Denial of the Claim
The denial of the claim is a central concept of the German Code of Civil Procedure (ZPO) and refers to the formal dispute by the defendant of the facts presented by the plaintiff. It represents one of the most important means of defense in civil litigation and serves to develop the so-called dispute status. Denial of the claim is an active part of civil proceedings and contributes significantly to the determination of the truth and safeguarding the procedural rights of the parties.
Definition and Significance
Denial of the claim is primarily used in German civil procedural law in connection with the provisions of §§ 138 et seq. ZPO. Denial of the claim means that the defendant expressly or impliedly disputes the plaintiff’s representations of facts—at least with regard to individual or all disputed factual allegations—i.e., either through explicit statements or by conclusive conduct. It is a typical response to the initiation of a lawsuit in written preliminary proceedings or at the court hearing.
Denial of the claim therefore differs from acknowledgment (full agreement with the plaintiff’s allegations) and from mere objections (e.g., limitation period), as it relates solely to the question of findings of fact and not to legal assessment.
Legal Basis
General Rules of Civil Procedure
Section 138 ZPO stipulates that each party must respond to the facts asserted by the opposing party. Denial of the claim constitutes the implementation of this duty to respond on the part of the defendant, who is required to either admit, dispute on the grounds of lacking knowledge, or deny (i.e., dispute) the facts asserted by the plaintiff.
Forms of Denial of the Claim
A distinction is made between express and implicit denial of the claim:
- Express denial: The defendant clearly and explicitly contradicts some or all allegations.
- Implicit denial: The denial arises from other statements, for example if the defendant presents his or her own version of the facts that differs from the plaintiff’s account.
Both forms are legally permissible, although the court prioritizes sufficiently clear statements for procedural clarity in cases of doubt.
Function and Significance in the Proceedings
Denial of the claim is decisive for the development of the distribution of the burden of proof. If the defendant disputes a factual assertion of the plaintiff, it remains the plaintiff’s task to prove these facts (§ 286 ZPO). If the denial of claim is insufficient, the court may assume what is known as an admission effect. This means that the asserted fact is then deemed to be admitted, making the taking of evidence unnecessary.
Requirements for an Effective Denial of the Claim
Degree of Particularization
The denial must specifically cover each factual assertion presented by the plaintiff. Blanket denials are only sufficient in exceptional cases, for example if the defendant is, for factual reasons, unable to provide a more detailed statement. Otherwise, the court may consider such submissions as irrelevant.
Time Limits
According to § 296 ZPO, new defenses, including belated denial of the claim, must be submitted in due time. A late denial is generally not taken into account if it delays the proceedings or is put forward in bad faith.
Formal Aspects
The denial of the claim typically occurs in the statement of defense (§§ 129, 276 ZPO) or in subsequent written submissions during the proceedings, provided new factual allegations are made by the plaintiff. Denial can also take place at the court hearing.
Silence on the part of the defendant is generally deemed to be an admission, unless it is obviously a fact to which no response is expected (§ 138 para. 3 ZPO).
Distinction from Similar Terms
- Objection: Relates to legal obstacles (e.g., limitation period) and not to the plaintiff’s factual assertions.
- Acknowledgment: Full agreement with the plaintiff’s factual assertions.
- Dispute due to lack of knowledge: Specifically possible for facts outside the party’s own perception (§ 138 para. 4 ZPO).
Consequences of denial of the claim in civil proceedings
Through effective denial of the claim, it is determined which facts are disputed and remain subject to proof. The court only decides on the facts introduced into the proceedings, applying procedural rules for the taking of evidence. Denial is therefore a procedural defense of significant importance, since only undisputed facts may be used for the court’s judgment without requiring evidence.
Denial of the Claim in the Context of Special Types of Proceedings
Order for Payment Procedure
In order for payment procedures, the denial of the claim initially plays no role, since contentious proceedings only begin once objection to the payment order is made. From that moment, the respondent can dispute the asserted claims and thus proceed to denial of the claim.
Proceedings before Local, Regional, and Higher Regional Courts
The process and requirements for effective denial of the claim do not differ between the various instances. The fundamental requirements always derive from the ZPO.
Summary
Denial of the claim is a fundamental procedural act in German civil proceedings. It refers to the substantiated, timely, and properly formatted denial by the defendant of the plaintiff’s allegations of fact. Denial is a prerequisite for proper conduct of proceedings and clarification of the matters in dispute. A properly declared denial forms the basis for the allocation of the burden of proof and can be decisive for the outcome of the case. The distinction between denial, objection, and acknowledgment is essential for correct application in civil proceedings. Denial of the claim is thus one of the main building blocks of defense in civil litigation and is of central importance for the substantive and procedural handling of lawsuits.
Frequently Asked Questions
What are the legal consequences if a party issues a denial of the claim in civil proceedings?
If a party in civil proceedings issues a denial of the claim, this means that it expressly disputes the plaintiff’s factual assertions. From a legal perspective, denial of the claim bars the asserting party’s claim from being deemed admitted and the court must therefore treat it as disputed. This requires the plaintiff to substantiate and, if necessary, prove the facts forming the basis of their claim, as denied by the opposing party (cf. § 138 para. 2 and 3 ZPO). Without further submissions by the plaintiff and the required evidence, the court cannot grant the claim. Denial of the claim thus initiates the taking of evidence regarding the facts in dispute, and is therefore central to the allocation of the burdens of pleading and proof in the proceedings.
At what stage of civil proceedings is denial of the claim permissible?
Denial of the claim is generally possible throughout the written and oral stages of proceedings as long as the oral hearing has not yet been closed (cf. § 296 ZPO). Accordingly, parties can respond and deny the opposing party’s submissions within the statement of defense and throughout the further proceedings up until the end of the oral hearing. After the close of the oral hearing, new denial is only admissible if the court accepts it under the rules on belated submissions (§§ 296 et seq. ZPO). Furthermore, denial of the claim must be made in due time and in sufficiently concrete terms, as late, unsubstantiated, or blanket denials may be rejected as late or irrelevant.
What requirements exist regarding the form and structure of denial of the claim?
Denial of the claim must meet the requirements for proper disputing (§ 138 para. 2 and 3 ZPO). This means that the defendant must respond to each specific factual assertion of the plaintiff. Simple blanket denials (“Denied.”) are sufficient only if the essential facts have not been individually presented by the opposing party. However, if factual allegations are presented in detail, denial must also be equally specific. In addition, the dispute may need to be explained and accompanied by an alternative account (“It was not me, but …”). Unsubstantiated, blanket, or merely formulaic denials can be disregarded by the court and, as a result, the disputed fact is deemed admitted.
How does denial of the claim differ from simply not responding to an alleged fact?
While denial of the claim is an express dispute of a fact asserted by the opposing party, remaining completely silent on a factual assertion under § 138 para. 3 ZPO usually results in it being regarded as admitted. The court interprets a blanket or ambiguous response to the detriment of the party failing to respond sufficiently. It is therefore essential, in the context of the right to be heard, to expressly dispute every fact asserted by the opponent that is believed not to be correct and to explain, if necessary, why it is inaccurate. Otherwise, there is a risk of an admission being deemed in favor of the opposing party.
Which burdens of proof and duties to present arise after issuing a denial of the claim?
After denial of the claim is declared, the full burden of proof and presentation of facts falls back on the plaintiff, who must substantiate and, if necessary, prove the elements and facts underlying his or her claim. The defendant is merely required to fulfill the secondary burden of explanation, i.e., to describe circumstances within his or her own perception or control as reasonably expected. However, denial of the claim does not relieve the defendant from fulfilling this secondary burden where the events were more within the defendant’s sphere or were otherwise more accessible than to the plaintiff. If the plaintiff is unable to discharge the burden of proof following denial of the claim, the action must be dismissed.
Does the court have to proceed to taking evidence after denial of the claim?
The court may only order the taking of evidence regarding facts that have been disputed by a party—usually by means of denial of the claim—and for which the burden of proof lies with the plaintiff. An undisputed or deemed-admitted fact is not subject to evidentiary evaluation. Thus, denial of the claim forms the basis for procedural taking of evidence. Only through substantiated denial of the claim can the court determine the questions of fact to be proven and initiate the taking of evidence, provided the plaintiff has not already initiated proof on his or her own.
Can procedural disadvantages arise from denial of the claim?
Overly blanket or late denial of the claim can have significant procedural disadvantages for the disputing party. According to § 296 ZPO, belated submissions may be disregarded. Inadequate disputing may also result in the plaintiff’s submissions being deemed admitted. Furthermore, the credibility of a party may be attacked due to contradictory or erroneous denials, which can adversely affect the party’s overall conduct in the proceedings. Careful and timely denial of the claim is therefore essential for protecting procedural rights and for an effective defense in civil litigation.
