DR 4 - Allocation of Track Flashcards
What is the court’s overriding objective?
In exercising the power to manage cases, the courts must comply with the overriding objective of the CPR (found in Part 1)
a) Ensuring that parties are on an equal fotting
b) saving expense
c) 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
- the financial position of each party
d) ensuring that the case is dealt with expeditiously and fairly
e) allotting to it appropriate share of the court’s resources, whilst taking into account the need to allot resources to other cases
d) enforcing compliance with rules, practice directions and orders.
CPR r 1.2 - the court must give effect to the overriding objective when making procedural decisions
What is the aim of the courts ‘overriding objective’?
The aim is to enable the court to deal with the cases justly and at an proportionate cost.
What does the CPR rule 1.3 ‘the parties are required to help the court to further the overriding objective’ mean?
This imposes a positive duty upon the parties and the court will expect a high level of co-operation and realism from those involved in the litigation process.
What rules in the CPR a ‘practical effect to the overriding objective’?
CPR, r.14 ‘the court must actively manage cases’.
This means that the courts may tailor their approach to individual cases, adopting a more flexible approach to meet the object of cost- proportionate litigation.
The court’s active role includes:
(a) encouraging the parties to co- operate with each other in the conduct of the proceedings;
(b) identifying the issues at an early stage;
(c) deciding promptly which issues need to be fully investigated and dealt with at a trial;
(d) deciding the order in which issues are to be resolved;
(e) encouraging the parties to use alternative dispute resolution procedures if appropriate;
(f) helping the parties to settle the case;
(g) fixing timetables or otherwise controlling the progress of the case;
(h) considering whether the likely benefits of taking a particular step justify the cost of taking it;
(i) dealing with as many aspects of the case as it can on the same occasion;
(j) dealing with the case without the parties needing to attend at court;
(k) making use of technology; and
(l) giving directions to ensure that the trial of a case proceeds quickly and efficiently.
What does the overriding objective mean by ‘enabling the court to deal with a case justly’
This ensures that
1) parties are on an equal footing
2) Can participate fully in proceedings
3) Allow that parties and witnesses can give their best evidence
As this may be restricted if there are vulnerable parties and witnesses (e.g. communication, language, physical disability, impairment and health condition’
Therefore, the court may order an appropriate provisions such as allowing a party or witness to give evidence remotely by video conference or questioning through a translator etc.
How are cases dealt with ‘proportionately’?
This is by the allocation procedure. Cases are allocated to different tracks or ‘routes’ to ensure that most difficult and highest value claims receive greater resources and attention than simpler matters.
1) Small claims track
2) Fast track - standard route along which most cases proceed
3) Intermediate track
4) Multi-track - incorporates greater flexibility to reflect the variety and complexity of these cases.
Who makes the decision as to what track allocation is made?
Initially made by the court officer
This is confirmed after the involvement of the parties, where a defence is filed, the court will provisionally decide which track appears the most appropriate for the claim
- The court will then serve on the parties a notice of proposed allocation, requiring them to file and serve a completed questionnaire by a specified date.
This is called a directions questionnaire - key document in the progress of a case, which will be used by the court to confirm the track, to assign the case to a complexity band if appropriate and to determine directions for case management.
What happens to claims that have been provisionally allocated to the multi-track?
The following documents should also be prepared:
a) a case summary
b) a disclosure report
c) a costs budget discussion report
Why is the directions questionnaire important and what should the parties do?
- The parties must consult with one another and co-operate in completing it.
- Including, attempting to agree case management directions.
However, if this is impossible, e.g. because one of the parties is unwilling to cooperate. This should not delay the others in filing their completed questionnaires.
What form is the directions questionnaire and what is included in it?
It is form N181.
This form provides the court with information to enable it to make decisions about allocation and case management. It is normally filed with the court in advance of the first case management conference.
A) Settlement
B) Court
C) Pre-Action protocolls
D) Case management information
E) Experts
F) Witnesses
G) Trial
H) Costs
I) Other information
J) Directions
Signature and firm details
Can time for filing of a directions questionnaire by altered by agreement of the parties?
No.
What is included in part A ‘settlement’ of a directions questionnaire?
Tick the “For legal representatives only” box
Confirms that you have explained to your client the need to try and settle, the options available and possible cost sanctions if the client refuses to engage– check instructions but almost always this will be yes.
Tick the “do you want to attempt to settle” box?
- Generally, there is no reason why you shouldn’t tick this. Check instructions.
Do you want a stay?
I.e., to “pause” the proceedings;
This will usually be stayed for one month.
Alternatively the court may of its own initiative, whether or not any party has requested it, order a stay of any length for this purpose.
What is included in the ‘court’ section of a DQ?
1) High Court
- Which division - Kings Bench Division?
- Chancery or Family Division
Location
- Choose a court that is local to the parties
- London, consider Royal Courts of Justice
The following type of claims are suitable for trial in the RCJ:
1) Professional negligence claims
2) Fatal Accident Act Claims
3) Fraud or undue influence claims
4) Defamation claims
5) Claims for malicious prosecution or false imprisonment
6) Claims against the police
7) Contentious probate claims
What does the ‘Pre Action protocols’ section mean in the DQ?
The parties must state whether they have complied with any relevant pre- action
protocol and, if not, explain their reasons.
What is meant by the ‘case management information’ section of the DQ?
D1 - Interim Applications
Have you made any interim applications? E.g. summary judgement, application to extend time to file and serve a defence etc.
D2 - Which track?
Small Claims = < £10k
Fast Track = £10k - £25k
Intermediate Track = £25k - £100k
Multi-track= > £100k
D3 - Disclosure of electronic documents
- Have you agreed the extent of disclosure of electronic documents?
- Type of disclosure ‘standard disclosure’
Have you filed and served a disclosure report?
- CPR 31.5(3) requires all parties in MT claims to file and serve a disclosure report, not less than 14 days before the first case management conference
Have you agreed a proposal in relation to disclosure?
What is meant by the ‘experts’ section of the DQ?
The parties should indicate whether the case is suitable for a single joint expert and, if
not, provide details of the expert evidence they wish to rely on at trial including the cost.
Justification and estimate of costs:
- Why is an expert needed - issues as to liability and quantum? What are these?
- Is this proportionate, consider the value of the claim and necessity of the evidence
- How much is the expert charging for his report, meeting and attending trial, if known.
