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Pre-action protocols are sets of steps that parties are expected to follow before starting a court claim in England and Wales. There are specific protocols for particular kinds of dispute, such as debt claims, construction disputes, professional negligence, and housing disrepair, alongside a general expectation of reasonable conduct that applies where no specific protocol fits. The aim of a protocol is to encourage the parties to exchange information early, understand each other’s position, and try to resolve the dispute, or at least narrow it, before going to court.

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What protocols typically ask for

Although each protocol differs, most share a common pattern:
  • The claimant sets out the claim in writing, often through a letter before action
  • The defendant is given a reasonable time to respond
  • The parties exchange key information and documents
  • The parties consider whether some form of settlement or alternative dispute resolution could resolve matters

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Why they matter

Following the relevant protocol is not merely good manners. When a case reaches court, a judge can consider whether each side complied. Unreasonable failure to follow a protocol, for example ignoring a proper letter or refusing to share basic information, can lead to costs consequences or other sanctions, even for a party who ultimately wins. Equally, protocols exist because they work. A great many disputes settle during the pre-action stage precisely because each side has had to set out its position clearly and consider the other’s.

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Finding the right protocol

The correct protocol depends on the nature of the dispute. Where a specific protocol applies, it should be followed. Where none does, the general practice direction on pre-action conduct sets the baseline expectation. See the pre-action conduct practice direction.
Portia is a document-organisation tool for people handling civil disputes in England and Wales. It is not a law firm and does not give legal advice. Learn what Portia does.