention is often governed by the Commercial Code (generally ten years for relevant documents under § 257 HGB). Both inadequate and excessive retention of files can have legal consequences—for instance, if documents are destroyed too early and are missing during later audits, or if data protection rules are violated due to unnecessary long-term storage. After the period lapses, proper and data-protection-compliant destruction is usually required.
What legal requirements apply to file management?
A file must always be managed in such a way that it meets the requirements for traceability, completeness, and protection against manipulation. In an administrative context, the relevant laws and administrative regulations set out how a file must be structured, managed, and closed. Important principles include the duty of documentation, chronological order, and the continuous numbering of documents. In court proceedings, the relevant procedural code (e.g., ZPO, StPO, VwGO) determines the form and content of a file. Digital file management is increasingly regulated as well, particularly by the E-Government Act and data protection requirements of the GDPR. Every file note, every protocol, and all evidence, as well as all incoming and outgoing documents of a procedure, are to be properly recorded. Manipulations, unauthorized changes, or losses can have procedural or employment law consequences up to and including criminal liability.
Under what circumstances may files be demanded or seized?
The demand or seizure of files is subject to strict legal requirements. In civil proceedings, the court may order the production of a document or file as part of the taking of evidence pursuant to § 142 ZPO. In criminal proceedings, the seizure of documents is regularly the subject of judicial orders (§§ 94 ff. StPO). Files of lawyers or doctors, in particular, enjoy special protections, namely professional secrecy (§ 97 StPO). Seizures may only take place if there is sufficient suspicion and the files are required as evidence. A demand for production may also be made to authorities, for example in the context of administrative assistance (§ 111 VwGO), in each case taking into account the fundamental rights of affected persons and special data protection requirements. Unlawful demand or exceeding of authority can result in inadmissibility of the evidence obtained and lead to claims for damages.
What role do files play in court proceedings?
Files play a documentary and procedural guiding role in court proceedings. They compile in an organized manner all essential information, documents, evidence, and the entire course of the proceeding. The court primarily relies on the file content during hearings and decision-making. Files also ensure the right to be heard, as the parties have the right to know the content of the files and to respond. File management forms the basis for procedural decisions, such as scheduling, setting hearings, or initiating further investigative actions. After the completion of proceedings, files are often relevant for appeal instances or retrial procedures, which is why their complete and proper documentation is of elemental importance. Faulty file management can affect the finality and enforceability of judicial decisions.
How should confidential information in files be handled legally?
Confidential information, especially personal data, business and trade secrets, is subject to strict legal protection obligations. The most important laws are the GDPR and Federal Data Protection Act (BDSG), in specific cases also duties of confidentiality from the Criminal Code (§ 203 StGB) and professional codes of conduct (lawyers, doctors, etc.). Within a file, confidential details may only be recorded, processed, and made accessible where this is necessary for the purpose of the proceeding and is based on legal grounds. During file inspection, information may be redacted or excerpts provided to protect affected third parties. When files are transmitted to other authorities or courts, confidentiality and data security must be ensured, for example through secure transmission methods and access controls. Breaches of these obligations are not only subject to civil law but also criminal and disciplinary sanctions.
When and how may files be destroyed?
Files may only be destroyed after the expiry of statutory retention periods and only after careful checking for any continuing retention obligations. Destruction must be carried out in accordance with data protection requirements and be final, so that reconstruction of the content is excluded. For paper files, the Federal Data Protection Act (BDSG) prescribes certain procedures (e.g. shredding to a certain particle size). For digital files, data must be securely deleted and backups or copies destroyed. It must also be documented when and by whom destruction was carried out. In the public sector, special rules sometimes apply under archive laws, where certain documents must be offered to the state archive before destruction is permissible. Incorrect or premature destruction of files can have serious legal consequences, for example regarding the ability to provide evidence or obligations to third parties and authorities.
