Case Management

Question 1

What is case management in the context of litigation?

Answer 1

Case management involves the court giving directions in relation to evidence and other matters to achieve a just result at proportionate cost.

Question 2

What general case management power does the court have under CPR 3.1?

Answer 2

The court can take any step or make any order for managing the case and furthering the overriding objective. This can be of its own initiative (CPR 3.3).

Question 3

What must the court include if it makes an order without a hearing or opportunity for representations?

Answer 3

The court must include a statement that parties can apply to set aside, stay or vary the order within a given period or within 7 days of the order being served on the applicant.

Question 4

What are some specific orders the court can make?

Answer 4

• Extend / shorten time for compliance with rule, PD or court order
• Adjourn hearing or bring it forward
• Require client / solicitor to attend court
• Stay whole or part of the proceedings or judgment generally / until specified event
• Order party to file and serve costs budget
• Stay proceedings to force parties to engage in ADR.
• Power to strike out statement of case

Question 5

What is the court’s power to strike out and what are the requirements?

Answer 5

It allows the court to delete material from the statement of case, making it inadmissible in the proceedings.

**Grounds for Striking out
**1. No reasonable grounds for the claim / defence (e.g no duty, breach and causation or denying claim without giving reasons)
2. Abuse of process (e.g vexatious litigant)
3. Failure to comply with rule, PD or court order (if fair hearing still possible, may impose sanction instead).

Question 6

What if a party fails to comply with the court order to strike out?

Answer 6

The other party can file a request for judgment.

Question 7

What is the purpose of allocating a claim to a specific track?

Answer 7

To decide which procedural route the claim should follow based on its value and complexity.

Question 8

Which claims are allocated to the small claims track?

Answer 8

Claims valued at not more than £10,000.

Question 9

What is the criteria for allocation to the fast track?

Answer 9

Claims up to £25k where the trial is likely to last no longer than 1 day and involve only 1 expert per party in maximum 2 fields.

Question 10

What is the intermediate track?

Answer 10

For claims valued at £25,000-£100,000 in damages and are less complex than those allocated to the multi-track but more complex than those allocated to the fast-track.
* Fixed recoverable costs capped by PD 45.

Question 11

What is the multi-track used for?

Answer 11

All other cases.

Question 12

Which document initiates the allocation process?

Answer 12

The notice of proposed allocation. Once the defence has been filed, the court will serve this notice on each party. It requires the parties to file and serve:
* a directions questionnaire
* proposed directions (NOT for small claims track)
* Costs budget
* Agreed budget discussion report (Multi-track only).

Question 13

What is required in the directions questionnaire (DQ)?

Answer 13

Information to enable the court to determine which track the case should be allocated to:
* Confirmation of compliance with the pre-action protocols;
* Opportunity to request stay to engage in ADR;
* Witness information
* Arrangements for disclosure of documents
* Expected expert evidence
* Estimated trial time
* Costs budget and report (multi-track only)
* Proposed directions
* interim apps
* Choice of court and track

Question 14

Which factors will the court consider in deciding which track to allocate the case to?

Answer 14

1. Financial value (most important)
2. Nature of remedy sought
3. Complexity
4. Number of parties
5. Value of counterclaims
6. Need for oral evidence
7. Importance to third parties’
8. The views of the parties

Question 15

What happens after the claim is allocated to a track?

Answer 15

For small / fast / intermediate track = the court will give directions as to how the claim will proceed.

For multi-track, the court will give directions or fix a CMC to consider directions.

Question 16

What are the standard directions for small claims?

Answer 16

1. That the parties file and serve copies of the documents they intend to rely upon no later than 14 days before the main hearing;
2. Original documents should be brought to the hearing
3. 21 days notice of the hearing date should be given
4. The court should be informed if the case settles.

Question 17

What are standard directions on the fast track?

Answer 17

• Disclosure within 4 weeks of notice of allocation;
• 10 weeks = exchange of witness statements
• 14 weeks = exchange of experts reports
• 22 weeks = file pre-trial checklists at court
• 30 weeks = trial date

Question 18

What must the parties do before the CMC on the multi-track?

Answer 18

Directions:Try to agree directions and submit the agreed or proposed directions to the court at least 7 days before the CMC.

Disclosure Report: Both parties should produce one unless it is a PI claim; they should file and serve this not less than 14 days before the CMC.

Case summaries: parties are required to consider whether one would be useful, maximum 500 words and prepared by claimant.

Question 19

What is the purpose of the CMC?

Answer 19

To consider the clarity of the claim, amendments to the statement of case, disclosure, expert and factual evidence, whether further info is required and possibility of splitting the trial.

Question 20

What if a legal rep does not attend the CMC?

Answer 20

Wasted costs order payable by the solicitor may be issued.

Question 21

When does the costs management regime apply?

Answer 21

Only in cases on the multi-track.

Question 22

What is a costs budget?

Answer 22

A costs budget (Precedent H) is an estimate of reasonable and proportionate future costs that the party intends to incur in connection with the proceedings.

Question 23

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When must the costs budget be filed? What if it is not?

Answer 23

If they do not file one, they are treated as filing a budget comprising only their court fees unless the court orders otherwise.

• If the claim is for a value of below £50k, the budget should be filed with the DQ.
• For all other claims, at least 21 days before first CMC (costs management conference).
• Must have statement of truth.

Question 24

When will revisions to the costs budget be permitted?

Answer 24

Only if significant developments in the litigation warrant revision. Amendments should be agreed and filed at court.

Question 25

What is a Budget Discussion Report?

Answer 25

A report where the parties attempt to agree on costs, setting out their agreement, disagreements + reasons. Must be filed and exchanged 7 days before the first CMC.

Question 26

What is the purpose of a Costs Management Conference and Costs management Orders?

Answer 26

Costs Management Conference: to consider the parties’ budgets and BDRs and factor these into case management decisions.

Costs Management Orders: Court considers whether costs are reasonable and proportionate and will record the agreed figures. The parties cannot recover sums greater than what has been incurred. The CMO becomes the starting point for what can be awarded in future assessments of costs.

If more than 20% difference between court’s decision and budget filed by party, party must give reasons.