Civil claim procedures - Case management

Learning Outcomes

This article explains case management in civil proceedings under the Civil Procedure Rules, including:

• The structure and aims of case management, the CPR’s overriding objective, and the court’s active case management powers
• Criteria for track allocation and the role of directions questionnaires in informing directions and timetables
• Fast track and multi-track directions, including disclosure, control of expert evidence, case management conferences (CMC), costs and case management conferences (CCMC), and the use of ADR and stays to promote settlement
• The process for varying directions, enforcing compliance, the use and effect of unless orders, and application of the three-stage Denton test for relief from sanctions under CPR 3.9
• The principles and operation of costs management, including costs budgets, budget discussion reports, costs management orders, and the consequences of late or missing budgets
• Practical steps to avoid procedural default and to manage administrative features such as pre-trial checklists, listing, and hearing fees that impact claim progress

SQE2 Syllabus

For SQE2, you are required to understand case management in civil proceedings, including the CPR’s overriding objective, track allocation, directions questionnaires, core directions and timetabling, and relief from sanctions, with a focus on the following syllabus points:

• The overriding objective of the Civil Procedure Rules (CPR).
• The case management powers of the court in civil litigation.
• Allocation of claims to the small claims, fast track, or multi-track.
• The purpose, completion, and consequences of the directions questionnaire.
• Core case management steps: directions, timetables, costs budgets, case management conferences.
• Varying case directions and the consequences of non-compliance.
• Sanctions for breach of orders and rules, and the process for seeking relief from sanctions.
• Administrative features impacting the progress of claims.

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. What is the overriding objective of the Civil Procedure Rules in case management?
2. If a claim is valued at £18,000, what track is it usually allocated to, and what factors could alter this?
3. What happens if a party misses a deadline imposed by a court direction?
4. What is the three-stage test for relief from sanctions established by the Court of Appeal in Denton v T H White Ltd [2014]?

Introduction

Effective case management is central to modern civil procedure in England and Wales. The court has wide-ranging powers to direct the progress of cases, allocate claims to appropriate tracks, and enforce compliance with procedural rules. This approach supports the CPR's core aim: dealing with cases justly and at proportionate cost. Case management also integrates settlement-focused steps (including ADR), standardised timetabling, and costs control mechanisms to manage claims efficiently from statements of case through to trial.

Key Term: case management
The active control by a court over how civil proceedings progress, ensuring efficiency, fairness, and compliance with rules and directions.

The Overriding Objective

The central aim of the CPR is the overriding objective: enabling the court to deal with cases justly and at proportionate cost. This includes ensuring parties are on an equal footing, saving expense, dealing with cases in ways proportionate to the amount involved, importance, complexity, and parties’ financial positions, ensuring cases are handled expeditiously and fairly, allotting appropriate court resources, and enforcing compliance with rules, practice directions, and orders (CPR 1.1). The court must give effect to this objective in procedural decisions (CPR 1.2), and parties are required to help the court to further it (CPR 1.3), which demands a high degree of cooperation and realism in conduct and timetabling.

Active case management (CPR 1.4) involves identifying issues early, deciding promptly which require full investigation or trial and disposing summarily of others, ordering the sequence in which issues are resolved, encouraging and enabling ADR, helping parties settle the whole or parts of the case, fixing timetables or otherwise controlling progress, ensuring steps are justified by benefit versus cost, dealing with as many aspects as possible on the same occasion, using technology appropriately, and giving directions to ensure trial proceeds quickly and efficiently.

Key Term: overriding objective
The guiding principle requiring the court and parties to further justice, efficiency, and proportionality at all stages of civil litigation.

Court Powers and Active Case Management

The court has broad powers under Part 3 CPR to manage cases. In practice, these powers allow the court to:

• Extend or shorten time for compliance with any rule, PD, or order (including after time has expired).
• Adjourn or bring forward hearings; require attendance of parties or legal representatives.
• Receive evidence and conduct hearings by telephone or other direct oral communication.
• Stay the whole or part of proceedings (or a judgment), consolidate claims, try multiple claims together, or direct separate trials of issues.
• Decide the order in which issues are tried, exclude issues, and give judgment after a decision on a preliminary issue.
• Direct that counterclaims or other parts be dealt with as separate proceedings.
• Order the filing and exchange of costs budgets and make costs management orders.
• Hear Early Neutral Evaluation to assist settlement.
• Specify conditions in orders (for example, payment into court) and the consequences of non-compliance.

The court may exercise its powers on application or of its own initiative (CPR 3.3). Orders made of the court’s own initiative must state the right to apply to set aside, vary, or stay. Where a statement of case or application is totally without merit, the court must record that fact and consider a civil restraint order.

Case management responsibilities include proportionate treatment of unrepresented parties. When at least one party is a litigant in person, the court will start from relevant standard directions (adapting as appropriate) and may adopt procedures at hearings to further the overriding objective—such as clarifying matters for evidence or putting appropriate questions to witnesses to ensure fair progress.

The court’s active role also extends to ADR. Judges may encourage and facilitate ADR (CPR 1.4(2)(e)), stay proceedings to enable ADR (CPR 26.4), and give directions requiring parties to consider ADR (PD 29). Ignoring ADR can lead to adverse costs consequences (CPR 44.2–44.5).

Track Allocation

Once a defence is filed, most defended claims are provisionally allocated to a track: small claims, fast track, or multi-track (CPR Part 26). The main factor for allocation is the financial value of the claim, but complexity, expected trial length, number of parties, remedy sought, importance for non-parties, and the nature/volume of oral evidence also influence the decision. The court disregards interest, costs, contributory negligence, and amounts not in dispute when assessing the “financial value” for allocation, and generally does not aggregate claims and counterclaims—taking the largest into account (PD 26).

• Small claims track: the usual track for straightforward claims up to £10,000, with lower thresholds for certain categories set by CPR 26.6 (for example, some housing disrepair or personal injury claims). The process is informal, designed for litigants in person, with limited pre-hearing preparation and controlled costs.
• Fast track: usually applied where the value exceeds £10,000 but does not exceed £25,000, the trial is unlikely to last more than one day, and expert evidence is limited (typically one expert per party per field and up to two expert fields).
• Multi-track: used for claims not suitable for small or fast track, commonly over £25,000 or of particular complexity (including many-party cases or those requiring extended directions).

Appropriate venue matters: most claims start in the County Court, but high-value or complex claims may be issued in the High Court. Claims exceeding £100,000 (or £50,000 for personal injury claims) may be issued in the High Court; the court can transfer venue to ensure proportionality and resource allocation.

Reallocation can occur if circumstances change materially; parties or the court may initiate reallocation to a different track to reflect developing complexity or trial needs.

Key Term: track
Routes within civil procedure (small claims, fast track, multi-track) to which claims are allocated based on value and complexity, each with distinct procedural rules.

Directions Questionnaire

Parties are required to complete a directions questionnaire, giving information about value, complexity, witnesses, experts, case progress, trial time estimate, and costs. The court uses the responses to set directions and confirm the chosen track. For multi-track provisional allocation, additional documents are typically required: a short case summary, a disclosure report, a costs budget with budget discussion report, and a draft order for directions. Parties should cooperate to produce realistic proposals and attempt agreement.

Key Term: directions questionnaire
A compulsory court form completed by parties to inform the court of case details relevant for procedural management and track allocation.

Part A of the questionnaire addresses settlement and ADR. Parties confirm efforts taken to settle and may request a stay (often one month) to enable ADR or negotiation. The court may order a stay even if the other party objects. See also the Small Claims Mediation Service (CPR 26.4A), where eligible small claims may be referred to mediation if all parties agree.

Other parts require details of preferred court/hearing centre (including consideration of High Court divisions where appropriate), compliance with pre-action protocols, case management information (applications made/anticipated, proposed track if divergent, disclosure proposals including electronic documents per PD 31B), expert needs (including suitability for a single joint expert and cost estimates), witnesses of fact (names and issues addressed), trial length estimate and availability of parties/witnesses, and costs (including filing of costs budgets where multi-track is likely). “Other information” invites any case-specific points to assist management. “Directions” requires parties to attempt agreement and lodge draft orders: fast track directions are based on Part 28; multi-track directions on the specimen directions published by the Ministry of Justice.

Failure to return a directions questionnaire may result in striking out the claim or defence, a stay, or orders of the court’s own initiative to move matters forward.

Case Management Directions

Once allocation has been confirmed, the court issues 'directions'—instructions covering the steps required to prepare the case for trial. Directions typically address disclosure, inspection, service and exchange of witness statements, expert evidence (including whether single joint experts are appropriate), timetables, listing, and pre-trial steps such as checklists.

Key Term: directions
Instructions from the court setting deadlines and tasks for effective case preparation and progress.

Fast track cases often proceed under standard timetables (suggested by PD 28), such as disclosure within 4 weeks of allocation, exchange of witness statements by 10 weeks, exchange of experts’ reports by 14 weeks, pre-trial checklists at 20 weeks, filing checklists at 22 weeks, and trial around 30 weeks. The court may omit or alter steps if unnecessary or already completed, and may direct earlier trial or dispense with pre-trial checklists when appropriate.

In multi-track cases, directions are tailored. The court may give directions on paper (PD 29) or list a case management conference (CMC) to shape the timetable and narrow issues. Where expert evidence is contemplated, the court will only give permission if it can identify each expert by name/field and whether evidence is to be given orally or by report, ensuring proportionality in scope and cost.

Key Term: case management conference (CMC)
A hearing at which the court reviews steps taken, sets directions and timetables, addresses disclosure and expert needs, and manages costs, tailored to the case’s complexity.

Key Term: pre-trial checklist
A listing questionnaire used on fast and multi-tracks to confirm compliance with directions and readiness for trial; typically filed several weeks before trial to avoid adjournments and facilitate efficient listing.

In more complex or higher-value claims, a costs and case management conference (CCMC) may be held to manage both directions and budgets. Parties’ representatives attending a CMC/CCMC must be familiar with the case and have authority to take decisions or accept directions; failure may lead to wasted costs orders.

Case summaries assist the court. A brief, focused summary (often no more than 500 words) sets out key issues (agreed/disputed), a short chronology, and the evidence required. This helps the judge to give targeted directions and fix a realistic trial timetable.

Key Term: costs budget
A structured estimate (Precedent H) of incurred and future costs by phase, verified by a statement of truth, used by the court to control and assess costs in multi-track cases.

Key Term: costs management order (CMO)
An order recording agreed costs, approving or revising budgeted costs, and controlling recoverable costs prospectively.

Worked Example 1.1

A £20,000 contract claim is provisionally allocated to the fast track. The parties disagree about whether one witness should be allowed to give expert evidence.

Answer:
The court will decide track allocation (likely fast track due to value) and, following the directions questionnaire, issue directions about expert evidence. Only one expert per party per issue is usually permitted in the fast track, but the court may depart if justified.

Varying Directions and Failure to Comply

Minor timetable variations can sometimes be agreed by parties in writing (such as short extensions for exchanging witness statements), provided hearing dates are not put at risk and the rules or the court do not otherwise prohibit agreement. As a guide, parties can agree extensions of up to 28 days without a court order where permitted, but must not jeopardise any fixed hearing date; otherwise, an application should be made promptly to vary directions.

For fast track directions, parties may apply to vary the date for returning pre-trial checklists, the trial date, or trial period (CPR 28.4), and can seek reconsideration of directions or orders. For multi-track timetables, applications to vary key dates (CMC, pre-trial review, pre-trial checklist return, trial/trial period) are made under CPR 29.5. If parties file agreed directions seven days before a listed CMC and the court approves them, the CMC may be vacated.

If a party fails to comply with a direction, another party may apply promptly for enforcement or sanctions. The court may consider any delay by the applicant when deciding whether to impose sanctions or grant relief later. Persistent non-compliance can lead to serious consequences—including striking out a claim or defence, debarring evidence, costs penalties, or 'unless orders'.

Key Term: unless order
An order that imposes automatic consequences (e.g., strike out or debarring) unless the defaulting party complies by a specified deadline.

Exam Warning

If a party fails to comply with a key court order (for example, the deadline to file witness statements), the court may impose an 'unless order' that could result in automatic strike out of their case if the deadline is missed. Ensure procedural time limits are strictly followed.

Sanctions for Breach and Relief from Sanctions

The court may strike out a statement of case for failures under CPR 3.4(2), and can impose sanctions for breach of rules or orders. Where a sanction has taken effect (e.g., automatic strike out or costs budget restricted to court fees only), the defaulting party may apply for 'relief from sanctions' under CPR 3.9. The three-stage Denton approach guides the court:

1. Assess the seriousness and significance of the breach (a trivial, promptly remedied breach with no effect on hearing dates is more likely to attract relief).
2. Consider why the default occurred (good reason may include, for example, unexpected serious illness or events outside the party’s control; workload or oversight rarely suffices).
3. Evaluate all the circumstances, including the need for efficient litigation at proportionate cost and to enforce compliance with rules and orders; promptness of the application and past conduct are highly relevant.

Granting relief is discretionary; the burden rests on the applicant to show relief is just. Prompt applications, remedial steps, and lack of prejudice to the other side improve prospects. Courts will emphasise compliance culture: repeated defaults or casual disregard of timetables weigh heavily against relief.

Key Term: relief from sanctions
A discretionary remedy allowing the court to lift or modify a procedural sanction, usually if strict conditions are met.

Worked Example 1.2

A defendant fails to file a witness statement by the ordered deadline. The court strikes out their defence. The defendant applies for relief from sanctions, explaining illness and late delivery as the reason.

Answer:
The court will consider if the failure was serious, if illness justifies the default, and if overall circumstances (such as promptness in applying for relief and absence of prejudice) support granting relief. Relief may be given if these factors favour the defendant.

Costs Management

In multi-track cases, parties are generally required to file costs budgets. If the value stated on the claim form is less than £50,000, budgets are filed with directions questionnaires; otherwise budgets must be filed no later than 21 days before the first CCMC. Parties also file a budget discussion report not later than seven days before the first CCMC, indicating agreed/contested phases.

Key Term: costs management
The court’s process of approving, monitoring, and, if necessary, limiting the costs budgets of parties to keep litigation proportionate.

Budgets must be in Precedent H form and verified. In cases where total costs (incurred and estimated) are modest (for example, total not exceeding £25,000 or value of claim less than £50,000), only the first page may be used, as directed by the Practice Direction. The court can make a costs management order (CMO) at the CCMC, recording agreed cost items and approving or revising budgeted costs. Thereafter, recoverable costs are controlled by the last approved or agreed budget; departure will be rare and requires a good reason (for instance, where costs of a phase were not incurred or were significantly less/more than anticipated). If there are significant developments (e.g., unexpectedly large disclosure or additional experts), parties must seek budget variations promptly (Precedent T), identifying changes and reasons.

If a party fails to submit a costs budget on time, its recoverable future costs may be limited to court fees only unless relief from sanctions is granted (CPR 3.14).

Worked Example 1.3

The claimant’s solicitor realises two days before the CCMC that no costs budget has been filed. The claim is multi-track valued at £80,000.

Answer:
The default triggers the CPR 3.14 sanction (budget treated as court fees only) unless relief is granted. The solicitor should immediately file the budget, serve it and a supporting witness statement explaining the default, and apply promptly for relief from sanctions, addressing the Denton stages and any prejudice. Even with relief, the court may impose costs consequences.

ADR and Stays Within Case Management

Encouragement of ADR under CPR 1.4(2)(e) runs throughout case management. A judge may stay proceedings under CPR 26.4 if parties agree, commonly for one month, extendable if genuine settlement efforts are ongoing. PD 29 permits directions requiring parties to consider ADR—failure to engage without good reason may attract costs penalties at the end of the case. In suitable small claims, the courts facilitate mediation via the Small Claims Mediation Service (with some categories excluded, such as certain RTA PI or housing disrepair claims).

Costs implications of ignoring ADR can be significant. Under CPR 44.2–44.5, the court considers parties’ conduct before and during proceedings, including compliance with pre-action protocols, cooperation, and willingness to negotiate. An unreasonable refusal to mediate can lead to adverse costs orders, even for a successful party.

Worked Example 1.4

Both parties tick “Yes” in Part A of the directions questionnaire to request a one‑month stay to explore mediation. After one month, they ask for a further three weeks to finalise a settlement.

Answer:
The court will usually grant the initial one‑month stay and may extend it if genuine efforts are ongoing and proportionality is maintained. Listing and timetables may be adjusted, with directions for filing consent orders or Tomlin orders if settlement is achieved.

Administrative Features Impacting Progress

Efficient progress to trial depends on timely compliance with pre-trial checklists (listing questionnaires), which confirm readiness, identify outstanding steps, and allow listing officers to fix trial dates or periods. Failure to file can trigger unless orders, striking out of claims/defences/counterclaims, or expedited directions hearings. Trial bundles must be prepared and lodged within time windows set by practice directions—indexed, paginated, and containing agreed core documents (statements of case, orders, witness statements, expert reports, case summary/chronology where appropriate, and other essential evidence). Timely payment of hearing fees and communication of dates of unavailability for key witnesses in directions questionnaires facilitate efficient listing.

Worked Example 1.5

A fast track case reaches the listing stage. Neither party files the pre‑trial checklist by the deadline.

Answer:
The court will typically issue an unless order: unless a completed checklist is filed within seven days, the claim/defence/counterclaim will be struck out. If only one party fails, the court may list a hearing to ensure readiness and impose costs sanctions.

Revision Tip

Always diarise key deadlines and follow up with the court or the other side if required steps are not completed. Missed time limits can result in severe sanctions, and prompt applications for relief improve your chances.

Key Point Checklist

This article has covered the following key knowledge points:

• The court’s overriding objective governs all aspects of case management under the CPR and requires active cooperation by parties.
• Track allocation is primarily value-driven but also considers complexity, trial length, number of parties, and oral evidence; some categories have special thresholds.
• Directions questionnaires inform allocation and directions; include settlement/ADR, expert needs, witness evidence, trial estimates, and costs budgeting.
• Fast track directions commonly follow standard timetables; multi-track directions are tailored and may require a CMC/CCMC and a concise case summary.
• Strict compliance with orders is required; breach may result in sanctions, including strike out, debarring of evidence, costs penalties, or unless orders.
• Parties may agree limited extensions to timetables where permitted, but major changes require court approval; prompt variation applications reduce risk.
• Relief from sanctions under CPR 3.9 follows the Denton three-stage test; promptness and genuine good reasons are critical.
• Costs management through Precedent H budgets and CMOs controls recoverable costs; late budgets risk the CPR 3.14 sanction of “court fees only.”
• ADR is integrated into case management; courts can stay proceedings and may penalise unreasonable refusals to engage with settlement.

Key Terms and Concepts

• case management
• overriding objective
• track
• directions questionnaire
• directions
• case management conference (CMC)
• pre-trial checklist
• unless order
• relief from sanctions
• costs budget
• costs management
• costs management order (CMO)