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Dispute Resolution > 12: Case management: general provisions > Flashcards

12: Case management: general provisions Flashcards

1
Q

What are the case management tracks?

A

Small claims track, fast track, multi-track.

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2
Q

What is the purpose of the directions questionnaire (DQ)?

A

To help the court decide the correct track and set steps within a timetable for the future conduct of the case.

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3
Q

What are case management directions?

A

A set of steps within a timetable with which the parties are expected to comply to progress the claim to be ready for trial.

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4
Q

What track does Part 27 govern?

A

Governs the procedure for cases allocated to the small claims track.

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5
Q

What is the normal track for a claim with a value of not more than £10,000?

A

The small claims track.

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6
Q

Can parties consent to use the small claims track if the value exceeds the normal value?

A

Yes, subject to the court’s approval.

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7
Q

What are the exceptions for claims below £10,000 which must take place outside the small claims track?

A

Residential disrepair claims against landlord (repairs more than £1,000),
personal injury claims by vulnerable road users (injury more than £1,000),
whiplash injury claims by children (injury more than £1,000),
other whiplash injury claims (injury more than £5,000),
miscellaneous personal injury claims, i.e. bankrupt/dead/vehicle registered outside of UK (injury more than £1,000).

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8
Q

What is the normal track for a claim with a value of less than £25,000?

A

The fast track.

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9
Q

How long should fast track cases take and what should be included in terms of expert evidence?

A

The case should last no longer than one day (5 hours).

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10
Q

What is the scope for expert evidence in the fast track?

A

Limited to expert evidence in two fields and one expert per party for each field (i.e. 2 experts max per party). However, usually there is only one single joint expert in a fast track case.

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11
Q

What is a notice of proposed allocation?

A

A notice that identifies the suitable track for the case and requires each party to file and serve a completed DQ by a specified date.

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12
Q

What must parties do in claims provisionally allocated to the fast track vs claims provisionally allocated to the multi track?

A

BOTH: Attempt to agree directions with all other parties and file proposed case management directions with the DQ.

Only MULTI: Serve a costs budget (unless a litigant in person).

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13
Q

What is the time limit to file a DQ for small claims track?

A

At least 14 days.

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14
Q

What is the time limit to file a DQ for fast track and multi-track?

A

At least 28 days.

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15
Q

Can parties agree to vary the milestone date for filing a DQ?

A

No, parties may not agree to vary this date.

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16
Q

In the multi track, when does the costs budget need to be filed for claims for less than £50,000?

A

At the same time as the DQ.

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17
Q

In the multi track, when does the costs budget need to be filed for claims for more than £50,000?

A

At least 21 days before the first CMC.

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18
Q

What is a budget discussion report and when must it be filed?

A

It is Precedent R - a court form which sets out details of the costs in a party’s Costs Budget, as agreed by all other parties. It must be filed at least 7 days before the first CMC.

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19
Q

What is a Directions Questionnaire (DQ)?

A

A standardized questionnaire giving each party an opportunity to provide information to the court to assist in case management decisions.

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20
Q

What is the form number for the Small Claims Track DQ?

A

Form N180 Directions Questionnaire (Small Claims Track).

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21
Q

What is the form number for the Fast Track and Multi-Track DQ?

A

Form N181 Directions Questionnaire (Fast Track and Multi-Track).

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22
Q

What happens if a party fails to file a DQ on time?

A

The court may make an order to comply within 7 days, strike out the party’s statement of case, or give directions in the absence of the DQ.

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23
Q

What WILL the court do if the claim is a money claim in the County Court and DQ is not filed?

A

Serve a notice requiring compliance within 7 days and if not complied, strike out the party’s statement of case without further order.

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24
Q

What MAY the court do if the claim is other than a County Court money claim and DQ is not filed?

A

Make an order for directions in the absence of the DQ, strike out the claim or defence (depending on who is in default), or list the case for a CMC.

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25
Q

What is the free confidential service for claims less than £5,000?

A

HMCTS Small Claims Mediation Service.

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26
Q

What is included in the SCT DQs?

A

Settlement/mediation
Contact details of party
Track (if agreed/alternative track with reasons)
Preferred venue for hearing
Expert evidence (name, field, cost)
Witness evidence (how many, incl. party)
Date for hearing

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27
Q

What is the upper limit for experts’ fees in the Small Claims Track?

A

£750.00

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28
Q

What are standard case management directions for small claims track cases?

A
  • referral to mediation (if agreed, automatic referral to HMCTS)
  • encouraging settlement
  • exchanging documents (evidence)
  • expert evidence restrictions (not usually permitted in small claims)
  • setting final hearing date and time
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29
Q

Can expert evidence be used in small claims hearings?

A

Expert evidence may not be adduced without the court’s permission and generally is not given in small claims hearings.

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30
Q

How are final hearings in small claims track cases usually conducted?

A

They are dealt with by District Judges in the County Court and are generally conducted in the judge’s room rather than a courtroom (but are open to the public).

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31
Q

Do witnesses have to take an oath in SCT hearings?

A

Generally, no.

32
Q

What are some special case management directions for small claims track cases?

A
  • clarifying a party’s case
  • allowing expert evidence (usually not allowed in SCT)
  • holding a preliminary hearing
  • allowing witness statements (usually not allowed in SCT)
  • paper adjudication without a hearing
33
Q

Are pre-trial checklists needed on SCT?

A

No, they are not.

34
Q

What is the rate for legal work by litigants in person?

A

£19 per hour.

35
Q

When is an issue fee payable in small claims?

A

When the value of the claim is over £1,500.

36
Q

What are the restrictions on costs orders in small claims track?

A

Court may only order party to pay:

Fixed costs (max of £100 for legal rep fees)
court fees
travel and subsistence expenses (up to £95)
experts’ fees (up to £750 pp)
costs for unreasonable behaviour.

37
Q

What is Form N181 used for?

A

Directions Questionnaire in fast track or multi-track claims.

38
Q

What is included in the Fast Track/Multi Track DQs?

A

Settlement
Contact details
Track
Preferred court
Experts (no presumption that experts are necessary)
Witnesses

(Up to here, same as SCT)

Pre-action protocols (compliance with any relevant PAP)
Applications (any been made?)
(MT ONLY) Electronic and Non-electronic disclosure
Arrangements for trial (how many days?)
Costs Budget (Precedent H)
Directions suggestion agreed (FT = standard, MT - from menu of standard)

39
Q

What is the Shorter Trial and Flexible Trial Scheme?

A

In Commercial Court and Chancery Division:

Shorter Trial: 4 days max trial
Flexible Trial Scheme: more flexible in case management

40
Q

What is the typical timetable for directions in a fast track case?

A

Disclosure of documents (4 weeks)
Inspection of documents (7 days after disclosure)
Exchange of witness statements (10 weeks)
Exchange of experts’ reports (14 weeks)
Court sends PTCs (20 weeks)
Parties file completed PTCs (22 weeks)
Trial (30 weeks).

41
Q

What are some case management directions for fast track cases?

A

Expedited cases (skip steps)
Transfer to preferred court
Reallocation to SCT (with consent of all)
Split trial
Stay of proceedings (for 1 month for ADR/settlement)
Disclosure
Exchange of witness statements
Expert evidence (usually Joint Single Experts)
Arrangements for trial (trial bundle 3-7 days before hearing + summary 250 words)
Trial date or window (within 30 weeks)

42
Q

What is the trial window in fast track cases?

A

A fixed period, not exceeding three weeks, within which the trial is to take place.

43
Q

How long is the trial allowed to last in fast track cases?

A

No longer than one day (five hours).

44
Q

How can a party appeal a direction or order in fast track cases?

A

Appeal if the direction was given or the order was made at a hearing they attended, or apply to the court to reconsider its decision.

45
Q

What are interim applications for varying directions?

A

Applications where further directions are required on matters not covered by standard directions or if one party is in breach of directions.

46
Q

What can parties agree to vary in fast track case management?

A

Dates for disclosure or exchange of witness statements

47
Q

What steps are considered milestones that cannot be varied by agreement and must require permission of the court?

A

Return of DQ
Return of PTC
Trial period
Trial date

48
Q

What is the purpose of Form N260?

A

To serve a statement of costs (Summary assessment) at least 2 days before the trial.

49
Q

What are the fixed costs for an advocate in a fast track trial from £0 - £15K?

A

up to £3,000: £485 (plus VAT)

£3,000 - £10,000: £690 (plus VAT)

£10,000 - £15,000: £1,035 (plus VAT)

more than £15,000: £1,650 (plus VAT)

50
Q

What must a party in default do before applying for an order?

A

Warn the other party of their intention to apply for the order without delay.

51
Q

What will failure to comply with directions not normally lead to?

A

The postponement of the trial date.

52
Q

What is the order of progress through the fast/multi tracks?

A

Defence filed
Court sends proposed allocation + DQs
Parties return DQs and directions
Court allocates to track and gives directions
Disclosure (4 weeks)
Inspection (7 days after disclosure)
Exchange witness statements (10 weeks)
Exchange expert evidence (14 weeks)
Court sends out PTCs (20 weeks)
(Possible further directions and PTR)
Hearing date set
Claimant files trial bundle
Trial (30 weeks)
Judgment

53
Q

What is added to the fast track process in the multi track?

A

The addition of a CMC/CCMC at the start and throughout and the costs budget/budget discussion report (precedent H and R)

54
Q

What is a PTR in the context of the multi-track?

A

Pre-Trial Review, where the court sets further CMDs.

55
Q

What is a CMC in multi-track cases?

A

A case management conference where case management is usually dealt with for the first time after the case is allocated to the multi-track.

56
Q

When is the first CMC usually held?

A

Immediately after the filing of DQs.

57
Q

What is a Pre-Trial Review (PTR)?

A

The last CMC before trial, which may be ordered if necessary.

58
Q

What must the court do when evidence on an issue is to be given by a single expert witness?

A

Call a CMC, unless parties consent to such an order in writing.

59
Q

What disclosure forms might parties also exchange before a CMC?

A

Form N263 (Disclosure Report) about non-electronic documents and Form N264 (Electronic Documents Questionnaire) about electronic documents.

60
Q

What must parties submit if they agree on directions?

A

Agreed directions or their respective proposals to the court at least 7 days before any CMC.

61
Q

What happens if the court approves the agreed directions?

A

The CMC will be cancelled/vacated.

62
Q

What should agreed directions include provision about?

A

Evidence, a trial timetable and time estimate, preparation of a trial bundle, and any other matter needed to prepare for trial.

63
Q

When is an agenda needed for a CMC?

A

If directions cannot be agreed.

64
Q

What will the court do at a CMC?

A

Review steps taken in preparing the case, determine any aspects of the claim that can be agreed, and decide on directions needed to progress the action.

65
Q

What is a case summary needed for?

A

A CMC and any PTR.

66
Q

What are the requirements of a case summary?

A

The claimant should prepare an agreed brief chronology of the claim, issues of fact which are agreed or in dispute, and evidence needed to decide the issues in dispute and should not exceed 500 words.

67
Q

Who must attend a CMC?

A

A legal representative familiar with the case and with sufficient knowledge and authority to deal with arising issues.

68
Q

What will the court deal with in multi-track case management directions?

A

Allocation and docketing (same judge used)
ADR
Stays for settlement (allow to negotiate)
Clarification and amendments of statements of case
Disclosure of documents
Factual and expert evidence (rules on expert)
Split trial
CMC/PTC/PTR
Trial arrangements

69
Q

What is the purpose of allocation and docketing in multi-track cases?

A

To ensure the same judge manages the case throughout its life for consistency.

70
Q

What must the court consider regarding expert evidence in multi-track claims?

A

Whether expert evidence is reasonably required, the identification of each expert by name or field, and whether the evidence is to be given orally or by report.

71
Q

What are PTCs also known as?

A

Listing questionnaires.

72
Q

When might a Pre-Trial Review (PTR) be necessary?

A

Usually 8-10 weeks before the trial, to identify the issues and set a timetable for the trial.

73
Q

How is the trial managed in multi-track claims?

A

The trial will sit on consecutive days until concluded, with no limit on how long the trial should last.

74
Q

What must a party do if they wish to obtain an unusual order at a CMC?

A

Issue and serve the application (on an application notice) in time for it to be heard at the CMC.

75
Q

What is required if parties agree to vary the timetable?

A

An application to the court, which can be made jointly if both parties agree.

76
Q

What must be filed with the court for a variation?

A

A draft of the order sought and an agreed statement of reasons.

77
Q

How may the court approve variations of directions?

A

By making an order in the proposed terms or in other terms without a hearing, but it may direct that a hearing be listed.

Dispute Resolution (20 decks)

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