Dispute Resolution Revision Notes
Pre-Action Conduct & Issuing Proceedings
Overriding Objective – To enable the court to deal with cases justly and at proportionate cost. The
court, in actively manage cases, and the parties, must give effect to the Overriding Objective.
Pre-Action Conduct & Protocols
Liability – D should state early and clearly whether they intend to admit or dispute liability.
Negotiations – Parties must consider whether negotiations or ADR might avoid proceedings. Silence to a
suggestion of ADR can be deemed unreasonable conduct.
Review – Parties must take stock of their position before issuing proceedings, seeking to avoid proceedings
or narrow the issues in dispute.
Non-Compliance – The court will consider whether non-compliance will merit adverse costs consequences. If C is
in default, interest on any award may be at a lower rate. If D is in default, interest on any award may be at a
higher rate.
Stay – The court may stay proceedings until the relevant PD steps have been complied with.
Sanctions – The court will consider the overall effect of the non-compliance on the other party. The court is
not concerned with trivial breaches.
Discontinuance – Where C writes to D setting out their claim, does not receive a response, issues
proceedings, and discontinues having received a response, D will pay C’s costs.
Limitation – Non-compliance is permitted where a limitation period is about to expire provided the parties
comply to the greatest extent possible and apply for a stay to permit compliance.
Other Reason for Urgency – Non-compliance is permitted where there is another reason for urgent issuance or
the element of surprise.
Letter of Claim – C should write a Letter of Claim to the potential D giving details of the claim. Within a
reasonable period, D should send a Letter of Response that accepts or rejects the claim in whole or part and
gives reasons. The parties should disclose key documents, engage in appropriate negotiations, and make
proposals for settlement.
Limitation
PI – 3 years of latest of the (a) date the cause of action accrued or (b) date of knowledge of C.
Fatal Accidents – 3 years of latest of the (a) date of death or (b) the date of knowledge of the dependent.
Date of Knowledge – This means knowing the injury was significant and attributable (at least in part) to
the alleged wrongdoing and the identity of the tortfeasor.
Extension – The court can extend limitation where it is equitable to do so, balancing any prejudice to C and
D. The court will have regard for the parties’ conduct, reasons for delay, and effect of a late claim on the
evidence.
Contribution – 2 years of the date of judgment / settlement.
Latent Damage – 6 years from when the date the cause of action accrued or 3 years from when C had requisite
knowledge and a right to bring a claim.
Long-Stop – Such claims are subject to a long-stop of 15 years from the latest negligent act or omission
which caused all or part of the damage.
Judgments – Within 6 years from when the judgment became enforceable.
Tort & Contract – Within 6 years from the date on which the cause of the action accrued.
Disability – Where C is disabled at the time that the cause of action accrued, limitation runs from when the
disability ends and is (a) 2 years in relation to contribution claims, (b) 6 years in relation to PI or fatal accidents,
or (c) 6 years.
Fraud, Concealment or Mistake – Within 6 years from the date C discovered the fraud, concealment or mistake
(or could have with reasonable diligence).
1
,Issuance
Which Court?
Location – A claim worth £100,000+ (£50,000 in PI claims) may be issued in the CC or HC. A claim worth less than
£100,000 (£50,000 in PI claims) MUST be issued in the CC. When issuing in the HC, the Claim Form must state
that C expects to recover £100,000+.
Value – The financial value of a claim, discounting interest, costs, counterclaims, contributory negligence, and
social security deductions.
Choice – C may issue in the HC if C believes it ought to be dealt with by the HC by reason of (a) financial value, (b)
legal / factual complexity, or (c) public importance.
Transfer – If the court disagrees with C’s choice, the court may transfer between the HC and CC, having regard for
(a) financial value, (b) convenience or fairness, (c) availability of specialist judges, (d) legal / factual complexity, (e)
court facilities, and (f) S4 HRA 1998.
Costs – On transfer, the court may order C to pay the costs of transfer.
Sanctions – Where proceedings wrongly continue in the HC, the court has discretion to reduce any costs
awarded by up to 25% if awarded to the issuing party.
Issuing a Claim
Documentation – C must take or send (a) copies of the Claim Form (Form N1) to be kept on the court file, for
every D, and for C to keep on its own file and (b) the court fee.
Limitation – The relevant limitation period stops running when the court stamps the covering letter with the date
of receipt. This does not mean the claim has been issued.
HC – A claim is issued when a date of issue is entered on the Claim Form, claim number assigned, and all copies
of the Claim Form are sealed. This may be done in person for same-day issuance
Service
By the Court – Following service by first-class post, the court will send C a Notice of Issue stating the deemed
date of service. If unable to serve, it will send C a Notice of Non-Service.
By C – The Claim Form must state that they do not wish the court to serve the Claim Form. The court will send C
an issued Claim Form with sealed copies for service.
Certificate of Service – C must file a Certificate of Service within 21 days of service certifying the date on
which the sealed Claim Form was served, and the method and address used.
Exception – If all Ds file an Acknowledgment of Service within 21 days, C need not file a Certificate of
Service.
Methods of Service
Personal Service – Physically leaving the Claim Form with D who is an individual, or appropriate person (if a
company).
Permitted Address – Depositing the Claim Form at a permitted address (whether or not someone is present to).
Definition – An address at which D resides or carries on business within the UK and which D has given for
the purpose of being served.
Service on Solicitor – Where D gives, in writing, a solicitor’s address in the jurisdiction for service, or their
solicitor does the same, service must be to that address.
First Class Post or DX – Posting the document to a permitted address by first class post or using DX, which
provides for delivery on the next business day.
Fax – Service by fax is only permitted if D / D’s solicitor has indicated it will accept service by fax.
Other Electronic Methods – Service by email is only permitted if D / D’s solicitor has indicated it will accept
service by email.
Timing
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, Limitation – A sealed Claim Form must be served before midnight on the calendar day four months after the date
of issue.
Failure – If a Claim Form is not served in time, the claim will fail, and C will need to issue a new claim and pay the
court fee again.
Extension – If service in time is not possible, C may apply for an extension. This must be made within the period
of validity and C must show good reasons for the extension. Waiting for further evidence or for a response from
D to pre-action correspondence is unlikely to be sufficient.
Out of Period – An out of time application will only be granted if (a) the court that failed to serve the Claim
Form or C taken all reasonable steps to comply (mistaken service on the wrong person is unlikely to be
sufficient), and (b) the application has been made promptly.
Serving PoCs
Claim Form + PoC – If the PoC is contained in or served with the Claim Form, C must serve the Response Pack
with the Claim Form and PoC.
Claim Form, No PoC – If the PoC are not contained in or service with the Claim Form, they must be served within
14 days of service of the Claim Form and within the period of validity. Once the PoC are served, C must file a copy
with the court within 7 days of service unless already filed.
Methods – Documents other than a Claim Form may be served by (a) personal service, (b) delivery at a permitted
address, (c) first class post or DX, or (d) fax or other electronic methods.
Address – When responding, D must give an address at which documents may be served.
Deemed Date of Service
Claim Form – A Claim Form is deemed served on the second business day after completion of the “relevant step”.
Business Date – Any day except Saturdays, Sundays, bank holidays, Good Friday or Christmas.
PoC in Claim Form – If the PoC is served with the Claim Form, the deemed date of service is the same as that of
the Claim Form.
PoC with Claim Form – Where the PoC is attached to or served with the Claim Form, a prudent D should assume
that PoC are served at the earliest possible date.
PoC Served Separately – If PoC are served separately, it is consider an “other document”.
Other Document – The deemed date of service depends on the method of service.
Instant Method – If served before 16:30 on a business day, the deemed date of service is the same day.
Otherwise, it is the following business day.
Non-Instant Methods – The deemed date of service is the second day after postage / handing to the DX
provider if a business day. Otherwise, it is the following business day.
Claim Form, PoC & Other Statements of Case
Claim Forms
Parties – A Claim Form must contain the names of the parties and their addresses. If a party is standing in a
representative capacity, the Claim Form must state what that capacity is.
Addresses – The parties’ addresses are the address for service. C must indicate an address where it resides or
carries out business, if different.
Details – A Claim Form should include (a) a concise statement of the nature of the claim, and (b) the remedy
sought. C need not expressly include a claim for costs.
Value – Where C makes a money claim, the Claim Form must include a statement of the amount claimed,
whether a simple statement, a maximum, minimum, or range, or a statement that C is unsure about recovery
expectations.
Court Power – The court can give judgment for whatever amount it finds C is entitled to.
PI Claims – C must state whether the expected recovery for PSLA is not more than £1,500.
Jurisdiction – If issuing in the HC, it must contain a “jurisdictional endorsement”.
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, Money Claim – The Claim Form must state that (a) C expects to recover more than £100,000 or (b) some
other enactment provides that the claim may be commenced in the HC only.
PI Claim – The Claim Form must state that (a) C expects to recover more than £50,000 or (b) the claim is to
be in one of the specialist HC lists and state which list.
PoC – The Claim Form must state whether the PoC are attached or to follow.
Particulars of Claim
Content – A PoC must contain a concise statement of facts on which C relies, including (a) any material facts
which, if proved, entitle C to the remedy sought and (b) any relevant background. Evidence and law need not be
included.
Damages – A PoC should set out any claim for aggravated, exemplary, and / or provisions damages and the
grounds for claiming them.
PI Claims – A PoC should include C’s date of birth, details of injuries, a schedule past and future expenses and
losses, and a report of any expert medical practitioner which is relied on.
Land – A claim in relation to land must identify the land and state whether any part is residential.
Agreement – Where a claim is based on a written agreement, it should be attached, along with any general
conditions which are incorporated. If based on an oral agreement, a PoC should set out the conduct relied on and
state by whom, when, and where the acts were done.
Human Rights – Any human rights arguments relied upon / relief sought must be included.
Interest
Basis – A PoC must set out a legal basis for interest either by contract between the parties or under S35A SCA
1981 or S69 CCA 1985.
Exact Calculation – For specified claims, C must set out the applicable percentage rate and date range, the
amount claimed up to issuance, the daily rate thereafter.
General Pleading – For unspecified claims, C can plead loss of goodwill / damage to reputation, loss of future
earnings or profits, and any damages provided remoteness, foreseeability and / or mitigation are in issue.
Mixed Claim – C may treat the claims separately or treat the whole as an unspecified claim.
Statutory Interest – The court has discretion as to whether to award interest, and how much, from the date the
cause of action accrued until judgment.
PI Claim – Where damages of £200+ are awarded, some interest must be awarded unless there are special
reasons not to. The amount is at the court’s discretion.
Debt Claim – If D discharges the whole debt during the proceedings, some interest must be awarded unless
there are special reasons not to. The amount is at the court’s discretion.
Statements of Case (“SoC”)
Heading – A SoC must be headed with the title of proceedings, including the relevant court, claim number, and
full name of each party and their status in the proceedings.
General Rules – A SoC must contain numbered paragraphs, pages numbered consecutively, numbers and dates in
figures, margin references to every document already filed, the name of the drafter, and a statement of truth.
Statement of Truth – A SoC must contain a statement of truth. A statement of truth must include statements that
(a) the facts stated are true and (b) the party understands that contempt of court proceedings can be brought if a
statement is false.
Acknowledgment, Admission, Defence & Counterclaims
Acknowledgment & Defence
Acknowledgement – D should file an acknowledgment of service where it (a) is unable to file a defence within 14
days from the deemed date of service of the PoC or (b) wishes to dispute jurisdiction.
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Pre-Action Conduct & Issuing Proceedings
Overriding Objective – To enable the court to deal with cases justly and at proportionate cost. The
court, in actively manage cases, and the parties, must give effect to the Overriding Objective.
Pre-Action Conduct & Protocols
Liability – D should state early and clearly whether they intend to admit or dispute liability.
Negotiations – Parties must consider whether negotiations or ADR might avoid proceedings. Silence to a
suggestion of ADR can be deemed unreasonable conduct.
Review – Parties must take stock of their position before issuing proceedings, seeking to avoid proceedings
or narrow the issues in dispute.
Non-Compliance – The court will consider whether non-compliance will merit adverse costs consequences. If C is
in default, interest on any award may be at a lower rate. If D is in default, interest on any award may be at a
higher rate.
Stay – The court may stay proceedings until the relevant PD steps have been complied with.
Sanctions – The court will consider the overall effect of the non-compliance on the other party. The court is
not concerned with trivial breaches.
Discontinuance – Where C writes to D setting out their claim, does not receive a response, issues
proceedings, and discontinues having received a response, D will pay C’s costs.
Limitation – Non-compliance is permitted where a limitation period is about to expire provided the parties
comply to the greatest extent possible and apply for a stay to permit compliance.
Other Reason for Urgency – Non-compliance is permitted where there is another reason for urgent issuance or
the element of surprise.
Letter of Claim – C should write a Letter of Claim to the potential D giving details of the claim. Within a
reasonable period, D should send a Letter of Response that accepts or rejects the claim in whole or part and
gives reasons. The parties should disclose key documents, engage in appropriate negotiations, and make
proposals for settlement.
Limitation
PI – 3 years of latest of the (a) date the cause of action accrued or (b) date of knowledge of C.
Fatal Accidents – 3 years of latest of the (a) date of death or (b) the date of knowledge of the dependent.
Date of Knowledge – This means knowing the injury was significant and attributable (at least in part) to
the alleged wrongdoing and the identity of the tortfeasor.
Extension – The court can extend limitation where it is equitable to do so, balancing any prejudice to C and
D. The court will have regard for the parties’ conduct, reasons for delay, and effect of a late claim on the
evidence.
Contribution – 2 years of the date of judgment / settlement.
Latent Damage – 6 years from when the date the cause of action accrued or 3 years from when C had requisite
knowledge and a right to bring a claim.
Long-Stop – Such claims are subject to a long-stop of 15 years from the latest negligent act or omission
which caused all or part of the damage.
Judgments – Within 6 years from when the judgment became enforceable.
Tort & Contract – Within 6 years from the date on which the cause of the action accrued.
Disability – Where C is disabled at the time that the cause of action accrued, limitation runs from when the
disability ends and is (a) 2 years in relation to contribution claims, (b) 6 years in relation to PI or fatal accidents,
or (c) 6 years.
Fraud, Concealment or Mistake – Within 6 years from the date C discovered the fraud, concealment or mistake
(or could have with reasonable diligence).
1
,Issuance
Which Court?
Location – A claim worth £100,000+ (£50,000 in PI claims) may be issued in the CC or HC. A claim worth less than
£100,000 (£50,000 in PI claims) MUST be issued in the CC. When issuing in the HC, the Claim Form must state
that C expects to recover £100,000+.
Value – The financial value of a claim, discounting interest, costs, counterclaims, contributory negligence, and
social security deductions.
Choice – C may issue in the HC if C believes it ought to be dealt with by the HC by reason of (a) financial value, (b)
legal / factual complexity, or (c) public importance.
Transfer – If the court disagrees with C’s choice, the court may transfer between the HC and CC, having regard for
(a) financial value, (b) convenience or fairness, (c) availability of specialist judges, (d) legal / factual complexity, (e)
court facilities, and (f) S4 HRA 1998.
Costs – On transfer, the court may order C to pay the costs of transfer.
Sanctions – Where proceedings wrongly continue in the HC, the court has discretion to reduce any costs
awarded by up to 25% if awarded to the issuing party.
Issuing a Claim
Documentation – C must take or send (a) copies of the Claim Form (Form N1) to be kept on the court file, for
every D, and for C to keep on its own file and (b) the court fee.
Limitation – The relevant limitation period stops running when the court stamps the covering letter with the date
of receipt. This does not mean the claim has been issued.
HC – A claim is issued when a date of issue is entered on the Claim Form, claim number assigned, and all copies
of the Claim Form are sealed. This may be done in person for same-day issuance
Service
By the Court – Following service by first-class post, the court will send C a Notice of Issue stating the deemed
date of service. If unable to serve, it will send C a Notice of Non-Service.
By C – The Claim Form must state that they do not wish the court to serve the Claim Form. The court will send C
an issued Claim Form with sealed copies for service.
Certificate of Service – C must file a Certificate of Service within 21 days of service certifying the date on
which the sealed Claim Form was served, and the method and address used.
Exception – If all Ds file an Acknowledgment of Service within 21 days, C need not file a Certificate of
Service.
Methods of Service
Personal Service – Physically leaving the Claim Form with D who is an individual, or appropriate person (if a
company).
Permitted Address – Depositing the Claim Form at a permitted address (whether or not someone is present to).
Definition – An address at which D resides or carries on business within the UK and which D has given for
the purpose of being served.
Service on Solicitor – Where D gives, in writing, a solicitor’s address in the jurisdiction for service, or their
solicitor does the same, service must be to that address.
First Class Post or DX – Posting the document to a permitted address by first class post or using DX, which
provides for delivery on the next business day.
Fax – Service by fax is only permitted if D / D’s solicitor has indicated it will accept service by fax.
Other Electronic Methods – Service by email is only permitted if D / D’s solicitor has indicated it will accept
service by email.
Timing
2
, Limitation – A sealed Claim Form must be served before midnight on the calendar day four months after the date
of issue.
Failure – If a Claim Form is not served in time, the claim will fail, and C will need to issue a new claim and pay the
court fee again.
Extension – If service in time is not possible, C may apply for an extension. This must be made within the period
of validity and C must show good reasons for the extension. Waiting for further evidence or for a response from
D to pre-action correspondence is unlikely to be sufficient.
Out of Period – An out of time application will only be granted if (a) the court that failed to serve the Claim
Form or C taken all reasonable steps to comply (mistaken service on the wrong person is unlikely to be
sufficient), and (b) the application has been made promptly.
Serving PoCs
Claim Form + PoC – If the PoC is contained in or served with the Claim Form, C must serve the Response Pack
with the Claim Form and PoC.
Claim Form, No PoC – If the PoC are not contained in or service with the Claim Form, they must be served within
14 days of service of the Claim Form and within the period of validity. Once the PoC are served, C must file a copy
with the court within 7 days of service unless already filed.
Methods – Documents other than a Claim Form may be served by (a) personal service, (b) delivery at a permitted
address, (c) first class post or DX, or (d) fax or other electronic methods.
Address – When responding, D must give an address at which documents may be served.
Deemed Date of Service
Claim Form – A Claim Form is deemed served on the second business day after completion of the “relevant step”.
Business Date – Any day except Saturdays, Sundays, bank holidays, Good Friday or Christmas.
PoC in Claim Form – If the PoC is served with the Claim Form, the deemed date of service is the same as that of
the Claim Form.
PoC with Claim Form – Where the PoC is attached to or served with the Claim Form, a prudent D should assume
that PoC are served at the earliest possible date.
PoC Served Separately – If PoC are served separately, it is consider an “other document”.
Other Document – The deemed date of service depends on the method of service.
Instant Method – If served before 16:30 on a business day, the deemed date of service is the same day.
Otherwise, it is the following business day.
Non-Instant Methods – The deemed date of service is the second day after postage / handing to the DX
provider if a business day. Otherwise, it is the following business day.
Claim Form, PoC & Other Statements of Case
Claim Forms
Parties – A Claim Form must contain the names of the parties and their addresses. If a party is standing in a
representative capacity, the Claim Form must state what that capacity is.
Addresses – The parties’ addresses are the address for service. C must indicate an address where it resides or
carries out business, if different.
Details – A Claim Form should include (a) a concise statement of the nature of the claim, and (b) the remedy
sought. C need not expressly include a claim for costs.
Value – Where C makes a money claim, the Claim Form must include a statement of the amount claimed,
whether a simple statement, a maximum, minimum, or range, or a statement that C is unsure about recovery
expectations.
Court Power – The court can give judgment for whatever amount it finds C is entitled to.
PI Claims – C must state whether the expected recovery for PSLA is not more than £1,500.
Jurisdiction – If issuing in the HC, it must contain a “jurisdictional endorsement”.
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, Money Claim – The Claim Form must state that (a) C expects to recover more than £100,000 or (b) some
other enactment provides that the claim may be commenced in the HC only.
PI Claim – The Claim Form must state that (a) C expects to recover more than £50,000 or (b) the claim is to
be in one of the specialist HC lists and state which list.
PoC – The Claim Form must state whether the PoC are attached or to follow.
Particulars of Claim
Content – A PoC must contain a concise statement of facts on which C relies, including (a) any material facts
which, if proved, entitle C to the remedy sought and (b) any relevant background. Evidence and law need not be
included.
Damages – A PoC should set out any claim for aggravated, exemplary, and / or provisions damages and the
grounds for claiming them.
PI Claims – A PoC should include C’s date of birth, details of injuries, a schedule past and future expenses and
losses, and a report of any expert medical practitioner which is relied on.
Land – A claim in relation to land must identify the land and state whether any part is residential.
Agreement – Where a claim is based on a written agreement, it should be attached, along with any general
conditions which are incorporated. If based on an oral agreement, a PoC should set out the conduct relied on and
state by whom, when, and where the acts were done.
Human Rights – Any human rights arguments relied upon / relief sought must be included.
Interest
Basis – A PoC must set out a legal basis for interest either by contract between the parties or under S35A SCA
1981 or S69 CCA 1985.
Exact Calculation – For specified claims, C must set out the applicable percentage rate and date range, the
amount claimed up to issuance, the daily rate thereafter.
General Pleading – For unspecified claims, C can plead loss of goodwill / damage to reputation, loss of future
earnings or profits, and any damages provided remoteness, foreseeability and / or mitigation are in issue.
Mixed Claim – C may treat the claims separately or treat the whole as an unspecified claim.
Statutory Interest – The court has discretion as to whether to award interest, and how much, from the date the
cause of action accrued until judgment.
PI Claim – Where damages of £200+ are awarded, some interest must be awarded unless there are special
reasons not to. The amount is at the court’s discretion.
Debt Claim – If D discharges the whole debt during the proceedings, some interest must be awarded unless
there are special reasons not to. The amount is at the court’s discretion.
Statements of Case (“SoC”)
Heading – A SoC must be headed with the title of proceedings, including the relevant court, claim number, and
full name of each party and their status in the proceedings.
General Rules – A SoC must contain numbered paragraphs, pages numbered consecutively, numbers and dates in
figures, margin references to every document already filed, the name of the drafter, and a statement of truth.
Statement of Truth – A SoC must contain a statement of truth. A statement of truth must include statements that
(a) the facts stated are true and (b) the party understands that contempt of court proceedings can be brought if a
statement is false.
Acknowledgment, Admission, Defence & Counterclaims
Acknowledgment & Defence
Acknowledgement – D should file an acknowledgment of service where it (a) is unable to file a defence within 14
days from the deemed date of service of the PoC or (b) wishes to dispute jurisdiction.
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