Concept and Legal Nature of the Submission
A submission is, in legal terms, a written statement or communication addressed to an authority, a court, or another public body in order to assert a right, to make possible claims, or to draw attention to existing circumstances. In contrast to an informal letter, a submission often has specific legal relevance and can have various legal consequences. The submission is a fundamental component of governmental communication with private individuals, businesses, and other institutions, as well as an expression of the right to petition, participate, and contribute.
General Characteristics and Distinction
Definition of Terms
The term “submission” encompasses various forms of communication with authorities or courts. It refers, for example, to applications, complaints, suggestions, notices, or petitions that are proactively addressed by individuals, groups, or corporate bodies to public entities. Submissions can be made independently, as part of ongoing administrative proceedings, or within the context of judicial proceedings.
Distinction from Related Legal Terms
Submissions must be distinguished from the terms application, complaint, petition und action While applications typically contain a specific legal request, submissions may be formulated more generally and can also include mere concerns or notices. An action, by contrast, is necessarily directed at judicial legal protection, whereas a submission may also be made pre-litigation or independently of proceedings.
Legal Principles and Forms of Submissions
Administrative Submissions
In administrative law, the submission is the means by which citizens contact authorities. Typical instances in administrative law include:
- Submitting an application (e.g. applications for permits, information, file inspection)
- Objection to administrative acts (§ 68 Administrative Court Procedure Act – VwGO)
- Petitions according to Art. 17 of the Basic Law
- Suggestions and complaints according to the respective administrative procedure laws
Formal Requirements and Processing
Whether a specific form must be observed depends on the respective legal basis. Frequently, submissions can be made without formality, but they must regularly be submitted in writing or recorded by the relevant authority. The authority is obliged to process submissions appropriately, to comply with deadlines, and to inform about the outcome.
Judicial Submissions
In judicial contexts, the submission covers all formal or informal written statements submitted within proceedings, provided they are not explicitly designated as an “action,” “complaint,” or “legal remedy.” Examples include:
- Requests for case updates
- Notices of procedural deficiencies
- Suggestions for the conduct of proceedings
- Requests for extensions of deadlines
Formal Requirements
Courts require certain types of submissions to be in writing or submitted electronically (e.g. under § 130a Code of Civil Procedure). Failure to comply with formal requirements may, in extreme cases, render the submission inadmissible.
Constitutional Submissions
Of paramount importance is the submission as a right to petition under Art. 17 of the Basic Law. Every person has the right to address requests or complaints in writing to the competent authorities. Exceptions apply in cases of anonymous or abusive submissions.
Processing Obligations
State organs are obliged to accept and review petitions. However, no obligation arises from the Basic Law to grant the request beyond such review. Special provisions exist for the Petitions Committee of the Bundestag, whose processes are regulated under the Petitions Act.
Content and Effect of Submissions
Content Requirements
Submissions must clearly express the concern at hand. They should set out the facts, state the objective of the submission, and include all details necessary for processing (e.g., subject, factual basis, personal information). If essential information is missing, it may be necessary to supplement the submission.
Legal Effect
The legal effect of a submission depends on the specific context. In administrative procedures, a submission may constitute an application for official action; in court proceedings, for example, an application for evidence or a notice of new facts or evidence. The right to be heard and the duty of authorities to respond promptly and substantively, as well as compliance with processing deadlines, are key legal consequences.
Legal Protection in Case of Non-Processing
If a submission is not processed by a public authority, or not within a reasonable time, various legal remedies are available:
- Objection or complaint procedures under the Administrative Procedure Act (VwVfG)
- Supervisory complaint against the behavior of public officials
- Appeal to the Petitions Committee
In judicial proceedings, if a submission is denied, it may be necessary to pursue the full appeals process.
Special Types of Submissions
Citizen Concerns and Administrative Procedures
Submissions may also be used as instruments of public participation within the framework of participation procedures, e.g. in planning procedures, environmental impact assessments (§§ 73 ff. VwVfG), or in local self-government.
Digital Submissions
Modern administrative practice now allows submissions to be made electronically, provided the relevant requirements for electronic communication and document security—such as under the Online Access Act (OZG) or specialized laws—are complied with.
Anonymous and Abusive Submissions
Anonymous submissions are generally permitted but may have no legal effect, as it may not be possible to assign or process the matter. Submissions that are manifestly abusive, insulting, or contrary to law may be rejected by authorities.
Summary and Importance of the Submission in Legal Matters
The submission is a central instrument for realizing participation, information, and protective rights in the relationship between citizens, businesses, and public authorities. It enables the assertion of legal claims, initiation of administrative procedures, exercise of the right to petition, and effective oversight of state action. As such, the submission is an expression of active democratic participation and an essential element of the rule of law.
Frequently Asked Questions
What legal requirements exist for the traceability of submissions in electronic legal proceedings?
In electronic legal proceedings, traceability of submissions is essential. This is legally regulated in particular by the provisions of the Code of Civil Procedure (ZPO) as well as the Courts Constitution Act (GVG). To ensure the authenticity and integrity of an electronic submission, it must be traceable who submitted it and that its content has not been changed unnoticed after the fact (§ 130a ZPO). Transmission usually takes place via special electronic mailboxes (beA, beBPo) or secure transmission channels. Electronic documents must also be provided with a qualified electronic signature to clearly establish authorship. Authorities and courts must keep appropriate records or logs to prove proper transmission. Furthermore, when submitting documents, data protection requirements—especially those of the GDPR and § 55b VwGO—must always be observed. Violation of traceability requirements may lead to the submission being invalid and cause legal disadvantages.
Which deadlines must absolutely be observed for electronic submissions to the court?
Deadlines for electronic submissions are the same as for submissions on paper, for example for actions, briefs, or complaints. What matters is the time of receipt by the competent court, as regulated by § 130a ZPO and relevant special laws. The deadline is only met if the electronic document arrives at the court within the statutory period—not simply when it is sent from the sender’s server. Receipt must be complete and legible; technical issues on the sender’s end are generally at their own risk. In the event of technical problems at the court, § 130d ZPO allows for what is known as a ‘notfristanzeige’ (emergency deadline notice). Electronic submissions made outside business hours are considered received on the next working day, unless the court has specified otherwise.
What formal requirements must electronic submissions meet?
Pursuant to § 130a ZPO, electronic submissions must be transmitted as a document suitable for processing by the court. This generally means the documents must be submitted as PDFs (PDF/A format). Attachments in other formats are accepted only if expressly permitted. In addition, the document must be signed with a qualified electronic signature, unless the sender submits via a special electronic lawyer’s mailbox (beA) or official mailbox (beBPo) and is thereby authenticated via the transmission channel. Compliance with these formal requirements is mandatory; otherwise, the submission may be considered invalid. The protection of personal data must also be ensured, for instance by redacting sensitive information before submission.
What is the significance of electronic submissions in administrative proceedings?
In administrative proceedings, electronic access is governed by § 3a VwVfG and § 55a VwGO. Authorities are obliged to accept submissions at least if electronic access has been provided. Citizens should check in advance whether the competent authority accepts electronic submissions, especially with regard to state-specific or departmental regulations. For the effectiveness of a submission by email, simple electronic form is usually sufficient, see § 3a (2) VwVfG; however, a qualified electronic signature is required for certain procedures. Data protection regulations must also be strictly observed: If there are doubts about identity or the file submitted is unreadable, the authority may require corrections or reject the submission.
How is the protection of personal data to be guaranteed in electronic submissions?
Electronic submissions in the legal context are subject to strict data protection requirements, particularly the GDPR and specific federal and state laws. Personal data must be protected by appropriate technical and organizational measures, such as encryption, access controls, and logging. The transmission of sensitive data must be secured using recognized encryption technologies such as S/MIME or PGP. Courts and authorities also require a secure infrastructure to prevent data abuse. Accidental disclosure or unauthorized access must be excluded with a coordinated authorization management system. In addition, data subjects must be informed about the processing, their rights must be observed, and data protection violations must be reported promptly.
What sanctions threaten in the event of erroneous or late submission?
Erroneous or late submissions in electronic legal proceedings can have serious consequences. If a submission is not in the correct form (e.g. without a qualified electronic signature or in the wrong file format) or is submitted late (after a deadline), it is generally considered not to have been made. This may result in deadlines being missed and, thus, a complete loss of legal protection (e.g. default judgment, forfeiture of the claim). There may be the option to have the previous status restored (§ 233 ZPO) if there is no fault (e.g. technical malfunction at the court). Otherwise, the risk remains with the party or submitter. Data protection violations arising from submissions, such as fines or other regulatory sanctions, are also subject to penalties.
