Case management - Track allocation

Learning Outcomes

This article outlines the process of track allocation within the civil litigation framework in England and Wales. It details the purpose and criteria for assigning cases to the Small Claims Track, Fast Track, or Multi-Track. After reading this article, you should understand the significance of track allocation for case management, the factors influencing the court's decision, and the characteristics of each track, enabling you to apply these principles in SQE1 scenarios.

SQE1 Syllabus

For SQE1, you are required to understand the court's case management role, particularly how cases are allocated to the appropriate track to ensure they are dealt with justly and at proportionate cost. Your knowledge should cover the criteria for allocation and the key procedural features associated with each track. Pay attention to:

  • The overriding objective's role in case management and track allocation.
  • The criteria used by the court to allocate claims to the Small Claims Track, Fast Track, and Multi-Track (CPR Part 26).
  • The main procedural differences and cost implications associated with each track (CPR Parts 27, 28, and 29).
  • The function and importance of the Directions Questionnaire in the allocation process.
  • The court's power to reallocate a claim if circumstances change.

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

  1. A claimant issues a claim for breach of contract valued at £18,000. The facts are straightforward, and the trial is estimated to last one day. Which track is the court most likely to allocate this claim to?
    1. Small Claims Track
    2. Fast Track
    3. Multi-Track
    4. Specialist List
  2. Which of the following factors will the court generally disregard when assessing the financial value of a claim for track allocation purposes under CPR 26.8(2)? (Select all that apply)
    1. Claim complexity
    2. Claimed interest
    3. Costs of the litigation
    4. Value of any counterclaim
    5. Any amount admitted by the defendant
  3. What is the primary purpose of the Directions Questionnaire (Form N181) in the context of track allocation?
    1. To settle the claim before allocation.
    2. To provide the court with information to allocate the claim to the correct track and manage the case.
    3. To detail the final costs budget for the entire case.
    4. To serve as the primary evidence document for the trial.

Introduction

Once a defence is filed in civil proceedings, the court takes an active role in managing the case. An essential early step in this process is track allocation. This involves assigning the case to one of three procedural pathways – the Small Claims Track, the Fast Track, or the Multi-Track – each designed to handle cases of differing value and complexity. The allocation decision significantly influences the procedure, timetable, costs, and overall management of the claim moving forward. Understanding the principles and process of track allocation is therefore fundamental for managing civil litigation effectively. This process is governed primarily by Part 26 of the Civil Procedure Rules (CPR).

The Allocation Process

When a defendant files a defence, the court provisionally decides which track appears most appropriate based largely on the information in the statements of case, particularly the claim's financial value.

Notice of Proposed Allocation

The court serves a Notice of Proposed Allocation on all parties (CPR 26.3). This notice indicates the court's provisional view on the appropriate track and requires the parties to file a completed Directions Questionnaire by a specified date.

Key Term: Notice of Proposed Allocation
A court notice sent to parties after a defence is filed, indicating the track the court thinks is most suitable for the claim and requiring the parties to complete a Directions Questionnaire.

Directions Questionnaire

The Directions Questionnaire (often Form N181 for Fast Track and Multi-Track cases) is a key document. It gathers information from the parties to help the court make a final allocation decision and to manage the case effectively.

Key Term: Directions Questionnaire
A form completed by parties providing the court with information relevant to case management, including views on track allocation, evidence, witnesses, experts, and proposed directions.

Parties must complete and return the questionnaire by the date specified in the Notice of Proposed Allocation (usually within 28 days). Failure to do so can lead to sanctions, including the striking out of a statement of case (CPR 26.3(8)). Parties are encouraged to cooperate and, where possible, agree on proposed directions before filing the questionnaire.

Criteria for Allocation (CPR 26.8)

The court allocates a claim to a track based on several factors outlined in CPR 26.8. While financial value is often the starting point, the court must consider all relevant circumstances.

Financial Value

Financial value is a primary indicator, but not the sole determinant. The general financial limits are:

  • Small Claims Track: Claims with a financial value not exceeding £10,000 (CPR 26.6(3)). Lower limits apply to personal injury (£1,000 for pain, suffering, and loss of amenity - PSLA) and housing disrepair claims (£1,000 for repairs). Note: Specific rules apply to RTA personal injury claims.
  • Fast Track: Claims valued between £10,001 and £25,000, provided the trial is unlikely to exceed one day and oral expert evidence is limited (CPR 26.6(4)-(5)).
  • Multi-Track: Claims valued over £25,000, or lower value claims unsuitable for the Small Claims or Fast Tracks due to complexity (CPR 26.6(6)).

When assessing financial value for allocation, the court disregards amounts not in dispute, interest, costs, and any potential reduction for contributory negligence (CPR 26.8(2)).

Other Factors (CPR 26.8(1))

Beyond financial value, the court considers:

  • The nature of the remedy sought (e.g., injunctions might suggest Multi-Track).
  • The likely complexity of facts, law, or evidence.
  • The number of parties or likely parties.
  • The value and complexity of any counterclaim or Part 20 claim.
  • The amount of oral evidence required (witnesses, experts).
  • The importance of the claim to non-parties or the public.
  • The views expressed by the parties in their Directions Questionnaires.
  • The circumstances of the parties (e.g., whether a litigant in person is involved).

Worked Example 1.1

A claim for breach of contract is issued for £22,000. The legal issues are complex, involving interpretation of technical clauses and requiring evidence from three expert witnesses per side. The trial is estimated to last three days. Which track is most likely?

Answer: Although the financial value (£22,000) falls within the Fast Track range, the complexity, need for multiple experts, and estimated trial length (exceeding one day) make it unsuitable for the Fast Track. The court is most likely to allocate this claim to the Multi-Track under CPR 26.6(6) due to these factors.

The Three Tracks

Each track has distinct procedural characteristics tailored to the types of cases it handles.

Small Claims Track (CPR Part 27)

This track offers a simplified and less formal procedure for low-value claims.

  • Procedure: Relaxed rules of evidence, often dealt with without extensive pre-hearing preparation. Hearings are informal.
  • Costs: Generally, only limited fixed costs are recoverable (CPR 27.14). This aims to keep litigation costs proportionate to the small sums involved. Parties usually bear their own legal representation costs.
  • Suitability: Consumer disputes, minor accident claims, straightforward debt recovery. Dishonesty allegations usually make a claim unsuitable (PD 26, para 8.1).

Fast Track (CPR Part 28)

Designed for moderately valued claims (£10,001 - £25,000) that are capable of being tried within a day.

  • Procedure: Managed via standard directions and a fixed timetable (trial typically within 30 weeks of allocation). Disclosure, witness statements, and expert evidence are managed within set periods.
  • Trial: Limited to one day (maximum 5 hours). Oral expert evidence is restricted (usually one expert per party per field).
  • Costs: Costs are subject to fixed limits for the trial itself (CPR 45, Section VI) and summary assessment is common for other costs.

Multi-Track (CPR Part 29)

This is the track for higher-value (over £25,000) and complex claims falling outside the scope of the other two tracks.

  • Procedure: Flexible case management tailored to the specific needs of the case. Directions are often set at one or more Case Management Conferences (CMCs).
  • Evidence: Allows for more extensive disclosure (including e-disclosure), multiple witnesses, and detailed expert evidence management.
  • Costs: Costs budgeting usually applies (CPR 3.12), requiring parties to file and exchange estimated costs. Costs are generally subject to detailed assessment after the trial.

Key Term: Case Management Conference (CMC)
A hearing, typically on the Multi-Track, where a judge gives directions for the management of the case, sets timetables, and deals with issues like disclosure, evidence, and costs budgeting.

Worked Example 1.2

A personal injury claim involves complex medical evidence from multiple specialists (neurology, orthopaedics, psychiatry). The value for PSLA is estimated at £40,000, with significant claims for future care and loss of earnings bringing the total estimated value to £300,000. Why is the Multi-Track appropriate?

Answer: The Multi-Track is appropriate primarily due to the financial value exceeding the Fast Track limit (£25,000). Additionally, the complexity stemming from multiple specialist medical fields and the need for detailed assessment of future losses confirms its suitability for the tailored case management offered by the Multi-Track.

Exam Warning

Do not assume financial value is the only factor for track allocation. A claim within the Fast Track's financial limits might be allocated to the Multi-Track if it involves significant complexity, multiple issues, or requires a trial longer than one day. Always consider all criteria in CPR 26.8.

Re-allocation

The court retains the power to reallocate a claim to a different track after the initial allocation if the circumstances change significantly (CPR 26.10). For example, if a claim initially valued within the Fast Track limit increases substantially due to new evidence, it might be reallocated to the Multi-Track.

Revision Tip

Focus on understanding the purpose of each track and the key criteria for allocation. For the exam, be prepared to identify the most appropriate track based on a given scenario, justifying your choice by reference to factors like value, complexity, and trial length.

Key Point Checklist

This article has covered the following key knowledge points:

  • Track allocation is the process of assigning a defended civil claim to the Small Claims, Fast, or Multi-Track.
  • The primary aim is to ensure cases are dealt with justly and at proportionate cost, in line with the overriding objective (CPR 1.1).
  • Allocation follows the filing of a defence, initiated by a Notice of Proposed Allocation and informed by the parties' Directions Questionnaires.
  • Key criteria for allocation (CPR 26.8) include financial value, complexity, remedy sought, number of parties, evidence required, and the parties' views.
  • Financial value thresholds are generally £10,000 for Small Claims and £25,000 for Fast Track, but exceptions apply (e.g., personal injury, housing disrepair).
  • The Small Claims Track (CPR 27) uses simplified procedures and has limited costs recovery.
  • The Fast Track (CPR 28) follows a standard timetable with trials limited to one day and restricted expert evidence.
  • The Multi-Track (CPR 29) offers flexible, tailored case management, often involving CMCs and costs budgeting, for high-value or complex cases.
  • The court can reallocate a claim if circumstances change (CPR 26.10).

Key Terms and Concepts

  • Notice of Proposed Allocation
  • Directions Questionnaire
  • Case Management Conference (CMC)
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