Facet 4 — Taxonomy

Roles

The position of a party in a matter, template or artifact. Some are designed for particular work types or areas of law, others apply more generally. It can be very useful to capture a legal client's role in a matter or document.

15 role groups ~70 roles Core facet

Example of roles in a matter

Participant
Acme Corp
Corporate body
Work type › Transaction › M&A
Buyer
in the acquisition of TargetCo
Work type › Dispute resolution › Litigation
Defendant
in the action brought by SueCo
Area of law › Corporate law
Shareholder
of TargetCo

Role groups

15 groups

Eight groups may apply when a Work type is selected on a matter. Six groups are anchored to an Area of law. One group — the professional adviser / client pair — is generic and applies everywhere.

Development party role-dev Work type: Development
OwnerDeveloperAuthorityAdministratorSub-contractor
Owner
The party who owns and commissions the development project.
Developer
The party who carries out or manages the development.
Authority
A regulatory or planning authority with power to approve or restrict the development.
AdministratorAlso: Employer's agent · Contract administrator (NEC / JCT)
A professional (such as an architect, engineer or project manager) appointed to design, supervise or administer the works on behalf of the owner.
Sub-contractor
A party engaged by the contractor to carry out a defined portion of the works.
Dispute resolution party role-dsp Work type: Dispute resolution
ClaimantDefendant+ 10 more
ClaimantAlso: Plaintiff (United States litigation) · Pursuer (Scottish litigation)
Someone who initiated an arbitration, litigation or other civil claim.
DefendantAlso: Respondent (arbitration) · Defender (Scottish litigation)
Someone responding to an arbitration, litigation or other civil claim brought against them.
CounterclaimantAlso: Counter-claimant · Cross-claimant
A Defendant who is bringing a claim against a Claimant in the same case.
Appellant
A person bringing an appeal against another decision.
Respondent (appeal)Also: Appellee (United States)
A person responding to an appeal. The "(appeal)" qualifier distinguishes this from the defending role in first-instance proceedings.
Other party to dispute
A person who is a formal party to dispute resolution proceedings in a capacity other than claimant, defendant, counterclaimant, appellant or respondent.
JudgeAlso: Tribunal member
A neutral person appointed to determine a dispute in litigation or tribunal proceedings.
Arbitrator
A neutral person appointed to determine a dispute through arbitration, whose decision (made alone or with other arbitrators) is binding on the parties in dispute.
Mediator
A neutral person who facilitates negotiation between parties to help them reach a voluntary settlement.
Adjudicator
A neutral person with power to impose a binding, or provisionally binding, determination, typically in construction or other contractual contexts.
Funder
A third party who funds a dispute resolution process in return for a share of any recovery or some other return.
Watching brief
A third party or their representative, who monitors proceedings without being a formal party.
Enablement party role-enb Work type: Enablement
FunctionSupplier / third partyCompetent authority
Function
The internal function or business unit being supported by the legal work.
Supplier / Third partyAlso: Vendor · Service provider
An external party supplying goods, services or other resources to the organisation, whose relationship with the organisation is the subject of the legal work.
Competent authority
A public authority, court or regulator with power to require the organisation to produce, preserve or surrender information, documents or assets.
Finance party role-fin Work type: Finance · Area of law: Financial law
LenderBorrower+ 5 more
LenderAlso: Creditor (disputes context) · Mortgagee
A special type of creditor who has lent money to a borrower.
BorrowerAlso: Debtor (disputes context) · Mortgagor
A special type of debtor to whom a creditor has lent money.
SuretyAlso: Guarantor (England and Wales)
A person who guarantees the obligations of another.
Investor
A party providing capital to a company or buying a financial instrument with an expectation of a financial return.
Trustee / Agent
A party holding rights or acting on behalf of others in a finance transaction - often the security trustee or facility agent in a syndicated loan.
Adviser / Dealer
A party providing financial advice or dealing in financial instruments.
Company
The issuing or obligor company in a finance transaction - the entity raising capital or incurring the financial obligation.
GRC & policy party role-grc Work type: GRC and policy
Public authorityRegulated entityPolicy respondent
Public authority
A regulatory, governmental or other authority with oversight or approval powers.
Regulated entityAlso: Regulated firm · Authorised person (financial services)
A person or organisation subject to a regulatory regime, compliance obligation or governance framework that is the subject of the legal work.
Policy respondent
An organisation participating in a legislative, regulatory or public policy process, including by responding to consultations, lobbying or engaging with government bodies.
Investigative process party role-ivp Work type: Investigative process
Investigator / AuthorityInvestigated person
Investigator / Authority
The authority or body conducting the investigation, inquiry or prosecution.
Investigated person
The person or organisation subject to investigation or prosecution.
Dissolution and restructuring party role-rsl Work type: Restructuring and liquidation · Area of law: Insolvency law
CreditorInsolvency officer+ 2 more
Company (solvent)
A solvent company undergoing a reorganisation - for example, a solvent liquidation, a group restructuring or a scheme of arrangement.
Insolvent partyAlso: Bankrupt · Insolvent
The individual or entity subject to insolvency proceedings.
Creditor
A person to whom the insolvent party owes a debt, who has a claim in the insolvency proceedings.
Insolvency officerAlso: Administrator (insolvency) · Liquidator
A person appointed to administer insolvency or restructuring proceedings.
Transaction party role-tra Work type: Transaction
BuyerSeller+ 4 more
BuyerAlso: Purchaser · Transferee · Acquiror (United States)
The party acquiring property or an interest in a transaction.
SellerAlso: Vendor · Transferor
The party disposing of property or an interest in a transaction.
Owner / LicensorAlso: Landlord · Licensor · Lessor
The party granting a right to use or occupy property - includes landlords, licensors and sublessors.
Lessee / Licensee / ChartererAlso: Tenant · Licensee · Lessee
The party receiving the right to use or occupy property - includes sublessees.
Agent / BrokerAlso: Commercial agent · Broker
A person acting on behalf of a party in a transaction, with authority to negotiate, introduce or conclude arrangements on that party's behalf.
Contractual party
A party to a contract where no more specific transaction role applies.
Corporate party role-cor Area of law: Corporate law
Shareholder / memberDirectorCompany / entity
Shareholder / MemberAlso: Stockholder (United States) · Member (companies limited by guarantee)
A person holding an equity interest or membership in a corporate entity.
DirectorAlso: Board member · Officer (some jurisdictions)
A member of the board of a company or equivalent governing body, owing fiduciary duties to the company.
Company / Entity
The corporate entity as a distinct legal person in proceedings or matters where it is itself a party, separate from its shareholders or directors.
Employment party role-emp Area of law: Labour law
EmployeeWorkerEmployerTrade union
Employer
A person or organisation that employs one or more individuals under a contract of employment.
EmployeeAlso: Worker (in common usage, though distinct in law)
An individual employed under a contract of employment, with the full range of employment rights.
WorkerAlso: Dependent contractor (Canada) · Limb (b) worker (England and Wales)
An individual providing personal service under an arrangement that falls between employment and independent contracting, recognised as a distinct legal status in many jurisdictions.
Trade unionAlso: Labor union (United States)
An organisation representing the collective interests of workers in employment and labour matters.
Family party role-fam Area of law: Family law
SpouseParentChildGuardian / representative
SpouseAlso: Petitioner · Applicant (children / financial remedy proceedings)
A party to a marriage or civil partnership who is the subject of family proceedings, including divorce, dissolution or financial remedy applications.
Parent
A person with parental responsibility or parental rights who is a party to family proceedings concerning a child.
ChildAlso: Minor
A person who is the subject of family proceedings concerning their welfare, upbringing or contact arrangements, and who may or may not be a formal party.
Guardian / RepresentativeAlso: Guardian ad litem · CAFCASS officer (England and Wales) · Litigation friend
A person appointed to represent the interests of a child or other vulnerable party in proceedings.
Insurance party role-ins Area of law: Insurance law
InsurerInsured / Policyholder+ 3 more
InsurerAlso: Underwriter · Assurer
The party underwriting an insurance risk and undertaking to pay claims in accordance with the policy terms.
Insured / Policyholder
The party or parties covered by an insurance policy. The insured bears the insured risk; the policyholder is the contracting party, who may or may not be the same person.
Broker / IntermediaryAlso: Insurance broker · Coverholder (delegated underwriting authority)
A party who arranges insurance on behalf of another, owing duties to the insured and subject to regulatory obligations as an intermediary.
ReinsurerAlso: Cedant
An insurer who accepts risk ceded to it by another insurer, providing capacity and spreading risk through the reinsurance market.
Loss adjusterAlso: Claims adjuster
A professional appointed (usually by the insurer) to investigate, quantify and report on an insured loss.
Personal affairs party role-paf Area of law: Personal affairs
SettlorTrusteeTestator+ 5 more
Settlor
The person who establishes a trust by transferring assets to the trustee on the terms of the trust instrument.
Trustee
The person who holds the trust assets and administers them for the benefit of the beneficiaries in accordance with the trust instrument.
Beneficiary (trust)Also: Cestui que trust (England and Wales)
The person entitled to benefit from the assets held on trust.
TestatorAlso: Testatrix (historically, female testator)
An individual who has made or is making a will.
Personal representativeAlso: Executor (appointed by will) · Administrator (estate) (appointed by court on intestacy)
A person with legal authority to administer the estate of a deceased individual, whether appointed by will or by a court.
Beneficiary (estate)Also: Legatee · Devisee · Heir
A person entitled to receive assets from the estate of a deceased individual, whether under a will or on intestacy. Distinct from a trust beneficiary.
Ward / DonorAlso: Grantor (LPA)
An individual who has granted or is granting a lasting power of attorney, enduring power of attorney or equivalent authority to act on their behalf, or in respect of whom a court has granted similar authority.
Guardian / AttorneyAlso: Attorney-in-fact (United States) · Mandataire (France)
A person appointed by a court or under a lasting power of attorney, enduring power of attorney or equivalent to make decisions on behalf of the donor or on behalf of an individual who lacks capacity.
Public law party role-pub Area of law: Public law
Public authorityPrivate person
Public authority
A state or other body or individual regarded as exercising a public function, such as to make them subject to public law in the substantive or procedural sense or both.
Private person
Anyone other than a public authority - the counterparty in a public law matter who does not exercise a public function.
Professional services party role-pro can apply in any matter
AdviserClient
AdviserAlso: Advisor
A professional adviser - the party providing legal or other professional services on a matter.
ClientAlso: Customer
The client of a professional adviser - the party instructing and receiving the professional services.
Witnesses role-wit can apply in dispute resolution and investigative process work
Factual witnessExpert witness
Factual witness
A person who gives factual evidence in a dispute resolution or investigative process based on personal knowledge of events.
Expert witness
A person who gives opinion evidence in a dispute resolution or investigative process based on their expertise in a particular field.

View the Roles spreadsheet

Full taxonomy of 16 role groups, the roles within each; and their associated work types and areas of law. Apache 2.0 licence.

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