Summary Table of Contents

Summary Table of Contents Preface Table of Important Abbreviations V XXIII Part 1: Introduction to Commercial Dispute Resolution in Germany Chapter ...
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Summary Table of Contents Preface Table of Important Abbreviations

V XXIII

Part 1: Introduction to Commercial Dispute Resolution in Germany Chapter 1: Commercial Litigation

1

A. Some Distinct Features of Litigation in German Courts

1

B. Basic Elements of the German Civil Justice System

2

C. The Court System

12

D. Jurisdiction

15

E. Pleading in German Litigation

22

F. Fact-Finding prior to Commencing Action

26

G. Preparing and Securing Evidence

35

H. Strategy Considerations

38

I. Commencing the Action

51

J. Court Order and Service of Process

54

K. Possible Responses by Defendant

59

L. Third-Party Intervention

62

M. Further Actions by Plaintiff

63

N. Joint Actions by the Parties

65

O. Additional Court Orders

67

P. Interruption of Proceedings

69

Q. The Oral Hearing

69

R. Evidentiary Proceedings

72

S. Establishing the Law

87

T. Judgments

89

U. Appellate Remedies

93

V. Enforcement and Execution of German Judgments

103

W. Provisional Relief

Ill

X. Legal Assistance in Aid of Foreign Proceedings

118

http://d-nb.info/1075928117

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Summary Table of Contents

Chapter 2: Arbitration

125

A. Introduction

125

B. The Arbitration Agreement

128

C. Constitution and Composition of the Arbitral Tribunal

136

D. The Arbitrator's Contract

143

E. Jurisdiction of Arbitral Tribunal

148

F. The Arbitral Proceedings

149

G. Making of Award and Termination of Proceedings

164

H. Recourse against Award

179

I. Recognition and Enforcement of Arbitral Awards

187

Chapter 3: Mediation

191

A. Introduction to Mediation in German Commercial Disputes

191

B. International Regulatory Developments

193

C. Statutory Framework of Mediation in Germany

194

D. Mediation Clauses and Agreements

198

E. Mediation and Court Proceedings

199

F. Mediation Procedure

200

G. Conclusion of Mediation Proceedings

206

Part 2: Relevant Statutory and Regulatory Materials A. German Statutory Instruments

211

B. EC Regulations

318

C. Bilateral and Multilateral Treaties

395

D. German Institutions and Rules for Arbitration

426

E. German Institutions and Rules for Mediation

446

Appendix 1 Selected Sample Calculations of Fees in German Proceedings

453

Appendix 2 Bibliography

461

Appendix 3 German-English Glossary

467

Table of Contents Preface Table of Important Abbreviations

V XXIII

Fart 1: Introduction to Commercial Dispute Resolution in Germany Chapter 1: Commercial Litigation

1

A. Some Distinct Features of Litigation in German Courts

1

B. Basic Elements of the German Civil Justice System I. The German Civil Law System II. Sources of Civil Procedure Law 1. Constitutional Law 2. Statutes a) Core Statutes b) Major Reforms 3. European Legislation and International Treaties III. General Principles of Civil Procedure Law IV. The Actors in German Litigation 1. The Parties 2. The Lawyers a) Education and Training b) Judges c) German Attorneys d) Foreign Attorneys 3. Court Officers V. Efficiency of the System 1. Duration of Proceedings 2. Litigation Costs a) Court Costs b) Attorney Fees aa) Statutory Fees bb) Negotiated Fees c) Reimbursement of Costs d) Examples

2 2 3 3 3 3 4 4 6 6 6 7 7 7 8 8 8 9 9 9 9 10 10 10 11 11

C. The Court System I. Jurisdictional Branches II. The Civil Courts 1. Entry-Level Courts a) Local Courts b) Regional Courts 2. First Appellate Level (Berufung) a) Regional Courts

12 12 12 12 12 12 13 13

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b) Higher Regional Courts 3. Second Appellate Level (Revision) III. Extraordinary Appeals 1. Federal Constitutional Court 2. European Court of Justice 3. European Court of Human Rights

13 13 14 14 14 14

D. Jurisdiction I. Overview: Jurisdiction, Applicable Law, Sovereign Immunity .... 1. Jurisdiction 2. Applicable Procedural Law 3. Sovereign Immunity II. Proper Jurisdictional Branch III. Exclusive Jurisdiction IV. Agreement on Jurisdiction V. Jurisdiction by Failure to Raise an Objection VI. General and/or Special Jurisdiction 1. General Jurisdiction 2. Special Jurisdiction 3. In Particular: Long-Arm Jurisdiction VII. Multiple Jurisdiction and Lack of Jurisdiction VIII. Jurisdiction Determined by a Superior Court IX. Forum Shopping and Lis Pendens X. Challenges to Jurisdiction 1. Forum Non Conveniens 2. Anti-Suit Injunctions XI. Reference to a Valid Arbitration Agreement

15 15 15 15 15 16 16 17 17 18 18 18 18 19 19 20 21 21 21 22

E. Pleading in German Litigation I. The Method of "Comparative Analysis" II. Submissions and Pleading 1. Principle of Oral Procedure and the Differing Practice 2. Number and Timeliness of Submissions 3. Contents of Submissions a) Statement of Facts b) Specifying Evidence c) Pleading the Law 4. Length and Style of Submissions

22 22 23 23 24 24 24 25 25 25

F. Fact-Finding prior to Commencing Action I. General II. Exploring the Information Available to the Party 1. Review of Documents, Physical Inspections and Interviews ... 2. Use of Commercial Information Providers 3. Use of Outside Experts 4. Public Registers a) Registers to Determine Domicile b) Company Registers c) Debtors' Register d) Land, Ship, Aircraft and Matrimonial Property Registers .. III. Using Inspection Rights for Files kept at Public Authorities 1. Files at Regulatory Authorities

26 26 26 26 27 27 27 27 28 28 29 29 29

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a) Information Rights under Federal and State Freedom of Information Acts b) Information Rights under General Administrative Law .... 2. Files in the Criminal Justice System a) Inspection Rights b) Reporting Alleged Crimes 3. Files at the Civil Courts 4. Files at Other Courts 5. Requests for Information and for Forwarding of Files 6. Blocking Inspection Rights IV. (Expedited) Court Procedures for Obtaining Information 1. Court Proceedings for Information 2. Expedited Court Procedures for Information in Company Law V. Disclosure Proceedings Abroad

29 30 30 30 31 31 32 32 33 33 33 33 34

G. Preparing and Securing Evidence I. Preparing Evidence 1. Means of Evidence 2. Preparing Documents and Objects for Inspection 3. Preparing Expert Testimony 4. Preparing Witness Testimony a) Securing Potential Witnesses b) Preparing Witnesses II. Independent Procedure for the Taking of Evidence

35 35 35 35 36 36 36 37 37

H. Strategy Considerations I. Selection of Forum II. Selecting the Right Parties 1. Plaintiff a) Assignment of Claim b) Joinder of Multiple Plaintiffs 2. Multiple Defendants a) Joinder b) Increased Cost Risk 3. Third-Party Notice 4. Class or Group Actions a) Registered Interest Group Acting as Plaintiffs b) Common Representative Acting as Plaintiff c) Capital Markets Model Case Act III. Timing Issues 1. General 2. Limitation Period IV. Choice of Procedure 1. Collection Proceedings a) Collection Proceedings under German Law b) European Collection Proceedings for Uncontested Claims.. c) Collection proceedings by an European Order for Payment d) European Proceedings for Small Claims 2. Summary Proceedings Based on Documentary Evidence or a Bill of Exchange 3. Action by Stages

38 38 39 39 39 39 40 40 41 41 42 42 42 42 44 44 44 45 45 45 46 46 47 47 48

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4. Ancillary Procedures V. Reducing Cost Risks 1. Action for a Partial Claim Only 2. Legal Aid 3. Legal Cost Insurance 4. D&O and other Business-Related Types of Insurance 5. Litigation Financing

48 49 49 50 50 51 51

I. Commencing the Action I. Filing the Statement of Claim 1. Contents of the Statement of Claim a) Specifying the Court and the Parties b) Specifying the Relief Sought aa) Types of Relief Available bb) Motion for Relief c) Statement of Value of the Matter and Signature 2. Exhibits to the Statement of Claim a) Interdependencies between the Statement of Claim and its Exhibits b) Foreign-Language Exhibits II. Prepayment of Court Costs

51 51 52 52 52 52 52 53 53

J. Court Order and Service of Process I. The Role of the Court 1. Structuring the Proceedings by Court Orders 2. Duty to Give Indications and Feedback II. Initial Court Order on Further Proceedings III. Service of Process 1. Initial Service of Statement of Claim a) Domestic Service b) Service Abroad c) Service by Public Notice d) Defects of Service e) Effects of Service 2. Subsequent Service

54 54 54 54 55 55 55 56 56 57 58 58 58

K. Possible Responses by Defendant I. Defending Against the Action 1. Statement of Defense 2. Grounds for Defense a) Defense on the Merits b) Defense by Set-Off c) Defense and Counteraction 3. Motion for Security for the Costs of the Proceedings II. Termination of the Action by Default III. Termination of the Action by Acknowledgement of Claim

59 59 59 59 59 59 60 60 60 61

L. Third-Party Intervention I. Main Third-Party Intervention II. Auxiliary Third-Party Intervention

62 62 62

M. Further Actions by Plaintiff I. Further Substantiation of Claim

63 63

53 53 53

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II. III. IV. V.

Amendments and Extension of Claim Termination by Withdrawal of Action Termination of Action by Waiver of Claim Termination of Action by Declaring the Proceedings Moot

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63 64 64 64

N. Joint Actions by the Parties I. Suspension of Proceedings II. Termination of Action by Settlement 1. Settlement in Court 2. Out-of-Court Settlement

65 65 65 65 66

O. Additional Court Orders I. Court Orders Designed to Expedite the Proceedings II. Court Orders for Joinder of Actions and for Severance III. Court Order for Stay of Proceedings IV. Disclosure Orders by the Court 1. Disclosure Orders for Production of Evidence 2. General Disclosure Orders

67 67 67 67 68 68 68

P. Interruption of Proceedings

69

Q. The Oral Hearing I. General 1. Function 2. Record of-Hearing 3. Publicity II. Conduct of the Oral Hearing 1. Opening of the Hearing 2. Conciliation Hearing a) Introduction by the Presiding Judge b) Pleading and Discussion c) Settlement Attempt 3. Main Oral Hearing a) Asserting the Motions b) Pleading and Discussion c) Taking of Evidence d) Conclusion of the Hearing

69 69 69 70 70 71 71 71 71 71 71 72 72 72 72 72

R. Evidentiary Proceedings I. General 1. Scope of Taking Evidence 2. Evidentiary Means 3. Order to Take Evidence II. Taking Evidence 1. Proof by Documentary Evidence 2. Proof by Inspection by the Court 3. Proof by Third-Party Witness Testimony a) Duties of a Witness b) Hearing of the Witness c) Recording of the Witness Testimony d) Remuneration of Witnesses e) Probative Value of Witness Testimony 4. Proof by Expert Testimony

72 72 72 73 73 73 73 74 75 75 75 76 76 76 76

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a) Appointment of an Expert b) Duties of an Expert c) Opinion of the Expert d) Challenges to the Opinion by the Expert e) Remuneration of Experts f) Probative Value of Expert Testimony g) Expert Witnesses 5. Proof by Party Testimony a) Informal Hearing of a Party b) Formal Party Testimony 6. Frustration of Taking Evidence III. Privileges 1. Party Privilege a) Privileges as to Informal Hearings and as to Serving as a Party Witness b) Privilege and Disclosure Orders 2. Privileges for Third-Party Witnesses a) Professional Privilege aa) (Former) Corporate Officers bb) Bank Secrecy Rules cc) Professional Advisors dd) In-house Counsel ee) Clergy and Media b) Personal Privilege aa) Familial Privilege bb) Privilege to Avoid Financial Harm, Disgrace, or Self-incrimination cc) Privilege to Protect Trade Secrets Owned by Third Parties c) Public Servants Privilege d) Invoking Privilege 3. Privilege for Experts 4. Third-Party Privileges Relating to Orders for Document Pro­ duction and for Inspection IV. Evidence Located Abroad 1. Statutory Sources 2. Procurement of Evidence by the Court 3. Requests for Legal Assistance a) Brussels Evidence Regulation b) Hague Evidence Convention 4. Direct Taking of Evidence 5. Foreign Privileges V. Evaluation of Evidence and Standard of Proof

76 77 77 77 78 78 78 78 78 79 79 79 80 80 80 80 80 80 80 81 81 81 82 82 82 82 82 83 83 83 83 83 84 84 84 85 86 86 87

S. Establishing the Law I. German Law and German Private International Law II. Establishing Foreign Law

87 87 88

T. Judgments I. Uncontested Judgments II. Contested Judgments

89 89 89

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1. Types of Judgments 2. Form and Contents of a Judgment 3. Corrections of Judgments a) Apparent Mistakes b) Amendments and Supplements c) Practical Relevance 4. Service of Judgment III. Effects of a Judgment 1. Binding Effect on the Court 2. Binding Effect on the Parties 3. Procedures for Setting Aside a Final and Binding Judgment... a) Motion for a New Trial b) Action for Damages

89 90 90 90 91 91 91 91 91 91 92 92 92

U. Appellate Remedies I. General 1. Overview: Appellate Remedies 2. General Features of Appellate Remedies II. First Appeals 1. Competent Appellate Court 2. Admissibility of Appeal a) Decisions Subject to Appeal b) Aggrievement of Appellant 3. Waiver of Appeal 4. Appellate Written Pleadings a) Statement of Appeal b) Statement of Grounds for Appeal c) Statement of Defense d) Withdrawal of Appeal 5. Court Orders a) Procedural Orders by the Court b) Dismissal of Appeal by Court Order 6. Scope of Appellate Review 7. Judgment III. Second Appeal 1. Competent Appellate Court 2. Admissibility of Appeal a) General b) Admission of Appeal and Miscellaneous Appeal against Refusal to Grant Leave to Second Appeal (Nichtzulassungsbeschwerde) c) Waiver 3. Submissions a) Statement of Second Appeal b) Statement of Grounds for Second Appeal c) Statement of Defense 4. Court Orders a) General b) Court Order for Dismissal 5. Scope of Appellate Review 6. Judgment

93 93 93 94 94 94 94 94 95 95 95 95 95 95 96 96 96 96 96 97 97 97 98 98 98 98 99 99 99 99 99 99 100 100 100

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IV. Miscellaneous Appeals (Beschwerde) 1. General 2. Immediate Miscellaneous Appeal a) Competent Court b) Admissibility of Appeal c) Submissions d) Court Decision 3. Miscellaneous Appeal on Points of Law (Rechtsbeschwerde) . . . . a) Competent Appellate Court b) Admissibility c) Submissions d) Court Decision V. Enforcement and Execution of German Judgments I. Enforcement and Execution in Germany 1. General 2. Execution of Monetary Claims a) Execution by Garnishment of Monetary Claims and Other Proprietary Interests b) Execution against Tangible Personal Property c) Execution against Real Property aa) Options for a Creditor bb) Procedure d) Forced Disclosure Proceedings 3. Execution of Non-Monetary Claims a) Delivery or Recovery of Movables b) Surrendering Possession of Real Property c) Performance of an Act d) Refraining from or Acquiescence to an Act e) Declarations of Intent 4. Remedies in Execution Proceedings II. Enforcement Abroad 1. Enforcement within the European Union a) Brussels Regulation 2012 b) Other European Enforcement Regimes 2. Lugano Convention 2007 3. Others W. Provisional Relief I. General 1. Provisional Remedies Available 2. Practical Aspects II. Attachments 1. Application for an Attachment a) Jurisdiction b) Motions c) Attachment Claim d) Grounds for Attachment 2. Protective Writ 3. Attachment Judgment or Order 4. Execution

101 101 101 101 101 101 102 102 102 102 102 103 103 103 103 104 104 105 105 105 105 106 107 107 107 107 107 108 108 108 109 109 109 110 110 Ill Ill Ill Ill 112 112 112 112 113 113 114 114 114

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5. Remedies III. Preliminary Injunction 1. Application for a Preliminary Injunction a) Jurisdiction b) Motions c) Injunction Claim d) Grounds for Injunction 2. Protective Writs 3. Injunction Judgment or Order 4. Execution 5. Remedies IV. No-Fault Liability V. Enforcement of German Provisional Decisions Abroad

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115 115 115 116 116 116 116 117 117 117 117 117 118

X. Legal Assistance in Aid of Foreign Proceedings 118 I. Service of Process 118 1. Brussels Service Regulation 2007 118 2. Hague Service Convention 119 3. Other Requests 120 II. Taking of Evidence in Germany in Aid of Foreign Proceedings... 120 1. Brussels Evidence Regulation 120 2. Hague Evidence Convention 120 3. Other International Instruments 121 III. Information on German Law 121 IV. Enforcement of Foreign Judgments 121 1. Judgments of Courts in the European Union 121 2. Other Foreign Judgments 122 V. Provisional Remedies in Aid of Foreign Proceedings 123 1. European Union 123 2. Decisions by Courts Outside the European Union 123 Chapter 2: Arbitration

125

A. Introduction I. Brief History 1. German Arbitration Law 2. Legislative Intent behind New German Arbitration Law 3. Arbitration in Germany Today II. Statutory Landscape of German Law on Arbitration 1. International Treaties 2. Scope of New Legal Regime a) Place of Arbitration in Germany b) Applicability to Arbitral Proceedings without German Seat

125 125 125 125 126 126 126 127 127 127

B. The Arbitration Agreement I. Arbitrability 1. Subjective Arbitrability 2. Objective Arbitrability a) Disputes Involving an Economic Interest b) Disputes Not Subject to Arbitration II. Content Requirement of an Arbitration Agreement III. Form Requirements

128 128 128 129 129 129 130 131

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1. "In Writing" and Signature Requirement under German Arbitration Law a) Non-Consumers aa) "In Writing" and Signature Requirements for Non-Consumers bb) Arbitration Agreement by Incorporation cc) Unilateral Arbitration Agreement b) Consumers c) Remedying Form Defects in Arbitration Agreement 2. "In Writing" and Signature Requirement of the New York Convention IV. Effect on Third Parties V. Termination and Breach

131 132 132 132 132 133 133 134 135 136

C. Constitution and Composition of the Arbitral Tribunal I. Party Autonomy II. Number of Arbitrators III. Appointment of Arbitrators and Chairperson 1. Qualifications of Arbitrators 2. Party Autonomy in Appointment of Arbitrators 3. Default Rules for Appointing Arbitrators a) Default Rule for Proceedings with Sole Arbitrator b) Default Rule for Proceedings with Three Arbitrators 4. Court Intervention in Appointment of Arbitrators a) Court Appointment of Arbitrators When Nomination Procedures Fail b) Court Appointment of Arbitrators when Nomination Pro­ cedures are Unconscionable c) Petition to the Court IV. Multi-Party Arbitration V. Challenge, Removal and Replacement of Arbitrators 1. Challenge of an Arbitrator a) Grounds upon which Arbitrators can be Challenged b) Procedure for Challenging an Arbitrator 2. Removal of an Arbitrator 3. Replacement of an Arbitrator

136 136 137 137 137 138 138 138 139 139

D. The Arbitrator's Contract I. Arbitrator Contract under German Law II. Remuneration of Arbitrator 1. Duty to Compensate Arbitrator 2. Amount of Fees 3. Accrual and Expiration of Claim for Compensation III. Liability of Arbitrator - Duties of the Arbitrators) 1. Liability for Negligence 2. Liability for Specific Performance 3. No Liability for Decision in Award

143 143 144 144 145 146 147 147 147 147

E. Jurisdiction of Arbitral Tribunal I. Competence of Arbitral Tribunal to Rule on its Jurisdiction II. Interim Measures of Protection

148 148 148

139 139 140 140 141 141 141 142 142 143

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F. The Arbitral Proceedings I. General Rules of Procedure II. Place of Arbitration III. Language of Arbitral Proceedings IV. Exchange of Submissions and Notifications 1. Initiation of Proceedings 2. Statements of Claim and Defense 3. Notification for Insolvency V. Oral Hearings and Written Proceedings VI. Default of a Party VII. Establishing the Facts of the Case 1. General Approach to Fact Finding and Gathering Evidence ... 2. Documents a) Production of Documents in the Possession of a Party b) Production of Documents in the Possession of Third Parties c) Confidentiality of Documents and Privilege 3. Witnesses a) Written Statements and Testimony b) Preparation of Witnesses c) Transcript or Summary of Witness Testimony d) Parties as Witnesses e) Reimbursement of Witnesses 4. Experts a) Party-Appointed Experts in Common Law and Court-Ap­ pointed Experts in Civil Law b) Impartiality and Independence of Tribunal-Appointed Expert c) Appointing a Tribunal-Appointed Expert d) Duties of a Tribunal-Appointed Expert e) Party-Appointed Experts 5. Court Assistance in Taking Evidence a) Possible Assistance Measures b) International Character of ZPO §1050 c) Sanctions Available to German Courts d) Competent Court e) Requirements for the Application f) Admissibility of a Request 6. Privileges G. Making of Award and Termination of Proceedings I. Rules Applicable to Substance of Dispute 1. Determination by the Parties 2. Determination by the Arbitral Tribunal II. Making of the Award 1. Majority Voting 2. Recalcitrant Arbitrator 3. Separate, Concurring, and Dissenting Opinions 4. Decisions on Procedure by Chairperson Alone III. Form and Contents of Award 1. Required Contents 2. Termination of Proceedings by Award

XIX

149 149 150 151 152 152 152 153 153 153 154 154 155 155 156 156 156 156 157 158 158 158 159 159 159 159 160 161 161 161 161 162 162 162 163 163 164 164 164 164 165 165 166 166 167 168 168 169

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IV. Settlement 1. Types of Settlement 2. Form and Contents of Award on Agreed Terms V. Termination of Proceedings 1. Types of Awards a) Final Award b) Partial Award c) Interim or Interlocutory Award 2. Order Terminating the Proceedings VI. Decision on Costs 1. Discretion of the Arbitral Tribunal 2. Costs of the Arbitration 3. Costs of a Procedural Award 4. Enforceability of Decision on Costs VII. Correction and Interpretation of Award; Additional Award 1. Formal Requirements 2. Correction and Interpretation 3. Additional Award

170 170 171 171 171 172 172 172 173 173 173 174 176 176 177 177 178 178

H. Recourse against Award I. Reasons for Setting Aside an Award 1. Invalid Arbitration Agreement 2. Due Process 3. Excess of Competence or Authority 4. Improper Composition of the Arbitral Tribunal and Violation of the Procedural Rules Applicable to Arbitration 5. Public Policy 6. International Public Policy II. Procedure and Time Limits 1. Relationship between Setting Aside Proceedings and Enforce­ ment Proceedings 2. Time Limits and Formal Requirements 3. Content of Decision Setting Aside the Award

179 179 179 180 181

I. Recognition and Enforcement of Arbitral Awards I. Procedure for Enforcement Proceedings II. Decision on Enforcement III. Foreign Arbitral Awards

187 187 188 189

Chapter 3: Mediation

191

A. Introduction to Mediation in German Commercial Disputes I. Brief History and Development of Mediation in Germany II. Introduction to Mediation in Germany and the European Union Today

191 191 192

B. International Regulatory Developments

193

C. Statutory Framework of Mediation in Germany I. Brief Legislative History of the Mediation Advancement Act II. In-Court Mediation: Guterichter Model III. Out-of-Court Mediation During Ongoing Proceedings IV. Mandatory Court-Annexed Mediation

194 195 195 196 196

182 183 184 185 185 186 186

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V. Further Mandatory Mediation VI. The Mediation Act

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197 197

D. Mediation Clauses and Agreements I. Content of a Mediation Clause II. General Terms and Conditions

198 198 198

E. Mediation and Court Proceedings I. Defense of Mediation II. Suspension of the Limitation Period

199 199 199

F. Mediation Procedure I. Mediator 1. Selection of the Mediator 2. Independence and Impartiality - Disclosure Obligations of the Mediator 3. Mediator's Duty to Guarantee each Party's Integration into the Mediation 4. Mediator's Duty of Confidentiality 5. Mediator Contract a) Remuneration of Mediator b) Liability of Mediator c) Termination II. Agreement on Procedures III. Reference to Rules of a Mediation Institution

200 201 201

G. Conclusion of Mediation Proceedings I. Termination of Mediation and its Consequences 1. Mediation after Initiation of Court Proceedings 2. Mediation without Initiation of Court Proceedings II. Conclusion of a Settlement Agreement III. Enforcement of the Settlement Agreement 1. Final and Binding Judgments 2. Court Settlements 3. Settlements before a State-Approved Conciliatory Entity 4. Notarial Deeds 5. Enforceable Lawyers' Settlements 6. Award on Agreed Terms

206 206 206 206 207 207 208 208 208 209 209 209

202 202 202 203 203 204 204 205 205

Part 2: Relevant Statutory and Regulatory Materials A. German Statutory Instruments I. Code of Civil Procedure (Excerpts) II. German Judicature Act (Excerpts) III. Recognition and Enforcement Implementation Act (AVAG) (Excerpts) IV. Act on the Implementation of the Hague Convention V. German Mediation Act B. EC Regulations I. Regulation (EU) No 1215/2012 of the European Parliament and of the Council of 12 December 2012 on jurisdiction and

211 211 261 284 306 311 318

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II.

III. IV. V.

the recognition and enforcement of judgments in civil and commercial matters (recast) Regulation (EC) No 1393/2007 of the European Parliament and of the Council of 13 November 2007 on the service in the Member States of judicial and extrajudicial documents in civil or commercial matters (service of documents), and repealing Council Regulation (EC) No 1348/2000 Council regulation (EC) No. 1206/2001 of 28 May 2001 on Cooperation between the Courts of the Member States in the Taking of Evidence in Civil or Commercial Matters Regulation (EC) No 1896/2006 of the European Parliament and of the Council of 12 December 2006 creating a European order for payment procedure Regulation (EC) No 805/2004 of the European Parliament and of the Council of 21 April 2004 creating a European Enforcement Order for uncontested claims

C. Bilateral and Multilateral Treaties I. List of Treaties Relevant to International Procedural and Arbitration Law in Germany II. Hague Convention on the Service Abroad of Judicial and Extrajudicial Documents in Civil or Commercial Matters III. Hague Convention on the Taking of Evidence Abroad in Civil or Commercial Matters IV. CONVENTION ON CHOICE OF COURT AGREEMENTS

318

348 359 369 382 395 395 398 405 414

D. German Institutions and Rules for Arbitration I. List of Arbitration Institutions in Germany II. Arbitration Rules of the German Institution of Arbitration (Deutsche Institution fur Schiedsgerichtsbarkeit e.V. (DIS)) in force as of 1 July 1998 (Schedule of Costs in force as of 1 April 2014)

426 426

E. German Institutions and Rules for Mediation I. List of Mediation Institutions in Germany II. Mediation Rules of the German Institution of Arbitration (Deutsche Institution fur Schiedsgerichtsbarkeit (DIS)) in force as of 1 January 2002, amended in 2010 (Schedule of Costs in force as of 1 October 2004)

446 446

430

448

Appendix 1 Selected Sample Calculations of Fees in German Proceedings

453

Appendix 2 Bibliography I. Commentaries and Books in the German Language II. Commentaries, Books, and Articles in the English Language

461 461 462

Appendix 3 German-English Glossary

467