PART 1OVERRIDING OBJECTIVE

The overriding objective

1.1—(1) These Rules are a ... procedural code with the overriding objective of enabling the court to deal with cases justly and at proportionate cost .

(2) Dealing with a case justly and at proportionate cost includes, so far as is practicable—

(a)ensuring that the parties are on an equal footing and can participate fully in proceedings, and that parties and witnesses can give their best evidence ;

(b)saving expense;

(c)dealing with the case in ways which are proportionate—

(i)to the amount of money involved;

(ii)to the importance of the case;

(iii)to the complexity of the issues; and

(iv)to the financial position of each party;

(d)ensuring that it is dealt with expeditiously and fairly; ...

(e)allotting to it an appropriate share of the court’s resources, while taking into account the need to allot resources to other cases; ...

(f)promoting or using alternative dispute resolution;

(g)enforcing compliance with rules, practice directions and orders.

Application by the court of the overriding objective

1.2 The court must seek to give effect to the overriding objective when it—

(a)exercises any power given to it by the Rules; or

(b)interprets any rule , subject to rules 76.2, 79.2 , 80.2 , 82.2 and 88.2 .

Duty of the parties

1.3 The parties are required to help the court to further the overriding objective.

Court’s duty to manage cases

1.4—(1) The court must further the overriding objective by actively managing cases.

(2) Active case management includes —

(a)encouraging the parties to co-operate with each other in the conduct of the proceedings;

(b)identifying the issues at an early stage;

(c)deciding promptly which issues need full investigation and trial and accordingly disposing summarily of the others;

(d)deciding the order in which issues are to be resolved;

(e)ordering or encouraging the parties to use, and facilitating the use of, alternative dispute resolution ;

(f)helping the parties to settle the whole or part of the case;

(g)fixing timetables or otherwise controlling the progress of the case;

(h)considering whether the likely benefits of taking a particular step justify the cost of taking it;

(i)dealing with as many aspects of the case as it can on the same occasion;

(j)dealing with the case without the parties needing to attend at court;

(k)making use of technology; and

(l)giving directions to ensure that the trial of a case proceeds quickly and efficiently.

The Welsh language

1.5.—(1)Nothing in the overriding objective undermines the principles provided by the Welsh Language (Wales) Measure 2011 that the Welsh language has official status in Wales or by the Welsh Language Act 1993 that in any legal proceedings in Wales the Welsh language may be used by any person who desires to use it.

(2)The parties are required to assist the court to put into effect the principles set out in paragraph (1).

Participation of vulnerable parties or witnesses

1.6.Practice Direction 1A makes provision for how the court is to give effect to the overriding objective in relation to vulnerable parties or witnesses.

PART 2APPLICATION AND INTERPRETATION OF THE RULES

Application of the Rules

2.1—(1) Subject to paragraph (2), these Rules apply to all proceedings in—

(a)County Court ;

(b)the High Court; and

(c)the Civil Division of the Court of Appeal.

(2) These Rules do not apply to proceedings of the kinds specified in the first column of the following Table (proceedings for which rules may be made under the enactments specified in the second column) except to the extent that they are applied to those proceedings by another enactment—

(3)These Rules apply to proceedings under—

(a)the Companies Act 1985(3);

(b)the Companies Act 2006; and

(c)other legislation relating to companies and limited liability partnerships,

subject to the provisions of the relevant practice direction which applies to those proceedings.

The glossary

2.2—(1) The glossary at the end of these Rules is a guide to the meaning of certain legal expressions used in the Rules, but is not to be taken as giving those expressions any meaning in the Rules which they do not have in the law generally.

(2) Subject to paragraph (3), words in these Rules which are included in the glossary are followed by “^(GL)”.

(3) The words ‘counterclaim’, ‘damages’, ‘practice form’ and ‘service’, which appear frequently in the Rules, are included in the glossary but are not followed by “^(GL)”.

Interpretation

2.3—(1) In these Rules—

• “child” has the meaning given by rule 21.1(2);

• “civil restraint order” means an order restraining a party—

  (a)

  from making any further applications in current proceedings (a limited civil restraint order);

  (b)

  from issuing certain claims or making certain applications in specified courts (an extended civil restraint order); or

  (c)

  from issuing any claim or making any application in specified courts (a general civil restraint order).

• “claim for personal injuries” means proceedings in which there is a claim for damages in respect of personal injuries to the claimant or any other person or in respect of a person’s death, and “personal injuries” includes any disease and any impairment of a person’s physical or mental condition;

• “claimant” means a person who makes a claim;

• “CCR” is to be interpreted in accordance with Part 50;

• “court officer” means a member of the court staff;

• “defendant” means a person against whom a claim is made;

• “defendant’s home court” means—

  (a)

  if a claim is proceeding in the County Court, the County Court hearing centre serving the address where the defendant resides or carries on business; and

  (b)

  if the claim is proceeding in the High Court, the district registry for the district in which the defendant resides or carries on business or, where there is no such district registry, the Royal Courts of Justice;

  ...

• ...

• “filing” means delivering a document or information, by post or otherwise, to the court office;

• “judge” includes, unless the context otherwise requires, a Master, Admiralty Registrar, Insolvency and Companies CourtJudge (“ICC Judge”) or District Judge or a person authorised to act as such;

• ‘judge of the County Court’ has the meaning given in section 5 of the County Courts Act 1984;

• “jurisdiction” means, unless the context otherwise requires, England and Wales and any part of the territorial waters of the United Kingdom adjoining England and Wales;

• “justices’ legal adviser” means a person nominated by the Lord Chancellor who is authorised to exercise functions under section 28(1) of the Courts Act 2003;

• “legal representative” means a—

  (a)

  barrister;

  (b)

  solicitor;

  (c)

  solicitor’s employee;

  (d)

  manager of a body recognised under section 9 of the Administration of Justice Act 1985; or

  (e)

  person who, for the purposes of the Legal Services Act 2007, is an authorised person in relation to an activity which constitutes the conduct of litigation (within the meaning of that Act),

  who has been instructed to act for a party in relation to proceedings;

• “litigation friend” has the meaning given by Part 21;

• “MyHMCTS” means the online case management tool managed by His Majesty’sCourts and Tribunals Service;

• ‘preferred hearing centre’ means, if the claim is proceeding in the County Court, the County Court hearing centre the claimant has specified in practice form N1 as the hearing centre to which the proceedings should be sent if necessary;

• “protected party” has the meaning given by rule 21.1(2);

• “RSC” is to be interpreted in accordance with Part 50;

• “statement of case”—

  (a)

  means a claim form, particulars of claim where these are not included in a claim form, defence, counterclaim or other additional claim , or reply to defence; and

  (b)

  includes any further information given in relation to them voluntarily or by court order under rule 18.1;

• “statement of value” is to be interpreted in accordance with rule 16.3;

• “summary judgment” is to be interpreted in accordance with Part 24 ;

• “tape recorded” includes (as do references to tape recording and tape recorders) recording by the use or means of any other instrument or device.

(1A)Unless the contrary is indicated, a definition that applies to a Part of these Rules applies also to a practice direction supplementing that Part.

(2) A reference to a “specialist list” is a reference to a list^(GL)that has been designated as such by a rule orpractice direction.

(3) Where the context requires, a reference to “the court” means a reference to the County Court , a District Registry , or the Royal Courts of Justice.

Power to perform an act of the court

2.4—(1) Where these Rules provide for the court to perform any act then, except where an enactment, rule or practice direction provides otherwise, that act may be performed—

(a)in relation to proceedings in the High Court, by any judge of that Court, including a Master, Admiralty Registrar, ICC Judge or District Judge ; and

(b)in relation to proceedings in the County Court , by any judgeof the County Court .

(2) A legal adviser, defined in paragraph 1.2(b) of Practice Direction 2E, may exercise the jurisdiction of the County Court specified in, and subject to, that Practice Direction.

...

2.4A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Court staff

2.5—(1) Where these Rules require or permit the court to perform an act of a formal or administrative character, that act may be performed by a court officer.

(2) A requirement that a court officer carry out any act at the request of a party is subject to the payment of any fee required by a Fees Order for the carrying out of that act.

(Rule 3.2 allows a court officer to refer a matter for judicial decision taking any step)

Court documents to be sealed

2.6—(1) The court must seal^(GL) the following documents on issue—

(a)the claim form; and

(b)any other document which a rule or practice direction requires it to seal.

(2)The court may place the seal on the document by hand, by printing or electronically.

(3) A document appearing to bear the court’s seal^(GL) shall be admissible in evidence without further proof.

Court’s discretion as to where it deals with cases

2.7 The court may deal with a case at any place that it considers appropriate.

Time

2.8—(1) This rule shows how to calculate any period of time for doing any act which is specified—

(a)by these Rules;

(b)by a practice direction; or

(c)by a judgment or order of the court.

(2) A period of time expressed as a number of days shall be computed as clear days.

(3) In this rule “clear days” means that in computing the number of days—

(a)the day on which the period begins; and

(b)if the end of the period is defined by reference to an event, the day on which that event occurs,

are not included.

Examples

(i)Notice of an application must be served at least 3 days before the hearing.

• An application is listed to be heard on Friday 20 October.

• The last date for service is Monday 16 October.

(ii)The court is to fix a date for a hearing.

• The hearing must be at least 28 days after the date of notice.

• If the court gives notice of the date of the hearing on 1 October, the earliest date for the hearing is 30 October.

(iii)Particulars of claim must be served within 14 days of service of the claim form.

• The claim form is served on 2 October.

• The last day for service of the particulars of claim is 16 October.

(4) Where the specified period—

(a)is 5 days or less; and

(b)includes—

(i)a Saturday or Sunday; or

(ii)a Bank Holiday, Christmas Day or Good Friday,

that day does not count.

Example

• Notice of an application must be served at least 3 days before the hearing.

• An application is to be heard on Monday 20 October.

• The last date for service is Tuesday 14 October.

(5)Subject to the provisions of Practice Direction 5C, when the period specified—

(a)by these Rules or a practice direction; or

(b)by any judgment or court order,

for doing any act at the court office ends on a day on which the office is closed, that act shall be in time under these rules if done on the next day on which the court office is open.

Dates for compliance to be calendar dates and to include time of day

2.9—(1) Where the court gives a judgment, order or direction which imposes a time limit for doing any act, the last date for compliance must, wherever practicable—

(a)be expressed as a calendar date; and

(b)include the time of day by which the act must be done.

(2) Where the date by which an act must be done is inserted in any document, the date must, wherever practicable, be expressed as a calendar date.

Meaning of “month” in judgments, etc.

2.10 Where “month” occurs in any judgment, order, direction or other document, it means a calendar month.

Time limits may be varied by parties

2.11 Unless these Rules or a practice direction provide otherwise or the court orders otherwise, the time specified by a rule or by the court for a person to do any act may be varied by the written agreement of the parties.

(Rules 3.8 (sanctions have effect unless defaulting party obtains relief), 28.3 (variation of case management timetable – fast track and intermediate track) and 29.5 (variation of case management timetable—multi-track) provide for time limits that cannot be varied by agreement between the parties)

PART 3THE COURT'S CASE AND COSTS MANAGEMENT POWERS

SECTIONI Case Management

The court’s general powers of management

3.1—(1) The list of powers in this rule is in addition to any powers given to the court by any other rule or practice direction or by any other enactment or any powers it may otherwise have.

(2) Except where these Rules provide otherwise, the court may —

(a)extend or shorten the time for compliance with any rule, practice direction or court order (even if an application for extension is made after the time for compliance has expired);

(b)adjourn or bring forward a hearing;

(c)require that any proceedings in the High Court be heard by a Divisional Court of the High Court;

(d)require a party or a party’s legal representative to attend the court;

(e)hold a hearing and receive evidence by telephone or by using any other method of direct oral communication;

(f)direct that part of any proceedings (such as a counterclaim) be dealt with as separate proceedings;

(g)stay^(GL) the whole or part of any proceedings or judgment either generally or until a specified date or event;

(h)consolidate proceedings;

(i)try two or more claims on the same occasion;

(j)direct a separate trial of any issue;

(k)decide the order in which issues are to be tried;

(l)exclude an issue from consideration;

(m)dismiss or give judgment on a claim after a decision on a preliminary issue;

(n)order any party to file and exchange a costs budget;

(o)order the parties to engage in alternative dispute resolution; and

(p)take any other step or make any other order for the purpose of managing the case and furthering the overriding objective , including hearing an Early Neutral Evaluation with the aim of helping the parties settle the case .

(3) When the court makes an order, it may —

(a)make it subject to conditions, including a condition to pay a sum of money into court; and

(b)specify the consequence of failure to comply with the order or a condition.

(3A)Where the court has made a direction in accordance with paragraph (2)(c) the proceedings shall be heard by a Divisional Court of the High Court and not by a single judge.

(4) Where the court gives directions it will take into account whether or not a party has complied with the Practice Direction (Pre-Action Conduct) and any relevant pre-action protocol^(GL).

(5) The court may order a party to pay a sum of money into court if that party has, without good reason, failed to comply with a rule, practice direction or a relevant pre-action protocol.

(6) When exercising its power under paragraph (5) the court must have regard to—

(a)the amount in dispute; and

(b)the costs which the parties have incurred or which they may incur.

(6A)Where a party pays money into court following an order under paragraph (3) or (5), the money shall be security for any sum payable by that party to any other party in the proceedings ....

...

(7) A power of the court under these Rules to make an order includes a power to vary or revoke the order.

(8)The court may contact the parties from time to time in order to monitor compliance with directions. The parties must respond promptly to any such enquiries from the court.

Case management – unrepresented parties

3.1A.—(1)This rule applies in any proceedings where at least one party is unrepresented.

(2)When the court is exercising any powers of case management, it must have regard to the fact that at least one party is unrepresented.

(3)Both the parties and the court must, when drafting case management directions in the multi-track , intermediate track and fast track, take as their starting point any relevant standard directions which can be found online at www.justice.gov.uk/courts/procedure-rules/civil and adapt them as appropriate to the circumstances of the case.

(4)The court must adopt such procedure at any hearing as it considers appropriate to further the overriding objective.

(5)At any hearing where the court is taking evidence this may include—

(a)ascertaining from an unrepresented party the matters about which the witness may be able to give evidence or on which the witness ought to be cross-examined; and

(b)putting, or causing to be put, to the witness such questions as may appear to the court to be proper.

Court officer’s power to refer to a judge

3.2 Where a step is to be taken by a court officer—

(a)the court officer may consult a judge before taking that step;

(b)the step may be taken by a judge instead of the court officer.

Court’s power to make order of its own initiative

3.3—(1) Except where a rule or some other enactment provides otherwise, the court may exercise its powers on an application or of its own initiative.

(Part 23 sets out the procedure for making an application)

(2) Where the court proposes to make an order of its own initiative—

(a)it may give any person likely to be affected by the order an opportunity to make representations; and

(b)where it does so it must specify the time by and the manner in which the representations must be made.

(3) Where the court proposes—

(a)to make an order of its own initiative; and

(b)to hold a hearing to decide whether to make the order,

it must give each party likely to be affected by the order at least 3 days' notice of the hearing.

(4) The court may make an order of its own initiative without hearing the parties or giving them an opportunity to make representations.

(5) Where the court has made an order under paragraph (4)—

(a)a party affected by the order may apply to have it set aside^(GL), varied or stayed^(GL); and

(b)the order must contain a statement of the right to make such an application.

(6) An application under paragraph (5)(a) must be made—

(a)within such period as may be specified by the court; or

(b)if the court does not specify a period, not more than 7 days after the date on which the order was served on the party making the application.

(7)An application under paragraph (5)(a) shall be considered at an oral hearing unless the court decides and states in an order that the application is totally without merit.

(8)If the court decides under paragraph (7) that the application is totally without merit, an application under paragraph (5)(a) may be made for reconsideration without an oral hearing.

(9)If the court of its own initiative strikes out a statement of case or dismisses an application (including an application for permission to appeal or for permission to apply for judicial review), and it considers that the claim or application is totally without merit—

(a)the court’s order must record that fact; and

(b)the court must at the same time consider whether it is appropriate to make a civil restraint order.

Power to strike out a statement of case

3.4—(1) In this rule and rule 3.5, reference to a statement of case includes reference to part of a statement of case.

(2) The court may strike out^(GL) a statement of case if it appears to the court—

(a)that the statement of case discloses no reasonable grounds for bringing or defending the claim;

(b)that the statement of case is an abuse of the court’s process or is otherwise likely to obstruct the just disposal of the proceedings; or

(c)that there has been a failure to comply with a rule, practice direction or court order.

(3) When the court strikes out a statement of case it may make any consequential order it considers appropriate.

(4) Where—

(a)the court has struck out a claimant’s statement of case;

(b)the claimant has been ordered to pay costs to the defendant; and

(c)before the claimant pays those costs, the claimant starts another claim against the same defendant, arising out of facts which are the same or substantially the same as those relating to the claim in which the statement of case was struck out,

the court may, on the application of the defendant, stay^(GL) that other claim until the costs of the first claim have been paid.

(5) Paragraph (2) does not limit any other power of the court to strike out^(GL) a statement of case.

(6)If the court strikes out a claimant’s statement of case and it considers that the claim is totally without merit—

(a)the court’s order must record that fact; and

(b)the court must at the same time consider whether it is appropriate to make a civil restraint order.

(7)If a defendant applies to strike out all or part of the claim form or particulars of claim, that defendant need not file a defence before the hearing.

Judgment without trial after striking out

3.5—(1) This rule applies where—

(a)the court makes an order which includes a term that the statement of case of a party shall be struck out if the party does not comply with the order; and

(b)the party against whom the order was made does not comply with it.

(2) A party may obtain judgment with costs by filing a request for judgment if—

(a)the order referred to in paragraph (1)(a) relates to the whole of a statement of case; and

(b)where the party wishing to obtain judgment is the claimant, the claim is for—

(i)a specified amount of money;

(ii)an amount of money to be decided by the court;

(iii)delivery of goods where the claim form gives the defendant the alternative of paying their value; or

(iv)any combination of these remedies.

(3)Where judgment is obtained under this rule in a case to which paragraph (2)(b)(iii) applies, it will be judgment requiring the defendant to deliver the goods, or (if the defendant does not do so) pay the value of the goods as decided by the court (less any payments made).

(4) The request must state that the right to enter judgment has arisen because the court’s order has not been complied with.

(5) A party must make an application in accordance with Part 23 if they wish to obtain judgment under this rule in a case to which paragraph (2) does not apply.

Judgment without trial after striking out a claim in the Civil National Business Centre

3.5A.—(1)If a claimant files a request for judgment in the Civil National Business Centre in accordance with rule 3.5, in a claim which includes an amount of money to be decided by the court, the claim will be sent to the preferred hearing centre.

(2)If a claim is sent to a preferred hearing centre pursuant to paragraph (1), any further correspondence should be sent to, and any further requests should be made at, the hearing centre to which the claim was sent.

Setting aside judgment entered after striking out

3.6—(1) A party against whom the court has entered judgment under rule 3.5 may apply to the court to set the judgment aside.

(2) An application under paragraph (1) must be made not more than 14 days after the judgment has been served on the party making the application.

(3) If the right to enter judgment had not arisen at the time when judgment was entered, the court must set aside^(GL) the judgment.

(4) If the application to set aside^(GL) is made for any other reason, rule 3.9 (relief from sanctions) shall apply.

3.6A.If—

(a)a party against whom judgment has been entered under rule 3.5 applies to set the judgment aside;

(b)the claim is for a specified sum;

(c)the claim was started in the Civil National Business Centre; and

(d)the claim has not been sent to a County Court hearing centre,

the claim will be sent to—

(i)if the defendant is an individual, the defendant’s home court; and

(ii)if the defendant is not an individual, the preferred hearing centre.

Sanctions for non—payment of certain fees by the claimant

3.7—(1)Except where rule 3.7A1 applies, this rule applies to fees payable by the claimant where—

(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)the court has made an order giving permission to proceed with a claim for judicial review ; or

(e)the fee payable for a hearing specified by the Civil Proceedings Fees Order 2008 (Fees Order 2008) is not paid.

• ...

• (Rule 54.12 provides for the service of the order giving permission to proceed with a claim for judicial review)

(2)The court will serve a notice on the claimant requiring payment of the fee specified in the Fees Order 2008 if, at the time the fee is due, the claimant has not paid it or made an application for full or part remission.

(3) The notice will specify the date by which the claimant must pay the fee.

(4) If the claimant does not—

(a)pay the fee; or

(b)make an application for full or part remission of the fee,

by the date specified in the notice—

(i)the claim will automatically be struck out without further order of the court ; and

(ii)the claimantwill be liable for the costs which the defendant has incurred unless the court orders otherwise.

(Rule 44.9 provides for the basis of assessment where a right to costs arises under this rule and contains provisions about when a costs order is deemed to have been made and applying for an order under section 194(3) of the Legal Services Act 2007 )

(5)Where an application for—

(a)full or part remission of a fee is refused, the court will serve notice on the claimant requiring payment of the full fee by the date specified in the notice; or

(b)part remission of a fee is granted, the court will serve notice on the claimant requiring payment of the balance of the fee by the date specified in the notice.

(6) If the claimant does not pay the fee by the date specified in the notice—

(a)the claim will automatically be struck out without further order of the court ; and

(b)the claimantwill be liable for the costs which the defendant has incurred unless the court orders otherwise.

(7)If—

(a)a claimant applies to have the claim reinstated; and

(b)the court grants relief,

the relief will be conditional on the claimant either paying the fee or filing evidence of full or part remission of the fee within the period specified in paragraph (8).

(8)The period referred to in paragraph (7) is—

(a)if the order granting relief is made at a hearing at which a claimant is present or represented, 2 days from the date of the order;

(b)in any other case, 7 days from the date of service of the order on the claimant.

Sanctions for non-payment of the trial fee by the claimant

3.7A1.—(1)In this rule and in rule 3.7AA—

(a)“Fees Order 2008” means the Civil Proceedings Fees Order 2008;

(b)“fee notice” means a notice of—

(i)the amount of a trial fee;

(ii)the trial fee payment date; and

(iii)the consequences of non-payment of the trial fee;

(c)“trial date” means the date of the trial in relation to which the trial fee is payable, and if the trial in relation to which the trial fee is payable is scheduled to commence during the course of a specified period, “trial date” means the date of the Monday of the first week of that specified period;

(d)“trial fee” means fee 2.1 set out in the Table in Schedule 1 to the Fees Order 2008 and payable for the trial of a case on the multi-track, intermediate track fast track or small claims track;

(e)“trial fee payment date” means the date by which the trial fee must be paid, calculated in accordance with the Fees Order 2008;

(f)“revised trial fee payment date” means, if an application for fee remission is denied in whole or part, the revised date by which the fee or part of it is to be paid, calculated in accordance with the Fees Order 2008.

(2)This rule applies in relation to trial fees where that fee is to be paid by the claimant and the court notifies the parties in writing of the trial date.

(3)When the court notifies the parties in writing of the trial date, the court must also send a fee notice to the claimant.

(4)The fee notice may be contained in the same document as the notice of trial date, or may be a separate document.

(5)Where an application for full or part remission of a trial fee is refused, when the court sends written notice to the claimant of the refusal, the court must also notify the claimant in writing—

(a)that the claimant is required to pay the full trial fee by the revised trial fee payment date; and

(b)of the consequences of non-payment of the trial fee.

(6)Where part remission of a fee is granted, when the court sends written notice to the claimant of the part remission, the court must also notify the claimant in writing—

(a)that the claimant is required to pay the balance of the trial fee by the revised trial fee payment date; and

(b)of the consequences of non-payment of the balance of the trial fee.

(7)If—

(a)the claimant has had notice in accordance with this rule to pay the trial fee;

(b)the claimant has not applied to have the trial fee remitted in whole or part; and

(c)the trial fee has not been paid on or before the trial fee payment date,

the claim will automatically be struck out without further order of the court, and unless the court orders otherwise, the claimant will be liable for the defendant’s costs in accordance with rule 44.9(1).

(8)If—

(a)the claimant has had notice in accordance with this rule to pay the trial fee;

(b)the claimant has applied to have the trial fee remitted in whole or part;

(c)remission is refused or only part remission of the trial fee is granted;

(d)following the decision on remission, the claimant has had notice in accordance with this rule to pay the full trial fee or balance of it; and

(e)the full trial fee or balance of it (as appropriate) has not been paid on or before the revised trial fee payment date,

the claim will automatically be struck out without further order of the court, and, unless the court orders otherwise, the claimant will be liable for the defendant’s costs in accordance with rule 44.9(1).

(Rule 44.9 provides for the basis of assessment where a right to costs arises under this rule and contains provisions about when a costs order is deemed to have been made and applying for an order under section 194(3) of the Legal Services Act 2007.)

(9)If—

(a)a claimant applies to have the claim reinstated; and

(b)the court grants relief,

the relief must be conditional on the claimant either paying the trial fee or filing evidence of full or part remission of that fee within the period specified in paragraph (10).

(10)The period referred to in paragraph (9) is—

(a)if the order granting relief is made at a hearing at which the claimant is present or represented, 2 days from the date of the order;

(b)in any other case, 7 days from the date of service of the order on the claimant.

(11)If a fee is not paid for a claim where there is also a counterclaim, the counterclaim will still stand.

Sanctions for non-payment of certain fees by the defendant

3.7A—(1)Except where rule 3.7AA applies, this rule applies to fees payable by the defendant where—

(a)a defendant files a counterclaim without—

(i)payment of the fee specified by the Civil Proceedings Fees Order 2008 (Fees Order 2008); or

(ii)making an application for full or part remission of the fee; or

(b)the proceedings continue on the counterclaim alone and—

(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iv)the fee payable for a hearing specified by the Fees Order 2008 is not paid.

(2)The court will serve a notice on the defendant requiring payment of the fee specified in the Fees Order 2008 if, at the time the fee is due, the defendant has not paid it or made an application for full or part remission.

(3)The notice will specify the date by which the defendant must pay the fee.

(4)If the defendant does not—

(a)pay the fee; or

(b)make an application for full or part remission of the fee,

by the date specified in the notice, the counterclaim will automatically be struck out without further order of the court.

(5)Where an application for—

(a)full or part remission of a fee is refused, the court will serve notice on the defendant requiring payment of the full fee by the date specified in the notice; or

(b)part remission of a fee is granted, the court will serve notice on the defendant requiring payment of the balance of the fee by the date specified in the notice.

(6)If the defendant does not pay the fee by the date specified in the notice, the counterclaim will automatically be struck out without further order of the court.

(7)If—

(a)the defendant applies to have the counterclaim reinstated; and

(b)the court grants relief,

the relief will be conditional on the defendant either paying the fee or filing evidence of full or part remission of the fee within the period specified in paragraph (8).

(8)The period referred to in paragraph (7) is—

(a)if the order granting relief is made at a hearing at which the defendant is present or represented, 2 days from the date of the order;

(b)in any other case, 7 days from the date of service of the order on the defendant.

Sanctions for non-payment of the trial fee by the defendant, where proceedings continue on the counterclaim alone

3.7AA.—(1)This rule applies in relation to trial fees where that fee is to be paid by the defendant and the court notifies the defendant in writing of the trial date.

(Definitions contained in rule 3.7A1(1) apply to this rule also.)

(2)When the court notifies the parties in writing of the trial date, the court must also send a fee notice to the defendant.

(3)The fee notice may be contained in the same document as the notice of trial date, or may be a separate document.

(4)Where an application for full or part remission of a trial fee is refused, when the court sends written notice to the defendant of the refusal, the court must also notify the defendant in writing—

(a)that the defendant is required to pay the full trial fee by the revised trial fee payment date; and

(b)of the consequences of non-payment of the trial fee.

(5)Where part remission of a fee is granted, when the court sends written notice to the defendant of the part remission, the court must also notify the defendant in writing—

(a)that the defendant is required to pay the balance of the trial fee by the revised trial fee payment date; and

(b)of the consequences of non-payment of the balance.

(6)If—

(a)the defendant has had notice in accordance with this rule to pay the trial fee;

(b)the defendant has not applied to have the trial fee remitted in whole or part; and

(c)the trial fee has not been paid on or before the trial fee payment date,

the counterclaim will automatically be struck out without further order of the court.

(7)If—

(a)the defendant has had notice in accordance with this rule to pay the trial fee;

(b)the defendant has applied to have the trial fee remitted in whole or part;

(c)remission is refused or only part remission of the trial fee is granted;

(d)following the decision on remission, the defendant has had notice in accordance with this rule to pay the full trial fee or balance of it; and

(e)the full trial fee or balance of it (as appropriate) has not been paid on or before the revised trial fee payment date,

the counterclaim will automatically be struck out without further order of the court.

(8)If—

(a)a defendant applies to have the counterclaim reinstated; and

(b)the court grants relief,

the relief will be conditional on the defendant either paying the trial fee or filing evidence of full or part remission of the fee within the period specified in paragraph (9).

(9)The period referred to in paragraph (8) is—

(a)if the order granting relief is made at a hearing at which the defendant is present or represented, 2 days from the date of the order;

(b)in any other case, 7 days from the date of service of the order on the defendant.

Sanctions for dishonouring cheque

3.7B—(1)This rule applies where any fee is paid by cheque and that cheque is subsequently dishonoured.

(2)The court will serve a notice on the paying party requiring payment of the fee which will specify the date by which the fee must be paid.

(3)If the fee is not paid by the date specified in the notice—

(a)where the fee is payable by the claimant, the claim will automatically be struck out without further order of the court;

(b)where the fee is payable by the defendant, the defence will automatically be struck out without further order of the court,

and the paying party shall be liable for the costs which any other party has incurred unless the court orders otherwise.

(Rule 44.9 provides for the basis of assessment where a right to costs arises under this rule)

(4)If—

(a)the paying party applies to have the claim or defence reinstated; and

(b)the court grants relief,

the relief shall be conditional on that party paying the fee within the period specified in paragraph (5).

(5)The period referred to in paragraph (4) is—

(a)if the order granting relief is made at a hearing at which the paying party is present or represented, 2 days from the date of the order;

(b)in any other case, 7 days from the date of service of the order on the paying party.

(6)For the purposes of this rule, “claimant” includes a claimant in a counterclaim or other additional claim and “claim form” includes a counterclaim or other additional claim.

Sanctions have effect unless defaulting party obtains relief

3.8—(1) Where a party has failed to comply with a rule, practice direction or court order, any sanction for failure to comply imposed by the rule, practice direction or court order has effect unless the party in default applies for and obtains relief from the sanction.

(Rule 3.9 sets out the circumstances which the courtwill consider on an application to grant relief from a sanction)

(2) Where the sanction is the payment of costs, the party in default may only obtain relief by appealing against the order for costs.

(3) Where a rule, practice direction or court order—

(a)requires a party to do something within a specified time, and

(b)specifies the consequence of failure to comply,

the time for doing the act in question may not be extended by agreement between the parties except as provided in paragraph (4) .

(4)In the circumstances referred to in paragraph (3) and unless the court orders otherwise, the time for doing the act in question may be extended by prior written agreement of the parties for up to a maximum of 28 days, provided always that any such extension does not put at risk any hearing date

Relief from sanctions

3.9—(1)On an application for relief from any sanction imposed for a failure to comply with any rule, practice direction or court order, the court will consider all the circumstances of the case, so as to enable it to deal justly with the application, including the need—

(a)for litigation to be conducted efficiently and at proportionate cost; and

(b)to enforce compliance with rules, practice directions and orders.

(2) An application for relief must be supported by evidence.

General power of the court to rectify matters where there has been an error of procedure

3.10 Where there has been an error of procedure such as a failure to comply with a rule or practice direction—

(a)the error does not invalidate any step taken in the proceedings unless the court so orders; and

(b)the court may make an order to remedy the error.

Orders restraining civil proceedings

3.11.—(1)A “civil proceedings order” and an “all proceedings order” under section 42(1A) of the Senior Courts Act 1981 shall include provision for applying to begin, continue or make any application in any civil proceedings.

(2) A practice direction may set out—

(a)the circumstances in which the court has the power to make a civil restraint order against a party to proceedings;

(b)the procedure where a party applies for a civil restraint order against another party; and

(c)the consequences of the court making a civil restraint order.

SECTIONIICosts Management

Application of this Section and the purpose of costs management

3.12.—(1)This Section and Practice Direction3D apply to all Part 7 multi-track cases, except—

(a)where the claim is commenced on or after 22nd April 2014 and the amount of money claimed as stated on the claim form is £10 million or more; or

(b)where the claim is commenced on or after 22nd April 2014 and is for a monetary claim which is not quantified or not fully quantified or is for a non-monetary claim and in any such case the claim form contains a statement that the claim is valued at £10 million or more; or

(c)where in proceedings commenced on or after 6th April 2016 a claim is made by or on behalf of a person under the age of 18 (a child) (and on a child reaching majority this exception will continue to apply unless the court otherwise orders); or

(d)where the proceeding are the subject of fixed costs or scale costs; or

(e)the court otherwise orders.

(1A)This Section and Practice Direction3D will apply to any other proceedings (including applications) where the court so orders.

(2)The purpose of costs management is that the court should manage both the steps to be taken and the costs to be incurred by the parties to any proceedings (or variation costs as provided in rule 3.15A) so as to further the overriding objective.

Filing and exchanging budgets and budget discussion reports

3.13.—(1)Unless the court otherwise orders, all parties except litigants in person must file and exchange budgets—

(a)where the stated value of the claim on the claim form is less than £50,000, with their directions questionnaires; or

(b)in any other case, not later than 21 days before the first case management conference.

(2)In the event that a party files and exchanges a budget under paragraph (1), all other parties, not being litigants in person, must file an agreed budget discussion report no later than 7 days before the first case management conference.

(3)The court—

(a)may, on its own initiative or on application, order the parties to file and exchange costs budgets in a case where the parties are not otherwise required by this Section to do so;

(b)shall (other than in an exceptional case) make an order to file and exchange costs budgets if all parties consent to an application for such an order.

(4)The court may, in a substantial case, direct that budgets are to be limited in the first instance to part only of the proceedings and extended later to cover the whole proceedings.

(5)Every budget must be dated and verified by a statement of truth signed by a senior legal representative of the party.

(6)Even though a litigant in person is not required to prepare a budget, each other party (other than a litigant in person) must provide the litigant in person with a copy of that party’s budget.

Failure to file a budget

3.14.Unless the court otherwise orders, any party which fails to file a budget despite being required to do so will be treated as having filed a budget comprising only the applicable court fees.

Costs management orders

3.15.—(1)In addition to exercising its other powers, the court may manage the costs to be incurred (the budgeted costs) by any party in any proceedings.

(2)The court may at any time make a “costs management order”. Where costs budgets have been filed and exchanged the court will make a costs management order unless it is satisfied that the litigation can be conducted justly and at proportionate cost in accordance with the overriding objective without such an order being made. By a costs management order the court will—

(a)record the extent to which the budgeted costs are agreed between the parties;

(b)in respect of the budgeted costs which are not agreed, record the court’s approval after making appropriate revisions;

(c)record the extent (if any) to which incurred costs are agreed

(3)If a costs management order has been made, the court will thereafter control the parties’ budgets in respect of recoverable costs.

(4)Whether or not the court makes a costs management order, it may record on the face of any case management order any comments it has about the incurred costs which are to be taken into account in any subsequent assessment proceedings.

(5)Save in exceptional circumstances—

(a)the recoverable costs of initially completing Precedent H (the form to be used for a costs budget) shall not exceed the higher of—

(i)£1,000; or

(ii)1% of the total of the incurred costs (as agreed or allowed on assessment) and the budgeted costs (agreed or approved); and

(b)all other recoverable costs of the budgeting and costs management process shall not exceed 2% of the total of the incurred costs (as agreed or allowed on assessment) and the budgeted (agreed or approved) costs.

(Precedent H is annexed to Practice Direction3D.)

(6)The court may set a timetable or give other directions for future reviews of budgets.

(7)After a party’s budgeted costs have been approved or agreed, the party must re-file and re-serve the budget—

(a)in the form approved or agreed with re-cast figures; and

(b)annexed to the order approving the budgeted costs or recording the parties’ agreement.

(8)A costs management order concerns the totals allowed for each phase of the budget, and while the underlying detail in the budget for each phase used by the party to calculate the totals claimed is provided for reference purposes to assist the court in fixing a budget, it is not the role of the court in the costs management hearing to fix or approve the hourly rates claimed in the budget.

Revision and variation of costs budgets on account of significant developments (“variation costs”)

3.15A.—(1)A party (“the revising party”) must revise its budgeted costs upwards or downwards if significant developments in the litigation warrant such revisions.

(2)Any budgets revised in accordance with paragraph (1) must be submitted promptly by the revising party to the other parties for agreement, and subsequently to the court, in accordance with paragraphs (3) to (5).

(3)The revising party must—

(a)serve particulars of the variation proposed on every other party, using the form prescribed by Practice Direction3D;

(b)confine the particulars to the additional costs occasioned by the significant development; and

(c)certify, in the form prescribed by Practice Direction 3D, that the additional costs are not included in any previous budgeted costs or variation.

(4)The revising party must submit the particulars of variation promptly to the court, together with the last approved or agreed budget, and with an explanation of the points of difference if they have not been agreed.

(5)The court may approve, vary or disallow the proposed variations, having regard to any significant developments which have occurred since the date when the previous budget was approved or agreed, or may list a further costs management hearing.

(6)Where the court makes an order for variation, it may vary the budget for costs related to that variation which have been incurred prior to the order for variation but after the costs management order.

Costs management conferences

3.16.—(1)Any hearing which is convened solely for the purpose of costs management (for example, to approve a revised budget) is referred to as a “costs management conference”.

(2)Where practicable, costs management conferences should be conducted by telephone or in writing.

Court to have regard to budgets and to take account of costs

3.17.—(1)When making any case management decision, the court will have regard to any available budgets of the parties and will take into account the costs involved in each procedural step.

(2)Paragraph (1) applies whether or not the court has made a costs management order.

(3)Subject to rule 3.15A, the court—

(a)may not approve costs incurred up to and including the date of any costs management hearing; but

(b)may record its comments on those costs and take those costs into account when considering the reasonableness and proportionality of all budgeted costs.

(4)If an interim application is made but is not included in a budget, the court may, if it considers it reasonable not to have included the application in the budget, treat the costs of such interim application as additional to the approved budgets.

Assessing costs on the standard basis where a costs management order has been made

3.18.In any case where a costs management order has been made, when assessing costs on the standard basis, the court will—

(a)have regard to the receiving party’s last approved or agreed budgeted costs for each phase of the proceedings; ...

(b)not depart from such approved or agreed budgeted costs unless satisfied that there is good reason to do so ; and

(c)take into account any comments made pursuant to rule 3.15(4) or 3.17(3) and recorded on the face of the order

(Attention is drawn to rules 44.3(2)(a) and 44.3(5), which concern proportionality of costs.)

SECTIONIIICosts Capping

Costs capping orders – General

3.19.—(1)For the purposes of this Section—

(a)‘costs capping order’ means an order limiting the amount of future costs (including disbursements) which a party may recover pursuant to an order for costs subsequently made; and

(b)‘future costs’ means costs incurred in respect of work done after the date of the costs capping order but excluding the amount of any additional liability.

(2)This Section does not apply to judicial review costs capping orders under Part 4 of the Criminal Justice and Courts Act 2015 or to protective costs orders.

(Rules 46.16 to 46.19 make provision for judicial review costs capping orders under Part 4 of the Criminal Justice and Courts Act 2015.)

(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)A costs capping order may be in respect of –

(a)the whole litigation; or

(b)any issues which are ordered to be tried separately.

(5)The court may at any stage of proceedings make a costs capping order against all or any of the parties, if—

(a)it is in the interests of justice to do so;

(b)there is a substantial risk that without such an order costs will be disproportionately incurred; and

(c)it is not satisfied that the risk in subparagraph (b) can be adequately controlled by–

(i)case management directions or orders made under this Part; and

(ii)detailed assessment of costs.

(6)In considering whether to exercise its discretion under this rule, the court will consider all the circumstances of the case, including—

(a)whether there is a substantial imbalance between the financial position of the parties;

(b)whether the costs of determining the amount of the cap are likely to be proportionate to the overall costs of the litigation;

(c)the stage which the proceedings have reached; and

(d)the costs which have been incurred to date and the future costs.

(7)A costs capping order, once made, will limit the costs recoverable by the party subject to the order unless a party successfully applies to vary the order. No such variation will be made unless—

(a)there has been a material and substantial change of circumstances since the date when the order was made; or

(b)there is some other compelling reason why a variation should be made.

Application for a costs capping order

3.20.—(1)An application for a costs capping order must be made on notice in accordance with Part 23.

(2)The application notice must –

(a)set out –

(i)whether the costs capping order is in respect of the whole of the litigation or a particular issue which is ordered to be tried separately; and

(ii)why a costs capping order should be made; and

(b)be accompanied by a budget setting out –

(i)the costs (and disbursements) incurred by the applicant to date; and

(ii)the costs (and disbursements) which the applicant is likely to incur in the future conduct of the proceedings.

(3)The court may give directions for the determination of the application and such directions may –

(a)direct any party to the proceedings –

(i)to file a schedule of costs in the form set out in paragraph 3 of Practice Direction3E – Costs capping;

(ii)to file written submissions on all or any part of the issues arising;

(b)fix the date and time estimate of the hearing of the application;

(c)indicate whether the judge hearing the application will sit with an assessor at the hearing of the application; and

(d)include any further directions as the court sees fit.

Application to vary a costs capping order

3.21.An application to vary a costs capping order must be made by application notice pursuant to Part 23.

PART 4FORMS

4.—(1)Forms approved by the Civil Procedure Rule Committee, as published online by His Majesty’sCourts and Tribunals Service and available for downloading or printing, or incorporated as part of any online process specified by these Rules, must be used in the cases to which they apply.

(2)Other forms not approved by the Civil Procedure Rule Committee, published online by His Majesty’sCourts and Tribunals Service and available for downloading, printing or other use, may be used as appropriate.

(3)A form may be varied by the court or a party if the variation is required by the circumstances of a particular case.

(4)A form must not be varied so as to leave out any information or guidance it contains.

(5)Where the court or a party produces a form with the words “Royal Arms”, the form must include a replica of the Royal Arms at the head of the first page.

(6)The court must supply, on request, a paper copy of a form (with relevant explanatory material) to a person who cannot obtain access to the forms published online.

PART 5COURT DOCUMENTS

Scope of this Part

5.1 This Part contains general provisions about—

(a)documents used in court proceedings; and

(b)the obligations of a court officer in relation to those documents.

Preparation of documents

5.2—(1) Where under these Rules, a document is to be prepared by the court, the document may be prepared by the party whose document it is, unless—

(a)a court officer otherwise directs; or

(b)it is a document to which—

(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii)CCR Order 28, rule 11(1) (issue of warrant of committal),

applies.

(2) Nothing in this rule shall require a court officer to accept a document which is illegible, has not been duly authorised, or is unsatisfactory for some other similar reason.

Signature of documents by mechanical means

5.3 Where any of these Rules or any practice direction requires a document to be signed, that requirement shall be satisfied if the signature is printed by computer or other mechanical means.

Register of claims

5.4—(1)A court or court office may keep a publicly accessible register of claims which have been issued out of that court or court office.

(2)Any person who pays the prescribed fee may, during office hours, search any available register of claims.

• (Practice Direction 5A contains details of available registers).

Supply of documents to Attorney-General from court records

5.4A.—(1)The Attorney-General may search for, inspect and take a copy of any documents within a court file for the purpose of preparing an application or considering whether to make an application under section 42 of the Supreme Court Act 1981 or section 33 of the Employment Tribunals Act 1996 (restriction of vexatious proceedings).

(2)The Attorney-General must, when exercising the right under paragraph (1)—

(a)pay any prescribed fee; and

(b)file a written request, which must—

(i)confirm that the request is for the purpose of preparing an application or considering whether to make an application mentioned in paragraph (1); and

(ii)name the person who would be the subject of the application.

Supply of documents to a party from court records

5.4B.—(1)A party to proceedings may, unless the court orders otherwise, obtain from the records of the court a copy of any document listed in paragraph 4.2A of Practice Direction 5A.

(2)A party to proceedings may, if the court gives permission, obtain from the records of the court a copy of any other document filed by a party or communication between the court and a party or another person.

Supply of documents to a non-party from court records

5.4C.—(1)The general rule is that a person who is not a party to proceedings may obtain from the court records a copy of—

(a)a statement of case, but not any documents filed with or attached to the statement of case, or intended by the party whose statement it is to be served with it;

(b)a judgment or order given or made in public (whether made at a hearing or without a hearing) ... .

(1A)Where a non-party seeks to obtain a copy of a statement of case filed before 2nd October 2006—

(a)this rule does not apply; and

(b)the rules of court relating to access by a non-party to statements of case in force immediately before 2nd October 2006 apply as if they had not been revoked.

(The rules relating to access by a non-party to statements of case in force immediately before 2nd October 2006 were contained in the former rule 5.4(5) to 5.4(9). Practice Direction 5A sets out the relevant provisions as they applied to statements of case.).

(1B). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)A non-party may, if the court gives permission, obtain from the records of the court a copy of any other document filed by a party, or communication between the court and a party or another person.

(3)A non-party may obtain a copy of a statement of case or judgment or order under paragraph (1) only if—

(a)where there is one defendant, the defendant has filed an acknowledgment of service or a defence;

(b)where there is more than one defendant, either—

(i)all the defendants have filed an acknowledgment of service or a defence;

(ii)at least one defendant has filed an acknowledgment of service or a defence, and the court gives permission;

(c)the claim has been listed for a hearing; or

(d)judgment has been entered in the claim.

(4)The court may, on the application of a party or of any person identified in a statement of case—

(a)order that a non-party may not obtain a copy of a statement of case under paragraph (1);

(b)restrict the persons or classes of persons who may obtain a copy of a statement of case;

(c)order that persons or classes of persons may only obtain a copy of a statement of case if it is edited in accordance with the directions of the court; or

(d)make such other order as it thinks fit.

(5)A person wishing to apply for an order under paragraph (4) must file an application notice in accordance with Part 23.

(6)Where the court makes an order under paragraph (4), a non-party who wishes to obtain a copy of the statement of case, or to obtain an unedited copy of the statement of case, may apply on notice to the party or person identified in the statement of case who requested the order, for permission.

Supply of documents from court records - general

5.4D.—(1)A person wishing to obtain a copy of a document under rule 5.4B or rule 5.4C must pay any prescribed fee and—

(a)if the court’s permission is required, file an application notice in accordance with Part 23; or

(b)if permission is not required, file a written request for the document.

(2)An application for an order under rule 5.4C(4) or for permission to obtain a copy of a document under rule 5.4B or rule 5.4C (except an application for permission under rule 5.4C(6)) may be made without notice, but the court may direct notice to be given to any person who would be affected by its decision.

(3)Rules 5.4, 5.4B and 5.4C do not apply in relation to any proceedings in respect of which a rule or practice direction makes different provision.

(Rules 5.4, 5.4B and 5.4C are disapplied by rules 76.34, 79.30, 80.30, 82.18 and 88.33; and rule 5.4C is disapplied, and rule 5.4B applied subject to court order, by paragraph 23 of Practice Direction49E.)

Filing and sending documents

5.5—(1)A practice direction may make provision for documents to be filed or sent to the court by—

(a)facsimile; or

(b)other electronic means.

(2)Any such practice direction may—

(a)provide that only particular categories of documents may be filed or sent to the court by such means;

(b)provide that particular provisions only apply in specific courts; and

(c)specify the requirements that must be fulfilled for any document filed or sent to the court by such means.

Documents in the Welsh language

5.6.—(1)Any document placed before the court in civil proceedings in or having a connection with Wales may be in the English or Welsh language.

(2)It is the responsibility of any party if acting in person or of that party’s legal representative to inform the court as soon as practicable if documents in the Welsh language will or may be placed before the court, so that appropriate arrangements can be made.

PART 6SERVICE OF DOCUMENTS

I SCOPE OF THIS PART AND INTERPRETATION

Part 6 rules about service apply generally

6.1.This Part applies to the service of documents, except where—

(a)another Part, any other enactment or a practice direction makes different provision; or

(b)the court orders otherwise.

(Other Parts, for example, Part 54 (Judicial Review) and Part 55 (Possession Claims) contain specific provisions about service.)

Interpretation

6.2.In this Part—

(a)“bank holiday” means a bank holiday under the Banking and Financial Dealings Act 1971 in the part of the United Kingdom where service is to take place;

(b)“business day” means any day except Saturday, Sunday, a bank holiday, Good Friday or Christmas Day;

(c)“claim” includes petition and any application made before action or to commence proceedings and “claim form”, “claimant” and “defendant” are to be construed accordingly; ...

(d)“solicitor” includes any other person who, for the purposes of the Legal Services Act 2007, is an authorised person in relation to an activity which constitutes the conduct of litigation (within the meaning of that Act); and

(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

II SERVICE OF THE CLAIM FORM IN THE JURISDICTION ...

Methods of service

6.3.—(1)A claim form may ... be served by any of the following methods—

(a)personal service in accordance with rule 6.5;

(b)first class post, document exchange or other service which provides for delivery on the next business day, in accordance with Practice Direction 6A;

(c)leaving it at a place specified in rule 6.7, 6.8, 6.9 or 6.10;

(d)fax or other means of electronic communication in accordance with Practice Direction 6A; or

(e)any method authorised by the court under rule 6.15.

(2)A company may be served—

(a)by any method permitted under this Part; or

(b)by any of the methods of service permitted underthe Companies Act 2006.

(3)A limited liability partnership may be served—

(a)by any method permitted under this Part; or

(b)by any of the methods of service permitted under the Companies Act 2006 as applied with modification by regulations made under the Limited Liability Partnerships Act 2000.

Who is to serve the claim form

6.4.—(1)Thecourt will serve the claim form except where—

(a)a rule or practice direction provides that the claimant must serve it;

(b)the claimant notifies the court that the claimant wishes to serve it; or

(c)the court orders or directs otherwise.

(2)Where the court is to serve the claim form, it is for the court to decide which method of service is to be used.

(3)Where the court is to serve the claim form, the claimant must, in addition to filing a copy for the court, provide a copy for each defendant to be served.

(4)Where the court has sent—

(a)a notification of outcome of postal service to the claimant in accordance with rule 6.18; or

(b)a notification of non-service by a bailiff in accordance with rule 6.19,

the court will not try to serve the claim form again.

Personal service

6.5.—(1)Where required by another Part, any other enactment, a practice direction or a court order, a claim form must be served personally.

(2)In other cases, a claim form may be served personally except—

(a)where rule 6.7 applies; or

(b)in any proceedings against the Crown.

(Part 54 contains provisions about judicial review claims and Part 66 contains provisions about Crown proceedings.)

(3)A claim form is served personally on—

(a)an individual by leaving it with that individual;

(b)a company or other corporation by leaving it with a person holding a senior position within the company or corporation; or

(c)a partnership (where partners are being sued in the name of their firm) by leaving it with—

(i)a partner; or

(ii)a person who, at the time of service, has the control or management of the partnership business at its principal place of business.

(Practice Direction 6A sets out the meaning of “senior position”.)

Where to serve the claim form – general provisions

6.6.—(1)The claim form must be served within the jurisdiction except where rule 6.7(2) ... or 6.11 applies or as provided by Section IV of this Part.

(2)The claimant must include in the claim form an address at which the defendant may be served. That address must include a full postcode ..., unless the court orders otherwise.

...

(3)Paragraph (2) does not apply where an order made by the court under rule 6.15 (service by an alternative method or at an alternative place) specifies the place or method of service of the claim form.

Service on a solicitor ... within the United Kingdom ...

6.7.—(1)Solicitor within the jurisdiction: Subject to rule 6.5(1), where—

(a)the defendant has given in writing the business address within the jurisdiction of a solicitor as an address at which the defendant may be served with the claim form; or

(b)a solicitor acting for the defendant has notified the claimant in writing that the solicitor is instructed by the defendant to accept service of the claim form on behalf of the defendant at a business address within the jurisdiction,

the claim form must be served at the business address of that solicitor.

(“Solicitor” has the extended meaning set out in rule 6.2(d).)

(2)Solicitor in Scotland or Northern Ireland ...: Subject to rule 6.5(1) and the provisions of Section IV of this Part, and except where any other rule or practice direction makes different provision, where—

(a)the defendant has given in writing the business address in Scotland or Northern Ireland of a solicitor as an address at which the defendant may be served with the claim form;

(aa)a solicitor acting for the defendant has notified the claimant in writing that the solicitor is instructed by the defendant to accept service of the claim form on behalf of the defendant at a business address within Scotland or Northern Ireland;

(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

the claim form must be served at the business address of that solicitor.

(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

...

(For Production Centre Claims see paragraph 2.3(7A) of Practice Direction7B; for Money Claims Online see paragraph 4(6) of Practice Direction7C; and for Possession Claims Online see paragraph 5.1(4) of Practice Direction 55B.)

Service of the claim form where before service the defendant gives an address at which the defendant may be served

6.8.Subject to rules 6.5(1) and 6.7 ..., and except where any other rule or practice direction makes different provision—

(a)the defendant may be served with the claim form at an address at which the defendant resides or carries on business within the UK...and which the defendant has given for the purpose of being served with the proceedings; or

(b)in any claim by a tenant or contract-holder against a landlord, the claim form may be served at an address given by the landlord under section 48 of the Landlord and Tenant Act 1987or section 39 of the Renting Homes (Wales) Act 2016.

(For Production Centre Claims see paragraph 2.3(7A) of Practice Direction7B; for Money Claims Online see paragraph 4(6) of Practice Direction7C; and for Possession Claims Online see paragraph 5.1(4) of Practice Direction 55B.)

(For service out of the jurisdiction see rules 6.40 to 6.47.)

Service of the claim form where the defendant does not give an address at which the defendant may be served

6.9.—(1)This rule applies where—

(a)rule 6.5(1) (personal service);

(b)rule 6.7 (service of claim form on solicitor...); and

(c)rule 6.8 (defendant gives address at which the defendant may be served),

do not apply and the claimant does not wish to effect personal service under rule 6.5(2).

(2)Subject to paragraphs (3) to (6), the claim form must be served on the defendant at the place shown in the following table.

(3)Where a claimant has reason to believe that the address of the defendant referred to in entries 1, 2 or 3 in the table in paragraph (2) is an address at which the defendant no longer resides or carries on business, the claimant must take reasonable steps to ascertain the address of the defendant’s current residence or place of business (“current address”).

(4)Where, having taken the reasonable steps required by paragraph (3), the claimant—

(a)ascertains the defendant’s current address, the claim form must be served at that address; or

(b)is unable to ascertain the defendant’s current address, the claimant must consider whether there is—

(i)an alternative place where; or

(ii)an alternative method by which,

service may be effected.

(5)If, under paragraph (4)(b), there is such a place where or a method by which service may be effected, the claimant must make an application under rule 6.15.

(6)Where paragraph (3) applies, the claimant may serve on the defendant’s usual or last known address in accordance with the table in paragraph (2) where the claimant—

(a)cannot ascertain the defendant’s current residence or place of business; and

(b)cannot ascertain an alternative place or an alternative method under paragraph (4)(b).

(For service out of the jurisdiction see rules 6.40 to 6.47.)

Service of the claim form in proceedings against the Crown

6.10.In proceedings against the Crown—

(a)service on the Attorney General must be effected on the Treasury Solicitor; and

(b)service on a government department must be effected on the solicitor acting for that department.

(Practice Direction 66 gives the list published under section 17 of the Crown Proceedings Act 1947 of the solicitors acting in civil proceedings (as defined in that Act) for the different government departments on whom service is to be effected, and of their addresses.)

Service of the claim form by contractually agreed method

6.11.—(1)Where—

(a)a contract contains a term providing that, in the event of a claim being started in relation to the contract, the claim form may be served by a method or at a place specified in the contract; and

(b)a claim solely in respect of that contract is started,

the claim form may, subject to paragraph (2), be served on the defendant by the method or at the place specified in the contract.

(2)Where in accordance with the contract the claim form is to be served out of the jurisdiction, it may be served—

(a)if permission to serve it out of the jurisdiction has been granted under rule 6.36; or

(b)without permission under rule 6.32 or 6.33.

Service of the claim form relating to a contract on an agent of a principal who is out of the jurisdiction

6.12.—(1)The court may, on application, permit a claim form relating to a contract to be served on the defendant’s agent where —

(a)the defendant is out of the jurisdiction;

(b)the contract to which the claim relates was entered into within the jurisdiction with or through the defendant’s agent; and

(c)at the time of the application either the agent’s authority has not been terminated or the agent is still in business relations with the defendant.

(2)An application under this rule—

(a)must be supported by evidence setting out—

(i)details of the contract and that it was entered into within the jurisdiction or through an agent who is within the jurisdiction;

(ii)that the principal for whom the agent is acting was, at the time the contract was entered into and is at the time of the application, out of the jurisdiction; and

(iii)why service out of the jurisdiction cannot be effected; and

(b)may be made without notice.

(3)An order under this rule must state the period within which the defendant must respond to the particulars of claim.

(4)Where the court makes an order under this rule—

(a)a copy of the application notice and the order must be served with the claim form on the agent; and

(b)unless the court orders otherwise, the claimant must send to the defendant a copy of the application notice, the order and the claim form.

(5)This rule does not exclude the court’s power under rule 6.15 (service by an alternative method or at an alternative place).

Service of the claim form on children and protected parties

6.13.—(1)Where the defendant is a child who is not also a protected party, the claim form must be served on—

(a)one of the child’s parents or guardians; or

(b)if there is no parent or guardian, an adult with whom the child resides or in whose care the child is.

(2)Where the defendant is a protected party, the claim form must be served on—

(a)one of the following persons with authority in relation to the protected party as—

(i)the attorney under a registered enduring power of attorney;

(ii)the donee of a lasting power of attorney; or

(iii)the deputy appointed by the Court of Protection; or

(b)if there is no such person, an adult with whom the protected party resides or in whose care the protected party is.

(3)Any reference in this Section to a defendant or a party to be served includes the person to be served with the claim form on behalf of a child or protected party under paragraph (1) or (2).

(4)The court may make an order permitting a claim form to be served on a child or protected party, or on a person other than the person specified in paragraph (1) or (2).

(5)An application for an order under paragraph (4) may be made without notice.

(6)The court may order that, although a claim form has been sent or given to someone other than the person specified in paragraph (1) or (2), it is to be treated as if it had been properly served.

(7)This rule does not apply where the court has made an order under rule 21.2(3) allowing a child to conduct proceedings without a litigation friend.

(Part 21 contains rules about the appointment of a litigation friend and “child” and “protected party” have the same meaning as in rule 21.1.)

Deemed service

6.14.A claim form served within the United Kingdom in accordance with this Part is deemed to be served on the second business day after completion of the relevant step under rule 7.5(1).

Service of the claim form by an alternative method or at an alternative place

6.15.—(1)Where it appears to the court that there is a good reason to authorise service by a method or at a place not otherwise permitted by this Part, the court may make an order permitting service by an alternative method or at an alternative place.

(2)On an application under this rule, the court may order that steps already taken to bring the claim form to the attention of the defendant by an alternative method or at an alternative place is good service.

(3)An application for an order under this rule—

(a)must be supported by evidence; and

(b)may be made without notice.

(4)An order under this rule must specify—

(a)the method or place of service;

(b)the date on which the claim form is deemed served; and

(c)the period for—

(i)filing an acknowledgment of service;

(ii)filing an admission; or

(iii)filing a defence.

Power of court to dispense with service of the claim form

6.16.—(1)The court may dispense with service of a claim form in exceptional circumstances.

(2)An application for an order to dispense with service may be made at any time and—

(a)must be supported by evidence; and

(b)may be made without notice.

Notice and certificate of service relating to the claim form

6.17.—(1)Where the court serves a claim form, the court will send to the claimant a notice which will include the date on which the claim form is deemed served under rule 6.14.

(2)Where the claimant serves the claim form, the claimant—

(a)must file a certificate of service within 21 days of service of the particulars of claim, unless all the defendants to the proceedings have filed acknowledgments of service within that time; and

(b)may not obtain judgment in default under Part 12 unless a certificate of service has been filed.

(3)The certificate of service must state—

(a)where rule 6.7, 6.8, 6.9 or 6.10 applies, the category of address at which the claimant believes the claim form has been served; and

(b)the details set out in the following table.

Notification of outcome of postal service by the court

6.18.—(1)Where—

(a)the court serves the claim form by post; and

(b)the claim form is returned to the court,

the court will send notification to the claimant that the claim form has been returned.

(2)The claim form will be deemed to be served unless the address for the defendant on the claim form is not the relevant address for the purpose of rules 6.7 to 6.10.

Notice of non-service by bailiff

6.19.Where—

(a)the court bailiff is to serve a claim form; and

(b)the bailiff is unable to serve it on the defendant,

the court will send notification to the claimant.

III SERVICE OF DOCUMENTS OTHER THAN THE CLAIM FORM IN THE UNITED KINGDOM ...

Methods of service

6.20.—(1)A document may be served by any of the following methods—

(a)personal service, in accordance with rule 6.22;

(b)first class post, document exchange or other service which provides for delivery on the next business day, in accordance with Practice Direction 6A;

(c)leaving it at a place specified in rule 6.23;

(d)fax or other means of electronic communication in accordance with Practice Direction 6A; or

(e)any method authorised by the court under rule 6.27.

(2)A company may be served—

(a)by any method permitted under this Part; or

(b)by any of the methods of service permitted underthe Companies Act 2006.

(3)A limited liability partnership may be served—

(a)by any method permitted under this Part; or

(b)by any of the methods of service permitted under the Companies Act 2006 as applied with modification by regulations made under the Limited Liability Partnerships Act 2000.

Who is to serve

6.21.—(1)A party to proceedings will serve a document which that party has prepared except where—

(a)a rule or practice direction provides that the court will serve the document; or

(b)the court orders otherwise.

(2)The court will serve a document which it has prepared except where—

(a)a rule or practice direction provides that a party must serve the document;

(b)the party on whose behalf the document is to be served notifies the court that the party wishes to serve it; or

(c)the court orders otherwise.

(3)Where the court is to serve a document, it is for the court to decide which method of service is to be used.

(4)Where the court is to serve a document prepared by a party, that party must provide a copy for the court and for each party to be served.

Personal service

6.22.—(1)Where required by another Part, any other enactment, a practice direction or a court order, a document must be served personally.

(2)In other cases, a document may be served personally except—

(a)where the party to be served has given an address for service under rule 6.23...; or

(b)in any proceedings by or against the Crown.

(3)A document may be served personally as if the document were a claim form in accordance with rule 6.5(3).

(For service out of the jurisdiction see rules 6.40 to 6.47.)

Address for service to be given after proceedings are started

6.23.—(1)Unless the court orders otherwise, a party to proceedings must give an address at which that party may be served with documents relating to those proceedings. The address must include a full postcode .......

...

(2)Except where any other rule , practice direction or order makes different provision, a party’s address for service must be—

(a)the business address ... within the United Kingdom ... of a solicitor acting for the party to be served; or

(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)where there is no solicitor acting for the party ...—

(i)an address within the United Kingdom at which the party resides or carries on business; ...

(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(For Production Centre Claims see paragraph 2.3(7) and (7A) of Practice Direction7B; for Money Claims Online see paragraph 4(3A) and (6) of Practice Direction7C; and for Possession Claims Online see paragraph 5.1(3A) and (4) of Practice Direction 55B.)

(3)Where none of sub-paragraphs (2)(a) ... or (c) applies, unless the court orders otherwise the party must give an address for service within the United Kingdom.

(Part 42 contains provisions about change of solicitor. Rule 42.1 provides that where a party gives the business address of a solicitor as that party’s address for service, that solicitor will be considered to be acting for the party until the provisions of Part 42 are complied with.)

(4)Subject to the provisions of Section IV of this Part (where applicable), any document to be served in proceedings must be sent or transmitted to, or left at, the party’s address for service under paragraph (2) or (3) unless it is to be served personally or the court orders otherwise.

(5)Where, in accordance with Practice Direction 6A, a party indicates or is deemed to have indicated that they will accept service by fax, the fax number given by that party must be at the address for service.

(6)Where a party indicates in accordance with Practice Direction 6A that they will accept service by electronic means other than fax, the e-mail address or electronic identification given by that party will be deemed to be at the address for service.

(7)In proceedings by or against the Crown, service of any document in the proceedings on the Crown must be effected in the same manner prescribed in rule 6.10 as if the document were a claim form.

(8)This rule does not apply where an order made by the court under rule 6.27 (service by an alternative method or at an alternative place) specifies where a document may be served.

(For service out of the jurisdiction see rules 6.40 to 6.47.)

Change of address for service

6.24.Where the address for service of a party changes, that party must give notice in writing of the change as soon as it has taken place to the court and every other party.

Service on children and protected parties

6.25.—(1)An application for an order appointing a litigation friend where a child or protected party has no litigation friend must be served in accordance with rule 21.8(1) and (2).

(2)Any other document which would otherwise be served on a child or a protected party must be served on the litigation friend conducting the proceedings on behalf of the child or protected party.

(3)The court may make an order permitting a document to be served on the child or protected party or on some person other than the person specified in rule 21.8 or paragraph (2).

(4)An application for an order under paragraph (3) may be made without notice.

(5)The court may order that, although a document has been sent or given to someone other than the person specified in rule 21.8 or paragraph (2), the document is to be treated as if it had been properly served.

(6)This rule does not apply where the court has made an order under rule 21.2(3) allowing a child to conduct proceedings without a litigation friend.

Deemed Service

6.26.A document, other than a claim form within the United Kingdom, served in accordance with these Rules or any relevant practice direction is deemed to be served on the day shown in the following table—

(Paragraphs 10.1 to 10.7 of Practice Direction 6A contain examples of how the date of deemed service is calculated.)

Service by an alternative method or at an alternative place

6.27.Rule 6.15 applies to any document in the proceedings as it applies to a claim form and reference to the defendant in that rule is modified accordingly.

Power to dispense with service

6.28.—(1)The court may dispense with service of any document which is to be served in the proceedings.

(2)An application for an order to dispense with service must be supported by evidence and may be made without notice.

Certificate of service

6.29.Where a rule, practice direction or court order requires a certificate of service, the certificate must state the details required by the following table—

IV SERVICE OF THE CLAIM FORM AND OTHER DOCUMENTS OUT OF THE JURISDICTION

Scope of this Section

6.30.This Section contains rules about—

(a)service of the claim form and other documents out of the jurisdiction;

(b)when the permission of the court is required and how to obtain that permission; and

(c)the procedure for service.

(“Jurisdiction” is defined in rule 2.3(1).)

Interpretation

6.31.For the purposes of this Section—

(a)“the Hague Convention” means the Convention on the service abroad of judicial and extrajudicial documents in civil or commercial matters signed at the Hague on 15 November 1965;

(b)“the 1982 Act” means the Civil Jurisdiction and Judgments Act 1982;

(c)“Civil Procedure Convention” means any Convention (including the Hague Convention) entered into by the United Kingdom regarding service out of the jurisdiction;

(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

...

(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(f)“Commonwealth State” means a state listed in Schedule 3 to the British Nationality Act 1981;

(g). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(h). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(j). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(k)“the 2005 Hague Convention” means the Convention on Choice of Court Agreements concluded on 30th June 2005 at the Hague.

Service of the claim form where the permission of the court is not required - Scotland and Northern Ireland

6.32.—(1)The claimant may serve the claim form on a defendant in Scotland or Northern Ireland where each claim made against the defendant to be served and included in the claim form is a claim which the court has power to determine under the 1982 Act and—

(a)no proceedings between the parties concerning the same claim are pending in the courts of any other part of the United Kingdom; and

(b)(i)the defendant is domiciled in the United Kingdom;

(ii)the proceedings are within paragraph 11 of Schedule 4 to the 1982 Act; or

(iii)the defendant is a party to an agreement conferring jurisdiction, within paragraph 12 of Schedule 4 to the 1982 Act.

(2)The claimant may serve the claim form on a defendant in Scotland or Northern Ireland where each claim made against the defendant to be served and included in the claim form is a claim which the court has power to determine under any enactment other than the 1982 Act notwithstanding that—

(a)the person against whom the claim is made is not within the jurisdiction; or

(b)the facts giving rise to the claim did not occur within the jurisdiction.

Service of the claim form where the permission of the court is not required - out of the United Kingdom

6.33.—(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)The claimant may serve the claim form on a defendant out of the United Kingdom where each claim made against the defendant to be served and included in the claim form is a claim which the court has power to determine under sections 15A to 15E of the 1982 Act and—

(a)... no proceedings between the parties concerning the same claim are pending in the courts of any other part of the United Kingdom ...; and

(b)(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ii)the defendant is not a consumer, but is a party to a consumer contract within section 15B(1) of the 1982 Act; or

(iii)the defendant is an employer and a party to a contract of employment within section 15C(1) of the 1982 Act;

(iv). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(v). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2B)The claimant may serve the claim form on a defendant outside the United Kingdom where, for each claim made against the defendant to be served and included in the claim form—

(a)the court has power to determine that claim under the 2005 Hague Convention and the defendant is a party to an exclusive choice of court agreement conferring jurisdiction on that court within the meaning of Article 3 of the 2005 Hague Convention; ...

(b)a contract contains a term to the effect that the court shall have jurisdiction to determine that claim; or

(c)the claim is in respect of a contract falling within sub-paragraph (b).

(3)The claimant may serve the claim form on a defendant out of the United Kingdom where each claim made against the defendant to be served and included in the claim form is a claim which the court has power to determine other than under ... the 2005 Hague Convention... notwithstanding that—

(a)the person against whom the claim is made is not within the jurisdiction; or

(b)the facts giving rise to the claim did not occur within the jurisdiction.

Notice of statement of grounds where the permission of the court is not required for service

6.34.—(1)Where the claimant intends to serve a claim form on a defendant under rule 6.32 or 6.33, the claimant must—

(a)file with the claim form a notice containing a statement of the grounds on which the claimant is entitled to serve the claim form out of the jurisdiction; and

(b)serve a copy of that notice with the claim form.

(2)Where the claimant fails to file with the claim form a copy of the notice referred to in paragraph (1)(a), the claim form may only be served—

(a)once the claimant files the notice; or

(b)if the court gives permission.

Period for responding to the claim form where permission was not required for service

6.35.—(1)This rule sets out the period for—

(a)filing an acknowledgment of service;

(b)filing an admission; or

(c)filing a defence,

where a claim form has been served out of the jurisdiction under rule 6.32 or 6.33.

(Part 10 contains rules about acknowledgments of service, Part 14 contains rules about admissions and Part 15 contains rules about defences.)

Service of the claim form on a defendant in Scotland or Northern Ireland

(2)Where the claimant serves on a defendant in Scotland or Northern Ireland under rule 6.32, the period—

(a)for filing an acknowledgment of service or admission is 21 days after service of the particulars of claim; or

(b)for filing a defence is—

(i)21 days after service of the particulars of claim; or

(ii)where the defendant files an acknowledgment of service, 35 days after service of the particulars of claim.

(Part 7 provides that particulars of claim must be contained in or served with the claim form or served separately on the defendant within 14 days after service of the claim form.)

(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Service on a defendant elsewhere

(5)Where the claimant serves the claim form under rule 6.33 ..., the period for responding to the claim form is set out in Practice Direction 6B.

Service of the claim form where the permission of the court is required

6.36.In any proceedings to which rule 6.32 or 6.33 does not apply, the claimant may serve a claim form out of the jurisdiction with the permission of the court if any of the grounds set out in paragraph 3.1 of Practice Direction 6B apply.

Application for permission to serve the claim form out of the jurisdiction

6.37.—(1)An application for permission under rule 6.36 must set out—

(a)which ground in paragraph 3.1 of Practice Direction 6B is relied on;

(b)that the claimant believes that the claim has a reasonable prospect of success; and

(c)the defendant’s address or, if not known, in what place the defendant is, or is likely, to be found.

(2)Where the application is made in respect of a claim referred to in paragraph 3.1(3) of Practice Direction 6B, the application must also state the grounds on which the claimant believes that there is between the claimant and the defendant a real issue which it is reasonable for the court to try.

(3)The court will not give permission unless satisfied that England and Wales is the proper place in which to bring the claim.

(4)In particular, where—

(a)the application is for permission to serve a claim form in Scotland or Northern Ireland; and

(b)it appears to the court that the claimant may also be entitled to a remedy in Scotland or Northern Ireland, the court, in deciding whether to give permission, will—

(i)compare the cost and convenience of proceeding there or in the jurisdiction; and

(ii)(where relevant) have regard to the powers and jurisdiction of the Sheriff court in Scotland or the County Court or courts of summary jurisdiction in Northern Ireland.

(5)Where the court gives permission to serve a claim form out of the jurisdiction—

(a)it will specify the periods within which the defendant may—

(i)file an acknowledgment of service;

(ii)file or serve an admission;

(iii)file a defence; or

(iv)file any other response or document required by a rule in another Part, any other enactment or a practice direction; and

(b)it may give directions about the method of service.

(The periods referred to in paragraphs (5)(a)(i), (ii) and (iii) are those specified in the Table in Practice Direction 6B.)

Service of documents other than the claim form - permission

6.38.Any application notice issued or order made in any proceedings, or other document which is required to be served in the proceedings, may be served on a defendant out of the jurisdiction without permission where—

(a)the claim form has been served on the defendant out of the jurisdiction with permission; or

(b)permission is or was not required to serve the claim form (whether within or out of the jurisdiction).

Service of application notice on a non-party to the proceedings

6.39.—(1)Where an application notice is to be served out of the jurisdiction on a person who is not a party to the proceedings rules 6.35 and 6.37(5)(a)(i), (ii) and (iii) do not apply.

(2)Where an application is served out of the jurisdiction on a person who is not a party to the proceedings, that person may make an application to the court under Part 11 as if that person were a defendant, but rule 11(2) does not apply.

(Part 11 contains provisions about disputing the court’s jurisdiction.)

Methods of service - general provisions

6.40.—(1)This rule contains general provisions about the method of service of a claim form or other document on a party out of the jurisdiction.

Where service is to be effected on a party in Scotland or Northern Ireland

(2)Where a party serves a claim form or other document on a party in Scotland or Northern Ireland, it must be served by a method permitted by Section II (and references to “jurisdiction” in that Section are modified accordingly) or Section III of this Part and rule 6.23(4) applies.

Where service is to be effected on a party out of the United Kingdom

(3)Where a party wishes to serve a claim form or ... other document on a party out of the United Kingdom, it may be served—

(a)by any method provided for by—

(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ii)rule 6.42 (service through foreign governments, judicial authorities and British Consular authorities); or

(iii)rule 6.44 (service of claim form or other document on a State);

(b)by any method permitted by a Civil Procedure Conventionor Treaty; or

(c)by any other method permitted by the law of the country in which it is to be served.

(4)Nothing in paragraph (3) or in any court order authorises or requires any person to do anything which is contrary to the law of the country where the claim form or other document is to be served.

(The texts of the Civil Procedure Treaties which the United Kingdom has entered into may be found on the Foreign and Commonwealth Office website at http://www.fco.gov.uk/en/publications-and-documents/treaties/lists-treaties/bilateral-civil-procedure.)

Service in accordance with the Service Regulation

6.41. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Service through foreign governments, judicial authorities and British Consular authorities

6.42.—(1)Where a party wishes to serve a claim form or any other document ... in any country which is a party to a Civil Procedure Conventionor Treaty providing for service in that country, it may be served—

(a)through the authority designated under the Hague Convention or any other Civil Procedure Convention or Treaty (where relevant) in respect of that country; or

(b)if the law of that country permits—

(i)through the judicial authorities of that country, or

(ii)through a British Consular authority in that country (subject to any provisions of the applicable convention about the nationality of persons who may be served by such a method).

(2)Where a party wishes to serve a claim form or any other document ... in any country with respect to which there is no Civil Procedure Conventionor Treaty providing for service in that country, the claim form or other document may be served, if the law of that country so permits—

(a)through the government of that country, where that government is willing to serve it; or

(b)through a British Consular authority in that country.

(3)Where a party wishes to serve the claim form or other document in—

(a)any Commonwealth State which is not a party to the Hague Convention or is such a party but HM Government has not declared acceptance of its accession to the Convention;

(b)the Isle of Man or the Channel Islands; or

(c)any British overseas territory,

the methods of service permitted by paragraphs (1)(b) and (2) are not available and the party or the party’s agent must effect service direct, unless Practice Direction 6B provides otherwise.

(A list of British overseas territories is reproduced in paragraph 5.2 of Practice Direction 6B.)

Procedure where service is to be through foreign governments, judicial authorities and British Consular authorities

6.43.—(1)This rule applies where a party wishes to serve a claim form or any other document under rule 6.42(1) or 6.42(2).

(2)Where this rule applies, that party must file—

(a)a request for service of the claim form or other document specifying one or more of the methods in rule 6.42(1) or 6.42(2);

(b)a copy of the claim form or other document;

(c)any other documents or copies of documents required by Practice Direction 6B; and

(d)any translation required under rule 6.45.

(3)Where a party files the documents specified in paragraph (2), the court officer will—

(a)seal (GL) the copy of the claim form or other document; and

(b)forward the documents to the Senior Master.

(4)The Senior Master will send documents forwarded under this rule—

(a)where the claim form or other document is being served through the authority designated under the Hague Convention or any other Civil Procedure Convention or Treaty, to that authority; or

(b)in any other case, to the Foreign, Commonwealth and Development Office with a request that it arranges for the claim form or other document to be served.

(5)An official certificate which—

(a)states that the method requested under paragraph (2)(a) has been performed and the date of such performance;

(b)states, where more than one method is requested under paragraph (2)(a), which method was used; and

(c)is made by—

(i)a British Consular authority in the country where the method requested under paragraph (2)(a) was performed;

(ii)the government or judicial authorities in that country; or

(iii)the authority designated in respect of that country under the Hague Convention a Civil Procedure Convention or Treaty,

is evidence of the facts stated in the certificate.

(6)A document purporting to be an official certificate under paragraph (5) is to be treated as such a certificate, unless it is proved not to be.

Service of claim form or other document on a State

6.44.—(1)This rule applies where a party wishes to serve the claim form or other document on a State.

(2)In this rule, “State” has the meaning given by section 14 of the State Immunity Act 1978.

(3)The party must file in the Central Office of the Royal Courts of Justice—

(a)a request for service to be arranged by the Foreign, Commonwealth and Development Office;

(b)a copy of the claim form or other document; and

(c)any translation required under rule 6.45.

(4)The Senior Master will send the documents filed under this rule to the Foreign, Commonwealth and Development Office with a request that it arranges for them to be served.

(5)An official certificate by the Foreign, Commonwealth and Development Office stating that a claim form or other document has been duly served on a specified date in accordance with a request made under this rule is evidence of that fact.

(6)A document purporting to be such a certificate is to be treated as such a certificate, unless it is proved not to be.

(7)Where—

(a)section 12(6) of the State Immunity Act 1978 applies; and

(b)the State has agreed to a method of service other than through the Foreign, Commonwealth and Development Office,

the claim form or other document may be served either by the method agreed or in accordance with this rule.

(Section 12(6) of the State Immunity Act 1978 provides that section 12(1) enables the service of a claim form or other document in a manner to which the State has agreed.)

Translation of claim form or other document

6.45.—(1)Except where paragraph (4) or (5) applies, every copy of the claim form or other document filed under rule 6.43 (service through foreign governments, judicial authorities etc.) or 6.44 (service of claim form or other document on a State) must be accompanied by a translation of the claim form or other document.

(2)The translation must be—

(a)in the official language of the country in which it is to be served; or

(b)if there is more than one official language of that country, in any official language which is appropriate to the place in the country where the claim form or other document is to be served.

(3)Every translation filed under this rule must be accompanied by a statement by the person making it that it is a correct translation, and the statement must include that person’s name, address and qualifications for making the translation.

(4)A party is not required to file a translation of a claim form or other document filed under rule 6.43 (service through foreign governments, judicial authorities etc.) where the claim form or other document is to be served—

(a)in a country of which English is an official language; or

(b)on a British citizen (within the meaning of the British Nationality Act 1981),

unless a Civil Procedure Conventionor Treaty requires a translation.

(5)A party is not required to file a translation of a claim form or other document filed under rule 6.44 (service of claim form or other document on a State) where English is an official language of the State in which the claim form or other document is to be served.

...

Undertaking to be responsible for expenses

6.46.Every request for service filed under rule 6.43 (service through foreign governments, judicial authorities etc.) or rule 6.44 (service of claim form or other document on a State) must contain an undertaking by the person making the request—

(a)to be responsible for all expenses incurred by the Foreign, Commonwealth and Development Office or foreign judicial authority; and

(b)to pay those expenses to the Foreign, Commonwealth and Development Office or foreign judicial authority on being informed of the amount.

Proof of service before obtaining judgment

6.47.Where—

(a)a hearing is fixed when the claim form is issued;

(b)the claim form is served on a defendant out of the jurisdiction; and

(c)that defendant does not appear at the hearing,

the claimant may not obtain judgment against the defendant until the claimant files written evidence that the claim form has been duly served in accordance with this Part.

V SERVICE OF DOCUMENTS FROM FOREIGN COURTS OR TRIBUNALS

Scope of this Section

6.48.This Section—

(a)applies to the service in England and Wales of any document in connection with civil or commercial proceedings in a foreign court or tribunal;...

(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Interpretation

6.49.In this Section—

(a)“convention country” means a country in relation to which there is a Civil Procedure Convention (which has the same meaning as in rule 6.31(c));

(b)“foreign court or tribunal” means a court or tribunal in a country outside of the United Kingdom; and

(c)“process server” means—

(i)a process server appointed by the Lord Chancellor to serve documents to which this Section applies, or

(ii)the process server’s agent.

Request for service

6.50.The Senior Master will serve a document to which this Section applies upon receipt of—

(a)a written request for service—

(i)where the foreign court or tribunal is in a convention country, from a consular or other authority of that country; or

(ii)from the Secretary of State for Foreign, Commonwealth and Development Affairs, with a recommendation that service should be effected;

(b)a translation of that request into English;

(c)two copies of the document to be served; and

(d)unless the foreign court or tribunal certifies that the person to be served understands the language of the document, two copies of a translation of it into English.

Method of service

6.51.The Senior Master will determine the method of service.

After service

6.52.—(1)Where service of a document has been effected by a process server, the process server must—

(a)send to the Senior Master a copy of the document, and

(i)proof of service; or

(ii)a statement why the document could not be served; and

(b)if the Senior Master directs, specify the costs incurred in serving or attempting to serve the document.

(2)The Senior Master will send to the person who requested service—

(a)a certificate, sealed with the seal of the Senior Courts for use out of the jurisdiction, stating—

(i)when and how the document was served or the reason why it has not been served; and

(ii)where appropriate, an amount certified by a costs judge to be the costs of serving or attempting to serve the document; and

(b)a copy of the document.

PART 7HOW TO START PROCEEDINGS—THE CLAIM FORM

Where to start proceedings

7.1 Restrictions on where proceedings may be started are set out in the relevant practice directions supplementing this Part .

Claims against Welsh public bodies to be issued and heard in Wales

7.1A.Unless required otherwise by any enactment, rule or practice direction, any claim against Welsh public bodies which challenges the lawfulness of their decisions must be issued and heard in Wales.

Claims against Welsh public bodies to be forwarded for issue in Wales

7.1B.If a court or centre in England receives a claim which should pursuant to rule 7.1A be issued in Wales a court officer shall forward it for issue in the Administrative Court Office in Wales or other appropriate court office in Wales.

How to start proceedings

7.2—(1) Proceedings are started when the court issues a claim form at the request of the claimant.

(2) A claim form is issued on the date entered on the form by the court.

(A person who seeks a remedy from the court before proceedings are started or in relation to proceedings which are taking place, or will take place, in another jurisdiction must make an application under Part 23)

(Part 16 sets out what the claim form must include)

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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2APractice Direction 7A makes provision for procedures to be followed when claims are brought by or against a partnership within the jurisdiction.

Right to use one claim form to start two or more claims

7.3 A claimant may use a single claim form to start all claims which can be conveniently disposed of in the same proceedings.

Particulars of claim

7.4—(1) Particulars of claim must—

(a)be contained in or served with the claim form; or

(b)subject to paragraph (2) be served on the defendant by the claimant within 14 days after service of the claim form.

(2) Particulars of claim must be served on the defendant no later than the latest time for serving a claim form.

(Rule 7.5 sets out the latest time for serving a claim form)

(3)Where the claimant serves particulars of claim on the defendant, the claimant must, within 7 days of service on the defendant, file a copy of the particulars unless a copy has already been filed.

(4)The claimant need not file a copy of the particulars of claim under paragraph (3) if the claim is being dealt with at the Production Centre (under rule 7.10) or the Civil National Business Centre (under Practice Direction 7C) and is not transferred to another court.

(Part 16 sets out what the particulars of claim must include)

• (Part 22 requires particulars of claim to be verified by a statement of truth)

• ...

Service of a claim form

7.5—(1)Where the claim form is served within the jurisdiction, the claimant must complete the step required by the following table in relation to the particular method of service chosen, before 12.00 midnight on the calendar day four months after the date of issue of the claim form.

(2)Where the claim form is to be served out of the jurisdiction, the claim form must be served in accordance with Section IV of Part 6 within 6 months of the date of issue.

Extension of time for serving a claim form

7.6—(1)The claimant may apply for an order extending the period for compliance with rule 7.5.

(2)The general rule is that an application to extend the time for compliance with rule 7.5 must be made—

(a)within the period specified by rule 7.5; or

(b)where an order has been made under this rule, within the period for service specified by that order.

(3)If the claimant applies for an order to extend the time for compliance after the end of the period specified by rule 7.5 or by an order made under this rule, the court may make such an order only if—

(a)the court has failed to serve the claim form; or

(b)the claimant has taken all reasonable steps to comply with rule 7.5 but has been unable to do so; and

(c)in either case, the claimant has acted promptly in making the application.

(4)An application for an order extending the time for compliance with rule 7.5—

(a)must be supported by evidence; and

(b)may be made without notice.

Application by defendant for service of claim form

7.7—(1) Where a claim form has been issued against a defendant, but has not yet been served on him, the defendant may serve a notice on the claimant requiring him to serve the claim form or discontinue the claim within a period specified in the notice.

(2) The period specified in a notice served under paragraph (1) must be at least 14 days after service of the notice.

(3) If the claimant fails to comply with the notice, the court may, on the application of the defendant—

(a)dismiss the claim; or

(b)make any other order it thinks just.

Form for defence etc. must be served with particulars of claim

7.8—(1) When particulars of claim are served on a defendant, whether they are contained in the claim form, served with it or served subsequently, they must be accompanied by—

(a)a form for defending the claim;

(b)a form for admitting the claim; and

(c)a form for acknowledging service.

(2) Where the claimant is using the procedure set out in Part 8 (alternative procedure for claims)—

(a)paragraph (1) does not apply; and

(b)a form for acknowledging service must accompany the claim form.

Fixed date and other claims

7.9 A practice direction—

(a)may set out the circumstances in which the court may give a fixed date for a hearing when it issues a claim;

(b)may list claims in respect of which there is a specific claim form for use and set out the claim form in question; and

(c)may disapply or modify these Rules as appropriate in relation to the claims referred to in paragraphs (a) and (b).

Production Centre for claims

7.10—(1) There shall be a Production Centre for the issue of claim forms and other related matters.

(2)Practice Direction7B makes provision for—

(a)which claimants may use the Production Centre;

(b)the type of claims which the Production Centre may issue;

(c)the functions which are to be discharged by the Production Centre;

(d)the place where the Production Centre is to be located; and

(e)other related matters.

(3)Practice Direction7B may disapply or modify these Rules as appropriate in relation to claims issued by the Production Centre.

Human Rights

7.11—(1)A claim under section 7(1)(a) of the Human Rights Act 1998 in respect of a judicial act may be brought only in the High Court.

(2)Any other claim under section 7(1)(a) of that Act may be brought in any court.

Electronic issue of claims

7.12.—(1)A practice direction may permit or require a claimant to start a claim by requesting the issue of a claim form electronically.

(2)The practice direction may, in particular—

(a)specify—

(i)the types of claim which may be issued electronically; and

(ii)the conditions which a claim must meet before it may be issued electronically;

(b)specify—

(i)the court where the claim will be issued; and

(ii)the circumstances in which the claim will be transferred to another court;

(c)provide for the filing of other documents electronically where a claim has been started electronically;

(d)specify the requirements that must be fulfilled for any document filed electronically; and

(e)provide how a fee payable on the filing of any document is to be paid where that document is filed electronically.

(3)The practice direction may disapply or modify these Rules as appropriate in relation to claims started electronically.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PART 8ALTERNATIVE PROCEDURE FOR CLAIMS

Types of claim in which the Part 8 procedure is used

8.1—(1)The Part 8 procedure is the procedure set out in this Part.

(2)A claimant may, unless any enactment, rule or practice direction states otherwise, use the Part 8 procedure where they seek the court’s decision on a question which is unlikely to involve a substantial dispute of fact.

(3)In the County Court, a claim under the Part 8 procedure may be made at any County Court hearing centre unless an enactment, rule or practice direction states otherwise.

(4)The court may at any stage order the claim to continue as if the claimant had not used the Part 8 procedure and, if it does so, the court may give any directions it considers appropriate.

(5)Where the claimant uses the Part 8 procedure, they may not obtain default judgment under Part 12.

(6)A rule or practice direction may, in relation to a specified type of proceedings, disapply or modify any of the rules set out in this Part as they apply to those proceedings.

(Rule 8.9 provides for other modifications to the general rules where the Part 8 procedure is being used.)

Contents of the claim form

8.2 Where the claimant uses the Part 8 procedure the claim form must state—

(a)that this Part applies;

(b)(i)the question which the claimant wants the court to decide; or

(ii)the remedy which the claimant is seeking and the legal basis for the claim to that remedy;

(c)if the claim is being made under an enactment, what that enactment is;

(d)if the claimant is claiming in a representative capacity, what that capacity is; and

(e)if the defendant is sued in a representative capacity, what that capacity is.

(Part 22 provides for the claim form to be verified by a statement of truth)

(Rule 7.5 provides for service of the claim form)

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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Issue of claim form without naming defendants

8.2A—(1)A practice direction may set out the circumstances in which a claim form may be issued under this Part without naming a defendant.

(2)The practice direction may set out those cases in which an application for permission must be made by application notice before the claim form is issued.

(3)The application notice for permission—

(a)need not be served on any other person; and

(b)must be accompanied by a copy of the claim form that the applicant proposes to issue.

(4)Where the court gives permission it will give directions about the future management of the claim.

Acknowledgment of service

8.3—(1) The defendant must—

(a)file an acknowledgment of service in the relevant practice form not more than 14 days after service of the claim form; and

(b)serve the acknowledgment of service on the claimant and any other party.

(2) The acknowledgment of service must state—

(a)whether the defendant contests the claim; and

(b)if the defendant seeks a different remedy from that set out in the claim form, what that remedy is.

(3) The following rules of Part 10 (acknowledgment of service) apply—

(a)rule 10.3(2) (exceptions to the period for filing an acknowledgment of service); and

(b)rule 10.5 (contents of acknowledgment of service).

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Consequence of not filing an acknowledgment of service

8.4—(1) This rule applies where—

(a)the defendant has failed to file an acknowledgment of service; and

(b)the time period for doing so has expired.

(2) The defendant may attend the hearing of the claim but may not take part in the hearing unless the court gives permission.

Filing and serving written evidence

8.5—(1)When the claimant files the claim form, they must also file any written evidence on which they intend to rely.

(2)The claimant must serve their written evidence on the defendant with the claim form.

(3)A defendant who wishes to rely on written evidence must file it when they file their acknowledgment of service.

(4)If they do so, they must also, at the same time, serve a copy of their evidence on the other parties.

(5)The claimant may, within 14 days of service of the defendant’s evidence on them, file further written evidence in reply.