SGS 4: Allocation, Case & Costs Management Flashcards
Which CPR deals with allocation?
- CPR 26
- Small: < £10,000 - CPR 27
- Fast: 10k-25k - CPR 28
- Multi: >25k - CPR 29
What are the 5 stages of process of allocation?
- Court sends parties notice of proposed allocation - CPR 26.3(1)
- Negotiation of directions
- Expert evidence - CPR 35
- Transfer of court - CPR 26.2
- Allocation
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What are the 5 stages of process of allocation: explain the STEP 1: court sending the parties a notice of proposed allocation?
- CPR 26.3(1)
- Notice should contain: date / proposed directions / Precedent H
- Purpose is to help the court allocate the claim correctly
- Once they get response - can definitively allocate to track. Enables the court to obtain relevant information and prepare parties for evidence and then trial
- Not responding - court can make order under CPR 26.3(8), may involve cost sanctions - CPR 26.3(10)
What are the 5 stages of process of allocation: explain the STEP 2: Negotiation of Directions
- If the parties want to add anything beyond standard directors
- Dates: disclosure is 4/5 weeks after the order for directions
- Directions to consider should be ADR > Disclosure > Inspection > Witness Statement > Expert Witnesses > Preparing for trial
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What are the 5 stages of process of allocation: explain the STEP 3: Expert Evidence
- CPR 35 / Protocol for the Instruction of Experts
- The role of the expert is to help the court decide matters outside its expertise – must be stated on the DQ
- Must be in written form CPR 35.5(1) – Letter of Instruction (not privileged)
- CPR 35.10(5) & 13.15 Protocol
- Only expert evidence which is ‘reasonably required’ shall be permitted CPR 35.1
- No party may call an expert without the court’s permission CPR 35.4(1)
What are the 5 stages of process of allocation: explain the STEP 4: Transfer of Court?
- Court will automatically transfer claims for a specified amount of money to D’s home court after filing of the defence CPR 26.2, but the original court will still be the one to send out the DQ.
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What are the 5 stages of process of allocation: explain the STEP 5: allocation?
- Once the courts have reviewed all documents from notice
- Will allocate it to a track. But it might need more information: and can -
i. Order a party to provide further info about the case CPR 26.5(3)
ii. Hold an allocation hearing CPR 26.5(4)
iii. Order a case management conference
For step 5 of the allocation process, ‘allocation’, what is the main criterion? Where are the other criteria found?
- Value of the case
- Other factors are in CPR 26.8(1)
- Small claims
- Fast track - CPR 26.6(4) & (5). Usually held in the CC. standard directions are in Appendix to PD 28.
- The court will set the timetable
- Multi track - all other types of case are in CPR 26.6(6)
- Trial expected to last longer than one day. Each party expects to adduce oral expert evidence in > 2 fields of expertise.
Which CPR explains case management?
- CPR 3.1 and CPR 1.4(2)
- Duty under CPR 1.4 to further the overriding objective by actively managing cases
- General sweep up provision in CPR 3.1(2)(m) = court has wide power to take any other step that furthers overriding objective.
Under case management - what is the purpose of the strikeout of statement of case?
- CPR 3.4
- To target inadequately pleaded case
- The court either acts on own initiative / on application of party.
- This is only used where there is no point in having a trial
- Grounds for this are in CPR 3.4(2)
- No reasonable grounds for bringing or defending the claim, or
- Abuse of court’s process or otherwise likely to obstruct the just disposal of proceedings
- Failure to comply with a rule, PD or court order
Under case management, where is the power to impose sanctions found?
- CPR 3.1 lists main sanctions
- Court also has power to make costs orders + prevent a party from adducing evidence and limit the interest payable.
- There are also automatic sanctions for default in whole CPR
What are the main case management stages?
- Preparation
- Case management conference
- Doc Questionnaire Form N181
- Deadlines
- Cost management - CPR 3
- Experts
What happens in Case Management Step 1/6: Preparation?
- Have to file + exchange cost budget on the Precedent H form
- If not on time - CPR 3.14 applies and C treated as having filed a budget comprising only the applicable court fees
- CPR 26.3(1) if no date stated, then is 7 days before first CMC - CPR 3.13
- Disclosure report
- Directions
- Directions seek to AGREE
in Case Management Step 1/6: Preparation?When does the disclosure report have to be filed?
- Produced and filed at least 14 days before the first CMC. Verified by SoT
- Information to be included - CPR 31.5 (3)
- Parties to consider issues in case and seek directions in relation to order for disclosure - CPR 31.5(5)
- Not less than 7 days before the CMC
in Case Management Step 1/6: Preparation? What happens during Directions?
29 PD 4.2 – Court tailors directions to needs of the case & steps already taken by parties
CPR 29.4 – Parties under a duty to agree directions appropriate to case before CMC. Directions to be filed at court at least 7 days before CMC.
29 PD 4.7 – Directions should specify date & time by which steps should be completed
29 PD 4.7 & 4.8 – Details to be included.
in Case Management Step 1/6: Preparation? What happens during Directions Seeking to Agree?
Standard Disclosure between parties CPR 31
Inspection Date CPR 31
Exchange of WSs
Permission to adduce expert evidence
Trial Date/window – relevant directions e.g. filing pre-trial checklist
What happens in Case Management Step 2/6: Case Management Conference? What is the purpose of it?
· Suitability of case for settlement, position parties have got to (steps already taken), extent of compliance thus far, estimation of costs.
· Restricted to more complicated cases for the court to decide the future conduct
· Held before Master in HC/District Judge in CC.
What will the courts do during the Case Management Conference?
- In 29 PD 5.1 and 5.3
- Review steps parties have taken
- Consider how parties have complied
- Further directions to secure progress of the claim - overriding objective
- Ensure parties make reasonable agreement about matters in issue and future conduct of the case.
- CPR 29.3(2) states that the solicitor must be familiar with the case and have authority to deal with any issues arising.
What happens in Case Management Step 3/6: Doc Questionnaire Form N181
· Estimated length of trial · Type of disclosure parties have agreed · No & type of experts required · Statement as to whether parties have complied with PA protocols · Court information · Info on whether steps have been taken to settle · Costs – if multi-track – Precedent H · Draft of Directions
What happens in Case Management Step 4/6: Deadlines?
- If you know you cant meet it in TIME - CPR 3.8(4) says you can agree extensions of up to 28 days. Hallam Estates - where reasonable applications for extension of time are made before deadline, should be allowed provided it does not disrupt hearing date / conduct
- If LATE - CPR 3.8(1) says you can have a sanction
- CPR 3.9 - can apply for relief from sanction, the burden is on the defaulting party
• Mitchell v newsgroup and Denton v Davies
What happens in Case Management Step 5/6: Cost Management CPR 3 : what are the aims, essence and application of this?
- Aim: transparency & efficiency
- essence
i. Prepare & exchange budgets 7 days before CMC CPR 3.13
ii. Approval of budgets CPR 3.15 – controls budget in terms of recoverable loss – record extent of budget agreed & record courts approval after revisions.
iii. Case Management CPR 3.77 – each stage must be outlined within budget
iv. Recovery of costs CPR 3.18 – consider the budget CPR 44.2
NB – 3E PD 7.6 – Revision of budget for ‘significant developments’
v. Exceptions under CPR 3.12
Application - dates for filing budgets and consequences of non compliance
Where are the exceptions for the usual rules for Cost Management found? What must be remembered for MCQs?
- CPR 3.12
- ‘May’ is key here for MCQs – never ‘must’ – court has lots of discretion.
What happens in Case Management Step 6/6: Experts
- CPR 35 and the guidance
- If the report IS in your favour: CPR 32.18 > CPR 44.2
- If NOT in your favour: CPR 35.6 Questions: Cross-examine & instruct an advisory expert, although would need court’s permission to rely on it.
When does the Claim form have to be issued and served?
- CPR 7.5
- Within 4 months of issue
When does the Particulars of Claim need to be served?
- At the same time as the claim form
- Or within the 14 days of service of the Claim Form - CPR 7.4
When does the Acknowledgement of Service have to be served?
- CPR 10.3
- Within 14 days of the Particulars of Claim
When does the defence have to be served?
- CPR 15.4
- File and serve Defence within 14 days of the service of PoC
- Or 28 days of service of PoC if the acknowledgement of service has been filed
When is allocation done?
- After the defence is served?
- Small claims - CPR 26.6
- Fast - 26.6(4)
- Multi track - CPR 26.6(6)
When do we need a cost and case management conference?
- For multi track claims - CPR 26.6(6)
- Costs and Case Management Conference: CPR 29.2
- 29PD 5
When does the Costs Budget Precedent H need to be filed?
- CPR 3.13 (1)(b)
- If the value of the claim is less than £50,000 this should be filed with the Directions Questionnaire;
For claims valued between £50,000 to less than £10 million not later than 21 days before the CCMC.
When does the disclosure report need to be filed?
- CPR 31.5 (3) – (8)
- Disclosure Report (Form N263) with EDQ if used
- Not less than 14 days before the CCMC.
When does the budget discussion report need to be filed?
- CPR 3.13(2)
- No later than 7 days before the CCMC.
When do the agreed / proposed directions need to be filed?
- CPR 29.4
- 29PD4
- At least 7 days before the CCMC
