Concept and Meaning: Judgment Based on the State of the Files
Das Judgment Based on the State of the Files is a civil procedure decision mechanism under German law. It is a judicial decision rendered without an oral hearing, based solely on the written documents and statements submitted by the parties up to that point. The legal basis for this is found in particular in Section 331a of the Code of Civil Procedure (ZPO). The judgment based on the state of the files is practically relevant in various procedural situations.
Legal Basis and Scope of Application
Regulation in Civil Procedure Law
Pursuant to Section 331a ZPO, the court may, upon application of a party, render a judgment without further oral hearing if
- the opposing party fails to appear at the scheduled oral hearing or
- the opposing party, after rejection of a request for an oral hearing, expressly declares that no further submissions will be made.
In family matters and in proceedings of voluntary jurisdiction, Section 331a ZPO applies accordingly, unless the procedural rules contain deviating provisions.
Requirements for a Judgment Based on the State of the Files
The key requirements are:
- Duly served summons to the oral hearing, if applicable, with notice of a possible decision based on the state of the files,
- Non-appearance of the party or no further submissions after instruction,
- Application by the party present (without an application, no decision based on the state of the files is made).
The court examines whether the files are ready for decision and renders judgment exclusively on the basis of the facts and state of dispute as recorded up to that point.
Course of Proceedings and Legal Consequences
Procedural Effects
If a judgment based on the state of the files is issued, it is rendered as a default judgment, if the statutory requirements are met. In this respect, the special provisions regarding default proceedings (§§ 330, 331 ZPO) apply. However, it is also possible to render a so-called non-genuine judgment based on the state of the files if all parties agree at any point to a decision based on the state of the files (§ 128 para. 2 ZPO).
Legal Remedies
Against a judgment based on the state of the files, the parties basically have the same remedies as against any other judgment, in particular the remedy of appeal or the remedy of immediate complaint, as permitted.
In the case of a default judgment, an objection (§ 338 ZPO) is also possible, by which the case is restored to the status before the decision, provided the party against whom judgment was issued proves that the default was not due to their own fault.
Practical Suitability and Limitations
Cases of Application
The judgment based on the state of the files is applied especially in situations where a party does not appear for the oral hearing, and it is in the interest of judicial economy and a prompt process that the decision be made without further oral discussion.
Limitation and Exclusion
A judgment based on the state of the files may only be rendered if the subject matter in dispute is ready for decision and all relevant facts and statements are fully documented in the record. As soon as there are significant doubts about the clarification of the facts, or when new decisive facts are alleged, a decision based on the state of the files is excluded and an oral hearing must be conducted.
Distinctions and Special Situations
Distinction from Default Judgment
The judgment based on the state of the files under Section 331a ZPO is to be distinguished from the classic default judgment under Section 331 ZPO. While a default judgment is rendered only if the respondent does not appear at the oral hearing and the plaintiff files a relevant motion, a judgment based on the state of the files may also be rendered if all parties agree to a decision based on the state of the files.
Application in Other Types of Proceedings
A judgment based on the state of the files is also possible in administrative proceedings (§ 101 VwGO), in labor court proceedings (§ 495a ZPO), and in social court proceedings (§ 105 SGG). The requirements in each case are based on the relevant provisions of the respective procedural code.
Significance and Purpose of the Judgment Based on the State of the Files
The purpose of this form of decision is to ensure swift and effective enforcement of rights when personal discussion is unnecessary or impossible. It prevents unnecessary delays in the proceedings and spares the court from having to conduct hearings from which no further substantive insights are expected.
Literature and Further References
- Code of Civil Procedure (ZPO), § 331a
- Musielak/Voit, ZPO, Commentary, § 331a
- Thomas/Putzo, ZPO, Commentary, § 331a
- Stein/Jonas, ZPO, § 331a
Summary
The judgment based on the state of the files represents an important tool for efficient and appropriate adjudication without a mandatory oral hearing. The decision is made exclusively on the content of the court records and, in particular, provides a practical solution in cases of a party’s default or in written proceedings to bring the case to a timely conclusion. The statutory and procedural framework must be strictly observed to protect the rights of both parties and to ensure proper decision-making.
Frequently Asked Questions
When does a judgment based on the state of the files occur in civil proceedings?
A judgment based on the state of the files in civil proceedings is typically rendered when a party fails to appear at the oral hearing despite proper summons and has not filed a motion to continue the proceedings or has not adequately addressed the facts of the case (§ 331a ZPO). This so-called ‘proceeding based on the state of the files’ is also possible if both parties agree that the court should decide on the basis of the record. Such a judgment is particularly rendered in written proceedings or in cases where there is no need to take further evidence or discuss further motions. The court decides solely on the basis of the written submissions and the documents submitted up to that point, eliminating the need for personal hearings.
What legal requirements must be met for a judgment based on the state of the files?
A key requirement for a judgment based on the state of the files is that either both parties consent or one party fails to appear at the hearing despite proper summons and thus waives its right to an oral hearing. The procedure is subject to strict procedural rules: the parties must have had the opportunity to present their case fully in writing. Furthermore, no motion to postpone the hearing or to take evidence may be pending. The Code of Civil Procedure provides that the court must establish during the hearing at the latest whether the requirements for a decision based on the state of the files are met. Particular importance is attached to respect for the right to be heard; it must be ensured that both parties had sufficient opportunity to present their position in writing.
What legal remedies are available against a judgment based on the state of the files?
In principle, the same legal remedies are available against a judgment based on the state of the files as against other judgments. In first instance, this is generally an appeal (§ 511 ZPO) or, for certain amounts in dispute, a further appeal. There are, however, special aspects if the judgment is rendered due to a party’s default: an application for reinstatement may be possible if the default was not due to the party’s fault (§ 233 ZPO). The possibility remains to have the judgment reviewed for legality and the correct application of substantive and procedural law in the next instance.
What role does the right to be heard play in a judgment based on the state of the files?
The right to be heard is a fundamental judicial right and must also be respected in judgments based on the state of the files. This means that the court can decide on the record only if both parties had sufficient opportunity to present their arguments, objections, and evidence in writing. If the court concludes that a party has not had adequate opportunity to respond, it must grant this opportunity, even if this may prolong the proceedings. A breach of the right to be heard may lead to the judgment being overturned on appeal.
What procedural risks do parties face in a judgment based on the state of the files?
It is crucial that the judgment is based solely on the written submissions and evidence presented up to that point. Parties who waive an oral hearing or enable a decision based on the state of the files by default risk that the court may not take into account important points from their personal presentation or evidence motions. Subsequent corrections are difficult because the judgment is generally based on the status of the proceedings up to that point. This can have significant consequences for the enforcement or defense of claims.
Can the court still conduct its own investigations or take evidence in a judgment based on the state of the files?
As a rule, in a judgment based on the state of the files, the court’s consideration is limited to the evidence and materials already on record. The court does not conduct further investigations or take additional evidence, as there is an implied waiver of oral hearing or further evidence-taking. An exception is conceivable only if the court believes that further evidence is essential to fully resolve the matter—in such a case, however, the proceeding would have to return to the evidence-taking stage, which is rare in practice. A decision based on the state of the files thus means a restriction to what has already been presented and documented.
