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Unit 9 > Case Management > Flashcards

Case Management Flashcards

1
Q

What claims are allocated to the small claims track? (non pi)

A

Defended low value claims with the least formality (parties will usually represent themselves)

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2
Q

What claims are allocated to the fast track and how are directions dealt with? (non pi)

A

Defended claims between £10,000.01 and £25,000. There is a tight timetable for directions and trial is within 30 weeks.

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3
Q

What claims are allocated to the multi track and how are directions dealt with? (non pi)

A

Defended claims over value of £25k. Courts have flexibility on directions depending on the importance of the case.

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4
Q

What should parties put in part A of the directions questionnaire? (settlement)

A

Parties confirm if a one month stay is required to attempt settlement by ADR or informal discussion and confirmation they have been warned of costs sanctions if they don’t attempt settlement. If they aren’t going to, written reasons must be given.

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5
Q

What should parties put in part B of the directions questionnaire? (court)

A

Any reason why a case may need to be heard in a certain County or High Court.

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6
Q

What should parties put in part C of the directions questionnaire? (pre-action protocols)

A

If there is a relevant pre-action protocol and if it has been followed and if not, why not.

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7
Q

What should parties put in part D of the directions questionnaire? (case management information)

A

Details of any application made so far. If the proposed directions indicate a track which is not usual for case type then why is this. Scope and extent of disclosure of documents.

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8
Q

What should parties put in part E of the directions questionnaire? (experts)

A

Is the case suitable for a single joint expert, if not details should be given of experts the party wishes to use

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9
Q

What should parties put in part F of the directions questionnaire? (witnesses)

A

List of all intended to call at trial

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10
Q

What should parties put in part G of the directions questionnaire? (trial or final hearing)

A

Estimate of trial length

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11
Q

What should parties put in part H of the directions questionnaire? (costs)

A

If legally represented, solicitor files and serves costs budget using precedent H if the case is likely to be allocated to the multi track

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12
Q

What should parties put in part I of the directions questionnaire? (other information)

A

Any information which may help the judge manage the claim (e.g. intended applications)

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13
Q

What should parties put in part J of the directions questionnaire? (directions)

A

Directions parties have agreed which form a timetable of the procedural steps to take the claim to a trial plus a draft order. For multi track there is a menu of directions on MoJ site and for fast track on CPR Part 28

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14
Q

Under CPR Part 26, what happens if a party fails to file a directions questionnaire? (non CCMCC claims)?

A

The court will make the appropriate order (e.g. order for directions, order striking out claim or defence and entering judgment, order listing CMC) and the party who didn’t file will be ordered to pay costs.

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15
Q

Under CPR Part 26, what happens if a party fails to file a directions questionnaire in a CCMCC claim?

A

Court serves a notice to comply within 7 days and if the party doesn’t, the statement of case are automatically struck out.

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16
Q

What values are allocated to what track with personal injury claims?

A

small claims - £1,000 or below / fast track - above £1,000 below £25,000 / multi track - above £25,000

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17
Q

What are four reasons why a court may allocate a personal injury claim to a higher track than usual?

A

complexity / value of counterclaim / oral evidence / case importance

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18
Q

What case management directions are made in the fast track?

A

Directions setting out timetable to trial (called standard directions)

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19
Q

What case management directions are made in the multi track?

A

There will be a CMC for the purposes of determining directions which are cost appropriate.

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20
Q

What is the Shorter Trial Scheme?

A

Provides earlier trials for business litigation at reasonable and proportionate cost. It is a streamlined procedure where judgment is given in a year of issue. For cases which can be tried fairly with limited evidence and disclosure. Max trial length is 4 days

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21
Q

What is the Flexible Trial Scheme?

A

Provides earlier trials for business litigation at reasonable and proportionate cost. Gives more flexible case management where parties agree, which simplifies and expedites the full trial procedure currently under CPR

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22
Q

If there is a minor failure to comply with directions, what should happen to ensure the party does not face sanctions?

A

Parties should co-operate and still keep to certain key dates.

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23
Q

If a party fails to comply with directions, what can their opponent do?

A

The opposing party can apply for an order to enforce compliance and/or impose a sanction.

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24
Q

If a party fails to comply with directions, what can the court do?

A

Court may order costs to be paid by the party in default. They may be stopped from raising or contesting issues or relying on evidence which relates to the direction. Failure to comply will only lead to postponement in exceptional circumstances.

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25
Under which rule of CPR can a defaulting party apply for relief from sanctions?
r3.9
26
What happened in the case of Andrew Mitchell MP v News Group Newspapers Ltd [2013] in relation to sanctions for non-compliance with directions?
The Court of Appeal dismissed Mr Andrews' claim against the High Court ruling that he would only recover court fees (regardless of how valid his case was or how much work his solicitors had done) as he had filed his costs budget late
27
What happened in the case of Viridor Waste Management Ltd v Veolia Es Ltd [2015] in relation to sanctions for non-compliance with directions?
PoC were filed by non CPR recognised method (2nd class) and one day late so def didn't consent to application for extension and applied to strike out the claim. As no delay was caused by the error, the court penalised the def for being unreasonable, awarding the claimant costs on an indemnity basis
28
What three things are considered by the court when deciding to grant relief from sanctions (as well as a common sense approach, balancing fairness and procedural certainty)?
The seriousness and significance of the breach / The reasons for default / all case circumstances, including the need to comply but also for the litigation to be efficient and at a proportionate cost
29
What part of CPR deals with the small claims track?
CPR Part 27
30
What four procedures are not appropriate for the small claims track?
(most) interim remedies / standard disclosure / most rules on experts / Part 36 offers
31
What are the four key points in Standard Directions?
Documents to be relied upon are filed and served no later than 14 days before the hearing / Original docs must be brought to hearing / Notice is given of date and length of hearing / Court is informed if case is settled by agreement
32
What are parties automatically referred to when a case is allocated to the small claims track and why?
They are automatically referred to mediation (if they agree) in order to resolve the matter without trial, which would save time and costs
33
In the small claims track, what are special directions and when are they made?
They are directions made by the DJ considering the court file at the allocation stage if the case so merits a direction which isn't usually granted (e.g. direction for expert evidence may be made in a dispute over workmanship)
34
For which two reasons might a DJ list a small claims case for a preliminary hearing?
To help parties understand how to prepare the case or if it appears from the documents the case should be struck out
35
How will a final hearing proceed in the small claims track?
It is usually dealt with by a DJ in judge's room rather than court room. The hearing is informal with no strict evidence rules, allowing the DJ to proceed however they see fair (e.g. questioning witness before parties or imposing crossexam limits). DJ gives short, simple oral judgment after hearing evidence and closing submissions. Hearing fee based on value of claim and usually paid by claimant. Case can be decided on paper without hearing if parties agree.
36
What six types of costs may be ordered between parties in small claims?
Fixed costs of issue / Court fees / witness travel expenses / subsistence and loss of earnings up to £95 per day / expert fees up to £750 / litigants in person's legal work up to £19 p/h
37
What part of CPR covers the fast track?
CPR Part 28
38
How are cases dealt with under the fast track?
It is a streamlined procedure with a short timescale to trial after filing defences. The timetable is tight to discourage elaboration but gives enough time for necessary work. Full range of interim remedies and orders are available but with limited time for these tactical procedural applications.
39
What four matters are covered under the standard directions given in the fast track and when are they given?
They are given on allocation and cover; disclosure of documents / service of witness statements / expert evidence / fixing the trial date or trial window
40
What happens with parties' directions in the fast track?
They are agreed between the parties and must be approved by the court, who may not always do so.
41
Under CPR Part 28, what is the time limit for disclosure of documents after date of allocation in the fast track?
4 weeks
42
Under CPR Part 28, what is the time limit for inspection of documents after date of disclosure in the fast track?
7 days
43
Under CPR Part 28, what is the time limit for exchange of witness statements after date of allocation in the fast track?
10 weeks
44
Under CPR Part 28, what is the time limit for exchange of expert's reports after date of allocation in the fast track?
14 weeks
45
Under CPR Part 28, what is the time limit for service of pre-trial checklists by court after date of allocation in the fast track?
20 weeks
46
Under CPR Part 28, what is the time limit for service of pre-trial checklists after date of allocation in the fast track?
22 weeks
47
Under CPR Part 28, what is the time limit for the trial after date of allocation in the fast track?
30 weeks
48
What are the rules for experts in the fast track and which part of CPR deals with them?
One jointly instructed expert will be ordered to save costs, unless there is a good reason not to. They are not usually directed to attend the trial. Dealt with by CPR Part 35.
49
When must listing questionnaires be returned to the court in the fast track?
No more than 8 weeks before the trial date.
50
What five key bits of information are given by the parties in the listing questionnaire?
Confirmation that directions have been complied with / details of other parties and witnesses and their availability / information about experts and their legal representatives / give time estimate and consideration of trial aspects to help set date / confirm relevant docs, costs estimates and fee have been included
51
Can parties vary the timetable in the fast track?
Only if the parties agree. Date for listing questionnaire cannot be varied or the trial date (unless a last resort if significate problems with evidence or pi prognosis is uncertain).
52
How are costs awarded on the fast track?
Judge will summarily assess at the end of the trial if costs are not superseded by fixed costs of RTA protocol
53
How does a summary assessment of costs work?
Each party must file and serve statement of costs (N260) at least 2 days before trial and judges assess if these are reasonable based on guidelines. The court must put emphasis on proportionate costs when summarily assessing costs. Advocates have fixed costs.
54
How do courts manage cases in the multi track?
They manage cases depending on complexity, in straightforward cases they will give standard directions and in more complicated matters, the courts will be more proactive and may direct several CMCs and pre-trial reviews.
55
What four things are used by the court when determining suitable directions for multi track cases?
Precedent H costs budget / proposed directions / expert report costs estimate / disclosure reports
56
When is the CMC held in multi track cases?
Immediately after allocation
57
When should parties send their agreed directions to the court in the multi track?
7 days before the CMC
58
Who should attend a multi track CMC and what four things must they be able to do?
Fee earner, Counsel or someone else familiar with the case. They will need to deal with questions that arise, have authority to make concessions and agreements to narrow issues, revise costs budgets and be able to make representations on matters expected to arise.
59
What happens if the person attending a multi track CMC isn't adequate, resulting in an adjourned hearing?
A wasted costs order is issued
60
What 5 things does a court do at a multi track CMC?
review the steps the parties have taken to date (incl if they have complied with prev orders/directions) / determine what can be agreed / decide directions to give which comply with the overriding objective / set calendar date timetable / make costs management order
61
What 6 things should the court cover when giving the calendar date timetable at a multi track CMC?
disclosure and inspection of documents / exchange of witness statements / expert evidence / pre-trial checklist date (and pre-trial review date if required) / trial arrangements including bundle / possible adr
62
What might a costs management order cover in the multi track?
It will record the extent of the agreed budget between the parties and may revise the budget and record the court's approval.
63
When should a costs budget be filed in the multi track if the claim is less than £50k and if the claim is more than £50k and when should the budget discussion report be completed?
If less than £50k, it must be filed and exchanged with directions questionnaires. If over £50k then not less than 21 days before the CMC. After filing, budget discussion report should be completed 7 days before CMC setting out what is agreed and disputed.
64
What happens if a party fails to file a costs budget in the multi track?
It is treated that they have filed for court costs only and so no solicitor's costs will be allowed.
65
Why must a costs budget be accurate and what do solicitors do to try and make it as accurate as possible?
It must be accurate because once filed it is difficult to persuade the court it needs amending so what is in it will be all they can recover. To make it as accurate as possible, solicitors will try to do as much work as they can before filing.
66
Why might a judge request a case summary in multi track cases and what three things should it include?
Judge may request to understand issues still 'live' as the case progresses so they can review or order further directions. Summary should include chronology, issues agreed and disputed, and evidence needed to decide issues. Claimant should prepare but all parties should agree it if possible.
67
Why is a pre-trial checklist completed in the multi track?
To confirm directions have been complied with and parties are ready for trial
68
When does a PTR take place in the multi track and what is its purpose?
8-10 weeks before trial, before the probable trial judge. The purpose is to identify issues and set a timetable.
69
What part of CPR deals with disclosure?
Part 31
70
When does disclosure take place?
Court will direct a specific date. Usually the first step after issue and directions , but in cases where pre-action protocols apply some disclosure takes place before issues to support claim/denial
71
What is considered a 'document' in disclosure?
Anything containing information such as letters, contract, emails, computer disks, photos, video tapes and the statements of case as these all contain information the client relies upon.
72
How is disclosure dealt with in the small claims track?
Part 31 doesn't apply. Court orders parties to file and serve docs 14 days before hearing.
73
How is disclosure dealt with in the fast track?
The usual direction is for standard disclosure
74
How is disclosure dealt with in the multi track?
Parties must complete a disclosure report so court can give tailor made directions
75
What four categories of docs does standard disclosure require parties to disclose?
Documents they rely on / docs which adversely affect their case / docs which adversely affect the other's case / docs which support the other's case
76
What three types of documents do parties disclosure in standard disclosure in relation to possession?
Documents they physically possess, documents they used to possess and documents they had a right to possess, inspect or copy.
77
What is the form used for preparing list of documents in standard disclosure?
N265
78
What is contained in part 1 of N265?
Docs in party's possession they don't object to being inspected (so opponent can decide if they want to inspect these)
79
What is contained in part 2 of N265?
Documents which the party is claiming privilege from inspection. They are described in general terms so the content is not apparent. Reasons for privilege should be given (usually that they covered by legal professional privilege)
80
What is contained in part 3 of N265?
A list of documents the party had but no longer has in their control
81
What happens if additional documents are found after disclosure, and why?
The other party must be notified by filing the document at court and serving an amended list on the other party. This is because the duty of disclosure continues until the conclusion of proceedings.
82
What are the four factors which determine the reasonableness of a search for documents?
number of docs involved / nature and complexity of proceedings / ease and expenses of retrieving docs / significance of any docs likely to be found
83
The list of docs must contain what in relation to the search for documents?
A statement which states the party has carried out their duty to disclosure to the best of their knowledge and the extent of the search they have carried out. If they haven't searched for a category or class of document on grounds that it would be unreasonable they must state this and what docs are affected
84
What three things limit a search for disclosure documents and how?
Time - how far back the search goes / Location - are docs at party's home, workplace, storage facility etc / Category - what files are searched, were all electronic devices searched
85
What five things must be included in the disclosure report filed by parties in the multi track?
Brief description of any docs which may be relevant / location of docs / how electronic docs are stored / estimate of costs for giving standard disclosure (inc searching) / directions the party wishes court to make for disclosure
86
What are three of the possible disclosure orders a court can choose from in the multi track, as set out in Part 31?
Dispense with disclosure entirely / Effect disclosure on an issue by issue basis / Standard disclosure
87
What docs does electronic disclosure cover and how is it dealt with in the multi track?
It covers emails, databases, docs on servers and back up systems as well as deleted docs. Parties must discuss electronic disclosure before the CMC, which may include the exchange of Electronic Docs Questionnaire giving info on scope, extent and format of docs (verified by SoT)
88
Give three examples of privileged documents
Draft witness statements, attendance notes and Counsel's advice
89
What does it mean if documents are covered by legal professional privilege?
Documents covered by legal advice privilege (being all communications between client and lawyer for the purpose of legal advice) and litigation privilege (communication between client and third party or lawyer and third party, which only applies when litigation is pending or contemplated).
90
How does inspection of documents take place?
Written notice is given of wish to inspect after receipt of list of documents from opponents and the request must be granted in 7 days. If copies are requested rather than inspection in person, reasonable copying fees may apply and the copies should be sent in 7 days.
91
What is specific disclosure and why might an application be made?
An application for specific documents to be disclosed or to broaden a search, made when a party is dissatisfied with the disclosure provided and consider it inadequate
92
What replaced standard disclosure in the Business and Property Courts' pilot scheme and what are the duties of the lawyers and parties?
Standard disclosure is replaced by Model D. Parties and lawyers have a duty of full, efficient disclosure.
93
How does initial disclosure work in the Business and Property Courts' pilot scheme?
Initial disclosure of key docs to be relied upon is usually given with the statements of case and may avoid need for further disclosure. A search is not required but may be undertaken. The disclosure is not meant to be onerous and may be dispensed with altogether.
94
What does the Disclosure Review Document do? (which is agreed by the parties before the CMC in the Business and Property Courts)?
Lists the issues for disclosure, exchanges proposals for extended disclosure and gives information about how docs are stored and how they can be searched and reviewed.
95
The Disclosure Duty in the Business and Property Courts keeps the court informed of which two things?
Any joint views regarding which Disclosure Model should apply, and the costs/work involved in using that Model
96
Briefly describe the Disclosure Models
There are five, A - E. They range from disclosure of known adverse documents only on certain issues through to widest disclosure leading to a train of enquiry. The court must be proactive in selecting the most appropriate and should not accept without question that which the parties put forward.
97
What is a Disclosure Guidance Hearing?
A hearing which is part of the B+PC Pilot Scheme, in which informal court guidance is given to the parties before or after a CMC to resolve any issues between parties regarding disclosure

Unit 9 (9 decks)

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