Definition and significance of the submission of official files
The submission of official files refers to the legally regulated transfer of officially kept documents and records by an authority to a court, another authority, or in special cases to an authorized body. This measure serves to provide evidence for investigative, administrative, or court proceedings and represents a central instrument for establishing the facts in administrative court or criminal proceedings.
Legal basis
Administrative law regulations
In administrative proceedings, the release or provision of official files is regulated in particular by the Code of Administrative Court Procedure (VwGO), the Administrative Procedure Act (VwVfG), as well as state-specific laws. According to section 99 VwGO, for example, the court may request the submission of files if this is necessary for decision-making. Authorities are obliged to provide them unless disclosure of the contents would harm the interests of the Federation or a federal state (so-called confidentiality interest).
Official assistance and submission of files
Pursuant to section 4 VwVfG, authorities are required, within the scope of official assistance, to support other authorities in carrying out their tasks, which may include the transmission of files. The lawfulness and scope of the submission depend on the principles of administrative procedure and special statutory provisions.
Regulations in criminal procedure
In criminal proceedings, the obligation to provide files arises from the provisions of the Code of Criminal Procedure (StPO). In particular, section 95 StPO stipulates that authorities are required to hand over objects that are relevant as evidence. Files may consist of investigation files as well as other official documents that serve to establish the facts.
Restrictions on the submission of files
The obligation to provide files can be limited if overriding public or private interests of confidentiality exist, such as according to section 96 StPO. In such cases, the highest administrative authority may refuse to submit the files if disclosure of their contents would have harmful consequences for the welfare of the Federation, a federal state, or essential interests of the general public (confidentiality reservation).
Civil proceedings and other procedures
In civil proceedings, the matter is governed by the Code of Civil Procedure (ZPO). According to section 142 ZPO, the court may also require authorities to submit official files. The authority must state the reasons if it refuses the disclosure.
In social court proceedings, this is governed by sections 103 et seq. SGG. There too, there are possibilities and limitations for the transmission of files.
Process and procedure for submitting files
Request by the court
A court may formally request an authority to provide the relevant files, for example in the context of an order to take evidence. The request must relate to specifically identified files; a blanket request is inadmissible. The authority will then examine whether there are any obligations of involvement or confidentiality that stand in the way.
Decision on the submission
In cases of confidentiality reservations, the authority examines whether and to what extent the files or parts thereof cannot be transmitted. If this cannot be avoided, the submission of the files—in administrative court proceedings according to section 99 (2) VwGO—may be ordered by the court. This may require an in camera proceeding, in which the court examines the files excluding the parties, in order to balance the interest in clarification and the need for confidentiality.
Legal remedies and judicial protection
If the submission of files is refused, it is generally possible to seek judicial protection in the form of the so-called in camera proceeding in accordance with section 99 (2) VwGO, or by filing a complaint under section 147 StPO. The court then decides independently whether the reasons for refusal are valid.
Significance for the proceedings
The availability of official files is of considerable importance for ascertaining the facts and for the determination of the material truth in court proceedings. It ensures that all relevant information can be taken into account in the decision-making process. The submission of files can be decisive for the evaluation of evidence, especially with regard to the ex officio investigation principle and the judicial duty to clarify the facts.
Failure to provide files, despite a court order, can have procedural consequences. For example, under section 96 ZPO, the court may reverse the burden of proof or assess the evidence to the detriment of the authority refusing to provide them.
Borderline cases and special aspects
Confidentiality and data protection
The transmission of official files is subject to data protection provisions, in particular the General Data Protection Regulation (GDPR) and the Federal Data Protection Act (BDSG). Personal data may only be transmitted as permitted by law, provided there is a legal basis for processing and there are no overriding interests worthy of protection to the contrary.
Priority protected interests
Special provisions may apply to files containing classified information, information on personal lifestyle, health data, or trade and business secrets. The respective relevant regulations, such as the law on the formal obligation of non-civil servants or corresponding confidentiality obligations, must be included in the assessment.
Summary
The submission of official files is a legally complex procedure to ensure clarification in administrative, criminal, and civil proceedings. It is subject to strict legal limits and involves balancing the public interest in establishing the facts and the protection of confidentiality interests. The specific procedural design is determined by the relevant procedural rules and the requirements and restrictions stipulated therein. The necessary interaction of various legal bases guarantees legal certainty and transparency for all parties involved in the proceedings.
Frequently Asked Questions
What legal requirements must be met for the submission of official files?
The submission of official files is subject to strict legal requirements that are primarily based on the principles of data protection, confidentiality obligations, and the relevant procedural rules. In principle, authorities may only disclose files if there is an explicit legal authorization or disclosure is required to fulfill statutory duties. Special provisions, such as section 99 of the Code of Administrative Court Procedure (VwGO) or section 474 of the Code of Criminal Procedure (StPO), often need to be observed, which specify the requirements and procedures for the submission of files. Additionally, it must be examined whether interests warranting protection of private parties or public concerns preclude the submission of files. As a rule, a specific, case-by-case balancing of interests must be carried out, especially when it involves personal data or trade and business secrets. Without this careful examination of the legal requirements, the submission of files may be unlawful and, under certain circumstances, lead to claims for damages or disciplinary consequences for responsible officials.
May personal data be disclosed when submitting official files?
The disclosure of personal data in the context of file submission is permitted under the General Data Protection Regulation (GDPR) and the respective national data protection laws only if a legal basis exists or explicit consent of the data subjects has been obtained. Of particular importance is the so-called purpose limitation principle, which restricts the use of personal data to the specific purpose specified at the time of collection. Upon requests from courts or other authorities, the disclosing authority checks whether the disclosure is strictly necessary for the respective purpose. Where necessary, files shall be submitted only in excerpts or in anonymized form, especially when sensitive data is involved. Violations of data protection provisions can result in supervisory measures and significant fines.
Can the authority refuse to submit files, and for what reasons?
An authority may refuse to submit files if overriding public interests, the public good, or legitimate interests of third parties, such as confidentiality interests, oppose disclosure. The relevant procedural rules, such as section 99 (1) sentence 2 VwGO, expressly provide for this. The reasons for refusal must be understandable and documented. These include, for example, the protection of investigative interests, the maintenance of official secrets, or the protection of personal data, if disclosure would be disproportionate. In case of judicial review, the court must examine and assess the reasons for refusal in a so-called in camera proceeding (confidential proceeding).
Who is legally authorized to request the submission of official files?
Courts and, in certain cases, other administrative authorities are generally authorized to request the submission of official files. The specific authority is determined in each case by the relevant procedural laws and jurisdictional provisions, such as the Code of Administrative Court Procedure (VwGO), the Code of Criminal Procedure (StPO), or the Administrative Procedure Act (VwVfG). In addition, parliamentary committees of inquiry, audit courts, or certain supervisory bodies may submit a request for submission of files. Private individuals or lawyers do not usually have such a right, unless there is an explicit legal basis, for example within the framework of file inspection rights under the Freedom of Information Act (IFG) or at certain procedural stages.
What deadlines apply to the submission of official files?
The statutory deadlines for the submission of official files are regulated differently depending on the procedural rules. In administrative or court proceedings, the deadline is usually determined by the instructions of the respective court or requesting authority. For example, the court may set a specific deadline for the submission of files in its order. If no express deadline is set, the files must be submitted “without undue delay,” that is, without culpable delay. In cases of particular urgency, shorter deadlines may be imposed. In the event of missing a deadline, the court may order coercive measures or reprimand the authority’s delay in court.
To what extent must official files be submitted?
The obligation to submit files generally applies to all files that are relevant to the particular matter. In the legal context, a distinction is made between complete, excerpted, and selective submission. The authority may withhold, block, or redact parts of files that are not covered by the file submission request or that contain information requiring protection. The principle of proportionality is crucial: only those parts of the files necessary for clarification of the facts may be submitted, with careful consideration given to confidentiality and data protection interests.
What legal consequences can an unlawful submission of files have for the authority?
An unlawful submission of official files can have significant legal consequences for the authority concerned and the officials involved. Possible consequences include administrative objections, disciplinary measures against responsible employees, claims for damages by affected parties, as well as criminal consequences, for example, for violation of official secrecy and special confidentiality obligations (section 353b StGB). Furthermore, unlawful disclosure of files can result in supervisory measures by data protection authorities and can significantly damage the reputation of the institution concerned. In serious cases, the use of such evidence in court proceedings may be excluded.
