Main Proceedings

Main proceedings – Definition, significance, and legal structure

Das Main proceedings is a central element in German criminal procedure law and describes the phase of the criminal process in which the actual judicial hearing regarding the charges takes place. It forms the core of every criminal trial and follows the investigation procedure. In the main proceedings, the charges brought are examined and decided independently and impartially by the court.

Definition and distinction of the main proceedings

The main proceedings differ significantly from the investigation and intermediate proceedings in their process, legal function, and participants. It begins with the court’s admission of the indictment and ends with the final judgment.

Placement within the procedural sequence

1. Investigation procedure: Establishment of an initial suspicion and collection of evidence by the law enforcement authorities (in particular, the police and the public prosecutor’s office).
2. Intermediate proceedings: Examination of the indictment by the competent court regarding its admissibility (§§ 199–211 StPO).
3. Main proceedings: Conducting the main hearing before the competent court (§§ 212–332 StPO), issuance of the judgment and, if necessary, subsequent appeal proceedings.

Statutory regulation of the main proceedings

The legal basis for the main proceedings is primarily found in the Code of Criminal Procedure (StPO) , with the essential portion located in the section “Main Proceedings” (§§ 213 et seq. StPO). These provisions govern, in particular, the proceedings, the rights of those involved, the taking of evidence, and the reaching of a verdict.

Course of the main proceedings

Opening and preparation of the main hearing

The main proceedings begin with the opening order of the court, after the indictment has been reviewed in the intermediate proceedings. The court then sets date(s) for the main hearing and summons the participants (including witnesses and experts). The preparation serves to ensure an orderly and fair course of the proceedings.

Participants in the main proceedings

Public prosecutor’s office: Conducts the public prosecution and bears the burden of proof. Accused (defendant): Holder of the right to defense. Defense: Exercise and implementation of the rights of the accused. Court: Independent and impartial adjudicating body, consisting of professional judges and, if applicable, lay judges. Experts and witnesses: Support the establishment of the truth.

Principle of orality: All facts must be discussed orally in the main hearing. Principle of immediacy: The trial court must itself conduct the taking of evidence. Principle of publicity: The main hearing is, with few exceptions (§§ 169 et seq. GVG), public.

Significance of the taking of evidence in the main proceedings

Die Taking of evidence forms the heart of the main hearing. In this phase, all evidence is collected, examined, and evaluated. The taking of evidence is conducted according to the principle of free judicial evaluation of evidence, which is decisive for criminal proceedings (§ 261 StPO).

Types of evidence

In the main proceedings, the following types of evidence, among others, may be permissible and relevant:

• Examination of witnesses
• Expert opinions
• Documentary evidence
• Visual inspection

The decision on the conduct of the taking of evidence and the evaluation of the evidence lies with the trial court.

Conclusion of the main proceedings – judgment and consequences

After conclusion of the taking of evidence and the closing arguments, the court deliberates on the verdict. The court decides, at its discretion based on the evidence, whether the defendant’s guilt has been proven.

Pronouncement of the judgment

The judgment is pronounced publicly and with reasons (§§ 260, 268 StPO). There are three possible main decisions:

• Acquittal
• Conviction with a sentence
• Discontinuation of proceedings (e.g. in case of procedural impediments)

Legal remedies against the judgment

For judgments in the main proceedings, various legal remedies are available to the parties, notably appeal and revision, to have the judgment reviewed for material or procedural errors.

Special forms and variants of the main proceedings

Abbreviated procedure and penal order proceedings

In certain cases, German criminal procedure law provides for simplified or abbreviated forms of main proceedings, such as the penal order procedure (§§ 407 et seq. StPO) or the accelerated procedure (§§ 417 et seq. StPO).

Main proceedings in civil procedure law

Although the term “main proceedings” is primarily used in criminal procedure, it is also sometimes applied in civil procedure, particularly to distinguish it from preliminary injunctions or interim measures.

Further literature and regulations

Code of Criminal Procedure (StPO)
Courts Constitution Act (GVG)
* Federal Court of Justice (BGH) – established case law regarding the main hearing

Summary

The main proceedings are the central phase of the German criminal process, in which the court examines the indictment in a public main hearing with the participation of all parties and makes a final decision. It is characterized by the principles of orality, immediacy, and publicity. At the conclusion of the main proceedings, the court delivers its judgment and decides on the guilt or innocence of the defendant. Thus, the main proceedings are at the center of establishing the material truth and ensuring rule-of-law standards in criminal proceedings.

Frequently asked questions

How does the court prepare for the main proceedings?

Before the start of the main proceedings, the court undertakes a variety of organizational and legal preparations to ensure a proper course of the proceedings. First, the court checks the receipt and completeness of the indictment and its admissibility. It sets the date of the main hearing and properly and timely summons the parties to the proceedings—including the defendant, defense counsel, public prosecutor, private prosecutors, witnesses, and experts. In addition, all relevant files and evidence are carefully prepared and, if necessary, distributed in advance to the parties involved. Particularly in extensive or complex cases, a schedule is often created for the main hearing, which, for example, sets the order of witness testimonies and expert opinions. The court also preliminarily checks any motions to recuse judges for bias as well as possible procedural impediments such as limitation periods or grounds for discontinuation. Finally, the court ensures that all procedural prerequisites for a proper start of the main hearing are met.

What rights and obligations does the defendant have in the main proceedings?

In the main proceedings, the defendant is entitled to a number of rights securing their legal position and enabling a fair defense. These include, in particular, the right to be heard, the right to be present throughout the main hearing, the right to consult a defense counsel, and comprehensive access to the files by the defense. The defendant may comment on all evidence and proceedings, submit motions for evidence, and ask questions of witnesses and experts or have such questions asked by the defense. Furthermore, the defendant has the right to remain silent—i.e., not to testify regarding the matter. At the same time, certain obligations exist, particularly the duty to be present during the entire main hearing. Unexcused absence can lead to coercive measures. In addition, the defendant must comply with judicial orders such as appearance or examination, e.g., for identification purposes.

What role does the taking of evidence play in the main proceedings?

The taking of evidence is the core of main proceedings and involves the comprehensive and direct collection of all evidence relevant to decision-making. This includes especially the examination of witnesses, hearing of experts, inspection of documents, and assessment and evaluation of other items of evidence, such as physical exhibits. The taking of evidence follows the principle of orality and immediacy. It begins after the indictment has been read and any statements by the defendant have been made, and it extends over the entire duration of the main hearing until all evidence requested and admitted by the court has been collected. During the taking of evidence, all parties to the proceedings may question witnesses and experts, and present motions or suggestions for evidence. The court must carefully evaluate all evidence collected and assess it according to the principle of the free judicial evaluation of evidence (§ 261 StPO).

What options are there for filing motions in the main proceedings?

During the course of the main proceedings, various motions can be made that may significantly affect its progress and outcome. Typical motions include motions to take evidence (to have specific evidence collected), motions to deny the taking of evidence (e.g., due to irrelevance or to delay proceedings), motions to suspend the hearing, motions to discontinue proceedings, or to interrupt or adjourn the main hearing. In addition, procedural measures may be requested, such as the removal of spectators, exclusion of the public, or exclusion of specific persons from the trial. Procedural objections such as motions to recuse a judge for bias or objections to the conduct of the hearing are also permissible. All motions must be submitted to the court in proper form and within prescribed time limits and are generally presented orally at the hearing.

How can a judgment in main proceedings be structured and how is it pronounced?

The judgment in the main proceedings consists of an operative part (dispositive), a statement of reasons, and instructions on legal remedies. The operative part contains the findings on the guilt or innocence of the defendant as well as the determination of the legal consequence, for example, the amount of the sentence or a measure of rehabilitation and security, but may also be an acquittal or discontinuation of proceedings. The reasoning sets out the essential legal and factual considerations underlying the decision and must address all significant facts and evidence as well as the legal assessment. After the conclusion of taking evidence, the presiding judge reads out the operative part and announces the main reasons for the judgment. Subsequently, the judgment is formally pronounced, with the defendant and defense counsel being informed of the judgment and the instructions on legal remedies. The written judgment, including the full reasons, is delivered at a later date.

What legal remedies are available after the main proceedings?

Against a judgment in the main proceedings, the primary remedies available are appeal (Berufung, for judgments of the local court) and revision (for judgments of the regional and higher regional courts). The appeal allows for a complete new examination of facts and law and is typically admissible in straightforward criminal cases. The revision is limited to the review of the legal correctness of the judgment, in particular regarding procedural errors or errors in the application of substantive law. Other legal remedies are also possible, such as complaints against specific judicial measures or complaints of denial of the right to be heard. All legal remedies are subject to strict deadlines and special admissibility requirements, therefore a careful case-by-case examination and consultation with a criminal defense lawyer is recommended.

What are the consequences if the defendant is absent from the main hearing?

If the defendant is absent from the main hearing without excuse, the consequences depend on the type of proceedings. In criminal proceedings before the local court, the court may, under certain conditions, proceed in the absence of the defendant and issue a so-called default judgment. For more serious offenses or proceedings before the regional court, the defendant’s presence is generally mandatory. If absent without sufficient excuse, the court may order compulsory escort or issue an arrest warrant to secure the defendant’s appearance. Furthermore, absence is an administrative offense that can result in a fine. Repeated unexcused absence may have further-reaching legal consequences up to an adverse outcome in the proceedings for the defendant.