FLK1 · Dispute Resolution

Pre-action conduct & protocols

SQE1 revision notes — the key rules, leading cases and common traps for this topic, in plain English and current to 2026.

DR.02 — Pre-action Conduct & Protocols

The core duty. Before issuing a claim, parties must exchange enough information to understand the issues, try to settle without litigation, and consider ADR. The framework is the Practice Direction on Pre-Action Conduct and Protocols (PDPAC) plus the specific protocols (e.g. Personal Injury, Debt Claims, Professional Negligence, Construction & Engineering, Housing Disrepair). Where a specific protocol applies, follow it; otherwise the PDPAC's general steps apply.

General PDPAC steps: (1) claimant sends a letter before claim (concise summary of facts, what is claimed, the basis); (2) defendant gives a full written response within a reasonable time — the PDPAC does not fix a single number, but as a working guide a response in 14 days suits a straightforward case and up to about 3 months may be reasonable for a complex one (specific protocols, e.g. the Professional Negligence Protocol, set their own express timetables, which override this general guide); (3) parties disclose key documents, try to narrow issues, and consider ADR.

ADR. Parties must consider ADR. Historically they could not be forced into it, but that has changed. Note Churchill v Merthyr Tydfil CBC [2023] EWCA Civ 1416: the court can lawfully stay proceedings and order parties to engage in ADR, provided it doesn't impair the right to a judicial hearing and is proportionate. This is now reflected in the CPR's overriding objective and case-management powers, which expressly include ordering or encouraging ADR. Unreasonable refusal to mediate may still be penalised in costs (Halsey v Milton Keynes [2004]; PGF II v OMFS [2013] — silence in the face of an ADR offer is itself unreasonable).

Sanctions for non-compliance. The court considers compliance when giving directions and exercising its costs discretion. It can: stay the claim until steps are taken; order the defaulting party to pay costs (even if they win); reduce/disallow interest, or award higher interest against a defaulting defendant. Sanctions are about substance, not minor technical breaches.

Limitation trap (key). Pre-action protocols do not stop the limitation clock. If limitation is close to expiring, issue the claim to protect the position and ask the court to stay proceedings for the protocol steps to be completed.

Common SBAQ traps:

  • PDPAC applies only where no specific protocol covers the dispute — don't apply both.
  • Compliance is judged on proportionality and substance, not perfect technical adherence.
  • The PDPAC sets a "reasonable time" response standard, not a hard 14-day/3-month rule — those numbers are a guide; specific protocols impose their own deadlines.
  • Post-Churchill, "you cannot be forced to mediate" is wrong.
  • Protocols govern conduct before issue; allocation (small claims / fast / intermediate £25k–£100k / multi-track) is a post-issue matter under the renumbered CPR Part 26 (in force 6 April 2024) — don't conflate the two.

Try a real SQE1 question

This question is taken from the bank. Answer it to see the worked reasoning and the tutor. You do not need to sign up to try it.

A supplier delivers machinery to a manufacturer under a simple contract, not a deed. On 3 March 2024, its defective machinery causes a fire that seriously burns an adult factory worker and damages the factory. That day the worker knows the burns are serious, that they resulted from the supplier's defective machinery and who the supplier is. He proposes a negligence claim against the supplier for his injuries. The manufacturer proposes a contract claim against the supplier for the factory damage; the contractual breach also occurred on 3 March 2024. Neither claimant is under a disability, and there is no later date of knowledge or concealed fact to consider. Which best states the applicable primary limitation periods, leaving aside any discretionary extension?

Practise at the real standard

Strong on this topic? SQE1 tests 137 of them, and 58% did not pass in July 2026. See where you stand across all of them.

Complete includes

  • ✓An AI tutor on every question. The tutor already knows the correct answer
  • ✓5 full timed mock papers, plus unlimited drilling — no daily cap
  • ✓The whole 2,263-question bank, with worked answers and references, all 137 topics
  • ✓Your weak-spot map: exactly where you’re losing marks
See what it costs →or try 25 questions free

One payment, nothing recurring. The 25-question diagnostic is free with no card.

More Dispute Resolution topics

See all topics in the FLK1 guide or the full SQE1 syllabus.

Independent SQE1 revision notes for study — not legal advice; check primary sources before relying on any point. Exam rules are set by the SRA; see the official SQE site.

Pre-action conduct & protocols — SQE1 revision notes (FLK1) | Lawdojo