Case Management

Question 1

Can the Court Make Orders of its Own Initiative?

Answer 1

Yes, including without a Hearing or representations from the Parties.

Question 2

What must a Court do if it Makes an Order without a Hearing?

Answer 2

Inform the Parties of their right to apply to Stay, Vary, or Set Aside the Order.

Question 3

What is the Court’s Power to Strike Out?

Answer 3

The power to remove all or part of a Party’s Statement of Case.

The Court may exercise this power of its own volition or upon successful Application.

Question 4

What are the Grounds for Strike Out?

Answer 4

• There has been a failure to comply with a Rule, Court Order, or Practice Direction.
• The Statement of Case discloses no reasonable ground for bringing or defending the Claim.
• The Statement of Case is an abuse of the Court’s process or otherwise likely to obstruct the just disposal of Proceedings.

Question 5

What are the Consequences of a Strike Out?

Answer 5

1The Compliant Party can apply for Judgment in their favour (Form N244).

Question 6

What is the Difference between a Strike Out and a Summary Judgment?

Answer 6

• A Strike Out is an erasure of certain elements of the Pleadings; while
• A Summary Judgment is a judgment on the factual merits of the case.

Question 7

What is the Difference between a Strike Out and a Default Judgment?

Answer 7

• A Strike Out is an erasure of certain elements of the Pleadings; while
• A Default Judgment is a procedural victory for the Compliant Party.

Question 8

What are the Three Methods for Imposing Sanctions?

Answer 8

• Unless Order.
• Immediate Sanction.
• Automatic Sanctions.

Question 9

What is an Unless Order?

Answer 9

A Sanction will automatically befall a Party if it fails to comply with a certain condition(s).

Question 10

What is an Immediate Sanction?

Answer 10

A Court-ordered Sanction that takes immediate effect.

Question 11

What is an Automatic Sanction?

Answer 11

A Sanction that automatically befalls a Party for failing to comply with certain Rules.

Question 12

When can a Deadline be Varied?

Answer 12

By written agreement between the Parties, unless:

• A Rule, Court Order, Practice Direction so prevents; or
• There is a specific consequence for failing to meet the deadline, in which case;
  • The Parties can only extend by 28 days provided it does not jeopardise a Hearing Date.

Question 13

What is the Test for Relief from Sanction?

Otherwise known as the Denton Test.

Answer 13

Step 1 — Gravity:

• The Court determines whether the breach was serious or significant.
• If it was not, Relief should be granted.

Step 2 — Justification:

• The Court determines whether there are fair or reasonable justifications for the breach.
• If there are, Relief should be granted.

At both Stages, the Court must weigh all relevant factors and consider how its decision will impact Case’s the overall fairness.

Question 14

Which specific Application is treated by the Court as an Application for Relief from Sanctions?

Answer 14

An Application to Set Aside Default Judgment on Discretionary Grounds.

Question 15

What is an In-Time Application?

Answer 15

An Application to extend a deadline.

Question 16

When does Allocation begin?

Answer 16

Once the Defence is Filed.

Question 17

What is the Procedure of Allocation?

Answer 17

• Notice of Proposed Allocation.
• Directions Questionnaire (“DQ”).
• Decision on Final Allocation.

Question 18

What is the Notice on Proposed Allocation?

Answer 18

A provisional assignment of the Case to a Track matching its characteristics.

Question 19

When will a Case be Provisionally Assigned to a given Track?

Answer 19

• Small Claims Track.
• Fast Track.
• Intermediate Track.
• Multi-Track.

Question 20

What are the Key Features of the Small Claims Track?

Answer 20

Suitable Cases:

• Parking disputes.
• Holiday disputes.
• Consumer disputes.
• PI Claims below £1,500.
• Caims worth up to £10,000.

Key Features:

• Recovery of Costs limited to Fixed Costs.

Standard Directions (Abbreviated):

• Disclosure: Filing and Service of case documents within 14 days of the Main Hearing.
• Settlement: The Court must be informed if the Case is Settled.
• Notice of Hearing: The Court must give Notice of at least 21 days before the Main Hearing.
• Original Documents: Parties must bring original documents to the Main Hearing.

Question 21

What are the Key Features of the Fast Track?

Answer 21

Suitable Cases:

• Claims expected to resolved within one day.
• Simple Claims worth between £10,000 and £25,000.

Key Features:

• Cost are recoverable according to the Case’s Complexity Band.
• Oral Expert Evidence is limited to one Expert per Party relating to no more than two fields, with the Court preferring a Single Joint Expert.

Standard Directions:

• Disclosure: Standard or Limited Disclosure within 4 weeks of the Notice of Allocation.
• Witness Statements: Exchanged within 10 weeks of the Notice of Allocation.
• Expert Report: Exchanged within 14 weeks of the Notice of Allocation.
• Pre-Trial Checklist: Filed within 22 weeks of the Notice of Allocation.
• Trial Date: Trial must take place within 30 months of the Notice of Allocation, lasting no more than one day.

Question 22

What are the Complexity Bands of the Fast Track?

Answer 22

Complexity Band 1:

• Defended debt claims.
• Non-PI road traffic accident (RTA) claims.

Complexity Band 2:

• PI Claims from RTAs that fall under the RTA Protocol.
• Claims governed by the Pre-Action Protocol for Package Travel claims.

Complexity Band 3:

• Housing disrepair claims.
• PI Claims that do not fall under the RTA Protocol.
• Employer liability (accident) and public liability personal injury claims.
• Other money claims.

Complexity Band 4:

• Property disputes.
• Employer’s liability disease claims, excluding noise-induced hearing loss.
• Complex housing disrepair and possession claims.
• Professional negligence claims.
• Other complex cases normally allocated to the fast track.

Question 23

What are the Key Features of the Intermediate Track?

Answer 23

Suitable Cases:

• Claims expected to resolved within three days.
• Complex Claims, worth between £25,000 and £100,000, where proportional costs can still be maintained, involving three Parties at most.

Key Features:

• Cost are recoverable according to the Case’s Complexity Band.
• Oral Expert Evidence is limited to two Experts per Party.
• The total length of Witness Statements is limited to 30 pages.

Standard Directions:

• Disclosure: Standard or Limited Disclosure within 4 weeks of the Notice of Allocation.
• Witness Statements: Exchanged within 10 weeks of the Notice of Allocation. Limited to essential testimony.
• Expert Report: Exchanged within 14 weeks of the Notice of Allocation. Limited to essential testimony.
• Pre-Trial Checklist: Filed within 22 weeks of the Notice of Allocation.
• Trial Date: Trial must take place within 30 months of the Notice of Allocation, lasting no more than one day.

Question 24

What are the Complexity Bands of the Intermediate Track?

Answer 24

Complexity Band 1:

• Only one issue in dispute.
• Trial not expected to last longer than one day.
• Includes Non-PI RTA claims and defended debt claims.

Complexity Band 2:

• Less complex cases with more than one issue in dispute.
• Includes PI accident claims where both liability and quantum are disputed.

Complexity Band 3:

• More complex cases unsuitable for Band 2, e.g. employer’s liability disease claims.

Complexity Band 4:

• Most complex cases, including PI Claims involving serious issues of fact or law.

Question 25

What are the Key Features of the Multi-Track?

Answer 25

Suitable Cases:

• Highly complex Claims exceeding £100,000, requiring extensive case management.

Key Features:

• Every case is bespoke.

Standard Directions:

• Every case is bespoke.

Question 26

What is the Directions Questionnaire?

Answer 26

A document to help the Court understand where to Allocate the Case. It concerns:

• PAP Compliance.
• Settlement and ADR.
• Disclosures Made and Needed.
• Witnesses and Expert Evidence.
• Estimations of Trial Length and Costs, including a Costs Budget.

Both Parties must complete the DQ. Costs Budgets only apply if the Case falls within the Costs Management Regime.

The Parties must also submit Proposed Directions, which are their suggestions on case management, if the Case is above the Small Track.

Question 27

What are the Court’s Criteria when deciding on Final Allocation?

Answer 27

The chief criterion is Claim Value, but the following are also relevant:

• The Remedy sought.
• The number of Parties involved.
• The views expressed by the Parties.
• Any Counterclaims or Part 20 Claims.
• The amount of Oral Evidence required.
• The extent of Expert Evidence needed.
• The importance of the Case to Non-Parties.
• The complexity of the facts, law, or evidence.

If necessary, the Court will call an Allocation Hearing.

Question 28

After Final Allocation, what is the Court’s first order of business?

Answer 28

To issue Case Management Directions on:

• Disclosure: Outlining what documents the Parties must disclose.
• Witness and Expert Evidence: Timelines for exchanging Witness Statements and Expert Reports.
• Interim Applications: Dates by which Parties can file any such applications.
• Trial Date / Window: When the Trial will take place, or the timeframe during which it can.

It may also Direct on other matters as it sees fit

If necessary, the Court will convene a Case Management Conference. This most often happens in Multi-Track Claims.

In especially complex cases, multiple Conferences and Pre-Trial Reviews may be convened.

Question 29

What will the Court address in a Case Management Conference?

Answer 29

• Clarity of the Claim: Whether the Claim, Defence, and Counterclaim (if any) are sufficiently clear, or whether amendments are needed.
• Disclosure: Determining the scope and type of Disclosure required, including whether it should be limited or extensive.
• Expert Evidence: Deciding what Expert Evidence is needed, if any, and setting a timeline for obtaining Expert Reports.
• Witness Evidence: Identifying the Witnesses the Parties intend to call at Trial and setting deadlines for the exchange of Witness Statements.
• Further Information: Whether additional information is needed from either Party to clarify aspects of the Case.
• Preliminary Issues: Whether it would be cost-effective to order a Split Trial or to deal with preliminary issues before the Main Trial.

Legal representatives in attendance must have the authority to deal with such issues, and other like them, lest they incur a Wasted Costs Order.

Question 30

What must the Parties do before a Case Management Conference?

Answer 30

Disclosure Report:

• The Parties must file a Disclosure Report at least 14 days before the Conference.
• The Report must include:
  • A description of any documents that are, or may become, relevant to the Case.
  • The location and storage conditions of these documents.
  • A cost estimate for Standard Disclosure.
  • A statement on which Disclosure Directions are being sought.

Draft Directions:

• The Parties must file agreed or proposed Draft Directions at least 14 days before the Conference.
  • If the Parties agree on Directions, the Conference may be cancelled the Court approves them.
  • If the Parties cannot agree on Directions, each one should still submit its own.

Case Summary:

• It is good practice for the Claimant to submit a Case Summary, outlining:
  • A chronology of key events in the claim.
  • A summary of the agreed and disputed.
  • A brief explanation of the evidence needed to resolve the dispute.

Applications:

• If a Party needs to make any Applications, it should do so at the Conference.