Institutional Regulations
Die Institutional Regulations is a central set of rules in German law that primarily governs the internal operations and coexistence within public institutions, notably penitentiary institutions (prisons). The aim of the Institutional Regulations is to ensure an orderly institution, define the rights and duties of inmates and staff, and maintain security and order within the facility. In many areas of public law, the term has different forms and meanings.
Legal basis of Institutional Regulations
Institutional Regulations in the correctional system
In the area of correctional facilities the Institutional Regulations (abbreviation: AO) constitute a significant supplement to the Prison Act (StVollzG). While the Prison Act defines the fundamental legal requirements for correctional facilities, the Institutional Regulations specify and clarify these requirements through detailed conduct and organizational rules within the respective institution.
The Institutional Regulations are usually a subordinate legal rule and are issued by the competent management of the institution on the basis of the applicable state correctional law and other provisions (e.g., house rules, ordinances, administrative regulations).
Difference between Institutional Regulations, House Rules, and Administrative Regulation
Die Institutional Regulations must be distinguished from the house rules . While the Institutional Regulations contain the fundamental provisions for all areas of the institution, the house rules (in the narrower sense) govern the daily coexistence and interaction of inmates and serve to explain specific rights and duties.
Administrative regulations supplement these two sets of rules by providing guidelines to institution staff for interpreting and applying legal and regulatory provisions.
Legal nature and regulatory authority
The Institutional Regulations represent a legal regulation with external effect (so-called administrative regulation with effect on inmates and staff). Its enactment is carried out by order or as a statutory regulation, depending on the federal state and type of institution. It binds both inmates and staff.
Content and scope of the Institutional Regulations
General provisions
Typical contents regulated by Institutional Regulations include the order and security of the institution, the daily schedule, inmate conduct, visitation, mail and telecommunications, work and leisure activities, and medical care.
Duties and rights of inmates
The Institutional Regulations set out in detail the duties of those accommodated . These include, among others:
- Principle of loyalty and compliance with institutional rules
- Work duty or work expectation depending on legal status
- Hygiene regulations
- Participation in leisure activities subject to institutional security
- Compliance with staff instructions
- Regulations on visits, phone calls, and correspondence
At the same time, the rights of inmates are specified, for example regarding the right to healthcare, to leisure activities, and the exercise of their own interests, as far as these are compatible with security and order.
Regulation of the daily routine
Der Daily routine within an institution is regulated by the Institutional Regulations within fixed time frames. This includes waking and rest times, meal distribution, working hours, leisure planning, and visiting hours. This structure serves to discipline and organize institutional life.
Security measures and disciplinary sanctions
The order defines prerequisites and procedures for security measures such as searches, inspections, and special security measures (e.g., segregation, restrictions on movement). Furthermore, the process, possible types, and legal consequences of disciplinary sanctions for violations of rules are regulated in detail.
Institutional Regulations outside criminal enforcement
Administrative Institutional Regulations
In addition to correctional facilities, Institutional Regulations are also found in other areas of public law, such as public broadcasting institutions, libraries, hospitals, or care homes. Here as well, they serve the internal organization and regulatory needs of daily operations. Their legal status, where provided by law, corresponds to that of a statute or administrative regulation with external effect.
Legal protection and oversight of Institutional Regulations
Legal remedies
Against measures taken on the basis of or in direct application of the Institutional Regulations, affected persons generally have recourse to administrative courts, or, in the case of correctional facilities, the so-called enforcement procedure is available (§§ 109 ff. StVollzG). Inmates can have orders and measures reviewed through formal complaints or court applications.
Judicial review
The Institutional Regulations are subject to substantive review by the administrative or enforcement courts. In particular, the compatibility of the regulations and their application with fundamental rights, especially the general principle of equality, the right to personal freedom and other constitutional principles, is examined.
Significance and function of Institutional Regulations in practice
Ensuring security and order
A functioning set of Institutional Regulations is a prerequisite for orderly and lawful operation of an institution. It ensures that both the objectives of the correctional system, such as resocialization and security, as well as orderly cooperation within the institution, are maintained.
Institutional Regulations as an exercise of sovereign authority
The enforcement and supervision of the Institutional Regulations are carried out within the framework of the exercise of public authority and therefore are subject to special principles of administrative and enforcement law.
Literature and web links
Prison Act (StVollzG) State Prison Acts of the federal states Selected Institutional Regulations on the websites of the justice administrations of the federal states relevant commentary literature on prison law
Summary
The Institutional Regulations are an essential framework for the organization and assurance of the proper operation of public institutions, especially in correctional settings. They specify statutory requirements and form the foundation for coexistence, security, and legal certainty within the institutions. Their regulations are regularly reviewed by courts for their appropriateness and legality and represent a significant element of the rule of law in the everyday operations of public institutions.
Frequently Asked Questions
Who is authorized to enact Institutional Regulations?
As a rule, only the management of a public institution or the qualified bodies designated for this purpose are authorized to validly enact Institutional Regulations, provided this is explicitly provided for in the applicable organizational statutes, laws, or regulations. In public law, this authority generally arises from a special legal clause that allows the management or a specific administrative body to enact autonomous statutes, guidelines, or house rules. If such authorization is not present, an Institutional Regulation is legally invalid and can be annulled by the courts.
How do Institutional Regulations relate to higher-ranking law?
An Institutional Regulation, as a subordinate rule, is always bound to higher-ranking law according to the principle of hierarchy of norms. It must comply with statutes, ordinances, and, if applicable, European regulations. In the event of a conflict between the Institutional Regulation and a statutory provision, the higher-ranking law always prevails. An Institutional Regulation that violates higher-ranking law is invalid to the extent of the conflict and has no legal effect, whether internally towards staff or externally towards users and visitors.
What legal effects does the Institutional Regulation have?
The Institutional Regulation is binding on all persons who are present in the premises or on the grounds of the institution or who use the infrastructure, provided it has been properly notified. Institution staff are obliged to comply due to their employment or service relationship. For external individuals, such as visitors or users, the Institutional Regulation creates civil and public law binding force, provided they have been informed of its existence and contents by explicit notices or postings. Violations can, depending on specifics, lead to sanctions (warnings, bans, administrative measures), but are always subject to the principle of proportionality.
In what manner must Institutional Regulations be published to have legal effect?
For the validity of an Institutional Regulation, proper notification is essential. This may, depending on legal requirements, be by publication in the official gazette, by posting in publicly accessible and clearly visible locations in the institution, or by electronic publication on the official website. The publication must be designed so that all affected persons can take note of the Institutional Regulation. Only once it has been properly published does it become effective and binding.
Can legal action be taken against provisions of the Institutional Regulations?
Provisions within an Institutional Regulation can be challenged administratively or judicially if they violate higher-ranking law, particularly legislation, statutes, or constitutional law, or disproportionately restrict the fundamental rights of those affected. The review can be pursued via administrative proceedings (e.g. action for annulment, action for performance), under certain circumstances also via civil law channels or through a constitutional complaint. A prerequisite for a successful challenge is that the plaintiff’s own rights are violated and that no less intrusive means were available.
What sanctions may lawfully be imposed for violations of the Institutional Regulations?
Sanctions for breaches of the Institutional Regulations are governed by the pertinent legal bases and the degree of the violation. Permissible measures usually include the issuing of warnings, temporary or permanent bans from the premises, disciplinary measures against staff, or restrictions on use. Every sanction must be imposed in compliance with the principle of proportionality, and there is always the possibility for judicial review. Sanctions that contravene fundamental rights or mandatory legal provisions are not permitted.
How and under what circumstances can an Institutional Regulation be amended?
Amendments to an existing Institutional Regulation may only be made by the body that was authorized to enact it originally. The amendment process is subject to the same formal and material requirements as the initial enactment, particularly with respect to proper notification and adherence to the hierarchy of norms. For certain institutions, participation by a staff council, user representatives, or other bodies is legally required prior to any amendment. An amendment only takes effect after being duly published.
