Source: https://cms.law/en/int/expert-guides/cms-expert-guide-to-recognition-and-enforcement-of-judgements/germany
Timestamp: 2020-07-09 08:20:39
Document Index: 124447243

Matched Legal Cases: ['§ 328', '§ 328', '§ 722', '§ 722', '§ 23', '§ 723', '§ 723', '§ 328', '§ 794', '§ 794', '§ 118', '§ 492', '§ 796', '§ 796', '§ 1061', '§ 1061']

Energy Related products: call for evidence on post EU Exit approach
Home / All CMS Expert Guides / CMS Expert Guide to recognition and enforcement of... /
Is there an exequatur procedure?
What are the important judicial precedents?
Does the exequatur procedure mean that the case must be retried on the merits?
How long does the exequatur procedure take?
Is the opponent given the opportunity to challenge the exequatur?
1. Is there an exequatur procedure?
Yes. Recognition of a foreign judgment takes place automatically as long as the requirements are met and no grounds for refusal are invoked. Execution can be sought based only on a court declaration of enforceability (exequatur).
Exequatur will be issued by the local court at which the person against whom enforcement is sought has its general place of jurisdiction. If there is no general place of jurisdiction, the court within the jurisdiction of which assets or property of the person are located will be competent.
The exequatur procedure has no significant procedural features.
2. What are the applicable statutes?
2.1 Recognition in general civil matters
Section 328 of the Code of Civil Procedure governs the recognition of judgments handed down by a foreign national court in general civil matters:
§ 328 Anerkennung ausländischer Urteile § 328 Recognition of foreign judgments
(1) Die Anerkennung des Urteils eines ausländischen Gerichts ist ausgeschlossen: (1) Recognition of a judgment handed down by a foreign court shall be ruled out if:
1. wenn die Gerichte des Staates, dem das ausländische Gericht angehört, nach den deutschen Gesetzen nicht zuständig sind; 1. the courts of the state to which the foreign court belongs do not have jurisdiction according to German law;
2. wenn dem Beklagten, der sich auf das Verfahren nicht eingelassen hat und sich hierauf beruft, das verfahrenseinleitende Dokument nicht ordnungsmäßig oder nicht so rechtzeitig zugestellt worden ist, dass er sich verteidigen konnte; 2. the defendant, who has not entered an appearance in the proceedings and who takes recourse to this fact, has not duly been served the document by which the proceedings were initiated, or not in such time to allow him to defend himself;
3. wenn das Urteil mit einem hier erlassenen oder einem anzuerkennenden früheren ausländischen Urteil oder wenn das ihm zugrunde liegende Verfahren mit einem früher hier rechtshängig gewordenen Verfahren unvereinbar ist; 3. the judgment is incompatible with a judgment delivered in Germany, or with an earlier judgment handed down abroad that is to be recognised, or if the proceedings on which such judgment is based are incompatible with proceedings that have become pending earlier in Germany;
4. wenn die Anerkennung des Urteils zu einem Ergebnis führt, das mit wesentlichen Grundsätzen des deutschen Rechts offensichtlich unvereinbar ist, insbesondere wenn die Anerkennung mit den Grundrechten unvereinbar ist; 4. the recognition of the judgment would lead to a result that is obviously incompatible with essential principles of German law, and in particular if the recognition is not compatible with fundamental rights;
5. wenn die Gegenseitigkeit nicht verbürgt ist. 5. reciprocity has not been granted.
(2) Die Vorschrift der Nummer 5 steht der Anerkennung des Urteils nicht entgegen, wenn das Urteil einen nichtvermögensrechtlichen Anspruch betrifft und nach den deutschen Gesetzen ein Gerichtsstand im Inland nicht begründet war. (2) The rule set out in number 5 does not contravene the judgment's being recognised if the judgment concerns a non-pecuniary claim and if, according to the laws of Germany, no place of jurisdiction was established in Germany.
2.2 Enforcement in general civil matters
Sections 722, 723 and 794(1)(1-9) of the Code of Civil Procedure govern the enforcement of judgments handed down in general civil matters:
§ 722 Vollstreckbarkeit ausländischer Urteile § 722 Enforceability of foreign judgments
(1) Aus dem Urteil eines ausländischen Gerichts findet die Zwangsvollstreckung nur statt, wenn ihre Zulässigkeit durch ein Vollstreckungsurteil ausgesprochen ist. (1) Compulsory enforcement may be pursued under the judgment of a foreign court if such compulsory enforcement is ruled admissible by a judgment for enforcement.
(2) Für die Klage auf Erlass des Urteils ist das Amtsgericht oder Landgericht, bei dem der Schuldner seinen allgemeinen Gerichtsstand hat, und sonst das Amtsgericht oder Landgericht zuständig, bei dem nach § 23 gegen den Schuldner Klage erhoben werden kann. (2) That the local court (Amtsgericht) or regional court (Landgericht) shall be competent for entering the judgment on the complaint filed for such judgment with which the debtor has his general venue, and in all other cases, that the local court or regional court shall be competent with which a complaint may be filed against the debtor pursuant to section 23.
§ 723 Vollstreckungsurteil § 723 Judgment for enforcement
(1) Das Vollstreckungsurteil ist ohne Prüfung der Gesetzmäßigkeit der Entscheidung zu erlassen. (1) The judgment for enforcement is to be delivered without a review being performed of the decision's legality.
(2) Das Vollstreckungsurteil ist erst zu erlassen, wenn das Urteil des ausländischen Gerichts nach dem für dieses Gericht geltenden Recht die Rechtskraft erlangt hat. Es ist nicht zu erlassen, wenn die Anerkennung des Urteils nach § 328 ausgeschlossen ist. (2) The judgment for enforcement is to be delivered only once the judgment handed down by the foreign court has attained legal validity pursuant to the laws applicable to that court. The judgment for enforcement is not to be delivered if the recognition of the judgment is ruled out pursuant to section 328.
§ 794 Weitere Vollstreckungstitel § 794 Further enforceable legal documents
(1) Die Zwangsvollstreckung findet ferner statt: (1) Compulsory enforcement may furthermore be pursued:
1. aus Vergleichen, die zwischen den Parteien oder zwischen einer Partei und einem Dritten zur Beilegung des Rechtsstreits seinem ganzen Umfang nach oder in Betreff eines Teiles des Streitgegenstandes vor einem deutschen Gericht oder vor einer durch die Landesjustizverwaltung eingerichteten oder anerkannten Gütestelle abgeschlossen sind, sowie aus Vergleichen, die gemäß § 118 Abs. 1 Satz 3 oder § 492 Abs. 3 zu richterlichem Protokoll genommen sind; 1. based on settlements concluded by the parties, or between one of the parties and a third party, in order to resolve the legal dispute either in its full scope or as regards a part of the subject matter of the litigation, before a German court or before a dispute resolution entity established or recognised by the Land department of justice (Landesjustizverwaltung), as well as based on settlements that have been recorded pursuant to section 118 (1), third sentence, or section 492 (3) for the record of the judge;
2. aus Kostenfestsetzungsbeschlüssen; 2. based on orders assessing the costs;
2a. (weggefallen) 2a. (repealed)
2b. (weggefallen) 2b. (repealed)
3. aus Entscheidungen, gegen die das Rechtsmittel der Beschwerde stattfindet; 3. based on decisions against which a complaint may be lodged as an appellate remedy;
3a. (weggefallen) 3a. (repealed)
4. aus Vollstreckungsbescheiden; 4. based on writs of execution;
4a. aus Entscheidungen, die Schiedssprüche für vollstreckbar erklären, sofern die Entscheidungen rechtskräftig oder für vorläufig vollstreckbar erklärt sind; 4a. based on decisions declaring arbitration awards as enforceable, provided that the decisions are final and binding or have been declared provisionally enforceable;
4b. aus Beschlüssen nach § 796b oder § 796c; 4b. based on orders pursuant to section 796b or section 796c;
5. aus Urkunden, die von einem deutschen Gericht oder von einem deutschen Notar innerhalb der Grenzen seiner Amtsbefugnisse in der vorgeschriebenen Form aufgenommen sind, sofern die Urkunde über einen Anspruch errichtet ist, der einer vergleichsweisen Regelung zugänglich, nicht auf Abgabe einer Willenserklärung gerichtet ist und nicht den Bestand eines Mietverhältnisses über Wohnraum betrifft, und der Schuldner sich in der Urkunde wegen des zu bezeichnenden Anspruchs der sofortigen Zwangsvollstreckung unterworfen hat; 5. based on records or documents that have been recorded in accordance with the requirements as to form by a German court or by a German notary within the bounds of his official authority, provided that the record or document has been recorded regarding a claim that can be provided for by a settlement, that is not directed at obtaining a declaration of intent, and that does not concern the existence of a tenancy relationship for residential spaces, and furthermore provided that the debtor has subjected himself, in the record or document, to immediate compulsory enforcement of the claim as specified therein;
6. aus für vollstreckbar erklärten Europäischen Zahlungsbefehlen nach der Verordnung (EG) Nr. 1896/2006; 6. based on European orders for payment that have been declared enforceable according to Regulation (EC) No. 1896/2006.
7.-9 aus bestimmten Titeln, die in einem Mitgliedstaat der Europäischen Union auf Grundlage von EU-Verordnungen ergangen sind. 7.-9 Based on decisions rendered by an EU Member State based on certain EU regulations.
2.3 Special civil matters
Special rules apply for certain civil law matters. For example, Section 107 of the Act on Proceedings in Family Matters and in Matters of Non-contentious Jurisdiction governs decisions in matrimonial matters, and Section 108 applies to decisions concerning other aspects of family law. Further, Section 343 of the Insolvency Code provides the basis of the recognition of decisions to open insolvency proceedings.
2.4 Arbitral awards
The recognition and enforcement of judgments handed down by a foreign arbitral court are governed by Section 1061 of the Code of Civil Procedure in conjunction with the New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards 1958.
§ 1061 Ausländische Schiedssprüche § 1061 Foreign arbitration awards
(1) Die Anerkennung und Vollstreckung ausländischer Schiedssprüche richtet sich nach dem Übereinkommen vom 10. Juni 1958 über die Anerkennung und Vollstreckung ausländischer Schiedssprüche (BGBl. 1961 II S. 121). Die Vorschriften in anderen Staatsverträgen über die Anerkennung und Vollstreckung von Schiedssprüchen bleiben unberührt. (1) The recognition and enforcement of foreign arbitration awards is governed by the Convention of 10 June 1958 on the recognition and enforcement of foreign arbitral awards (published in Federal Law Gazette Bundesgesetzblatt, BGBl.) 1961 II page 121). The stipulations of other treaties concerning the recognition and enforcement of arbitration awards shall remain unaffected hereby.
(2) Ist die Vollstreckbarerklärung abzulehnen, stellt das Gericht fest, dass der Schiedsspruch im Inland nicht anzuerkennen ist. (2) Insofar as the declaration of enforceability is to be denied, the court shall determine that the arbitration award is not to be recognised in Germany.
(3) Wird der Schiedsspruch, nachdem er für vollstreckbar erklärt worden ist, im Ausland aufgehoben, so kann die Aufhebung der Vollstreckbarerklärung beantragt werden. (3) Where the arbitration award is reversed abroad, after having been declared enforceable, a petition may be filed that the declaration of enforceability be repealed.
3. What are the important judicial precedents?
Germany does not use a common law model, thus, “judicial precedents” do not apply. German law is based on statutory law.
Nevertheless, court rulings play an important role insofar as they concern the interpretation of a specific statute or simply a wording within a statute. There are numerous decisions in this regard – each of them relating to a very specific subject matter.
4. Does the exequatur procedure mean that the case must be retried on the merits?
Under Section 723(2) of the Code of Civil Procedure, foreign judgments must be declared enforceable if they are:
legally binding and enforceable in the state of origin; and
recognisable under Section 328 of the code.
Section 328(1) of the Code of Civil Procedure provides that foreign judgments are automatically recognised, except where one of the following grounds for refusal applies:
the foreign court was incompetent under German law;
the document by which the proceedings were initiated was not duly served on the defendant or in such time to allow the defendant to defend itself;
the judgment is incompatible with a previous judgment issued or a foreign judgment previously recognised in Germany;
the recognition is incompatible with fundamental principles of German law, especially fundamental civil rights;
reciprocity is not granted (i.e., the state of origin does not recognise German judgments under the same conditions under which Germany recognises judgments deriving from that state).Beyond that, the German courts cannot review foreign judgments on their merits. Under Section 723(1) of the Code of Civil Procedure, a so-called ‘revision au fond’ (i.e., a review of the substance of an arbitral award) is prohibited.
5. How long does the exequatur procedure take?
The typical timeframe for the proceedings to grant enforcement is four to seven months.
6. Is the opponent given the opportunity to challenge the exequatur?
Yes. The defendant may appeal the decision regarding the enforceability of a foreign judgment. During the enforcement proceedings, the defendant is entitled to general remedies against enforcement measures under German law. However, German law generally does not provide for an injunctive relief or anti-suit injunction against the recognition or enforcement of a foreign judgment.
Sandra Renschke
Version 2.0 (Latest) Version 1.0
+49 89 23807 119
+49 89 23807148