Quick Summary
- Clients and enquiries often ask our lawyers, ‘How many pre-action protocols are there?’ The UK has 16 pre-action protocols under the Civil Procedure Rules (CPR), each addressing different types of claims (see below).
- The applicable pre-action protocol will depend on the nature of your case
- The pre-action protocol will guide parties on steps to take before starting court proceedings, including sharing information, obtaining evidence, and exploring resolution options.
- Following the correct protocol can save time, control costs, and ensure compliance with court expectations (and may ultimately assist in the effective resolution of the dispute often without Court proceedings).
For help with pre-action protocols specific to your case, contact our expert solicitors in London at 0207 459 4037 or book a consultation online.
What Is the Pre-Action Protocol?
A pre-action protocol is a structured set of rules under the CPR that guides how parties should handle disputes before legal proceedings begin, particularly regarding a prospective legal claim. Each protocol applies to specific types of claims, setting out steps to encourage open communication, share relevant documents, and attempt resolution outside of court. This approach aligns with CPR 1.1, which seeks to handle cases justly and proportionately.
CPR 1.1: The overriding objective of the Civil Procedure Rules is to deal with cases “justly and at proportionate cost.” The pre-action protocols are designed to support this goal.
To better understand how pre-action protocols can impact professional negligence cases, you can explore our detailed article on Complying with the Professional Negligence Pre-Action Protocol.
How Many Pre-Action Protocols Are There?
There are 16 pre-action protocols established under the CPR, each tailored to address specific types of disputes. Below is a table that lists each protocol along with a brief description of its application.
| Pre-Action Protocol | Where It Applies |
| Personal Injury | For claims related to accidents or injuries (excluding clinical negligence), often involving liability and damages. |
| Clinical Negligence | For claims against healthcare providers, including hospitals and medical professionals, alleging negligent treatment. |
| Professional Negligence | Covers claims against professionals, such as solicitors, accountants, or architects, for failure to meet professional standards. |
| Construction and Engineering | For disputes in construction or engineering projects, involving issues such as defects, delays, or payment disputes. |
| Judicial Review | Applicable to challenges against public authorities or government decisions, often on grounds of legality or fairness. |
| Housing Disrepair (Tenants) | For claims by tenants regarding property disrepair that the landlord has failed to address. |
| Defamation | Covers claims of libel or slander, requiring parties to clarify the nature of the defamatory statement and any defences. |
| Debt Claims | For claims by creditors seeking to recover money owed by debtors, commonly used by businesses and financial institutions. |
| Package Travel Claims | For claims arising from issues with package holidays, such as failures in service, accommodations, or transport. |
| Disease and Illness | Typically applies to claims involving workplace diseases, such as asbestos exposure, impacting employees’ health. |
| Possession Claims (Social Landlords) | For social landlords seeking possession of a property due to rent arrears or other breaches of tenancy agreements. |
| Possession Claims (Private Landlords) | For private landlords seeking to regain possession of their property, often due to tenant breaches or expiry of tenancy. |
| Mortgage Arrears | For lenders seeking possession due to mortgage arrears, providing a process for lenders and borrowers to negotiate terms. |
| Dilapidations (Leasehold Premises) | For commercial leasehold disputes, typically involving tenants’ obligations to repair or maintain property upon lease expiry. |
| Low-Value Personal Injury (Motor Accidents) | Applies to motor accident claims valued at under £25,000, aiming to settle straightforward cases quickly and fairly. |
| Housing Conditions Claims (Tenants) | For tenants raising issues about housing conditions or property hazards, ensuring landlords meet their repair obligations. |
You can find more information on the 16 pre-action protocols on the Gov website here. It is important to note that each protocol is designed to address the unique aspects of specific claim types, ensuring that both parties engage fairly and avoid unnecessary litigation.
For further assistance understanding the protocol relevant to your case, please do not hesitate to contact our lawyers today for a Free Consultation on 0207 459 4037.
Why Are Pre-Action Protocols Important?
Pre-action protocols are essential for promoting early resolution of the dispute, managing costs, and ensuring all parties act fairly. By following a relevant protocol, parties are encouraged to share relevant information and make appropriate attempts to consider Alternative Dispute Resolution (ADR), which can often resolve issues without formal litigation. This approach aligns with CPR 1.4, which requires courts to encourage case management that promotes efficiency and fairness.
CPR 1.4 – Courts are tasked with “encouraging parties to use an alternative dispute resolution procedure if the court considers that appropriate.”
For a deeper dive into ADR and court processes, read Compulsory Mediation in UK Courts.
Key Steps to Comply with a Pre-Action Protocol
- Identify the Correct Protocol: Select the protocol relevant to your type of dispute.
- Issue a Letter of Claim: Draft a clear letter explaining your position, the details of the dispute, and suggested resolutions.
- Exchange Essential Information: Provide all necessary documents and information to ensure transparency.
- Consider ADR Options: Use ADR methods, such as mediation or negotiation, to attempt resolution without court involvement.
- Gather Expert Evidence if Needed: For complex issues, expert reports may strengthen your position.
- Allow Adequate Response Time: Grant a reasonable time (usually 21 days) for the other party to reply to your Letter of Claim.
Consequences of Not Following Pre-Action Protocols
Failure to adhere to pre-action protocols can result in penalties under CPR 44.2, including:
- Additional Costs: Courts may order the non-compliant party to cover costs incurred by the other party.
- Delays in Proceedings: Proceedings may be delayed or stayed
- Potential Dismissal: In severe cases, the court may dismiss a claim.
For strategies to minimise cost consequences and maximise compliance, see our guide on Top Strategies for Enforcing Cost Orders.
Specific Requirements for Different Disputes: When Each Protocol Applies
Different disputes require tailored pre-action steps based on the nature of the case. For example:
- Clinical Negligence Protocol: This protocol involves obtaining expert medical reports and sharing them with the other party to ensure transparency about the alleged negligent treatment.
- Professional Negligence Protocol: Focuses on disclosing documentation related to the professional’s actions and any failures in meeting industry standards.
- Debt Claims Protocol: Requires creditors to provide a clear breakdown of the debt, including details of the original loan or service agreement, to facilitate debt recovery efforts.
Role of Alternative Dispute Resolution (ADR) in Pre-Action Protocols
ADR is highly encouraged within pre-action protocols, offering a means to resolve disputes without litigation. Options like mediation or arbitration provide a constructive forum for reaching mutual agreements, saving both time and legal costs. Courts expect parties to consider ADR and may impose penalties on those who bypass it unreasonably.
CPR 1.4(2) – The Civil Procedure Rules instruct courts to “encourage parties to use an alternative dispute resolution procedure if the court considers it appropriate.”
For advice on integrating ADR into your case, contact us to discuss effective resolution options.
Drafting a Compliant Pre-Action Letter
An effective pre-action letter is crucial for protocol compliance. Here’s a simple structure to ensure your letter meets CPR standards:
- Summarise the Facts: Clearly outline the dispute’s details.
- Provide Supporting Evidence: Attach any documents or evidence relevant to your claim.
- State Your Proposed Resolution: Outline any solutions you’re prepared to consider.
- Set a Deadline for Response: Allow the opposing party a reasonable time (typically 21 days) to reply.
Our solicitors can assist with drafting a professional, compliant pre-action letter that aligns with the correct protocol. Contact us for assistance.
FAQs: Common Questions on Pre-Action Protocols
Q. What if I don’t follow a pre-action protocol?
Non-compliance may lead to penalties, additional costs, or delays in proceedings, as outlined in CPR 44.2.
Q. Is expert evidence required for all pre-action protocols?
Not all cases require expert evidence, but it’s beneficial for complex disputes, such as clinical negligence or construction claims.
Q. What happens if ADR fails to resolve the dispute?
If ADR does not work, litigation may proceed, but efforts to resolve outside court will reflect positively on your case.
Q. Do all disputes fall under a specific pre-action protocol?
No, but if no specific protocol applies, parties should still follow the Practice Direction on Pre-Action Conduct to ensure compliance with general requirements.
Importance of Following Pre-Action Protocols
Understanding and following the correct pre-action protocol is essential for fair and efficient dispute management. These protocols help parties avoid unnecessary litigation, reduce costs, and comply with Civil Procedure Rules expectations. Failure to observe these rules can lead to serious consequences, from added costs to case dismissal.
For expert guidance on navigating pre-action protocols and protecting your interests, contact our London-based team on 0207 459 4037 or book a consultation online. Our expert litigation solicitors are here to ensure full compliance and support you in achieving the best outcome for your case.
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