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REMINDERS OF IMPORTANT RULE PROVISIONS OTHER THAN PARTS
26–29
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Attention is drawn in particular to the following
provisions of the Civil Procedure Rules: - Part 1
The Overriding Objective (defined in
Rule 1.1).
The duty of the court to further that
objective by actively managing cases (set out in Rule 1.4).
The requirement that the parties help
the court to further that objective (set out in Rule 1.3).
- Part
3
The court’s case
management powers (which may be exercised on application or on its own
initiative) and the sanctions which it may impose.
- Part 24
The court’s power to grant summary
judgment.
- Parts 32–35
Evidence, especially the court’s power to
control evidence.
Attention is also drawn to the practice directions
which supplement those Parts and Parts 27-29, and to those which relate to
the various specialist jurisdictions. |
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THE ALLOCATION QUESTIONNAIRE
|
|
| 2.1 |
Form
|
| | (2)
| |
| | (a)
| Attention is drawn to
Section 6 of the Costs Practice Directionpdp-43 supplementing Parts 43 to 48, which
requires an estimate of costs to be filed and served when an allocation
questionnaire is filed by a party to a claim which is outside the limits of the
small claims track. |
|
| | (b)
| A party will comply with that obligation if
the costs estimate he files and serves states the figures for the base costs,
incurred and to be incurred, which he expects, if he is successful, to recover
from the other party. The estimate should show an itemised breakdown of how it
is calculated, showing separately the amounts included for profit costs,
disbursements and VAT. It should be substantially in the form illustrated in
Precedent H in the schedule to the Costs Practice Directionpdp-43. (Paragraph 2.2 of the Costs Practice
Directionpdp-43 defines ‘Base costs’) |
|
| | (c)
| Any party who has entered into a funding
arrangement need not reveal the amount of any additional liability. (CPR rule 43.2 defines ‘funding
arrangement’ and ‘additional liability’) |
|
| | (d)
| No later than when he files the estimate
the solicitor acting for that party must deliver a copy to his client. |
|
|
|
Paragraph 2.1 replaced with effect from 3 July 2000, Paragraph 2.2(1) amended by
addition of Form 149 w/e from 6 April 2006. |
2.2 |
Provision of Extra Information
|
| | (1)
| This paragraph sets out what a party should do
when he files his allocation questionnaire if he wishes to give the court
information about matters which he believes may affect its decision about
allocation or case management. |
|
| | (2)
| The general rule is that the court will not take
such information into account unless the document containing it either:|
| | (a)
| confirms that all parties have agreed that
the information is correct and that it should be put before the court,
or |
|
| | (b)
| confirms that the party who has sent the
document to the court has delivered a copy to all the other parties. |
|
|
| | (3)
| The following are examples of information which
will be likely to help the court:|
| | (a)
| a party’s intention to apply for
summary judgment or some other order that may dispose of the case or reduce the
amount in dispute or the number of issues remaining to be decided, |
|
| | (b)
| a party’s intention to issue a Part
20 claim or to add another party, |
|
| | (c)
| the steps the parties have taken in the
preparation of evidence (in particular expert evidence), the steps they intend
to take and whether those steps are to be taken in co-operation with any other
party, |
|
| | (d)
| the directions the party believes will be
appropriate to be given for the management of the case, |
|
| | (e)
| about any particular facts that may affect
the timetable the court will set, |
|
| | (f)
| any facts which may make it desirable for
the court to fix an allocation hearing or a hearing at which case management
directions will be given. |
|
|
|
| 2.3 |
Consultation
|
| | (1)
| The parties should consult one another and
co-operate in completing the allocation questionnaires and giving other
information to the court. |
|
| | (2)
| They should try to agree the case management
directions which they will invite the court to make. Further details appear in
the practice directionspdp-28, pdp-29.which supplement Parts 28 and 29. |
|
| | (3)
| The process of consultation must not delay the
filing of the allocation questionnaires. |
|
|
| 2.4 |
Hearings Before Allocation
Where a court hearing takes place (for example on an
application for an interim injunction or for summary judgment under Part 24)
before the claim is allocated to a track, the court may at that hearing: |
| | (1)
| dispense with the need for the parties to file
allocation questionnaires, treat the hearing as an allocation hearing, make an
order for allocation and give directions for case management, or |
|
| | (2)
| fix a date for allocation questionnaires to be
filed and give other directions. |
|
|
| 2.5 |
Consequences of Failure to File an
Allocation Questionnaire
|
| | (1)
| If no party files an allocation questionnaire
within the time specified by Form N152, the court will order that unless an
allocation questionnaire is filed within 7 days from service of that order, the
claim, defence and any counterclaim will be struck out without further order of
the court. |
|
| | (2)
| Where a party files an allocation questionnaire
but another party does not, the
file will be referred to a judge for his directions and the
court may:|
| | (a)
| allocate the claim to a track if it
considers that it has enough information to do so, or |
|
| | (b)
| order that an allocation hearing is listed
and that all or any parties must attend. |
|
|
New text substituted for Para 2.5(1) of PD26 w/e from 1 October 2005, Para 2.5(2) of PD26 amended w/e from 1 October 2005. |
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STAY TO ALLOW FOR SETTLEMENT OF THE CASE
|
|
| 3.1 |
Procedure for the parties to apply to extend the
stay
|
| | (1)
| |
| | (a)
| The court will generally accept a letter
from any party or from the solicitor for any party as an application to extend
the stay under rule 26.4. |
|
| | (b)
| The letter should –|
| | (i)
| confirm that the application is made
with the agreement of all parties, and |
|
| | (ii)
| explain the steps being taken and
identify any mediator or expert assisting with the process. |
|
|
|
| | (2)
| |
| | (a)
| An order extending the stay must be made by
a judge. |
|
| | (b)
| The extension will generally be for no more
than 4 weeks unless clear reasons are given to justify a longer time. |
|
|
| | (3)
| More than one extension of the stay may be
granted. |
|
|
| 3.2 |
Position at the end of the stay if no settlement is
reached
|
| | (1)
| At the end of the stay the file will be referred
to a judge for his directions. |
|
| | (2)
| He will consider whether to allocate the claim to
a track and what other directions to give, or may require any party to give
further information or fix an allocation hearing. |
|
|
| 3.3 |
Any party may apply for a stay to be lifted. |
|
| 3.4 |
Position where settlement is reached during a
stay
Where the whole of the proceedings are settled during a
stay, the taking of any of the following steps will be treated as an
application for the stay to be lifted: |
| | (1)
| an application for a consent order (in any form)
to give effect to the settlement, |
|
| | (2)
| an application for the approval of a settlement
where a party is a person under a disability, |
|
| | (3)
| giving notice of acceptance of money paid into
court in satisfaction of the claim or applying for money in court to be paid
out. |
|

|
ALLOCATION, RE-ALLOCATION AND CASE MANAGEMENT
|
|
| 4.1 |
The court’s general approach
The Civil Procedure Rules lay down the overriding
objective, the powers and duties of the court and the factors to which it must
have regard in exercising them. The court will expect to exercise its powers as
far as possible in co-operation with the parties and their legal
representatives so as to deal with the case justly in accordance with that
objective. |
|
| 4.2 |
Allocation to track
|
| | (1)
| In most cases the court will expect to have
enough information from the statements of case and allocation questionnaires to
be able to allocate the claim to a track and to give case management
directions. |
|
| | (2)
| If the court does not have enough information to
allocate the claim it will generally make an order under rule 26.5(3) requiring
one or more parties to provide further information within 14 days. |
|
| | (3)
| Where there has been no allocation hearing the
notice of allocation will be in Forms
N154 (fast track),
N155 (multi-track)
or
N157–160
(small claims). |
|
| | (4)
| |
| | (a)
| The general rule is that the court will
give brief reasons for its allocation decision, and these will be set out in
the notice of allocation. |
|
| | (b)
| The general rule does not apply where all
the allocation questionnaires which have been filed have expressed the wish for
the claim to be allocated to the track to which the court has allocated
it. |
|
|
| | (5)
| Paragraph 6 of this practice direction deals with
allocation hearings and Paragraph 7 deals with allocation principles. |
|
| | (6)
| Paragraph 11 of this practice direction deals
with re-allocation. |
|
|
| 4.3 |
The practice directionspdp-27, pdp-29.supplementing Parts 27 and
29 contain further information about the giving of case management directions
at the allocation stage. |

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SUMMARY JUDGMENT OR OTHER EARLY TERMINATION
|
|
| 5.1 |
Part of the court’s duty of active case
management is the summary disposal of issues which do not need full
investigation and trial (rule 1.4(2)(c)), |
|
| 5.2 |
The court’s powers to make orders to dispose of
issues in that way include: |
| | (a)
| under rule 3.4, striking out a statement of case,
or part of a statement of case, and |
|
| | (b)
| under Part 24, giving summary judgment where a
claimant or a defendant has no reasonable prospect of success. |
The court may use these powers on an application or on
its own initiative. The practice direction ‘Summary Disposal of
Claims’ contains further information. |
|
| 5.3 |
|
| | (1)
| A party intending to make such an application
should do so before or when filing his allocation questionnaire. |
|
| | (2)
| Where a party makes an application for such an
order before a claim has been allocated to a track the court will not normally
allocate the claim before the hearing of the application. |
|
| | (3)
| Where a party files an allocation questionnaire
stating that he intends to make such an application but has not done so, the
judge will usually direct that an allocation hearing is listed. |
|
| | (4)
| The application may be heard at that allocation
hearing if the application notice has been issued and served in sufficient
time. |
|
|
| 5.4 |
|
| | (1)
| This paragraph applies where the court proposes
to make such an order of its own initiative. |
|
| | (2)
| The court will not allocate the claim to a track
but instead it will either:|
| | (a)
| fix a hearing, giving the parties at least
14 days'
notice of the date of the hearing and of the
issues which it is proposed that the court will decide, or |
|
| | (b)
| make an order directing a party to take the
steps described in the order within a stated time and specifying the
consequence of not taking those steps. |
|
|
|
| 5.5 |
Where the court decides at the hearing of an
application or a hearing fixed under paragraph 5.4(2)(a) that the claim (or
part of the claim) is to continue it may: |
| | (1)
| treat that hearing as an allocation hearing,
allocate the claim and give case management directions, or |
|
| | (2)
| give other directions. |
|

|
THE SMALL CLAIMS TRACK – ALLOCATION AND CASE
MANAGEMENT
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|
| 8.1 |
Allocation
|
| | (1)
| |
| | (a)
| The small claims track is intended to
provide a proportionate procedure by which most straightforward claims with a
financial value of not more than £5,000 can be decided, without the need
for substantial pre-hearing preparation and the formalities of a traditional
trial, and without incurring large legal costs. (Rule 26.6 provides for a lower
financial value in certain types of case.) |
|
| | (b)
| The procedure laid down in Part 27 for the
preparation of the case and the conduct of the hearing are designed to make it
possible for a litigant to conduct his own case without legal representation if
he wishes. |
|
| | (c)
| Cases generally suitable for the small
claims track will include consumer disputes, accident claims, disputes about
the ownership of goods and most disputes between a landlord and tenant other
than opposed claims under Part
56, disputed claims for possession under Part 55 and demotion claims whether in
the alternative to possession claims or under Part 65. |
|
| | (d)
| A case involving a disputed allegation of
dishonesty will not usually be suitable for the small claims track. |
|
|
| | (2)
| Rule 26.7(3) and rule 27.14(5)|
| | (a)
| These rules allow the parties to consent to
the allocation to the small claims track of a claim the value of which is above
the limits mentioned in rule 26.6(2) and, in that event, the rules make
provision about costs. |
|
| | (b)
| The court will not allocate such a claim to
the small claims track, notwithstanding that the parties have consented to the
allocation, unless it is satisfied that it is suitable for that track. |
|
| | (c)
| The court will not normally allow more than
one day for the hearing of such a claim. |
|
| | (d)
| The court will give case management
directions to ensure that the case is dealt with in as short a time as
possible. These may include directions of a kind that are not usually given in
small claim cases, for example, for Scott Schedules. |
|
|
|
| Paragraph 8.1(1)(c), wording amended w/e from 30 June 2004. |
8.2 |
Case management
|
| | (1)
| Directions for case management of claims
allocated to the small claims track will generally be given by the court on
allocation. |
|
| | (2)
| Rule 27.4 contains further provisions about
directions and the practice directionpdp-27supplementing Part 27 sets out the
standard directions which the court will usually give. |
|

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RE-ALLOCATION OF CLAIMS and the VARIATION OF DIRECTIONS
|
|
| 11.1 |
|
| | (1)
| Where a party is dissatisfied with an order made
allocating the claim to a track he may appeal or apply to the court to
re-allocate the claim. |
|
| | (2)
| He should appeal if the order was made at a
hearing at which he was present or represented, or of which he was given due
notice. |
|
| | (3)
| In any other case he should apply to the court to
re-allocate the claim. |
|
|
| 11.2 |
Where there has been a change in the circumstances
since an order was made allocating the claim to a track the court may
re-allocate the claim. It may do so on application or on its own
initiative. |
The practice directionspdp-28, pdp-29.supplementing Parts 28 and 29 contain
provisions about the variation of case management directions.
|
DETERMINING THE AMOUNT TO BE PAID UNDER A JUDGMENT OR
ORDER
|
|
| 12.1 |
Scope
|
| | (1)
| In the following paragraphs –|
| | (a)
| a ‘relevant order’ means a
judgment or order of the court which requires the amount of money to be paid by
one party to another to be decided by the court; and |
|
| | (b)
| a ‘disposal hearing’ means a
hearing in accordance with paragraph 12.4. |
|
|
| | (2)
| A relevant order may have been obtained:
|
| | (c)
| on the striking out of a statement of case
under Part 3; |
|
| | (d)
| on a summary judgment application under
Part 24; |
|
| | (e)
| on the determination of a preliminary issue
or on a trial as to liability; or |
|
|
| | (3)
| A relevant order includes any order for the
amount of a debt, damages or interest to be decided by the court (including an
order for the taking of an account or the making of an inquiry as to any sum
due, and any similar order), but does not include an order for the assessment
of costs. |
|
|
| 12.2 |
Directions
|
| | (1)
| When the court makes a relevant order it will
give directions, which may include –|
| | (a)
| listing the claim for a disposal
hearing; |
|
| | (b)
| allocating or re-allocating the claim (but
see paragraph 12.3); |
|
| | (c)
| directing the parties to file allocation
questionnaires by a specified date; and |
|
| | (d)
| staying the claim while the parties try to
settle the case by alternative dispute resolution or other means. |
|
|
| | (2)
| Directions may specify the level or type of judge
before whom a hearing or a further hearing will take place and the nature and
purpose of that hearing. |
|
| | (3)
| Where the parties apply for a relevant order by
consent, they should if possible file with their draft consent order agreed
directions for the court's approval. |
|
|
| 12.3 |
Allocation
|
| | (1)
| If, when the court makes a relevant order
–|
| | (a)
| the claim has not previously been allocated
to a track; and |
|
| | (b)
| the financial value of the claim
(determined in accordance with Part 26) is such that the claim would, if
defended be allocated to the small claims track, |
the court will normally allocate it to that
track. |
|
| | (2)
| Where paragraph (1)(b) does not apply, the court
will not normally allocate the claim to a track (other than the small claims
track) unless –|
| | (a)
| the amount payable appears to be genuinely
disputed on substantial grounds; or |
|
| | (b)
| the dispute is not suitable to be dealt
with at a disposal hearing. |
|
|
|
| 12.4 |
Disposal hearings
|
| | (1)
| A disposal hearing is a hearing –|
| | (a)
| which will not normally last longer than 30
minutes, and |
|
| | (b)
| at which the court will not normally hear
oral evidence. |
|
|
| | (2)
| At a disposal hearing the court may
–|
| | (a)
| decide the amount payable under or in
consequence of the relevant order and give judgment for that amount; or |
|
| | (b)
| give directions as to the future conduct of
the proceedings. |
|
|
| | (3)
| If the claim has been allocated to the small
claims track, or the court decides at the disposal hearing to allocate it to
that track, the court may treat the disposal hearing as a final hearing in
accordance with Part 27. |
|
| | (4)
| Rule 32.6 applies to evidence at a disposal
hearing unless the court directs otherwise. |
|
| | (5)
| Except where the claim has been allocated to the
small claims track, the court will not exercise its power under sub-paragraph
(2)(a) unless any written evidence on which the claimant relies has been served
on the defendant at least 3 days before the disposal hearing. |
|
|
| 12.5 |
Costs
|
| | (1)
| Attention is drawn to –|
| | (a)
| the costs practice directionpdp-43 and in
particular to the court's power to make a summary assessment of costs; |
|
| | (b)
| rule 44.13(1) which provides that if an
order makes no mention of costs, none are payable in respect of the proceedings
to which it relates; and |
|
| | (c)
| rule 27.14 (special rules about costs in
cases allocated to the small claims track). |
|
|
| | (2)
| Part 46 (fast track trial costs) will not apply
to a case dealt with at a disposal hearing whatever the financial value of the
claim. So the costs of a disposal hearing will be in the discretion of the
court. |
|
|
| 12.6 |
Jurisdiction of Masters and district judges
Unless the court otherwise directs, a Master or a
district judge may decide the amount payable under a relevant order
irrespective of the financial value of the claim and of the track to which the
claim may have been allocated. |
