NSW UCPR [Form 3A] Statement of Claim ➲ Legally Represented

NSW UCPR [Form 3A] Statement of Claim Commencing Legal Proceedings in NSW Courts ➲ Lawyer's Version

A Form 3 – Statement of Claim can be filed using either of the following forms:

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⚖️ Form 3A - Statement of Claim - filing party legally represented [this form is the one lawyers use when they have been engaged to represent a Client/s & they have been instructed to commence legal proceedings]; or

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⚖️ Form 3B - Statement of Claim - filing party acting in person [Self-Represented, Authorised Company Officer or Employee, Debt Collectors & Real Estate / Strata Managing Agent / On-Site Residential Property Manager].
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See the Uniform Civil Procedures Rules (NSW) 2005 (UCPR) Parts 6 and 7 for more information.

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The Statement of Claim is one type of ‘Originating Process’ (i.e. a document used to start proceedings), whilst an alternative is a NSW UCPR [Form 4] Summons.

Document Overview:

✅ Suitable for the NSW Courts under the Uniform Civil Procedure Rules (NSW) 2005;

✅ ONLY for use by legal professionals;

✅ For use in all NSW Court registries for all NSW Courts including Local (General & Small Claims), District (All Lists^), Supreme (Common Law & Equity Divisions) and all Appeals to the NSW Court of Appeal;

✅ Saves time by listing all of the relevant available options within the  process, so that you can complete the form in less time.

Embedded Lawyer-Logic™ dynamically adapts to your answers to provide valuable guidance and help you avoid errors.

Legal Advice & Representation Recommended

This Statement of Claim type (assumes you have Legal Representation) to assist you to file with the NSW Courts.

Your lawyer will determine whether a specific NSW Courts Practice Note will apply, and the details of your dispute will assist to determine which Originating Application is to be filed, and what documents are required to be filed in support.

In short, due to the complexities involved in both determining which forms to use, together with the crucial importance of getting the pleadings right to the success of your claim (see the discussion below on Pleadings without Tears):

➲ We recommend you use this form and contact our legal team to obtain legal advice and guidance regarding which:

⚖️ Forms are required due to the type of claim being made; and which

⚖️ NSW Courts Practice Note (if any) applies; and accordingly which

⚖️ Documents MUST or may be filed in support of your Originating Application; as well as

✅ To ensure you have the best chance of getting your "all-important" pleadings right; and

✅ To ensure you claim has reasonable prospects of success and is within the relevant claim's applicable NSW Limitation Period.

Legal Proceedings that MUST be commenced via a Statement of Claim

UCPR 6.3 Where statement of claim required

(cf SCR Part 4, rule 2)

Proceedings of the following kinds MUST be commenced by statement of claim--

(a) proceedings on a claim for relief in relation to a debt or other liquidated claim,
(b) proceedings on a claim for relief in relation to a tort,
(c) proceedings on a claim based on an allegation of fraud,
(d) proceedings on a claim for damages for breach of duty (however arising) and the damages claimed consist of or include--
(i) damages in respect of the death of any person, or
(ii) damages in respect of personal injuries to any person, or
(iii) damages in respect of damage to any property,
(e) proceedings on a claim for relief in relation to a trust, other than an express trust wholly in writing,
(f) proceedings on a claim for possession of land,
(g) proceedings on a claim for relief under the Property (Relationships) Act 1984 ,
(h) proceedings on a claim for relief in relation to the publication of defamatory matter,
(i) proceedings for an order under section 106 of the Industrial Relations Act 1996 that a contract is unfair,
(j) proceedings on a claim for a civil penalty under section 357 of the Industrial Relations Act 1996 ,
(k) proceedings on a claim for remuneration or other amounts under Part 2 of Chapter 7 of the Industrial Relations Act 1996 .

Is a Summons (rather than a Statement of Claim) required for your legal proceedings?

UCPR 6.4 Where summons required

(cf SCR Part 4, rules 2, 2A and 3)

(1) Proceedings of the following kinds MUST be commenced by summons--
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(a) proceedings in which there is no defendant,
(b) proceedings on an appeal or application for leave to appeal, other than proceedings assigned to the Court of Appeal,
(b1) proceedings before the Supreme Court in the exercise of its jurisdiction under section 69 of the Supreme Court Act 1970 ,
(c) proceedings for preliminary discovery or inspection under Part 5,
(d) proceedings on a stated case,
(e) proceedings on an application for approval under section 75 of the Civil Procedure Act 2005 of an agreement for the compromise or settlement of a claim,
(f) proceedings on an application for a transfer order under Part 9 of the Civil Procedure Act 2005 ,
(g) proceedings on an application for the removal or transfer of proceedings to the court under any Act, other than an application for a transfer order under Part 9 of the Civil Procedure Act 2005 ,
(h) proceedings (other than proceedings on a claim for damages) on any application made under any Act (other than the Civil Procedure Act 2005 ),
(h1) proceedings on an application under Chapter 5 of the Industrial Relations Act 1996 ,
(i) proceedings on an application to the court under any Act, other than--
(i) proceedings on an application under the Supreme Court Act 1970 , the District Court Act 1973 or the Local Court Act 2007 , and
(ii) proceedings on an application that may properly be made in existing proceedings,
(j) any other proceedings that, pursuant to these rules or any other rules of court, are required to be commenced by summons.

(2) Proceedings of the following kinds MAY be commenced by summons, except where the application is made in proceedings that have been commenced in the court--
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(a) proceedings on an application for a writ of habeas corpus ad subjiciendum,
(b) proceedings on an application for an order for the custody of a minor,
(c) proceedings on an application for an order for the appointment of a tutor of a person under legal incapacity,
(d) proceedings on an application for a declaration of right,
(e) proceedings on an application for an injunction,
(f) proceedings on an application for the appointment of a receiver,
(g) proceedings on an application for an order for the detention, custody or preservation of property,
(h) proceedings on a claim for relief for trespass to land.
If proceedings have already been commenced, the application should be made by motion: see rule 18.1.

(3) Proceedings in the Supreme Court that the plaintiff intends to be entered in the Commercial List or the Technology &  Construction List are to be commenced by summons.

(4) Proceedings--
(a) in which the sole or principal question at issue is, or is likely to be, one of--
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(i) the construction of an Act or a Commonwealth Act, or
(ii) the construction of an instrument made under an Act or a Commonwealth Act, or
(iii) the construction of a deed, will, contract or other document, or
(iv) some other question of law, or
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(b) in which there is unlikely to be a substantial dispute of fact,
are amongst those which are appropriate to be commenced by summons unless the plaintiff considers the proceedings more appropriate to be commenced by Statement of Claim.

Proceedings to be commenced or carried on by tutor

7.14 PROCEEDINGS TO BE COMMENCED OR CARRIED ON BY TUTOR

(cf SCR Part 63, rules 2 and 3(2); DCR Part 45, rules 2 and 3; LCR Part 34, rules 3 and 4)

(1) A person under legal incapacity may not commence or carry on proceedings except by his or her tutor.

(2) Unless the court orders otherwise, the tutor of a person under legal incapacity may not commence or carry on proceedings except by a solicitor.

Relevant Court Lists

This form uses Embedded Lawyer-Logic to dynamically change the contents of relevant Court Lists based on which NSW Court & Court Division is selected.

Court List Example:

1️⃣ If you select the Supreme Court Equity Division, the Court List options presented to you consists of the following:

⚖️ Admiralty, Adoptions, Commercial Arbitration, Commercial, Corporations, Corporations Registrar's, Equity General (Family Provision), Equity General (Other), Probate, Probate (Uncontested), Protective, Revenue & the Technology & Construction List.

2️⃣ However, if you select the Supreme Court Common Law Division, the Court List options are different and consists of the following:

⚖️ Administrative Law, Certificates, Common Law General, Defamation, Mutual Recognition, Other, Possession, Proceeds of Crime, & Professional Negligence.

Relevant Claim Types

This form uses Embedded Lawyer-Logic to dynamically change the contents of relevant Claim Types based on which NSW Court, Court Division & Court List is selected.

Claim Type Example:

1️⃣ If you select the Admiralty List within the Supreme Court Equity Division, the Claim Type options presented to you consist of the following:

⚖️ Cargo Damage, Caveat Against Arrest, Caveat Against Release of Property (Admiralty List), Money Claim Against Ship, Money Claim Against Owner, Money Claim (Admiralty List), Ownership of Vessel, Personal Injury/Death (other than collision), Possession of Vessel, Ship Collision, Ship Collision (Personal Injury/Death); Ship Collision (Property Damage).

 2️⃣However, if you select the Commercial List within the Supreme Court Equity Division, the Claim Type options presented to you consist of the following:

⚖️ Banking, Claims under Contract Review Act 1980, Commercial Contractual Disputes, Commercially Misleading Conduct, Guarantee, Insurance, Sale of Business, Shipping/Carraige of Goods.

Claim Types Collected for Statistical Purposes Only

Claim Types are collected by the courts for statistical purposes only and DO NOT IMPACT on how the legal proceedings will be dealt with by the Court.

FYI: A complete list of Types of Claims can be obtained at this link.

If there is no type of claim listed that matches your claim, select 'Other' when completing this automated form generation process and it will be left blank so that it can be completed by the court.

Relief Claimed

See UCPR 6.12 for more information.

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Information MUST be included about the relief that you are claiming (Relief Claimed), and what orders you are asking the court to make.

For example: You may be seeking damages for personal injury or a breach of a contract.

(a) Liquidated (Predetermined Fixed Amount^) Claims

^ Claims for Liquidated Damages are only available when the calculation of your loss has been predetermined / pre-agreed and is payable in cash.

Claims for Liquidated Damages can be contrasted with a claim for general damages where the amount must be determined by a Court judgement based on a combination of evidence & legal principles.

You MUST set out the orders you are asking the court to make and the details of any claim for interest in numbered paragraphs below the table.
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You can find out more information about the interest you can claim in paragraph (d) below.

You can find out the amount of the filing fee from Schedule 1 of the Civil Procedure Regulation 2017 (NSW).

You can find out the amount of the service fee charged by the Sheriff from the Civil Procedure Regulation 2017 (NSW).

If you use a process server, you may claim the amount charged by the process server.

If the process server’s rate is higher than the Sheriff’s fee you may need to justify the amount claimed.

You can find out the amount that can be claimed for Solicitor’s Costs in Part 5 of the Legal Profession Uniform Law Application Regulation 2015 (NSW).

(b) Detention of Goods

If your claim relates to the detention of goods, you must state whether you are seeking judgment for:

⚖️ Delivery of the goods to the plaintiff and for costs, or

⚖️ Payment to the plaintiff of the value of the goods and for costs.

You may also seek damages for the detention of the goods.

(c) Pleadings Claiming a Specific Amount for Unliquidated (ie., General) Damages

See UCPR 14.13 for more information.

If you are claiming Unliquidated (General) Damages, you MUST NOT specify a specific monetary amount in your Statement of Claim (e.g. a claim for $X in damages for personal injury).

However, if your proceedings are in the District Court or the Local Court.

You CAN CLAIM a specific amount for unliquidated damages if the claim is for the recovery of:

✅ The cost of repair to a motor vehicle, or

✅ The value, less any salvage value, of a motor vehicle, or

✅ The towing of a motor vehicle ...

➲ Where the repair, loss or towing is a consequence of damage alleged to have been sustained as a result of the negligence of the Defendant or the Defendant’s Servant or Agent, or

The claim is for the recovery of:

✅ The cost of repair to property other than a motor vehicle, or

✅ The value, less any salvage value, of property other than a motor vehicle,

➲ Where the repair or loss is a consequence of damage alleged to have been sustained as a result of the negligence of the Defendant or the Defendant’s Servant or Agent in driving, riding or controlling a motor vehicle.

(d) Interest

If you are seeking an order for interest up to judgment, you MUST specifically claim interest.

The claim may specify the rate or rates at which interest is claimed.

If no rate of interest is specified, then the rate will be:

$ The rate provided for under UCPR 6.12(8), or

$ The amount, if any, which was agreed under a contract between the parties.

For example, for liquidated claims you may ask the court to make an order to the following effect:

➲ You may show the calculations of your claim for interest, e.g.:

❌ In the Local Court, the court will not award interest up to judgment if the amount of the claim is less than $1,000. See UCPR 36.7(2).

Pleading and Particulars

See UCPR Parts 14 and 15 for more information.

You MUST outline the facts on which you rely to support your claim.

You MUST provide sufficient information so that the other party will be able to identify and respond to your claim.

You MUST state each fact or issue in separate numbered paragraphs.

Money Claims ➲ Briefly State the Facts using the following Specific Wording

If your claim relates to one of the following Money Claims, you can briefly state the facts using the specific words referred to below:

⚖️ Goods sold and delivered by the plaintiff to the defendant;

⚖️ Goods bargained and sold by the plaintiff to the defendant;

⚖️ Work done or materials provided by the plaintiff for the defendant at the defendant’s request;

⚖️ Money lent by the plaintiff to the defendant;

⚖️ Money paid by the plaintiff for the defendant at the defendant’s request,

⚖️ Money had and received by the defendant for the plaintiff’s use;

⚖️ Interest on money due from the defendant to the plaintiff, and forborne at interest by the plaintiff at the defendant’s request;

⚖️ Money found to be due from the defendant to the plaintiff on accounts stated between them.

If you briefly state your claim using one of the above sentences, the Defendant can require you to provide a more detailed statement of your claim by filing and serving a Notice to Plead Facts: see NSW UCPR [Form 16].

How do I amend a Statement of Claim that has already been filed in court?

You may amend a filed Statement of Claim under UCPR 19.1 and 19.2.

Parties seeking to make amendments to documents outside of those circumstances in those Rules will often require the leave of the Court.

If leave is provided (or not required) THEN you MUST file a fresh copy of the amended document on which you intend to rely.

Documents MUST either be amended in accordance with the UCPR or under a court order (see UCPR 19.5).

When you prepare the amended document, you MUST show the amendments in such a manner that does not affect the legibility of the material being omitted and which distinguishes the new information.

Rule 19.5 suggests:

⚖️ Striking through the information which is being omitted; and

⚖️ Underlining, bolding or using italics for the new information.

If a filed document is amended on more than one occasion, then on each subsequent occasion the latest amendments should also be indicated on the document in a matter that will distinguish them from previous amendments.

It is also important to amend the heading of the document on each occasion that it is amended.

For example, a Defence becomes an Amended Defence, and then a Further Amended Defence, and then a Second Further Amended Defence and so on, depending on how many times the document is amended.

You MUST retain the existing paragraph numbering, with any additional paragraphs to be given the number of the preceding paragraph and a letter (e.g. new paragraphs between 6 and 7 would be 6A, 6B, etc.).

This will mean a defendant does not need to amend its defence to an amended claim in relation to numbering, only in relation to the substantive amendments.

If you are changing or removing the solicitor of record or the address for service, you MUST file and serve the appropriate notice of change (Forms 76-80).

You MUST include the following information in the amended document.

An appropriate place to insert this information is beneath the title of the document on the first page.

Lawyer's Certificate as to 'Reasonable Prospects of Success'

A Statement of Claim for damages under Clause 4 of Schedule 2 to the Legal Profession Uniform Law Application Act 2015 MUST be filed together with a Lawyer's Certificate.

Clause 2 of Schedule 2 provides that:

A law practice cannot file court documentation on a claim or defence of a claim for damages unless a principal of the practice, or a legal practitioner associate responsible for the provision of the legal service concerned, certifies that there are reasonable grounds for believing on the basis of provable facts and a reasonably arguable view of the law that the claim or the defence (as appropriate) has reasonable prospects of success.

Registry Address

You MUST include the street address, postal address and telephone number of the court registry of the place where you want the proceedings to be heard.

You can find out the street address, postal address and telephone number of your nominated court registry from the court’s website.

Service of Statement of Claim on a Defendant in Australia but outside New South Wales

See UCPR 10.3 and 10.4.

A Statement of Claim can be served on a defendant who is in Australia, but outside New South Wales, under the Service and Execution of Process Act 1992 (Cth) (“SEPA”) or the UCPR (if your proceedings are in the Supreme Court).

To effect 'out of state' service under SEPA you MUST include a statement to the following effect in your Statement of Claim:

A convenient location for this statement is after the NOTICE TO DEFENDANT section of the form.

⚖️ If you intend to proceed under the SEPA, you MUST attach a copy of SEPA [Form 1] ‘Notice to Defendant’ to your Statement of Claim.

➲ See Service and Execution of Process Regulations 1993 (Cth) at www.comlaw.gov.au/.

⚖️ You can only proceed to effect service in Australia but outside New South Wales, under the UCPR, if your proceedings are in the Supreme Court.

Service of a Statement of Claim on a Defendant outside Australia

See UCPR Part 11 for more information.

A Statement of Claim can be served on a defendant outside Australia:

⚖️ If your proceedings are in the Supreme Court, and

⚖️ In the circumstances referred to in UCPR Schedule 6.

You MUST also serve the other party with a copy of [Form 161] at the time of serving the Originating Process.

Guidelines for the Waiver, Remission & Postponement of Court Fees
NSW Supreme, District & Local Courts

Download Guidelines

Pleadings without Tears

We have a copy of the book “Pleadings without Tears: A Guide to Legal Drafting Under the Civil Procedure Rules” by William Rose [revised & updated by Roger Eastman] in our law firm library in its 9th edition when it was published in 2017.

More editions of this highly valued & trusted guide will no doubt ensue.

The book was originally written back in 1990 specifically to address the problem of tears being shed over mistakes being made in Pleadings.

Trust me when I say that despite all the warnings, mistakes in Pleadings continue to this day.

There are good reasons why you don't want to be the party left crying over what could have been!

Further reading: FAQ ➲ What are Pleadings? Why are tears associated?

Important Notes:

Pricing does not include Court filing fees.

The party filing this Form is required to serve a copy of the filed Form together with all other filed documents on all other parties to the proceeding.