Amendment of the claim
The amendment of the claim is a significant concept of the German Code of Civil Procedure (ZPO), which allows parties to subsequently modify the subject matter of a pending action. It plays a central role in court proceedings, as it grants a high degree of flexibility to procedural law and also promotes procedural economy. This article provides a detailed explanation of the legal foundations, prerequisites, types, legal consequences, and practical special features of the amendment of the claim.
1. Definition and significance of the amendment of the claim
Amendment of the claim refers to any subsequent change to the subject matter of a claim that has already been filed in an ongoing civil proceeding. The subject matter refers to the specific claims which the court is to decide upon. Changes may relate to the claim itself or to the facts from which the claim is derived. The aim of amending the claim is usually to better assert the legal interests of the claimant without having to initiate an entirely new proceeding.
2. Statutory basis for amending the claim
2.1. Regulation in the Code of Civil Procedure (ZPO)
Amendment of the claim is regulated in §§ 263 to 265 ZPO. According to § 263 ZPO, an amendment of the claim is generally permitted only with the consent of the defendant or with the court’s permission. However, § 264 ZPO allows certain forms of amendment without the need for consent or court authorization.
2.2. Distinctions
The amendment of the claim must, in particular, be distinguished from withdrawal of the claim, expansion of the claim, and limitation of the claim. While withdrawal ends the proceeding, the pending legal dispute in the case of amendment of the claim generally continues on a modified basis.
3. Types of amendment of the claim
3.1. Qualitative amendment of the claim (benefit to the matter)
A qualitative amendment of the claim occurs when the relief sought or the underlying facts are modified, for example, if instead of payment, the claimant now demands delivery.
3.2. Quantitative amendment of the claim (claim extension or limitation)
This term refers to changes to the relief sought in quantitative terms, such as by increasing the amount claimed (extension pursuant to § 264 No. 2 ZPO) or reducing it (limitation of the claim).
3.3. Objective accumulation of claims
When further claims that are independent from the original claim are introduced into the proceedings, this is referred to as objective accumulation of claims. This regularly constitutes an amendment of the claim, subject to the requirements of §§ 263 et seq. ZPO.
4. Admissibility of the amendment of the claim
4.1. Consent of the defendant
The simplest form of admissibility arises when the defendant expressly consents to the amendment of the claim (§ 263 Alt. 1 ZPO).
4.2. Court authorization: benefit to the matter
If there is no consent, the court must consider the amendment of the claim to be beneficial to the matter pursuant to § 263 Alt. 2 ZPO. It is considered beneficial if the existing substance of the proceedings can be used and if the procedure is not delayed or significantly complicated.
4.3. Amendment of the claim without consent or court authorization
In certain instances, § 264 ZPO provides for a statutory amendment of the claim, for instance if, without changing the cause of action, the motions are changed, or the claim is extended or limited.
5. Prerequisites for the amendment of the claim
5.1. Timeliness
The amendment of the claim can, in principle, be made at any stage of the proceedings, but is particularly restricted after the close of the oral hearing. According to § 296 para. 1 ZPO, a late amendment must be rejected if it would delay the resolution of the dispute and the delay is not sufficiently excused.
5.2. Procedural connection
The amendment of the claim must be related to the original facts or the claim already submitted in substantive terms, in order to maintain procedural economy.
5.3. Admissibility in special judicial scenarios
Certain subject-matter jurisdictions and disputed matters may limit the admissibility of an amendment of the claim, for example in the local court or in proceedings with limited subject-matter competence.
6. Legal consequences of the amendment of the claim
6.1. Procedural consequences
In the event of a successful amendment of the claim, proceedings continue on the new basis. The court may, if necessary, require additional evidence or supplementary statements.
6.2. Aspects relating to procedural costs
An amendment of the claim may affect the procedural costs. The decision on the allocation of costs is determined by §§ 91 et seq. ZPO and by the circumstances of the particular modification.
6.3. Effects on pendency and limitation
With a permissible amendment of the claim, pendency is newly established for the amended subject matter (§ 261 para. 2 ZPO). For statute of limitations purposes, the relevant date is the date of the original filing, provided the amended claim concerns the same factual circumstances.
7. Special cases and exceptions
7.1. Amendment of the claim in appeal proceedings
In appeal proceedings, amendments to the claim are generally only possible to a limited extent (§ 533 ZPO). The appellate court decides on this by balancing the involved interests.
7.2. Accumulation of claims and amendment of the claim
In the case of objective accumulation of claims, it must always be examined whether an amendment of the claim or merely a combination of several claims being added to the proceedings is present.
7.3. Amendment of the claim in the event of a settlement
If a settlement is reached following an amendment of the claim, the agreement also covers the amended subject matter, unless otherwise agreed.
8. Practical significance and relevance
The amendment of the claim makes a significant contribution to the efficiency of the civil judiciary, as claims can be handled without new proceedings. At the same time, it aims to prevent extensive proceedings from being delayed by abusive or late amendments. Therefore, the requirements for admissibility are closely tied to the principle of procedural economy and procedural fairness.
9. Literature and further notes
Further information on the amendment of the claim can be found in commentaries on the ZPO and in relevant textbooks on civil procedure law. The case law of the Federal Court of Justice and the Higher Regional Courts provides a wealth of individual decisions that continuously specify the legal framework.
Summary
The amendment of the claim is an essential tool in German civil procedural law, which gives parties and the court leeway and flexibility to address legal disputes effectively and appropriately. It is subject to clear statutory requirements and restrictions, which are intended to balance the interests of expeditious proceedings and comprehensive legal representation.
Frequently asked questions
What procedural requirements must be met for an amendment of the claim?
An amendment of the claim first requires that such an amendment is legally permissible at all. Under German civil procedural law, amendment of the claim pursuant to § 263 ZPO is generally allowed only with the defendant’s consent or with leave of the court. The court may typically permit the amendment if the subject matter of the dispute remains the same or there is a relevant connection, and no material delay in the proceedings is to be expected. It is also important that the amended claim is not based on a completely new set of facts, to the extent that these lie outside the previous defense. In addition, the claimant must properly and timely assert new facts and motions for evidence, so as to comply with the principle of the right to be heard and to permit a fair defense for the defendant.
From when does an amendment of the claim exist within the meaning of the ZPO?
Not every change in the relief sought or the presentation of facts constitutes an amendment of the claim in the procedural sense. An amendment of the claim within the meaning of the Code of Civil Procedure exists in particular if the cause of action is exchanged, the subject matter of the dispute is altered, or additional claims are newly introduced into the process. Also, converting the relief sought (e.g. from performance to declaratory judgment or vice versa) generally constitutes an amendment of the claim, provided that a different set of facts is legally submitted for review. Pure clarifications or adjustments of the claim without substantial modification of the subject matter do not constitute an amendment of the claim.
How does the court procedure for an amendment of the claim proceed?
If an amendment of the claim is requested or becomes apparent in the course of the proceedings, the court first reviews whether the procedural requirements are met, in particular whether the amendment is admissible under § 263 ZPO. The court will, if necessary, give the defendant the opportunity to comment. If the defendant objects to the amendment, the court decides by order whether the amendment of the claim is considered beneficial to the matter and is therefore admitted. The decision to admit the amendment is not a final decision, but a procedural one, against which there is no immediate appeal. Once admitted, the proceedings continue taking into account the amended claim.
What effect does the amendment of the claim have on the defenses and objections already raised by the defendant?
With the introduction of an amendment of the claim, the defendant is entitled to respond comprehensively to the new facts and amended requests. He may raise new defenses and objections, even if there was a risk of preclusion prior to the amendment. The amended claim thus reopens the field of defense for the defendant, but only with regard to the new subject matter introduced by the amendment. The defendant is also generally granted a reasonable period to respond, to ensure his rights are protected in principle.
How does an amendment of the claim affect the costs of proceedings?
If an amendment of the claim is admitted, this will generally affect the value in dispute and thus the procedural costs. The newly introduced claim will usually increase the value in dispute, which impacts both court fees and the parties’ attorneys’ fees. If there is a partial withdrawal of the claim as part of the amendment, this may also have cost consequences for the claimant, especially in a cost ruling according to § 269 ZPO. The final allocation of costs is generally determined by the outcome of the proceedings, taking into account all claims—original and amended.
Is an amendment of the claim also possible at the appeal stage?
An amendment of the claim can, in principle, still be made at the appeal stage. However, the requirements for permission are considerably stricter under § 533 ZPO. The amendment must be beneficial to the matter or based on facts which the court would have to consider in any case; in addition, the proceedings must not be delayed. At the appeal stage, amendments are particularly excluded if this would result in the dispute being based on completely new facts that were not examined in the first instance.
Are there absolute deadlines for amendments of the claim?
Absolute deadlines for amendments of the claim are not explicitly regulated by German civil procedure law. However, amendments are generally only possible up to the close of the oral hearing at first instance, i.e., until the announcement of the final judgment. Later amendments are only possible through reopening of the hearing or—under strict conditions—by joining an appeal or continuing to pursue the unchanged claim. The later assertion of a new claim by way of amendment is usually inadmissible and is only to be considered exceptionally in accordance with §§ 264, 533 ZPO.
