Preparation for trial - Purpose of pre-trial checklists and hearings

Learning Outcomes

After reading this article, you will be able to explain the function and importance of pre-trial checklists and hearings in civil litigation. You will understand how these tools ensure compliance with court directions, confirm trial readiness, and support efficient case management. You will also be able to identify the consequences of non-compliance and apply this knowledge to SQE1-style scenarios.

SQE1 Syllabus

For SQE1, you are required to understand the procedural steps that prepare a case for trial. This article focuses on the following syllabus points:

  • the purpose and content of pre-trial checklists (listing questionnaires) in fast-track and multi-track cases
  • the role and objectives of pre-trial hearings (pre-trial reviews)
  • how courts use these mechanisms to manage cases and ensure readiness for trial
  • the consequences of failing to comply with pre-trial procedures

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 main purpose of a pre-trial checklist in civil litigation?
  2. When must a pre-trial checklist be filed in a fast-track case?
  3. What actions can the court take if a party fails to file a pre-trial checklist on time?
  4. Name two issues typically addressed at a pre-trial hearing (pre-trial review).

Introduction

Pre-trial checklists and hearings are essential steps in preparing a civil case for trial. They help the court and parties confirm that all procedural requirements have been met, identify any outstanding issues, and ensure that the case is ready to proceed efficiently. Understanding these processes is critical for SQE1, as they are central to effective case management and compliance with the Civil Procedure Rules (CPR).

Pre-Trial Checklists: Ensuring Compliance and Readiness

A pre-trial checklist (also called a listing questionnaire) is a form that parties must complete and file before trial. Its main functions are to:

  • confirm compliance with all previous court directions
  • identify any outstanding steps or problems
  • provide the court with information about witnesses, experts, and trial estimates
  • support the court in allocating resources and setting a realistic timetable

Key Term: pre-trial checklist
A form required by the court before trial, used to confirm that all directions have been complied with and to assess trial readiness.

When and How Are Pre-Trial Checklists Used?

  • Fast-track cases: The court will send out a pre-trial checklist (Form N170) to each party, usually about eight weeks before the trial date. Parties must file the completed checklist by the specified deadline.
  • Multi-track cases: The checklist is also required, but the court may additionally schedule a pre-trial review hearing to address complex issues.

Failure to file the checklist on time can result in the court striking out a party’s claim or defence, or imposing other sanctions.

Key Term: fast track
The case management track for claims usually valued between £10,000 and £25,000, with trials expected to last no more than one day.

Key Term: multi-track
The case management track for complex or high-value claims not suitable for the small claims or fast track.

What Information Is Included?

The checklist asks for details such as:

  • compliance with directions (e.g., disclosure, witness statements)
  • the need for further directions
  • the number and availability of witnesses and experts
  • the estimated length of trial
  • any special requirements (e.g., interpreters, video links)
  • confirmation that trial bundles will be prepared

Pre-Trial Hearings: Managing Final Issues

A pre-trial hearing (often called a pre-trial review or PTR) is a short court hearing, usually held in multi-track cases, to ensure the case is ready for trial. The court will:

  • check that all directions have been complied with
  • resolve any outstanding procedural issues
  • confirm the trial timetable and arrangements
  • discuss the contents and filing of the trial bundle
  • address any last-minute settlement discussions

Key Term: pre-trial hearing
A court hearing before trial to confirm readiness, resolve outstanding issues, and finalise arrangements for trial.

Typical Issues Addressed at a Pre-Trial Hearing

  • Are all witness statements and expert reports filed and served?
  • Has disclosure been completed?
  • Are there any outstanding applications?
  • Are all parties and witnesses available for the trial dates?
  • Is the trial bundle agreed and ready?
  • Are interpreters or special facilities needed?
  • Is the trial estimate still accurate?

Worked Example 1.1

A claimant and defendant are preparing for a fast-track trial. The court sends both parties a pre-trial checklist to be filed eight weeks before trial. The defendant fails to file the checklist by the deadline. What can the court do?

Answer: The court may send a further notice requiring the defendant to file the checklist within seven days. If the defendant still fails to comply, the court can strike out the defence and enter judgment for the claimant.

Worked Example 1.2

In a multi-track case, the pre-trial checklist reveals that expert reports have not been exchanged due to a dispute over instructions. At the pre-trial hearing, what can the judge do?

Answer: The judge can give further directions to resolve the dispute, set a new deadline for exchange, and confirm arrangements for experts to attend trial if needed.

Consequences of Non-Compliance

Failing to file a pre-trial checklist or comply with directions can have serious consequences:

  • the court may strike out a party’s claim or defence
  • the court may adjourn the trial and impose a costs order
  • the court may refuse to allow a party to rely on evidence not disclosed on time
  • the court may make an "unless order" (a final warning with a sanction for non-compliance)

Key Term: unless order
A court order stating that unless a party complies with a specified step by a deadline, a sanction (such as strike out) will be imposed automatically.

Exam Warning

If a party fails to file a pre-trial checklist or comply with an unless order, the court can strike out their case without further notice. Always check deadlines and comply promptly.

The Role of Trial Bundles and Final Preparation

The pre-trial checklist and hearing ensure that the trial bundle—the set of documents to be used at trial—is complete, agreed, and filed on time. The court will also confirm the trial timetable, the order of witnesses, and any special arrangements needed.

Key Term: trial bundle
An indexed and paginated file containing all documents to be referred to at trial, prepared and filed before the hearing.

Key Point Checklist

This article has covered the following key knowledge points:

  • Pre-trial checklists confirm compliance with directions and assess trial readiness.
  • Filing the checklist on time is mandatory; failure can lead to strike out or other sanctions.
  • Pre-trial hearings (PTRs) are used in complex cases to resolve outstanding issues and finalise trial arrangements.
  • The court uses these tools to manage cases efficiently and ensure a fair trial.
  • Non-compliance can result in severe penalties, including costs orders and loss of the right to rely on evidence.

Key Terms and Concepts

  • pre-trial checklist
  • fast track
  • multi-track
  • pre-trial hearing
  • unless order
  • trial bundle
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Pleased to share that I have successfully passed the SQE1 exam on 1st attempt. With SQE2 exempted, I’m now one step closer to getting enrolled as a Solicitor of England and Wales! Would like to thank my seniors, colleagues, mentors and friends for all the support during this grueling journey. This is one of the most difficult bar exams in the world to undertake, especially alongside a full time job! So happy to help out any aspirant who may be reading this message! I had prepared from the University of Law SQE Manuals and the AI powered MCQ bank from PastPaperHero.

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