Introduction to Simple Procedure

Simple procedure actions are designed to provide a "speedy, inexpensive and informal way" of resolving non-injury claims valued below £5,000. This quick and easy guide outlines the key components and necessary steps for those who want to understand more about raising or defending a simple procedure claim.

How to initiate a Simple Procedure Claim

A simple procedure action is initiated by a claim form (Form 3A). The claim form provides the court with details about the parties (usually "the claimant" and "the respondent"), as well as the factual circumstances of the dispute, what remedy the claimant is seeking (such as payment of a particular sum of money) and why their claim should, in terms of the law, succeed. The claimant should also include in their claim form, information regarding any evidence that they wish to rely on in support of their case, including details of any witnesses.

The completed claim form should be submitted to the court for registration and then served on the respondent. Claim forms must be uploaded to the Civil Online portal in order to be registered with the court.

Once the claim form has been registered, the court will issue a timetable which includes key dates by which the claim form must be served on the respondent and the final date for the respondent to submit their response to the court.

How to respond to a simple procedure claim

i) What happens if I ignore a simple procedure claim form that is served on me/my business?

    If you choose to ignore a claim form that you have received, the claimant can ask the court to grant what they have asked for, as above, perhaps for a sum of money or for something to be done. If you have chosen to ignore the claim form, provided the claimant has evidence that you received it, the court will likely grant the claimant what they have asked for.

    ii) How do I lodge a response form?

      As a respondent, you can either (i) elect to lodge a response accepting liability and if necessary, request to pay the sum owed to the claimant over a period of time or (ii) dispute liability and/or the value of the claim.

      A respondent should respond to each of the points made by the claimant and explain what is being disputed and why. Any evidence the respondent already holds in support of their defence should be lodged along with the response form.

      What happens after a response form has been lodged?

      The Sheriff will issue written orders where he or she will either:

      • Arrange a case management discussion;
      • Arrange an evidential hearing (similar to a proof or trial);
      • Refer the matter to a form of alternative dispute resolution;
      • Decide the case; or
      • Dismiss the case.

      Usually if the claim, or part of it, has been disputed, a case management discussion will be fixed. This is a discussion between the parties and the Sheriff to allow the Sheriff to ascertain the parties' positions and the potential scope for settlement without the need for an evidential hearing.

      Both parties should be properly prepared for a case management discussion, as it is not uncommon for the Sheriff to try to resolve the dispute, or at least part of the dispute, at that discussion.

      During the Covid-19 pandemic, case management discussions took place remotely via telephone or video conference (Webex). Most courts in Scotland have carried on using remote methods following the lifting of restrictions saving parties time and money.

      If an agreement cannot be reached at a case management discussion, an evidential hearing will usually be fixed and parties will have the opportunity to present their evidence to the court and examine their witnesses. At the end of the hearing, the Sheriff will then make their decision on the outcome of the case (judgment).

      Applications

      Parties can manage their case through the use of Additional Orders Application (Part 9 of the rules). Applications can be uploaded to Civil Online and can be used to ask the court for things to be done in a case.

      This may include requesting the court to:

      • Pause the case
      • Restart the case
      • Fix or discharge a hearing
      • Amend the contents of the claim or response form
      • Grant an order allowing recovery of documents from a relevant party
      • Abandoning the claim

      Managing and Tracking Your Case

      Use of Civil Online

      A party, or their representative, can track the progress of the case on Civil Online. They can also use Civil Online to upload evidence, applications and to pay court fees. Parties will also receive notifications as to when documents are available, such as Orders of the Sheriff or documents uploaded by other parties.

      How much does simple procedure cost in Scotland?

      While simple procedure is designed to be a more affordable method of dispute resolution, there are still costs involved. To raise a simple procedure action, the claimant must pay a fee to the court. For claims valued at less than £300 the fee due to the court is £22, and for claims of more than £300 the fee is £123. There may be other costs - for example, if a party needs to instruct an expert report to support their case.

      The successful party in a simple procedure action may be able to claim costs back from the other side. The level of such costs can vary.

      Costs and Fees / Expenses

      If a party is successful in a disputed case, they will likely be awarded expenses (unless the claim is worth less than £300). The level of expenses can vary depending on the sum sued for:

      1. £300-£1500: £150 + VAT + any disbursements/costs.
      2. £1500 - £3000: Capped at 10% of the sum agreed + VAT + any disbursements/costs.
      3. £3000-£5000: The claimant is awarded expenses based on the level of work carried out. This is called uncapped expenses.

      There are exceptions to this under Section 81(5)(a)(ii) of the Courts Reform (S) Act 2014 which disapplies the cap in certain circumstances (see Brodies blog on tenders and the cap on simple procedure expenses).

      Resources and Support

      If you require any further resources and support on simple procedures, please get in touch with our insurance lawyers or your usual brodies contact.

      Contributors

      Lauren Kerr

      Associate

      Laura McMillan

      Partner & Director of Advocacy

      Sinead Moran

      Senior Solicitor