Concept and Significance of the Statement of Claim
The statement of claim is a central element in German civil procedure law and constitutes the part of the written pleading in which the claimant sets out the factual and legal grounds on which their claim is based. It serves as the foundation for the court’s decision and thus forms the basis of effective legal protection. The statement of claim is expressly regulated in Section 253 (2) No. 2 of the German Code of Civil Procedure (ZPO).
Legal Basis
Code of Civil Procedure (ZPO)
According to Section 253 (2) ZPO, a statement of claim must, in addition to specifying the parties, the court, and the precise claim, also contain the reasoning for the claim. The statement of claim must be drafted in such a way that the asserted claims and the factual circumstances on which these claims are based are apparent.
Other Procedural Codes
Similar provisions requiring a substantiated statement of claim are found in other codes of procedure, such as the Code of Administrative Court Procedure (VwGO), the Fiscal Court Code (FGO), or the Social Courts Act (SGG).
Content of the Statement of Claim
Statement of Facts
The statement of claim must contain a complete and coherent account of the facts from which the asserted claim is derived. This factual presentation is the basis for judicial review and is crucial for the admissibility and validity of the claim. Vague and unsubstantiated assertions are not sufficient.
Legal Assessment
In addition to the depiction of facts, the statement of claim should include a legal assessment, i.e., a legal classification of the facts in light of applicable laws and case law. Although this is not strictly required, it increases the clarity and comprehensibility of the claim from the court’s perspective.
Request and Facts of the Case
The statement of claim must always refer to a specific claim made. It must be drafted in such a way that the scope and content of the claim being pursued, as well as their derivation from the presented facts, are clear. Unclear or contradictory statements may result in the claim being deemed inadmissible or dismissed.
Significance in the Proceedings
Review by the Court
The court is bound by the submissions presented in the statement of claim when making its decision. In principle, it may only grant what has been substantively requested and substantiated. Moreover, a proper statement of claim enables the defendant to present a targeted defense.
Duty of Substantiation
According to Section 138 ZPO, the claimant has a duty to substantiate. The facts presented must be sufficiently specific and concrete so that the court and the defendant can verify them. Failure to meet this requirement may result in the claim being dismissed due to insufficient substantiation.
Corrections and Deadlines
Especially in lawsuits that are initially filed with only a brief factual description, the court may, upon judicial instruction (Section 139 ZPO), allow for a subsequent supplementation of the statement of claim. In certain procedural situations, such as in documentary proceedings (Section 592 ZPO), special requirements and deadlines for the reasoning apply.
Special Types of Actions and the Statement of Claim
Action for Performance
In an action for performance, the statement of claim focuses on setting out the prerequisites for the asserted performance claim. A coherent presentation of the defendant’s obligation to perform is decisive.
Action for Declaratory Judgment
In an action for a declaratory judgment, the statement of claim must, in particular, demonstrate the legal interest in the sought declaration, as required by Section 256 (1) ZPO.
Action to Alter Legal Relationships
Actions seeking to modify a legal relationship also require in the statement of claim that the relevant changes and their factual grounds are worked out.
Differences Compared to Other Written Submissions
The statement of claim must be distinguished from other written submissions in proceedings, such as the statement of defense or subsequent pleadings. It is an integral component of the complaint and is distinguished by its initiating function and the comprehensive presentation of the subject matter of the dispute.
Consequences of Deficiencies in the Statement of Claim
Inadmissibility or Lack of Merit
If the statement of claim lacks the necessary reasoning, the court may dismiss the claim as inadmissible. If the reasoning is incomplete or unsubstantial, it will usually lead to dismissal for lack of merit.
Correction upon Judicial Instruction
According to Section 139 ZPO, the court may request the claimant to remedy deficiencies in the statement of claim. If the claimant does not comply with this request, dismissal of the claim may result.
Statement of Claim in Appeal and Revision Proceedings
Similar requirements regarding the substantiation of claims apply in appeal (Section 520 (3) ZPO) and revision proceedings. The grounds for the appeal must be set out concretely, including the reasons for challenging the decision and their factual basis. Inadequate substantiation also leads here to the inadmissibility of the legal remedy.
Conclusion
The statement of claim forms the core of every civil or administrative lawsuit and is indispensable for a proper judicial review of the asserted claim. It ensures that both the court and the defendant can understand and assess the relevant matters in fact and law. A thoroughly prepared and comprehensive statement of case minimizes the risk of dismissal and is therefore an essential prerequisite for procedural success.
Frequently Asked Questions
What is the deadline for submitting the statement of claim?
Under civil procedural law, the Code of Civil Procedure (ZPO) generally stipulates that a lawsuit must be filed together with its statement of claim (Section 253 (2) No. 2 ZPO). If the claim is filed without adequate reasoning, the court is obliged to set the claimant a deadline for supplemental submission. In written preliminary proceedings, the court sets a separate period under Section 276 (1) ZPO, within which the statement of claim must be submitted; this is usually two weeks but may be individually extended or shortened by judicial order. Missing the deadline for submitting the statement of claim may result in the claimant suffering the consequences of default, such as a default judgment being rendered against them. Special types of proceedings—for example in administrative proceedings—are subject to separate deadlines regulated by the Code of Administrative Court Procedure (VwGO), such as the general requirement to submit the statement of claim within one month of filing the lawsuit (Section 82 (1) VwGO). Compliance with the respective deadlines is critical, as delays may result in significant disadvantages.
What substantive requirements must a statement of claim meet?
A statement of claim must set out the factual circumstances underpinning the claim (the so-called presentation of facts) and include a substantiated legal analysis. Pursuant to Section 253 (2) No. 2 ZPO, the complaint must specify the precise claim and the facts justifying the asserted claim in detail. It is not sufficient to merely refer to the legal basis of the claim; instead, all facts required for the existence of the claim (in particular the formation of the claim and any possible defenses) must be set out coherently and comprehensibly. In addition, evidence for the alleged facts must be indicated. The statement of claim must enable the court to understand why the claimant is entitled to the requested legal position and provide the defendant the opportunity to mount a defense.
What are the consequences of an inadequate or late statement of claim?
An inadequate statement of claim may result in the claim being dismissed as unfounded or considered inadmissible if it does not meet formal requirements. If the claimant fails to comply in good time with a judicial request for clarification or supplementation of the reasoning, default proceedings under Section 331 ZPO may ensue in civil cases, possibly resulting in a default judgment against the claimant. In administrative proceedings, the court may infer from a lack of reasoning that there is no interest in legal protection, and dismiss the claim as inadmissible. In exceptional cases, the court may grant extension periods or point out deficiencies; however, there is no entitlement to this. If the reasoning is submitted late, the claimant must expect preclusion, that is, that any late submissions will not be considered under Section 296 ZPO, insofar as this would delay the proceedings.
Must the statement of claim contain or specify particular evidence?
Yes, as a rule it is necessary to state not only the relevant facts for the lawsuit in a substantiated manner, but also to specifically identify the evidence offered for each fact (Section 253 (2) No. 2 ZPO, Section 138 ZPO). Common types of evidence are documents, witness testimony, physical evidence, or expert opinions. The offer of proof must be specific enough for the court and the opposing party to identify to which person or document the issue to be proven pertains. General references to evidence (“all evidence may be taken”) are not permitted. If further evidence becomes available subsequently, its submission is only permitted under strict procedural requirements and may be disregarded if its late submission would hamper the progress of the proceedings.
To what extent must the statement of claim address the legal basis?
The statement of claim should include the relevant legal considerations but is not obliged to undertake a detailed legal subsumption. The court is not bound by the parties’ legal submissions and examines itself whether and on what legal basis the claim is to be granted (the so-called iura novit curia principle). Nonetheless, it is advisable to clearly present the legal derivation in the statement of claim—especially in complex or contentious matters. This facilitates the court’s decision and enables the opposing party to mount an effective defense. The main legal bases for the claim, defenses, and any objections should be set out as far as they are identifiable to the claimant.
What role does the statement of claim play in the further course of proceedings?
The statement of claim establishes the foundation for the entire further proceedings. It defines the subject matter of the dispute and the scope of the court’s review. All later submissions and offers of evidence must generally relate back to the contents of the statement of claim; introducing new facts in later instances is only exceptionally permitted under Section 529 ZPO. The statement of claim also serves as the basis for the defendant’s statement of defense. Procedural steps such as the issuance of default judgments or the decision on admissibility and merits depend largely on the content of the statement of claim. Whether and to what extent a claim succeeds thus often depends on a substantiated and procedurally compliant statement of claim.
Can the statement of claim be amended or supplemented afterward?
Yes, a statement of claim can generally be supplemented and in some cases even amended as long as preclusion has not occurred and the legal dispute is not yet ready for decision. Additions or corrections are particularly permitted in the early stages of the proceedings; legal restrictions arise in particular from the provisions on late submissions (Section 296 ZPO). However, if the subject matter of the dispute is changed or significantly expanded (for example, by asserting a new claim), this is considered an amendment of claim under Section 263 ZPO and is subject to special admissibility requirements. Smaller clarifications or supplements within the framework of the original legal basis are, however, generally unproblematic. The subsequent submission of arguments or evidence is also only permitted within the general rules on preclusion.
