Case Management

Question 1

What is the primary purpose of case management under the CPR, and how does Part 3 facilitate this?

Answer 1

The primary purpose of case management under the Civil Procedure Rules (CPR) is to promote justice efficiently and effectively, ensuring that cases progress swiftly while making the best use of the court’s resources.

Part 3 of the CPR grants the court broad powers, including the ability to make, vary, or revoke orders, strike out a party’s statement of case, and impose penalties. Judges are expected to take a robust and interventionist approach to ensure compliance with rules, practice directions, and court orders.

Question 2

What is the overriding objective of the CPR, and where is it defined?

Answer 2

The overriding objective of the CPR is defined in Part 1, r 1.1, and its purpose is to enable the court to deal with cases justly and at a proportionate cost. This includes ensuring fairness, efficiency, and cost-effectiveness in all procedural decisions, while maintaining equality between parties and avoiding unnecessary expense.

Question 3

What are the six objectives listed in r 1.1 that guide the court in achieving the overriding objective?

Answer 3

The six objectives listed in r 1.1 are:

1. Ensuring that the parties are on an equal footing.
2. Saving expense.
3. Dealing with the case in ways that are proportionate to:

• The amount of money involved,
• The importance of the case,
• The complexity of the issues, and
• The financial position of each party.

4. Ensuring that the case is dealt with expeditiously and fairly.
5. Allotting an appropriate share of the court’s resources to the case, while also considering the need to allocate resources to other cases.
6. Enforcing compliance with rules, practice directions, and court orders.

Question 4

How does CPR r 1.2 and r 1.3 involve the court and the parties in furthering the overriding objective?

Answer 4

Under CPR r 1.2, the court is required to give effect to the overriding objective when making any procedural decisions. CPR r 1.3 imposes a positive duty on the parties themselves to assist the court in achieving the overriding objective, ensuring a high level of cooperation and realism throughout the litigation process.

Question 5

What are some key ways in which the court actively manages cases under CPR r 1.4?

Answer 5

CPR r 1.4 requires the court to actively manage cases to ensure they progress efficiently. Some key examples of active case management include:

• Encouraging the parties to cooperate in conducting the proceedings.
• Identifying and narrowing the issues at an early stage.
• Deciding which issues need to be fully investigated and which can be dealt with more swiftly.
• Encouraging the use of alternative dispute resolution (ADR) when appropriate.
• Fixing timetables for the steps needed to prepare for trial and controlling the progress of the case.
• Making use of technology to facilitate proceedings.
• Giving directions that ensure the trial is conducted quickly and efficiently.

Question 6

What provisions are made under the overriding objective for vulnerable parties and witnesses, and why are these provisions important?

Answer 6

Under the overriding objective, provisions are made to ensure that vulnerable parties and witnesses are on an equal footing and able to fully participate in the proceedings. Vulnerability may arise from factors such as communication difficulties, physical disabilities, impairments, or health conditions.

To accommodate these vulnerabilities, the court may allow evidence to be given remotely (e.g., via video conference) or through an intermediary (such as a translator). These provisions are important to ensure that vulnerable individuals can present their evidence effectively and fairly.

Question 7

How does the court’s allocation procedure contribute to proportionality in handling cases?

Answer 7

The court’s allocation procedure ensures proportionality by assigning cases to different tracks based on their value, complexity, and other factors. This ensures that simpler cases receive fewer resources, while more complex cases are given more attention and resources. The three tracks are:

• Small claims track: For low-value, straightforward claims.
• Fast track: For cases with moderate value and complexity, typically involving claims between £10,000 and £25,000.
• Multi-track: For higher-value and more complex cases, typically involving claims over £25,000.

The court will not generally aggregate a claim and a counterclaim, and the largest of them will usually determine the finical value.

Question 8

What is the provisional allocation process, and what role does the directions questionnaire play?

Answer 8

In the provisional allocation process, a court officer initially decides which track a claim should be allocated to after a defense is filed.

The court then sends the parties a notice of proposed allocation, requiring them to complete and return a directions questionnaire by a specified date.

The directions questionnaire is crucial because it helps the court confirm the appropriate track and determine case management directions. In more complex cases, additional documents such as a case summary, disclosure report, and costs budget may be required to assist in case management.

Question 9

What factors does the court consider when deciding which track to allocate a case to under Part 26 of the CPR?

Answer 9

When allocating a case to a track, the court considers several factors, including:

• The financial value of the claim.
• The remedy sought (e.g., monetary damages or an injunction).
• The complexity of the facts and law involved.
• The number of parties involved in the case.
• The value of any counterclaims.
• The amount of oral evidence required.
• The circumstances of the parties, such as whether one party is a litigant in person.

Question 10

What is the purpose of the small claims track, and what types of cases are generally handled by this track?

Answer 10

The small claims track is designed to provide a proportionate and informal procedure for dealing with straightforward, lower-value claims. This track typically handles claims with a financial value of £10,000 or less. Common types of cases handled by the small claims track include consumer disputes, disputes over the ownership of goods, and lower-value personal injury claims.

Certain parts of the CPR, such as those relating to disclosure and expert evidence, do not apply in the small claims track to ensure that the procedure remains simple and accessible for litigants in person.

Question 11

How does the fast track differ from the small claims track in terms of value, trial duration, and procedural complexity?

Answer 11

The fast track handles cases with a value between £10,000 and £25,000 and is suitable for cases where the trial is expected to last no longer than one day. The court issues standard directions for fast track cases, which usually involve a fixed timetable for trial preparation.

Expert evidence is limited, and the court will typically appoint a single joint expert to provide a written report. The procedure is more formal than the small claims track, and costs are summarily assessed at the end of the trial.

Question 12

What types of cases are allocated to the multi-track, and how is case management tailored in these cases?

Answer 12

The multi-track is used for more complex and higher-value cases, typically those with a value of more than £25,000.

Case management in multi-track cases is highly flexible and tailored to the specific needs of each case.

In simpler multi-track cases, standard directions may be sufficient, while more complex cases may require a case management conference (CMC) to set a detailed timetable and give further directions. The court may hold multiple CMCs if necessary to ensure the case progresses efficiently toward trial.

Question 13

What is a case management conference (CMC), and when is it typically held in multi-track cases?

Answer 13

A case management conference (CMC) is a meeting between the judge and the parties to discuss the necessary steps to move the case forward to trial.

It is typically held in more complex multi-track cases to review the issues in dispute, ensure compliance with directions, and set a timetable for future steps.

The CMC allows the court to issue tailored directions to ensure the case proceeds efficiently. The judge may schedule further CMCs if needed, especially in very complex cases.

Question 14

What is the role of a case summary in multi-track cases, and who is responsible for preparing it?

Answer 14

A case summary is a document that provides an overview of the key issues in dispute and those that have been agreed upon. It includes a chronology of the claim and identifies the factual issues and evidence that need to be addressed at trial. In most multi-track cases, the claimant is responsible for preparing the case summary, although it should be agreed upon by the other parties if possible. The case summary helps the judge make decisions during the case management conference (CMC) and ensures that the case is managed efficiently.

Question 15

What are the key sections and content of a directions questionnaire in civil litigation, and how do they contribute to case management?

Answer 15

The directions questionnaire is a critical document in civil case management, and its sections cover various essential aspects:

1. Settlement: Solicitors must confirm they have discussed settlement options with their clients and the potential cost sanctions if they refuse to engage. The parties are asked whether they want a one-month stay to attempt settlement. If all agree, the court will stay the proceedings; otherwise, objections must be provided, and the court may order a stay on its own initiative.
2. Court: Parties must explain why the case should be heard at a specific court, providing reasoning for the choice of venue.
3. Pre-action Protocols: The parties must confirm whether they have complied with any relevant pre-action protocols and provide reasons for non-compliance if applicable.
4. Case Management Information: This section includes:
   * Whether applications have been made to the court.
   * Any objections to the provisional track allocation.
   * The scope and extent of document disclosure, including handling electronic documents.
5. Experts: The parties must indicate whether a single joint expert will be used or provide details of any expert evidence they plan to rely on at trial, along with associated costs.
6. Witnesses: The parties must specify the number of factual witnesses they intend to call at trial and outline the points the witnesses will address.
7. Trial: A realistic estimate of the trial duration must be provided based on the case’s complexity.
8. Costs: If the case is likely to be allocated to the multi-track and the parties are legally represented, a costs budget must be submitted.
9. Other Information: Any other relevant information that may assist the judge in managing the case should be included, such as potential applications to be made by a party.
10. Directions: The parties should attempt to agree on directions and submit a draft order. For fast track cases, these will usually be standard directions, while for multi-track cases, directions should be based on specimen directions provided by the Ministry of Justice.

Question 16

What are the key considerations for directions in multi-track cases?

Answer 16

In multi-track cases, the court will issue tailored directions to ensure the efficient management of complex claims. The key considerations include:

1. Is further information required to clarify a party’s case?
   The court may order additional clarification of a party’s position to resolve any uncertainties early in the process.
2. Disclosure of documents and inspection
   The court will give directions on the disclosure of documents between the parties and the inspection of relevant evidence to ensure transparency.
3. Simultaneous exchange of factual evidence (witnesses)
   Factual witness statements may be exchanged simultaneously to ensure fairness and efficiency in preparing for trial.
4. Expert evidence
   Directions regarding expert evidence are crucial, including:
   * Single joint expert: The court may appoint a single joint expert unless there is a good reason not to do so.
   * Simultaneous exchange of separate expert evidence: Separate experts may be used for different issues, such as liability and quantum, with their reports exchanged at the same time.
5. Review case management conference (CMC)
   The court may schedule a review CMC to ensure that previous directions are being followed and to address any new developments.
6. Timetable to trial
   A timetable will be set, including deadlines for disclosure, witness statements, expert reports, and other pre-trial steps.
7. Consider alternative dispute resolution (ADR)
   The court will encourage the parties to consider ADR methods such as mediation or arbitration to resolve the dispute without proceeding to trial.
8. Costs of CMC
   The court will address the costs associated with the CMC, ensuring that the parties are aware of potential financial implications.

Question 17

How flexible is the timetable for steps in a multi-track case, and which steps cannot be changed without applying to the court?

Answer 17

While the timetable for steps in a multi-track case offers some flexibility, and parties can agree in writing to vary certain steps, there are four key steps that cannot be changed without a formal application to the court:

1. Any case management conference (CMC).
2. A pre-trial review.
3. The return of a pre-trial checklist.
4. The trial date or trial period.

Question 18

What should the parties do if they settle the case before the trial?

Answer 18

If the parties settle the case before the trial, they must immediately inform the court and file a draft consent order that gives effect to their agreement. This step aligns with the overriding objective of the CPR, which emphasizes saving expense and ensuring that each case only uses an appropriate share of the court’s resources.

Question 19

What typically happens regarding the costs at a case management conference (CMC)?

Answer 19

At the conclusion of a case management conference (CMC), the court will determine the costs associated with it. In most cases, the court will issue an order for costs in the case, meaning the responsibility for costs will be decided at the conclusion of the case, depending on which party ultimately prevails.

Question 20

What is the consequence of failing to comply with the timetable for directions in a multi-track case?

Answer 20

If a party fails to comply with the directions timetable:

• Other parties may apply to the court for an order enforcing compliance or seek a sanction to be imposed.
• Cooperation between parties is encouraged to meet important dates like the CMC and trial, as missing other deadlines may not halt the case.

However, the trial date is considered sacrosanct, meaning that the court will not allow delays caused by failure to meet deadlines to lead to a trial postponement, unless exceptional circumstances arise.

Question 21

What is costs management, and what is its role in multi-track cases?

Answer 21

Costs management is a tool the court uses to control the litigation process in multi-track cases. It allows the court to manage both the steps that need to be taken and the costs incurred by the parties, ensuring that the litigation progresses in line with the overriding objective of the CPR.

Costs management ensures that future costs are reasonable and proportionate to the complexity and value of the case. Cases involving claims of £10 million or more are generally excluded from the costs management process.

Question 22

What are the key components of a costs budget, and when must it be filed?

Answer 22

A costs budget consists of:

• Incurred costs: A detailed breakdown of costs already incurred (pre-action, issuing proceedings, and drafting statements of case).
• Budgeted costs: An estimate of future costs, including case management, disclosure, evidence, pre-trial review, trial preparation, trial stages, and settlement discussions.

The costs budget must be verified by a statement of truth signed by a senior legal representative. For claims under £50,000, the budget must be filed with the directions questionnaire. For other claims, it must be filed no later than 21 days before the first CMC.

Question 23

What is the budget discussion report and what does it entail?

Answer 23

After filing their costs budgets, parties must also complete a budget discussion report (Precedent R). This report, which must be filed seven days before the first CMC, includes:

• The agreed figures for various phases of the proceedings.
• The disputed figures.
• A brief summary of the grounds for any disputes over the proposed costs.

The budget discussion report enables the judge to review disputed costs and ensure they are reasonable and proportionate.

Question 24

What happens if a party wants to change their costs budget after it has been agreed or approved by the court?

Answer 24

It is extremely difficult to amend or update a costs budget once it has been agreed or approved by the court.

A party can only change the budget if the other party agrees (which is unlikely) or if the court is persuaded that there have been significant developments that could not have been anticipated.

For example, the need for an additional expert’s report might justify revising the budget. If a change is needed, the party must file a budget variation summary sheet (Precedent T).

Question 25

What are the consequences if a party fails to file their costs budget on time?

Answer 25

If a party files their costs budget late or not at all, under Rule 3.14, the default position is that they will be treated as having filed a costs budget consisting only of court fees. This means the party will not be able to recover any of their legal costs beyond the court fees unless the court grants relief from sanctions. The court’s reluctance to depart from this rule has shifted how litigation is conducted, making it essential for parties to meet deadlines.

Question 26

What is a costs management order, and how does it impact the parties’ recoverable costs?

Answer 26

A costs management order is issued by the court to record which costs (incurred or budgeted) are agreed between the parties and which are approved or revised by the court.

After such an order is issued, the court controls the parties’ budgets for recoverable costs. At trial, if one party is ordered to pay the other party’s costs, the court will not depart from the last approved or agreed budget unless there is a good reason for doing so.

This ensures that parties adhere to their pre-approved budgets throughout the case.

Question 27

What flexibility exists if no costs management order is made?

Answer 27

If no costs management order is made, there is more flexibility in handling costs. If the receiving party’s claimed costs differ by 20% or more from the budgeted costs, they must provide a statement explaining the discrepancy.

It is then up to the court to decide whether the additional costs are recoverable, giving parties more leeway in cases where no strict costs management order is in place.

Question 28

What sanctions can the court impose for non-compliance with directions or court orders under the CPR?

Answer 28

The court has a range of sanctions for non-compliance, including:

• Striking out a party’s statement of case, bringing the claim or defense to an immediate halt.
• Imposing costs penalties, requiring the defaulting party to pay the other party’s additional costs on an indemnity basis.
• Adjusting interest rates on damages.
• Issuing an unless order, which sets a final deadline for compliance, failure of which will result in the case being struck out.

Question 29

What is an unless order, and how does it work in enforcing compliance?

Answer 29

An unless order is a strict court order that gives a party a final deadline to comply with a court order. If the party fails to meet this deadline, the specified consequence (often the striking out of a case or defense) will automatically follow.

This type of order is used to ensure compliance with key litigation steps, particularly when a party has missed deadlines or failed to comply with previous orders.

Question 30

What is relief from sanctions, and when might a party apply for it?

Answer 30

Relief from sanctions allows a party to seek to reverse or mitigate a penalty imposed by the court, such as the refusal to admit late-filed evidence. CPR r 3.9(1) governs applications for relief, and the court will consider factors like the need for litigation to proceed efficiently and the importance of enforcing compliance with rules.

Relief is typically sought when the non-compliance was not serious or had minimal impact on the litigation.

Question 31

What approach did the Denton v TH White Ltd [2014] case establish for courts to assess applications for relief from sanctions?

Answer 31

The Denton case established a structured approach for courts to follow when considering applications for relief from sanctions:

1. The court must assess the seriousness or significance of the breach. If the breach was not serious, relief will generally be granted.
2. The court must consider **why the breach occurred.
3. The third stage is to evaluate all the circumstances of the case so as to enable the court to deal justly with the application. factors would include whether the trial date could still be met and the effect the failure to comply and granting of the relief would have on each parties.

Judges take a robust approach to such applications, and it is difficult to obtain relief unless the breach was minor or technical.

Question 32

What is the process of costs management in litigation, including the filing of costs budgets, consequences for late submission, revision of budgets, and the outcome at the end of the case?

Answer 32

• Costs Budget: A statement outlining costs already incurred and anticipated future costs for the litigation.
• Filing Deadline: Costs budgets must be filed either with the directions questionnaire (for claims under £50,000) or no later than 21 days before the Case Management Conference (CMC).
• Late or Non-Filing Consequences: If a party files a costs budget late or not at all, their budget will be treated as comprising only court fees.
• Relief for Late Filing: A party may apply for relief from this sanction under rule 3.9.
• Costs Decision Process: Both parties must file a budget discussion report, highlighting agreed and disagreed costs, no later than 7 days before the CMC. The parties should try to agree on costs, but if they cannot, the court will decide.
• Budgeted Costs Considered Too High: If the judge deems the costs too high to conduct the litigation justly and proportionately, a costs management order will be issued.
• Revision of Costs Budget: If a party wishes to revise their costs budget, they must convince the court that significant unforeseen developments have occurred since the original budget was filed.
• End of Case Costs Management: A party awarded costs on the standard basis will recover the last approved or agreed budgeted costs unless the court finds a good reason to depart from them. Costs on the indemnity basis or incurred costs will be assessed by the court in the usual way.