House of Lords
|Session 2007 - 08
Publications on the Internet|
|Practice Directions Applicable to Civil Appeals
HOUSE OF LORDS
2007 - 2008 edition
Approved by the House of Lords on 8 October 2007
This edition replaces all previous editions
HOUSE OF LORDS
2007 - 2008 edition
Approved by the House of Lords on 8 October 2007
This edition replaces all previous editions
PRACTICE DIRECTIONS APPLICABLE TO CIVIL APPEALS
Part I - Directions on petitions for leave to appeal1. Permission to appeal
Part II - Directions applying in all civil appeals7. Time limits 8. London agents 9. Lodgment of appeal 10. Security for costs 11. Statement of facts and issues 12. Appendix 13. Lodgment of Statement and Appendix 14. Setting down for hearing
Part III - Other directions applicable to civil appeals
Table of fees and security money
Amendments of previous edition of practice directions
The following directions contain significant changes from the previous edition (December 2006):
directions 1.14 - 1.17 (which establish simplified procedures for dealing with applications for permission to appeal that are excluded from the House's jurisdiction by section 54 of the Access to Justice Act 1999, and make clear that section 54 of that Act does not extend to Northern Ireland).
direction 2.1 (which clarifies the rules on times limits for applications for leave to appeal).
JUDICIAL OFFICE, HOUSE OF LORDS, LONDON SW1A 0PW
Telephone: 020-7219 3111
Fax: 020-7219 2476
(n.b. use of fax for communicating with the Judicial Office is subject to direction 26.2)
Houses of Parliament (switchboard): 020-7219 3000
The Judicial Office is open from 10am-5pm on Mondays to Thursdays during the law terms and from 10am-4pm on Fridays and outside the law terms. It is closed from 1- 2pm daily; and until 2pm on the day of the State Opening of Parliament.
During the law terms the Appellate Committee sits on Mondays from 11am-4pm and on Tuesdays to Thursdays from 10.30am-4pm, with an hour's adjournment daily from 1-2pm.
FEES AND TAXATION
Fee enquiries should be addressed to the Judicial Office.
Taxation enquiries (assessment of costs) should be addressed to the Judicial Taxing Clerk, telephone 020-7219 3105.
Drafts and cheques for fees, including taxing fees, should be made payable to 'House of Lords Account'. See Appendix C for the level of fees.
Drafts and cheques for security money only should be made payable to 'House of Lords Security Fund Account'.
No special admission passes are required for persons wishing to attend hearings of the Appellate Committee or judgments in the House. Prior notice of attendance is not required. Those wishing to attend should enter the Palace of Westminster via St Stephen's entrance.
Special admission passes to the Palace of Westminster are required by counsel and all those attending the Judicial Office. Application for special admission passes is made as follows:
The Pass Office is located at Black Rod's Garden entrance, near the Victoria Tower.
Applications by telephone are not accepted. In no circumstances are passes sent in the post.
HOUSE OF LORDS
PRACTICE DIRECTIONS APPLICABLE TO CIVIL APPEALS
PART I - DIRECTIONS ON PETITIONS FOR LEAVE TO APPEAL
1. PERMISSION TO APPEAL
1.1 Subject to certain conditions, appeals in civil matters may be brought to the House of Lords from the Court of Appeal in England and Wales and in Northern Ireland, from the High Court in England and Wales and in Northern Ireland under the "leapfrog" procedure, and from the Court of Session in Scotland1. The judicial procedures of the House are regulated by statute, by standing orders of the House and by practice directions2. Copies of these and other documents may be obtained free of charge from the Judicial Office of the House of Lords or downloaded from www.parliament.uk.
1.2 The Appellate Jurisdiction Act 1876 is the basic Act governing the judicial function of the House of Lords. This booklet uses the terminology of that Act. The term "leave to appeal" means permission to appeal. A "petition for leave to appeal" is an application for permission to appeal.Right of appeal
1.3 The right of appeal to the House of Lords is regulated by statute and subject to statutory restrictions. The relevant statutes for civil appeals are: the Administration of Justice (Appeals) Act 1934; the Administration of Justice Act 1960; the Administration of Justice Act 1969; the Judicature (Northern Ireland) Act 1978; the Court of Session Act 1988; and the Access to Justice Act 1999. Every applicant for leave to appeal must comply with the statutory requirements before the application can be considered by the House. The Human Rights Act 1998 applies to the House in its judicial capacity. But that Act does not confer any general right of appeal to the House, or any right of appeal in addition to or superseding any right of appeal provided for in Acts passed before the coming into force of the Human Rights Act 1998.
Stay of execution
1.4 See direction 43.
Appeals from (i) the Court of Appeal in England & Wales; and (ii) the Court of Appeal in Northern Ireland
1.5 An appeal to the House of Lords from any order or judgment of the Court of Appeal in England and Wales or in Northern Ireland may only be brought with the leave of the Court of Appeal or of the House of Lords3.
1.6 An application for leave to appeal must be made first to the Court of Appeal and only after that Court refuses leave may application be made to the House of Lords4 itself. Application is made by presenting a petition for leave to appeal5.
Appeals from the Court of Session in Scotland
1.7 Leave to appeal is not required in appeals to which directions 1.8 and 1.9 apply. Leave to appeal is required for appeals to which directions 1.10 and 1.11 apply.
1.8 As a general rule, leave to appeal is not required from an interlocutor of the Inner House of the Court of Session on the whole merits of the cause6. Standing Orders I and IV govern such appeals. The petition of appeal must be lodged within 3 months of the date of the interlocutor appealed from; and the petition of appeal must be signed by two Scottish counsel who must also certify that the appeal is reasonable7.
1.9 As a general rule, leave to appeal is not required from an interlocutory judgment of the Court of Session where there is a difference of opinion among the judges or where the interlocutory judgment is one sustaining a dilatory defence and dismissing the action8. Standing Orders I and IV apply: the petition of appeal must be lodged within 3 months of the date of the interlocutor appealed from; and the petition of appeal must be signed by two Scottish counsel who must also certify that the appeal is reasonable.
1.10 Leave to appeal is required for an appeal to the House of Lords against any interlocutory judgment of the Court of Session that does not fall within direction 1.9, and only the Inner House of the Court of Session may grant such leave to appeal9. In all such cases a refusal of the Court of Session to grant leave to appeal is final and no petition for leave to appeal may then be presented to the House of Lords.
1.11 Leave to appeal from the Court of Session is also required for an appeal to the House of Lords under the provisions of certain Acts of Parliament, and such leave may be granted either by the Court of Session or, if refused by the Court of Session, by the House of Lords10. When leave to appeal is granted pursuant to direction 1.10 or this direction, it is not necessary for two Scottish counsel to certify that the appeal is reasonable11.
Appeals from (i) High Court of Justice in England & Wales; and (ii) High Court of Justice in Northern Ireland
1.12 In certain cases, and subject to certain conditions, an appeal lies direct from the High Court in England and Wales or in Northern Ireland to the House of Lords. A certificate of the High Court must first be obtained and the leave of the House of Lords then sought and given before the appeal may proceed (see direction 6)12. No application may be made to the House of Lords without the certificate of the High Court.
Civil contempt of court cases
1.13 In cases involving civil contempt of court, an appeal may be brought under s 13 of the Administration of Justice Act 196013. Leave to appeal is required and an application for such leave must first be made to the court below. If that application is refused, a petition for leave to appeal may then be presented to the House of Lords. Where the decision of the court below is a decision on appeal under the same section of the same Act, leave to appeal to the House of Lords is only granted if the court below certifies that a point of law of general public importance is involved in that decision and if it appears to that court or to the House, as the case may be, that the point is one that ought to be considered by the House. Where the court below refuses to grant the certificate required, a petition for leave to appeal is not accepted for presentation to the House.
Admissibility of petitions
1.14 Leave to appeal to the House of Lords is subject to statutory restrictions. The following types of petition are excluded by statute from the House's jurisdiction:
1.15 The Judicial Office will not accept for lodgement any petition for leave to appeal that:
(a) falls under direction 1.14(a); and
(b) seeks leave to appeal against an order of the Court of Appeal which that Court has certified by virtue of section 54(4) of the Access to Justice Act 1999 may not be appealed to the House of Lords.
1.16 No petition for leave to appeal will be considered by an Appeal Committee unless:
(a) the petition is properly served on the respondents (see direction 3.12);
(c) the prescribed fee is paid or a form of waiver lodged (see directions 3.16-3.17).
1.17 When a petition for leave to appeal falls within directions 1.14(a) and 1.15, the Judicial Office informs the petitioner in writing that the House of Lords has no jurisdiction in the matter. The European Court of Human Rights accepts this letter as setting out the jurisdiction of the House of Lords in the litigation, for the purpose of determining whether the petitioner has satisfied the requirement, laid down by Article 35 of the European Convention on Human Rights, that all domestic remedies must be exhausted before an appeal can be made to the Strasbourg Court.
1.18 Under the rule in Taylor v Lawrence17 the Court of Appeal can in exceptional circumstances reopen an appeal or application for permission to appeal after it has given a final judgment. If the Court of Appeal refuses an application to reopen a previously concluded appeal or application for permission to appeal, no application may be made to the House of Lords for permission to appeal against that refusal18.Judicial review: civil matters
1.19 An application for permission to apply for judicial review is made to the Administrative Court (part of the Queen's Bench Division of the High Court). If the judge of the Administrative Court refuses the application without a hearing, an application can be made for the decision to be reconsidered at a hearing. Where permission to apply for judicial review has been refused by the Administrative Court after consideration of the papers and after reconsideration at an oral hearing, the applicant may appeal against the refusal of permission. Such an appeal must be lodged in the Court of Appeal within 7 days. For such an appeal to be successful, the applicant needs to be granted both i) permission to appeal against the Administrative Court's determination; and ii) permission to apply for judicial review.
1.20 If the Court of Appeal refuses permission to appeal to it against the decision of the Administrative Court refusing permission to apply for judicial review, there is no appeal to the House of Lords. The House of Lords has no jurisdiction to receive such an appeal19. However, if the Court of Appeal (a) grants permission to appeal to it against the Administrative Court's refusal of permission to apply for judicial review, but then (b) itself refuses permission to apply for judicial review, the House of Lords does have jurisdiction to hear an appeal against that refusal20.
1.21 See direction 30.
Public funding/legal aid
1.22 See direction 41.
1.23 Petitioners and respondents to a petition for leave to appeal may instruct leading or junior counsel, but on taxation (assessment of costs) the House allows only junior counsel's fees for any stage of a petition for leave to appeal, even if a public funding or legal aid certificate provides for leading counsel. The only exception to this practice is where leading counsel who conducted the case in the court below are instructed by the Legal Services Commission or legal aid authorities to advise on the merits of an appeal.
2. TIME LIMITS
2.1 Time limits apply as follows:
(c) Petitions for leave to appeal out of time are admissible.
Petitions out of time
2.2 A petition for leave to appeal lodged outside the one month period is accepted by the Judicial Office for presentation to the House provided that:
(c) it is in order in all other respects.
The reason(s) should not normally exceed one paragraph in length.
2.3 In considering a petition for leave to appeal out of time, the Appeal Committee may reject it solely on the ground that it is out of time; but the Appeal Committee may grant an extension of time and decide the application for leave on the merits.
Contempt of court
2.4 A petition for leave to appeal in a case involving civil contempt of court must be lodged in the Judicial Office within 14 days (not one month), beginning with the date of the refusal of leave by the court below (not the following day)22.
3. LODGMENT OF PETITION
Form of petition
3.1 A petition for leave to appeal should be produced on A4 paper, securely bound on the left, using both sides of the paper. The petition should set out briefly the facts and points of law; and conclude with a summary of the reasons why leave should be granted23. Petitions which are not legible or which are not produced in the required form are not accepted. A petition should not contain annexes or appendices. Parties may consult the Judicial Office at any stage of preparation of the petition, and may submit petitions in draft for approval.
3.2 Supporting documents other than those set out in direction 4.2 are not normally accepted.
3.3 Amendments to petitions and the lodging of supplementary petitions are allowed only in exceptional circumstances. The Head of the Judicial Office may allow amendments to petitions and the lodging of supplementary petitions if he is satisfied that this will assist the Appeal Committee and will not unfairly prejudice the respondents or cause undue delay. Any such amendments and supplementary petitions must be served on the respondents (see direction 3.12).
3.4 If a petition for leave to appeal
(a) asks the House to depart from one of its own decisions;
(b) raises issues relating to the Human Rights Act 1998; or
(c) seeks a reference to the Court of Justice of the European Communities,
the point should be stated clearly in the petition.
3.5 A petition for leave to appeal must be signed by the petitioners or their agents.
3.6 On the back of the petition for leave, below the certificate of service, there should be inserted the neutral citation of the judgment petitioned against, the references of any law report in the courts below, and subject matter catchwords for indexing (whether or not the case has been reported).
3.7 Petitions for leave to appeal to the House of Lords carry the same title as in the court below, except that the parties are described as petitioner(s) and respondent(s). For reference purposes, the names of parties to the original action who are not parties to the appeal should nevertheless be included in the title: their names should be enclosed in square brackets. The names of all parties should be given in the same sequence as in the title used in the court below.
3.8 Petitions in which trustees, executors etc. are parties are titled in the short form, for example Trustees of John Black's Charity (Respondents) v. White (Petitioner).
3.9 In any petition concerning minors or where in the court below the title used has been such as to conceal the identity of one or more parties to the action, this fact should be clearly drawn to the attention of the Judicial Office at the time the petition is lodged, so that the title adopted in the House of Lords can take account of the need for anonymity. Petitions involving minors are normally given a title in the form In re B (see also direction 9.9).
3.10 In case titles involving the Crown, the abbreviation "R" meaning "Regina" is used. "R" is always given first. So case titles using this abbreviation take the form R v Jones (Petitioner) or R v Jones (Respondent) (as the case may be) or R (on the application of Jones) (Petitioner) v Secretary of State for the Home Department (Respondent).
3.11 Apart from the above, Latin is not used in case titles.
3.12 A copy of the petition must be served on the respondents or their agents, either by delivery in person or by first class post, before it is lodged at the Judicial Office. A certificate of such service (noting the full name and address of the respondents or their agents) must be endorsed on the back of the original petition and signed24.
3.13 Two original copies of the petition must be lodged at the Judicial Office, together with a copy of the order appealed against and, if separate, a copy of the order of the court below refusing leave to appeal. If the substantive order appealed against is not immediately available, the petition should nevertheless be lodged within the required time limits, and the order lodged as soon as possible thereafter.
3.14 An agent who attends the Judicial Office to lodge a petition for leave to appeal or accompanying papers must be familiar with the subject matter of the petition.
3.15 A petition for leave to appeal is presented to the House and recorded in the House of Lords Business on the day it is lodged or on the next sitting day of the House.
Waiver of fees
3.16 Standing Order XIII provides that a fee is payable when a petition for leave to appeal is lodged. For the present level of fees, see Appendix C.
3.17 In circumstances where a petitioner would suffer financial hardship by the payment of fees to the House, the requirement to pay fees may be waived. Application should be made to the Judicial Office. In order to provide an objective test, and to keep in step with the courts below, the Judicial Office applies the provisions of the Civil Proceedings Fees Order 200425 to determine financial hardship for the purposes of Standing Order XIII. Waivers of fees are also granted to petitioners who have been granted a remission of fees in the court below.
The fee paid by a petitioner on a petition for leave to appeal is not refunded, even if the Appeal Committee dismiss the petition as inadmissible.
Appearance for respondents
3.18 Respondents or their agents should enter appearance to a petition for leave as soon as they have received service. The respondents or their agents enter appearance by informing the Judicial Office by post of their name and address or that of their firm and paying the prescribed fee. The fee is refunded if the petition is dismissed as inadmissible.
3.19 Respondents who do not intend to take part in the proceedings do not need to enter appearance, but the Judicial Office sends communications concerning a petition for leave to appeal only to those who have entered appearance.
3.20 An order for costs will not be made in favour of a respondent who has not entered appearance.
Interventions in petitions for leave to appeal
3.21 Save in exceptional circumstances, no application may be made to intervene in support of a petition for leave to appeal26.
Communications by fax/e-mail
3.22 See direction 26.2.
4. APPEAL COMMITTEE
4.1 Petitions for leave to appeal to the House of Lords are considered by an Appeal Committee consisting of three Lords of Appeal. Petitions are generally decided on the papers alone, without a hearing.
4.2 The following additional papers for use by the Appeal Committee must be lodged within seven days of lodgment of the petition:
(a) four copies of the petition;
(b) four copies of the order appealed against;
No other papers are required, and documents other than those listed above are not accepted unless requested by the Appeal Committee.
4.3 Papers lodged in accordance with direction 4.2 should be lodged as individual documents, double-sided, single-stapled and not inserted into ring binders. Documents which are not clearly legible or which are not in the required style or form (see direction 3.1) are not accepted.
4.4 Where the required papers are not lodged within three months of presentation of the petition and no good reason is given for the delay, the petition may at the direction of the Head of the Judicial Office be referred to an Appeal Committee without the required accompanying papers.
Consideration on the papers
4.5 The Appeal Committee decides first whether a petition for leave to appeal is admissible. The rules on admissibility are set out in direction 1.14. If the Appeal Committee determines that a petition is inadmissible, it may refuse leave on that ground alone and not consider the content of the petition. The Appeal Committee gives a reason for deciding that the petition is inadmissible.
4.6 If the Appeal Committee decides that a petition is admissible, the Committee may then:
4.7 Leave to appeal is granted to petitions that, in the opinion of the Appeal Committee, raise an arguable point of law of general public importance which ought to be considered by the House at this time, bearing in mind that the matter will already have been the subject of judicial decision and may have already been reviewed on appeal. A petition which in the opinion of the Appeal Committee does not raise such a point of law is refused on that ground. The Appeal Committee gives brief reasons for refusing leave to appeal29 but does not otherwise explain its decisions30.
4.8 If the Appeal Committee is unanimous that a petition should be refused, the parties are notified that the petition is dismissed.
Leave given outright
4.9 If the Appeal Committee is unanimous that a petition should be allowed without further proceedings, the House grants leave outright (without inviting respondents' objections).
4.10 Respondents may submit written objections giving their reasons why leave to appeal should be refused. They may do this:
(a) within 14 days of the date of service on them of the petition for leave to appeal; or
(b) within 14 days of any invitation by the Appeal Committee to do so; or
(c) within 14 days of a petition for leave to appeal being referred for an oral hearing.
4.11 Respondents' objections set out briefly the reasons why the petition should be refused or make submissions as to the terms upon which leave should be granted (for example, on costs). One master plus four copies of the respondents' written objections must be lodged at the Judicial Office. The objections must be produced on A4 paper, securely fastened, using both sides of the paper.
4.12 A copy of the respondents' objections should be sent to the agents for the other parties. In certain circumstances the Appeal Committee may invite further submissions from the petitioners in the light of the respondents' objections, but petitioners do not have a right to comment on respondents' objections. Where the Appeal Committee does not require further submissions, and provided the Committee is unanimous in its decision to grant or refuse leave, it reports its decision to the House and the parties are informed. Where the Appeal Committee proposes terms for granting leave, direction 4.15 applies.
4.13 Respondents' objections are subject to any order for costs made by the Appeal Committee or, if leave to appeal is granted, become costs in the appeal (see direction 5).
4.14 Respondents unable to meet the deadlines set out in direction 4.10 must write to the Head of the Judicial Office requesting an extension of time for lodging their written objections.
Leave given on terms
4.15 If the Appeal Committee decides that leave to appeal should be given on terms:
Petition referred for oral hearing
4.16 In all cases where the members of the Appeal Committee are not unanimous, or where further argument is required, a petition for leave to appeal is referred for an oral hearing.
4.17 If the respondents have not already lodged written objections, they may do so within 14 days of being informed that the petition has been referred for a hearing (direction 4.10(c)).
4.18 When a petition is referred for an oral hearing, the petitioners and all respondents who have entered appearance are notified of the date of the hearing before the Appeal Committee.
4.19 Parties may be heard before the Appeal Committee by counsel, by agent, or in person, but one only may be heard on each side.
4.20 If counsel is briefed, agents should ensure that the Judicial Office is notified of their name. Only a junior counsel's fee is allowed on taxation (direction 1.23).
4.21 Authorities are not normally cited before the Appeal Committee or provided for the Committee's use at the hearing.
Lodgment of petition of appeal
4.22 If leave to appeal is given, the petition of appeal (direction 9) must be lodged with the prescribed fee within 14 days of the date of the Appeal Committee's decision. Failure to meet this deadline results in the petition of appeal being lodged out of time and referred to an Appeal Committee pursuant to direction 7.3.
Order of the House
4.23 Copies of the House of Lords Business32 recording the report of the Appeal Committee and the order of the House are sent to all parties who have entered appearance.
4.24 A formal order of the Appeal Committee is not normally issued but will be issued on written request and on payment of a fee. A formal order is not required for taxation of costs arising from the application for leave to appeal.
4.25 Once the required papers are lodged at the Judicial Office (direction 4.2), the procedure described above is normally completed within eight sitting weeks (excluding any oral hearing). In cases involving liberty of the subject, urgent medical intervention or the well-being of children (see direction 4.26), application for expedition may be made in writing to the Judicial Office.
Expeditious hearing of proceedings under the Hague Convention etc
4.26 The Convention on the Civil Aspects of International Child Abduction (the Hague Convention) deals with the wrongful removal and retention of children from their habitual country of residence. The Revised Brussels II Regulation also deals with these matters33. In the House of Lords an expedited timetable applies. The parties must therefore inform the Judicial Office that the proceedings fall under the Convention or Regulation. The House normally gives judgment within six weeks of the commencement of proceedings in the House. This can only be achieved with the fullest co-operation of the parties.
4.27 The following timetable may be taken as a general guideline:
(b) an appeal is heard within 21 days of a decision to give leave to appeal;
(c) the result of the appeal is given immediately after the end of the hearing with reasons given later or, if judgment is reserved, the result of the appeal and the reasons are given within 2 weeks of the end of the hearing.
4.28 In order to achieve the timetable in direction 4.27 the House makes dispensing orders to set aside or vary the practice directions that normally apply to applications and appeals to the House.
4.29 Abridged procedures and special rules for the production of documents are applied to meet the circumstances of each application and appeal. The following timetable for the production of documents is therefore indicative only:
5.1 Where a petition for leave to appeal is determined without an oral hearing, costs may be awarded as follows:
5.2 Where a petition for leave to appeal is referred for an oral hearing and is dismissed, application for costs must be made by the respondent at the end of the hearing. No order for costs is made unless requested at that time.
5.3 Where a petition for leave to appeal is allowed, costs of the petition become costs in the appeal.
5.4 Bills of costs for taxation must be lodged within three months from the date of the decision of the Appeal Committee or the date on which a petition for leave is withdrawn in accordance with direction 45.1. If an extension of the three month period is desired, application must be made in writing to the Taxing Officer and copies of all such correspondence sent to all interested parties. In deciding whether to grant an application for an extension of time made after the expiry of the three month period, the Taxing Officer takes into account the circumstances set out in the practice directions applicable to judicial taxations.
5.5 The practice directions relating to judicial taxations and forms of bills of costs are available from the Judicial Office and on the internet at www.parliament.uk. Fees are payable on taxation of a bill of costs.
Withdrawal of petitions for leave to appeal
5.6 See direction 45.1.
6. PETITIONS BROUGHT DIRECT FROM THE HIGH COURT
6.1 In certain cases an appeal lies direct from the High Court in England and Wales or in Northern Ireland to the House of Lords. A certificate of the High Court must first be obtained and the leave of the House of Lords then given before the appeal may proceed37. Such appeals are known as "leapfrog" appeals.
6.2 An application for a certificate may be made by any of the parties to any civil proceedings in the High Court before a single judge or before a Divisional Court. The application should be made immediately after the trial judge gives judgment in the proceedings or, if no such application is made, within 14 days from the date on which judgment was given.
6.3 The judge may grant a certificate under s 12 of the Administration of Justice Act 1969 if he is satisfied (a) that the relevant conditions are fulfilled; (b) that a sufficient case has been made to justify taking to the House of Lords an application for leave; and (c) that all the parties to the proceedings consent to the grant of a certificate.
6.4 The relevant conditions are that a point of law of general public importance is involved in the judge's decision, and that that point of law either (a) relates wholly or mainly to the construction of an enactment or of a statutory instrument and has been fully argued in the proceedings and fully considered in the judgment of the judge in the proceedings38, or (b) is one in respect of which the judge is bound by a decision of the Court of Appeal or House of Lords in previous proceedings and was fully considered in the judgments of the Court of Appeal or House of Lords in those previous proceedings39.
6.5 The judge may not grant a certificate in cases where no appeal would lie (with or without leave) from the judge's decision to the Court of Appeal, apart from the provisions of the Administration of Justice Act 1969. Similarly, a certificate may not be granted where no appeal would lie (with or without leave) from the Court of Appeal on an appeal from the judge's decision. Where no appeal would lie from the judge's decision to the Court of Appeal except with the leave of the judge or the Court of Appeal, no certificate may be granted unless it appears to the judge that it would be a proper case for granting such leave.
6.6 No certificate may be given where the judge's decision concerns punishment for contempt of court.
6.7 No appeal lies against the grant or refusal of a certificate, but if a certificate is refused the applicant may appeal to the Court of Appeal from the High Court's decision in the normal way, once the time for applying for a certificate has expired.
Petition for leave to appeal direct from High Court
6.8 At any time within one month from the date on which the judge grants the certificate, or such extended time as the House of Lords may allow40, any of the parties may apply to the House of Lords for leave to appeal41. Application is made by petition. If any party to the action in the High Court is not a party to the petition, the petition must be endorsed with a certificate of service on that party.
6.9 One copy of the judge's certificate must be lodged with the petition. The petition should indicate whether the judge's certificate was granted under s 12(3)(a) or s 12(3)(b) of the Administration of Justice Act 1969.
6.10 The following additional papers for use by the Appeal Committee must be lodged within seven days of the lodgment of the petition:
No other papers are required, and documents other than those listed above are not normally received.
6.11 Petitions for leave are determined by an Appeal Committee without a hearing.
6.12 In petitions where the certificate has been granted by the judge under s 12(3)(a) of the 1969 Act, the House only grants leave to appeal where:
Similarly, where the certificate has been granted under s 12(3)(b) of the 1969 Act, the House only grants leave where:
6.13 The Judicial Office notifies the parties of the Appeal Committee's decision.
Extensions of time
6.14 If an applicant cannot lodge the petition within one month from the date on which the judge's certificate was granted, the applicant must within the one month period lodge in the Judicial Office:
The request is referred to an Appeal Committee and determined without a hearing. The Judicial Office notifies the applicant of the Appeal Committee's decision.
Proceedings after leave to appeal is granted or refused
6.15 If the House grants leave to appeal without terms, no appeal from the decision of the judge lies to the Court of Appeal but only to the House of Lords. The appeal is brought by petition and the usual requirements apply. However, an appeal does lie to the Court of Appeal from the judge's decision (i) where no application is made to the House of Lords within the one month period after the judge has granted the certificate; or (ii) where leave to appeal direct to the House has been refused by the House of Lords.
Prospective appellants who decline to proceed on the basis of the terms proposed by the Appeal Committee may instead pursue an appeal to the Court of Appeal in the usual way (see direction 4.15)43.
6.16 Proceedings for a writ of habeas corpus are subject to the procedures governing criminal appeals to the House of Lords. These are set out in the Red Book of criminal practice directions44. In proceedings for a writ of habeas corpus, an appeal lies from the Queen's Bench Divisional Court to the House of Lords at the instance of the defendant or prosecutor with the leave either of the Divisional Court or the House of Lords. No certificate stating a point of law of general public importance is required45.
6.17 Such a petition is considered by an Appeal Committee without an oral hearing. Parties are notified of the Committee's decision.
PART II - DIRECTIONS APPLYING IN ALL CIVIL APPEALS
7. TIME LIMITS
7.1 A petition of appeal must be lodged at the Judicial Office within three months of the date on which the order appealed against was made46.
7.2 However, this time limit may be varied by an order of the House when granting leave or by an order of the court below. The order appealed against is the substantive order complained of.
Out of time appeals
7.3 Where a petition of appeal is not lodged within the time allowed, a petition for leave to present the appeal out of time may be lodged47. This petition is referred to an Appeal Committee.
7.4 A fee is payable on a petition of appeal and on a petition for leave to present a petition of appeal out of time (see Appendix C).
8. LONDON AGENTS
8.1 Solicitors outside London may appoint London agents. Those who decide not to do so should note that any additional costs incurred as a result of that decision may be disallowed on taxation (assessment of costs).
9. LODGMENT OF APPEAL
Form of petition of appeal
9.1 Petitions of appeal must be produced on A4 paper, securely bound on the left, using both sides of the paper48.
9.2 Where leave to appeal has been obtained, it is enough for the petition of appeal to be signed by the appellants or their agents. In appeals where leave to appeal is not required (for example, in most Scottish appeals) the petition of appeal must be certified as reasonable by two counsel from the relevant jurisdiction and signed by them49. In Scottish appeals a certificate of difference of opinion must also be included where appropriate50.
9.3 On the back page of the petition, below the certificate of service, there should be inserted the neutral citation of the judgment appealed against, the references of any law report of the case in the courts below and subject matter catchwords for indexing (whether or not the case has been reported).
9.4 Petitions of appeal to the House of Lords carry the same title as in the court below, except that the parties are described as appellant(s) and respondent(s). For reference purposes, the names of parties to the original action who are not parties to the appeal should nevertheless be included in the title: their names should be enclosed in square brackets. The names of all parties should be given in the same sequence as in the title used in the court below.
9.5 Petitions in which trustees, executors, etc. are parties are titled in the short form, for example Trustees of John Black's Charity (Respondents) v. White (Appellant).
9.6 In any petition concerning minors or where in the court below the title used has been such as to conceal the identity of one or more parties to the action, this fact should be clearly drawn to the attention of the Judicial Office at the time the petition is lodged, so that the title adopted in the House of Lords can take account of the need for anonymity. Petitions involving minors are normally given a title in the form In re B (see also direction 9.9).
9.7 In case titles involving the Crown, the abbreviation "R" meaning "Regina" is used. "R" is always given first. Case titles using this abbreviation take the form R v Jones (Appellant) or R v Jones (Respondent) (as the case may be) or R (on the application of Jones) (Appellant) v Secretary of State for the Home Department (Respondent).
9.8 Apart from the above, Latin is not used in case titles.
Anonymity and reporting restrictions
9.9 In any appeal concerning children, the parties, in addition to considering the case title to be used, should also consider whether it would be appropriate for the House to make an order under s 39 of the Children and Young Persons Act 1933. The parties should always inform the Judicial Office if such an order has been made by a court below. A request for such an order to be made by the House should be made in writing, preferably on behalf of all parties to the appeal, as soon as possible after the appeal has been presented and not later than 14 days before the start of the hearing.
9.10 Direction 9.9 also applies to a request for an order under s 4 of the Contempt of Court Act 1981.
Human Rights Act 1998
9.11 Appellants must notify the Judicial Office in writing when:
Appellants should indicate whether notification is made under (a), (b) or (c) above (see direction 33.1). They should set out briefly the arguments involved; and state whether the point was taken in the courts below. In appeals in which (a) above is an issue, the Crown has a right to be joined as a party to the appeal (see direction 33.2).
9.12 A copy of the petition of appeal must be served on the respondents or their agents, either by delivery in person or by first class post, before lodgment at the Judicial Office. A certificate of such service noting the full name and address of the respondents or their agents must be endorsed on the back of the original petition and signed by the appellants or their agents52.
9.13 The original petition of appeal together with seven copies must be lodged at the Judicial Office with the prescribed fee. If leave to appeal was granted by the court below, a copy of the order appealed against must also be lodged and, if separate, a copy of the order granting leave to appeal to the House of Lords. If the order is not immediately available, the petition should be lodged in time and the order lodged as soon as possible thereafter.
9.14 Once the petition of appeal has been lodged, it is presented to the House and recorded in the House of Lords Business53. A copy of the House of Lords Business is sent to all parties who have entered appearance (direction 9.15).
Appearance for respondents
9.15 Respondents or their agents should enter appearance to an appeal as soon as they have received service of the petition of appeal, by informing the Judicial Office by post of their name and address or that of their firm and paying the prescribed fee.
9.16 Respondents who do not intend to take part in the proceedings do not need to enter appearance, but the Judicial Office sends communications concerning the appeal only to those who have entered appearance. An order for costs will not be made in favour of a respondent who has not entered appearance.
10. SECURITY FOR COSTS
10.1 Within seven days of the presentation of an appeal, appellants must give security for costs by paying into the House of Lords Security Fund Account the sum fixed by the House54. Failure to do so results in the appeal being dismissed by default (unless public funding or legal aid has been applied for: see direction 41.3).
10.2 Payment is made by banker's draft or cheque made payable to 'House of Lords Security Fund Account'. If an appellant wishes to pay in cash, the Judicial Office may only accept cash up to £10,000, in order to comply with money laundering regulations. No interest is payable on security money.
Waiver of security
10.3 Provided that all the respondents agree that security for costs should be waived, the appellants may lodge a consent form asking the House to release the appellants from the obligation to pay security for costs. The consent must be signed by all the respondents and lodged with the prescribed fee within seven days of the presentation of the appeal. An order is then made absolving the appellants from giving security. A copy of the form of consent is available from the Judicial Office.
10.4 The following are not required to give security for costs and no waiver is necessary:
10.5 No security for costs or waiver is required in cross-appeals.
10.6 The House has the power to vary or dispense with the requirement to give security for costs when the respondents do not agree to a waiver, but uses this power rarely, and only after an Appeal Committee has recommended that the requirement for security should be waived56. The Appeal Committee normally takes this decision on the papers alone, without an oral hearing.
11. STATEMENT OF FACTS AND ISSUES
11.1 It is the appellants' responsibility to lodge a Statement of the facts and issues (with an Appendix (see direction 12)). The Statement should be a succinct account of the main facts of the case, including an account of judicial proceedings up to that point and an account of the issues raised by the appeal. The appellants are responsible for drawing up the Statement in draft and they must submit it to the respondents for discussion and agreement. The Statement must be a single document agreed between the parties. In the event of disagreement, disputed material should be removed from the draft Statement and included instead in each party's case (see direction 15). The Statement must be signed on behalf of each party by at least one counsel who appeared in the court below or who will appear at the hearing before the House.
Form of Statement of facts and issues
11.2 The Statement of facts and issues should be produced on A4 paper, securely bound on the left, and incorporate:
12.1 It is the appellants' responsibility, in consultation with the respondents, to prepare and lodge an Appendix of documents considered necessary for the appeal. These documents include all the documents used in evidence or recording proceedings in the courts below.
12.2 The appellants bear the cost of preparing the Appendix, although these costs are ultimately subject to the decision of the House as to the costs of the appeal.
Contents of Appendix
12.3 The Appendix contains only documents or extracts from documents that are necessary to support and understand the argument when the appeal is heard by the Appellate Committee. No document which was not used in evidence or does not record proceedings relevant to the action in the courts below may be included. Transcripts of arguments in the courts below may not be included unless remarks by a judge are relied on by any party or the arguments refer to facts which are admitted by all parties and as to which no evidence was called.
12.4 The Appendix consists of one or more parts. Part 1 must contain:
12.5 For judgments that have been published, unbound parts of the relevant Law Reports or the Weekly Law Reports should be used if available; otherwise the All England Reports, Tax Cases, Simons' Tax Cases, Reports of Patent Cases and Lloyd's List Reports may be used. In Scottish appeals, Session Cases should be used where available; otherwise, Scots Law Times and Scottish Civil Case Reports may be used. Where, at the time of preparation of the Appendix, a judgment of a court below has not been published, a transcript must be included, which may later be replaced by the published version. In such circumstances, 15 copies of the published version should be submitted to the Judicial Office. Judgments in draft are not accepted. If the printed Act or set of Regulations is conveniently small, it should be used; if the provisions are bulky or numerous, the relevant provisions should be copied. Halsbury's Statutes may be used.
12.6 Other documents should be included in Part 2 of the Appendix and, if the bulk of the documents makes it necessary, in Parts 3, 4 etc. The Appendix volume should only be numbered Part 1 if there is more than one Part.
Form of Appendix
12.7 The Appendix takes the following form:
Examination of Appendix
12.8 The Appendix is for the use of all parties and the contents of the Appendix must be agreed by appellants and respondents. Disputed documents (see direction 12.9) should not be included in the Appendix. As soon as proofs of the Appendix are available they should be examined against the originals by all parties, if possible at one joint examination. As soon as practicable after the examination, a final proof of the Appendix should be provided to each party.
Documents in readiness at hearing
12.9 Disputed documents and any document not included in the Appendix which may be required at the hearing should be held in readiness and, subject to leave being given by the Appellate Committee, may be introduced at an appropriate moment. Fifteen copies are required. All such documents are subject to previous examination by the other parties. Where the appellants refuse to include in the Appendix any documents that the respondents consider necessary, the respondents must prepare and reproduce the documents at their own expense, subject to the final order on costs.
12.10 In all Scottish appeals, appellants are required to include in Part 1 of the Appendix:(a) a copy of the Record as authenticated by the Deputy Principal Clerk of Session or a Clerk of Session delegated by him; (b) a supplement containing an account, without argument or statement of other facts, of the further steps which have been taken in the appeal since the Record was completed; and (c) copies of the interlocutors (or parts of interlocutors) complained of57.
13. LODGMENT OF STATEMENT AND APPENDIX
13.1 The Statement and Appendix must be lodged by the appellants within six weeks of the presentation of the appeal, or within such longer period as may be allowed on petition (see direction 13.3)58.
13.2 If this time limit expires during a parliamentary recess, it is automatically extended to the third next sitting day of the House of Lords59; and if any party has applied for public funding/legal aid, the time limit is automatically extended to one month after the notification of the result of the funding decision, provided that the Judicial Office has been informed of the application60.
Petitions for extension of timefirst extension
13.3 Appellants who are unable to complete preparation of the Statement and Appendix within the initial six weeks' period may apply by petition for an extension of that time61. The petition takes the form common to all formal documents of the House. It should explain briefly the reason(s) why an extension is needed. Application may be made for an extension of up to six weeks from the original expiry date, and the petition must specify the date to which the extension is requested. If that date seems likely to fall in a parliamentary recess, the petition may request extension until '[specify date] or the third sitting day of the next ensuing meeting of the House'62.
13.4 A petition for extension of time must be signed by the appellants. It must be submitted to those respondents who have entered appearance for the endorsement of their consent, and it must bear their signature. One master of the petition plus one copy and the prescribed fee must be lodged before the expiry of the six weeks initially allowed for lodging the Statement and Appendix.
Petitions for extension of timesecond and subsequent extensions
13.5 Up to three extensions of time are granted, provided that they do not prejudice the preparation for the hearing or its proposed date. A petition for a fourth extension of time, and any subsequent petitions, may, at the discretion of the Head of the Judicial Office, be referred to an Appeal Committee.
13.6 Respondents are expected not to withhold unreasonably their consent to a petition for extension of time. If consent is refused, the petition must be endorsed with a certificate that it has been served on the respondents. The petition is then referred to an Appeal Committee. In that event, eight copies of the petition must be lodged, together with the prescribed fee.
13.7 When the Statement and Appendix are ready, one master plus seven copies of the Statement, eight copies of Part 1 of the Appendix and 15 copies of Parts 2 etc. (if any) must be lodged at the Judicial Office with the prescribed fee. The appellants must at the same time apply to set down the appeal for hearing.
14. SETTING DOWN FOR HEARING
14.1 An appeal is set down for hearing at the same time as the appellants lodge the Statement and Appendix63.
14.2 Once an appeal has been set down for hearing, it may be called on at any time. Certain directions, for example directions 15.13-15.14, may be dispensed with to enable an appeal to be called on at short notice.
Estimates of length of time needed for hearing of appeal
14.3 Within seven days of the setting down of an appeal, each party must notify the Judicial Office of the number of hours that their counsel estimate to be necessary for each of them to address the Appellate Committee. Subject to any directions by the Appellate Committee before or at the hearing, counsel are expected to confine their submissions to the time indicated in their estimates. The Judicial Office should be informed at once of any alteration to the original estimate.
14.4 The average length of appeals before the Appellate Committee is two days, and appeals are listed for hearing on this basis. Estimates of more than two days must be explained in writing to the Head of the Judicial Office and may be referred to the Law Lords.
15. APPELLANTS' AND RESPONDENTS' CASES
15.1 The case is the statement of a party's argument in the appeal.
15.2 The case should be confined to the heads of argument that counsel propose to submit at the hearing and omit material contained in the Statement of facts and issues64. The members of the Appeal Committee who gave leave to appeal may not be sitting on the Appellate Committee; and so it cannot be assumed that the members of the Appellate Committee will be familiar with the arguments set out in the petition for leave to appeal.
15.3 Page 1 of the case should set out the title of the party on whose behalf it is lodged.
15.4 If either party is abandoning any point taken in the courts below, this should be made plain in their case. If they intend to apply in the course of the hearing for leave to introduce a new point not taken below, this should also be indicated in their case and the Judicial Office informed. If such a point involves the introduction of fresh evidence, application for leave must be made either in the case or by lodging a petition for leave to adduce the fresh evidence.
15.5 If a party intends to invite the House to depart from one of its own decisions, this intention must be clearly stated in a separate paragraph of their case, to which special attention must be drawn. A respondent who wishes to contend that a decision of the court below should be affirmed on grounds other than those relied on by that court must set out the grounds for that contention in their case.
15.6 Transcripts of unreported judgments should only be cited when they contain an authoritative statement of a relevant principle of law not to be found in a reported case or when they are necessary for the understanding of some other authority.
15.7 All cases must conclude with a numbered summary of the reasons upon which the argument is founded, and must bear the signature of at least one counsel for each case to the appeal who has appeared in the court below or who will be briefed for the hearing before the House.
15.8 The lodgment of a case carries the right to be heard by two counsel, one of whom may be leading counsel. The fees of two counsel only for any party are allowed on taxation unless the Appellate Committee orders otherwise on application at the hearing.
15.9 All the appellants must join in one case. All the respondents must also join in one case, unless it can be shown that the interests of one or more of the respondents are distinct from those of the rest. If the respondents' interests are distinct, the agents who first lodge their case must certify in a letter to the Judicial Office as follows:
15.10 When one of the foregoing certificates has been given, all remaining respondents wishing to lodge a case must respectively petition to do so in respect of each of their separate cases. Such petitions (which must be lodged with the prescribed fee) must be consented to by the appellants, and must set out the reasons for separate lodgment.
15.11 Parties whose interests in the appeal are passive (for example, stakeholders, trustees, executors, etc.) are not required to lodge a separate case but should ensure that their position is explained in one of the cases lodged.
15.12 The lodgment of a joint case on behalf of both appellants and respondents may be permitted in certain circumstances.
Lodgment and exchange of cases
15.13 No later than five weeks before the proposed date of the hearing, the appellants must lodge at the Judicial Office one master plus seven copies of their case and serve it on the respondents.
15.14 No later than three weeks before the proposed date of the hearing, the respondents must serve on the appellants a copy of their case in response and lodge at the Judicial Office one master plus seven copies of their case, as must any other party lodging a case (for example, an intervener or advocate to the court).
15.15 The number of copies of cases exchanged should be enough to meet the requirements of counsel and agents and should not usually exceed eight. To enable the appellants to lodge the bound volumes, the respondents and any other party who has lodged a case must also provide the appellants with 15 further copies of their case.
15.16 Following the exchange of cases, further arguments by either side may not without leave be submitted in advance of the hearing.
Form of cases
15.17 Cases must be produced on A4 paper, securely bound on the left, with:
15.18 Each party must include in their case to the House a copy of the case presented by them to the Court of Session, with a short summary of any additional reasons on which they propose to insist. If no case was presented to the Court of Session, each party must set forth in their case as shortly and succinctly as possible the reasons upon which they found their argument65.
16. BOUND VOLUMES
16.1 As soon as all cases have been exchanged, and no later than 14 days before the proposed date of the hearing, the appellants must lodge (in addition to the documents already lodged on setting down) 15 bound volumes, each containing:
Form of bound volumes
16.2 The bound volumes:
Provision of documents
16.3 To enable the appellants to produce the bound volumes, the respondents must provide the appellants' agents with a further 15 copies of the respondents' case in addition to the cases already exchanged.
16.4 Respondents should arrange with the appellants' agents for the delivery to them of such bound volumes as the respondents' counsel and agents require.
17.1 Ten copies of all authorities that may be needed during the hearing must be lodged at the same time as the bound volumes. The authorities should be collected together into one or more volumes. The appellants are responsible for producing the authorities volumes and lodging them at the Judicial Office. To enable the appellants to lodge the volumes, the respondents must provide the appellants with ten copies of any authorities which the respondents require but which the appellants do not, or arrange with the appellants for their photocopying. Respondents should arrange with the appellants for the delivery to them of such authorities volumes as the respondents' counsel and agents require.
Form and content of authorities volumes
17.2 The authorities volumes should:
17.3 The first volume(s) should contain citations from the C and L series of the Official Journal of the European Union; the Law Reports; the All England Reports; the Weekly Law Reports; Session Cases; the Scots Law Times; and the current edition of Halsbury's Laws. Subsequent volumes should contain all other material. In an appeal where there is a large number of authorities volumes, it is helpful to produce an index of indexes, separate from the index contained in the first authorities volume.
17.4 The authorities volumes should be lodged in the Judicial Office in separate containers from the bound volumes.
17.5 Where a case is not reported in the Law Reports or Session Cases, references to other recognised reports may be given (see direction 15.6). In Revenue appeals, Tax Cases may be cited but, wherever possible, references to the case in the Law Reports or Session Cases should also be given.
17.6 In order to produce the authorities volumes, parties may download text from electronic sources; but the authorities volumes may only be lodged in paper form.
17.7 In certain circumstances (for example, when during the hearing before the Appellate Committee it becomes apparent that a particular authority is needed but is not in the authorities volume), the House of Lords Library can arrange for copies of authorities to be made available at the hearing66. Parties must themselves provide ten copies of any other authority or of unreported cases. They must similarly provide copies of any authority of which notice has not been given.
17.8 The cost of preparing the authorities volumes falls to the appellants, but is ultimately subject to the decision of the House as to the costs of the appeal.
18. NOTICE OF HEARING
18.1 Once an appeal has been set down, it may be called on at any time, possibly at short notice.
18.2 The Judicial Office lists appeals to meet the convenience of all the parties. Provisional dates are agreed with the parties well in advance of the hearing and every effort is made to keep to these dates. Counsel, agents and parties are however advised to hold themselves in readiness during the week before and the week following the provisional date given. Agents receive formal notification shortly before the hearing.
18.3 Parties should inform the Judicial Office as early as possible of the names of counsel they have briefed.
18.4 Appellate Committees usually hear appeals on Mondays from 11am-1pm and from 2-4pm, and on Tuesdays to Thursdays from 10.30am-1pm and 2-4pm. Hearings take place in Committee Rooms 1 and 2 on the Committee Corridor of the Palace of Westminster.
19.1 If counsel seek an order other than that costs should be awarded to the successful party, they may make written submissions within 14 days of the conclusion of the hearing. One master plus seven copies of the written submissions must be lodged at the Judicial Office. Copies should also be sent to the other parties to the appeal.
Conditional fee agreements
19.2 Conditional fee agreements may properly be made by parties to appeals before the House of Lords67. It is open to the Taxing Officer to reduce the percentage uplift recoverable under a conditional fee agreement if he considers it to be excessive. The Taxing Officer decides questions of percentage uplift in accordance with the principles set out in Designers Guild Limited v. Russell Williams (Textiles) Limited (trading as Washington DC)  2 Costs LR 204. If a party appearing before the House seeks a ruling that the percentage uplift provided for in a conditional fee agreement should be wholly disallowed on legal grounds, such a ruling should (unless otherwise ordered) be expressly sought from the House before the end of the hearing68.
Submissions at judgment
19.3 If submissions on costs have not been made pursuant to direction 19.1, it may be appropriate for submissions on costs to be made in the light of the result of the appeal. In such cases the House postpones making an order for costs in order to allow the parties to make written submissions, usually within 14 days of the date on which judgment is given. One master plus seven copies of the submissions must be lodged at the Judicial Office, and copies sent to the other parties to the appeal.
19.4 The costs submissions are considered on the papers alone.
Place and time of judgment
20.1 Judgments are given in the Chamber of the House of Lords, usually on Wednesdays at 9.45am. Agents are notified of the date. One week's notice is normally given.
Attendance of counsel
20.2 One junior of counsel for each party or group of parties who have lodged a case is required to attend at the Bar of the House when judgment is delivered. Queen's Counsel may attend instead, but only a junior's fee is allowed on taxation. It is the convention that Queen's Counsel wear full-bottomed wigs when appearing at the Bar of the House. Counsel instructed to attend judgment must be familiar with the subject matter of the appeal and with the options for its disposal.
Conditions under which judgments are released in advance
20.3 The opinions of the Law Lords who sat on the Appellate Committee and the questions to be put to the House to dispose of the appeal are available to certain persons before judgment is given. When judgment is given on a Wednesday morning, these documents are made available to counsel from 10.30 am on the previous Friday morning. They may be collected from the Judicial Office. In releasing these documents, the House gives permission for their contents to be disclosed to counsel, agents (including solicitors outside London who have appointed London agents) and in-house legal advisers in a client Government department. The contents of the documents and the result of the appeal must not be disclosed to the client parties themselves until judgment is given in the House.
20.4 It is the duty of counsel to check that the questions to be put to the House dispose of the appeal in accordance with the opinions of the members of the Appellate Committee. In the case of apparent error or ambiguity in the opinions, counsel are requested to inform the Judicial Office as soon as possible. This can be done at any time by e-mail to email@example.com, and no later than 4pm on the Monday before judgment.
20.5 Accredited members of the media may also be given in advance of judgment the Appellate Committee's opinions and the questions to be put to the House to dispose of the appeal. The contents of these documents are subject to a strict embargo, and are not for publication, broadcast or use on club tapes before judgment has been delivered. The documents are issued in advance on the strict understanding that no approach is made to any person or organisation about their contents before judgment is given.
21. ORDER OF THE HOUSE
21.1 After the House has given judgment, drafts of the order of the House are sent to all parties who lodged a case. The drafts must be returned to the Judicial Office within seven days of the date of receipt (unless otherwise directed), either approved or with suggested amendments. If amendments are proposed, they must be submitted to the agents for the other parties, who should indicate their approval or disagreement both to the agents submitting the proposals and to the Judicial Office. Where the amendments proposed are contrary to the questions put to and agreed by the House, a petition must be lodged.
21.2 The final order is sent free of charge to the agents for the successful parties.
21.3 Prints of the final order are sent free of charge to the agents for all parties who have entered appearance.
22. BILLS OF COSTS
22.1 Bills of costs for taxation (assessment of costs) should be lodged within three months from the date of judgment69 or the date on which a petition of appeal is withdrawn (see direction 45).
22.2 The practice directions relating to judicial taxations and forms of bills of costs are available from the Judicial Office and at www.parliament.uk. Fees are payable on taxation of a bill of costs.
23. DISPOSAL OF SECURITY MONEY
23.1 When the appellants are ordered to pay the costs of the appeal, the respondents' costs are met in whole or in part by direct payment to the respondents of the money deposited in the Security Fund (see direction 10), unless the parties have come to some other arrangement.
23.2 If the total amount of the respondents' costs can be met from the money paid into the Security Fund, any balance is repaid to the party who paid it in.
23.3 If the respondents' costs are only partly met by such payment, any certificate of taxation which is forwarded to the respondents takes account of the amount so paid.
23.4 In appeals where more than one bill of respondents' costs is to be paid by the appellants, and the money deposited as security is not enough to meet all the bills, the money is divided between the bills in proportion to their amounts as allowed on taxation or in proportion to the amounts agreed by the respondents.
23.5 If the appellants are not ordered to pay the costs of the appeal, money paid into the Security Fund is returned to them when the final judgment order has been issued.
23.6 If an appeal is withdrawn before setting down or is dismissed for want of prosecution, or if the respondent fails to lodge a bill of costs or an application for extension of time within three months of the date of judgment (see direction 22), the appellants may apply in writing to the Judicial Office for the return to them of the money deposited in the Security Fund. The application must be accompanied by the written consent of all the respondents who have entered appearance. If any respondent refuses consent, the appellants may send them a written demand to lodge a bill of costs within four weeks from the date of notice. If the Clerk of the Parliaments is satisfied that such a demand was duly sent and if the respondent fails to lodge a bill of costs within the time specified, the money in the Security Fund is returned to the appellants.
24. PREPARATION OF DOCUMENTS
24.1 All formal documents to the House of Lords must be produced on A4 paper, securely bound on the left , using both sides of the paper.
24.2 Documents which are not legible or which are not produced in the authorised form or which are unsatisfactory for some other similar reason are not accepted.
24.3 Parties may consult the Judicial Office at all stages of preparation of documents and may submit proofs for approval where appropriate.
Number of documents required
24.4 The following table shows the numbers of documents usually required for the hearing of an appeal. The numbers shown are the minimum prescribed in the directions. Actual requirements must be subject to agreement and depend on the number of parties, counsel and agents concerned, and on the special circumstances of each appeal. Copies for the use of the party originating the documents are not included in the numbers indicated.
The appellants must provide:
The respondents (and any interveners) must provide:
Form of documents
24.5 Statement of facts and issues: see direction 11.2.
24.6 Appendix: see direction 12.7.
24.7 Cases: see direction 15.18.
24.8 Bound volumes: see direction 16.2.
24.9 Authorities volumes: see direction 17.2.
25. DISPOSAL OF DOCUMENTS
25.1 All petitions and supporting documents lodged become the property of the House. No documents submitted in connection with an application for leave to appeal can be returned. Certain documents submitted in connection with an appeal may be returned, on application to the Judicial Office within 14 days of judgment in the appeal. Master documents are retained in the parliamentary archives.
25.2 Documents lodged for the use of the Appellate Committee may with the permission of the Committee be inspected by persons who are not a party to the appeal. Such persons must comply with any anonymity orders and data protection requirements.
26.1 'Lodgment' and 'lodging' mean delivery to the Judicial Office or to a member of the Judicial Office staff by post or in person during opening hours. Where the time for lodging a document expires on a Saturday, Sunday, bank holiday, or any other day on which the Judicial Office is closed, the document will be received by the Judicial Office if it is lodged on the first day on which the Office is next open.
26.2 Communications with the Judicial Office may be transmitted by fax or e-mail only in urgent circumstances and by previous arrangement with the Office.
26.3 The Judicial Office will not receive by fax or e-mail any document which is to be presented to the House or on which a fee is payable.
26.4 Any agent attending the Judicial Office to lodge papers must be familiar with the subject matter to be dealt with.
27. WAIVER OF FEES
27.1 In circumstances where a party to an appeal would suffer financial hardship by the payment of fees to the House, the requirement to pay the fee may be waived. Direction 3.17 applies.
PART III - OTHER DIRECTIONS APPLICABLE TO CIVIL APPEALS
28.1 If a party to an appeal is adjudicated bankrupt, their agent must give immediate notice in writing to the other parties and to the Judicial Office, who must also be provided with a certified copy of the bankruptcy order (Standing Order X). The bankrupt party must lodge a petition to render the appeal effective and the appeal cannot proceed until the petition has been agreed to by the House.
28.2 A petition to render the appeal effective must be lodged within three months of the date of the notice.
28.3 The form of petition and the procedure for any supplemental case follows that for abatement by death70.
29. CONSOLIDATION AND CONJOINDER
29.1 Where the issues in two or more appeals are similar, it may be appropriate for them to be consolidated or conjoined.
29.2 Consolidation results in the appeals being conducted as a single cause with one set of counsel and one case only on each side and with a single Appendix of documents.
29.3 Conjoinder is a looser linking of two or more appeals, and a number of variations is possible. Common forms of conjoinder are where: the appellants lodge separate cases with a separate junior for each appellant but a single leader; or the appellants lodge a single case with a single set of counsel but the respondents lodge separate cases and are separately represented.
29.4 The Judicial Office should be consulted on whether consolidation or some form of conjoinder is likely to be appropriate. A principal consideration should be to avoid wherever possible separate representation by counsel, or any duplication in the submissions made or in documents produced for the hearing.
29.5 Applications to consolidate or to conjoin appeals are made by petition71. The petition must be signed by the agents for all petitioners and must be submitted to the agents for all the other parties who have entered appearance for the endorsement of their consent. If consent is refused, the petition must be endorsed with a certificate that it has been served on the agents in question.
29.6 If all parties consent to or join in the petition, one master plus one copy of the petition should be lodged, together with the prescribed fee.
29.7 If any party refuses their consent, one master plus five copies of the petition should be lodged, together with the prescribed fee. The petition is then referred to an Appeal Committee and may be determined after a hearing.
30.1 The presentation of an appeal does not entitle a respondent to an appeal to present a cross-appeal. Leave to appeal is required. If leave to appeal has been given to the appellants by an Appeal Committee of the House, application for leave to cross-appeal may be made by the respondents directly to the Appeal Committee. If leave to appeal has been given by the Court of Appeal, then the respondents must first apply to the Court of Appeal for leave to cross-appeal and, if leave is refused, then to apply to the House.
30.2 A petition for leave to cross-appeal may only be lodged after leave to appeal has been granted to the original petitioner for leave to appeal. One master plus five copies of the petition for leave to cross-appeal must be lodged.
If leave to cross-appeal is granted, the petition of cross-appeal must be lodged with the prescribed fee within six weeks of the presentation of the original appeal72. One master plus seven copies of the petition of cross-appeal must be lodged. In a petition of cross-appeal, the original appellant in the House of Lords is designated as original-appellant/cross-respondent and the original respondent is designated as original-respondent/cross-appellant.
A cross-appeal may be presented out of time in accordance with direction 7.3.
30.3 No security for costs is required in cross-appeals (direction 10.5).
30.4 Argument in respect of a cross-appeal must be included by each party in their case in the original appeal. Such an inclusive case must clearly state that it is lodged in respect of both the original and cross-appeals.
30.5 In a cross-appeal, the cases on the original appeal must be lodged in accordance with direction 15.13, i.e. five weeks before the hearing. The cross-appellants' case for the cross-appeal must be lodged in accordance with direction 15.14, i.e. three weeks before the hearing as part of their reply to the original appellants' case. The original appellants/cross-respondents may reply to the case for the cross-appeal in their case lodged in the bound volumes.
30.6 There is only one Appendix for the original appeal and cross-appeal, and documents in respect of the appeal and cross-appeal must be included in the same Appendix. The original-appellants/cross-respondents are responsible for lodging the Statement and Appendix and setting the appeal and cross-appeal down for hearing (including payment of the fee).
31. DEATH OF A PARTY
31.1 If a party to an appeal dies before the hearing, the appeal abates from the date of death (Standing Order X). Immediate notice of the death must be given in writing to the Judicial Office and to the other parties. The addition of a new party to represent the deceased person's interest cannot proceed until a petition for reviving the appeal has been agreed to by the House.
31.2 The petition for revivor must be lodged with the prescribed fee within three months of the date of notice of death73. It must be accompanied by an affidavit explaining the circumstances in which it is being lodged. It must be endorsed with a certificate of service on the respondents.
31.3 If abatement takes place after the case for the deceased person has been lodged but before the appeal has been heard, the appellants must lodge a supplemental case setting out the orders of the House on reviving the appeal and information about the newly-added parties.
32. DISPUTE BETWEEN PARTIES SETTLED
32.1 It is the duty of counsel and solicitors in any pending appeal, if an event occurs which arguably disposes of the dispute between the parties, either to ensure that the appeal is withdrawn by consent or, if there is no agreement on that course, to bring the facts promptly to the attention of the House and to seek directions.
33. EUROPEAN CONVENTION ON HUMAN RIGHTS
Appeals notified under direction 9.11(a), (b) or (c)
33.1 Where an appeal involves a point notified under direction 9.11, the petition of appeal must include the words 'in accordance with the Human Rights Act 1998' at the appropriate place in the prayer of the petition74. Details of the Convention right75 which it is alleged has been infringed and of the infringement must be set out in the Statement of facts and issues and dealt with in a separate paragraph of the cases of all parties to the appeal.
Appeals notified under direction 9.11(a)
33.2 The Crown has the right to be joined as a party in any appeal where the House is considering whether to declare that a provision of primary or subordinate legislation is incompatible with a Convention right76. In any appeal where the House is considering, or is being asked to consider, whether to make, uphold or reverse such a declaration, whether or not the Crown77 is already a party to the appeal, the Head of the Judicial Office notifies the appropriate Law Officer(s)78.
33.4 The person notified under direction 33.2 or 33.3 must within 21 days of receiving such notice, or such extended period as the Head of the Judicial Office may allow, serve on the parties and lodge at the Judicial Office a notice stating whether or not the Crown intends to intervene in the appeal; and the identity of the Minister or other person who is to be joined as a party to the appeal81.
33.5 If a Minister or other person has already been joined to proceedings in the court below in accordance with the provisions of s 5 of the Human Rights Act 1998, the leave of the House is not required for the continued intervention of the Crown.
33.6 Once joined to the appeal, the case for the Minister or other person must be lodged in accordance with direction 15.
33.7 The House may order the postponement or adjournment of the hearing of the appeal for the purpose of giving effect to the provisions of this direction or the requirements of the Act.
Appeals notified under direction 9.11(b) or (c)
33.8 Except as prescribed in direction 33.1, no special steps are required for appeals notified under direction 9.11(b) or 9.11(c).
34. EUROPEAN COURT OF JUSTICE
34.1 Article 234 of the Treaty establishing the European Community provides:
34.2 When the House refuses leave to appeal to a petition which includes a contention that a question of Community law is involved, the House gives additional reasons for its decision not to grant leave to appeal (see direction 4.7). These reasons reflect the decision of the Court of Justice in CILFIT v. Ministry of Health (Case C-283/81) which laid down the categories of case where the Court of Justice considered that no reference should be made to it, namely:
(a) where the question raised is irrelevant;
(b) where the Community provision in question has already been interpreted by the Court of Justice;
34.3 The House may order a reference to the Court of Justice before determining whether to grant leave to appeal. In such circumstances proceedings on the petition for leave to appeal are stayed until the answer is received. The directions below apply as appropriate83.
34.4 When the House intends to make a reference, the hearing is adjourned and the parties are invited to submit an agreed draft of the question(s) to be referred. A further Statement of facts and issues, for the use of the Court of Justice, may also be appropriate. The House then makes the reference, with or without opinions. At this stage the appeal may also be disposed of in part.
34.5 Within one month of the judgment of the Court of Justice, the parties must make written submissions to the Judicial Office on whether a further hearing before the Appellate Committee is necessary or on how the appeal is to be disposed of.
Further proceedings in the House of Lords
34.6 If a further hearing is required before the Appellate Committee, the parties may lodge supplemental cases.
34.7 If supplemental cases are lodged, then:
34.8 As soon as all the supplemental cases have been exchanged, and no later than two weeks before the date of the expected hearing, the appellants must lodge 15 additional sets of bound volumes84 containing:
34.9 The Judicial Office supplies the Appellate Committee with the original bound volumes, appendices and authorities volumes.
34.10 The Court of Justice does not make orders for costs. The costs of the reference are included in the order of the House disposing of the appeal; and, if necessary, are taxed by the House's Taxing Officer.`
35.1 Parties who require exhibits to be available for inspection at the hearing must apply to the Judicial Office for permission for the exhibits to be brought to the House before the hearing.