SQE 1 – Dispute Resolution Notes
Workshop 1 – Pre-Action and Starting a Claim
Topic Element Notes
Pre-Action Pre-Action Aim of pre-action protocols is for proceedings to be avoided where possible via ADR and
Considerations Conduct where not possible for proceedings to be conducted more efficiently.
If a party fails to comply with the pre-action requirements, the court can impose sanctions
in relation to costs and interest or stay a claim for the pre-action protocols to be followed.
The precise requirements vary but they generally require a letter of claim setting out the
claim and attaching key documents, a letter of response within a specified period, the
parties try to engage in ADR where possible and a stocktake (know whether they admit
liability or if they deny what and why) before the issue of proceedings.
Commencing Where and how to Which Court?
and Serving issue the claim o High Court and County Court have concurrent jurisdiction over most claims.
Proceedings Jurisdiction thresholds:
PI claims less than £50k = county court.
PI clams of £50+ can be in either court.
Non-PI claims of less than £100k = County Court.
Non-PI claims of £100k+ = either court.
o This is based on the financial worth of the claim. Disregard: interest, cost,
counterclaims, contributory negligent and any deduction of social security benefits.
o A claim should be started in the High Court by reason of:
1. Financial value of the claim and the amount in dispute, and/or
2. The complexity of the facts, legal issues, remedies, or procedures involved, and/or
3. The important of the outcome of the claim to the public in general.
o Transfer between courts:
If the court disagrees with the claimant’s choice of court once the claim has
been issued, the court my consider whether it should remain in the court of
issue. The court may transfer cases between the High Court and the County
Court.
, The criteria the court will use in deciding where the case should be tried are
similar to the factors to be considered by the claimant but with additional
practical factors, e.g. whether a specialist judge is available and the facilities at
court for disabled witnesses or parties.
What are the consequences of issuing in the wrong court?
The court may transfer the case and order the claimant to pay the costs
of the transfer.
If the matter continues in the High Court, there is a separate sanction for
wrongly beginning a matter in the High Court when it should have been in
the County Court. The penalty is that any costs awarded in the claim can
be deducted by up to 25%, but this is at the court’s discretion.
Issuing the claim at court
o To issue a claim at court, the claimant’s solicitors must take or send the following to
court:
1. Copies of the claim form (Form N1) to be issued and sealed: one copy of the
completed claim form to be kept on the court file, one copy for every defendant
and one copy for the claimant to keep on its own file.
2. Court issue fee.
Issuing High Court claims
o The date of issue of the claim form is important. It stops time running for limitation
purposes and starts the clock for the time in which the claim form must be served.
o If the documents are sent to the High Court, the court will stamp the covering letter
with the date of receipt. This is sufficient to stop time running for limitation purposes.
o The documents can also be taken in person and issued on the same day.
o The court issues the claim form by entering a date of issue on the claim form, giving
the case a claim number, and sealing all copies of the claim form.
Issuing County Court Claims
o Date of issue of County Court claims has the same significant as in High Court Claims.
o County Court money claims are issued centrally.
o Many claims in the county court for money are issued by post in the Civil National
Business Centre – a central centre that manages the claims until a hearing is
, required, at which point they are transferred to a particular local county court hearing
centre.
o Claims which are not money only claims can be issued at any of the County Court
Hearing Centres by sending in or attending the claim form and the fee.
Money Claim Online
o As an alternative, some county court money claims can be issued online using Money
Claim Online. This is designed to provide a very quick and cost-effective resolution for
simple claims. The claimant or their solicitor registers with money claim online and
completes the online claim form.
o This service can only be used for money claims with a value of up to £100k which are
against no more than 2 defendants.
o Claim form is served in the usual way, but the defendant may then respond on the
online service.
o If the claim is defended, it will be transferred to the appropriate local county court
hearing centre.
Issuing bult county court claims
o Users who are going to issue many claims (e.g. utility companies) can become a
registered user at the County Court Business Centre which provides a particular
service for bulk users.
Service of the SERVICE is the process of giving a document to another party in an action in a way which is
claim form and recognised by the court. There are separate rules for service of the claim form and for
other documents service of other documents. The focus here is on service of the claim form and other
documents within the jurisdiction of England and Wales.
Serving the CLAIM FORM:
o Who will effect the service?
The claim form may be served by either the COURT or the
CLAIMANT/CLAIMANT’S SOLICITOR.
If the COURT serves the claim form: service will usually be by first class post.
Once the court has effected service, it will send the claimant a notice of issue
stating the deemed date of service. If the court is unable to serve the claim
form for any reason, the claimant will be sent a notice of non-service. It is then
, up to the claimant to try to serve the claim form on the defendant.
If the claimant/claimant’s solicitor wishes to serve the claim form: they must
notify the court when issuing the claim form that they do not wish the court to
serve it. The court will give or send the claimant/claimant’s solicitor the issued
claim form with sealed copies for service on the defendant(s). the claimant’s
solicitor must then file a certificate of service at the court with 21 days of
service, certifying details of the date on which the claim form was
posed/delivered/transmitted and the method and address used. It is not
necessary to file a certificate of service if all of the defendants have filed an
acknowledgment of service within that time.
o How should service be effected?
The court will use first class post to effect service, but where the claimant
effects service, there are a number of permissible methods of service:
1. Personally on the defendant: physically leaving the claim form with a
defendant who is an individual, or an appropriate person in the case of a
company or similar legal entity.
2. Leaving the document at a permitted address: permissible whether or not
there is someone present to receive it.
3. First class post.
4. Document exchange (DX): a system used by legal professionals which
provides for delivery on the next business day.
5. Fax: only permitted if the defendant/its solicitor has indicated it will accept
service by fax.
6. Other electronic method, e.g. email: only permitted if the defendant/its
solicitor has indicated it will accept service by email.
7. Any other method authorised by the court.
Where personal service is used, the defendant can be personally served
wherever they are found within the jurisdiction.
Where fax or email is sued, the defendant will indicate the fax number or email
address for service.
If the defendant gives in writing a solicitor’s address in the jurisdiction for
service, or their solicitor does the same, service MUST be to the solicitor’s
Workshop 1 – Pre-Action and Starting a Claim
Topic Element Notes
Pre-Action Pre-Action Aim of pre-action protocols is for proceedings to be avoided where possible via ADR and
Considerations Conduct where not possible for proceedings to be conducted more efficiently.
If a party fails to comply with the pre-action requirements, the court can impose sanctions
in relation to costs and interest or stay a claim for the pre-action protocols to be followed.
The precise requirements vary but they generally require a letter of claim setting out the
claim and attaching key documents, a letter of response within a specified period, the
parties try to engage in ADR where possible and a stocktake (know whether they admit
liability or if they deny what and why) before the issue of proceedings.
Commencing Where and how to Which Court?
and Serving issue the claim o High Court and County Court have concurrent jurisdiction over most claims.
Proceedings Jurisdiction thresholds:
PI claims less than £50k = county court.
PI clams of £50+ can be in either court.
Non-PI claims of less than £100k = County Court.
Non-PI claims of £100k+ = either court.
o This is based on the financial worth of the claim. Disregard: interest, cost,
counterclaims, contributory negligent and any deduction of social security benefits.
o A claim should be started in the High Court by reason of:
1. Financial value of the claim and the amount in dispute, and/or
2. The complexity of the facts, legal issues, remedies, or procedures involved, and/or
3. The important of the outcome of the claim to the public in general.
o Transfer between courts:
If the court disagrees with the claimant’s choice of court once the claim has
been issued, the court my consider whether it should remain in the court of
issue. The court may transfer cases between the High Court and the County
Court.
, The criteria the court will use in deciding where the case should be tried are
similar to the factors to be considered by the claimant but with additional
practical factors, e.g. whether a specialist judge is available and the facilities at
court for disabled witnesses or parties.
What are the consequences of issuing in the wrong court?
The court may transfer the case and order the claimant to pay the costs
of the transfer.
If the matter continues in the High Court, there is a separate sanction for
wrongly beginning a matter in the High Court when it should have been in
the County Court. The penalty is that any costs awarded in the claim can
be deducted by up to 25%, but this is at the court’s discretion.
Issuing the claim at court
o To issue a claim at court, the claimant’s solicitors must take or send the following to
court:
1. Copies of the claim form (Form N1) to be issued and sealed: one copy of the
completed claim form to be kept on the court file, one copy for every defendant
and one copy for the claimant to keep on its own file.
2. Court issue fee.
Issuing High Court claims
o The date of issue of the claim form is important. It stops time running for limitation
purposes and starts the clock for the time in which the claim form must be served.
o If the documents are sent to the High Court, the court will stamp the covering letter
with the date of receipt. This is sufficient to stop time running for limitation purposes.
o The documents can also be taken in person and issued on the same day.
o The court issues the claim form by entering a date of issue on the claim form, giving
the case a claim number, and sealing all copies of the claim form.
Issuing County Court Claims
o Date of issue of County Court claims has the same significant as in High Court Claims.
o County Court money claims are issued centrally.
o Many claims in the county court for money are issued by post in the Civil National
Business Centre – a central centre that manages the claims until a hearing is
, required, at which point they are transferred to a particular local county court hearing
centre.
o Claims which are not money only claims can be issued at any of the County Court
Hearing Centres by sending in or attending the claim form and the fee.
Money Claim Online
o As an alternative, some county court money claims can be issued online using Money
Claim Online. This is designed to provide a very quick and cost-effective resolution for
simple claims. The claimant or their solicitor registers with money claim online and
completes the online claim form.
o This service can only be used for money claims with a value of up to £100k which are
against no more than 2 defendants.
o Claim form is served in the usual way, but the defendant may then respond on the
online service.
o If the claim is defended, it will be transferred to the appropriate local county court
hearing centre.
Issuing bult county court claims
o Users who are going to issue many claims (e.g. utility companies) can become a
registered user at the County Court Business Centre which provides a particular
service for bulk users.
Service of the SERVICE is the process of giving a document to another party in an action in a way which is
claim form and recognised by the court. There are separate rules for service of the claim form and for
other documents service of other documents. The focus here is on service of the claim form and other
documents within the jurisdiction of England and Wales.
Serving the CLAIM FORM:
o Who will effect the service?
The claim form may be served by either the COURT or the
CLAIMANT/CLAIMANT’S SOLICITOR.
If the COURT serves the claim form: service will usually be by first class post.
Once the court has effected service, it will send the claimant a notice of issue
stating the deemed date of service. If the court is unable to serve the claim
form for any reason, the claimant will be sent a notice of non-service. It is then
, up to the claimant to try to serve the claim form on the defendant.
If the claimant/claimant’s solicitor wishes to serve the claim form: they must
notify the court when issuing the claim form that they do not wish the court to
serve it. The court will give or send the claimant/claimant’s solicitor the issued
claim form with sealed copies for service on the defendant(s). the claimant’s
solicitor must then file a certificate of service at the court with 21 days of
service, certifying details of the date on which the claim form was
posed/delivered/transmitted and the method and address used. It is not
necessary to file a certificate of service if all of the defendants have filed an
acknowledgment of service within that time.
o How should service be effected?
The court will use first class post to effect service, but where the claimant
effects service, there are a number of permissible methods of service:
1. Personally on the defendant: physically leaving the claim form with a
defendant who is an individual, or an appropriate person in the case of a
company or similar legal entity.
2. Leaving the document at a permitted address: permissible whether or not
there is someone present to receive it.
3. First class post.
4. Document exchange (DX): a system used by legal professionals which
provides for delivery on the next business day.
5. Fax: only permitted if the defendant/its solicitor has indicated it will accept
service by fax.
6. Other electronic method, e.g. email: only permitted if the defendant/its
solicitor has indicated it will accept service by email.
7. Any other method authorised by the court.
Where personal service is used, the defendant can be personally served
wherever they are found within the jurisdiction.
Where fax or email is sued, the defendant will indicate the fax number or email
address for service.
If the defendant gives in writing a solicitor’s address in the jurisdiction for
service, or their solicitor does the same, service MUST be to the solicitor’s
