Pre- Action Conduct Flashcards

1
Q

true or false:
pre-action protocols explain the conduct and set out the steps the court would normally expect parties to take before commencing proceedings for particular types of civil claims and are approved by the master of the rolls.

A

true

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2
Q

When does the practice direction for pre-action apply?

A

to disputes where no pre-action protocol approved by the master of the rolls applies.

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3
Q

true or false:
a person who knowingly makes a false statement in a pre-action protocol letter or other document prepared in anticipation of legal proceedings may be subject to proceedings for contempt of court

A

true.

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4
Q

before commencing proceedings, the court will expect the parties to have exchanged sufficient information to do what?

A

to understand each other’s position
make decisions about how to proceed
try and settle the issues without proceedings.
consider a form of ADR to assist with settlement
support the efficient management of those proceedings and
reduce the costs of resolving the dispute.

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5
Q

when must a pre-action protocol or PD not be used by a party and what should be done instead

A

it shouldn’t be used as a tactical device to secure an unfair advantage over the party and only reasonable and proportionate steps should be taken by the parties to identify, narrow and resolve the legal, factual or expert issues.

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6
Q

true or false:
the costs incurred in complying with a pre-action protocol or this PD should be not be proportionate. Where parties incur disproportionate costs in complying with any pre-action protocol or this PD, those costs will be recoverable as part of the costs of the proceedings.

A

false:
it should be proportionate and when incurred disproportionate costs, those costs will not be recoverable as part of the costs of the proceedings.

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7
Q

true or false:
where there is a relevant pre-action protocol, the parties should comply with that protocol before commencing proceedings.

A

true

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8
Q

where there is no relevant pre-action protocol, the parties should exchange correspondence and information to comply with the objectives in para 3 bearing in mind that compliance should be proportionate. but what will these steps usually include?

A

A. the claimant should write the concise details of claim to D. Letter should include basis on which claim is made, a summary of facts, what the claimant wants from the defendant and if it involves money, how much is calculated.
B. the defendant responding within a reasonable time- 14 days in a straight forward case and no more than 3 months in a very complex one. The reply should include confirmation as to whether the claim is accepted and, if it is not accepted, the reasons why, together with an explanation as to which facts and parts of the claim are disputed and whether the defendant is making a counterclaim as well as providing details of any counterclaim; and
C. the parties disclosing key documents relevant to the issues in dispute.

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9
Q

true or false:
Parties should be aware that the court must give permission before expert evidence can be relied upon and that the court may not limit the fees recoverable.

A

false:
the court may limit the fees recoverable but should be aware that the court must give permission before expert evidence can be relied upon.

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10
Q

if it is necessary to obtain expert evidence, particularly in low value claims, what should the parties consider?

A

they should consider using a single joint expert who is jointly instructed by the parties with the costs shared equally.

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11
Q

what should the parties do where a dispute has not been resolved after the parties have followed a pre-action protocol or this PD?

A

they should consider the papers and the evidence to see if proceedings can be avoided and at least seek to narrow the issues in dispute before the claimant issues proceedings.

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12
Q

true or false:
this PD or pre-action protocols don’t alter the stat time limits for starting court proceedings.

A

true.

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13
Q

true or false:
if a claim is issued after the relevant limitation period has expired, the defendant will be entitled to se that as a defence to the claim?

A

true.

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14
Q

what should the parties do if proceedings are started to comply with the statutory time limit before the parties have followed the procedures in this PD or the relevant pre-action protocol?

A

the parties should apply to the court for a stay of the proceedings whilst they so comply.

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15
Q

true or false:
the period for the defendant to investigate and respond can be varied by the parties by consent?

A

true

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16
Q

when might the full protocol period might not be necessary?

A

in simple cases where D is already aware of and has taken some action

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17
Q

when might a longer protocol period might be necessary?

A

in complex cases or where origin of dispute occurred some time previously or where D had no prior knowledge of potential claim.

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18
Q

true or false:
the level of detail in a letter of claim will depend on type and value of the case but should always include the main facts and circumstances, the nature of the dispute or claim and the remedy sought.

A

true.

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19
Q

if the claimant doesn’t write to D until towards the end of a relevant limitation period, what should the claimant do?

A

the claimant should issue proceedings if necessary to protect the client’s position and should then either delay serving the claim form while the protocol is followed or should serve the claim and invite the court to order a stay under r26.5

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20
Q

what is the consequence of D failing to make his response letter detailed and not simply deny the claim?

A

it could be a breach of a protocol meriting a sanction.

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21
Q

true or false:
if D is prepared to admit liability, the letter should say so clearly and not positively admitting liability but encouraging negotiations to lead to a settlement is also not within the spirit of the reforms.

A

true.

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22
Q

As to Q21, what does this leave the claimant in and why?

A

leaves them in a dilemma as to whether it is necessary to assemble the evidence to establish liability as in doing so will increase costs.

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23
Q

under which rule does the court get power to allow a party to withdraw an admission but the burden rests upon the party applying?

A

CPR 14.1

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23
Q

if liability is denied, what should the defendant do?

A

they must give proper reasons and should attach any relevant documents on which they rely if these haven’t been disclosed.

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24
Q

true or false:
the letter of claim and response are not intended to have the same status as a statement of case as it would defeat the purpose if a party were penalised for subsequently clarifying his/her claim or defence when proceedings were issued.

A

true

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25
Q

When does ‘unreasonable conduct’ occur?

A

when parties do not explain the reasoning behind substantial changes without good reason.

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26
Q

what do all the pre-action protocols strongly encourage?

A

early settlement discussions and the use of an ADR approach.

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27
Q

true or false:
the courts are sympathetic to parties who are unwilling at least to try to narrow the issues or to hold settlement discussions pre-issue.

A

false:
the courts are not sympathetic to parties who are unwilling

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28
Q

true or false:
pre-action part 36 offers to settle may have the same costs consequences as post-commencement offers, provided that the offeror has provided the offeree with sufficient information to enable her to understand and evaluate the offer.

A

true

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29
Q

true or false:
the protocols don’t specify as to whether they apply to small claims. The common sense approach is that provided a letter of claim is sent, proportionality should preclude the need in most instances to follow all the steps in a protocol.

A

true.

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30
Q

when will the courts make costs awards in small claims cases?

A

for unreasonable conduct.

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31
Q

true or false:
while parties can apply for pre-action disclosure under r31.16, they cannot apply to the court pre-issue for rulings on other matters.

A

true

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32
Q

What happened in the case of Ecclesiastical Insurance Office Plc v Trustees of the Carmelite Charitable Trust?

A

the court was prepared to hear an application from an insurer for a declaration of non-liability in a situation where the action was only likely to proceed where the defendant was insured.

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33
Q

in which cases does the personal injury protocol apply to?

A

fast track cases with a value of up to £25,000 but general approach should still be followed in larger claims.

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34
Q

when should the general approach not be followed?

A

in cases where occupational diseases and clinical negligence as they have their own protocols.

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35
Q

what does the PI protocol specifically require the parties to do?

A

co-operate on the selection of an expert especially the medical expert providing a condition and prognosis report on the accident victim.

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36
Q

when might the defendant decide to retain their own expert?

A

the defendant objects to all of the experts named by the claimant or isn’t satisfied with the report disclosed by the claimant after raising questions.

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37
Q

true or false:
it will be for the court to decide at allocation stage whether the cost of two experts is justified.

A

true.

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38
Q

what does the PI protocol include?

A

a specimen letter of instruction to a medical expert and non-exhaustive detailed lists of documents which defendants should disclose with any denial of liability in particular types of case.

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39
Q

true or false:
the protocol has been kept under review and in 2010, the first of the protocols for low value personal injury claims was implemented for RTA’s which occurred after 30th April 2010 where liability was admitted and damages were likely to be less than £25,000

A

true.

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40
Q

when was the RTA protocol introduced for PI claims arising from accidents after the specific date?

A

31 May 2021

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41
Q

what are the important changes made from the 31st May 2021?

A

damages for PI up to £5,000 are now allocated to small claims track which are much more prescriptive than the general PI protocol and include fixed costs.

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42
Q

true or false:
when a claim drops out of the new protocol, the claim then proceeds under the PI protocol and under part 7 if proceedings need to be issued.

A

true

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43
Q

true or false:
the PI protocol doesn’t state what should happen if the claimant obtains a report which C doesn’t wish to disclose because it is unsatisfactory or unhelpful.

A

true

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44
Q

what did the case of Carlson v Townsend [2001] EWCA Civ 511, what did the CoA confirm regarding the PI protocol?

A

that the protocol doesn’t require a medical expert selected in accordance with the protocol to be jointly instructed or the report to be disclosed to the defendant where the expert’s identity has not been revealed.

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45
Q

true or false:
the claimant would need the court’s permission to rely upon an expert’s report in the proceedings.

A

true.

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46
Q

true or false:
medical expert reports remain privileged and the court cannot order their production.

A

true.

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47
Q

Which claims does the PI protocol not apply to?

A

low value PI claims in a RTA from 31 July 2013
low value PI (Employers Liability and Public Liability) Claims
Pre action protocol for resolution of clinical disputes.
pre action protocol for disease and illness claims or
PI claims below small claims limit for RTA

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48
Q

true or false:
if at any stage, C values the claim at more than the upper limit of the fast track, C should notify D ASAP

A

true.

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49
Q

true or false:
the cards on the table approach should not be advocated by this protocol is equally appropriate to higher value claims.

A

false:
this approach should be advocated.

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50
Q

true or false:
the spirit, if not the letter of the protocol, should still be followed for claims which could potentially be allocated to the intermediate track or multi-track.

A

true.

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51
Q

what does the PI protocol set out under 1.4.1

A

conduct that the court would normally expect prospective parties to follow prior to the commencement of proceedings.

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52
Q

what does the protocol establish under 1.4.1

A

it establishes a reasonable process and timetable for exchange of information relevant to a dispute, sets standards for the content and quality of letters of claim and in particular, the conduct of pre-action negotiations.

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53
Q

true or false:
the parts of the PI protocol that are concerned with rehabilitation are likely to be of application in all claims.

A

true.

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54
Q

What must be varied to suit the circumstances of the case?

A

the timetable and the arrangements for disclosing documents and obtaining expert evidence.

55
Q

where one or both parties consider the detail of the protocol is not appropriate to the case and proceedings are subsequently issued, what must the court do?

A

the court will expect an explanation as to why the protocol has not been followed or has been varied.

56
Q

what is the consequence of either party failing to comply with the PI protocol?

A

court may impose sanctions.

57
Q

when deciding whether to impose sanctions, what must the court look at?

A

whether the parties have complied in substance with the relevant principles and requirements. It will also consider the effect any non compliance has had on another party. But not likely to be concerned with minor or technical shortcomings.

58
Q

How long should the defendant be given to investigate and respond to a claim before proceedings are issued as recommended by the protocol?

A

three months.

59
Q

true or false:
this time limit may not always be possible, particularly where a claimant only consults a legal representative close to the end of any relevant limitation period.

A

true.

60
Q

when the time limit might not be possible, what should C’s solicitor give and why?

A

they should give as much notice of the intention to issue proceedings as is practicable and the parties should consider whether the court might be invited to extend time for service of the claimant’s supporting documents and for service of any defence or alternatively to stay the proceedings while the recommended steps in the protocol are followed.

61
Q

true or false:
if a party to the claim doesn’t have a legal rep they should still in so far as reasonably possible fully comply with this protocol.

A

true.

62
Q

what are the PI’s objectives?

A

encourage the exchange of early and full information about the dispute
encourage better and earlier pre-action investigation by all parties.
enable the parties to avoid litigation by agreeing a settlement of the dispute before proceedings are commenced.
support the just, proportionate and efficient management of proceedings where litigation cannot be avoided and
promote the provision of medical or rehabilitation treatment to address the needs of the Claimant at the earliest possible opportunity.

63
Q

true or false:
C or legal rep may wish to notify D and/or insurer as soon as they know a claim is likely to be made but before they are able to send a detailed Letter of claim where D has no or limited knowledge of the incident giving rise to the claim or where C is incurring significant expenditure as a result of the accident which he hopes D might pay for in whole or in part.

A

true

64
Q

what should the letter of notification advise?

A

that D and or insurer of any relevant information that is available to assist with determining issues of liability/suitability of the claim for an interim payment and/or early rehabilitation.

65
Q

true or false:
if C or legal representative gives notification before sending a letter of claim, it won’t start the timetable for the Letter of Response.

A

true.

66
Q

when should the letter of notification be acknowledged within?

A

14 days of receipt.

67
Q

how many copies of the letter of claim should the claimant send to the proposed defendant?

A

2

68
Q

why should C send 2 copies to D and when should these be served?

A

one copy == D the other to pass onto the insurers ASAP and this should be given to the insurers within 7 days of D receiving these copies.

69
Q

true or false?
the level of detail will need to be varied to suit the particular circumstances and in every case, there should be sufficient info for D to assess liability and to enable D to estimate the likely size and heads of claim without necessarily addressing quantum in detail.

A

true.

70
Q

what should the letter of claim contain?

A

a clear summary of facts on which the claim is based together with an indication of the nature of any injuries suffered and the way in which these impact on the claimant’s day to day functioning and prognosis.

71
Q

true or false:
any financial loss incurred by C should be outlined with indication of the heads of damage to be claimed and the amount of that loss unless this is impracticable.

A

true

72
Q

what details should be supplied to D’s insurer once D has responded to the claim letter and confirmed the identity of the insurer?

A

C’s National Insurance Number and date of birth.

73
Q

true or false:
the Insurance Number and date of birth of C should be supplied in the letter of claim?

A

False:
it shouldn’t be supplied.

74
Q

true or false:
Where a claim no longer continues under either low value protocol, the CNF completed by the claimant under those protocols can be used as the Letter of Claim under this Protocol unless the defendant has notified the claimant that there is inadequate information in the CNF.

A

true

75
Q

true or false:
Where a claim no longer continues under the RTA Small Claims Protocol, the Small Claim Notification Form or SCNF completed by the claimant can be used as the Letter of Claim under this Protocol.

A

true.

76
Q

true or false:
Once the claimant has sent the Letter of Claim no further investigation on liability should normally be carried out within the Protocol period until a response is received from the defendant indicating whether liability is disputed.

A

true.

77
Q

true or false:
Letters of Claim and Response are not intended to have the same formal status as a statement of case in proceedings and that it would not be consistent with the spirit of the Protocol for a party to “take a point” on this in the proceedings, provided that there was no obvious intention by the party who changed their position to mislead the other party.

A

true

78
Q

When must D reply within after the date of posting of the letter identifying the insurer.

A

within 21 days.

79
Q

true or false:
If the insurer is aware of any significant omissions from the letter of claim they should identify them specifically.

A

true

80
Q

true or false:
if the insurer are aware that another defendant has also been identified whom they believe would not be a correct defendant in any proceedings, they should notify the claimant without delay, with reasons, and in any event by the end of the Response period

A

true

81
Q

where there has been no reply by D or their insurer within the specified 21 days, what is C entitled to do?

A

issue proceedings.

82
Q

true or false:
compliance will be taken into account on the question of any assessment of D’s costs?

A

true.

83
Q

how many months will the defendant’s insurer have from the date of acknowledgment of the letter of claim to investigate?

A

3 months.

84
Q

true or false:
D’s insurer should reply by no later than the end of those 3 months stating if liability is admitted by admitting that the accident occurred, caused by D’s breach of duty and that C suffered loss and there is no defence under Limitation Act 1980

A

true.

84
Q

what is the time period when the accident occurred outside England and Wales and/or where D is outside the jurisdiction?

A

it should be extended to 42 days and 6 months.

85
Q

if D denies liability and/or causation, what must they supply?

A

their version of events

86
Q

what should D enclose with their response?

A

documents in their possession which are material to the issues between the parties and which would be likely to be ordered to be disclosed by the court either on application for pre-action disclosure or on disclosure during proceedings.

87
Q

true or false:
no charge will be made for providing copy documents under the PI protocol?

A

true

88
Q

true or false:
an admission made by any party under the PI protocol may not be binding on that party in the litigation?

A

false:
it may well be binding.

89
Q

true or false:
following receipt of the response letter, if C is aware that there may be a delay of six months or more before C decides if, when and how to proceed, C should keep D generally informed?

A

true.

90
Q

what is the aim of early disclosure by D?

A

not to encourage Fishing expeditions by C but to promote an early exchange of relevant information to help in clarifying or resolving issues in dispute.

91
Q

How can C’s help promote early disclosure?

A

by identifying in the letter of claim or in a subsequent letter, the particular categories of documents which they consider are relevant and why with a brief explanation of their purported relevance if necessary.

92
Q

what will pre-action disclosure be generally limited to?

A

documents required to be enclosed with the letter of claim and response.

93
Q

where there are cases when liability is admitted in full what documents will disclosure be limited to?

A

documents relevant to quantum and the parties can decide and agree on whether further disclosure may be given.

94
Q

true or false:
If either or both of the parties consider that further disclosure should be given but there is disagreement about some aspect of that process, they may be able to make an application to the court for pre-action disclosure under Part 31 of the CPR. Parties should assist each other and avoid the necessity for such an application.

A

true.

95
Q

true or false:
The protocol should also contain a requirement that the defendant is under a duty to preserve the disclosure documents and other evidence (CCTV for example). If the documents are destroyed, this could be an abuse of the court process

A

true

96
Q

true or false:
the PI Protocol encourages joint selection of, and access to, quantum experts, and, on occasion liability experts e.g. engineers

A

true

97
Q

true or false:
The PI protocol promotes the practice of the claimant obtaining a medical report, disclosing it to the defendant who then asks questions and/or agrees it and does not obtain their own report. The Protocol provides for nomination of the expert by the claimant in personal injury claims

A

true.

98
Q

true or false:
Before any party instructs an expert, they should give the other party a list of the name(s) of one or more experts in the relevant speciality whom they consider are suitable to instruct.

A

true

99
Q

true or false:
Some solicitors choose to obtain medical reports through medical agencies, rather than directly from a specific doctor or hospital. The defendant’s prior consent to this should be sought and, if the defendant so requests, the agency should be asked to provide in advance the names of the doctor(s) whom they are considering instructing.

A

true.

100
Q

where a medical expert is to be instructed, what will C’s solicitor do?

A

the claimant’s solicitor will organise access to relevant medical records

101
Q

How many days must a party may indicate an objection to one or more of the named experts after being provided a list of experts?

A

14 days

102
Q

true or false:
when the claimant nominates an expert in the original Letter of Claim, the defendant has a further 14 days to object to one or more of the named experts after expiration of the 21 day period within which they have to reply to the Letter of Claim

A

true.

103
Q

what type of expert should a party instruct assuming there is one?

A

a mutually acceptable expert.

104
Q

if D objects to all the listed experts, then who can the parties instruct?

A

experts of their own choice.

105
Q

true or false:
it will be for the court to decide, subsequently and if proceedings are issued, whether either party had acted unreasonably.

A

true

106
Q

if D doesn’t object to an expert nominated by C, they shan’t be entitled to rely on their own expert evidence within that expert’s area of expertise unless what three things will happen?

A

C agrees
the court directs or
C’s expert report has been amended and C isn’t prepared to disclose the original report.

107
Q

if a party send an agreed expert written questions on the report via the first party’s solicitors, when should the questions be put to the expert?

A

within 28 days of service of the expert’s report and must only be for the purpose of clarification of the report.

108
Q

true or false:
the expert should send answers to the questions simultaneously to each party?

A

true

109
Q

true or false?
The cost of a report from an agreed expert will usually be paid by the instructing first party: the costs of the expert replying to questions will usually be borne by the party which asks the questions.

A

true

110
Q

true or false:
after proceedings have commenced and with the permission of the court, the parties may obtain further expert reports. It would be for the court to decide whether the costs of more than one expert’s report should be recoverable.

A

true.

111
Q

Where D admits liability which has caused some damage before proceedings are issued, C should send what to D?

A

any med reports obtained under this protocol on which C relies; and
a schedule of any past and future expenses and losses which are claimed even if the schedule is necessarily provisional. the schedule should contain as much detail as reasonably practicable and should identify those losses that are ongoing. if the schedule is likely to be updated before the case is concluded, it should say so.

112
Q

true or false:
The claimant should delay issuing proceedings for 21 days from disclosure of (a) and (b) above (unless such delay would cause his claim to become time-barred), to enable the parties to consider whether the claim is capable of settlement.

A

true.

113
Q

true or false:
Parties should always consider if it is appropriate to make a Part 36 Offer before issuing

A

true

114
Q

if a part 36 offer is made, what should the party making the offer do?

A

they must always try to supply sufficient evidence and/or information to enable the offer to be properly considered.

115
Q

true or false:
level of detail will depend on the value of the claim

A

true.

116
Q

true or false:
except for any claim for a whiplash injury, medical reports may not be necessary where there is no significant continuing injury and a detailed schedule may not be necessary in a low value case.

A

true.

117
Q

true or false:
litigation should be the last resort?

A

true.

118
Q

true or false:
he parties should consider whether negotiation or some other form of Alternative Dispute Resolution (“ADR”) might enable them to resolve their dispute without commencing proceedings.

A

true.

119
Q

true or false:
f proceedings are issued, the parties may be required by the court to provide evidence that ADR has been considered

A

true.

120
Q

true or false:
It is expressly recognised that no party can or should be forced to mediate or enter into any form of ADR but unreasonable refusal to consider ADR will be taken into account by the court when deciding who bears the costs of the proceedings.

A

true.

121
Q

true or false:
In all cases, if the defendant admits liability, the claimant will send to the defendant as soon as reasonably practicable a schedule of any past and future expenses and losses which he claims, even if the schedule is necessarily provisional.

A

true.

122
Q

true or false:
the schedule should contain as much detail as reasonably practicable and should identify those losses that are ongoing. If the schedule is likely to be updated before the case is concluded, it should say so. The claimant should keep the defendant informed as to the rate at which his financial loss is progressing throughout the entire Protocol period.

A

true.

123
Q

true or false:
Where the procedure set out in this PI Protocol has not resolved the dispute between the parties, each party should undertake a review of its own positions and the strengths and weaknesses of its case. The parties should then together consider the evidence and the arguments in order to see whether litigation can be avoided or, if that is not possible, for the issues between the parties to be narrowed before proceedings are issued. Where the defendant is insured and the pre-action steps have been taken by the insurer, the insurer would normally be expected to nominate solicitors to act in the proceedings and to accept service of the claim form and other documents on behalf of the defendant. The claimant or their solicitor is recommended to invite the insurer to nominate the insurer to nominate solicitors to act in the proceedings and do so 7 to 14 days before the intended issue date.

A

true.

124
Q

true or false:
the court will expect the parties to have complied with a relevant pre-action protocol or PD.

A

true.

125
Q

what will the court take into account when giving direction for the management of proceedings and when making orders for costs?

A

non-compliance

126
Q

what will the court also consider?

A

whether all parties have complied in substance with the terms of the relevant pre-action protocol or this PD and is not likely to be concerned with minor or technical infringements especially when the matter is urgent.

127
Q

when might the court decide where that been a failure of compliance?

A

when a party hasn’t provided sufficient info to enable the objectives in para 3 to be met
not acted within a time limit set out in a relevant protocol or within a reasonable period; or
when a party has unreasonably refused to use a form of ADR or failed to respond at all to an invitation to do so.

128
Q

where there has been non-compliance with a pre-action protocol, what may the court order?

A

that parties are relieved of the obligation to comply or further comply with pre-action protocol
that the proceedings are stayed while particular steps are taken to comply with pre-action protocol
sanctions to be applied.

129
Q

when considering the effect of any non-compliance, what may this include?

A

an order that the party at fault pays the costs of the proceedings or part of the costs of the other party or parties
an order that the party at fault pay those costs on an indemnity basis.
if the party at fault is a claimant who has been awarded a sum of money, an order depriving that party of interest on that sum for a specified period and/or awarding interest at a lower rate than would otherwise have been awarded.
if the party at fault is a defendant and the claimant has been awarded a sum of money, an order awarding interest on that sum for a specified period at a higher rate than the rate which would otherwise have been awarded.

130
Q

true or false:
this PI protocol sets out conduct that the court would normally expect prospective parties to follow prior to the commencement of proceedings. it establishes a reasonable process and timetable for the exchange of information relevant to a dispute, sets standards for the content and quality of letters of claim and the conduct of pre-action negotiations.

A

true.

131
Q

true or false:
the timetable and the arrangements for disclosing documents and obtaining expert evidence may need to be varied to suit the circumstances of the case. Where one or both parties consider the detail of the protocol isn’t appropriate to the case and proceedings are subsequently issued, the court will expect an explanation as to why the protocol hasn’t been followed or varied.

A

true.

132
Q

true or false:
where either party fails to comply with this protocol, the court may impose sanctions and when deciding whether to do so, the court will look at whether the parties have complied in substance with the relevant principles and requirements.

A

true.

133
Q

true or false:
the court will also consider the effect any non-compliance has had on another party and it isn’t likely to be concerned with minor or technical shortcomings.

A

true.