Part 4 Preparation and filing of documents
Division 1 Preparation of documents generally
This Division applies to and in respect of any document that is prepared by or on behalf of a person (whether or not a party) for use in proceedings.
4.2 Documents to be filed to contain certain information
(cf SCR Part 1, rule 10, Part 7, rule 2, Part 11, rule 4, Part 65, rule 1; DCR Part 5, rule 2; LCR Part 36, rule 7)
(1) Originating process filed on behalf of a party in any proceedings must contain the following information:(a) the name of the court in which the proceedings are to be commenced,(b) if relevant, the division in which the proceedings are intended to be heard,(b1) if relevant, the list in which the proceedings are intended to be entered,(c) the venue at which the proceedings are intended to be heard,(d) the title of the proceedings,(e) the nature of the process (summons or statement of claim),(e1) if the party has engaged a solicitor to act as the party’s legal representative, the name of the solicitor,(f) if the process is filed by a person who is neither the party nor the party’s solicitor or solicitor’s agent, the capacity in which the person acts when filing the document,(g) the party’s address and the party’s address for service,(h) the address, if known, of any defendant.Note. A solicitor named on the originating process pursuant to paragraph (e1) is thereby the solicitor on the record in relation to the party on whose behalf the process is filed.(2) A document filed on behalf of a person in relation to any proceedings (other than originating process) must contain the following information:(a) the title of the proceedings, as appearing on the originating process for the proceedings,(b) if relevant, the division in which the proceedings are intended to be heard,(b1) if relevant, the list in which the proceedings are intended to be entered,(c) the case number for the proceedings, as appearing on the originating process for the proceedings,(d) the nature of the document,(d1) if the person has engaged a solicitor to act as the person’s legal representative, the name of the solicitor,(e) if the document is filed by a person who is neither a party nor a party’s solicitor or solicitor’s agent, the capacity in which the person acts when filing the document,(f) (Repealed)Note 1. In relation to paragraph (c), see rule 9.1 (4) and (5) which require cross-claims to be numbered.Note 2. A solicitor named in the document pursuant to paragraph (d1) is thereby the solicitor on the record in relation to the party on whose behalf the document is filed.(2A) A notice to be filed under Division 9 of Part 78 of the Supreme Court Rules 1970, or a caveat to be filed under Division 10 of that Part, must contain the following information:(a) if the notice or caveat relates to proceedings already commenced:(i) the title of the proceedings, as appearing on the originating process for the proceedings, and(ii) if relevant, the division in which the proceedings are intended to be heard, and(iii) if relevant, the list in which the proceedings are intended to be entered,(b) the case number or unique identifier assigned to the notice or caveat under rule 64 or 73 of that Part, as the case may be,(c) the nature of the document,(d) if the person has engaged a solicitor to act as the person’s legal representative, the name of the solicitor,(e) if the notice or caveat is filed by a person who is neither a party nor a party’s solicitor or solicitor’s agent, the capacity in which the person acts when filing the notice or caveat.(3) The originating process and any such document may also contain the DX address, fax number or electronic mail address of the person, the person’s solicitor or the person’s solicitor’s agent.(3A) Court documentation within the meaning of section 347 (Restrictions on commencing proceedings without reasonable prospects of success) of the Legal Profession Act 2004 that is not required by that section to be certified must include a statement to the effect that it is not required to be so certified.(3B) Subrule (3A) does not apply to documents that are filed in the Land and Environment Court in relation to proceedings in Class 1, 2 or 3 of that Court’s jurisdiction.(4) In this rule, originating process does not include any process (such as a statement of cross-claim or cross-summons) by which a cross-claim is made.
(1) In any proceedings in which there are more than 2 plaintiffs, or more than 2 defendants, the plaintiff must file, together with the originating process, a list of parties.(2) In any proceedings in which there is a cross-claim brought by more than 2 cross-claimants, or to which there are more than 2 cross-defendants, or against a cross-defendant who is not already a party to the proceedings, the cross-claimant must file with the statement of cross-claim or cross-summons:(a) if no list of parties has yet been filed in the proceedings, a list of parties, or(b) if a list of parties has already been filed in the proceedings, an amended list of parties.(3) In any proceedings in which a list of parties has been filed, any party who files a document that effects a change of parties (including a change that involves the addition of a party who is not already a party to the proceedings) must file, together with the document, an amended list of parties.
(cf SCR Part 65, rule 2; DCR Part 47, rule 3; LCR Part 36, rule 4)
(1) A document must be on standard A4 paper of durable quality, capable of receiving ink writing.(2) Subject to the rules:(a) a document may be one-sided (that is, with writing on one side of each sheet) or two-sided (that is, with writing on both sides of each sheet), but not partly one-sided and partly two-sided, and(b) the sheets of a document must be securely fastened:(i) if the document is one-sided, at the top left hand corner, or(ii) it the document is two-sided, along the left hand side,without obscuring the writing or the margin, and(c) a left margin of at least 25 millimetres, and a top margin of 30 millimetres, must be kept clear on each sheet of a document that bears writing, and(d) the pages of a document (that is, the sides of the sheets that bear writing) must be consecutively numbered.(3) The spacing between the lines of writing in a document must be at least 3 millimetres.(3A) The following information in a document must be set out in bold:(a) the name of the first plaintiff and first defendant in the title of the proceedings,(b) in the case of a cross-claim, the name of the first cross-claimant and first cross-defendant in the title to the proceedings,(c) in the case of a notice of motion, the name of the person affected by the orders sought,(d) in all cases, the name of the person specified in the filing details as the person for whom the document is filed.Note. Rule 4.2 requires the title of proceedings to be included in the originating process or other documents filed on or behalf of a person in proceedings.(4) A document must bear writing that is clear, sharp, legible and permanent, must not be a carbon copy and must not bear any blotting, erasure or alteration that causes material disfigurement.(5) This rule does not apply to a document to the extent to which the nature of the document renders compliance impracticable.
(cf SCR Part 65, rule 8, Part 66, rule 9; DCR Part 47, rule 5; LCR Part 36, rule 6)
(1) If, in any proceedings, a document is required to be signed by a party:(a) in the case of a party who is represented by a solicitor, the document may not be signed by the party but must instead be signed:(i) by the party’s solicitor, or(ii) by a solicitor acting as agent for the party’s solicitor, or(iii) by some other solicitor belonging to or employed by the same firm or organisation as the party’s solicitor or party’s solicitor’s agent, and(b) in the case of a party who is not represented by a solicitor, the document may be signed by the party and may also be signed by any other person who is authorised by these rules to commence proceedings on the party’s behalf.(2) Subrule (1) is subject to the requirements of rule 35.3.(3) Despite subrule (1), a document prepared on behalf of a party in proceedings in the Local Court may instead be signed:(a) by a commercial agent with respect to debt collection (within the meaning of the Commercial Agents and Private Inquiry Agents Act 2004), in relation only to proceedings on an application for:(i) an instalment order, or(ii) an order for examination, or(iii) a writ of execution, or(iv) a garnishee order, or(b) by a person holding a licence as a real estate agent, strata managing agent or on-site residential property manager within the meaning of the Property, Stock and Business Agents Act 2002 in relation only to:(i) proceedings on an application referred to in paragraph (a), or(ii) the filing of a certificate under section 51 of the Consumer, Trader and Tenancy Tribunal Act 2001.(4) Despite subrule (1), a document setting out proposed consent orders between the parties to the relevant proceedings may instead be signed on behalf of a party by the party’s barrister.
(cf SCR Part 9, rule 6; DCR Part 8, rule 8; LCR Part 7, rule 8)
(1) Subject to subrule (2), a person’s address for service is to be the address of a place in New South Wales (other than a DX address):(a) at which documents in the proceedings may be left for the person during ordinary business hours, and(b) to which documents in the proceedings may be posted for the person.(2) The address for service of a person who has a solicitor on the record is to be:(a) the office of the solicitor on the record, or(b) if the solicitor on the record has another solicitor acting as agent, the office of the agent.(3) Despite subrules (1) and (2):(a) the address for service of a defendant who is served with originating process outside New South Wales, but in Australia, may be any address in Australia, whether inside or outside New South Wales, and(b) the address for service of a person who files a notice under section 19 (1) of the Mutual Recognition Act 1992 of the Commonwealth (other than a person who is represented by a solicitor) may be any address in Australia, whether inside or outside New South Wales, and(c) the address for service contained in an application to set aside a subpoena made under section 13 of the Evidence and Procedure (New Zealand) Act 1994 of the Commonwealth (other than a person who is represented by a solicitor) may be:(i) any address in Australia, whether inside or outside New South Wales, or(ii) any address in New Zealand, and(d) the address for service of a person who has entered an appearance under the Service and Execution of Process Act 1992 of the Commonwealth is to be the address for service stated in relation to the appearance.
4.6 Changing address for service
(cf SCR Part 9, rule 6; DCR Part 8, rule 8; LCR Part 7, rule 8)
(1) A person may change his or her address for service by filing a notice of the change showing his or her new address for service and serving the notice on all other active parties.(2) (Repealed)
(cf SCR Part 65, rule 4; DCR Part 47, rule 4; LCR Part 36, rule 5)
(1) All dates, sums and other numbers in a document are to be expressed in figures, rather than words.(2) Despite subrule (1):(a) months may be expressed in words, rather than numbers, and(b) if dates are expressed wholly in numbers, they must be expressed in the form DD/MM/YY or DD/MM/YYYY.
(1) Unless the court otherwise orders, in any claim or judgment for the possession of land, and in any writ of execution in relation to land, the description of the land must include:(a) a formal description of the land sufficient to identify the land in any document establishing title to the land, together with any appropriate reference to title, and(b) the postal address (if any) of the land.(2) Without limitation, a formal description of land referred to in subrule (1) (a) may be given:(a) in the case of land under the provisions of the Real Property Act 1900 that comprises the whole of the land referred to in one or more folios of the register under that Act, by reference to the relevant folio identifiers, or(b) in the case of any land (including land referred to in paragraph (a)), by reference to:(i) a registered plan (within the meaning of the Conveyancing Act 1919), or(ii) a formal land survey plan (within the meaning of the Surveying Act 2002), or(iii) a metes and bounds description prepared by a registered land surveyor (within the meaning of the Surveying Act 2002).
4.8 Separate documents for separate process
Separate process (such as a defence and a statement of cross-claim or a cross-summons, or a reply and a defence to a statement of cross-claim) are to be dealt with in separate documents.
4.9 Delegation by NSW Trustee and Guardian
(cf SCR Part 63, rule 16)
(1) If, in connection with any proceedings involving a person under legal incapacity, a delegate under section 9 of the NSW Trustee and Guardian Act 2009 signs a document in the exercise of a function delegated under that section, the delegate must include in the document a statement:(a) of the delegate’s name and position, and(b) that the document is signed in exercise of a function delegated under that section, and(c) if the delegate has not previously signed such a document in the proceedings, as to whether or not he or she has an interest in the proceedings adverse to that of the person under legal incapacity.(2) On request by the court, the registrar or any party to the proceedings, the delegate must furnish to the person making the request a photocopy of the delegation, certified by the delegate as being a true copy.
Division 2 Filing of documents
(cf SCR Part 1, rule 9A)
(1) A person may lodge a document for filing in relation to any proceedings:(a) by delivering it to an officer of the court in the registry, or(b) by sending it by post to the registry’s business address, or(c) by sending it to the registry’s DX address.(2) Any person may lodge a document with an officer of the court for the purpose of its being filed in relation to proceedings, or proposed proceedings, in the court.(3) Unless acceptance of the document is subsequently refused by the court or by an officer of the court, a document is taken to have been filed when it is lodged for filing.(4) The court may refuse to accept a document for filing whether or not an officer of the court has accepted the document for filing.(5) An officer of the court may refuse to accept a document for filing in the following circumstances:(a) in the case of originating process:(i) if the location specified in the document as the venue at which the proceedings are to be heard is a location at which the court does not sit, or(ii) if the person on whose behalf the originating process is sought to be filed is the subject of an order of the Supreme Court declaring the person to be a vexatious litigant,(b) in the case of a document for which a filing fee is payable, if the fee has not been paid or arrangements satisfactory to the officer of the court have not been made for its payment.Note. See also rule 3.4 in relation to the electronic filing of documents.
4.11 Case number or other unique identifier to be assigned to originating process
(cf SCR Part 1, rule 10; DCR Part 5, rule 3; LCR Part 5, rule 3)
(1) When originating process is accepted for filing, a case number or other unique identifier is to be assigned to the proceedings commenced by the process.(2) On accepting originating process for filing, an officer of the court must endorse on the process the case number or other unique identifier assigned to the proceedings commenced by the process.(3) In the case of originating process to commence proceedings for the grant of probate or administration, or the resealing of a foreign grant within the meaning of Part 78 of the Supreme Court Rules 1970, for an estate in respect of which:(a) a notice has been filed under Division 9 of that Part, or(b) a caveat has been filed under Division 10 of that Part,the case number or other unique identifier assigned to the proceedings is to be the same as that previously assigned to the notice or caveat.
4.12 Lodgment of additional copies of originating process for service
(cf SCR Part 7, rule 6; DCR Part 5, rule 3; LCR Part 5, rule 3)
(1) When filing originating process, a person may lodge additional copies for sealing.(2) On receiving such copies, an officer of the court:(a) must seal with the court’s seal a sufficient number of copies of the process for service on the other parties, and(b) if the process was filed by post or by use of an authorised DX system, must forward the sealed copies to the lodging party.(3) This rule does not apply in relation to originating process that is filed by means of an electronic case management system referred to in Part 3.Note. An original sealed copy of the originating process or a photocopy of a sealed copy may be served on a defendant: see rule 6.2.
(1) Subject to Part 3, a document (other than originating process) that is filed in relation to any proceedings must be filed:(a) subject to paragraphs (b) and (c), in the same registry as that in which the originating process was filed, or(b) if the proceedings have been transferred to another court, in the registry for that other court, or(c) if the court has ordered that documents are to be filed in some other registry, in that other registry.(2) In this rule, originating process does not include any process (such as a statement of cross-claim or cross-summons) by which a cross-claim is made.
4.14 Filing of notices on behalf of multiple parties
(cf SCR Part 11, rule 3)
Two or more persons filing the same notice of appearance, notice of motion or other notice in the same proceedings, by the same solicitor and on the same day, may do so by a single notice.
4.15 Court’s power to deal with scandalous matter in documents
(cf SCR Part 38, rule 8, Part 65, rule 5; DCR Part 30, rule 8, Part 47, rule 7; LCR Part 25, rule 8, Part 36, rule 8)
(1) If any matter contained in a document on the court file is scandalous, frivolous, vexatious, irrelevant or oppressive, the court may order:(a) that the matter to be struck out of the document, or(b) that the document be placed in a sealed envelope on the court file, or(c) that the document be taken off the court file.(2) A sealed envelope referred to in subrule (1) (b) may not be opened except by order of the court.
4.16 Court to be advised as to subrogation to corporation
A person, when paying a filing fee, must advise the court if the proceedings to which the fee relates are being carried on by a corporation in the name of a natural person pursuant to a right of subrogation.