Progressing a claim - Interim applications

Learning Outcomes

This article outlines interim applications under CPR Parts 23, 24 and 25 in the context of progressing a civil claim for SQE1 FLK1, including:

• identifying the purpose, scope, and range of interim applications and how they fit into the case management timetable
• distinguishing summary judgment, strike out, interim injunctions, freezing/search orders, and interim payments, and selecting the appropriate remedy on the facts
• setting out the procedural steps for issuing, serving, and evidencing an interim application, including time limits and required documents (N244, draft orders, statements of truth)
• applying the legal tests for summary judgment and interim injunctions, with emphasis on "no real prospect of success", "serious issue to be tried", adequacy of damages and balance of convenience
• evaluating when applications may be made with notice or without notice, and explaining full and frank disclosure, undertakings in damages, and return dates
• explaining the mechanics and exam-relevant pitfalls of interim payments, interim costs orders, and summary assessment of costs
• analysing the consequences of non-compliance with interim orders, including unless orders, strike out, contempt, and adverse costs
• developing strategic reasoning for when to deploy interim applications, combine them with other case management tools, or seek consent orders instead of contested hearings
• interpreting typical SQE-style problem questions involving interim remedies and structuring clear, rule-based answers using CPR references

SQE1 Syllabus

For SQE1, you are required to understand the role and procedure of interim applications in progressing a civil claim, with a focus on the following syllabus points:

• the definition and purpose of interim applications in civil litigation
• the procedural steps for making an interim application, including notice and evidence requirements
• the legal tests for summary judgment and interim injunctions
• the distinction between with notice and without notice applications
• the consequences of non-compliance with interim orders
• the strategic use of interim applications in case management
• interim payments: grounds, timing, and evidential requirements
• interim costs orders, summary assessment, and fixed costs where applicable

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

1. What is the main difference between a summary judgment application and a strike out application?
2. When can a party make an interim application without giving notice to the other side?
3. What must an applicant demonstrate to obtain an interim injunction?
4. What are the possible consequences if a party fails to comply with an interim order?

Introduction

Interim applications are requests made to the court during the course of litigation, before the final trial, to resolve urgent or necessary issues that cannot wait until the end of the case. They are a key part of progressing a claim and can have a significant impact on the direction, speed, and outcome of proceedings.

Key Term: interim application
An application made to the court during ongoing proceedings, before trial, seeking an order or direction to address a specific issue or need.

Interim applications are governed by the Civil Procedure Rules (CPR), mainly Part 23 and its Practice Direction. They are used to obtain orders such as summary judgment, interim injunctions, interim payments, or case management directions. Some types of applications have additional rules (e.g. summary judgment under CPR 24; interim remedies, including injunctions and interim payments, under CPR 25 and PD 25A/25B).

Key Term: application notice (Form N244)
The prescribed form used to ask the court for an order during proceedings. It should state the order sought, reasons, and the evidence relied upon, and is usually accompanied by a draft order.

Key Term: statement of truth
A formal statement verifying the truth of facts set out in a document such as an application notice, witness statement, or statement of case. Making a false statement without honest belief in its truth may lead to contempt proceedings.

Types and Purpose of Interim Applications

Interim applications serve several purposes:

• To resolve urgent matters (e.g. preventing asset dissipation)
• To clarify or narrow issues (e.g. summary judgment)
• To preserve evidence or property
• To manage the case efficiently (e.g. extensions of time, disclosure orders)
• To obtain interim funding where liability is clear but quantum is not (e.g. interim payments)

Common interim applications include:

• Summary judgment
• Interim injunctions (prohibitory or mandatory)
• Freezing and search orders
• Interim payments
• Security for costs
• Extensions of time and variation of directions
• Specific disclosure or further information

Key Term: summary judgment
An order made by the court to decide a claim or issue without a full trial, where there is no real prospect of success and no other compelling reason for a trial.

Key Term: interim injunction
A temporary court order requiring a party to do or refrain from doing something until trial or further order.

Key Term: with notice application
An application where the respondent is given advance notice of the hearing and has an opportunity to respond.

Key Term: without notice application
An application made without informing the respondent in advance, permitted only in exceptional or urgent circumstances.

Key Term: interim payment
An advance on account of damages or a sum of money (excluding costs) payable before final judgment where statutory criteria are satisfied.

Summary judgment is used to dispose of claims or defences which lack a real prospect of success and where there is no other compelling reason for trial. By contrast, a strike out removes a statement of case that discloses no reasonable grounds, is an abuse of process, or fails to comply with a rule or order. Interim injunctions maintain the status quo and protect rights; they are equitable and discretionary. Freezing injunctions prevent dissipation of assets; search orders ensure the preservation and recovery of material evidence. Interim payments assist claimants suffering financial hardship when liability is clear but quantum awaits assessment. Applications to vary directions or extend time ensure proportionate and expeditious case management consistent with the overriding objective.

Procedure for Making an Interim Application

The general steps for making an interim application are:

• Prepare and file the application notice (Form N244), stating the order sought and the reasons. If relying on matters in the notice as evidence, verify it by a statement of truth.
• Attach a draft order setting out precise terms sought, including any consequential directions and time limits.
• Provide evidence, usually by witness statement or affidavit, explaining the factual background and supporting the legal basis for the order. Exhibits should be attached where relevant. In straightforward applications, evidence may be set out in the N244 form itself.
• Serve the application notice, evidence, and draft order on the respondent as soon as practicable and at least three clear days before the hearing (excluding the day of service, the day of the hearing, weekends, and bank holidays). For summary judgment and interim payments, the minimum service period is 14 days.
• File and serve any case summary and proposed draft order in multi-track cases where required, typically no later than two days before the hearing and by 4.00 p.m.
• Attend the hearing (often conducted by telephone or video for short matters). Most applications are heard by a District Judge in the County Court or a procedural judge in the High Court. Agree realistic time estimates in advance.
• Costs: the court will usually make an interim costs order and often assess those costs summarily if the hearing lasts under a day.

Key Term: conditional order
An order, often on a summary judgment application, allowing a case to continue only if a party complies with specified conditions (e.g. amending a statement of case, paying money into court). Non-compliance may lead to strike out or judgment.

Where to apply: make the application to the court or hearing centre where the claim was started, or, if the case has been transferred, to the court to which it has been sent for trial. Parties should seek to resolve matters by correspondence before issuing an application, consistent with the overriding objective. If parties agree terms, the court may make the order by consent without a hearing; a letter with the agreed draft order and brief reasons will usually suffice.

With Notice vs Without Notice

Most interim applications are made with notice. Without notice applications are permitted only where urgency is exceptional, giving notice would defeat the purpose or cause injustice, or a rule/order expressly permits. Even when proceeding without notice, take all reasonable steps to inform the respondent informally unless secrecy is essential.

An applicant proceeding without notice owes a duty of full and frank disclosure, which requires drawing the court’s attention to all material facts and anticipated arguments, including points adverse to the application. If an order is granted without notice, it must ordinarily include a return date for a further hearing with the respondent, and the applicant must serve the order, the application notice, and all supporting evidence as soon as practicable, together with a statement noticing the respondent’s right to apply to set aside or vary within seven days.

Key Term: undertaking in damages
A promise given by the applicant, recorded in the order, to compensate the respondent (and sometimes affected third parties) for loss caused if the injunction is later found to have been wrongly granted.

Worked Example 1.1

A claimant believes the defendant is about to transfer all their assets abroad to avoid paying a potential judgment. What type of interim application should the claimant make, and can it be made without notice?

Answer:
The claimant should apply for a freezing injunction to prevent the defendant from disposing of assets. This application can be made without notice if giving notice would allow the defendant to dissipate assets before the order is made, provided the applicant gives full and frank disclosure and an undertaking in damages.

Summary Judgment Applications

Summary judgment allows a party to obtain judgment on all or part of a claim without a full trial if the other side has no real prospect of success and there is no other compelling reason for a trial.

Legal test (CPR 24.2):

• The respondent has no real prospect of succeeding on the claim or defence; and
• There is no other compelling reason for a trial.

“Real prospect” is a realistic, not fanciful, prospect of success. Even a case that appears unlikely to succeed may still have a real prospect. Compelling reasons to proceed to trial include genuine disputes of material fact requiring oral evidence, a need for expert evidence, or complex issues unsuitable for summary disposal.

Procedure:

• File and serve the application notice (N244), draft order, and supporting evidence at least 14 days before the hearing.
• The respondent serves evidence in response at least 7 days before the hearing.
• The applicant may serve reply evidence at least 3 days before the hearing.
• A skeleton argument may be required in the High Court. The court may deal with short applications by telephone/video.
• The court may give judgment, dismiss the application, or make a conditional order (e.g. requiring a payment into court or amendment of a statement of case).

Timing: either party may apply at any stage after issue. If the claimant wishes to apply before the defendant has filed an acknowledgment of service or defence, the claimant will need the court’s permission. Consider whether simultaneously or alternatively to summary judgment, a strike out under CPR 3.4 is more appropriate where the statement of case is incoherent, abusive, or non-compliant.

Differences between strike out and summary judgment:

• Strike out focuses on defects on the face of the statement of case (e.g. no reasonable grounds, abuse of process, rule/order non-compliance).
• Summary judgment may consider evidence beyond the pleadings to assess prospects of success and whether there is a compelling reason for trial.

Fixed costs sometimes apply to summary judgment orders; otherwise, the court will usually summarily assess the costs of the application.

Worked Example 1.2

A defendant files a defence to a debt claim stating only "I dispute the amount claimed" but provides no factual or legal basis. Should the claimant apply for summary judgment?

Answer:
Yes. The defence does not show a real prospect of success. The claimant should apply for summary judgment, supported by evidence that the debt is due and undisputed. If the defendant raises a genuine dispute about quantum requiring expert or oral evidence, the court may find a compelling reason for a trial or impose a conditional order.

Exam Warning

The court will not grant summary judgment if there are factual disputes requiring oral evidence or if expert evidence is needed. The applicant must satisfy both limbs of the test. If in doubt, courts may prefer case management directions leading to an expedited trial.

Interim Injunctions

Interim injunctions are temporary orders to maintain the status quo until trial. They can be prohibitory (preventing an act) or mandatory (requiring an act). They are discretionary and equitable; compliance with the CPR, PD 25A, and the overriding objective is essential.

Legal test (from American Cyanamid principles):

• There is a serious issue to be tried.
• Damages would not be an adequate remedy.
• The balance of convenience favours granting the injunction.
• Consider preserving the status quo and any other special factors.

Mandatory injunctions typically require a higher degree of assurance that the claimant will succeed at trial and that serious harm will arise absent relief. The court scrutinises whether the order would compel disproportionate expenditure by the respondent compared with the harm avoided.

Procedure:

• Issue an application notice, evidence (witness statement or affidavit), and draft order. Practice Direction 25A sets out detailed requirements.
• The evidence must present all material facts and explain any urgency. If proceeding without notice, the evidence must justify the absence of notice and demonstrate full and frank disclosure.
• Orders for injunctions typically include the applicant’s undertaking in damages and, if made without notice, a return date for a further hearing with the respondent present. In serious cases, applications may be made before issuing the claim form, with an undertaking to issue promptly.

Key Term: freezing injunction
A prohibitory injunction preventing a respondent from disposing of or dealing with assets up to a specified value. It aims to preserve funds to satisfy a potential judgment. Third parties with notice may be bound.

Key Term: search order
A mandatory injunction requiring the respondent to permit supervised entry to premises to search for, preserve, or copy evidence likely to be destroyed or concealed.

Freezing injunctions are commonly made in the High Court due to their complexity and breadth. The court will expect evidence of a good arguable case, assets within the jurisdiction (or worldwide where appropriate), and a real risk of dissipation (e.g. prior dishonesty, movement of funds, or assets in difficult enforcement jurisdictions). Search orders are exceptional; they require strong evidence that relevant materials are in the respondent’s possession and will likely be destroyed or concealed, and that less intrusive measures would be ineffective. They are often supervised by an independent supervising solicitor and supported by sworn evidence.

Worked Example 1.3

A company learns that a former employee is about to disclose confidential information to a competitor. What interim application should be made?

Answer:
The company should apply for an interim prohibitory injunction to prevent disclosure of confidential information until trial, supported by evidence of the information’s confidentiality, imminent disclosure, inadequacy of damages, and why the balance of convenience favours immediate restraint. A search order may be considered if there is strong evidence the employee possesses and will destroy or conceal materials.

Interim payments

Interim payments under CPR 25 provide relief where liability is clear but the final amount is yet to be assessed. The court may order an interim payment only if statutory conditions are met, such as an admission of liability, prior judgment for damages or a sum to be assessed, or satisfied that the claimant would obtain judgment for a substantial sum at trial (including certain multi-defendant scenarios with insured/public body defendants). The application must be supported by detailed evidence of amounts sought, use of funds, likely final award, and reasons why the conditions are met. The court will not require proof of specific need and will ensure payments are a reasonable proportion of the likely final award, taking into account any contributory negligence. Interim payments may be ordered by instalments. At trial, the award is adjusted for interim sums paid; an excess must be repaid with interest.

Worked Example 1.4

A claimant in a personal injury action has an admission of liability from the defendant’s insurer but disputes remain over quantum. The claimant seeks £40,000 now to fund care pending trial. How should the court deal with this application?

Answer:
The application should be granted if supported by evidence and the sum sought is a reasonable proportion of the likely damages. Admission of liability satisfies the condition for interim payment. The respondent’s poverty is irrelevant; the court focuses on whether the statutory grounds are met and the proportion is appropriate.

Costs and Consequences

The court will usually order the unsuccessful party to pay the costs of the interim application. If a party fails to comply with an interim order, possible consequences include:

• Contempt of court (fines, sequestration of assets, or imprisonment for serious breaches)
• Strike out of pleadings or entering judgment
• Adverse inferences or restrictions on evidence
• Costs sanctions, including indemnity costs where conduct is improper
• “Unless” orders debarring further participation if not complied with

Courts commonly make interim costs orders such as:

• Costs in any event (winner of the application recovers costs regardless of the trial outcome)
• Costs in the case (to follow the overall outcome at trial or settlement)
• Costs reserved (to be decided later; if not decided, they follow costs in the case)
• No order as to costs (each side bears its own costs)
• Wasted costs (against legal representatives for improper, unreasonable, or negligent conduct)

Interim application costs are commonly summarily assessed where hearings last less than a day. Parties should file a statement of costs (often using Form N260) at least 24 hours before the hearing.

Key Term: case summary
A concise document (often under 500 words) used to assist the court at interim hearings and case management, setting out the background, issues, and relief sought.

Compliance with case management directions is critical. Unauthorised postponements are disfavoured. Applications to vary directions, including trial dates or timetables, should be made promptly to the court where the claim is proceeding. If a party breaches an order, relief from sanctions is discretionary and assessed by reference to the rules and the overriding objective; persistent non-compliance may lead to debarring orders or indemnity costs.

Revision Tip

Always check the CPR and relevant Practice Directions for the specific procedural requirements and time limits for each type of interim application. Note the longer service periods for summary judgment and interim payments (14/7/3 days sequence), the duty of full and frank disclosure on without notice applications, and the need for an undertaking in damages in injunction orders. Where possible, list interim applications for hearing at an existing CMC to save time and costs.

Key Point Checklist

This article has covered the following key knowledge points:

• Interim applications are requests for court orders made during ongoing proceedings, before trial.
• Common interim applications include summary judgment, interim injunctions, freezing/search orders, and interim payments.
• Applications are made using Form N244, with supporting evidence and a draft order; verify facts with a statement of truth where relied upon.
• Apply to the court where the claim is proceeding; most short applications are heard by District Judges or procedural judges and may be conducted by telephone/video.
• Most applications are made with notice; without notice is allowed only in urgent or exceptional cases and requires full and frank disclosure.
• Summary judgment is granted where there is no real prospect of success and no compelling reason for trial; conditional orders may be made.
• Interim injunctions require a serious issue to be tried, inadequacy of damages, and balance of convenience; mandatory injunctions require a higher degree of assurance.
• Freezing injunctions restrain asset dissipation and often involve undertakings in damages and a return date; search orders are exceptional and supervised.
• Interim payments require statutory grounds and detailed evidence; payments must be a reasonable proportion of likely final damages.
• Failure to comply with interim orders can result in serious sanctions, including contempt, strike out, and adverse costs orders; interim costs are often summarily assessed.

Key Terms and Concepts

• interim application
• application notice (Form N244)
• statement of truth
• summary judgment
• conditional order
• interim injunction
• undertaking in damages
• with notice application
• without notice application
• freezing injunction
• search order
• interim payment
• case summary