Supervisory proceedings: concept and procedure for initiation

What is a Supervisory Authority

The supervisory authority is the courts that have the right to check the legality and validity of court decisions and sentences that have already entered into legal force.

• For civil cases According to Art. 209 of the Civil Procedure Code of the Russian Federation (hereinafter referred to as the Civil Procedure Code), a court decision comes into force upon the expiration of the period for appeal, if it has not been appealed. In accordance with Part 2 of Art. 321 of the Code of Civil Procedure of the Russian Federation, an appeal or presentation can be filed within a month from the date of the court decision in final form.
• For criminal cases there are 3 (three) stages: Judicial Panel, Presidium and Chairman.
• For arbitration cases, the Rules for such a review are enshrined in Chapter 36.1 of the Arbitration Procedure Code of the Russian Federation. A supervisory appeal in an arbitration case within 3 months from the date when the controversial judicial act came into force (Part 4 of Article 308.1 of the Arbitration Procedure Code of the Russian Federation) is sent to the Presidium of the Supreme Court of the Russian Federation and only if the stage of the second cassation has passed and to the Judicial Collegium for economic disputes reviewed the case on its merits (Article 308.1 of the Arbitration Procedure Code of the Russian Federation).

Grounds for establishing supervisory proceedings in the prosecutor's office

For any check, as well as protest, there must be grounds. In the case of such proceedings, the court verdict can be verified by the authorized body only if the applicant has provided grounds for this. After all, no one has the right to simply check the legality and grounds of a court’s verdict. According to the law, this can only be done on the basis of:

• supervisory representation;
• supervisory complaint.

The difference between these documents is that the first is submitted by the prosecutor, while the second is submitted by a person interested in the process or his representative.

History: development at the initial stage

In Soviet times, the formation of the supervisory institution was influenced by three factors:

• The principle of legality. Having a constitutional nature, this provision necessitated the annulment of acts of justice that had entered into force, but at the same time contradicted the norms of legislation.
• Limitation of appeal. To protect the interests of the parties, it was not allowed to file an endless number of complaints, thus reducing the stability of decisions, delaying execution, and reconsidering the case only because one of the participants did not agree with the court’s conclusions (often unreasonably).
• State influence. One of the main tasks of the authorities at that time was the maximum promotion and strengthening of state intervention in private legal relations.

Where and how to file a supervisory complaint

First of all, you need to understand where a supervisory complaint in a criminal case is filed. According to current legislation, a complaint must be filed directly with the Supreme Court of the Russian Federation. This can be done in person, or by sending a registered letter by mail. From January 1, 2021, it became possible to contact the supervisory authority by sending a complaint electronically.

It must be taken into account that the Presidium of the RF Armed Forces can review, by way of supervision, court decisions listed in the third paragraph of Article 412.1 of the Code of Criminal Procedure.

What is a supervisory complaint in a criminal case? In essence, this is an appeal to the Supreme Court with a request to consider a criminal case and the decision made on it in order to eliminate the errors made by the lower court. The main purpose of reviewing a contested sentence is to determine the degree of its legality and its compliance with the requirements of the legislation in force in the territory of the Russian Federation.

Requests made by filing a complaint may be satisfied in whole or in part. As a result of this, decisions, rulings and sentences that have entered into force may be canceled or changed. This is possible if the Presidium of the Supreme Court discovers deviations from the provisions of the current Criminal Code and the Code of Criminal Procedure of the Russian Federation.

Most often, filing a supervisory appeal to the Supreme Court of the Russian Federation in criminal cases is motivated by the fact that lower courts take into account when making a decision evidence that was obtained illegally and, therefore, is inadmissible.

Supervisory authority: general information

The main feature of this institution is that it acts as one of the ways to revise decisions that have entered into force. A supervisory authority is a body that checks the compliance of decisions, resolutions, and determinations with the law. The exception in this case is the decisions of the Presidium of the RF Armed Forces. Judicial supervisory authorities are:

• Collegiums (military).
• Supreme courts of the Russian Federation and its constituent entities. The consideration of the case is carried out by the presidium.
• Supreme arbitration judicial body. It also holds meetings by the presidium.

Who has the right to file a supervisory complaint?

Having figured out where to write a supervisory complaint in a criminal case, you need to understand who has the right to perform such an action. This issue is regulated by the first paragraph of Article 412.1 and Article 401.2 of the Code of Criminal Procedure. According to these provisions of the law, the following subjects of criminal proceedings are vested with the right to file:

• convicted persons;
• acquitted persons;
• victims;
• any other subjects of criminal proceedings whose rights were violated by a court decision.

A complaint can be submitted either personally or through a representative. For example, writing a complaint on behalf of a person serving a sentence must be his representative, who has the appropriate power of attorney certified by a notary or the head of the colony.

Procedure for consideration

How does the supervisory authority act in civil proceedings? Cases are considered at a meeting for no more than a month, and in the Supreme Court - no more than 2 months before a ruling is made. The case being examined by the supervisory court is reported by the chairman, his deputies or other members of the presidium on behalf of higher officials. The circumstances may also be read out by another official of the given body who has not previously participated in the meeting. If the case is considered by a panel, then one of the judges from its composition reports. The same procedure is established for criminal proceedings.

Procedural deadlines

Supervisory complaints in civil and arbitration proceedings within the framework of administrative proceedings (under the CAS) can be sent to the supervisory no later than 3 months from the moment the contested decision enters into legal force (clause 2 of article 391.2 of the Code of Civil Procedure, clause 5 of art. 308.1 APC, clause 2 of article 333 CAS). The period for filing a complaint with the supervisory authority in the framework of legal proceedings in criminal cases and administrative offenses (under the Code of Administrative Offenses) is not limited.

Maximum period for studying a complaint by a supervisory authority :

• in civil proceedings: if the case was not requested - 2 months, if the case was requested - 3 months (clause 1 of Article 391.6 of the Code of Civil Procedure);
• in the arbitration process: if the case was not requested - 2 months, if the case was requested - 3 months (clause 1 of article 308.5 of the Arbitration Procedure Code);
• in criminal proceedings: if the case was not requested - 1 month, if the case was requested - 2 months (Article 412.6 of the Code of Criminal Procedure);
• in the process of an administrative case: 2 months from the date of receipt of the complaint or protest by the court, in the case of a request for materials on the case - 1 month from the date the case was submitted to the court (Clause 3 of Article 30.16 of the Administrative Code);
• in the process of administrative proceedings: according to the general rule, if the case materials were requested - 3 months, if they were not - 2 months (clause 1 of Article 336 CAS).

Important point

Considering the essence of supervisory activities, it is necessary to understand the differences between its objects and those during cassation review. The first covers a wider area. This is proven by the following points:

• The subject of a cassation appeal is only the decision and ruling of the court of first instance, while supervisory review can be used for decisions and rulings of a court of any instance.
• Due to the repeated cancellation of a decision and its remand for new proceedings, several acts may be adopted. The possibility of cassation appeal applies only to the last decision that has not entered into legal force. At the same time, the validity and legality of previously canceled acts is not verified. Judicial supervisory authorities are bodies that assess the compliance with the law of all previously appealed decisions, decisions, and determinations.

Characteristics of supervisory review:

• can only be carried out by the supervisory courts specified in the law (Presidium of the Supreme Court of the Russian Federation - Article 391.1 of the Code of Civil Procedure of the Russian Federation), which have broader powers than cassation courts;
• only on the basis of a judge’s ruling to transfer the case for consideration of a complaint or a prosecutor’s presentation on the merits in a supervisory court or a reasoned submission to revise court decisions in the order of supervision of the Chairman of the RF Supreme Court, Deputy Chairman of the RF Supreme Court (Article 391.5 of the Code of Civil Procedure of the Russian Federation);
• the subject of review in the order of supervision is court decisions that have entered into legal force (they can be not only decisions and rulings of the court of first instance, but also decisions and rulings of the courts of appeal and cassation);
• special grounds for canceling or changing court decisions in the order of supervision (Article 391.9 of the Code of Civil Procedure of the Russian Federation);
• decisions of the supervisory court are not subject to further appeal.

Grounds for cancellation (change) of court decisions in the order of supervision

Article 391.9 of the Code of Civil Procedure of the Russian Federation clearly defines three factors that may be grounds for canceling or amending a court decision (by way of supervision). We are talking about a court decision, as a result of which the following were violated:

• the rights and freedoms of citizens prescribed in the Constitution of the Russian Federation, dictated by the norms of international law and outlined in treaties concluded between Russia and other countries;
• the rights and interests of society as a whole;
• a uniform approach to the interpretation and application of current legislation.

Thus, if at least one of the above grounds is present, the court decision can be canceled or changed in supervisory proceedings.

Powers of the supervisory court

The court of supervisory authority in civil, administrative, criminal and other cases within the jurisdiction of courts of general jurisdiction in Russia is the Supreme Court of the Russian Federation (Article 126 of the Constitution of the Russian Federation). The Supreme Court of the Russian Federation acts as a subsequent supervisory authority regarding the supreme courts of the constituent entities of the Russian Federation when studying cases of administrative offenses (Clause 3 of Article 30.13 of the Code of Civil Procedure).

supervisory court is authorized to:

• preserve judicial acts issued in previous instances without making changes to them;
• cancel judicial acts issued in previous instances, in part or in whole, and send the materials for new study;
• annul judicial acts passed in previous instances, in whole or in part, and complete the proceedings or keep the application unconsidered;
• preserve the force of one of the judicial acts issued in previous instances;
• cancel or amend a judicial act issued by a previous instance and draw up a new ruling on the case without sending the case itself for study, if the supervisory authority has identified an incorrect interpretation or use of the provisions of substantive law;
• leave the said complaint without examining the merits.

For what reason are supervisory proceedings initiated?

Supervisory proceedings in civil proceedings differ from those in criminal proceedings, by and large, only in the composition of the offense. Therefore the procedure is the same in both cases. The reason for initiating this process can only be information that indicates that the court verdict was made illegally and without proper grounds. It is also important that there is no time limit for filing a supervisory complaint. In addition, there are several supervisory authorities. That is, the same case can be considered more than once during supervisory proceedings in criminal or civil proceedings.

The supervisory procedure gives the right to review:

• any decisions of the first court;
• verdicts of the judge when he appoints a court hearing;
• resolution of cassation appeals;
• determinations that were made during the execution of the sentence;
• decisions of supervisory authorities of a lower rank.

Drawing up a complaint

Legal requirements
The subject of the complaint is the unfoundedness of the decision made, expressed injustice or illegality.

When drawing up a complaint, it is worth indicating the details of the document of this type being drawn up. The address of the authority within whose authority the disputed document is available for review is indicated.

The operation of the relevant law directs the applicant to comply with the required sequence.

That is, a complaint against a district court decision should not be sent to a panel of the Supreme Court, bypassing the regional authority of the presidium.

If you receive a refusal to make the necessary decision on a complaint at a lower-ranking authority, there is always the opportunity to appeal with the same reason to a higher one.

At the same time, there is the possibility of appealing the verdict/determination.

You can't make the situation worse

Identification of violations
Article of the Code of Civil Procedure No. 448 establishes the grounds aimed at canceling decisions made during supervision, due to their unfoundedness or identified violations.

The decisions made will be considered unfounded in the case of incomplete examination of the facts that have become unaccounted for evidence and facts, without confirmation and evidence, but which have become the basis for the decision.

Reasons for cancellation/change of regulations

Additional documentation for the complaint

With a properly prepared application, the applicant must provide copies of the following documents:

1. Sentence (decision) subject to review.
2. Definition of cassation/appeal.
3. Another documentary package, which, in the opinion of the applicant, can confirm the arguments expressed by him.

It is worth mentioning that there is no need to request files, since this item does not relate to a mandatory function. The supervisory authority may also make its decision based on the material provided by the applicant.