Learning Outcomes
After reading this article, you will be able to explain and apply the structure and aims of case management in civil proceedings, including the overriding objective, track allocation, case directions, the use and enforcement of timetables, relief from sanctions, and core administrative principles under the Civil Procedure Rules. You will be able to advise on allocation, case management conferences, consequences of breaching orders, and how to respond to procedural defaults in the context of the SQE2 exam.
SQE2 Syllabus
For SQE2, you are required to understand the operation of case management within the context of civil procedure. In preparation, focus your revision on the following syllabus points as they apply to this topic:
- 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.
- What is the overriding objective of the Civil Procedure Rules in case management?
- If a claim is valued at £18,000, what track is it usually allocated to, and what factors could alter this?
- What happens if a party misses a deadline imposed by a court direction?
- 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.
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, including ensuring each party is on an equal footing, saving expense, and ensuring that claims are resolved with appropriate speed and fairness.
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 the CPR to manage cases. These powers allow the court to:
- Set or modify procedural timetables.
- Require parties or their lawyers to attend hearings.
- Make orders about the sequence, scope, or grouping of issues.
- Order parties to exchange evidence or information.
- Direct cases to stay for settlement or ADR.
- Impose sanctions for default or non-compliance.
This proactive approach means the court leads the progress of proceedings, rather than the parties.
Track Allocation
Once a defence is filed, most defended claims are provisionally allocated to a track: small claims, fast track, or multi-track. The main factor for allocation is the financial value of the claim, but complexity, expected trial length, number of parties or issues, and the importance for non-parties can also influence the decision.
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, and case progress. The court uses the responses to set directions and confirm the chosen track.
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.
If a party fails to return a directions questionnaire, the court may strike out their claim or defence or exercise its powers to move the matter 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 can cover disclosure, service of witness statements, the use of experts, deadlines, and trial timetables.
Key Term: directions
Instructions from the court setting deadlines and tasks for effective case preparation and progress.
In complex or higher-value claims, a case management conference (CMC) or costs and case management conference (CCMC) may be held so the court can clarify issues, set or adjust timetables, and manage costs budgets.
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
If a party or both parties wish to vary an existing direction, they must seek the court's permission or, in some circumstances, agree minor variations in writing. Major changes affecting hearing dates or overall progress must be approved by the court.
If a party fails to comply with a direction, another party may apply to the court for enforcement or sanctions. Delays or persistent non-compliance can lead to serious consequences—including striking out a claim or defence, costs penalties, or 'unless orders' (orders that impose a sanction unless the party complies by a set 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
If a sanction for non-compliance takes effect (such as automatic strike out), a party may apply for 'relief from sanctions' under CPR 3.9. The court applies a three-stage test to such applications, following the principles from Denton v T H White Ltd:
- Assess the seriousness and significance of the breach.
- Consider why the default occurred.
- Evaluate all the circumstances, including the need for efficient litigation and compliance with rules.
Granting relief is discretionary; the burden is on the defaulting party to persuade the court.
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. The court may make costs management orders to control future costs to ensure proportionality.
Key Term: costs management
The court's process of approving, monitoring, and, if necessary, limiting the costs budgets of parties to keep litigation proportionate.
If a party fails to submit a costs budget on time, its recoverable costs may be limited to court fees only, unless relief from sanctions is granted.
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.
- Track allocation and completion of the directions questionnaire ensure claims are managed according to value and complexity.
- Directions and timetables control the efficient preparation of cases for trial.
- Strict compliance with orders is required; breach may result in sanctions, including strike out, costs penalties, or unless orders.
- Parties can agree to vary some procedural steps by consent, but major changes require court approval.
- Relief from sanctions is available only in accordance with a strict three-stage test and is never guaranteed.
- Costs management procedures in the multi-track help secure proportionate litigation costs.
- Court case management powers actively guide and enforce the progress of civil claims.
Key Terms and Concepts
- case management
- overriding objective
- track
- directions questionnaire
- directions
- relief from sanctions
- costs management