A Guide to Steps Under Practice Direction 57AD

Disclosure obligations can start before your commercial dispute reaches court. If you’re a business owner or director facing litigation, you need to know what to preserve, what to disclose, and when to act. Practice Direction 57AD sets strict rules for commercial cases, including how you handle electronic information and metadata.

We act for company owners and litigants in high-value commercial and property disputes. If you’re facing disclosure obligations for the first time, or you’ve been told Practice Direction 57AD applies to your case, contact our specialist commercial litigation solicitors for guidance through the process.Our team act nationally and we’d love to help you.

What Is Practice Direction 57AD? 

If you’re participating in commercial litigation, you’ll need to get to grips with a new Practice Direction introduced into the Civil Procedure Rules (CPRs).

PD 57AD is designed to encourage early engagement and collaboration between the parties and gives you a structured framework for the release of documents.

Effective disclosure facilitates a focus on the key issues in a dispute and can help promote shorter litigation periods and early settlements. The process is designed to make it proportionate and cost-effective for you and your opponent.

Does PD 57AD Apply to Your Case? 

PD 57AD applies to most existing and new commercial dispute proceedings which are heard in the Business and Property Courts (BPCs) in England and Wales but if your case is in the county court, it won’t apply.

The Key Steps Under PD 57AD 

	Stage	Deadline
Step 1	Reasonably preserve all potentially relevant documents	As soon as litigation is contemplated or you become aware that you may become a party to proceedings
Step 2	Initial disclosure	At the same time as your statement of case
Step 3	State in writing whether search-based Extended Disclosure (Models C, D, or E) is likely to be requested	Within 28 days of the final statement of case
Step 4	The claimant serves a draft List of Issues for Disclosure with proposed Models for each issue	Within 42 days of the final statement of case; if the claimant fails to do so, any defendant may prepare and serve its own draft list and proposed Models instead
Step 5	Prepare and exchange drafts of Section 2 of the Disclosure Review Document, including costs estimates	No later than 14 days before the Case Management Conference
Step 6	The claimant files a finalised, single joint Disclosure Review Document	Not later than 5 days before the Case Management Conference
Step 7	File and serve a signed Certificate of Compliance (not required if a DRD is dispensed with)	Not less than 2 days before the CMC

The Five Disclosure Models 

After you and the other party have served the initial statements of case, you must indicate if you require extended disclosure by producing a list of issues which arise from these opening statements. This is called a Disclosure Review Document (DRD).

Against the issues on this list, you can choose a type of disclosure, referred to as a ‘model’. The scope and form of disclosure depends on which of the five model options you and the other party agree on, with no default position that favours one over another.

Model A — No Order for Disclosure 

Under Model A, disclosure is limited to known adverse documents

Model B — Limited Disclosure 

Model B requires disclosure of key documents which enable the other party to understand the case against them in addition to known adverse documents.

Model C — Request-Led Disclosure 

Disclosure of specific or narrow classes of documents which require a search.

Model D — Narrow Search-Based Disclosure 

The court sets the limit of the scope of the search after consideration of the Disclosure Review Document. 

Model E — Wide Search-Based Disclosure 

Model E requires a comprehensive disclosure typically of financial assets and information.

Models C and E are not available for what are classified as ‘Less Complex Claims (LCCs)’, which operate under Appendix 5 of PD 57AD, where there’s provision for a simplified disclosure.

Document Preservation — Where the Duty Starts 

The duty under PD 57AD is a duty owed to the court by you and the other party and starts at the point that litigation is contemplated or becomes a possibility.

Under PD 57AD, you have a duty to preserve documents. This isn’t confined to hard copies or originals. It also includes electronically-stored information, which is referred to as ESI.

ESI includes:

• emails, including deleted emails
• electronic files
• voicemail, audio, and visual recordings
• social media content
• WhatsApp and SMS communications
• metadata attached to each document 

You may find this information on:

• hard drives and back-up systems
• memory sticks
• laptops, tablets, and mobile phones

The document preservation duty includes suspending deletion or destruction of documents while the proceedings are ongoing, and you must take reasonable steps to ensure that third parties or agents (known as “custodians”) holding relevant documents don’t do that either.

The court requires confirmation that you have taken appropriate document preservation steps.

The court has the power to impose sanctions if you destroy documents, which may be more onerous if you do it deliberately. Penalties include striking out evidence, adverse costs awards, and even dismissal of a claim or defence.

If you’re unsure whether you’re meeting your preservation duties, it’s worth getting advice early. We act on qualifying commercial disputes on a No Win No Fee basis, subject to case assessment. Speak to our specialist solicitors to find out your options.

Initial Disclosure and Known Adverse Documents 

You must disclose all relevant documents even if they are confidential unless they are protected by privilege. Sometimes, you might have the right to redact sensitive information which is irrelevant to the dispute.

Known adverse documents are documents that you know about without undertaking additional searches, and which are harmful to your case or support the other party’s argument. You must disclose these without further searches.

Whilst you’re not required to actively search for known adverse documents at this stage, you must demonstrate a reasonable level of diligence on document awareness including sensible checking.

Under PD 57AD, you and the other party both have a continuing obligation to disclose known adverse documents, lasting until the case concludes. 

The Disclosure Review Document 

The Disclosure Review Document contains the list of issues for disclosure following the statements of case and must be the outcome of collaboration between you and your opponent.

Both of you should try to agree on the appropriate models for each issue. However, the court has the final decision. If you or the other party propose narrow disclosure of documents, you must define this in the DRD.

The Practice Direction requires both parties to collaborate. You must explain what data you hold, where your documents are, how you propose to search, and which technology you will use.

The Case Management Conference and What Follows 

The Case Management Conference (CMC) allows the court to review where your case has got to and check that you’ve complied with any previous court directions.

The court may issue directions on the next steps to progress your claim in readiness for trial. It can play an active role in managing further document disclosure including whether to order Extended Disclosure (including models), further searches to ensure your compliance with Extended Disclosure, or vary an order for Extended Disclosure.

Frequently Asked Questions

What Is a Known Adverse Document Under PD 57AD?

A known adverse document is any hard copy or electronic document that contradicts or damages the disclosing party’s claim, or supports the other party’s case or defence. It’s information you’re already aware of, without needing to undertake further searches.

What Happens If I Fail to Comply With My Disclosure Obligations? 

If you don’t comply then the court can impose sanctions including exclusion of evidence, taking an adverse inference from your behaviour, or even dismiss your case entirely. What is relevant to the court’s decision is whether your failure was careless or deliberate.

Can Parties Agree to Vary the PD 57AD Timetable? 

Parties can agree to vary the PD 57AD timetable as long as it doesn’t affect the date set for the Case Management Conference. Adjustments allow you and your opponent to tailor the disclosure process to suit your individual requirements, supporting the premise that it must be collaborative and proportionate.

Need Advice? Contact Helix Law.

Disclosing documents is so much more than a court requirement; the disclosure process can be used strategically to protect your position and apply pressure on your opponent. Following the correct disclosure process won’t guarantee the outcome you want. Courts retain discretion, and not every case is as strong as it first appears, but it puts you in the best possible position to make your case.

Our specialist litigation solicitors provide practical and strategic advice on commercial and property disputes. Every solution we offer is cost-effective, protects your position, and aligns with your commercial objectives, with all the options set out transparently.

No Win No Fee funding is available on qualifying commercial and property disputes, subject to case assessment and our funding criteria. This is typically available on disputes valued over £10,000 with strong prospects of success.

If you’re involved in a commercial dispute for the first time or have been told that PD 57AD applies to your case, speak to our commercial litigation team. Our solicitors have decades of experience acting in similar cases, including with millions and tens of millions in dispute. We act nationally and would love to assist you.