Statements of Case

Question 1

What are the Different Statements of Case?

Answer 1

Always:

• Claim Form.
• Particulars of Claim.
• Defence.

Occassionaly:

• Counterclaim.
• Defence to Counterclaim.
• Reply.

Question 2

How should Statements of Case be Formatted?

Answer 2

• Headed with the Title of Proceedings, stating the Court, Claim Number, and Parties.
• Name of draftsperson.
• Numbered pages and paragraphs.
• Numerical representation of all dates and figures.
• Reference in margins whenever a mentioned document has already been filed at court.
• Concluded with a Statement of Truth, confirming the Party’s belief in the above content’s truth.

5A PD 2.

A Party’s Statement of Case can only be used as evidence in the proceedings if verified by a Statement of Truth.

Question 3

What must the Claim Form contain?

Answer 3

• The Parties’ names and addresses;
• A synopsis of the Claim and remedies;
• A statement on the Claim’s value; and
• A jurisdictional endorsement if the High Court has been chosen.

Question 4

What must the Particulars of Claim contain?

Answer 4

• The Claim’s cause of action (Duty, Breach, Causation, Loss) and material facts;
• Remedies sought, included in the Prayer:
  
  • Where damages or interest are sought, the underlying calculations should be clarified elsewhere.
• Exigent documents, e.g. contracts.

16 PD 4, 7, 8.

PI Claims must include the Claimant’s date of birth, details of their injuries, a schedule of past and future expenses and losses, and copies of any expert medical evidence relied upon.

Property Claims must include details of the Land and whether it is residential.

Question 5

What is the Scope of Judicial Discretion regarding Statutory Interest Awards?

Answer 5

General Discretion:

• The Court has discretion on whether to award Statutory Interest, and if so, how much.
• Interest would run from the Cause of Action to the earlier of the Judgment or Payment.

When the Court Must Grant Statutory Interest:

• PI Claims where Damages exceed £200, although how much is discretionary.
• Debt Claims where the Defendant satisfies the Debt during Proceedings, although how much is discretionary.

Senior Courts Act 1981 — s. 35A | County Courts Act 1984 — s. 69.

Question 6

In a Defence, how may the Defendant address each Allegation?

Answer 6

• Admit.
• Request proof.
• Deny, with reasons as to why.

Question 7

When should a Defendant Admit an Allegation?

Answer 7

When it is undisputable or uncontroversial.

There can be cost consequences for failing to do so.

Question 8

When should the Defendant Request Proof instead of Denying?

Answer 8

When it is unable to Admit or Deny because it lacks knowledge of the alleged facts.

For reference, you can Deny and Request Proof.

Question 9

What are the Consequences of Failing to Address an Allegation in a Defence?

Answer 9

• The Defendant is deemed to Admit it; unless
• It addresses the given issue through outlining the nature of its case.

CPR 16.5.

In a Money Claim, however, no such presumption arises unless the Defendant specifically Admits. Thoroughness is still best practice.

Question 10

Aside from the Allegations, which Issues must the Defence also address?

Answer 10

Use of the Limitation Defence:

• If using the Limitation Defence, the Defence must state its believed Limitation Date.

Dispute over the Claim Value:

• If disputing the Claim Value, the Defence must explain why and offer a well-explained counter-estimate.
• This includes issues of set-off or mitigation and reduction of damages.

Presentation of Additional Facts:

• If in possession of material facts not included in the Claimant’s documents, the Defence must include them.

Further Requisites in Personal Injury Cases:

• The Defence must state, with evidence, whether it agrees, disputes, or has no knowledge of the Claimant’s expenses and losses or any medical evidence.

Question 11

What is a Counterclaim?

Answer 11

A separate claim by the Defendant against the Claimant.

CPR 20.4(1)-(2).

A Counterclaim must satisfy the same criteria as an ordinary Claim. It may allege a different cause of action, but the same Parties must be involved.

If the Court does not believe it should be heard with the Original Claim, it can order that it be struck out or heard separately.

Question 12

Alongside which Document is a Counterclaim usually Filed?

Answer 12

The Defence, although if Filed later, Court permission is necessary.

CPR 15.7, 20.4(2).

Despite being separate claims, they are handled in the same proceedings.

Question 13

What is Set Off?

Answer 13

A Defence in the Original Claim that nets obligations owed by the Claimant and Defendant to one another.

Question 14

When does Set Off apply?

Answer 14

Mutual Debts:

• Where both Parties owe each other money, the Debts may be set off against one another.

Defective Goods:

• Where a Claim is made for the price of goods sold and delivered, the Defendant can Set Off a Claim for Damages for poor quality and fitness for purpose.

Defective Services:

• Where a Claim is made for the price of services rendered, the Defendant can Set Off a Claim for damages for poor quality and fitness for purpose.

Equitble Set-Off:

• There is such a close connection between two transactions that it would be manifestly unjust to allow enforcement of one Claim without taking into account the other.

Question 15

Where should Set Off be established?

Answer 15

In the Defence section of the Defence and Counterclaim.

Question 16

What is a Defence to Counterclaim?

Answer 16

A Defence by the Claimant against the Defendant’s Counterclaim.

Question 17

What is the Time Limit for serving a Defence to Counterclaim?

Answer 17

14 Days from Service.

CPR 15.

All the usual rules for Serving a Defence apply.

Question 18

What is a Reply?

Answer 18

• A Claimant-side Statement of Case in response to the Defence;
• Containing factual allegations in answer to the Defence which were not included in the Claim.

This is always accompanied by a Directions Questionnaire.

Question 19

What is the Deadline for Filing and Serving a Reply?

Answer 19

That perscribed by the Court for the Directions Questionnaire.

Question 20

When may a New Cause of Action, Claim, or Party be introduced into existing Proceedings?

Answer 20

When it is directly concerned with or closely connected to the existing proceedings, particularly the Original Claim.

Remember that the Limitation Rules still apply to these developments.

Question 21

What are the Various Types of Additional Claim?

Answer 21

• A Counterclaim by a Defendant against the Claimant.
• A Counterclaim by a Defendant against the Claimant and another person.
• An Additional Claim by a party that has itself been joined to the Main Proceedings by CPR 20.
• An Additional Claim by a Defendant against any party to the proceedings claiming a Contribution, an Indemnity, or some other Remedy.

Each of these is treated as a Claim unto itself, meaning rules on filing, serving, formatting, etc. must be observed.

Question 22

What is the Practical Implication of issuing a Counterclaim against the Claimant and another?

Answer 22

The Third Party would need to be joined into the Proceedings.

This assumes the existence of some connection between the claimant and Third Party regarding the Counterclaim.

Question 23

What is a Contribution?

Answer 23

A party’s right to recover from another what it is liable to pay, either partly or wholly.

Question 24

What is an Indemnity?

Answer 24

A party’s right to recover from another the whole of what it is liable to pay.

Question 25

What must exist for a Contribution or Indemnity Claim against an Existing Party to succeed?

Answer 25

• The Defendant must be seeking to recover funds for a sum it must pay to another.
• The Defendant must have a legal basis for its Claim.
• There must be at least one other party already involved in the action.

These principles, barring the last, apply equally to Claims for Contribution or Indemnity against a Third Party.

Question 26

When is Court Permission needed to pursue a Counterclaim or Additional Claim?

Answer 26

Not Required:

• Other Additional Claims: Issued before or contemporaneous with the Defence.
• Counterclaim Against the Claimant: Filed with the Defence.
• Contribution or Indemnity from Existing Party:
  • Filed and Served with the Defence; or
  • If made against a Party subsequently added to the Main Claim, within 28 days of its Defence.

Required:

• Other Additional Claims: Filed at any other time.
• Counterclaim Against a Third Pary: Always.
• Counterclaim Against the Claimant: Filed at any other time.
• Contribution or Indemnity from Existing Party: Filed at any other time.

Question 27

What is the Document for a Counterclaim against the Claimant?

Answer 27

A Particulars of Counterclaim.

Question 28

What is the Form for a Claim for Contribution or Indemnity from an Exisiting Party?

Answer 28

A Contribution Notice (Form PF22).

If done when the Court’s permission is not required, the notice is Filed and Served with the Defence.

Otherwise, the Court will give directions as to when it should be Served, usually 28 days.

Question 29

What is the Document for Other Additional Claims?

Answer 29

Form N211.

If done when the Court’s permission is not required, the Form should be Served within 14 Days of Issuance.

Otherwise, the Court will give directions as to when it should be served.

Question 30

If an Additional Claim is Served upon a Third Party, what must also be included?

Answer 30

• A Response Pack;
• A copy of every Statement of Case; and
• Any other documents the Court mandates.

A copy of the Additional Claim Form must also be Served on every Existing Party.

Question 31

How should Parties be Referred to in Court Documentation when there are Additional Claims?

Answer 31

• The Claimants and Defendants of the Main Claim must be referred to as such, even if they later acquire other hats.
• Additional Parties must be referred to in order of when they were joined to the Proceedings.

Question 32

Are Additional Claims subject to Default Judgments?

Answer 32

No, with the exception of:

• Counterclaims against the Claimant; and
• Claims for Contribution or Indemnity against another Defendant.

CPR 20.11(1)(a).

In all other cases, the Counterparty will be deemed to have admitted the Claim and will be bound by any relevant decision in the Proceedings.

Question 33

When may you Amend a Statement of Case without Court Permission?

Answer 33

The Document has not yet been Served.

CPR 17.1(1).

You can go as far as changing the Parties or the Cause of Action.

Question 34

After Service, when may a Statement of Case be Amended?

Answer 34

• With the Court’s permission.
• With the written consent of all Parties.

CPR 17.1(2)(a)-(b).

Generally, the Party making the amendment will bear all associated costs.

When an amended Statement is filed without Court permission, it should be endorsed with the words:

“Amended [Statement of Case] under CPR [Relevant CPR] dated …”

Question 35

What is the Procedure for Amending a Statement of Case with Court Permission?

Answer 35

1 —Notify the Court:

• The Applicant should file a Notice with the Court, together with a copy of the proposed Amended Statement of Case.

2.1 —Decision on Written Submissions:

• If all Parties consent to the Amendment, the Application will be decided on written submissions.

2.2 —Decision on Written Submissions:

• If all Parties do not consent, there will be a Hearing.
• If the Applicant is successful, the Court will give Directions on Amendments and Service Deadlines.
• Invariably, Copies must be Served on all Existing Parties.

CPR. 17.3.

When an amended Statement is filed with Court permission, it should be endorsed with the words:

“Amended [Statement of Case] by order of [the Justice] dated …”

Question 36

When will the Court grant Permission to Amend a Statement of Case?

Answer 36

When it furthers the Overriding Objective. Accordingly, an Application will be rejected if:

• It clearly has no prospect of success.
• It presents an inherently implausible account of facts.
• It introduces an allegation that is unsupported by evidence.
• It is unreasonably late in the Proceedings and the Applicant has no good justification for its tardiness.

Question 37

What is the Court’s Test for determining whether to permit an Amendment to Add, Remove, or Substitute a Party?

Answer 37

The Court asks if:

• It is desirable to add the Party so that it may resolve all matters in dispute;
• Whether between the Claimant and Defendant or either one and the Party.

CPR 19.2(2).

In its consideration, the Court will keep in mind the Overriding Objective and issues of cost, complexity, fairness, and the balance of Party interests.

Question 38

What is the further requisite for a New Claimant to be Added to ongoing Proceedings?

Answer 38

The Party must:

• Give their consent in writing; and
• File with the Court its written consent and the proposed Amended Statements of Claim.

CPR 19.4(4).

Question 39

Can Parties be Added or Substituted Post-Limitation?

Answer 39

Yes, but only if:

• The relevant Limitation Period was respected when the Proceedings commenced; and
• The Addition or Substitution is necessary.

CPR 19.6(2).

Question 40

When will the Court consider an Addition or Substitution necessary?

Answer 40

• The Proposed Substitute will replace a Party included in the Claim Form by mistake;
• The Claim cannot be properly resolved unless the Party is Added or Substituted as Claimant or Defendant; or
• The Original Party has died or gone bankrupt and their interest or liability passes to the New Party.

CPR 19.6(3).

Question 41

When does an Addition or Substitution of Parties become effective?

Answer 41

When the Amended Claim Form is Served.

CPR 19.4(9).

Question 42

When can a New Cause of Action be Added Post-Limitation?

Answer 42

• It is a Personal Injury action and the Court exercises its discretion for reasons of equity.
• It is an original Set-Off or Counterclaim that arises out of the same facts, or substantially so, as those of the Original Claim.
• It arises out of the same facts, or substantially so, as those of a Claim in issue where the Applicant already claimed a remedy.

Limitation Act 1980 — ss. 33, 35(3)-(5).

An Amendment introducing a new duty or obligation usually raises a new Cause of Action, making it a new Claim. Additions or clarifications of fact typically do not have this effect.

The Court will closely examine duty, breach, causation, and loss to distinguish bewteen the two.

Question 43

What are the Formatting Requirements for an Amended Statement of Case?

Answer 43

• The Amended Statement need not show the original text, unless the court orders otherwise.
• Amendments are to be shown either through coloured text or a numerical code. If colour coding is used, the order for successive amendments is:
  
  1. Red
  2. Green.
  3. Violet.
  4. Yellow .
• The Amended Statement should contain the relevant endorsement and a statement of truth.

Question 44

To which issues should Requests for Further Information be confined?

Answer 44

Those reasonably necessary and proportionate to enable the Inquirer to prepare its own case or understand opposite case.

Question 45

What is the Procedure for Requesting Further Information from a Counterparty?

Answer 45

1 —Contact the Counterparty:

• The Inquirer must first directly contact the Counterparty and should only apply to the Court if necessary.
• The Inquirer’s Request should be in writing and set a date that allows a reasonable response time.
• The Response must include a Statement of Truth.

2.1 — Filing Requirements:

• The Response must be written, dated, signed, and Filed at Court.

2.2 —Objection:

• If the Counterparty objects, it must do so within the set timeframe and inform the Inquirer as to why.
• Only afterward may the Inquirer apply to Court.

Question 46

What is the Procedure for Requesting Further Information through the Court?

Answer 46

1 —Interim Application:

• The Inquirer should make an Interim Application.
• If the Counterparty does not respond within 14 Days of Service, the Application will proceed without their input.

2 —Court Decision:

• If successful, the Counterparty must File and Serve its Response within the Court-mandated Deadline.
• The Response must include a Statement of Truth.
• The Court can prohibit the use of Disclosed information for purposes outside the Proceedings.