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Dispute Resolution - 9 - Case Management - Coggle Diagram
Dispute Resolution - 9 - Case Management
Overview and the Overriding Objective
Court has a duty to manage cases
Implements by
making directions and timescales for steps parties must take to prepare case for trial
Court's
overriding objective is to deal with cases justly and at a proportionate costs
. This aims to:
Reduce expense
and allocate the appropriate
share
of
court resources
Make sure parties are on
equal footings
Deal with cases in ways that are
proportionate
to
money
involved,
complexity
of case, and case's
importance
Deal with cases
quickly
and
fairly
Enforce **
compliance
with
rules**, practice directions, and orders
Courts also:
Aim to
identify issues early
Encourage
co-operation
Decide which issues
need investigation
and
dispose
of
others
Encourage
and
help the parties to settle
Fix timetables
Track Allocation - Process
Defendant files defence
Court sends parties
Notice of
Proposed Track allocation
(Provisional/Initial allocation made here - different from Notice of Intended Allocation)
Court sends parties
Directions Questionnaire
, which aims to
help the court manage the case
and make appropriate
decisions
in line with the
overriding objective
On receipt of
Directions Questionnaire,
Court confirms the track and makes
Directions
, or lists case for
Case Management Conference
Confirms track with Notice of Intended Allocation
What Court Considers in Track Allocation
Does not consider any costs apart from
the AMOUNT CLAIMANT puts forward
(ie no interests, costs, contributory negligence, or sums in dispute)
Does consider
PRIMARY - VALUE OF CLAIM
Remedy sought
Complexity
of the case
Any counterclaims, number of parties
Circumstances of the parties
Importance of the claim to non-parties
The amount of oral evidence
Court sends Directions Questionnaire
Court sends
Directions Order
Can be disputed within 14 days of service
Small Claims Track
Upper limit of £10,000
Though higher-value cases may be allocated here if
less than £10,000 is in dispute
£1000 for personal injury upper limit, unless:
DO RESEARCH AND
CROSS CHECK WITH FAST TRACK PI EXCEPTIONS
Process
Less formal hearing
Party may apply to set aside decision in small claims court if they weren't in attendance of hearing. Must show:
Claim/defence has reasonable prospects of success
Good reason for not attending
Recoverable costs limited
£750 for expert fees
Limited to
fixed costs and reasonable expenses in attending
Court can, however, award more if other party has behaved unreasonably
Fast Track
£10,000-£25,000 limit
£1000-£5000 for personal injury
However, note claim
MUST be issued in Fast Track even if it's worth less than £5000 IF
ALL
3 conditions are met
The claim is for personal injuries from a road traffic accident
on /after
31 May 2021.
The claim is
made by a child or protected party
(or someone who was a child when Road Traffic Low Value Injury PAP first followed specified based on the date and protocols).
It
includes
a claim for
whiplash
Recoverable costs
PROPORTIONATE to amount in dispute
Can be limited/decided by judge
Parties'
approach
in
bringing and defending claim must be reasonable
Fixed based on claimant's recovery amount in
Personal injury road traffic accident
Employers' liability
Public liability fast track
Parties need to
submit COST SCHEDULES
AHEAD OF of Trial/Final hearing
, as judge will often
summarily assess costs at Trial's Conclusion
Process/Directions
Court sends
Notice of Intended Allocation
(Different from Notice of Proposed Allocation, which happens earlier). Court then
expects parties to consult and agree Directions
Normally
Standard Directions
suffice. If not, parties consult and agree directions, eg on:
Eg additional expert evidence, extended timelines, specific disclosure orders, interim relief/special hearings - essentially when court or parties believe usual procedural steps are not sufficient to manage the case
Important Features of Fast Track to Remember
Expert evidence limited in fast track claims
Emphasis on written, not oral evidence
Use of
single joint experts
is
encouraged
Witness evidence stands as EVIDENCE IN CHIEF
(but still need to go to court and do normal swearing process)
A party seeking to rely on
expert evidence
needs to
provide justification
and
estimate the cost
Need
Court permission to use expert
Parties need to
submit COST SCHEDULES
ahead of Trial/Final hearing, as judge will often
summarily assess costs at Trial's Conclusion
Cases usually heard by
District Judge
or
Circuit Judge
(Circuit Judge is
HIGHER
)
These 3 things are normally
required as Standard
Trial timetables
A trial timetable is a schedule set by the court (or agreed upon by the parties with court approval) that
outlines how the trial will be conducted and how long each stage will take
(eg when each witness gives trial).
Fast track trials typically do not last longer than 1 day
Trial bundles
A trial bundle is a collection of all the documents that will be referred to during the trial, organized in a specific way to make it easy for the judge and all parties to access the relevant materials
Pleadings (
Statements of Case
),
Witness statements
,
Expert
reports (if applicable), Key
correspondence
(emails, letters, etc.) ,
Court orders
, Relevant
legislation
or
case law
Any other evidence that the parties will rely on.
Prepared by claimant
Case summaries
A case summary is a concise written statement that outlines the key facts of the case, the issues in dispute, and the legal arguments from each party's perspective. The case summary is
usually prepared after the case management stage and before the trial begins,
often as part of the pre-trial preparation.
Trials typically don't last longer than 1 day
Multi-Track
Value over £25,000 (to 100k) or
where case requires trial longer than 1 day but below £25,000
May be issued in County Court or High Court
High Court
Multi-track below £100k
may go to High Court if
involves complex issues or requires a High Court judge's expertise (specialist judicial knowledge).
Generally, claims valued over £100,000 (50k PI) are heard in the High Court.
County Court
Also, sometimes, cases over £100,000 can be heard in the County Court
Agreement of Directions
(After Notice of Intended Allocation)
Once
Notice of Intended Allocation
sent (after Directions Questionnaire received),
court expects PARTIES to discuss and TRY TO AGREE DIRECTIONS
More flexibility in case procedure -
Procedural Judge has more flexibility
Stays for ADR encouraged
Proportionality
does still apply, but
Court usually lets parties instruct their own experts
, and have
more experts for more than 1 field
Filing of Costs Budgets
Don't confuse these with Cost Schedules, which come at the end of a trial (or just beforehand in a Fast Track).
Costs Schedule is a detailed statement of costs already incurred, used for quick cost assessments after fast track trials or short hearings.
Costs Budget is a forecast of future costs to manage litigation expenses in more complex, multi-track cases.
Must be filed before Initial Directions Hearing
, which often proceed as
Costs and Case Management Conferences
Has
Costs and Case Management Conferences
Parties should bring:
Case summaries
Skeleton arguments
There may be
many CCMC
s before
the case reaches trial
In TCC and CC Courts, judge is assigned to carry out CCMCs and Pre-trial reviews for consistency
The Directions Questionnaire
Sent after Court sends notice of Proposed Track Allocation (which is sent after Defence is filed)
Aim:
Help Court manage the case
and make
appropriate decisions in line with the Overriding Objective
Upon Receipt, Court sends
Notice of Intended Track allocation; OR
Lists claim for Case Management Conference (not to be confused with CCMC)
Questionnaire must address:
Whether parties followed
Pre-Action Protocol
Case management information - ie what disclosures proposed, details of any applications, track allocation desires,
amendments to Statements of Case
, or
further information requests
Whether experts are required
If so, identities, fields of expertise, why, and anticipated cost
Names of Witnesses and what issues their evidence addresses
Estimate of trial legnth
Details of anticipated costs of trial (Cost Budget)
Trial Periods and pre-trial checklists
MUST BE RETURNED WITHIN 28 DAYS
- NO EXTENSIONS (from date of Order with DQ)
Case Management Directions
-
DIRECTIONS ORDER
(from Court to Party)
Made after Notice of Intended Allocation is sent
Vary based on Track
Small Claims Directions Order
Documents exchanged
14 days before hearing/trial
Includes documents to be filed or originals brought to Court
Provision for final
hearing/trial date
Encouragement for ADR
That
no expert may be used without Court's permission
Special directions may be given - eg parties are to exchange witness statements
Fast Track Directions Order
Also (like Small Claims) no CMC
Standard Directions - memorise
Disclosure (4 weeks)
Witness statement exchange (10 weeks)
Expert report exchange (14 weeks)
Pre-trial checklist (used to
determine compliance with Directions Order)
(20 weeks)
(Must be filed with Court
no later than 8 WEEKS before START OF TRIAL)
Pre-trial checklists
seek to confirm what has already been done
; and
Prepared on expiry of day on which
directions should have been complied with
. Both party makes 1.
Pre-trial checklists returned (22 weeks) (pre-trial checklist
fee payable
)
Date of Trial (30 weeks) - hearing
fee payable
5.5 If Court unhappy with pre-trial checklist as it leaves outstanding issues, judge may set
pre-trial review
scheduled if there are outstanding issues identified in the checklist or by the court. It’s a more formal proceeding where the judge addresses and resolves issues to ensure the case is ready for trial.
A form of
Case Management Conference
. Usually takes place
4 weeks before trial starts
Purpose is to
ensure parties are ready for trial
->
court may give directions to this goal
Typically follows Standard Directions
Applications to VARY DIRECTIONS
Must apply within 14 days of receipt of directions (otherwise directions assumed accepted)
Fees
must be paid
for
pre-trial checklist
AND
hearing fee
(but Hearing Fee is recoverable if case doesn't go trial)
Check Fast Track Directions Order below for definitions of these two
Pre-trial checklists and
pre-trial reviews
- pre-trial review decided by judge, pre-trial checklists
check if parties have complied with directions
and
consider what
may be required to
prepare case for trial
Multi-Track Directions order
Tends to be no set timetable
High value and complex cases go to Case Management Conferences
Parties must file:
Disclosure Reports
at least 14 days before CMC
Document prepared by each party that outlines their approach to the disclosure of documents in the case
Costs Budgets
(prediction of costs) at least 7 days before CMC
Costs Budget is a forecast of future costs to manage litigation expenses in more complex, multi-track cases.
Case Summary
Brief synopsis of claim (Claimant drafts but defence should help)
What is a Case Management Conference?
Opportunity for Court to
take stock of case
and consider
steps necessary to prepare case for Trial
Review
steps taken to progress
claim
Consider how
far parties have complied
with prev. directions
Consider any
further directions or orders
Encourage agreement
on issues, directions, or
future conduct of claim
Consider
any other relevant preliminary issues raised by parties
(eg splitting the case when multiple unrelated defendants exist)
Parties
provide an estimate
of
experts' fees
and
issues
on which they will
give
evidence
Usual Directions in a Multi-track case
Confirmation of Track Allocation, maybe naming of judge
Encouragement to Consider ADR:
Amendments to Statements of Case if necessary
Orders to resolve any preliminary issues
(eg legal arguments over limitations or whether a contractual clause applies)
Chosen Disclosure requirements
Directions for exchange of witness statements
and limits on numbers of witnesses
Deciding whether Joint Expert
is used
*Dates for submission of pre-trial checklist fixed
+
if necessary, arranging a pre-trial review*
Approval
or
amendment
of parties'
Costs Budgets
to make sure costs are
proportionate to case complexity
Non-Compliance with Orders; Sanctions and Relief From Sanctions
Unless Orders
Applicant requests from Court
Penalty imposed unless party complies with direction
Failure to comply with Directions
may lead to Court
STRIKING OUT
claim, defence, or counter-claim
If a party defaults, you should
apply for an Unless Order
COSTS ORDERS
Court may impose costs order on non-compliant party instead of striking out claim
Awarding indemnity costs
Increased
interest
Party has to
pay money into court
Debar a party from
relying on evidence
Restrict
witness or evidence use
Minor breaches
are usually unproblematic as long as parties
keep to dates of CMC, Pre-trial Reviews, and the Trial
Criteria for Relief from sanctions
Court considers, alongside proportionality and overriding objective:
Seriousness of breach (less serious = easier to grant relief)
Reasons for breach (if reasons were serious, eg illness or accident, court may consider relief)