Definition and significance of the statement of claim
The term ‘statement of claim’ refers, in German civil procedural law, to the request of a claimant that is asserted in a written complaint or orally before the court and is directed at a judicial decision. The statement of claim defines the subject matter of the dispute and specifies which factual circumstances and legal consequences the court is to decide on. It represents the central element of an action and is a prerequisite for proper proceedings before the ordinary courts.
Legal basis for the statement of claim
Section 253 (2) no. 2 of the Code of Civil Procedure (ZPO)
The decisive provision for the statement of claim is found in Section 253 (2) no. 2 ZPO. According to this, the complaint must contain a specific claim. The statement of claim is thus constitutive for the proceedings and forms the basis for the court’s decision-making authority.
Other relevant provisions
In addition to Section 253 ZPO, other procedural codes, such as the Administrative Court Procedure Code (VwGO) or the Fiscal Court Procedure Code (FGO), also contain comparable requirements regarding the specificity of the statement of claim.
Functions of the statement of claim
Specifying function
The statement of claim clarifies what the court is to decide on and distinguishes the subject matter of the dispute. The court may rule only on the legal claim formulated in the statement of claim (principle of party disposition and ne ultra petita^1).
Procedural guiding function
The statement of claim provides the framework for the taking of evidence, clarification of the facts, and available defenses for the parties. The parties to the proceedings know through the claim what demands and legal consequences are at issue.
Operative part of the judgment
The judgment must correspond to or deviate from the statement of claim^2. The statement of claim, especially in judgments for performance, regularly forms the basis of the operative part of the judgment.
Requirements for the statement of claim
Specificity and recognizability of the demand
A valid statement of claim must be sufficiently specific (Section 253 (2) no. 2 ZPO) and understandable for the opposing party and the court. It must be clear beyond doubt what performance, action, or omission is being claimed or what declaration is sought.
Examples:
- Demand for performance: “The defendant is ordered to pay the plaintiff 10,000 euros plus interest.”
- Declaratory claim: “It is declared that the defendant is obliged to pay 10,000 euros.”
- Formative claim: “The parties’ marriage is dissolved.”
Possibility of the demand
The statement of claim must concern a legally permissible demand. Indefinite or impossible claims (e.g., “The defendant is ordered to comply with all legal provisions.”) do not suffice and would be inadmissible.
Binding effect of the claim
The court is bound by the wording of the statement of claim and may generally not go beyond what has been requested (Section 308 ZPO). A different decision is only possible if less is granted (ne ultra petita).
Types of action and typical statements of claim
Action for performance
Action for performance is the standard case. The claim is aimed at a specific act or omission by the defendant, predominantly payment, restitution, or issuing a declaration of intent.
Declaratory action
Here, the plaintiff seeks a declaration of the existence or non-existence of a legal relationship. The claim must be of interest for a declaration and must relate to a specific legal relationship.
Formative action
With a formative action, a legal relationship is directly changed, established, or terminated by the court’s decision (e.g., divorce action, challenge of a resolution).
Substantive structuring of the statement of claim
Specification of amounts
Especially in actions for payment or restitution, the claim must specify an exact amount. Exceptions exist only if it is impossible for the plaintiff to provide an exact specification and the court can estimate the amount under Section 287 ZPO.
Alternative claims and ancillary claims
Statements of claim can be made alternatively or subsidiarily (e.g., “subsidiarily for a declaration”), but they should always be drafted for the court clearly and independently of one another.
Ancillary claims
Interest, costs, or other ancillary claims must generally be included in the claim and precisely specified; otherwise, they are not part of the dispute.
Amendment, alteration, and extension of the statement of claim
Amendment of the claim
An amendment of the statement of claim is possible during the proceedings under the preconditions set out in Sections 263 et seq. ZPO (amendment of claim), for example if the court consents or the defendant responds to the amended claim.
Withdrawal and partial withdrawal of the claim
The statement of claim may be withdrawn or reduced before the proceedings are concluded. This is usually associated with cost consequences.
Statement of claim in the judgment and in enforcement
The court decides only within the framework of the statement of claim. The precise wording of the judgment is regularly based on the wording of the statement of claim. In enforcement proceedings, only the operative part laid down in the judgment (based on the statement of claim) is enforceable.
Statement of claim in special types of proceedings
Default judgment procedure
In the default judgment procedure, no classic statement of claim is initially filed, but rather an application for the issuance of a payment order. Only if an objection is filed and the case is transferred to contentious proceedings does a statement of claim become necessary.
Proceedings before administrative courts
In administrative law, too, statements of claim must be formulated in a specific form, e.g., for the annulment of an administrative act or for a declaration of its illegality pursuant to Section 82 VwGO.
Practical significance
Careful drafting of the statement of claim is of central importance for the enforcement of civil law and public law claims. Mistakes frequently lead to inadmissibility or rejection of the claim. The requirements for specificity and clarity are crucial for the effectiveness of judicial decisions and their enforceability.
References (footnotes):^1 German Federal Court of Justice, judgment of 9 Feb 1994 – VIII ZR 90/93; Section 308 ZPO
^2 Higher Regional Court Karlsruhe, judgment of 19 Feb 1987 – 12 U 264/86
See also
- Action for performance
- Declaratory action
- Formative action
- Civil procedure law
- Procedural law
Literature (selection)
- Zöller, Code of Civil Procedure, Section 253 ZPO
- Musielak/Voit, Code of Civil Procedure, Section 253 ZPO
- Thomas/Putzo, Code of Civil Procedure, Section 253 ZPO
This article provides a comprehensive overview of the statement of claim under the relevant civil procedural and legal procedural aspects, with particular consideration of the applicable statutory provisions and practice-relevant requirements.
Frequently asked questions
When is a statement of claim sufficiently specific?
A statement of claim must, pursuant to Section 253 (2) no. 2 ZPO, be so specific that the court and the parties can precisely identify what the plaintiff is demanding. Both the claim and the scope of the sought legal consequence must be specified to avoid ambiguities. This serves both the legal protection of the defendant, who must know what he has to defend against, and the binding effect of the court to the statement of claim in the judgment (principle of party disposition and ne ultra petita doctrine). The claim must leave no room for interpretation as to what is intended. For example, in an action for payment, the exact amount, currency, and the obligation due must be clearly stated. In other actions for performance or omission, it is necessary to specify the action or conduct to be omitted with precision. In case of indefinite or excessively broad statements of claim, there is a risk that the action will be dismissed as inadmissible.
Can the statement of claim be amended during the proceedings?
An amendment of the statement of claim is generally possible, but the requirements are set out in Section 263 ZPO. The defendant’s consent or admissibility by the court, when the amendment serves the appropriate advancement of the dispute, is necessary. The amendment may consist of an extension, limitation, or complete replacement of the original statement of claim. The amendment may not result in an inadmissible surprise or disadvantage to the defendant. Furthermore, the amended claim is admissible only if it refers to the same facts of life or to a matter closely connected to the original dispute.
What form must a statement of claim take?
The statement of claim must be submitted in writing as part of the complaint, cf. Section 253 (4) ZPO. It must be formulated clearly and unequivocally, making it evident what objective the plaintiff is pursuing. The use of legal terminology is not mandatory; what matters is that the legal consequence being demanded is formulated in a comprehensible and traceable manner. The use of alternative claims (so-called hypothetical claims) is permissible under certain circumstances, particularly where there is uncertainty regarding the factual or legal situation. Multiple claims may be combined – clearly separated from each other – provided that this serves the clarity and structuring of the legal request.
What is particularly important for a claim for performance?
A claim for performance (e.g., for payment or restitution) must explicitly state the desired performance, the parties, the subject matter, the performance date, and the modalities of the performance. For monetary claims, the exact sum, including the currency, must be specified. This may also include a claim for interest, where the interest rate, the commencement date of interest, and, if applicable, the interest period must be precisely indicated. If a concurrent performance (e.g., surrender of an item against payment of a sum) is being claimed, both sides of the claim must be specified in detail. If the necessary specificity is lacking, the court may, under Section 139 ZPO, object to the statement of claim before making a decision and require rectification.
What is the significance of the statement of claim for the court’s judgment?
The statement of claim defines and limits the scope of review and decision by the court. According to the principle of party disposition, the court is basically bound not to go beyond what was claimed (ne ultra petita rule, Section 308 (1) ZPO). A judgment on an unfiled claim is inadmissible and may be appealed. Conversely, the court may not award less than was claimed, provided the claim itself is admissible and justified. Thus, the exact wording of the statement of claim is of decisive importance for the scope and effect of the operative part of the judgment.
What happens if a statement of claim is indefinite or not concrete enough?
A statement of claim that does not meet the requirements for specificity under Section 253 (2) no. 2 ZPO may render the action inadmissible. In such a case, the court will usually, before making a final decision and pursuant to Section 139 ZPO, require the plaintiff to specify the claim. If the plaintiff does not comply with this judicial deadline, the action will be dismissed as inadmissible. The clarity and specification of the statement of claim are therefore essential not only for the content of the decision but already for the admissibility of the action. Courts therefore pay particular attention to clear and distinguishable claims to ensure an enforceable and legally sound decision.
