CASE MANAGEMENT: ALLOCATION, DIRECTIONS AND SANCTIONS FOR NON-COMPLIANCE

Overriding Objective

CPR 1.1 – OVERRIDING OBJECTIVE – To deal with cases justly and at a proportionate cost

CPR 1.2 – Duties of parties to help the court further the overriding objective

CPR 1.4 – Duty of the court to actively manage cases

Case Management

CPR 3.1 – Court’s general powers of management

CPR 3.3 – Court’s power to make an order of its own initiative

CPR 3.4 – Power to strike out

CPR 3.8 – Sanctions (unless defaulting party obtains relief)

CPR 3.9 – Summary judgement

ALLOCATION – CPR 26

Where the claim is defended then, on receipt of the defence, the court provisionally decides the appropriate track for the claim and serves on each party notice of the track allocation;

Form 149A – Small claims
Form N149B – Fast track
Form N149C – Multi-track

The starting point for allocation is financial value:

Small Claims – CPR 27	Fast Track – CPR 28	Multi-track – CPR 29
10,000 or less (PI PSLA/housing disrepair 1,000 or less) District Judge Informal procedure – limited disclosure, no witness statements, usually no expert evidence and no Part 36 offers Informal hearings Fixed costs only orders	10,000 - 25,000 1 day trial 30 weeks from allocation to trial – standard directions District Judge Single joint experts (if any) – no oral expert evidence without permission Summary assessment of costs post-trial and fixed costs for trial advocate	Over 25,000 Complex law/facts Circuit Judge Tailored directions usually given at CMC which parties’ solicitors are required to attend Usually no joint expert - each side will have instructed expert(s) Oral expert evidence Pre-trial review Detailed assessment of costs after trial

DIRECTIONS

Notice of proposed allocation triggers the directions questionnaire – Form N181 for the fast/multi-track which is sent to the parties’ legal representatives (unless a party is unrepresented)
Must be completed and filed by the set date (date on the proposed allocation – Form N149B)
The parties should consult each other and cooperate in completing it
CPR 26.3(6A) – the date for filing CANNOT be varied by agreement between the parties
If allocated to the multi-track, the following documents must be prepared:
- Case summary
- If a case management conference is to occur
- Disclosure report
- Costs budget
- Budget discussion report
A draft order for directions should accompany the directions questionnaire

FAST TRACK DIRECTIONS – CPR 28

PD 28 3.12 – the typical timetable the court may give for preparation of the case:

Disclosure	4 weeks
Exchange of witness statements	10 weeks
Exchange of experts’ reports	14 weeks
Sending of pre-trial check lists (listing questionnaires) by the court	20 weeks
Filing of completed pre-trial check lists	22 weeks
Hearing	30 weeks

PD 28 4.2(2) – the parties can vary directions that the court gives within 14 days

UNABLE TO COMPLY?

Seek an extension of time BEFORE the time expires
CPR 3.8(4) – Ask opponent first
Apply to court if necessary

There are dates which you cannot extend by consent and require courts permission (return of pre-trial check list, CMC/PTR and trial date or window (CPR 28.4 or CPR 29.5)

SANCTIONS

CPR 3.8(1) – Where a party has failed to comply with a rule, practice direction or court order, any sanction for failure to comply imposed by the rule, practice direction or court order has effect unless the party in default applies for and obtains relief from the sanction.
PD 28 5.1 – Where a party has failed to comply with a direction given by the court any other party may apply for an order to enforce compliance or for a sanction to be imposed or both of these.
The court can:

Order to pay costs
Deprive of interest
Increase interest
Disallow a witness
Disallow use of a document
Order security for costs of payment into court
Strike out all or part of claim or defence

CPR 32.10 – If a witness statement is not served within the time specified, then the witness may not be called to give evidence unless the court gives permission.
CPR 35.13 – A party who fails to disclose an expert’s report cannot use the report without permission.

RELIEF FROM SANCTIONS

CPR 3.8(1) – on the application for relief from any sanction imposed for a failure to comply with any rule, practice direction or court order, the court will consider all of the circumstances of the case, so as to enable it to deal justly with the application, including the need –

for litigation to be conducted efficiently and at a proportionate cost
to enforce compliance with rules, practice directions and evidence

CPR 3.8(2) – An application must be supported by evidence

Three-stage Test For Relief From Sanctions

Denton v TH White Ltd [2014]

Seriousness of the non-compliance – is the breach “serious or significant”?
If it is, why did the default occur?
Consider all of the circumstances of the case in order to deal with the application “justly” including;

the need for litigation to be...

#16821 - Case Management - Civil Litigation

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