Saturday, 7 July 2012

Supreme Court of UK Rules 2009

S T A T U T O R Y I N S T R U M E N T S
2009 No. 1603 (L. 17)
SUPREME COURT OF THE UNITED KINGDOM
The Supreme Court Rules 2009
Made - - - - 26th June 2009
Laid before Parliament 1st July 2009
Coming into force - - 1st October 2009
CONTENTS
PART 1
Interpretation and scope
1. Citation and commencement
2. Scope and objective
3. Interpretation
4. Forms
5. Time limits
6. Service
7. Filing
8. Non-compliance with these Rules
9. Procedural decisions
PART 2
Application for permission to appeal
10. Form of application
11. Filing of application
12. Service of application
13. Notice of objection by respondent
14. Documents in support of application
15. Interventions in applications
16. Consideration on paper
17. Oral hearing of application
PART 3
Commencement and preparation of appeal
18. Form and filing of notice where permission granted by the Court
19. Form and filing of notice where permission not required
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20. Service of notice
21. Acknowledgement by respondent
22. Documents for appeal hearing
23. The core volumes
24. Authorities
25. Cross-appeals
26. Intervention
PART 4
Hearing and decision of appeal
27. Hearing in open court
28. Judgment
29. Orders
PART 5
Further general provisions
30. Procedural applications
31. Requests for expedition
32. Grouping appeals
33. Change of interest
34. Withdrawal etc of application for permission to appeal or of appeal
35. Advocate to the Court and assessors
36. Security for costs
37. Stay of execution
38. Change of solicitor and London agents
39. Disposal of documents
PART 6
Particular appeals and references
40. Human Rights Act issues
41. Devolution jurisdiction
42. Court of Justice of the European Communities
43. Revocation of patents
44. Criminal appeals
PART 7
Fees and costs
45. Fees
46. Orders for costs
47. Submissions as to costs
48. Claim for costs
49. Assessment of costs
50. Basis of assessment
51. The standard basis and the indemnity basis
52. Amount of assessed costs to be specified
53. Appeal from assessment
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54. Payment out of security for costs
PART 8
Transitional arrangements
55. Transitional arrangements
The senior Lord of Appeal in Ordinary makes the following Rules in exercise of the power
conferred by section 45 of the Constitutional Reform Act 2005(a).
In accordance with section 45(4) and (5) of that Act the senior Lord of Appeal in Ordinary has
consulted the Lord Chancellor, the General Council of the Bar of England and Wales, the Law
Society of England and Wales, the Faculty of Advocates of Scotland, the Law Society of Scotland,
the General Council of the Bar of Northern Ireland, the Law Society of Northern Ireland and with
such other bodies representing persons likely to be affected by the Rules as the senior Lord of
Appeal in Ordinary considered appropriate.
PART 1
Interpretation and scope
Citation and commencement
1. These Rules may be cited as the Supreme Court Rules 2009 and shall come into force on 1st
October 2009.
Scope and objective
2.—(1) These Rules apply to civil and criminal appeals to the Court and to appeals and
references under the Court’s devolution jurisdiction.
(2) The overriding objective of these Rules is to secure that the Court is accessible, fair and
efficient.
(3) The Court must interpret and apply these Rules with a view to securing that the Court is
accessible, fair and efficient and that unnecessary disputes over procedural matters are
discouraged.
Interpretation
3.—(1) In these Rules—
“the Act” means the Constitutional Reform Act 2005;
“the Court” means the Supreme Court of the United Kingdom;
“Justice” means a judge of the Court and includes its President and Deputy President;
“the Registrar” means the Registrar of the Court;
“the Registry” means the Registry of the Court.
(2) In these Rules except where the context otherwise requires —
“appellant” means a person who files an application for permission to appeal or who files a
notice of appeal;
(a) 2005 c. 4. Section 45 is modified by the Constitutional Reform Act 2005 (
Temporary Modifications) Order 2006 (
S.I.
2006/227) so that, until the coming into force of s 23 of the 2005 Act, any reference to the “President of the Supreme Court”
is a reference to the “senior Lord of Appeal in Ordinary”.
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“business day” means any day other than a Saturday, Sunday, Christmas Day, Good Friday or
a bank holiday under the Banking and Financial Dealings Act 1971(a), in England and Wales;
“certificate of service” means a certificate given under rule 6;
“counsel” includes any person with the right to be heard as an advocate at a full hearing before
the Court;
“court below” means the court from which an appeal (or application for permission to appeal)
is made to the Court;
“court officer” means the Registrar or a member of the court staff;
“devolution jurisdiction” means the jurisdiction transferred to the Court by section 40 of, and
Schedule 9 to, the Act;
“electronic means” means CD ROMs, memory sticks, email, fax or other means of electronic
communication of the contents of documents;
“filing” means filing in the Registry in accordance with rule 7 and related expressions have
corresponding meanings;
“form” and the “appropriate form” have the meanings given by rule 4;
“panel of Justices” means a panel of at least three Justices;
“party” means an appellant, a respondent and a person who has been given permission to
intervene under rule 26;
“the relevant officer” means—
(a) in relation to proceedings in England and Wales, the Attorney General and, in relation to
proceedings that particularly affect Wales, the Counsel General to the Welsh Assembly
Government,
(b) in relation to proceedings in Scotland, the Advocate General for Scotland and the Lord
Advocate; and
(c) in relation to proceedings in Northern Ireland, the Advocate General for Northern Ireland
and (when section 22 of the Justice (Northern Ireland) Act 2002 comes into force (b)) the
Attorney General for Northern Ireland;
“requisite number of copies” means the number of copies which are to be provided under the
relevant practice direction or as directed by the Court;
“respondent” includes a respondent to an application for permission to appeal and means—
(a) a person other than the appellant who was a party to the proceedings in the court below
and who is affected by the appeal; and
(b) a person who is permitted by the Court to be a party to the appeal;
“service” and related expressions have the meanings given by rule 6;
“solicitor” includes any person authorised to provide legal services other than as counsel in
connection with proceedings before the Court.
(3) References in these Rules to a practice direction means a practice direction issued by the
President of the Court.
(4) References in these Rules or in any form to a party’s signing, filing or serving any document
or taking any other procedural step include the signature, filing or service of that document or the
taking of such other procedural step by the party’s solicitor.
(5) Where any of these Rules or any practice direction requires a document to be signed, that
requirement shall be satisfied if the signature is printed by computer or other mechanical means.
(6) Where these Rules require or permit the Court to perform an act of a formal or
administrative character, that act may be performed by a court officer.
(
a) 1971 c. 80.
(b) 2002 c. 26.
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Forms
4.—(1) In these Rules, a form means a form set out in a practice direction and a reference to the
“appropriate form” means the form provided by the relevant practice direction for any particular
case.
(2) The forms shall be used in the cases to which they apply, and in the circumstances for which
they are provided by the relevant practice direction, but a form may be varied by the Court or a
party if the variation is required by the circumstances of a particular case.
Time limits
5.—(1) The Court may extend or shorten any time limit set by these Rules or any relevant
practice direction (unless to do so would be contrary to any enactment).
(2) The Court may exercise these powers either on an application by one or more parties or
without an application being made.
(3) The Registrar must notify the parties when a time limit is varied under this rule.
(4) An application for an extension of time may be granted after the time limit has expired.
(5) Where a party to a proposed appeal has applied for public funding and the Registrar is
informed of the application, the time limits in rules 11 and 19 shall be extended until 28 days after
the final determination of the application for public funding.
(6) When the period specified—
(a) by these Rules or a practice direction, or
(b) by any judgment or court order,
for doing any act at the Registry ends on a day on which the Registry is closed, that act shall be in
time if done on the next day on which the Registry is open.
Service
6.—(1) A document may be served by any of the following methods—
(a) personal service;
(b) first class post (or an alternative service which provides for delivery on the next working
day);
(c) (with the consent of the party to be served) through a document exchange;
(d) (with the consent of the party to be served or at the direction of the Registrar) by
electronic means in accordance with the relevant practice direction.
(2) Where the address of the person on whom a document is to be served is unknown, the
Registrar may direct that service is effected by an alternative method of service.
(3) A document served by first-class post or through a document exchange will be taken to have
been served on the second day after it was posted or left at the document exchange, as the case
may be (not including days which are not business days).
(4) A certificate of service must give details of the persons served, the method of service used
and must state the date on which the document was served personally, posted, delivered to the
document exchange or sent electronically, as the case may be.
Filing
7.—(1) A document may be filed by any of the following methods—
(a) personal delivery;
(b) first class post (or an alternative service which provides for delivery on the next working
day);
(c) through a document exchange;
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(d) (with the consent of the Registrar) by electronic means in accordance with the relevant
practice direction.
(2) A document filed by first-class post or through a document exchange will be taken to have
been filed on the second day after it was posted or left at the document exchange, as the case may
be (not including days which are not business days).
(3) Except with the consent of the Registrar, the contents of documents—
(a) filed in hard copy must also be provided to the Registry by electronic means, and
(b) filed by electronic means must also be provided to the Registry in hard copy,
in accordance with the relevant practice direction.
(4) A court officer must seal the following documents when they are filed—
(a) an application for permission to appeal,
(b) a notice of objection or acknowledgement by the respondent,
(c) a notice of appeal,
(d) an application form,
and may place the seal on the document by hand or by printing a facsimile of the seal on the
document whether electronically or otherwise.
(5) A document purporting to bear the Court’s seal shall be admissible in evidence without
further proof.
Non-compliance with these Rules
8.—(1) Any failure by a party to comply with these Rules or any relevant practice direction shall
not have the effect of making the proceedings invalid.
(2) Where any provision in these Rules or any relevant practice direction is not complied with,
the Court may give whatever directions appear appropriate, having regard to the seriousness of the
non-compliance and generally to the circumstances of the case.
(3) In particular, the Registrar may refuse to accept any document which does not comply with
any provision in these Rules or any relevant practice direction and may give whatever directions
appear appropriate.
(4) Directions given under this rule may include the summary dismissal of an appeal or
debarring a respondent from resisting an appeal.
Procedural decisions
9.—(1) Subject to paragraph (2), the powers of the Court under the following rules may be
exercised by a single Justice or the Registrar without an oral hearing—
(a) rule 5 (time limits),
(b) rule 8 (non-compliance with Rules),
(c) rule 33 (change of interest),
(d) rule 34 (withdrawal of appeal),
(e) rule 35 (advocate to the Court and assessors),
(f) rule 36 (security for costs),
(g) rule 37 (stay of execution) and
(h) rule 41 (devolution jurisdiction).
(2) Any contested application—
(a) alleging contempt of the Court; or
(b) for a direction under rule 8 dismissing an appeal or debarring a respondent from resisting
an appeal; or
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(c) for security for costs,
shall be referred to a panel of Justices who shall, in a case of alleged contempt, and may, in any
other case, hold an oral hearing.
(3) Where under these Rules any matter falls to be decided by a single Justice, that Justice may,
where it appears appropriate, direct an oral hearing or may refer the matter to a panel of Justices to
be decided with or without an oral hearing.
(4) Where under these Rules any matter falls to be decided by the Registrar, the Registrar may—
(a) direct an oral hearing;
(b) refer the matter to a single Justice (and paragraphs (1) and (3) shall then apply);
(c) refer the matter to a panel of Justices to be decided with or without an oral hearing.
(5) A party may apply for a decision of the Registrar to be reviewed by a single Justice (in
which case paragraphs (1) and (3) shall apply) and any application under this rule must be made in
the appropriate form and be filed within 14 days of the Registrar’s decision.
(6) Subject to rule 27, oral hearings on procedural matters must be heard in open court or in a
place to which the public are admitted.
(7) If any procedural question arises which is not dealt with by these Rules, the Court or the
Registrar may adopt any procedure that is consistent with the overriding objective, the Act and
these Rules.
PART 2
Application for permission to appeal
Form of application
10.—(1) Every application to the Court for permission to appeal shall be made in the appropriate
form.
(2) An application for permission to appeal must be made first to the court below, and an
application may be made to the Supreme Court only after the court below has refused to grant
permission to appeal.
Filing of application
11.—(1) Subject to any enactment which makes special provision with regard to any particular
category of appeal, an application for permission to appeal must be filed within 28 days from the
date of the order or decision of the court below.
(2) The Registrar may refuse to accept any application on the ground that—
(a) the Court does not have jurisdiction under section 40 of the Act to issue it;
(b) it contains no reasonable grounds; or
(c) it is an abuse of process,
and may give whatever directions appear appropriate.
(Section 2 of the Administration of Justice Act 1960 provides that an application for permission to
appeal to the Supreme Court in a case involving civil contempt of court must be filed within 14
days, beginning with the date on which the application for permission is refused by the court
below.)
(Section 13 of the Administration of Justice Act 1969 provides that an application for permission
to appeal to the Supreme Court in a “leapfrog appeal” from the High Court must be filed within
one month from the date on which the High Court judge grants a certificate under section 12.)
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Service of application
12. Before the application is filed, a copy must be served—
(a) on every respondent, and
(b) on any person who was an intervener in the court below,
and, when the application is filed, the appellant must file a certificate of service.
Notice of objection by respondent
13.—(1) Each respondent who wishes to object to the application must, within 14 days after
service, file notice of objection in the appropriate form together with a certificate of service.
(2) Before the notice is filed, a copy must be served on—
(a) the appellant,
(b) any other respondent, and
(c) any person who was an intervener in the court below.
(3) A respondent who does not file notice under this rule will not be permitted to participate in
the application and will not be given notice of its progress.
Documents in support of application
14.—(1) The requisite number of copies of the application must be filed together with—
(a) a copy of the order appealed from, and
(b) (if separate) a copy of any order refusing permission to appeal
and, if the order appealed from is not immediately available, the application should be filed
without delay and the order filed as soon as it is available.
(2) The appellant must file the further documents required for the use of the Court within 7 days
after filing the application.
Interventions in applications
15.—(1) Any person and in particular—
(a) any official body or non-governmental organization seeking to make submissions in the
public interest or
(b) any person with an interest in proceedings by way of judicial review,
may make written submissions to the Court in support of an application for permission to appeal
and request that the Court takes them into account.
(2) Before the submissions are filed, a copy must be served on—
(a) the appellant,
(b) every respondent, and
(c) any person who was an intervener in the court below
and the requisite number of copies of the submissions must be filed together with a certificate of
service.
(3) Any submissions which are made shall be referred to the panel of Justices which considers
the application for permission to appeal.
(4) If permission to appeal is granted—
(a) a person whose submissions were taken into account by the panel will be notified but, if
that person wishes to intervene in the appeal, an application must be made under rule 26;
(b) the appellant must notify any person who was an intervener in the court below whether or
not that person made submissions under this rule.
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Consideration on paper
16.—(1) Every admissible application for permission to appeal (together with any submissions
made under rule 15 and any respondent’s notice of objection) shall be considered on paper without
a hearing by a panel of Justices.
(2) The panel may—
(a) grant or refuse permission to advance all or any of the grounds of appeal;
(b) invite the parties to file written submissions within 14 days as to the grant of permission
on terms (whether as to costs or otherwise); or
(c) direct an oral hearing.
(3) Where the panel has invited the parties’ submissions as to terms, it shall reconsider the
application on paper without a hearing and may refuse permission or grant permission (either
unconditionally or on terms) to advance all or any of the grounds of appeal.
(4) Where the panel grants permission to advance limited grounds of appeal it shall (unless it
directs otherwise) be taken to have refused permission to advance the other grounds.
(5) An order of the Court shall be prepared and sealed by the Registrar to record any decision
made under this rule.
Oral hearing of application
17.—(1) Where the panel has directed an oral hearing, the appellant and every respondent who
has given notice under rule 13 will be informed of the date of the oral hearing.
(2) An order of the Court shall be prepared and sealed by the Registrar to record any decision
made under this rule.
PART 3
Commencement and preparation of appeal
Form and filing of notice where permission granted by the Court
18.—(1) Where the Court grants permission to appeal, rules 19 and 20 shall not apply and
(a) the application for permission to appeal shall stand as the notice of appeal;
(b) the grounds of appeal shall be limited to those on which permission has been granted;
(c) the appellant must, within 14 days of the grant by the Court of permission to appeal, file
notice under this rule of an intention to proceed with the appeal.
(2) When notice is filed under rule 18(1)(c), the application for permission to appeal will be resealed
and the appellant must then—
(a) serve a copy on each respondent and on any person who was an intervener in the court
below or whose submissions were taken into account under rule 15; and
(b) file the requisite number of copies and a certificate of service.
(3) In any other case an appellant must file a notice of appeal under rule 19.
Form and filing of notice where permission not required
19.—(1) Every notice of appeal shall be made in the appropriate form.
(2) The notice of appeal together with the requisite number of copies must be filed within 42
days of the date of the order or decision of the court below.
(3) The appellant must also file—
(a) a copy of the order appealed from and
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(b) (if separate) a copy of the order granting permission to appeal
and, if the order appealed from is not immediately available, the notice of appeal must be filed
without delay and the order filed as soon as it is available.
Service of notice
20.—(1) Before the notice of appeal is filed, a copy must be served on each respondent and on
any person who was an intervener in the court below.
(2) When the notice of appeal is filed, the appellant must file a certificate of service.
Acknowledgement by respondent
21.—(1) Each respondent who intends to participate in the appeal must, within 14 days after
service under rule 18(2)(a) or 20, file notice in the appropriate form together with a certificate of
service.
(2) Before the notice is filed, a copy must be served on—
(a) the appellant,
(b) any other respondent, and
(c) any person who was an intervener in the court below or whose submissions were taken
into account under rule 15.
(3) A respondent who does not file notice under this rule will not be permitted to participate in
the appeal and will not be given notice of its progress.
Documents for appeal hearing
22.—(1) Within 112 days after the filing of the notice under rule 18(1)(c) or the filing of the
notice of appeal, the appellant must file—
(a) a statement of the relevant facts and issues; and
(b) an appendix (prepared in accordance with the relevant practice direction) of the essential
documents which were in evidence before, or which record the proceedings in, the courts
below.
(2) Both the statement and the appendix must be submitted to, and agreed with, every
respondent before being filed.
(3) Within 7 days after the filing of the statement and the appendix, every party must—
(a) notify the Registrar that the appeal is ready for listing, and
(b) specify the number of hours that their respective counsel estimate to be necessary for
their oral submissions
and the Registrar will subsequently inform the parties of the date fixed for the hearing.
(4) The appellant and every respondent (and any intervener and advocate to the Court) must then
sequentially exchange their respective written cases and file them, and every respondent (and any
intervener and advocate to the Court) must for the purposes of rule 23 provide copies of their
respective written cases, in compliance with the relevant practice direction.
The core volumes
23. As soon as the parties’ cases have been exchanged and in any event not later than 14 days
before the date fixed for the hearing the appellant must file the requisite number of core volumes
and, if necessary, additional volumes containing further parts of the appendix, in compliance with
the relevant practice direction.
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Authorities
24. The volumes of authorities that may be referred to during the hearing must be prepared in
accordance with the relevant practice direction and the requisite number of copies of the volumes
of authorities must be filed by the appellant at the same time as the core volumes.
Cross-appeals
25.—(1) A respondent who wishes to argue that the order appealed from should be upheld on
grounds different from those relied on by the court below, must state that clearly in the
respondent’s written case (but need not cross-appeal).
(2) Except where—
(a) leave is required from the Court of Session for an appeal from that court, or
(b) an appeal lies to the Court as of right,
a respondent who wishes to argue that the order appealed from should be varied must obtain
permission to cross-appeal from the Court.
(3) Part 2 of these Rules shall apply (with appropriate modifications) to an application to the
Court for permission to cross-appeal and (if practicable) applications for permission to appeal and
to cross-appeal shall be considered together by the same panel of Justices.
(4) Where there is a cross-appeal, this Part of these Rules shall apply with appropriate
modifications and in particular—
(a) either the application for permission to cross-appeal to the Court shall stand as a notice of
cross-appeal, or such a notice (in the appropriate form) shall be filed and served within 42
days of the grant by the Court of permission to appeal or of the filing of the notice of
appeal;
(b) there shall be a single statement of facts and issues, a single appendix of essential
documents (divided if necessary into parts) and a single case for each party in respect of
the appeal and the cross-appeal (and each case should state clearly that it is in respect of
both the appeal and the cross-appeal); and
(c) the appellant shall remain primarily responsible for the preparation of all the papers for
the appeal and for notifying the Registrar under rule 22(3).
Intervention
26.—(1) After permission to appeal has been granted by the Court or a notice of appeal has been
filed, any person and in particular—
(a) any official body or non-governmental organization seeking to make submissions in the
public interest,
(b) any person with an interest in proceedings by way of judicial review,
(c) any person who was an intervener in the court below or whose submissions were taken
into account under rule 15,
may apply to the Court for permission to intervene in the appeal.
(2) An application under this rule must be made in the appropriate form and shall be considered
on paper by a panel of Justices who may refuse permission to intervene or may permit
intervention—
(a) by written submissions only; or
(b) by written submissions and oral submissions
and any oral submissions may be limited to a specified duration.
(3) No permission is required—
(a) for an intervention by the Crown under section 5 of the Human Rights Act 1998, or
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(b) for an intervention by the relevant officer in a case where the Court is exercising its
devolution jurisdiction.
(For rules relating to Human Rights Act issues and the Court’s devolution jurisdiction see rules
40 and 41.)
PART 4
Hearing and decision of appeal
Hearing in open court
27.—(1) Every contested appeal shall be heard in open court except where it is necessary in the
interests of justice or in the public interest to sit in private for part of an appeal hearing.
(2) Where the Court considers it necessary for a party and that party’s representative to be
excluded from a hearing or part of a hearing in order to secure that information is not disclosed
contrary to the public interest, the Court must conduct the hearing, or that part of it from which the
party and the representative are excluded, in private but the Court may exclude a party and any
representative only if a person who has been appointed as a special advocate to represent the
interests of that party is present when the party and the representative are excluded.
(3) Where the Court decides it is necessary for the Court to sit in private, it shall announce its
reasons for so doing publicly before the hearing begins.
(4) Hearings shall be conducted in accordance with—
(a) the relevant practice direction, and
(b) any directions given by the Court
and directions given by the Court may limit oral submissions to a specified duration.
Judgment
28. A judgment may be—
(a) delivered in open court; or
(b) if the Court so directs, promulgated by the Registrar.
Orders
29.—(1) In relation to an appeal or a reference, the Supreme Court has all the powers of the
court below and may—
(a) affirm, set aside or vary any order or judgment made or given by that court;
(b) remit any issue for determination by that court;
(c) order a new trial or hearing;
(d) make orders for the payment of interest;
(e) make a costs order.
(2) An order of the Supreme Court may be enforced in the same manner as an order of the court
below or of the appropriate superior court.
(3) For the purposes of paragraph (2) “the appropriate superior court” means—
(a) in the case of an appeal or reference from a court in England and Wales, the High Court;
(b) in the case of an appeal or reference from a court in Scotland—
(i) where the appeal or reference is in civil proceedings, the Court of Session; and
(ii) where the appeal or reference is in criminal proceedings, the High Court of
Justiciary;
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(c) in the case of an appeal or reference from a court in Northern Ireland, the High Court in
Northern Ireland.
(4) In the case of references other than those mentioned in paragraph (3) “the appropriate
superior court” in paragraph (2) means—
(a) where the reference is under the Scotland Act 1998, the Court of Session;
(b) where the reference is under the Northern Ireland Act 1998, the High Court in Northern
Ireland; and
(c) where the reference is under the Government of Wales Act 2006, the High Court.
(5) Every order of the Court shall be prepared and sealed by the Registrar who may invite
written submissions as to the form of the order.
PART 5
Further general provisions
Procedural applications
30.—(1) Every procedural application to the Court must be made in the appropriate form for
general procedural applications unless a particular form is provided for a specific case.
(2) An application must be made in the appropriate form and must—
(a) set out the reasons for making the application, and
(b) where necessary, be supported by written evidence.
(3) A copy of the application must be served on every other party before it is filed and, when the
application is filed, the applicant must file a certificate of service.
(4) A party who wishes to oppose an application must, within 7 days after service, file notice of
objection in the appropriate form and must (before filing) serve a copy on the applicant and any
other parties.
(5) An application for permission to appeal, a notice of appeal or any other document filed under
these Rules may be amended on application under this rule or with the permission of the Registrar
on such terms as appear appropriate, and the Registrar may invite the parties’ written submissions
on any application to amend.
Requests for expedition
31.—(1) Any request for urgent consideration of an application for permission to appeal or for
an expedited hearing must be made to the Registrar.
(2) Wherever possible the views of all parties should be obtained before such a request is made.
Grouping appeals
32. The Registrar may direct that appeals raising the same or similar issues shall be heard either
together or consecutively by the Court constituted by the same Justices and may give any
consequential directions that appear appropriate.
Change of interest
33. The Court must be informed promptly of—
(a) the death or bankruptcy of any individual party;
(b) the winding up or dissolution of any corporate party;
(c) any compromise of the subject matter of an appeal;
(d) any event which does or may deprive an appeal of practical significance to the parties,
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and the Court may give any consequential directions that appear appropriate.
Withdrawal etc of application for permission to appeal or of appeal
34.—(1) An application for permission to appeal or a notice of appeal may be withdrawn with
the written consent of all parties or with the permission of the Court on such terms as appear
appropriate.
(2) The Court may set aside or vary the order appealed from by consent and without an oral
hearing if satisfied that it is appropriate so to do.
(3) In this rule “a notice of appeal” includes an application for permission to appeal or crossappeal
which (under rule 18 or rule 25) stands as a notice of appeal or cross-appeal.
Advocate to the Court and assessors
35.—(1) The Court may request the relevant officer to appoint, or may itself appoint, an
advocate to the Court to assist the Court with legal submissions.
(2) In accordance with section 44 of the Act the Court may, at the request of the parties or of its
own initiative, appoint one or more independent specially qualified advisers to assist the Court as
assessors on any technical matter.
(3) The fees and expenses of any advocate to the Court or assessor shall be costs in the appeal.
Security for costs
36.—(1) The Court may on the application of a respondent order an appellant to give security
for the costs of the appeal and any order for security shall determine—
(a) the amount of that security, and
(b) the manner in which, and the time within which, security must be given.
(2) An order made under this rule may require payment of the judgment debt (and costs) in the
court below instead of, or in addition to, the amount ordered by way of security for costs.
Stay of execution
37. Any appellant who wishes to obtain a stay of execution of the order appealed from must seek
it from the court below and only in wholly exceptional circumstances will the Court grant a stay.
Change of solicitor and London agents
38.—(1) If a party for whom a solicitor is acting wishes to change solicitors, that party or the
new solicitor must give the Registrar and the former solicitor written notice of the change.
(2) Until such notices are given the former solicitor shall continue to be treated as the party’s
solicitor.
(3) Solicitors practising outside London may appoint London agents and additional costs
incurred by not appointing London agents may be disallowed.
Disposal of documents
39.—(1) All documents filed become the property of the Court and original documents must be
retained in the records of the Registry.
(2) Other documents shall be destroyed unless the Registrar (on a written application made
within 21 days of the end of the proceedings) directs otherwise.
(3) All documents held by the Court may be inspected by the press or members of the public on
application to the Registrar but the Registrar may refuse an application for reasons of commercial
confidentiality, national security or in the public interest.
15
(4) Before allowing an application for inspection under this rule, the Registrar may impose
terms or conditions such as the redaction of certain material where such a condition is necessary in
the interests of justice or in the public interest.
PART 6
Particular appeals and references
Human Rights Act issues
40.—(1) Where an appeal raises a question of incompatibility under section 4 of the Human
Rights Act 1998(a) and the Crown is not already a party to the appeal, the Registrar shall give 21
days’ notice of the question to the Crown.
(2) If notice is given that the Crown wishes to be joined, the appropriate Minister or other
person shall be joined accordingly.
(3) If such a question arises for the first time during the course of an appeal hearing the Court
will if necessary adjourn the proceedings to enable the Registrar to give notice under paragraph
(1).
Devolution jurisdiction
41.—(1) Appeals or references under the Court’s devolution jurisdiction shall in general be dealt
with in accordance with these Rules but the Court shall give special directions as and when
necessary, and in particular as to—
(a) any question referred under section 33 of the Scotland Act 1998(b), section 11 of the
Northern Ireland Act 1998(c) or section 96, 99 or 112 of the Government of Wales Act
2006(d),
(b) any reference of a devolution issue(e),
(c) any direct references under paragraph 33 or 34 of Schedule 6 to the Scotland Act 1998,
paragraph 33 or 34 of Schedule 10 to the Northern Ireland Act 1998 or paragraph 29 or
30 of Schedule 9 to the Government of Wales Act 2006.
(2) A reference made by the relevant officer is made by filing the reference and by serving a
copy on any other relevant officer who is not already a party and who has a potential interest in the
proceedings.
(3) A reference must state the question or issue to be decided by the Court.
(4) The Registrar shall give notice of the question or issue to the appropriate relevant officer
where that officer is not already a party to any proceedings.
Court of Justice of the European Communities
42.—(1) Where it is contended on an application for permission to appeal that it raises a
question of Community law which should be the subject of a reference under Article 234 of the
Treaty establishing the European Community and permission to appeal is refused, the panel of
Justices will give brief reasons for its decision.
(2) Where on an application for permission to appeal a panel of Justices decides to make a
reference under Article 234 before determining the application, it will give consequential
(
a) 1998 c. 42.
(b) 1998 c. 46; section 33 provides for the scrutiny of proposed Acts of the Scottish Parliament by the Supreme Court.
(c) 1998 c. 47; section 11 provides for the scrutiny of proposed Acts of the Northern Ireland Assembly by the Supreme Court.
(d) 2006 c. 32; sections 96, 99 and 112 provide for the scrutiny of proposed Orders in Council, proposed Assembly Measures
and proposed Acts of the National Assembly for Wales by the Supreme Court.
(e) A devolution issue is defined in Schedule 6 to the Scotland Act 1998, Schedule 10 to the Northern Ireland Act 1998 and
Schedule 9 to the Government of Wales Act 2006.
16
directions as to the form of the reference and the staying of the application (but it may if it thinks
fit dispose of other parts of the application at once).
(3) Where at the hearing of an appeal the Court decides to make a reference under Article 234 it
will give consequential directions as to the form of the reference and the staying of the appeal (but
it may if it thinks fit dispose of other parts of the appeal at once).
(4) An order of the Court shall be prepared and sealed by the Registrar to record any decision
made under this rule.
Revocation of patents
43.—(1) On any appeal under sections 12 and 13 of the Administration of Justice Act 1969(a)
from an order for revocation of a patent the appellant must serve notice of the appeal on the
Comptroller-General of Patents (“the Comptroller”) as well as on every respondent.
(2) A respondent who decides not to oppose the appeal must serve notice of that decision on the
Comptroller together with the relevant statements of case.
(3) The Comptroller shall within 14 days serve on the appellant and file a notice stating whether
or not the Comptroller intends to appear on the appeal.
(4) Where notice is given under paragraph (3), the Comptroller may appear on the appeal.
Criminal appeals
44. The Court must apply in accordance with the relevant practice direction the code of practice
for victims issued under section 32 of the Domestic Violence, Crime and Victims Act 2004(b).
PART 7
Fees and costs
Fees
45. Where a fee is prescribed by any order made under section 52 of the Act, the Registrar may
refuse to accept a document or refuse to allow a party to take any step unless the relevant fee is
paid.
Orders for costs
46.—(1) The Court may make such orders as it considers just in respect of the costs of any
appeal, application for permission to appeal, or other application to or proceeding before the
Court.
(2) The Court’s powers to make orders for costs may be exercised either at the final
determination of an appeal or application for permission to appeal or in the course of the
proceedings.
(3) Orders for costs will not normally be made either in favour of or against interveners but such
orders may be made if the Court considers it just to do so (in particular if an intervener has in
substance acted as the sole or principal appellant or respondent).
(
a) 1969 c. 58; section 12 has been amended by the Courts Act 1971 (c.23), Schedule 11 Part IV, Judicature (Northern Ireland)
Act 1978 (c.23) section 122(1)(2), Schedule 6 paragraph 13, Schedule 7 Part I and the Supreme Court Act 1981 (c.54),
section 152(4), Schedule 7 .
(b) 2004 c. 28.
17
Submissions as to costs
47.—(1) If a party wishes to defer making submissions as to costs until after judgment, the
Court must be informed of this not later than at the close of the oral argument.
(2) If the Court accedes to the request it will give such directions as appear appropriate and it
may, in particular, give directions—
(a) for the hearing of oral submissions as to costs immediately after judgment;
(b) for the simultaneous or sequential filing of written submissions as to costs within a
specified period after judgment;
(c) for the hearing of oral submissions after the filing of written submissions.
Claim for costs
48.—(1) Where the Court has made an order for costs, the claim for costs must be submitted to
the Registrar within three months beginning with the date on which the costs order was made.
(2) The form and contents of a claim for costs must comply with the relevant practice direction
and the receiving party must supply such further particulars, information and documents as the
Registrar may direct.
(3) The receiving party must serve a copy of a claim for costs on the paying party.
(4) Within 21 days beginning with the day on which a claim for costs is served, the paying party
may (or, in the circumstances specified in the relevant practice direction, must) file points of
dispute and, if so, must serve a copy on the receiving party.
(5) Within 14 days beginning with the day on which points of dispute are served, the receiving
party may file a response and, if so, must serve a copy on the paying party.
Assessment of costs
49.—(1) Every detailed assessment of costs shall be carried out by two costs officers appointed
by the President and—
(a) one costs officer must be a Costs Judge (a Taxing Master of the Senior Courts), and
(b) the second may be the Registrar.
(2) A disputed assessment shall be dealt with at an oral hearing.
(3) An assessment may provide for the costs of the assessment procedure.
(4) The Registrar will give the receiving party and the paying party written notice of the date of
the assessment.
(5) Where one of the parties so requests or in the circumstances specified in the relevant practice
direction, the Registrar may make a provisional assessment of costs without the attendance of the
parties.
(6) The Registrar must inform the parties in writing of the outcome of a provisional assessment
and, if a party is dissatisfied with the outcome, or if points of disagreement cannot be resolved in
correspondence, the Registrar shall appoint a date for an oral hearing.
(7) Any request for an oral hearing following a provisional assessment of costs must be made
within 14 days of the receipt of the Registrar’s decision on the assessment.
Basis of assessment
50.—(1) Where the Court is to assess the amount of costs it will assess those costs—
(a) on the standard basis, or
(b) on the indemnity basis,
in the manner specified by rule 51 or (where appropriate) on the relevant bases that apply in
Scotland or Northern Ireland.
18
(2) Where—
(a) the Court makes an order about costs without indicating the basis on which the costs are
to be assessed, or
(b) the Court makes an order for costs to be assessed on a basis other than one specified in
paragraph (1),
the costs will be assessed on the standard basis.
(3) This rule applies subject to any order or direction to the contrary.
The standard basis and the indemnity basis
51.—(1) Costs assessed on the standard basis are allowed only if they are proportionate to the
matters in issue and are reasonably incurred and reasonable in amount.
(2) Any doubt as to whether costs assessed on the standard basis are reasonably incurred and are
reasonable and proportionate in amount will be resolved in favour of the paying party.
(3) Costs assessed on the indemnity basis are allowed only if they are reasonably incurred and
reasonable in amount.
(4) Any doubt as to whether costs assessed on the indemnity basis are reasonably incurred and
are reasonable in amount will be resolved in favour of the receiving party.
Amount of assessed costs to be specified
52. The amount of any assessed costs will be inserted in the order made under rule 29 but, if that
order is drawn up before the assessment has been completed, the amount assessed will be certified
by the Registrar.
Appeal from assessment
53.—(1) A party who is dissatisfied with the assessment of costs made at an oral hearing may
apply for that decision to be reviewed by a single Justice and any application under this rule must
be made in the appropriate form and be filed within 14 days of the decision.
(2) The single Justice may (without an oral hearing) affirm the decision made on the assessment
or may, where it appears appropriate, refer the matter to a panel of Justices to be decided with or
without an oral hearing.
(3) An application may be made under this rule only on a question of principle and not in
respect of the amount allowed on any item in the claim for costs.
Payment out of security for costs
54. Any security for costs lodged by an appellant will be dealt with by the Registrar in
accordance with the directions of the Court.
PART 8
Transitional arrangements
Transitional arrangements
55.—(1) Unless the Court or the Registrar directs otherwise, these Rules shall apply, with any
necessary modifications, to appeals which were proceeding, and petitions for leave which were
lodged, in the House of Lords before 1st October 2009.
(2) The Court or the Registrar may give special directions, as and when necessary, in relation to
appeals which were proceeding, and petitions for leave which were lodged, in the House of Lords
19
before 1st October 2009 notwithstanding anything that was done in accordance with the Practice
Directions and Standing Orders of the House of Lords.
The Lord Phillips of Worth Matravers
21st May 2009 Senior Lord of Appeal in Ordinary
I direct that these Rules shall come into force on 1st October 2009
Jack Straw
26th June 2009 Lord Chancellor
EXPLANATORY NOTE
(This note is not part of these Rules)
These Rules govern the practice and procedure to be followed in the Supreme Court of the United
Kingdom.
Part 1
(1) contains interpretation provisions (rule 3);
(2) makes provision for forms (rule 4);
(3) contains rules about the service and filing of documents (rules 6, 7);
(4) sets out what the Court may do in the event that the rules are not complied with (rule 8);
(5) sets out how and by whom procedural decisions will be made (rule 9).
Part 2 contains the rules governing applications for permission to appeal and provides for the
documents that are to be filed and the relevant time limits. Part 3 contains the rules about
commencement of, and preparation for, an appeal, providing for the documents that are to be filed
and the relevant time limits.
Part 4 contains rules about the hearing of appeals by the Court and Part 5 contains miscellaneous
rules such as for the making of a procedural application, the hearing or withdrawal of appeals, the
amendment of documents and orders for security for costs. Part 6 contains rules about particular
types of appeals including those that raise human rights or devolution issues.
Part 7 contains provisions in relation to fees, claims for, and the assessment of, costs and for the
payment out of security money. Part 8 contains transitional provisions.
£5.50
E4508 7/2009 194508T 19585
____________________________________________________________________________________________________________
􀂤 Crown copyright 2009
Printed and published in the UK by The Stationery Office Limited under the authority and superintendence of Carol Tullo, Controller
of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.

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