Definition and Function of Professional Courts
Professional courts are special courts in Germany responsible for monitoring and sanctioning breaches of professional regulations by members of certain liberal professions. Their main task is to oversee compliance with professional duties and codes of conduct, as set out in the respective professional laws and related statutes. Professional courts are part of the professional jurisdiction and play an important role in safeguarding the integrity and trust in the relevant professions.
Legal Basis and Jurisdiction
Statutory Foundations
The legal foundations of professional courts are profession-specific and regulated by various laws. The most important statutory provisions for each professional group, for example, can be found in the following statutes:
- Lawyer: Gesetz über die Tätigkeit europäischer Rechtsanwälte in Deutschland (EuRAG), Bundesrechtsanwaltsordnung (BRAO)
- Notaries: Bundesnotarordnung (BNotO)
- Patent Attorneys: Patentanwaltsordnung (PAO)
- Tax Advisors: Steuerberatungsgesetz (StBerG)
- Auditors and Sworn Public Accountants: Wirtschaftsprüferordnung (WPO)
- Doctors, Dentists, Pharmacists, Psychotherapists: Professional and chamber laws of the federal states
These statutes each contain separate provisions regarding the procedures of professional courts, their jurisdictions and the applicable law.
Material and Local Jurisdiction
The material jurisdiction of professional courts encompasses violations of professional or ethical duties. Local jurisdiction is generally determined by the place of business of the practicing professional or profession holder.
In some cases, special professional courts serve as courts of first instance, with appeal panels at Higher Regional Courts or specialized upper courts as the second instance, and designated panels at the Federal Court of Justice at the federal level.
Organization and Composition of Professional Courts
Professional courts are established as special panels and are regularly composed of one or more professionals as well as professional judges. The exact composition depends on the respective professional law provisions.
Composition
- Chair: A professional judge typically presides over the proceedings.
- Assessors: In addition to the chair, two assessors from the respective profession are usually involved.
- Participation Rights: The assessors have voting rights and are fully involved in the decisions.
Appeal Process
The appeal process in professional court proceedings is governed by the relevant statutes. Usually, the first instance is a professional court, the second instance is a higher professional court or a panel of appeal at the Higher Regional Court. In certain cases, the Federal Court of Justice is responsible as the court of revision.
Proceedings before the Professional Courts
Initiation of Proceedings
Professional court proceedings are regularly initiated by an indictment or application from the competent supervisory authority. Frequently, an official investigation precedes this, examining indications of violations of duty and serving to protect the professional practice affected.
Course of Proceedings
- Opening of Proceedings: After the investigations are completed, the professional court decides on the opening of the main proceedings.
- Main Hearing: In public or non-public session, the matter is heard orally, evidence is taken and the parties are heard.
- Pronouncement of Judgment: After deliberation, the professional court pronounces a judgment, either acquitting the defendant of the alleged breach of duty or establishing a professional violation.
- Legal Remedies: The parties can appeal (by way of appeal or revision) against judgments of the court of first instance.
Remedy Proceedings
The possibility of appeal depends on the respective professional law. Typically, appeal or revision is available, allowing the decision to be reviewed by a higher instance.
Sanctions and Measures of the Professional Courts
Professional courts may impose various sanctions, depending on the severity of the breach of duty. The range of possible measures is explicitly regulated in the respective professional law and includes in particular:
- Reprimand: Censure and warning regarding the criticized conduct
- Fine: Imposition of a financial penalty
- Professional Ban: Temporary or permanent exclusion from the profession
- Revocation of Authorization: Withdrawal of the license to practice the profession
- Removal from an office or honorary office within the professional body
In imposing sanctions, the prohibition of excess and the principle of proportionality must be observed.
Significance of Professional Courts for the Self-administration of Liberal Professions
Professional courts make a significant contribution to safeguarding the independence and integrity of the regulated professions. They enable the professions, through the involvement of their members, to supervise and shape their professional practice independently. This embedding in self-administration protects public trust in the respective professional groups.
The observance of professional and ethical obligations is ensured through a legally regulated and controlled process that grants the affected professionals the right to a fair trial and, at the same time, makes the high demands for professional practice binding.
Legal Remedies and Judicial Protection
All decisions of professional courts are subject to judicial review. Affected parties can initiate a review by higher courts using the legal remedies provided for in the professional statutes. Ultimately – after all levels of appeal have been exhausted – the route to the Federal Constitutional Court may be open in certain situations, provided that basic rights violations are claimed.
Furthermore, administrative court review is possible regarding measures of supervisory authorities if these require independent judicial examination.
Overview of the Most Important Professional Courts by Professional Groups
| Professional Group | Judicial Jurisdiction | Most Important Legal Basis |
|——————————|———————————-|————————————|
| Rechtsanwälte | Anwaltsgericht | BRAO |
| Notare | Notargericht | BNotO |
| Steuerberater | Steuerberatergericht | StBerG |
| Wirtschaftsprüfer | Wirtschaftsprüfergericht | WPO |
| Patentanwälte | Patentanwaltsgericht | PAO |
| Ärzte | Berufsgerichte nach Landesrecht | Heilberufe- und Kammergesetze |
Conclusion
Professional courts are indispensable organs for ensuring professional practice is in line with existing statutory and professional requirements. As a link between self-administration and the state judicial system, they guarantee independent, rule-of-law, and fair procedures in the enforcement of professional obligations. Their work promotes the protection of the general public and confidence in the responsible conduct of the affected professionals.
Frequently Asked Questions
What are the duties and responsibilities of professional courts in the legal context?
Professional courts are special panels responsible for disputes and disciplinary matters within certain liberal and chamber professions (e.g., doctors, lawyers, tax advisors, pharmacists, architects). Their main task is to monitor compliance with professional obligations and to sanction breaches of professional regulations. Their jurisdiction is regularly based on the relevant professional statutes (e.g., Bundesrechtsanwaltsordnung, laws governing the healthcare professions, Steuerberatungsgesetz), which govern both the procedure and the decisions to be taken. For example, they deal with questions of professional unworthiness, breaches of duty towards clients, colleagues or the chamber, as well as measures such as warnings, fines, bans from practicing, or even exclusion from the profession. Thus, professional courts do not act as criminal courts in the general legal sense, but exclusively within the context of the specific professional legislation, thereby serving to protect public confidence in the respective professions.
How does a professional court procedure proceed and what rights do the parties have?
A professional court proceeding is usually initiated by the respective professional body (chamber) or by a party involved, for example, if there are indications of a breach of duty by a member of the chamber. The procedure is shaped by the relevant professional codes and the respective professional court statutes. The usual process involves a preliminary review and initiation by the chamber, followed by a hearing of the party concerned, who is entitled to be heard and to inspect the files. If there is sufficient suspicion, a public oral hearing before the professional court takes place. The parties may submit evidence, nominate witnesses, and be represented by legal counsel. The court decides at its discretion according to the factual and legal situation; the ban on arbitrariness under the rule of law and the principle of proportionality must be observed. Remedies against decisions, such as appeals and complaints, are also provided for depending on the procedural rules.
What disciplinary measures can be imposed by a professional court?
Professional courts may impose various disciplinary sanctions depending on the seriousness and nature of the breach of duties, as prescribed by professional and statutory regulations. Possible measures typically include a reprimand, warning, fine (sometimes with a significant statutory cap), requirements, temporary or permanent bans on practicing the profession, up to exclusion from the professional organization. The final measure depends on the severity of the breach, the risk posed to the profession, and any previous convictions or repeat offenses. The courts must always observe the principle of proportionality and duly consider all mitigating circumstances.
Are professional courts part of the ordinary jurisdiction or do they have their own structure?
Professional courts are special panels, which are often attached to existing courts (such as regional courts, higher regional courts or administrative courts), but operate independently of the ordinary jurisdiction. They have special chambers – for example, lawyers’ courts, tax advisors’ courts, doctors’ courts – which are staffed by judges and, in some cases, professional assessors. The procedural provisions differ in many aspects from those of the ordinary courts, such as the composition, the publicity of proceedings, and the possibilities for appeal. Appeals against judgments are generally heard before a higher professional court (such as a lawyers’ appellate court, appellate chamber). The specific classification and organization are detailed in the relevant professional laws.
Who can file applications or complaints before a professional court?
The right to file applications and complaints before professional courts primarily lies with the professional bodies (chambers) responsible for professional oversight. Usually, the board or certain committees of the chamber act ex officio or in response to information from third parties. In individual cases, affected third parties, such as clients, colleagues or institutions, may file a report; however, private individuals usually do not have a direct right to file an application, but only a right to report, so that further investigations and the initiation of action are regularly carried out through the chamber. In certain situations, the person concerned can also file applications in their own interest, for example, to reopen proceedings.
What legal remedies are available against decisions of a professional court?
Depending on the professional group and federal state, different legal remedies can be lodged against decisions of the professional courts. Most commonly, this is an appeal, which can be filed with a higher professional court (e.g., lawyers’ appellate court, appellate panel of the Higher Regional Court). In some cases, a complaint or even recourse to the Federal Court of Justice is possible, for example, in fundamental issues of professional law or legal issues of supraregional significance. The time limits and admissibility requirements are set out in the respective statutes and procedural codes (e.g., Bundesrechtsanwaltsordnung, Steuerberatungsgesetz).
What legal foundations govern the work of professional courts in Germany?
The legal foundations for the work of professional courts are the specific federal and state laws applying to the respective chamber professions. Examples include the Bundesrechtsanwaltsordnung (BRAO), Steuerberatungsgesetz (StBerG), the laws regulating healthcare professions, the Architects Act, or the corresponding state professional court laws. These statutes govern the composition of the courts, the proceedings, the disciplinary measures, the legal remedies, and the rights of the parties in detail. Additionally, the respective codes of professional conduct, issued by the chambers, apply and stipulate specific professional obligations, the violation of which can trigger professional court measures. The provisions of the Code of Administrative Court Procedure or the Criminal Procedure Code only apply in certain – often procedural – respects.
