Definition and Legal Framework of the Stepwise Action (Stufenklage)
The Stufenklage is a special type of action in German civil procedure law that allows the plaintiff to initially demand disclosure of certain facts, in order to subsequently determine and enforce a specific claim for performance based on that information. The Stufenklage is governed by Section 254 of the Code of Civil Procedure (ZPO). It plays an important role particularly when the plaintiff cannot initially quantify the precise value of his material claim because the crucial information lies within the sphere of the opposing party.
Statutory Basis
The Stufenklage is legally regulated in Section 254 ZPO as follows:“If the performance depends on the furnishing of information or on the rendering of accounts, the plaintiff may, in the same proceedings, demand a judgment ordering that such information be provided or accounts be rendered and, once this has taken place, subsequently demand a judgment ordering the performance itself.”The statutory text clarifies that the Stufenklage is not limited to a single stage of claim, but may consist of several, consecutive requests for relief.
Structure and Procedure of the Stufenklage
Step Principle
The Stufenklage typically consists of up to three stages:1st Stage: Action for information or rendering of accounts.
In the first stage, the plaintiff demands that the defendant provide information on certain facts or render accounts so that a claim to be asserted later can be quantified.2nd Stage: Action for submission of a statutory declaration in lieu of an oath.
At this stage, the plaintiff—if there are reasonable doubts about the accuracy or completeness of the information—can request that the defendant affirm under oath the correctness and completeness of the information provided.3rd Stage: Action for performance.
As soon as the necessary information is available, the plaintiff can specify and assert the actual performance claim within the same proceedings, for example, the payment of a specific sum of money.
Procedural Approach
The essential feature of a Stufenklage is that all claims are announced in the original application and lodged within the same proceedings. The case progresses step-by-step, meaning the court decides each initial stage before proceeding to the next. This ensures a uniform process across all stages.Procedure and Judgment: The court will first issue a partial judgment concerning the obligation to provide information or render accounts. Only after this obligation is fulfilled will the plaintiff be able to specify the performance claim, and the court will then rule on that claim.
Areas of Application and Typical Cases
In practice, the Stufenklage is widely used, particularly in the following situations:
- Inheritance Law: Persons entitled to a compulsory portion request information about the estate from the heirs in order to subsequently assert their compulsory share claim.
- Family Law: For example, in the context of a community of accrued gains, information about the initial and final assets may be requested in order to calculate the equalization claim.
- Corporate Law: Company members assert information claims against co-shareholders or the company itself in order to calculate profit shares or compensation payments.
- Contract Law: In cases where the quantification of a claim for damages or restitution depends on information that is exclusively held by the debtor.
Requirements and Particularities
Requirements for the Stufenklage
For the admissibility of the Stufenklage, the following requirements must be met:
- Dependence of Performance: The claim for performance must depend on prior information or rendering of accounts.
- Impossibility of Quantification: The plaintiff must rely on information held by the opposing party in order to quantify his claim.
- Claims for Relief: All stages must already be announced in the statement of claim.
Peculiarities
Binding Effect
The court’s decisions on each stage are binding in the sense of res judicata. The partial judgment concerning the order to provide information or render accounts remains final, regardless of the outcome of the performance claim in the final stage.
Eased Requirements of Proof
The Stufenklage offers the plaintiff the opportunity to precisely quantify his claim for payment once he has obtained the relevant data, for example, by receiving accounts or information.
Cost Considerations
The calculation of the amount in dispute includes all claims made. According to Section 44 GKG, the total amount in dispute is determined by adding up the amounts in dispute of each stage, whereby the value of the performance stage is generally decisive.
Suspension of the Limitation Period
By initiating a Stufenklage, the statute of limitations is tolled for all claims that are subject to the lawsuit (information, statutory declaration in lieu of oath, performance).
Distinction from Other Types of Actions
The Stufenklage differs from the so-called action for information in that in the latter, only the procurement of information is sought, without an associated claim for performance being possible at the same time. Additionally, the claim for performance in the Stufenklage is usually aimed at a payment of money, restitution, or another concrete performance, which can only be fully quantified after obtaining the relevant information.
Legal Interest and Right to Bring an Action
A Stufenklage requires a genuine need for legal protection. This means that the plaintiff must objectively depend on the opposing party’s information. If the plaintiff already possesses the necessary information, the Stufenklage is inadmissible.
Judgment and Course of Proceedings
During the process of the Stufenklage, the court does not decide on all stages at once, but successively:
- The first step is a (partial) judgment on the information or accounting obligation.
- After information is provided, the plaintiff—usually after a deadline set by the court—can specify the claim for performance. This is done by subsequently extending or clarifying the original claim in the ongoing proceedings.
- A further judgment then renders a final decision on the claim for performance.
Summary and Significance
The Stufenklage is a central procedural mechanism in civil procedure law, enabling claimants to effectively enforce a material claim for performance when the requisite information is exclusively in the possession of the opposing party. By combining information and performance claims in a single proceeding, the Stufenklage offers efficient legal protection and helps prevent delays in enforcing claims. Its scope is wide, especially in inheritance, family, and corporate law, as well as everywhere that disclosure obligations are a prerequisite for quantifying a claim.
Literature and Further Resources
- Code of Civil Procedure (ZPO), in particular Section 254 ZPO
- Commentaries on the ZPO, e.g. Musielak/Voit, Stein/Jonas, Thomas/Putzo
- Case Law on Actions for Information and Performance
Note: The exact application of the Stufenklage may vary depending on the individual case and should always be considered in conjunction with the relevant provisions of the Code of Civil Procedure and applicable case law.
Frequently Asked Questions
When is a Stufenklage admissible in civil proceedings?
The Stufenklage is admissible in German civil proceedings pursuant to Section 254 ZPO if the plaintiff is initially unable to precisely quantify the claim for performance because he lacks information or disclosure from the defendant. Typical scenarios include claims for information and rendering of accounts, for example in family law (such as distribution of accrued gains), inheritance law (such as information about estate assets), or commercial law (such as profit sharing). The action may then consist of up to three stages: first, information is requested; next, the creation of an inventory or rendering of accounts; and, finally, the rendering of performance. Once the exact amount of the claim is known, it can be asserted in the proceedings. The prerequisite for admissibility is always that the claim for performance depends on the prior information, in other words, that there is substantial uncertainty regarding the amount of the claim.
How will the court decide on the different stages?
The court generally proceeds in stages, starting with the information stage. In the first step, it issues a partial judgment concerning the claim for information, if substantiated. Upon fulfillment of the claim for information—that is, following the proper disclosure by the defendant—the court sets a deadline for the plaintiff to specify the performance claim. Only after the plaintiff has concretized the claim for performance based on the information received does the court decide on the action for performance. An interim judgment on the obligation to provide information thus follows the principle of procedural economy and ensures that the defendant is only ordered to provide performance after fulfilling the preliminary stage.
How is the amount in dispute determined in a Stufenklage?
When determining the amount in dispute for a Stufenklage, the values for the information, rendering of accounts, and performance are each calculated separately. The value of the information stage is first estimated, typically as a percentage (often about 10% to 25%) of the expected amount of the claim for performance. Once the performance stage is added (after quantification), the amount in dispute rises accordingly. For the allocation of costs and calculation of court fees, this value remains dynamic, as it is adjusted at each stage. In the end, the final amount in dispute is generally based on the value of the performance claim.
What procedural peculiarities must be observed in a Stufenklage?
The Stufenklage has several procedural particularities. The plaintiff must at least assert the claim for information and (if necessary) further stages in a comprehensible manner; the claim for performance can initially remain unspecified. After fulfilling the obligation to provide information, the plaintiff is obliged to specify the claim for performance within a deadline set by the court and, if necessary, to expand or modify the lawsuit. After each stage, the defendant has the right to raise objections to the respective claim. Moreover, an appeal is admissible against any partial judgment at both stages, provided the minimum amount in dispute for the appeal is met and the other requirements are fulfilled.
What risks does the plaintiff face with a Stufenklage?
A key risk for the plaintiff is that the information disclosed may not yield the anticipated value of the claim, thereby increasing his cost risk. For example, if it emerges after disclosure that only a minor claim for payment exists, the plaintiff remains liable for the potentially considerable costs of the earlier stages. There is also the risk that the facts upon which the claim is based cannot be sufficiently substantiated in the course of the proceedings, causing the claim to be dismissed. Furthermore, the stepwise procedure often extends the overall duration of the process, as each issue is addressed one after another.
Must the plaintiff request information out of court before filing a Stufenklage?
The initiation of a Stufenklage does not generally require the plaintiff to have previously requested information out of court. Although it is often advisable in practice, to avoid unnecessary litigation and to give the defendant the opportunity for voluntary compliance, legal action may be taken without a prior out-of-court request. However, making a prior request for information may affect the allocation of legal costs and the issue of immediate acknowledgment fees.
What happens if the defendant fails to provide the required information or render accounts, or does so inadequately?
If the defendant does not fulfill the obligation to provide information or to render accounts, or does so inadequately (incompletely, belatedly, or incorrectly), the court may, upon application by the plaintiff, impose a coercive fine pursuant to Section 888 ZPO on the defendant to enforce compliance. In addition, the court may estimate the amount claimed by the plaintiff according to the principles of so-called secondary burden of proof or under Section 287 ZPO, if the defendant breaches the obligation to provide sufficient information. Other procedural options include the provisional enforceability of a partial judgment or an interim payment order for a minimum amount.
