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Personal Participation in Criminal Proceedings
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Abstract

German constitutional jurisprudence emphasizes a close link between the truth-finding purpose of the criminal trial and the presence of the accused. As the latter’s individual culpability is of key importance to the imposition of criminal sanctions, procedural law attaches great value to the defendant’s presence at the trial, laying down both a right and a duty to this effect. It is only for crimes of minor severity that a sanction can be imposed without giving the defendant the opportunity to personally comment on the charges before a judge in advance—and even then, he or she can demand a subsequent trial. In any case, the defendant must have the opportunity to comment on the charges in an oral hearing. Furthermore, as the trial serves to ascertain the truth in the best possible way, accused persons have very limited options to waive their right to be present at trial, even after having been heard on the charges. Within narrow limits, the defendant can be temporarily removed from the trial, particularly for the purpose of maintaining order or enabling the examination of a witness. Beyond that, and with the exception of some alternative proceedings such as private prosecutions, German law broadly presupposes the personal presence of the defendant throughout the trial. In contrast, the accused’s personal participation at the pre-trial stage remains limited and is then primarily relevant for the judicial interrogation of witnesses and in judicial review proceedings against pretrial detention. The right to be present at one’s trial recently gained special significance in European Arrest Warrant proceedings following an in absentia trial in the requesting state where the convicted person had not unequivocally waived the right to be present. The Federal Constitutional Court stipulates special requirements in this regard in order to ensure that the right to a retrial in the requesting state is effective.

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Notes

  1. 1.

    BVerfGE 63, 332 = BVerfG NJW 1983, 1726, 1727; BVerfG NStZ-RR 2004, 308, 309.

  2. 2.

    BVerfGE 140, 317 = Federal Constitutional Court, Order of the Second Senate of 15 December 2015—2 BvR 2735/14, at para. 54. Citations refer to translations of the Federal Constitutional Court’s decisions available on its website: www.bundesverfassungsgericht.de.

  3. 3.

    BVerfGE 140, 317, 343 f.= Federal Constitutional Court, 2 BvR 2735/14, at para. 54 f.

  4. 4.

    BVerfGE 140, 317, 345 f. = Constitutional Court, 2 BvR 2735/14, at para. 58.

  5. 5.

    Cf. Article 103 section 1 of the Basic Law; BT-Drucks. 18/3562, p. 47; BGHSt 55, 87 = BGH NJW 2010, 2450.

  6. 6.

    BVerfGE 63, 332, 337 f. = NJW 1983, 1726, 1727; BVerfG NJW 1991, 1411; Böhm (2015), p. 3132; Laue (2010), p. 295.

  7. 7.

    Cf. BVerfGE 118, 212 = BVerfG NJW 2007, 2977, 2979; BGHSt 26, 84, 90 = BGH NJW 1975, 885, 886; BGH NStZ 2011, 233, 234; Deiters (2015), § 230, para. 1e; Diemer (2013), § 247, para. 2; Laue (2010), p. 295; Meyer-Goßner (2016), § 230, para. 3; Roxin and Schünemann (2014), p. 354; Trüg (2011), p. 3256; Zehetgruber (2013), p. 398; more sceptical towards the “truth-seeking” rationale: Eisenberg (2012), p. 64.

  8. 8.

    BVerfGE 56, 37 = BVerfG NJW 1981, 1431; BVerfGE 133, 168 = BVerfG NJW 2013, 1058, 1061.

  9. 9.

    Section 137 para. 1 CCP.

  10. 10.

    Note that the Regional Court is the first-instance court, in particular when a sentence of imprisonment exceeding 4 years or placement of the accused in a psychiatric hospital is to be expected; section 74 para. 1 Courts Constitution Act.

  11. 11.

    Section 140 para. 1 no. 1, 2, 6, para. 2 CCP. Citations of German statutes refer to translations provided by the Federal Ministry of Justice and Consumer Protection, available under www.gesetze-im-internet.de.

  12. 12.

    Cf. OLG Zweibrücken, NStZ 1987, 89; OLG Frankfurt, NStZ-RR 2009, 207, 208; Frister (2016), § 247, para. 17.

  13. 13.

    OLG Hamburg, Order of 3rd December 2013—1-25/13 -, BeckRS 2014, 00512.

  14. 14.

    Section 234 CCP; Gmel (2013), § 234, para. 1; Meyer-Goßner (2016), § 234, para. 1; Roxin and Schünemann (2014), p. 359.

  15. 15.

    Section 137 para. 1 CCP.

  16. 16.

    BT-Drucks. 18/3562, p. 67; Deiters (2015), § 234, para. 1.

  17. 17.

    BT-Drucks. 18/3562, p. 72 f.; BGHSt 9, 356 = BGH NJW 1956, 1727 f.; Deiters (2015), § 234, para. 5; Gmel (2013), § 234, para. 5; Meyer-Goßner (2016), § 234, para. 9 f.

  18. 18.

    Section 234a CCP; cf. Deiters (2015), § 231, para. 33; Gmel (2013), § 234a, para. 4.

  19. 19.

    See below Sects. 3.4.1 and 4.

  20. 20.

    BGHSt 26, 84, 90 = BGH NJW 1975, 885, 886; BGHSt 55, 87 = BGH NJW 2010, 2450, 2451; Meyer-Goßner (2016), § 230, para. 3 f.

  21. 21.

    Section 230 para. 1 CCP.

  22. 22.

    Deiters (2015), § 230, para. 4.

  23. 23.

    BGHSt 23, 331 = BGH NJW 1970, 2253, 2254 f.; Meyer-Goßner (2016), § 230, para. 8.

  24. 24.

    Beulke (2012), p. 251.

  25. 25.

    Cf. BT-Drucks. 18/3562, p. 47; BVerfG, Order of 27th December 2006—2 BvR 1872/03 -, BeckRS 2012, 54108; OLG Hamburg, Order of 3rd December 2013—1-25/13 -, BeckRS 2014, 00512; Deiters (2015), § 231a, para. 4; ZehetGruber (2013), p. 398.

  26. 26.

    BVerfGE 51, 324 = BGH NJW 1979, 3249 f.

  27. 27.

    Section 230 para. 2, section 216 para. 1 CCP; Roxin and Schünemann (2014), p. 355.

  28. 28.

    Section 231 para. 1 CCP.

  29. 29.

    Cf. Sect. 5.1.

  30. 30.

    Meyer-Goßner (2016), § 231b, para. 6.

  31. 31.

    BGHSt 39, 72 = BGH NJW 1993, 1343; Deiters (2015), § 231b, para. 3.

  32. 32.

    Section 231b para. 1 CCP; cf. BGHSt 9, 77 = BGH NJW 1956, 837, 838; Deiters (2015), § 231b, para. 3 f.

  33. 33.

    Section 231b para. 2, section 231a para. 2 CCP; cf. BGH NStZ-RR 2010, 283.

  34. 34.

    Section 247 s. 1 CCP; BGH NStZ 2001, 608; BGH NStZ 2002, 44, 45; BGH BGH NStZ-RR 2004, 116, 118; BGH NStZ 2010, 53; BGH NStZ 2015, 103, 104; Diemer (2013), § 247, para. 5; Frister (2016), § 247, para. 20 f., 24; Meyer-Goßner (2016), § 247, para. 3 f.; Metz (2017), p. 446 f.

  35. 35.

    Section 247 s. 2 CCP; Frister (2016), § 247, para. 34.

  36. 36.

    In the latter case, a witness examination via video link will usually be more appropriate; see below Sect. 3.7; cf. Frister (2016), § 247, para. 46.

  37. 37.

    Diemer (2013), § 247, para. 10 f.; Frister (2016), § 247, para. 34–40; Meyer-Goßner (2016), § 247, para. 12.

  38. 38.

    Section 247 s. 3 CCP; Diemer (2013), § 247, para. 12; Frister (2016), § 247, para. 47.

  39. 39.

    Section 247 s. 4 CCP; BGH NStZ 1998, 263; BGH NStZ-RR 2007, 85; Diemer (2013), § 247, para. 14; Frister (2016), § 247, para. 69; Meyer-Goßner (2016), § 247, para. 15 f.; Widmaier (1998), p. 263.

  40. 40.

    BGHSt 51, 180 = BGH NJW 2007, 709; BGH NStZ 2011, 534; Diemer (2013), § 247, para. 15; Frister (2016), § 247, para. 67.

  41. 41.

    BGHSt 54, 184, 187 = BGH NJW 2010, 1010, 1011; BGH NStZ-RR 2008, 315; NStZ-RR 2014, 53 f.; Diemer (2013), § 247, para. 8; Erb (2010), p. 347; Frister (2016), § 247, para. 61.

  42. 42.

    BGH NStZ 2011, 534; Frister (2016), § 247, para. 76.

  43. 43.

    Section 168c para. 1, 2 CCP.

  44. 44.

    Schmitt (2016), § 168c, para. 3.

  45. 45.

    Section 168c para. 4, 5 CCP.

  46. 46.

    BGHSt 29, 1 = BGH NJW 1980, 1056; BGH NJW 2003, 3142 f.; Schmitt (2016), § 168c, para. 5.

  47. 47.

    Cf. Sect. 2.1 above; section 140 para 1 no. 1, 4 CCP; section 74 para. 1 Courts Constitution Act.

  48. 48.

    BGHSt 46, 93 = BGH NJW 2000, 3505.

  49. 49.

    Regarding the possibility to substitute the accused’s presence by the presence of a defense counsel at the examination of a witness in order to conform with Article 6 ECHR, cf. ECtHR, Doorson v. Netherlands, judgement of 26th March 1996, Appl. No. 20524/92.

  50. 50.

    Section 251 para. 2 no. 1 CCP.

  51. 51.

    Section 33 para. 4 CCP.

  52. 52.

    Section 115 para. 1, 115a para. 1 CCP.

  53. 53.

    Schmitt (2016), § 115, para. 7.

  54. 54.

    Cf. sections 137 para. 1, 168c para. 1 CCP.

  55. 55.

    RhPfVerfGH, NJW 2006, 3341, 3343; Schmitt (2016), § 115, para. 8.

  56. 56.

    Section 147 para. 2 CCP; Schmitt (2016), § 147, para. 25a.

  57. 57.

    Deutscher Bundestag, Drucksache 16/11644, p. 34; Schmitt (2016), § 147, para. 25a.

  58. 58.

    Section 166 para. 1 s. 1 CCP.

  59. 59.

    OLG Köln, NStZ-RR 2009, 123 f.

  60. 60.

    Section 117 para. 1 CCP.

  61. 61.

    Cf. Section 126 para. 1 CCP.

  62. 62.

    Section 118 para. 1 CCP.

  63. 63.

    Section 118 para. 3 CCP.

  64. 64.

    Section 118 para. 4 CCP.

  65. 65.

    Section 118 para. 5 CCP.

  66. 66.

    Section 118a para. 2 CCP.

  67. 67.

    Section 118a para. 2 CCP.

  68. 68.

    Cf. Schmitt (2016), § 118a, para. 4.

  69. 69.

    Sections 304 para. 1, 306 CCP; Schmitt (2016), § 98, para. 31; § 105, para. 15; § 111e, para. 20.

  70. 70.

    Section 308 para. 2 CCP.

  71. 71.

    Section 309 para. 1 CCP.

  72. 72.

    Cf. section 33 para. 3 CCP.

  73. 73.

    Section 101 para. 4, 5 CCP.

  74. 74.

    Section 101 para. 7 CCP. After an indictment has been filed, the court entrusted with the matter is competent to review the investigative measure when issuing its concluding decision.

  75. 75.

    Schmitt (2016), § 101, para. 25d.

  76. 76.

    BGH—Order of 22nd September 2009—StB 28/09—BeckRS 2009, 86260; sections 147 para. 2, 477 para. 2 CCP.

  77. 77.

    BVerfG, NJW 2004, 2443; NJW 2006, 1048; NStZ-RR 2008, 16; 2013, 379.

  78. 78.

    BVerfG NStZ 2007, 274, 275; NStZ-RR 2008, 16, 17; NStZ-RR 2013, 379, 380; Schmitt (2016), § 101, para. 25d.

  79. 79.

    Cf. section 147 para. 2 CCP.

  80. 80.

    Cf. BVerfG NJW 2004, 2443; NStZ-RR 2008, 16, 17; NStZ-RR 2013, 379, 380; LG Kiel, NStZ 2007, 424.

  81. 81.

    Section 387 CCP.

  82. 82.

    Meyer-Goßner (2016), § 287, para. 6.

  83. 83.

    Section 1 Youth Courts Act.

  84. 84.

    Section 2 Youth Courts Act.

  85. 85.

    Section 50 para. 1 Youth Courts Act; cf. Eisenberg (2012), p. 65; id. 2016, § 50, para. 16 ff.; Laue (2010), p. 296.

  86. 86.

    Section 51 para. 1 Youth Courts Act.

  87. 87.

    Section 63 CC.

  88. 88.

    Section 64 CC.

  89. 89.

    Section 71 para. 2 CC.

  90. 90.

    Section 140 para. 1 no. 7 CCP.

  91. 91.

    Section 415 para. 1 CCP; cf. BGH NJW 2001, 3277, 3278.

  92. 92.

    Meyer-Goßner (2016), § 415, para. 2.

  93. 93.

    Meyer-Goßner (2016), § 415, para. 3.

  94. 94.

    Section 415 para. 2 CCP.

  95. 95.

    Meyer-Goßner (2016), § 415, para. 8.

  96. 96.

    Section 276, section 285 CCP.

  97. 97.

    Section 290 para. 1 CCP, Börner (2005), p. 547 f, Roxin and Schünemann (2014), p. 508.

  98. 98.

    Section 431 para. 1 CCP; BGH NJW 2016, 3192 f.

  99. 99.

    Section 436 para. 1 CCP.

  100. 100.

    Section 434 para. 1 CCP.

  101. 101.

    Section 439 para. 1 CCP; cf. BGH Order of 2nd August 2012—5 StR 408/11, BeckRS 2012, 18236.

  102. 102.

    Section 73 Act on Regulatory Offences.

  103. 103.

    Section 74 para. 1, 2 Act on Regulatory Offences.

  104. 104.

    Section 244 para. 3 CCP.

  105. 105.

    BGH StV 2001, 95; BGH NStZ-RR 2008, 205; BGH NStZ-RR 2010, 211, 212; Beulke (2012), p. 299.

  106. 106.

    BGH NStZ-RR 2002, 242 f.; BGH NStZ-RR 2010, 211, 212; BGH NStZ-RR 2012, 51, 52.

  107. 107.

    BFGSt 22, 118, 120 = BGH NJW 1968, 1485; BGH StV 1987, 45; Beulke (2012), p. 300.

  108. 108.

    BGH NStZ 2010, 100, 101; NStZ 2010, 586; NStZ 2017, 300 f.

  109. 109.

    Section 244 para. 4 CCP; cf. BGH NStZ 2002, 653, 654; NStZ 2005, 159; NStZ 2010, 405 f.

  110. 110.

    BGHSt 40, 60, 62 = BGH NStZ 1994, 351, 352; BGH NStZ 2005, 701, 702 f.; Beulke (2012), p. 302.

  111. 111.

    Section 245 para. 2 CCP.

  112. 112.

    Section 220 para. 2 CCP.

  113. 113.

    Cf. section 251 para. 1 no. 1, para. 2 no. 3 CCP.

  114. 114.

    Section 234a CCP; BGHSt 3, 206 = BGH NJW 1952, 1345 f.; Gmel (2013), § 231, para. 9; Meyer-Goßner (2016), § 234a, para. 4 f.

  115. 115.

    Section 219 CCP; Meyer-Goßner (2016), § 219, para. 3.

  116. 116.

    Gmel (2013), § 231a, para. 21; Gmel (2013), § 233, para. 18; see above Sect. 3.1, and below Sects. 5.1.2 and 5.1.5.

  117. 117.

    Section 243 para. 5 CCP.

  118. 118.

    Section 240 para. 2 CCP.

  119. 119.

    Section 257 para. 1 CCP.

  120. 120.

    Section 258 para. 3 CCP.

  121. 121.

    Gmel (2013), § 231, para. 9.

  122. 122.

    Section 240 para. 2 CCP.

  123. 123.

    Section 257 para. 2 CCP.

  124. 124.

    See above under Sect. 2.2.

  125. 125.

    Cf. section 332 CCP; see above under C., I. and below under E, I., with the exception of sections 231 and 231a CCP; BT-Drucks. 18/3562, p. 74.

  126. 126.

    BT-Drucks. 18/3562, p. 67; Meyer-Goßner (2016), § 329, para. 2.

  127. 127.

    Section 329 para. 1 CCP; Meyer-Goßner (2016), § 329, para. 17–18.

  128. 128.

    Section 329 para. 2 CCP.

  129. 129.

    Section 329 para. 5 CCP; Meyer-Goßner (2016), § 329, para. 35.

  130. 130.

    Section 329 para. 3 CCP.

  131. 131.

    Section 329 para. 4 CCP; Meyer-Goßner (2016), § 329, para. 10.

  132. 132.

    Section 329 para. 7, section 44 para. 1 CCP; Meyer-Goßner (2016), § 329, para. 15a.41.

  133. 133.

    BGHSt 17, 391 = BGH NJW 1962, 2020, 2021; Böhm (2015), p. 3133 f.; Meyer-Goßner (2016), § 329, para. 36.

  134. 134.

    Note that Berufung is admissible only against judgements of the Local Court, which may not impose a sentence of imprisonment of more than 4 years; cf. section 312 CCP and section 24 para. 2 Courts Constitution Act. First-instance judgements of higher criminal courts (dealing with more serious crimes) can be appealed on points of law only.

  135. 135.

    BT-Drucks. 18/3562, p. 73 f.; BGHSt 17, 391 = BGH NJW 1962, 2020, 2021; Böhm (2015), p. 3133; Frisch (2015), p. 72 f.; Meyer-Goßner (2016), § 329, para. 36; cf. OLG Karlsruhe, NStZ-RR 2004, 21, 22.

  136. 136.

    Frisch (2015), p. 71; Meyer-Goßner (2016), § 329, para. 36.

  137. 137.

    BT-Drucks. 18/3562, p. 74.

  138. 138.

    Section 350 para. 2 CCP; Deiters (2015), § 230, para. 2.

  139. 139.

    Cf. 3.1.3.

  140. 140.

    Section 69 para. 3 CCP; cf. section 110b para. 3 CCP; Eisenberg (1993), p. 1035 f.

  141. 141.

    Section 110b para. 3 CCP.

  142. 142.

    Section 247a para. 1 CCP; BGH NStZ 2017, 372 f.; cf. Leipold (2005), p. 471 f.; Roxin and Schünemann (2014), p. 358.

  143. 143.

    BVerfG NStZ 2007, 534; BGH NJW 2003, 74.

  144. 144.

    BGH NStZ 2003, 274; BGH NStZ 2006, 648.

  145. 145.

    Section 395 CCP.

  146. 146.

    Section 397 CCP.

  147. 147.

    Section 401 para. 1 CCP.

  148. 148.

    BGH NJW 1973, 522; NJW 1976, 1108; NStZ-RR 2015, 51; Frister (2016), § 247, para. 4; Meyer-Goßner (2016), § 230, para. 2; Roxin and Schünemann (2014), p. 358.

  149. 149.

    Section 231 para. 2 CCP; BGHSt 46, 81 = BGH NJW 2000, 2830; Deiters (2015), § 231, para. 11 f.; Gmel (2013), § 231, para. 7 f.; Meyer-Goßner (2016), § 231, para. 19; Roxin and Schünemann (2014), p. 356.

  150. 150.

    BGHSt 37, 249 = BGH NJW 1991, 1364, 1365 f.; BGH NStZ-RR 2001, 333; BGHSt 56, 298 = BGH NJW 2011, 3249, 3252; Deiters (2015), § 231, para. 16 f.; Eisenberg (2012), pp. 65, 69; Gmel (2013), § 231, para. 3; Meyer-Goßner (2016), § 231, para. 9 f.

  151. 151.

    BGH NStZ 2003, 561 f.

  152. 152.

    BGH NJW 1991, 1367.

  153. 153.

    OLG Bremen StV 1992, 558.

  154. 154.

    BGH NJW 1980, 950 f.; BGH NStZ 1985, 13, 14.

  155. 155.

    BGH NJW 1981, 1052; BGH NStZ 1986, 372; BGH NJW 1991, 2917 f.; BGH NStZ 2002, 533, 535; BGHSt 56, 298 = BGH NJW 2011, 3249, 3252; Arnoldi (2012), p. 109 f.; Deiters (2015), § 231, para. 28a; Eisenberg (2012), p. 67; Gmel (2013), § 231, para. 3, 5; Meyer-Goßner (2016), § 231, para. 17; Roxin and Schünemann (2014), p. 356; Trüg (2011), p. 3256.

  156. 156.

    Cf. Section 234a, section 265 para. 1, 2 CCP; Gmel (2013), § 231, para. 10.

  157. 157.

    BGH NStZ 1986, 372; BGH NStZ 1990, 291; OLG Stuttgart NStZ-RR 2015, 285, 286; Deiters (2015), § 231, para. 37.

  158. 158.

    Cf. BGHSt 3, 187 = NJW 1952, 1306; BGH NStZ-RR 2003, 1, 2; Deiters (2015), § 231, para. 38; Gmel (2013), § 231, para. 12; Meyer-Goßner (2016), § 231, para. 23.

  159. 159.

    Deiters (2015), § 231a, para. 31; Gmel (2013), § 231a, para. 11; Meyer-Goßner (2016), § 231a, para. 14.

  160. 160.

    Section 231a para. 1 CCP; cf. BVerfGE 41, 246 = BGH NJW 1976, 413; Gmel (2013), § 231a, para. 13.

  161. 161.

    Deiters (2015), § 231a, para. 28; Gmel (2013), § 231a, para. 14 f.; Meyer-Goßner (2016), § 231a, para. 12.

  162. 162.

    Deiters (2015), § 231a, para. 6.

  163. 163.

    BVerfGE 41, 246 = BGH NJW 1976, 413, 414; Deiters (2015), § 231a, para. 10; Gmel (2013), § 231a, para. 2; Meyer-Goßner (2016), § 231a, para. 9.

  164. 164.

    BGHSt 26, 228 = BGH NJW 1976, 116, 117; Deiters (2015), § 231a, para. 16; Gmel (2013), § 231a, para. 3a; Meyer-Goßner (2016), § 231a, para. 5.

  165. 165.

    BVerfGE 51, 324 = BGH NJW 1979, 3249; Deiters (2015), § 231a, para. 14; Meyer-Goßner (2016), § 231a, para. 7.

  166. 166.

    Cf. BVerfGE 89, 120 = BVerfG NJW 1994, 1590, 1591; Deiters (2015), § 231a, para. 16; Gmel (2013), § 231a, para. 3; Meyer-Goßner (2016), § 231a, para. 7.

  167. 167.

    Cf. OLG Nürnberg NJW 2000, 1804; 1805; OLG Düsseldorf, NStZ-RR 2001, 274; LG Lüneburg, NStZ-RR 2010, 211.

  168. 168.

    BGHSt 26, 228 = BGH NJW 1976, 116, 118; Gmel (2013), § 231a, para. 5; Meyer-Goßner (2016), § 231a, para. 8.

  169. 169.

    Cf. Deiters (2015), § 231a, para. 4.

  170. 170.

    Section 231a para. 3 CCP; Deiters (2015), § 231a, para. 41 f.

  171. 171.

    Section 231a para. 4 CCP; Deiters (2015), § 231a, para. 29; Gmel (2013), § 231a, para. 17; Meyer-Goßner (2016), § 231a, para. 13.

  172. 172.

    Section 231a para. 2 CCP; Meyer-Goßner (2016), § 231a, para. 19.

  173. 173.

    BGH NStZ 2009, 400; BGH NStZ 2010, 227; BGH NStZ 2012, 463; BGH NStZ 2013, 666, 667; Deiters (2015), § 231c, para. 5; Gmel (2013), § 231c, para. 4.

  174. 174.

    Cf. BGHSt 32, 100 = BGH NJW 1984, 501, 502.

  175. 175.

    Section 231c CCP.

  176. 176.

    Deiters (2015), § 232, para. 8; Meyer-Goßner (2016), § 232, para. 4.

  177. 177.

    Section 232 para. 1 CCP; Gmel (2013), § 232, para. 6; Meyer-Goßner (2016), § 232, para. 7.

  178. 178.

    Cf. section 235 CCP; OLG Karlsruhe NStZ 1990, 505, 506; Gmel (2013), § 232, para. 9; Meyer-Goßner (2016), § 232, para. 11.

  179. 179.

    Gmel (2013), § 232, para. 1.

  180. 180.

    Section 232 para. 3 CCP.

  181. 181.

    Deiters (2015), § 232, para. 12; Gmel (2013), § 232, para. 14; Meyer-Goßner (2016), § 232, para. 15.

  182. 182.

    Cf. section 265 para. 1, section 234a CCP; Meyer-Goßner (2016), § 232, para. 18.

  183. 183.

    BGHSt 25, 165 = BGH NJW 1973, 1006, 1007; Meyer-Goßner (2016), § 232, para. 1.

  184. 184.

    Meyer-Goßner (2016), § 232, para. 13.

  185. 185.

    Section 232 para. 4 CCP; Deiters (2015), § 232, para. 19; Gmel (2013), § 232, para. 18 f.

  186. 186.

    Section 235, section 44 CCP.

  187. 187.

    Deiters (2015), § 233, para. 1; Gmel (2013), § 233, para. 1.

  188. 188.

    Section 233 para. 1 CCP.

  189. 189.

    Deiters (2015), § 233, para. 10; Meyer-Goßner (2016), § 233, para. 1.

  190. 190.

    Deiters (2015), § 233, para. 10; Gmel (2013), § 233, para. 5; Meyer-Goßner (2016), § 233, para. 12.

  191. 191.

    BGHSt 25, 42 = BGH NJW 1973 2004, 205; Gmel (2013), § 233, para. 12; Meyer-Goßner (2016), § 233, para. 15.

  192. 192.

    Section 233 para. 2 CCP; cf. Deiters (2015), § 233, para. 13.

  193. 193.

    Section 233 para. 3 CCP; Deiters (2015), § 233, para. 22.

  194. 194.

    Deiters (2015), § 233, para. 15; Gmel (2013), § 233, para. 12; Meyer-Goßner (2016), § 233, para. 16.

  195. 195.

    See note 126.

  196. 196.

    Section 312, section 327 CCP.

  197. 197.

    Sections 232, 235, 329 para. 7 CCP; cf. Meyer-Goßner (2016), § 235, para. 8, § 329, para. 44.

  198. 198.

    Section 338 no. 5 CCP; BGHSt 55, 87 = BGH NJW 2010, 2450, 2451; Deiters (2015), § 230, para. 37; Roxin and Schünemann (2014), p. 355.

  199. 199.

    Cf. section 353 para. 1; BGH NJW 1995, 1910 f.; BGH NJW 2003, 597, 598; Meyer-Goßner (2016), § 353, para. 6.

  200. 200.

    BGHSt 55, 87 = BGH NJW 2010, 2450, 2451 f.; BGH NStZ 2006, 713; 2011, 534; 2014, 532, 533; NStZ 2015, 104 f.; Diemer (2013), § 247, para. 7 f.; Fezer (2011), p. 77, 86; Meyer-Goßner (2016), § 247, para. 20c.

  201. 201.

    BGH NStZ-RR 2015, 51; Diemer (2013), § 247, para. 16.

  202. 202.

    Section 407 para. 1 CCP.

  203. 203.

    Meyer-Goßner (2016), § 408, para. 7.

  204. 204.

    Section 408 para. 3 CCP.

  205. 205.

    Meyer-Goßner (2016), §408a, para. 4.

  206. 206.

    Section 408a CCP.

  207. 207.

    Section 408b CCP.

  208. 208.

    Section 37 para. 1 CCP, sections 177 ff. Code of Civil Procedure.

  209. 209.

    Section 145a para. 1 CCP.

  210. 210.

    Section 410 para. 1 CCP.

  211. 211.

    Section 411 para. 1, 2 CCP.

  212. 212.

    Section 412, section 329 para. 1 CCP.

  213. 213.

    Section 410 para. 3 CCP.

  214. 214.

    Section 44 para. 1 CCP; cf. Meyer-Goßner (2016), § 411, para. 2.

  215. 215.

    BVerfG, NJW 1969, 1531.

  216. 216.

    The official English translation of the Act on International Cooperation in Criminal Matters by the Federal Ministry of Justice uses the term “extradition” even with regard to EAW proceedings. Therefore, while the English-language version of Framework Decision 2002/584/JHA refers to the term “surrender,” the present text continues to use the term “extradition.”

  217. 217.

    Section 28 para. 2 AICCM.

  218. 218.

    Section 77 AICCM, section 168c CCP; Köberer (2015), § 28, para. 354; Lagodny (2012), § 28, para. 6.

  219. 219.

    Lagodny (2012), § 28, para. 1.

  220. 220.

    Section 30 para. 2 AICCM; OLG Zweibrücken, NStZ 2008, 639.

  221. 221.

    Section 30 para. 3 AICCM.

  222. 222.

    Köberer (2015), § 30 IRG, para. 390; Lagodny (2012), § 28, para. 3.

  223. 223.

    Lagodny (2012), § 30, para. 30.

  224. 224.

    Köberer (2015), § 30 IRG, para. 380; Lagodny (2012), § 30, para. 20.

  225. 225.

    Section 33 para. 3 CCP, section 77 para. 1 AICCM; Köberer (2015), § 30 IRG, para. 389.

  226. 226.

    Köberer (2015), § 30 IRG, para. 390; Lagodny (2012), § 30, para. 29.

  227. 227.

    Section 31 para. 1 AICCM.

  228. 228.

    Section 31 para. 2 AICCM; Köberer (2015), § 31 IRG, para. 396; Lagodny (2012), § 31, para. 9 f.

  229. 229.

    Section 31 para. 3 AICCM.

  230. 230.

    Section 31 para. 4 AICCM.

  231. 231.

    BT-Drucks. 18/3562, p. 78.

  232. 232.

    Cf. BT-Drucks. 18/3562, p. 79.

  233. 233.

    Section 83 para. 2 no. 1 AICCM; BT-Drucks. 18/3562, p. 79; Böhm (2017), pp. 77, 80.

  234. 234.

    Cf. BT-Drucks. 18/3562, p. 81; cf. BVerfG NJW 1991, 1411.

  235. 235.

    Section 83 para. 2 no. 2 AICCM; OLG München NStZ 2017, 50.

  236. 236.

    Section 83 para. 2 no. 3 AICCM.

  237. 237.

    Section 83 para. 3 AICCM; BT-Drucks. 18/3562, p. 83.

  238. 238.

    Section 83 para. 4 AICCM; Böhm (2017), pp. 77, 81.

  239. 239.

    Cf. section 73 AICCM; BT-Drucks. 18/3562, p. 80 f., 83.; cf. BVerfGE 63, 332 = BVerfG NJW 1983, 1726 f.

  240. 240.

    Council Act of 29 May 2000 establishing in accordance with Article 34 of the Treaty on European Union the Convention on Mutual Assistance in Criminal Matters between the Member States of the European Union [2000] OJ C197/01.

  241. 241.

    Directive 2014/41/EU of the European Parliament and of the Council of 3 April 2014 regarding the European Investigation Order in criminal matters; OJ EU no. L 130 of 1 Mai 2014, p. 10.

  242. 242.

    Güntge (2015), p. 24; Lagodny (2012), § 59, para. 38; Wahl (2016), p. 589.

  243. 243.

    Cf. BGH NStZ 2007, 344; Güntge (2015), § 59, para. 23 f.

  244. 244.

    Above under Sect. 3.2.1.

  245. 245.

    BGHSt 42, 86 = BGH NJW 1996, 2239, 2240: Schmitt (2016), § 168c, para. 8.

  246. 246.

    Cf. Sect. 3.2.1.

  247. 247.

    Despite this having been possible, cf. section 141 para. 3 CCP; cf. 2.1.

  248. 248.

    This possibility is provided for by section 58a para. 1 CCP, according to which the witness examination shall, depending on the circumstances, be conducted by a judge and recorded “if there is a concern that it will not be possible to examine the witness during the main hearing.”

  249. 249.

    According to section 223 para. 1 CCP, a witness can be examined by a member of the trial court or a commissioned judge outside the main hearing when insurmountable obstacles prevent him from appearing at the trial. An examination of a witness abroad can be conducted by a German consul; cf. section 15 para. 4 Act on Consular Officers; Meyer-Goßner (2016), § 251, para. 33.

  250. 250.

    ECtHR, Schatschaschwili v. Germany, judgement of 15 December 2015, Appl. no. 9154/10, para. 146 ff.; Thörnich (2017), p. 48 ff. Cf. also ECtHR, Al-Khawaja and Tahery v. United Kingdom, judgement of 15 December 2011, Appl. no. 26766/05 and 22228/06.

  251. 251.

    ECtHR, Hümmer v. Germany, judgement of 19 October 2012, Appl. No. 26171/07, para. 48 ff.; Thörnich (2017), p. 50.

  252. 252.

    Cf. Sect. 3.2.1.

  253. 253.

    Thörnich (2017), p. 55.

  254. 254.

    ECtHR, Sejdovic v. Italy, judgement of 1 March 2006, Appl. No. 56581/00, at para. 86–88; ECtHR, Medenica v. Switzerland, judgement of 14 June 2001, Appl. No. 20491/92, at para. 56–59; ECtHR, Haralampiev v. Bulgaria, judgement of 24 April 2012, Appl. No. 29648/03, at para. 32–34.

  255. 255.

    Cf. Laue (2010), p. 297.

  256. 256.

    Cf. Sects. 5.1.3 and 5.1.5.

  257. 257.

    BGH NJW 1981, 1052; BGH NStZ 1986, 372; BGH NJW 1991, 2917 f.; BGH NStZ 2002, 533, 535; BGHSt 56, 298 = BGH NJW 2011, 3249, 3252; Arnoldi (2012), p. 109 f.; Deiters (2015), § 231, para. 28a; Eisenberg (2012), p. 67; Gmel (2013), § 231, para. 3, 5; Meyer-Goßner (2016), § 231, para. 17; Roxin and Schünemann (2014), p. 356; Trüg (2011), p. 3256.

  258. 258.

    BVerfG, Order of 27th December 2006—2 BvR 1872/03 -, BeckRS 2012, 54108; OLG Hamburg, Decision of 3rd December 2013—1-25/13 -, BeckRS 2014, 00512; Zehetgruber (2013), p. 398.

  259. 259.

    ECtHR, Neziraj v.Germany, judgement of 8 November 2012, Appl. No. 30804/07, para. 52 ff. = NStZ 2013, 350; cf. Böhm (2015), p. 3133; Gerst (2013), p. 310 ff.; Zehetgruber (2013), p. 401.

  260. 260.

    Cf. above Sect. 3.7.

  261. 261.

    For an extensive reading, see OLG Hamburg, NStZ 2017, 607 f.

  262. 262.

    Böhm (2015), p. 3133; Meyer-Goßner (2016), § 329, para. 15a.

  263. 263.

    Cf. Böhm (2015), p. 3133.

  264. 264.

    Frisch (2015), p. 72 f.; Meyer-Goßner (2016), § 329, para. 36.

  265. 265.

    Section 329 para. 1 CCP.

  266. 266.

    Frisch (2015), p. 72.

  267. 267.

    Directive 2012/13/EU of the European Parliament and of the Council of 22 May 2012 on the right to information in criminal proceedings; OJ EU no. L 142 of 1 June 2012, p. 1; cf. Ruggeri (2016), p. 581 ff.

  268. 268.

    Directive 2010/64/EU of the European Parliament and of the Council of 20 October 2010 on the right to interpretation and translation in criminal proceedings; OJ EU no. L 280 of 26 October 2010, p. 1; cf. Ruggeri (2016), p. 585 ff.

  269. 269.

    Christl (2014), p. 377.

  270. 270.

    Cf. BGH NStZ 2017, 63 f.; Christl (2014), p. 379.

  271. 271.

    Section 187 para. 2 s. 1 Courts Constitution Act.

  272. 272.

    BVerfGE 64, 135 = BVerfG NJW 1983, 2762, 2764 f.; HansOLG Hamburg, NStZ 1993, 53; OLG Düsseldorf, NJW 2003, 2766 f.; Christl (2014), p. 378.

  273. 273.

    Section 187 para. 2 s. 2–5 Court Constitution Act.

  274. 274.

    Section 187 para. 1 s. 2 Courts Constitution Act. Broadly, the same obligation already existed with regard to an accused at the moment of his arrest; section 114b para. 2 s. 2 CCP.

  275. 275.

    Section 136 para. 1 s. 3, section 163a para. 3 s. 2, para. 4 s. 2 CCP.

  276. 276.

    BGH NStZ 2006, 236, 237.

  277. 277.

    Section 114b para. 2 s. 1 no. 4a, s. 2 CCP.

  278. 278.

    Council Framework Decision 2009/299/JHA of 26 February 2009 amending Framework Decisions 2002/584/JHA, 2005/214/JHA, 2006/783/JHA, 2008/909/JHA and 2008/947/JHA, thereby enhancing the procedural rights of persons and fostering the application of the principle of mutual recognition of decisions rendered in the absence of the person concerned at the trial; OJ EU no. L 81 of 27 March 2009, p. 24; cf. Ruggeri (2016), p. 596 ff.

  279. 279.

    BT-Drucks. 18/3562, p. 53 ff.; cf. 6.1.2.

  280. 280.

    BVerfGE 140, 317, 341 = Federal Constitutional Court, 2 BvR 2735/14, at para. 48.

  281. 281.

    BVerfGE 140, 317 = Federal Constitutional Court, Order of the Second Senate of 15 December 2015—2 BvR 2735/14, at para. 52.

  282. 282.

    Cf. CJEU, Judgement of 26 February 2013, Melloni, C-399/11, para. 46; cf. Safferling (2014), p. 549 f.

  283. 283.

    BVerfGE 140, 317, 355 = Federal Constitutional Court, 2 BvR 2735/14, at para. 83; Sauer (2016), p. 1138.

  284. 284.

    BVerfGE 140, 317, 357 f. = Federal Constitutional Court, 2 BvR 2735/14, at para. 88 f., 100–102; cf. Böhm (2015), p. 3132 f.; Laue (2010), p. 297.

  285. 285.

    BVerfGE 140, 317, 364 = Federal Constitutional Court, 2 BvR 2735/14, at para. 103, relying on ECtHR, Colozza v. Italy, judgement of 12 February 1985, Appl. no. 9024/80, para 30.

  286. 286.

    See Sect. 7.1.

  287. 287.

    Cf. article 4a of Framework Decision 2002/584/JHA as amended by Framework Decision 2009/2997JHA (“retrial, or an appeal […] which allows the merits of the case, including fresh evidence, to be re-examined”; emphasis added) and section 83 para. 3 sentence 2 AICCM (“Recht auf Wiederaufnahme des Verfahrens oder auf ein Berufungsverfahren […] bei dem der Sachverhalt, einschließlich neuer Beweismittel, erneut geprüft […] werden kann”; emphasis added).

  288. 288.

    BVerfG NJW 2016, 1149, 1153 = Federal Constitutional Court, Order of the Second Senate of 15 December 2015—2 BvR 2735/14, at para. 54 f.

  289. 289.

    Cf. BVerfGE 133, 168 = BVerfG NJW 2013, 1058, 1060.

  290. 290.

    BVerfGE 133, 168 = BVerfG NJW 2013, 1058, 1067.

  291. 291.

    Cf. BVerfG NJW 2016, 1149, 115 3f. = Constitutional Court, Order of the Second Senate of 15 December 2015—2 BvR 2735/14, at para. 58.

  292. 292.

    Section 147 CCP.

  293. 293.

    See Sects. 3.2.2 and 3.3.

  294. 294.

    BVerfG, NJW 2004, 2443; NJW 2006, 1048; NStZ-RR 2008, 16; 2013, 379.

Abbreviations

AICCM:

Act on International Cooperation in Criminal Matters

BeckRS:

Beck online case law report

BGHSt:

Decisions of the Federal High Court (criminal matters)

BT-Drucks.:

Parliamentary documents of the Bundestag

BVerfGE:

Decisions of the Federal Constitutional Court

CC:

German Criminal Code (StGB)

CCP:

German Code of Criminal Procedure (StPO)

CJEU:

Court of Justice of the European Union

ECHR:

European Convention of Human Rights

ECtHR:

European Court of Human Rights

NJW:

Neue Juristische Wochenschrift (journal)

NStZ:

Neue Zeitschrift für Strafrecht (journal)

NStZ-RR:

NStZ case law report

OLG:

Oberlandesgericht

RhPfVerfGH:

Constitutional Court of Rhineland-Palatinate

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Vogel, B. (2019). Report on Germany. In: Quattrocolo, S., Ruggeri, S. (eds) Personal Participation in Criminal Proceedings. Legal Studies in International, European and Comparative Criminal Law, vol 2. Springer, Cham. https://doi.org/10.1007/978-3-030-01186-4_6

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