Case management - The overriding objective

Learning Outcomes

This article outlines the court's duty to manage cases proactively in civil litigation, guided by the overriding objective set out in the Civil Procedure Rules (CPR). For the SQE1 assessment, you will need to understand the components of the overriding objective, including the principle of proportionality, and how these principles inform the court's active case management powers. You will also need to appreciate the connection between case management, track allocation, costs management, and the imposition of sanctions for non-compliance. This knowledge will enable you to apply these rules effectively in scenarios presented in SQE1-style questions.

SQE1 Syllabus

For SQE1, you are required to understand the court's approach to case management and the fundamental principles that underpin it. This involves appreciating how the overriding objective shapes judicial decision-making throughout the litigation process. Your revision should focus on:

  • The overriding objective (CPR 1.1) and its components (dealing justly, proportionality, etc.).
  • The court's duty of active case management (CPR 1.4) and the specific powers involved.
  • The relationship between case management, track allocation, and costs management.
  • The court's power to impose sanctions for non-compliance with rules, practice directions, and orders (CPR 3.4).
  • The principles governing applications for relief from sanctions (CPR 3.9).

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. Which part of the Civil Procedure Rules sets out the overriding objective?
    1. Part 1
    2. Part 3
    3. Part 26
    4. Part 44
  2. Which of the following is NOT explicitly listed as a component of dealing with cases justly and at proportionate cost under CPR 1.1(2)?
    1. Saving expense.
    2. Ensuring the parties are on an equal footing.
    3. Guaranteeeing the claimant's success.
    4. Dealing with the case expeditiously and fairly.
  3. Active case management under CPR 1.4 includes which of the following court duties?
    1. Identifying the issues at an early stage.
    2. Fixing timetables or otherwise controlling the progress of the case.
    3. Encouraging the parties to use an alternative dispute resolution procedure if appropriate.
    4. All of the above.

Introduction

Central to the philosophy of the Civil Procedure Rules 1998 (CPR) is the concept of active case management by the court. This represents a shift from the previous system where parties largely controlled the pace of litigation. The court now has a duty to manage cases proactively to ensure proceedings are conducted efficiently and fairly. This active management is guided by the overriding objective, set out in CPR Part 1. Understanding the overriding objective and the court's case management powers is essential for effectively managing civil litigation and anticipating judicial approaches in practice and in the SQE1 exam.

Key Term: Overriding Objective
The fundamental principle set out in CPR 1.1, which requires the court to deal with cases justly and at proportionate cost. It guides the court's interpretation of the rules and exercise of its case management powers.

THE OVERRIDING OBJECTIVE: CPR 1.1

CPR 1.1(1) states: "These Rules are a new procedural code with the overriding objective of enabling the court to deal with cases justly and at proportionate cost."

CPR 1.1(2) elaborates on what dealing with a case justly and at proportionate cost includes, so far as is practicable:

  • (a) ensuring that the parties are on an equal footing; This involves preventing procedural inequality, ensuring that one party does not gain an unfair advantage due to resources or representation.
  • (b) saving expense; Litigation should be cost-effective. The court manages cases to avoid unnecessary steps and expenses.
  • (c) dealing with the case in ways which are proportionate; This is a key principle. Proportionality is judged in relation to:
    • (i) the amount of money involved;
    • (ii) the importance of the case;
    • (iii) the complexity of the issues; and
    • (iv) the financial position of each party.
      Costs incurred must bear a reasonable relationship to these factors.
  • (d) ensuring that it is dealt with expeditiously and fairly; Cases should progress without undue delay, but speed should not compromise fairness. A balance must be struck.
  • (e) allotting to it an appropriate share of the court’s resources, while taking into account the need to allot resources to other cases; The court must manage its limited resources efficiently across all cases.
  • (f) enforcing compliance with rules, practice directions and orders. Adherence to procedural rules is necessary for orderly litigation. The court has powers to enforce compliance, including imposing sanctions.

Key Term: Proportionality
A central concept within the overriding objective, requiring that the resources expended (in terms of costs and court time) are reasonable in relation to the value, importance, and complexity of the claim.

The overriding objective influences every aspect of civil procedure, from pre-action conduct to trial and enforcement. Parties and their legal representatives are also under a duty (CPR 1.3) to help the court further the overriding objective.

ACTIVE CASE MANAGEMENT: CPR 1.4

CPR 1.4 imposes a duty on the court to actively manage cases to further the overriding objective. This active management includes:

  • (a) encouraging the parties to co-operate with each other in the conduct of the proceedings;
  • (b) identifying the issues at an early stage;
  • (c) deciding promptly which issues need full investigation and trial and accordingly disposing summarily of the others;
  • (d) deciding the order in which issues are to be resolved;
  • (e) encouraging the parties to use an alternative dispute resolution (ADR) procedure if the court considers that appropriate and promoting the use of such procedure;
  • (f) helping the parties to settle the whole or part of the case;
  • (g) fixing timetables or otherwise controlling the progress of the case;
  • (h) considering whether the likely benefits of taking a particular step justify the cost of taking it;
  • (i) dealing with as many aspects of the case as it can on the same occasion;
  • (j) dealing with the case without the parties needing to attend at court;
  • (k) making use of technology; and
  • (l) giving directions to ensure that the trial of a case proceeds quickly and efficiently.

Key Term: Case Management
The process by which the court actively manages the progression of a case, including setting timetables, giving directions, controlling evidence and costs, and encouraging settlement, to ensure the overriding objective is met.

Key Term: Directions
Orders made by the court instructing the parties on the steps they must take to prepare the case for trial, including deadlines for disclosure, exchange of witness statements, and expert reports.

Worked Example 1.1

A claimant in a complex commercial dispute valued at £500,000 wishes to rely on evidence from five expert witnesses. The defendant argues this is excessive and disproportionate. What factors will the court consider when deciding whether to permit the expert evidence?

Answer: The court will apply the overriding objective, particularly the principle of proportionality (CPR 1.1(2)(c)). It will consider the value of the claim (£500,000), the complexity of the issues requiring expert evidence, the importance of the case, and the potential cost of involving five experts relative to these factors. The court must also consider whether the evidence is reasonably required to resolve the proceedings (CPR 35.1) and may limit the number of experts or the issues they can address (CPR 1.4(2)(l), CPR 35.4). The court might direct that a single joint expert be used for some issues to save expense (CPR 1.4(2)(e), CPR 35.7).

RELATIONSHIP WITH OTHER RULES

The court's duty of active case management forms the basis of many other parts of the CPR.

Track Allocation (CPR Part 26)

Allocating cases to the small claims track, fast track, or multi-track is a fundamental case management tool. It ensures that the procedure applied, the level of judicial involvement, and the costs regime are proportionate to the value and complexity of the claim (CPR 1.1(2)(c), (e)).

Costs Management (CPR Part 3, Section II)

In multi-track cases, the requirement for parties to file costs budgets and the court's power to make costs management orders are key aspects of ensuring proportionality and saving expense (CPR 1.1(2)(b), (c)).

Sanctions and Relief (CPR Part 3)

The court's power to impose sanctions for non-compliance (CPR 3.4) directly relates to enforcing compliance with rules and orders (CPR 1.1(2)(f)). The principles governing relief from sanctions (Denton v TH White Ltd [2014] EWCA Civ 906, interpreting CPR 3.9) balance the need for compliance with the requirement to deal with cases justly.

Key Term: Sanctions
Penalties imposed by the court for failure to comply with a rule, practice direction, or court order. Examples include costs orders, striking out a statement of case, or disallowing evidence.

Key Term: Relief from Sanctions
The process under CPR 3.9 whereby a party in default applies to the court to have a sanction lifted. The court considers all circumstances, applying the three-stage Denton test.

Worked Example 1.2

A defendant fails to file their defence by the deadline specified in a court order. The claimant applies to strike out the defence. The defendant applies for relief from sanctions, explaining the delay was due to their solicitor being unexpectedly hospitalised. How might the court approach the defendant's application?

Answer: The court will apply the three-stage test from Denton under CPR 3.9.

  1. Seriousness/Significance: Failing to file a defence is generally a serious breach.
  2. Reason for Default: The solicitor's hospitalisation might be considered a good reason.
  3. All Circumstances: The court will consider factors like the length of the delay, the impact on the proceedings and other parties, any previous defaults, and the overriding objective. If the delay was short, promptly explained, and did not jeopardise a hearing date, relief might be granted, possibly with a costs order against the defendant.

Exam Warning

Remember that the overriding objective applies to all stages of litigation. When considering procedural questions, always ask how the principles of justice, proportionality, cost-saving, expedition, fairness, resource allocation, and compliance might influence the court's decision or the required actions of the parties.

Worked Example 1.3

In a claim worth £15,000, the parties disagree on the interpretation of a single clause in a standard form contract. The facts are largely undisputed. The claimant suggests allocating the case to the multi-track due to the legal complexity, while the defendant argues for the fast track. Which track is more likely appropriate?

Answer: The fast track is more likely appropriate. Although there is a legal issue, the value (£15,000) falls within the fast track limit (£10,000-£25,000). The facts are not complex, suggesting the trial could likely be concluded within one day, meeting a key fast track criterion (CPR 26.6(5)). Allocating to the multi-track might be disproportionate (CPR 1.1(2)(c)) given the value and limited factual dispute, even if the legal point is important. The court will manage the case proportionately.

Key Point Checklist

This article has covered the following key knowledge points:

  • The overriding objective (CPR 1.1) requires courts to deal with cases justly and at proportionate cost.
  • Key components include ensuring equal footing, saving expense, proportionality, dealing expeditiously and fairly, allotting resources appropriately, and enforcing compliance.
  • Proportionality is assessed considering the value, importance, complexity, and parties' financial positions.
  • The court has a duty of active case management (CPR 1.4) to further the overriding objective.
  • Active case management powers include identifying issues, encouraging ADR/settlement, fixing timetables, controlling evidence and costs.
  • Case management principles influence track allocation, costs management, and the imposition of sanctions.
  • Sanctions enforce compliance, but parties can apply for relief from sanctions under CPR 3.9 (the Denton test).

Key Terms and Concepts

  • Overriding Objective
  • Proportionality
  • Case Management
  • Directions
  • Sanctions
  • Relief from Sanctions
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