Norwich Pharmacal Orders [2024 Guide]

What is a Norwich Pharmacal Order?

Norwich Pharmacal orders are a type of court order to compel a third party not directly involved in the freezing order proceedings to disclosure documentation or information. Our team can help obtain these orders or act for third parties served with them.

Norwich Pharmacal orders are named after the legal case of Norwich Pharmacal Co. v. Customs and Excise Commissioners, which established the basis for this type of court remedy. The order is typically sought by an Applicant (often referred to as the “Norwich Pharmacal applicant”) who seeks to obtain information or documents from a third party that may be involved in wrongdoing or has information relevant to a potential legal claim.

An unusual but important type of court order

A Norwich Pharmacal order is a special type of court application requires the Respondent to disclose documentation or information to the Applicant.

• A Norwich Pharmacal order is most commonly used in order to identify a wrongdoer by obtaining information from a third party who has become mixed up in the wrongful acts of others.
• In many cases the Applicant already knows the nature of the wrongdoing when considering seeking injunctive relief by way of a freezing order. However, in certain circumstances a Norwich Pharmacal order can be used to help clarify the nature of that wrongdoing prior to the applicant seeking injunctive relief from the court.

A Norwich Pharmacal order can help trace stolen assets

A Norwich Pharmacal order will often be used to assist tracing assets and proprietary claims.

When seeking a Norwich Pharmacal order the person applying for the order (the Applicant) often needs to act urgently to obtain further information to help it trace stolen assets. The courts will not hesitate in making a Norwich Pharmacal order in circumstances where it will help prevent the disposal of assets by a defendant which have been wrongfully or fraudulently taken from the applicant.

In order to obtain a Norwich Pharmacal order the Respondent (the person or company which the order is served on) cannot simply be an “innocent bystander”. There has to be evidence that the Respondent (whether innocently or not) was involved in the wrongdoing.

A common example of a Norwich Pharmacal order is where an application is made against a telecommunications company for disclosure of the wrongdoer’s contact details in circumstances where it had not been possible to locate that particular individual.

Contact us today
Our team at Francis Wilks & Jones has been advising on Norwich Pharmacal Orders since 2002. Whether you are applying for an order, have been served one or are a Defendant in the legal proceedings, our expert team can help.

Norwich Pharmacal order definition

Norwich Pharmacal orders are a type of court order to compel a third party not directly involved in the freezing order proceedings to disclosure documentation or information. Our team can help obtain these orders or act for third parties served with them.

What is a Norwich Pharmacal order?

A Norwich Pharmacal order is a court order for disclosure of documents or information from a third party – ie an individual or company not directly involved in the main dispute or litigation.

How are they different to standard disclosure applications?

A Norwich Pharmacal order differs from standard applications for pre-action disclosure in advance of formal court proceedings.
Key differences are:

• Under the Civil Procedure Rules, an application for pre-action disclosure is made where it is likely that the respondent is going to be a party / named in the main legal proceedings.
• Under the Civil Procedure Rules, such an application can only relate to disclosure of documentation whereas under a Norwich Pharmacal order, the application can also relate to the disclosure of information.

When is this type of order normally used?

A Norwich Pharmacal order is most typically sought in order to obtain information / documentation which will allow the applicant to identify a person who cannot be identified without first obtaining the information from the respondent.

Once the Respondent has provided the information / documentation to the applicant under the Norwich Pharmacal order, the applicant would then be in a position to bring proceedings against the defendant / wrongdoer which they would otherwise have been unable to do without the use of a Norwich Pharmacal order.

These types of orders are hard to obtain at court

Norwich Pharmacal orders are very intrusive and as such, the court will closely scrutinise the applicant’s evidence before granting a Norwich Pharmacal order. Legal advice is strongly recommended in order to boost the chances of obtaining such an order.

It is very important that the applicant provides a detailed written statement setting out the factual background to the Norwich Pharmacal order application. If the application is seeking a Norwich Pharmacal order on a without notice basis then the need for urgency must be explained to the court before they will consider making a Norwich Pharmacal order.

Our team at Francis Wilks & Jones are experts Norwich Pharmacal orders. We are highly successful in assisting clients with obtaining Norwich Pharmacal orders and third parties served with such orders. Contact us now for a friendly consultation.

Norwich Pharmacal orders – useful information

Set out below is a summary of other key points & information when it comes to dealing with Norwich Pharmacal Orders

Purpose of a Norwich Pharmacal Order

The purpose of a Norwich Pharmacal order is to compel the Respondent (the third party which is served with the order) to disclose information or documents to the Applicant. The information or documents are usually sought to identify potential wrongdoers or to gather evidence to support a legal claim.
Our team can help obtain these orders or act for third parties served with them.

Useful information about Norwich Pharmacal orders

1. Jurisdiction. The English courts have the power to grant Norwich Pharmacal orders. The court’s jurisdiction to make such an order arises from its inherent jurisdiction to provide appropriate remedies for wrongdoing or to prevent the abuse of legal processes.

2. Requirements. To obtain a Norwich Pharmacal order, the applicant must demonstrate the following:

• A good arguable case. The applicant must show that they have a reasonable cause of action or a good arguable case against the wrongdoer.
• Involvement of the Respondent. The applicant must show that the respondent is involved or mixed up in the wrongdoing or has information or documents that are necessary to identify or pursue the wrongdoer.
• Necessity and proportionality. The order must be necessary and proportionate in the circumstances. The court will consider whether the information sought could be obtained through other means and balance the rights and interests of the parties involved.

3. Confidentiality. Norwich Pharmacal orders are often subject to strict confidentiality obligations to protect the privacy and reputation of the Respondent. The court may impose restrictions on the use and disclosure of the information obtained through the order.

4. Court discretion. Norwich Pharmacal orders are discretionary and granted on a case-by-case basis. The specific requirements and considerations may vary depending on the circumstances and the court’s assessment of the individual case before the court.

5. Urgency. When applying for a Norwich Pharmacal order, the applicant must consider whether the application is urgent or not. If it is not urgent, then the first port of call is to write to the potential respondent seeking voluntary disclosure of the information or documentation. Seeking the cooperation of a respondent might get the applicant the information it needs without actually going to court. But even in circumstances where it cannot provide the information (for example due to privacy concerns) it is still be a useful approach as the correspondence can be put before the court for in order to support the application for a Norwich Pharmacal order.

6. Privilege concerns. Often, for privilege, data protection or other reasons, the Respondent will invite the applicant to apply for a Norwich Pharmacal order so that the Respondent can be relieved of its obligations to withhold such information.

7. Court considerations. The court will decide whether to make a Norwich Pharmacal order on the circumstances of each particular case. It will take in to account.

• The size and resources of the Applicant.
• The urgency of its need to obtain the information.
• Any public interest in having the Applicant’s needs satisfied.

8. Gagging clauses. In some cases, the Norwich Pharmacal order will contain a “gagging clause” which prevents the respondent (for a specified period of time) from informing any third party about the Norwich Pharmacal application or the information/documentation being provided to the applicant.

9. The Penal Notice. The Norwich Pharmacal order may also have a penal notice describing the criminal consequences of failing to adhere to the Norwich Pharmacal order.

10. Service of the order. Personal service is the ideal type of service as a “gagging clause” and “penal notice” can clearly be explained and it may assist with any consequential committal application against the respondent (if the order is breached in any way).

Our team at Francis Wilks & Jones are experts Norwich Pharmacal orders. We are highly successful in assisting clients with obtaining Norwich Pharmacal orders and third parties served with such orders. Contact us now for a friendly consultation.

Applying for a Norwich Pharmacal Order

A Norwich Pharmacal orders are a type of court order to compel a third party not directly involved in the freezing order proceedings to disclosure documentation or information.

Is there an urgent need for a Norwich Pharmacal order?

When looking to obtain a Norwich Pharmacal order, the applicant must first consider whether or not the matter is urgent.

If the matter is not urgent, then prior to seeking a Norwich Pharmacal order the applicant can write to the respondent seeking voluntary disclosure of the information and setting out the reasons why it is sought. If the respondent is unable or unwilling to comply (eg for privacy or data protection reasons) then the Applicant can seek to obtain a Norwich Pharmacal order by making an application to the court.

• In some circumstances the Respondent will even invite the applicant to apply for a Norwich Pharmacal order so that it can be relieved of its obligations to withhold such information due to privilege or data protection.
• In such circumstances, seeking a Norwich Pharmacal order should be relatively straightforward and the applicant will have to provide for the Respondent’s legal costs in attending the proceedings and complying with the Norwich Pharmacal order.

Process for applying for a Norwich Pharmacal order

The following steps need to be followed by the applicant seeking a Norwich Pharmacal Order.

1. Identify the potential wrongdoer – the applicant must have a reasonable belief that a wrongdoing has occurred or will occur, and they need to identify the potential wrongdoer. This may involve gathering sufficient evidence or information to support their case.
2. Draft the Court application – the applicant, usually with the help of experience lawyers need to prepare a formal Norwich Pharmacal Order application to the court for a Norwich Pharmacal order. The application should include the following:

• Parties – identify the Applicant and the Respondent (the third party from whom the information is sought).
• Grounds – clearly state the grounds for seeking the Norwich Pharmacal Order, including the nature of the alleged wrongdoing and the role of the respondent.
• Evidence – provide supporting evidence to demonstrate the need for the order and the potential relevance of the information sought.
• Information requested – specify the information or documents sought from the Respondent as precisely as possible.

• File the application – the completed application, along with any supporting evidence, is filed with the appropriate court. The Applicant pays the relevant court fees at this stage.
• Serve the application – the Norwich Pharmacal Order application, along with any supporting documents, must be served on the Respondent. The court will provide guidance on the appropriate method of service but it is best to use a process server to do this.
• Hearing – once the Respondent receives the application, they have an opportunity to respond and present their case. A court hearing will be scheduled to consider the application and any arguments or objections raised by the Respondent.
• Court decision – the court will evaluate the evidence, arguments, and legal principles involved and decide whether to grant the Norwich Pharmacal order. The court’s decision will depend on factors such as the strength of the Applicant’s case, the relevance and necessity of the information sought, and the potential impact on the Respondent.
• Compliance with the order. If the court grants the Norwich Pharmacal order, the Respondent is legally obliged to comply with its terms. They may be required to provide the requested information or documents within a specified timeframe.

The court will consider the interests of justice when granting a Norwich Pharmacal order. As such, it is important to consider the nature of the information and documentation that the applicant is seeking under the Norwich Pharmacal order.

Considerations before applying for a Norwich Pharmacal Order

In general an applicant should consider the following relevant factors before seeking a Norwich Pharmacal order.

• The degree to which the respondent is mixed up in, or involved in the wrongdoing.
• Provide evidence as to why the applicant believes that the respondent is in possession of the information / documentation which forms the basis of the Norwich Pharmacal order.
• The Applicant must provide the court with all the material facts when seeking to obtain a Norwich Pharmacal order.
• The Applicant must provide a detailed description of the information / documentation required under the Norwich Pharmacal order. The court will refuse to grant a Norwich Pharmacal order if the applicant is pursuing a “fishing expedition”.
• There will be a requirement to provide a cross undertaking in damages which is a promise made by the applicant to compensate the respondent in circumstances where the Norwich Pharmacal order causes harm to the respondent.
• There is the court’s requirement to consider the interests of justice when granting a Norwich Pharmacal order.

Not withstanding the above, the fundamental principles that at an Applicant must consider when seeking to obtain a Norwich Pharmacal order are the ability to show the court that there is a good arguable case of wrongdoing and evidence that the respondent is mixed up in, or involved in the wrongdoing.

As such, it is important that an application for a Norwich Pharmacal order is supported by a detailed witness statement. Any Applicant seeking a Norwich Pharmacal order has an onerous duty to give full and frank disclosure of all material facts. In circumstances where an Applicant is seeking a Norwich Pharmacal order on a without notice basis it is likely that the court will closely scrutinise the applicant’s disclosure of information.

It is recommended you take legal advice.

There types of applications are unusual and easy to get wrong without legal expertise. Our team can help.

In terms of the procedure for obtaining a Norwich Pharmacal order the application must set out the factual background arising to the application, the nature of the claim sought by the applicant and the most likely cause of action against the wrongdoer. On seeking a Norwich Pharmacal order the applicant must also provide evidence that the respondent has been involved or mixed up in the wrongdoing and specify which documents or information is being sought and providing reasons for this.

Our team are highly experienced in dealing with Norwich Pharmacal orders. We are used to dealing with urgent court applications and are located near to the high court in London. Contact us today for expert advice.

Example of a Norwich Pharmacal order

Norwich Pharmacal orders are not standard documents – in so far as a court will only give an order which is specific to the case at hand.
However – example wording of an order may look like the following.

[In the High Court of Justice
Queen’s Bench Division]

[Claim No. XYZ]

BETWEEN:
[Name of Applicant]
Applicant

and –
[Name of Respondent]
Respondent

ORDER FOR DISCLOSURE
(under Norwich Pharmacal jurisdiction)

Upon hearing [name of applicant’s legal representative] for the Applicant and [name of respondent’s legal representative] for the Respondent, and upon considering the evidence and submissions provided;
IT IS ORDERED THAT:

The Respondent, [name of respondent], shall disclose to the Applicant, [name of applicant], within [specified timeframe], the following information and documents:

a) [Specify the information or documents to be disclosed, providing as much detail as possible];

b) [Any additional specifications or limitations regarding the disclosure].

The Respondent shall preserve all relevant information and documents related to the subject matter of this order pending compliance.

The Respondent may seek the court’s permission for any application to vary or discharge this order by filing the appropriate application notice and serving it on the Applicant’s legal representative.

Any information or documents disclosed pursuant to this order shall be used solely for the purposes of [state the specific purposes for which the information may be used, such as litigation proceedings].

The Respondent shall maintain strict confidentiality regarding the existence and terms of this order, subject to any legal obligations or exceptions.

Costs in relation to this application shall be reserved.

Any party affected by this order may apply to the court for further directions or clarification.

DATED this [date] day of [month] [year].

What you should do if served with an NPO

If you are a third party who has been named as a Respondent in a Norwich Pharmacal Order and served with the court order – it is vital you act in accordance with what has been ordered.

We would strongly advise that you contact our expert team today for a free consultation.

As a rule of thumb – we set out below some considerations to bear in mind if you have been served with an order

• Seek legal advice. We have said it above – and we will say it again – legal advice is vital in these situations. There types or order are complex. Failure to comply properly can have serious sanctions attached to them, Our expert team can provide guidance on the specific obligations and responsibilities imposed by the order and assist in formulating an appropriate response.
• Review the order. A recipient should carefully review the terms of the Norwich Pharmacal order, including the specific information or documents requested and any associated deadlines or timelines. Understanding the scope and requirements of the order is crucial to ensure compliance.
• Preserve and collect Information. The recipient should take immediate steps to preserve and collect the relevant information or documents specified in the order. This may involve gathering records, emails, financial data, or any other materials that fall within the scope of the order.
• Legal privilege considerations. The recipient should be mindful of any potential legal privilege issues. Legal advice privilege and litigation privilege may protect certain communications or documents from disclosure. It is important to consult with skilled and experienced lawyers to determine the applicability of any privilege and the appropriate course of action.
• Prepare an affidavit or witness statement. The recipient may be required to provide an affidavit or witness statement detailing the efforts made to comply with the order, the reasons for any objections or difficulties encountered, and any other relevant information. This statement should be prepared in consultation with experienced lawyers.
• Compliance with timelines. Norwich Pharmacal orders typically include specific deadlines or timelines for compliance. It is crucial for the recipient to adhere to these deadlines to avoid potential penalties or contempt of court proceedings. If additional time is needed, the recipient may seek an extension from the court.
• Court reporting obligations. In some cases, the recipient may have an obligation to report back to the court on the progress of compliance with the order. This may involve providing updates or filing additional documents as required by the court.

It is important to note that the specific evidential requirements, timescales, and court deadlines may vary depending on the particular circumstances and the terms of the Norwich Pharmacal order itself. Our expert team can help you through this process and ensure proper compliance and protect the recipient’s interests throughout the process.

Norwich Pharmacal order costs

Norwich Pharmacal orders are a type of court order to compel a third party not directly involved in the freezing order proceedings to disclosure documentation or information.

Our team can help obtain these orders and often advise parties served with the how to recover their costs in full.

How are the costs of complying with the order dealt with?

The Applicant who has obtained the order should pay the costs of the Respondent (the party who has to deal with the order made). This is because the Respondent is being forced to comply with the terms of an order through no fault of its own.

The costs the Applicant has to pay are.

• In relation to the application, and
• Costs associated with providing the information/documentation sought by the Norwich Pharmacal order.

The principal is that an Applicant should recover its costs from a wrongdoer and not the Respondent (an innocent party) which itself would be unable to recover any costs associated with the Norwich Pharmacal order from the wrongdoer.

• In normal circumstances the Respondent can insist that the issue of costs be dealt with in the Norwich Pharmacal order.
• However, to ensure that a Respondent is not left out of pocket dealing with a Norwich Pharmacal application, we recommend they seek expert legal advice to ensure that any costs associated with a Norwich Pharmacal order are recovered in full.

Any party threatened with a Norwich Pharmacal order must of course consider the duties owed to their own customers/clients. However, often the costs incurred in obtaining such advice is recoverable against the applicant seeking the Norwich Pharmacal order.

At Francis Wilks & Jones, we have a team fully versed in dealing with Norwich Pharmacal orders. We often deal with the issue of costs and recovery of those costs for third parties. Contact us now for our expert assistance.

The recipient of a Norwich Pharmacal order may of course have grounds to defend or oppose the order. While the specific grounds can vary depending on the circumstances of the case, set out below are some common arguments that may be raised to oppose the order:

• Lack of jurisdiction. The recipient may argue that the court does not have jurisdiction to issue the Norwich Pharmacal order. They may challenge the court’s authority to require them to disclose the requested information or documents.

• Improper purpose. The recipient may contend that the Applicant has not demonstrated a proper purpose for seeking the order. They may argue that the information or documents requested are not genuinely necessary for identifying the wrongdoer or pursuing legal action.
• Disproportionate burden. The recipient may argue that complying with the order would place an unreasonable burden on them, either in terms of time, resources, or confidentiality concerns. They may claim that the cost or effort required to comply outweighs the benefit to the applicant.
• Privilege or confidentiality. The recipient may assert that the information or documents sought are protected by legal privilege, such as legal advice privilege or litigation privilege. They may argue that they are not required to disclose privileged or confidential materials.
• Insufficient evidence. The recipient may challenge the sufficiency or credibility of the evidence presented by the applicant. They may contend that the evidence provided does not establish a prima facie case or fails to link them to the alleged wrongdoing.
• Discretionary factors. The recipient may argue that, even if the court has jurisdiction and a proper purpose is established, the court should exercise its discretion not to grant the order. They may emphasise factors such as the potential harm to their reputation, the impact on third parties, or the availability of alternative means for obtaining the information.

It is important to note that the specific grounds for defending or opposing a Norwich Pharmacal order will depend on the particular circumstances of each case.

Our expert team can help review the order quickly and determine whether it can be opposed or not.
We can also help ensure recovery of any legal costs you incur – and make sure you are not left out of pocket.

Confidentiality of information may not be a defence to a Norwich Pharmacal application

A Norwich Pharmacal order can be a useful tool for a party to use when trying to find out further information or documents in relation to a claim which they may have.

Norwich Pharmacal orders can compel a third party, who is not directly involved in the litigation, to disclose relevant information or documentation to a claimant, who would not ordinarily have been able to obtain such information.

Recent case law

In the case of Hickox v Dickinson [2020] EWHC 2520 (Ch), the use of Norwich Pharmacal orders in the often secretive art world was considered.

It is fairly common in the art world that the identity of a purchaser of a piece of art (especially an expensive one) is kept confidential by the art dealer or auction house. This is because a purchaser often wishes to remain anonymous.

In the Hickox case, Mrs Hickox owned an expensive painting by the French impressionist Paul Signac. She wished to sell the painting and entered into arrangements with a Mr Sammons who agreed to broker a sale on her behalf. Unknown to Mrs Hickox, Mrs Sammons took possession of the painting and sold it to an anonymous purchaser for US$4.85 million. The buyer was represented in the sale by the Defendant art dealers. Monies used to purchase the painting were given to Mr Sammons who failed to account to Mrs Hickox. It is worth noting that Mr Sammons is currently serving a 4 -12 year prison term for his part in the theft/fraud.

As Mrs Hickox wished to know the whereabouts of the painting, she made a Norwich Pharmacal application seeking information from the art dealers, Dickinson, as to the identity of the purchaser and its dealings in relation to its sale.

In order to establish that a Norwich Pharmacal order should be granted, Mrs Hickox had to show that.

• There was a good arguable case that a wrong had been committed.
• That the Respondent (in this case the art dealers) had been involved in that wrongdoing.
• That the Respondent was likely to have the necessary information and documents to enable Mrs Hickox to be able to pursue the wrongdoer.
• That it was proportionate and appropriate to order such disclosure.

The difficulty which Mrs Hickox faced in this matter was that at the time of her application, she did not know what wrong had been committed against her and if it was actionable. This would only be revealed if the court ordered disclosure by the art dealers.

The court found that Mrs Hickox had a good arguable case that a wrongdoing had been committed, even if she was unable to identify what that wrong was.

Amongst the arguments put forward on behalf of Dickinson was one of confidentiality.

• They argued that confidentiality of their clients was very important in the art world and that their reputation within the industry would suffer if they had to disclose confidential information about the transaction and the purchaser;
• The court rejected the argument and granted the Norwich Pharmacal order.
• The court stated that confidentiality was a custom in the art world, rather than any kind legal obligation.

The decision in Hickox is an interesting one as it appears to broaden the circumstances in which a court may grant a Norwich Pharmacal application. It appears that it is no longer necessary for an applicant to identify the wrong which has been committed, so long as they can show they have a good arguable case that there has been a wrongdoing and the application is not simply a “fishing expedition” to obtain information from a third party.

The court’s rejection of the confidentiality argument put forward by Dickinson is also likely to be used in the future against respondents who assert similar grounds as to why disclosure should not be ordered.

Conclusion

In conclusion, the decision appears to be the correct one. Mrs Hickox had been the victim of theft/fraud and simply because she was unable to identify the nature of the wrongdoing which has been committed against her, it should not have prevented her from obtaining such information from a third party which may ultimately assist her in seeking to recover some of her losses.