Principle of Party Presentation
Der Principle of Party Presentation is a central principle in German civil procedure law and refers to the rule that the parties to a court proceeding are themselves responsible for presenting the facts that are decisive for the dispute and, if necessary, submitting the relevant evidence. The Principle of Party Presentation is directly connected to other procedural principles, such as the principle of oral proceedings and the principle of official investigation, and has a decisive influence on the process and structure of civil proceedings.
Concept and Importance of the Principle of Party Presentation
Definition
Within the framework of the Principle of Party Presentation, it is the responsibility of the disputing parties to present (to “bring forward”) all factual circumstances and evidence relevant to the decision to the court. The court is therefore generally not obliged to conduct its own investigations or to consider additional facts not introduced by the parties into the proceedings.
Distinction from Other Principles
The Principle of Party Presentation stands in contrast to the Principle of Official Investigation (official investigation principle), which is primarily applied in administrative procedural law or criminal procedural law. There, the court is obligated to clarify the facts ex officio, even independently of the submissions of the parties.
Legal Basis and Statutory Foundation
Code of Civil Procedure (ZPO)
The regulations regarding the Principle of Party Presentation are found particularly in the German Code of Civil Procedure (ZPO). Central is § 138 ZPO (obligation for truthfulness and full disclosure of facts in party submissions) as well as §§ 282 et seq. ZPO to promote the proceedings and for party submissions.
Application in Other Proceedings
While the Principle of Party Presentation characterizes civil procedural law, the Principle of Official Investigation applies in administrative procedural law (§ 86 VwGO) and in criminal proceedings in various forms. In labor court judgment proceedings as well as social court proceedings, hybrid forms occur, with a general focus on the principle of official investigation.
Content and Scope of the Principle of Party Presentation
Party Responsibility for Presentation of Facts and Evidence
In civil proceedings, the parties bear the responsibility to present all facts and evidence fully and in a timely manner. The court is neither obliged nor entitled to investigate new facts or evidence on its own initiative or to provide the parties with additional guidance regarding possible facts.
Limits and Exceptions
Exceptions exist in particular in cases of official notice (facts known to the court) or court-known events. Here, the court may take facts into account even without party submissions. In addition, § 139 ZPO establishes a judicial duty to provide guidance, whereby the court, for the sake of advancing the proceedings, may give instructions and ask questions if party submissions are unclear or incomplete.
Effects on the Proceedings
Burden of Proof and Duties to Advance the Proceedings
The Principle of Party Presentation directly affects the allocation of the burden of proof between the parties. Whoever seeks to derive rights from an alleged fact generally also bears the burden of producing and proving it. If a party fails to present or prove a material fact, this is to its detriment.
Late Submissions
If the presentation of facts or the submission of evidence occurs after the conclusion of the oral hearing or after certain deadlines have expired, the court may reject such submissions pursuant to § 296 ZPO if it would delay the resolution of the case.
Relationship to the Principles of Official Investigation and Official Determination
Differences
While the Principle of Party Presentation is based on the party process principle and the self-responsibility of the parties, the principle of official investigation obliges the court to thoroughly establish the facts. The Principle of Party Presentation is often also understood as an expression of the principle of disposition, since the parties control the subject matter and scope of the proceedings through their submissions.
Significance in International and Special Proceedings
Principle of Party Presentation in Arbitration Proceedings
The Principle of Party Presentation may also apply in arbitration proceedings, depending on the arbitration agreements made and the applicable procedural law. Here, too, the parties are usually responsible for presenting the facts, while the arbitral tribunal often enjoys a broader margin of appreciation.
European and International Comparisons
In international civil procedure, such as under the Brussels Ia Regulation or within continental European legal systems, similar principles are widespread. In common-law countries, such as the United Kingdom or the USA, the presentation of facts is also generally the responsibility of the parties.
Summary and Practical Relevance
The Principle of Party Presentation forms the foundation of German civil procedural law and ensures the parties’ self-responsibility for the presentation of facts. The enforcement of claims and the defense against unfounded claims in civil proceedings depend decisively on the complete and timely presentation as well as proof of facts relevant to the decision. The clear separation between party submissions and judicial decision-making serves to promote efficient proceedings, clarity, and procedural economy.
Literature
- Stein/Jonas, Zivilprozessordnung, Volume 2, § 138 ZPO
- Thomas/Putzo, Zivilprozessordnung, § 138, § 139 ZPO
- Musielak/Voit, Zivilprozessordnung, § 138 ZPO
See also
- Code of Civil Procedure (ZPO)
- Principle of Official Investigation
- Principle of Disposition
- Burden of Proof
- Party Proceedings
Note: This article serves as a comprehensive source of information on the Principle of Party Presentation in German procedural law and is intended to provide a quick understanding of basic concepts and systems in particular.
Frequently Asked Questions
What is the significance of the Principle of Party Presentation in German civil procedure law?
The Principle of Party Presentation is a central component of German civil procedural law and decisively determines the procedure in fact-finding proceedings. It means that the parties are responsible for obtaining and presenting the factual material necessary for the decision (“Da mihi factum, dabo tibi ius” – Give me the facts, I will give you the law). The court decides solely on the basis of the facts submitted and, if applicable, proven by the parties. The court therefore has no duty to seek out means of evidence or facts on its own initiative (prohibition of ex officio investigation). This is intended to ensure a fair, party-driven procedure. Especially in civil proceedings, which are based on the principle of party autonomy, the Principle of Party Presentation thus differs fundamentally from other types of proceedings, such as criminal or social proceedings, in which the principle of official investigation (Principle of Official Investigation) applies.
What obligations result for the parties from the Principle of Party Presentation?
The Principle of Party Presentation gives rise to the primary obligation of the parties to present all facts relevant to the decision themselves in the court proceedings (burden of presentation) and to name suitable evidence (offer of proof). Anyone wishing to assert a fact must present it fully, in a substantiated manner, and in a way comprehensible to the court. If a party does not comply with these obligations, it runs the risk of losing the case because the court may only consider what has been properly presented and proven. The principle is closely linked to the rules on the burden of proof, according to which the party bearing the burden of proof suffers the negative procedural consequences in the absence of clarification of facts.
Are there exceptions to the Principle of Party Presentation and, if so, which ones?
Yes, there are exceptions to the strict Principle of Party Presentation, particularly where the law provides for judicial involvement. Under § 139 ZPO (court’s duty to give hints), the court has a duty to clarify in order to complete unclear or incomplete party submissions. The aim is to reach the most legally consistent decision possible and to avoid surprise judgments. Further exceptions apply in the case of obvious facts (§ 291 ZPO) as well as within the framework of judicial orders for the taking of evidence and official investigations in special constellations (e.g. in family or child proceedings, as well as in labor court proceedings to a limited extent).
How does the Principle of Party Presentation affect appeal proceedings?
The Principle of Party Presentation fundamentally remains in force in appeal proceedings; however, its significance is limited due to the restricted review powers of the appellate court. According to § 529 ZPO, the appellate court generally only examines the facts already presented and introduced into the proceedings at first instance. New factual submissions on appeal are only admissible under the narrow conditions of § 531 (2) ZPO. Therefore, the parties must already provide comprehensive and substantial submissions in the first-instance proceedings, as later supplementation is only exceptionally promising.
What are the differences between the Principle of Party Presentation and the Principle of Official Investigation?
The Principle of Party Presentation and the Principle of Official Investigation differ fundamentally in terms of the allocation of tasks between judges and parties. Under the Principle of Party Presentation – as in civil procedure – only the parties are responsible for procuring and presenting the factual material. In contrast, in proceedings governed by the Principle of Official Investigation, such as administrative or social court proceedings, the court is obliged to contribute to the establishment of facts ex officio and to investigate all relevant facts on its own initiative. This results in increased judicial responsibility, whereas civil proceedings place greater emphasis on the parties’ own responsibility and initiative.
What role does the Principle of Party Presentation play in connection with the judicial duty to give hints under § 139 ZPO?
The judicial duty to give hints under § 139 ZPO is intended to support the implementation of the Principle of Party Presentation in the interests of a fair trial, without eliminating the central principle of party responsibility. The court should, through questions and advice, ensure that the parties can sufficiently present the facts relevant to the decision, especially when substantiated information is lacking or the submission is unclear. The duty to give hints thus serves procedural efficiency and equality of arms, but does not relieve the parties of their obligation to make their own complete submissions.
To what extent does the Principle of Party Presentation affect the taking of evidence?
In civil proceedings, evidence is only taken to the extent that one of the parties has offered specific evidence for a fact it has asserted and which has been disputed by the opposing party. The court decides under § 284 ZPO which evidence to take, but, due to the Principle of Party Presentation, is bound by the submissions and evidence named by the parties. The court does not gather new evidence ex officio, nor does it deviate from the parties’ submissions as the basis for taking evidence. The scope and content of judicial fact-finding therefore depend significantly on the initiative and quality of the parties’ submissions.
What procedural consequences result from a violation of the Principle of Party Presentation?
A violation of the Principle of Party Presentation by a party – for example, by insufficient, tardy, or unsubstantial submissions of facts – can have serious procedural consequences. The court may regularly not consider facts that have not been properly submitted (“precluded”). If a party fails to present favorable facts or offers of proof on time, this can result in a dismissal of the claim or an adverse decision. The requirement to provide the complete and timely factual material ensures that the proceedings are conducted efficiently and focused, although the risk and control responsibility rests with the parties themselves.
