Definition and significance of the statement of claim
The statement of claim is a central element of civil procedure law and is a formal written document used to initiate court proceedings for the enforcement of private law claims. With the statement of claim, the plaintiff presents their claims before a court and seeks to obtain a judicial decision. The requirements, structure, and legal consequences of the statement of claim are detailed in the relevant procedural rules, especially the Code of Civil Procedure (ZPO).
Legal principles
Statutory basis in the ZPO
The statement of claim is regulated in Sections 253 and following of the German Code of Civil Procedure (ZPO). It constitutes the formal commencement of civil proceedings and is a prerequisite for asserting claims in court. The court only becomes active in a civil process upon the filing of a statement of claim (Section 253 (1) ZPO). For specific areas of law, there may be differing or supplementary rules (for example, in the Administrative Court Procedures Act or the Labor Court Act), adapted to the particularities of each procedure.
Formal requirements
The statement of claim must be submitted in writing or declared for the record at the court registry (Section 253 (4) ZPO). In cases where representation by a lawyer is mandatory, it may also be submitted electronically via a secure legal communications channel (Section 130a ZPO). If the formal requirement is not met, the statement of claim is considered ineffective and the court will not act.
Substantive requirements for the statement of claim
Necessary components pursuant to Section 253 (2) ZPO
The statement of claim must meet certain minimum requirements to allow the court to deal with the dispute appropriately. The following information is mandatory:
- Designation of parties and the court: The statement of claim must clearly specify the court being addressed and all parties involved (plaintiff and defendant), including their serviceable addresses.
- Specific request: The claim must specify the demand being pursued as precisely as possible, so that the plaintiff’s request is clear to both the court and the opponent.
- Clear presentation of the facts: The statement of claim must set out the facts establishing the claim—so-called “grounds for the claim”—in an ordered and comprehensible manner.
- Evidence: The supporting evidence, such as documents, witnesses, or experts, must be identified.
- Signature: The document must be signed by the submitting party or their legal representative (Section 130 No. 6 ZPO).
Additional substantive requirements
Beyond the statutory minimum requirements, it is advisable to indicate the economic significance of the subject matter of the dispute (the amount in dispute) as well as references to any known preliminary proceedings. For certain types of actions, such as claims for performance, declaratory, or constitutive actions, there are also specific requirements regarding the formulation of the application.
Purpose and function of the statement of claim
Function of legal protection
On the one hand, the statement of claim serves to inform the court and defines the subject matter of the dispute to be decided (principle of party disposition). On the other hand, it informs the defendant of the allegations and gives them the opportunity to defend themselves promptly and properly (right to be heard).
Procedural effects
Upon receipt of the statement of claim, the proceedings become pending. The subject matter of the dispute (the matter in dispute) is thereby fixed, and any subsequent amendment is only possible under strict conditions (Section 263 ZPO). From the time the claim is served on the defendant, the so-called “protection period” for the parties’ extensive procedural rights and duties begins.
Special forms of the statement of claim
Default judgment proceedings
In court default payment proceedings, the application for a default judgment largely replaces the statement of claim (Section 690 ZPO). If an objection is filed in the default proceedings, the claim must be pursued further by submitting a statement of claim, in order to subsequently present the grounds for the claim (Section 696 (3) ZPO).
Particularities in other codes of procedure
In labor and administrative court proceedings, there are adapted forms of the statement of claim, especially with regard to jurisdictions and the naming of parties, such as Sections 61, 81 of the Administrative Court Procedures Act (VwGO) or Section 46 of the Labor Court Act (ArbGG). However, the principles regarding content, function, and effect largely correspond to those in civil procedure.
Formal defects and their consequences
Inadmissibility of the claim
If a statement of claim has significant defects, such as a missing application or insufficient identification of the parties, the court will generally not serve it. The court will request rectification; failure to correct substantial defects will result in inadmissibility of the claim and may lead to a dismissal of the action with costs.
Restoration of prior status and opportunity for rectification
Under certain conditions, if a deadline is missed due to a formal defect, a motion for restoration of the prior status may be made pursuant to Section 233 ZPO. Even if formal errors are not timely remedied before service, the statement of claim may be withdrawn, corrected, and refiled.
Statement of claim in practice
Preparation and submission
Before drafting a statement of claim, it is advisable to conduct a comprehensive investigation of the facts and a review of claims in order to prepare a logical and well-founded presentation of the claim. Submission is usually made to the court that has subject-matter and local jurisdiction.
Service
After checking for minimum requirements, the statement of claim is officially served on the defendant (Sections 166 et seq. ZPO), triggering deadlines for the statement of defense and all subsequent procedural steps.
Difference to the statement of defense
In contrast to the statement of claim, the statement of defense is the defendant’s first written submission in proceedings. It serves to defend against or dispute the claims and facts asserted in the statement of claim.
Significance in international legal relations
In an international context, supplementary regulations apply, such as under the Brussels Ia Regulation or Lugano Convention, particularly concerning service and requirements for statements of claim when the parties reside in different countries.
Literature and further links
- Code of Civil Procedure (ZPO)
- Munich Commentary on the ZPO
- Thomas/Putzo: ZPO
- Case law of the Federal Court of Justice
Note: These remarks provide a comprehensive overview of the meaning, requirements, and function of the statement of claim under German law. For special case constellations or types of procedures, the relevant statutory provisions and particularities must be reviewed.
Frequently asked questions
What deadline must be observed when filing a statement of claim?
The deadline for filing a statement of claim depends on the subject matter of the proceedings and the applicable area of law. In civil proceedings, there is no general deadline for bringing an action; rather, the limitation period for the asserted claim is decisive. For example, if a contractual claim is asserted, the regular limitation period under Section 195 BGB is three years, starting at the end of the year in which the claim arose and the claimant became aware of the circumstances giving rise to the claim and the identity of the debtor. In labor court proceedings, certain claims (such as unfair dismissal actions) are subject to a three-week filing period from receipt of the dismissal notice (Section 4 KSchG). If this deadline is missed, the claim is generally inadmissible or the claim can no longer be enforced. In special statutory procedures (e.g., administrative court jurisdiction), different filing deadlines may apply, which can be found in the respective legal provisions. It is therefore essential to check the relevant deadlines in each individual case.
What formal requirements apply to a statement of claim?
In Germany, the statement of claim is subject to strict formal requirements under Section 253 of the Code of Civil Procedure (ZPO). Written form is mandatory, and the electronic form (via beA—special lawyer mailbox) is compulsory for lawyers; private individuals can still submit claims in paper form. The statement of claim must include: precise identification of the parties (full name, address, and legal representative if applicable), the name of the court hearing the case, and a specific application. In addition, the facts forming the basis of the claim must be set out in detail and in a comprehensible manner. Evidence substantiating the claims presented must be stated. The signature of the plaintiff or the instructed lawyer and the date must also be included. If mandatory details are missing, the court may request their subsequent submission under Section 130a ZPO or reject the claim for lack of specificity.
What costs are incurred by filing a statement of claim?
When a statement of claim is filed, court fees are usually incurred, which are calculated in accordance with the Court Fees Act (GKG). The amount of these fees depends on the so-called amount in dispute, i.e., the economic interest involved in the proceedings. For a value in dispute of 5,000 euros, for instance, first-instance court fees of 241 euros are charged (as of 2024). Court fees must generally be paid in advance by the plaintiff; only after payment are claims served by the court (Section 12 GKG, Section 253 (4) ZPO). In addition, there may be attorney’s fees, calculated under the Lawyers’ Remuneration Act (RVG). If the claim is granted in whole or in part, the prevailing party is entitled to reimbursement of costs according to Section 91 ZPO (cost reimbursement principle); otherwise, the losing party must bear the costs.
Can a statement of claim be amended or supplemented after filing?
A statement of claim that has already been filed can generally be amended or supplemented during the proceedings, but amendment of the claim is subject to certain requirements (Sections 263 et seq. ZPO). An amendment is permitted if the defendant consents or if the court considers the amendment expedient. Supplementation, such as submitting additional evidence or clarifying the application, is regularly possible during proceedings unless it is introduced too late according to procedural preclusion rules (see Section 296 ZPO). Complete or partial withdrawal of the claim is also possible within the framework of statutory provisions, but may entail cost consequences.
How is the statement of claim served on the defendant?
Service of the statement of claim is a central part of the court procedure, as it officially brings the proceedings to the attention of the defendant and thereby sets them in motion. Service is effected ex officio by the court after payment of the advance on court costs (Section 270 ZPO). It is usually carried out as formal service with proof of service, either by mail or via the electronic court and administrative mailbox (EGVP). Proper service is a prerequisite for the commencement of proceedings and the opening of the right to be heard. Incorrect or omitted service can render the entire proceedings invalid.
What happens if the statement of claim is incomplete?
If a statement of claim is submitted incompletely (e.g., lacking a specific application, adequate reasoning, or details about the parties), the court will request the plaintiff to remedy the defects within a time limit, pursuant to Section 130a ZPO or Section 253 (2) ZPO. If the plaintiff fails to comply, the court may dismiss the action as inadmissible or not serve the claim. In certain cases, such as lack of lis pendens, statute of limitations periods may not be suspended, which can result in legal disadvantages. Careful and complete preparation of the statement of claim is therefore essential for the success of the action.
Does a statement of claim have to be filed by a lawyer?
Whether a statement of claim must be filed by a lawyer depends on the competent court. In district courts (for amounts in dispute up to 5,000 euros), there is no requirement for legal representation (Section 78 ZPO), so private individuals can file a claim personally. At regional courts, higher regional courts, and certain specialized courts (e.g., labor courts from the second instance), representation by a lawyer is mandatory, i.e., the statement of claim must be filed by a licensed lawyer. The purpose of this requirement is to ensure proper legal representation and maintain the quality of proceedings.
How can a claim be dismissed by the court?
A court can dismiss a claim already in the written preliminary proceedings if the statement of claim has formal or substantive defects that are not remedied, or if the claim is manifestly unfounded. This can occur, for example, as part of the admissibility review (e.g., lack of capacity to be a party, lack of legal interest in protection, lack of jurisdiction). Alternatively, the defendant may obtain a default judgment at the hearing or through a statement of defense if the plaintiff does not sufficiently present their case or fails to appear when properly summoned (Section 330 ZPO). Decisions to dismiss a claim always contain detailed reasoning and are generally subject to appeal, such as through an appeal process.
