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
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
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
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
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
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
Parties' approach in bringing and defending claim must be reasonable
Can be limited/decided by judge
Fixed based on claimant's recovery amount in
Personal injury road traffic accident
Employers' liability
Public liability fast track
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
Parties need to submit COST SCHEDULES ahead of Trial/Final hearing, as judge will often summarily assess costs at Trial's Conclusion
Parties need to submit COST SCHEDULES AHEAD OF 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
Trial bundles
Case summaries
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
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
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
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
Confirms track with Notice of Intended Allocation
- Court sends Directions Questionnaire
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 CCMCs before the case reaches trial
In TCC and CC Courts, judge is assigned to carry out CCMCs and Pre-trial reviews for consistency
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
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)
- Court sends Directions Order
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
Need Court permission to use expert
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)
- Pre-trial checklists returned (22 weeks) (pre-trial checklist fee payable)
- Date of Trial (30 weeks) - hearing fee payable
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
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.
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
Typically follows Standard Directions
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
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.
Document prepared by each party that outlines their approach to the disclosure of documents in the case
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)
(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.
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
Can be disputed within 14 days of service