Definition and General Principles of an Instruction
The instruction is a central term in legal practice and refers to a declaration by which one person unilaterally and bindingly assigns another person certain behaviors, acts, or omissions. The instruction is applied in various areas of law and may differ in form depending on the specific context. Due to its wide range of applications, it plays a significant role in civil law, commercial law, labor law, criminal law, and administrative law.
The defining characteristic of an instruction is its binding nature for the recipient and its generally unilateral issuance, thereby distinguishing it from reciprocal contracts. In individual cases, statutory or contractual provisions may restrict or specify the effectiveness and scope of an instruction.
Instruction in Civil Law
Significance and Legal Consequences
In civil law, instructions exist particularly in connection with obligations. Here, it refers to a directive from an entitled party to a third party to perform a specific act in their own or another’s interest. Typical manifestations include, for example, payment or the rendering of performance to a particular recipient at the instigation of the party giving the instruction.
The Instruction in the Law of Obligations (§§ 783 ff. BGB)
In German law, instructions are set forth in the German Civil Code (BGB). According to § 783 BGB, the instruction is understood as the offer, directed at receipt, to conclude a contract of debt assumption, where a debtor (instructor) directs the debtor of another (addressee) to provide a performance to a third party (instruction recipient).
Legal Relationship of the Parties
- Instructor: Holds a claim against the addressee
- Addressee: Provides performance to the instruction recipient at the instructor’s instigation
- Instruction recipient: Receives the performance based on the instruction
The legal relationships among these parties are referred to as the instruction transaction, coverage relationship (between instructor and addressee), value relationship (between instructor and instruction recipient), and execution relationship (between addressee and instruction recipient).
Instruction and Payment: The Bill of Exchange
Instructions are of particular importance in bill of exchange law (§§ 1ff. WG). Here, the drawer orders a person with a payment obligation (the drawee) to pay a specified sum to a specified payment recipient (the holder of the bill) at a certain time. The bill of exchange is thus a prime example of an instruction under civil law, with its own legal character and protective mechanisms.
Instruction in Commercial Law
Significance in Banking and Payment Transactions
The instruction is particularly relevant in the field of payment transactions. The most common form is the bank transfer, which is understood as an instruction from the customer to the financial institution to pay or credit a certain amount to a third party. The legal foundations regulate the duties of the participating banks and their liability.
Instruction under Check Law
A check is a payment instruction directed at a financial institution. § 1 of the Cheque Act (SchG) explicitly defines the check as a payment instruction to a bank for paying a specific amount to the legitimate check holder. The legal requirements concern the issuance, transfer, redemption, and potential consequences of non-redemption.
Instruction in Labor Law
Right to Issue Instructions and Managerial Prerogative
In an employment relationship, the instruction is linked to the employer’s right to issue directives or managerial prerogative (§ 106 GewO). This right enables the employer to further determine the nature, location, and timing of work performance at their reasonable discretion, unless these aspects are already conclusively regulated by law, collective agreement, works agreement, or employment contract. Disregarding lawful instructions may have employment law consequences, up to and including a warning or dismissal.
Types of Directives
- Content-related Directives: Determination of the type and scope of the activity
- Local Directives: Specification of the place of work
- Temporal Directives: Stipulation of working hours
Limits to Instructions in Employment Relationships
The managerial prerogative is limited by statutory provisions protecting personal rights, occupational health and safety regulations, and contractual arrangements. Unlawful or immoral instructions are not binding.
Instruction in Criminal Law
In the criminal law context, the instruction is especially significant regarding participation in offenses. The term is used in connection with indirect perpetration and criminal participation in offenses. Here, an instruction may take the form of incitement (§ 26 StGB) or aiding and abetting (§ 27 StGB) by determining or assisting another in the commission of an offense.
Instruction in Administrative Law
In administrative law, an instruction describes an administrative act directed internally within an authority to subordinate bodies or officers. Such orders are relevant in the context of the internal organization and authority to issue directives and can be enforced bindingly. The distinction is made from administrative acts that are directed at external legal entities.
Distinction from Related Terms
Instruction and Mandate
While an instruction is generally unilateral and does not require the recipient’s cooperation to be effective, a mandate is a bilateral legal transaction based on mutually agreed declarations of intent.
Instruction and Disposition
A disposition is the exercise of a right through a legal act directly affecting a right, for example, by transfer, encumbrance, modification, or cancellation. In contrast, an instruction is aimed at an action or omission by the recipient.
Instruction and Directive
In common usage, the terms instruction and directive are often used synonymously. In labor law, however, a directive describes the concrete exercise of the managerial prerogative, while instruction is used as an umbrella term for general or individual orders to act.
Form and Effectiveness of an Instruction
An instruction may generally be issued without form requirements, unless a specific form is legally prescribed (e.g., written form for a check). It becomes effective upon receipt by the agent or addressee and is legally binding from that point onward.
Revocation of the Instruction
Whether and to what extent an instruction can be revoked depends on the relevant statutory or contractual context. In payment transactions, revocation is often only possible until execution of the payment.
Legal Consequences of Disregarding an Instruction
Failure to comply with a lawful instruction can trigger civil, employment, or criminal sanctions, including liability for damages, disciplinary measures under labor law, or criminal penalties in the case of official misconduct.
International and European Law
Instructions also play a role in international legal transactions, such as document collection and payment operations. The relevant norms of international commercial law and the European payment services framework (e.g., SEPA) regulate the requirements and effects of cross-border instructions.
Summary
The instruction is a complex and essential legal concept, the specific design and effect of which depend significantly on the relevant area of law. It is primarily used when one person bindingly assigns another to carry out an act or omission. The legal regulations extend from civil obligations and labor law directives to administrative regulatory instruments and cross-border payment transactions. The precise legal classification and assessment of an instruction always depend on the specific context, the parties involved, and the underlying legal provisions.
Frequently Asked Questions
In which situations is an instruction binding under the law?
An instruction is legally binding if it is based on a legal foundation or contractual relationship, such as in labor law, company law, or agency relationships. In labor law, the employer holds the so-called right to issue directives (§ 106 GewO), which enables them to determine the nature, location, and timing of work performance at “reasonable discretion” unless these conditions are otherwise set by the employment or collective bargaining agreement, works agreements, or legal provisions. In commercial law, instructions exist in the context of contract performance (§§ 664 ff. BGB), where the agent is required to act according to the principles determined by the principal, as long as the instruction is lawful and executable. In company law, particularly in managing a GmbH or KG, shareholders or company organs can issue binding instructions. It must always be ensured that the instruction does not violate mandatory legal provisions, the principle of good morals, or contractual agreements; otherwise, it is invalid or may make the issuer liable for damages.
What form must a legally relevant instruction have?
Basically, there are no specific form requirements for an instruction unless the law expressly requires one (for example, written form for certain employment measures or banking payment instructions). For evidentiary purposes, written form is often recommended. Internally, such as between an employer and employee or principal and contractor, an instruction can be given verbally or in writing. In some situations, such as for formal administrative acts or declarations of intent, the law specifies binding form requirements. An informal instruction is only valid when it clearly reaches the recipient and its content is clear and definite. In case of dispute, the issuer has the burden of proof regarding issuance and receipt of the instruction.
Can an instruction be immoral or unlawful, and what are the consequences?
Yes, an instruction can be immoral or unlawful. Moral limits arise, for example, from § 138 BGB (immorality), while unlawfulness is assessed against statutory prohibitions. If an instruction is immoral or violates mandatory regulations (e.g., the Occupational Working Hours Act or criminal provisions), it is invalid. In employment law, an employee is not required to carry out work that would breach occupational health and safety or criminal laws (§ 275 Para. 1 BGB – impossibility; § 242 BGB – good faith). In fact, following such an instruction may result in personal liability or employment consequences. Furthermore, if damage results from an unlawful instruction, the party giving the instruction may be liable for damages.
What rights does the recipient of an instruction have in case of uncertainties or doubts?
The recipient of an instruction has the right to seek clarification and insist on specification if the instruction appears unclear, contradictory, or legally questionable. In the employment context, the duty of care requires that the employee, in case of uncertainty, consults with the employer to avoid misunderstandings. Under certain circumstances, the recipient can and must even refuse to comply (so-called right to withhold performance) if their own rights or those of third parties would be violated or if significant risks are involved. Legally, the so-called ‘right of remonstration’ is also important, particularly in public service: here, an employee may object to an instruction and, if the instruction persists after clarification, may still be required to perform it unless it is clearly unlawful.
What are the consequences of disregarding a lawful instruction?
Disregarding a lawful instruction can have various legal consequences depending on the area of law. In employment law, non-compliance may be deemed refusal to work and can lead to disciplinary action, up to and including a warning or summary dismissal. In agency relationships under civil law, failure to follow instructions can result in loss of compensation claims or liability for damages. In company law or legal entity relationships, culpable disregard of a company law instruction may trigger liability towards the company. It must always be noted that sanctions only apply if the instruction was lawfully issued and within the scope of the respective agreements.
Can instructions be subsequently revoked or amended?
Instructions can generally be revoked or amended afterwards, unless statutory or contractual provisions stipulate otherwise. In employment relationships, the employer may exercise their managerial prerogative until the instructed measure has been carried out, meaning that they may adapt or retract it at any time within ‘reasonable discretion.’ In agency law (§ 665 BGB), revocation is possible where there is no binding instruction or where circumstances have changed. However, once an instruction has been performed or completed, retroactive revocation is usually legally excluded and may only occur as a matter of goodwill or on the basis of agreed termination rights.
What is the difference between a legal instruction and a mere recommendation?
A legal instruction is binding and may have legal consequences if not followed, provided it is issued within the framework of an appropriate legal relationship and in compliance with existing laws. A recommendation, however, is non-binding; failure to follow it does not in principle result in sanctions or liability. Legally, the difference can often be seen in the phrasing and context: terms like ‘is to be completed’ or ‘must’ indicate a binding instruction, while formulations like ‘should’ or ‘it is recommended’ suggest a mere recommendation. Ultimately, in case of dispute, it is decisive how the statement was to be understood from an objective recipient’s point of view, and whether the underlying legal relationship actually included an instruction right.
