Chapter 6: Statements of case Flashcards
General rules in relation to statements of case
Statements of case are crucial documents. In broad terms, they are the documents by which a
claimant sets out the factual basis of its claim and the relief sought, and the defendant gives its
own position in relation to the alleged facts and the alleged entitlement to relief.
1 General rules in relation to statements of case
We will start by looking at the rules and PD guidance governing the format and content of
statements of case common to all statements of case. Every statement of case will be set out in a similar way, with a formal case heading at the top, and a statement of truth at the end. The rest
of the contents will be set out in a uniform manner as prescribed by the rules.
1.1 Why do statements of case matter?
Statements of case are important documents. They need to be concise, clear and correct and
they must comply with all necessary content requirements as prescribed by the CPR. They must
also be in the correct format.
1.1 Why do statements of case matter?
If a statement of case does not comply it might require formal amendment. This will often require
the input of the court, giving permission, and will have a knock on impact on other statements of
case, which will also require amendment by the other parties. Even if the claim can proceed
without formal amendment to the statement of case, the deficiency will often cause time to be
wasted by the court and parties in working around the problem.
1.1 Why do statements of case matter? - Costs and Consequences for Parties
There will be costs consequences for parties who serve deficient statements of case causing any
of these issues, not to mention tactical disadvantages, some of which could be very serious.
1.2 Case heading
Every statement of case must be headed with the title of the proceedings. The title will be set out as in the example below and must include (7A PD 4.1):
1.3 Rules applicable to all statements of case
Court documents are all presented in a uniform way. Every statement of case must contain (5A
PD 2):
* Numbered paragraphs;
* Pages numbered consecutively;
* All numbers and dates in figures (eg ‘The property was purchased for £23,000 on 29 March
1965’);
* Reference in the margin to every document mentioned that has already been filed at court;
* The name of the person who drafted the document (the statement of case will therefore
contain the name of an individual barrister or the firm of solicitors); and
* A statement of truth (explained on the next page).
1.4 Statement of truth
Every statement of case needs a statement of truth (CPR 22.1(1)(a)). A party’s statement of case
can be used as evidence in the proceedings only if verified by a statement of truth.
1.4 Statement of truth
A statement of truth is a formal way of the person signing confirming that they believe that the
document is true. If the document turns out to contain a false statement and the person signing
the statement of truth does not have an honest belief that the statement was true, then
proceedings for contempt of court may be brought against the person signing. This can lead to
sanctions within the proceedings, fines and/or imprisonment in serious cases (CPR 32.14).
Example 1: Statement of truth where the party is an individual
I believe that the facts stated in this claim form are true.
Example 2: Statement of truth where the party is a company
The defendant believes that the facts stated in this defence are true. I am duly authorised by the
defendant to sign this statement….
Example 3: And in every statement of truth, after either the Example 1 or Example 2 wording
….I understand that proceedings for contempt of court may be brought against anyone who
makes, or causes to be made, a false statement in a document verified by a statement of truth
without an honest belief in its truth.
1.5 Summary
- Statements of case are key documents by which the parties set out their position in relation to
the factual basis of the claim and the claimant’s entitlement to relief. - Every statement of case must be headed with the title of the proceedings.
- All statements of case must comply with uniform standard formatting rules.
1.5 Summary
- Every statement of case needs a statement of truth.
- The statement of truth is the formal way of confirming that the contents of statements of case
are true. Proceedings for contempt of court may be brought against anyone signing a statement of truth without believing the contents of the document to be true.
2.1 Claim form - purpose
The claim form is the document used to commence proceedings and to set out key elements of the
claim, in particular the identity of the parties. It is the first statement of case. The claim form is
prepared by the claimant.
2.2 Claim form - structure
The claim form is usually on Form N1 (7A PD 3.1) – so the form dictates the structure and guides
the content to be included.
Note that special forms might apply in specialist proceedings (eg in the Commercial Court).
2.3 Claim form - contents
Exercise: Read alongside:
Access court form N1 from https://www.gov.uk/government/collections/court-and-tribunal-forms
and read the below alongside the form.
2.3.1 Parties
The claim form must contain the names of the parties and their addresses. The parties must be
referred to in a particular way. If a party is claiming or being sued in a representative capacity, the claim form must state what that capacity is – otherwise the people allegedly represented may not be bound by any decision the court makes.
Examples of names in the correct format are shown below:
2.3.2 Addresses
The parties’ addresses are the addresses for service, but the claimant must also indicate an
address where it resides or carries on business, if different (16 PD 2.2).
2.3.3 Claim details
The claimant is required to include brief details of their claim. This should include:
* A concise statement of the nature of the claim. This is a very brief summary of the type of
claim. This statement is not to be confused with the particulars of claim, which must either be
set out later in the claim form or in a separate document.
* The remedy sought by the claimant. Although this is required, the court has the power to grant
any remedy to which the claimant is entitled (not just the remedy sought by the claimant in
the claim form). It is not necessary to expressly include a claim for costs (CPR 16.2).
2.3.4 Value of claim form
Where the claimant is making a claim for money, the claim form must include a statement of the
amount claimed (CPR 16.3). The statement of value can be set out in any one of three ways:
(a) Where the amount of the claim is specified, the statement of value can simply state this amount; or
(b) Where the amount of the claim is for an unspecified amount (such as a claim in tort for damages), then the claim form can either have:
2.3.4 Value of claim form
A statement saying: ‘The claimant expects to recover less than £10,000’, ‘…between £10,000 -
£25,000’ or ‘…more than £25,000’ (this information is used to provisionally allocate a claim to
a track – explained in the sections relating to case management); OR
A statement saying: ‘I cannot say how much I expect to recover’.
2.3.4 Value of claim form
The court’s power is not limited by the claimant’s statement of value in the claim form; the court
can give judgment for whatever amount (if any) it finds the claimant is entitled to (CPR 16.3(7)).
In a personal injury claim, the claimant must state whether the amount which the claimant
expects to recover for pain, suffering and loss of amenity is or is not more than £1,000.
2.3.4 Value of claim form
Sometimes the claimant has a choice whether to issue the claim in the County Court or High
Court. If the High Court is chosen in this situation, a special ‘jurisdictional endorsement’ must be included in the claim form (CPR 16.3(5). In relation to a claim for money, if the claim form is to be
issued in the High Court it must:
2.3.4 Value of claim form
- state that the claimant expects to recover more than £100,000;
- state that some other enactment provides that the claim may be commenced only in the High Court and specify that enactment;
- if the claim is a claim for personal injuries state that the claimant expects to recover £50,000
or more; or - state that the claim is to be in one of the specialist High Court lists and state which list
2.3.4 Value of claim form
The effect of the provisions referred to above is that if a claimant is making a non-personal injury claim for over £100,000 in the High Court, it will, when stating the value of the claim in the claim
form:
* state the exact amount of the claim; and
* then state that the claimant expects to recover more than £100,000 to comply with CPR
16.3(5).
Note. In working out the value of the claim for the purposes of the statement of value in the claim
form, no account is taken of:
- interest;
- costs;
- counterclaims;
- set-off;
- contributory negligence; or
- state benefits the defendant may be liable to pay under the Social Security (Recovery of
Benefits) Act 1997.
2.3.5 Particulars of claim (attached)(to follow)
You will consider the statement of case known as the particulars of claim in a separate section.
This is the statement of case where the claimant sets out its case in detail. In anything other than very simple cases, the particulars of claim will be a separate stand-alone document. However, there is space to include the particulars of claim on the claim form itself
where they are relatively concise eg in a simple debt claim.
If the particulars of claim are in the form of a separate document this will either:
- Be attached to claim form (in which case the claim form will say ‘particulars of claim attached’
here); or - Be sent separately to the claim form, up to 14 days after service of the claim form (the claim form will state ‘particulars of claim to follow’). If the particulars of claim are served separately from the claim form, they must contain the claimant’s address for service. The claimant’s address for service is normally at the end of the particulars.
2.4 Summary
- The claim form is the first statement of case and also starts the claim off.
- It sets out key elements of the claim, in particular the identity of the parties.
- The claim form must contain:
- the parties’ names and addresses
- brief details of the claim and remedy
- a statement of the value of the claim and;
- where the High Court has been chosen, a jurisdictional endorsement.
- Particulars of claim are usually contained in a separate document, but they can be included in the claim form where they are relatively concise.
3 Particulars of claim
3.1 Particulars of claim - purpose
The particulars of claim set out the claimant’s case in full detail, as opposed to the brief statement
on the front of the claim form which simply sets out the nature of the claim and the remedy sought.
This is the claimant’s main statement of case and will be referred to by the court and all parties as such eg when identifying the basis of the claimant’s claim.
As with other statements of case, there are certain requirements regarding the contents of the
particulars of claim, some of which vary depending upon the subject matter of the claim itself.
3.2 Particulars of claim - contents
3.2.1 General
The particulars of claim must include ‘a concise statement of the facts on which the claimant relies’ (CPR 16.4(1)(a)) and must cover the essential elements of the claimant’s cause (or causes) of
action.
The particulars of claim must therefore set out all the material facts and allegations which, if
proved by evidence, would entitle the claimant to the remedy it seeks as a matter of law. In addition, the particulars of claim should set out any facts that ‘tell the story’ and assist the reader in understanding the case, ie background facts.
3.2.1 General
In most cases, this will mean that the particulars of claim will need to articulate the material facts
and allegations showing a duty owed by the defendant to the claimant, breach of that duty, and
that the breach caused recoverable loss. Clearly there are different ways that such matters can
be expressed, and the drafting of particulars of claim is more than solely a technical skill.
3.2.1 General
It is not the purpose of particulars of claim to set out law, evidence or arguments. Evidence is provided at a later stage (primarily through exchange of documents and witness statements). Law is argued by the advocate in their submissions.
3.2.2 Specific
The CPR sets out the following requirements for the particulars of claim in specific types of claim
and situations:
* The particulars of claim should set out any claim for aggravated damages, exemplary
damages and/or provisional damages, giving the grounds for claiming them (CPR 16.4).
* In personal injury claims, the particulars should include the claimant’s date of birth, details of
his/her injuries, and attach a schedule of past and future expenses losses and the report of
any expert medical practitioner which is relied on (16 PD 4).
3.2.2 Specific
- A claim in relation to the possession, occupation, use or enjoyment of land, or for an injunction or declaration in relation to land, must identify the land and make clear whether it includes
residential premises (16 PD 7.1). - Where the claim is based on a written agreement, it should be attached (with any general
conditions which are incorporated) (16 PD 7.3).
3.2.2 Specific
- Where the claim is based on an oral agreement, the particulars should set out the words
spoken, by whom, to whom, when and where (16 PD 7.4). - Where the claim is based on an agreement by conduct, the particulars should set out the
conduct relied on and state by whom, when and where the acts were done (16 PD 7.5).
3.2.2 Specific
There are detailed rules on the inclusion of information in relation to past convictions, fraud,
illegality, unsoundness of mind (16 PD 8).
Any human rights arguments relied upon / relief sought (16 PD 14) must be included in the
particulars of claim.
3.3 Particulars of claim – contents – interest
A claimant has a right to claim interest on the principal amount being claimed. This is to
compensate for the delay in receiving the money due to them (assuming they win the claim). If
the claimant does seek interest, a statement to that effect and the details must be set out in the
particulars of claim.
3.3.1 Legal basis of claim for interest
The legal basis for claiming interest may be either:
* set out in a contract between the parties or, failing that,
* there is a statutory right to interest (under section 35A Senior Courts Act 1981 in the High Court
and section 69 County Courts Act 1984 in the County Court).
There are two ways of setting out the paragraph(s) claiming interest:
* Calculating exactly the amount of interest claimed; or
* Claiming (‘pleading’) the interest generally.
3.3.2 Exact calculation
This method is only used in practice if the claimant is making a specified claim (ie a debt or a
specified/liquidated damages claim). In pleading interest on a specified claim, you would need to
set out:
* the applicable percentage rate,
* the dates from/to which interest is being claimed,
* the total amount claimed up to the issue of the claim form, and
* the daily rate of interest thereafter
3.3.3 Pleading interest generally
This method is used if the claimant is pursuing an unspecified claim, ie where the court has some
decision to make on the amount of damages because the parties do not agree the amount.
Certain types (or ‘heads’) of damage will naturally fall into this category, eg:
* loss of goodwill or damage to reputation (which can usually only be estimated),
* loss of future earnings or profits, and
* any damages where remoteness, foreseeability and/or mitigation is an issue.
Example: Specified claim
The Claimant also claims interest pursuant to clause 2.3 of the contract from the due date of the
invoice to today’s date at the rate of 8% per annum in the total sum of £701.37.
Particulars of Interest
8% of £100,000 for the period 1 January [year] to 1 February [year] inclusive (32 days at the daily
rate of £21.92) = £701.37.
Further, the Claimant claims interest as above from today’s date until judgment or earlier
payment at a daily rate of £21.92.
Example: Unspecified claim
The Claimant claims interest on the damages referred to in paragraph 12 above pursuant to
section 35A Senior Courts Act 1981 at such rate and for such period as the court thinks fit.