Term and Definition of the Substantive Application
Ein Substantive Application is a key instrument in procedural law, by means of which a party requests—within the context of judicial or extrajudicial proceedings—that the court or decision-making body render a specific decision on the merits. Substantive applications are a central element in civil, criminal, administrative, and labor court proceedings and regularly provide the basis upon which the court decides. They must be distinguished from so-called procedural motions, which relate only to the progress of the proceedings and do not concern a substantive decision.
Legal Classification of the Substantive Application
Substantive applications are especially relevant in the context of court proceedings, but also in administrative and corporate assemblies. They regularly mark the culmination of each instance, as they limit and structure the scope of the judicial decision in accordance with the party disposition principle (for example, § 308 ZPO). Without a substantive application, a decision on the merits is generally not possible, as the court is not permitted to decide on matters not requested by the parties.
Types of Substantive Applications
Substantive applications appear in many forms, depending on the applicable procedural law. The most important types are explained below.
Principal and Auxiliary Applications
- Principal Application: The principal application is usually the central request by a party for a specific substantive decision, for example, for a judgment to pay, surrender, determination of a legal relationship, acquittal, or conviction in criminal law.
- Auxiliary Application: The auxiliary application is only brought in the event that the principal application is wholly or partly unsuccessful. It serves as a safeguard and is often formulated cumulatively with principal applications (e.g., § 260 ZPO — joinder of claims).
Alternative Application
The alternative application is also a request that depends on the handling of another application, for instance if the court evaluates the dispute differently than the party.
Joinder and Expansion of Substantive Applications
- Amendment of Claim (§ 263 ZPO): During proceedings, a party may adjust its substantive application by amending its claim.
- Change and Withdrawal of Claim: Changes to the subject matter of the dispute or the withdrawal of applications made by the parties are also subject to special rules.
Substantive Applications in Civil Proceedings
In German civil procedure, the substantive application is decisive for the court’s power to adjudicate (the so-called principle of party disposition, § 308 paragraph 1 ZPO). The court may only decide within the scope of the applications submitted (ne ultra petita). Exceeding the requested legal consequence is inadmissible and violates the right to be heard.
Contents, Form, and Timing
- Form: In principle, no specific form is prescribed for a substantive application. However, it is generally made orally for the record or in writing. The court may require precise formulation of the application.
- Content: The application must be sufficiently specific (§ 253 paragraph 2 no. 2 ZPO), so that the subject matter of the dispute is clearly defined.
- Timing: At the latest during the oral hearing, the final substantive applications must be submitted. After the close of the oral hearing (§ 296a ZPO), making or amending a substantive application is only possible to a limited extent.
Examples of Typical Substantive Applications in Civil Proceedings
- Claim for payment of a sum of money
- Claim for the surrender of an item
- Declaratory action (e.g. to establish the existence of a legal relationship)
- Claim for injunctive relief
Substantive Applications in Criminal Proceedings
In criminal proceedings, a distinction is made between substantive applications of the public prosecutor, the ancillary prosecutor, the accused, and other parties to the proceedings.
Filing and Importance of Applications
- Substantive Application of the Public Prosecutor: At the end of the main court hearing, the public prosecutor files an application for a specific legal consequence (punishment or measure) or for acquittal (§ 258 StPO).
- Substantive Application of the Defense: The defense also regularly files its own substantive applications, for example, for acquittal, discontinuance, or specific legal consequences.
- Ancillary Prosecutor and Other Parties: Entitled parties to the proceedings may file substantive applications, especially in connection with ancillary prosecution rights (§§ 395 ff. StPO).
Substantive Applications in Administrative Proceedings and Public Law Disputes
In administrative court proceedings, the substantive application determines the type and scope of judicial review. The basis is the types of claims under § 88 VwGO, with an application—typically in writing or for the record of the court office—limiting the subject matter of the dispute.
Requirements for Substantive Applications
- Specificity: The application must be sufficiently specific so that the contested administrative act and the requested decision are identifiable.
- Expansion and Withdrawal: Own regulations apply in administrative proceedings as well for the expansion and withdrawal of applications (§ 91 VwGO, § 92 VwGO).
Substantive Applications in Corporate and Association Assemblies
Outside of court proceedings, substantive applications are important for general meetings, shareholders’ meetings of joint-stock companies, or comparable bodies. They relate to specific resolutions, for example, the election of a board member or amendments to the articles of association.
Process
Substantive applications are submitted, discussed, and voted on in due form in accordance with the relevant articles of association, rules of procedure, or legal provisions.
Formal and Material Requirements for a Substantive Application
Requirement of Specificity
The application must be formulated in such a way that the court or the decision-making body can precisely identify the subject matter to be decided upon. Distinguishing it from a procedural motion (e.g., adjournment motion, motion to take evidence) is essential.
Admissibility
A substantive application may only be made in relation to a legally admissible and determinable application. Inadmissible or vague applications are to be rejected by the court.
Differences from Other Types of Motions
- Procedural Motion: Serves to manage the procedural sequence (e.g., motion for adjournment, suspension).
- Evidence Motion: Requests the establishment of specific facts, but not a decision on the main matter.
- Substantive Application: Aims at a substantive decision on the merits.
Legal Remedies and Effect of the Substantive Application
A substantively decided application that has become legally binding has a binding effect for the parties (res judicata). Incorrect or omitted substantive applications may, where appropriate, be corrected in appellate proceedings, but generally only cover the requested applications.
Literature
- Thomas/Putzo: Zivilprozessordnung, current edition.
- Meyer-Goßner/Schmitt: StPO, current edition.
- Kopp/Schenke: VwGO, current edition.
- Reichold/Lüke: Handbook of Corporate Law.
Summary
The substantive application is a central control instrument in procedural and resolution law. It determines the scope of judicial and organizational decisions, sets clear material and formal requirements, and thus guarantees legal certainty and clarity for all parties involved. The correct formulation and submission of substantive applications is a crucial aspect for the proper conduct of proceedings and assembly resolutions in all procedural codes and in practice.
Frequently Asked Questions
When is a substantive application admissible in court proceedings?
A substantive application is generally always admissible in court proceedings if the applicant has the capacity to be a party and to act in proceedings, and if the respective procedural code recognizes and permits the substantive application. There must be a specific and legally relevant dispute underlying the application, the judicial decision on which is possible within the framework of the applicable procedural law. A substantive application is inadmissible if it relates to a prohibited request (e.g., motion for a criminal act or motion with no ascertainable legal interest) or offends against public policy. Furthermore, the application must be sufficiently specific so that the court can understand that which it is to decide. The legal basis for admissibility depends on the type of proceedings and can be found in the Code of Civil Procedure (ZPO), Administrative Court Rules (VwGO), Social Court Act (SGG), or other relevant procedural rules.
What are the formal requirements for substantive applications?
The formal requirements for substantive applications are governed by the respective procedural rules. As a rule, the requirement of written form applies, unless the law explicitly permits exceptions (e.g., oral applications in the oral hearing under § 137 ZPO). A substantive application must be drafted clearly and precisely (§ 253 para. 2 no. 2 ZPO) to ensure that the court and the opposing party can clearly recognize what is being sought. In special proceedings, such as labor or family law matters, there may be additional formal requirements, for example, the court assisting with the formulation of the application. Electronic transmission methods are permitted provided they contain the required qualified electronic signature. Failure to meet the required form may result in the application being rejected as inadmissible.
What are the consequences of an indefinite or incomplete substantive application?
An indefinite or incomplete substantive application may lead to inadmissibility, as the court cannot identify what it is supposed to decide. According to § 253 para. 2 no. 2 ZPO and corresponding regulations in other codes of procedure, the application must be phrased so that the objective of legal protection is clearly identifiable. If this is not the case, the court will point out the lack of specificity and demand correction. If the defect is not remedied, the application will be rejected or dismissed as inadmissible. The requirements of specificity serve legal certainty and the assurance of a fair process, as the opposing party must also be able to respond to the applications in a prepared manner.
Can a substantive application be changed during court proceedings?
Yes, a substantive application can generally be changed during ongoing proceedings. However, changes to applications are subject to certain conditions, in particular those set out in § 263 ZPO (amendment of claim). An application may only be amended if the opponent consents or if the court considers it expedient. Changes must not produce an inadmissible element of surprise for the opposing party. Expediency exists where the change may allow for an appropriate and complete resolution of the dispute. Comparable rules apply in other procedural codes, sometimes with their own particularities (for example, in administrative proceedings pursuant to § 91 VwGO). The change should always be made in good time and with due regard to the procedural rights of the opposing party.
What are the legal effects of the rejection of a substantive application?
The rejection of a substantive application can have different consequences depending on the stage of proceedings and the specific procedure. If an application is rejected as inadmissible, there is no substantive examination of the asserted claim. The applicant may, if the rejection was not due to the res judicata effect, possibly file a new application after rectifying the defect of inadmissibility. In contrast, if the rejection follows substantive examination (dismissal for lack of merit), the judicial decision acquires res judicata effect and the subject matter can no longer be litigated in a new proceeding (ne bis in idem). A rejection can also have cost implications for the applicant.
What is the relationship between the substantive application and the court’s decision?
The substantive application forms the basis for the court’s decision, as the court, according to § 308 para. 1 ZPO, may only base its judgment on what is requested in the application (party disposition principle). The court may not go beyond the application (ultra petita) nor grant less than what was requested (minus petita), unless the law provides for exceptions. In special types of proceedings or, for instance, in the case of particularly protected groups (e.g., consumers or in social law), the court is sometimes less strictly bound regarding the application (official investigation principle, § 86 SGG). Application filing thus determines the scope and extent of the judicial ruling.
What is the significance of the legal interest in protection (‘Rechtsschutzinteresse’) in the substantive application?
The legal interest in protection is an indispensable prerequisite for the admissibility of a substantive application. It means that the applicant must have a current, protectable interest in the desired judicial decision. If this interest is absent, the application is inadmissible. The legal interest may be lacking, for example, if the subject matter in dispute is already settled by other means, if a court decision can no longer have any practical effect, or if there is an easier, quicker way to resolve the matter (principle of subsidiarity). The existence of legal interest is examined ex officio and is of particular importance, especially in declaratory or intermediate applications.
