This chapter discusses active case management and the use of sanctions. The Woolf reforms and more recently the Jackson reforms have supported the concept of active case management, the focus of which is to ensure that cases are dealt with ‘justly’ and ‘at proportionate cost’. The objectives of case management are set out in Civil Procedure Rules (CPR) Part 1 and the courts case management powers are in CPR Part 3. The powers of the court in relation to case management are wide and directions given after the issue of proceedings should provide a framework and timetable for dealing with a case right up to trial. The final section of the chapter deals with the sanctions that might be imposed where there is a failure to comply with case management requirements.
Chapter
17. Active Case Management and the Use of Sanctions
Chapter
20. Additional Claims under Part 20
This chapter discusses the rules for additional claims under Part 20 of the Civil Procedure Rules 1998 (CPR). An additional claim typically will seek to pass any liability established against the defendant to a third party. This is achieved by seeking indemnities, contributions, or related remedies against the third party. A third party may in turn seek to pass on its liability to a fourth party, and so on. Permission to issue an additional claim is not required if the additional claim is issued before or at the same time as the defendant files its defence. An additional claim operates as a separate claim within the original claim.
Chapter
20. Additional Claims under Part 20
This chapter discusses the rules for additional claims under Part 20 of the Civil Procedure Rules 1998 (CPR). An additional claim typically will seek to pass any liability established against the defendant to a third party. This is achieved by seeking indemnities, contributions, or related remedies against the third party. A third party may in turn seek to pass on its liability to a fourth party, and so on. Permission to issue an additional claim is not required if the additional claim is issued before or at the same time as the defendant files its defence. An additional claim operates as a separate claim within the original claim.
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34. Admissions and Documentary Evidence
This chapter discusses the rules relating to the proof of admissions and documents at trial. It covers the nature of admissions; pre-action admissions of liability; permission to withdraw an admission; notice to admit facts; and proving documents.
Chapter
34. Admissions and Documentary Evidence
This chapter discusses the rules relating to the proof of admissions and documents at trial. It covers the nature of admissions; pre-action admissions of liability; permission to withdraw an admission; notice to admit facts; and proving documents.
Chapter
4. ADR, Settlement, and Part 36 Offers
In recent years alternative dispute resolution (ADR) has evolved from being a fallback in relation to litigation into an important alternative that may be the preferred option in some cases. This chapter outlines the interface between litigation and ADR, and puts litigation into the context of settlement options. ADR is only a complete alternative to litigation where a full adjudicative option such as arbitration or expert determination is used. In most disputes it is more likely that a case will move between litigation and ADR processes, or be subject to both at the same time where an offer has been made and remains open, but the litigation process continues. The chapter discusses the main types of ADR and their fit with litigation; framing an attempt to settle; drawing up terms of settlement; and making Part 36 offers, especially when costs are a major concern in litigation.
Chapter
10. Alternative Dispute Resolution
Alternative dispute resolution (ADR), particularly mediation, plays a key role in reducing the costs of civil disputes by fomenting the early settlement of cases. This chapter discusses ADR processes; advantages or disadvantages of ADR and litigation; the cost of ADR; reference to ADR; and court involvement in ADR. Adjudicative ADR results in the third party neutral deciding the dispute or difference between the parties. Non-adjudicative ADR processes involve moving the parties towards reaching a compromise agreement between themselves. Rules of court require parties to consider using ADR. Sanctions may be imposed on parties who act unreasonably.
Chapter
10. Alternative Dispute Resolution
Alternative dispute resolution (ADR), particularly mediation, plays a key role in reducing the costs of civil disputes by fomenting the early settlement of cases. This chapter discusses ADR processes; advantages or disadvantages of ADR and litigation; the cost of ADR; reference to ADR; and court involvement in ADR. Adjudicative ADR results in the third party neutral deciding the dispute or difference between the parties. Non-adjudicative ADR processes involve moving the parties towards reaching a compromise agreement between themselves. Rules of court require parties to consider using ADR. Court decisions indicate the parties may be ordered to use ADR. Sanctions may be imposed on parties who act unreasonably.
Chapter
22. Amendment
Changes in the parties’ knowledge of a case as it progresses and straightforward drafting errors make it necessary on occasion to make amendments to the statements of case. This chapter discusses amendment by consent; amendment without permission; principles governing permission to amend; amendment after the expiry of the limitation period; and procedure on amending.
Chapter
22. Amendment
Changes in the parties’ knowledge of a case as it progresses and straightforward drafting errors make it necessary on occasion to make amendments to the statements of case. This chapter discusses amendment by consent; amendment without permission; principles governing permission to amend; amendment after the expiry of the limitation period; and procedure on amending.
Chapter
50. Appeals
This chapter considers the structure of non-family civil appeals. It covers routes of appeal; permission to appeal; time for appealing; procedure on appealing; respondent’s notice; applications within appeals stay; striking out appeal notices and setting aside or imposing conditions; hearing of appeals; appeal court’s powers; appeals by way of case stated; and appeals to the Supreme Court.
Chapter
50. Appeals
This chapter considers the structure of non-family civil appeals. It covers routes of appeal; permission to appeal; time for appealing; procedure on appealing; respondent’s notice; applications within appeals stay; striking out appeal notices and setting aside or imposing conditions; hearing of appeals; appeal court’s powers; appeals by way of case stated; and appeals to the Supreme Court.
Chapter
7. The Approach of the Courts to ADR
This chapter focuses on the approach of the courts to alternative dispute resolution (ADR). Parties are required to consider ADR before proceedings are issued by the protocols and Practice Direction—Pre-action Conduct. If ADR is not undertaken before issue, then it should be considered at the track allocation stage (when all the statements of case have been filed), and again after exchange of documents, and also when witness statements and expert evidence have been exchanged. The court will actively consider whether attempts have been made to settle the dispute by ADR at any case management conference, and may direct the parties to attempt ADR. If the parties reject ADR, before issue or at any stage of the litigation, they should have reasonable and cogent reasons for doing so and may be required to explain these reasons to the court. Moreover, the courts will seek to uphold and enforce ADR clauses in contracts.
Chapter
27. Arbitral Tribunals
This chapter examines how arbitrations are commenced with a notice of arbitration and the appointment of arbitral tribunals. Typically, arbitral tribunals will have either a sole arbitrator or a panel of three arbitrators. There are a number of variations on this theme. Examples include tribunals with a chairperson or an umpire, and the use of judge-arbitrators. The chapter then describes the contractual basis of the appointment of arbitrators, and the procedures dealing with the removal, resignation, or death of an arbitrator. The Arbitration Act 1996 seeks to give effect to the parties' agreements (between themselves or with the arbitrators) if it becomes necessary for an arbitrator to resign or be removed, but there are fall-back provisions allowing applications to the court because it is recognized that agreement may not be possible given the possibly contentious nature of these situations.
Chapter
26. Arbitration
This chapter discusses arbitration, which is an adjudicative dispute resolution process. It is based on an agreement between the parties to refer a dispute or difference between them to impartial arbitrators for a decision. As a consequence of the contractual basis of arbitration, it is not every dispute that can go to arbitration. The chapter considers the requirements for an effective reference to arbitration, but it should be noted that the agreement to arbitrate may be made before or after the relevant dispute has arisen. This means that there may be a pre-existing arbitration agreement which, when a dispute arises, one of the parties wishes to evade. There is a strong public policy in favour of upholding arbitration agreements; this is supported by the idea that an arbitration clause in a contract is separable from the rest of the substantive contract. Arbitrations in England and Wales are governed by the Arbitration Act 1996, which lays down a highly developed set of procedures for arbitrations.
Chapter
30. Arbitration Awards and Orders
This chapter assesses four different types of awards and orders that are available to arbitrators. Procedural orders provide procedural directions and measures designed to preserve evidence or the subject-matter of the dispute (conservatory measures) while an arbitration is proceeding. Meanwhile, interim awards and awards on different issues dispose of one or more of the substantive issues in the arbitration, leaving the other issues to be decided later. Final awards dispose of the arbitration, while costs awards provide for the payment of the costs incurred in the arbitration between the parties. Usually, once an order or award is made, it is binding on the parties. Most sets of institutional arbitral rules include provision for parties making suggestions for the correction of clerical mistakes in orders and awards. Lawyers also need to advise their clients on the meaning and effect of the tribunal's decision, and where there is further work to be done, to take the client's instructions on the next steps.
Chapter
26. Challenging a Judgment
Obtaining a judgment is not always the end of the process. A wholly or partly unsuccessful party in a trial will almost certainly wish to consider appealing. The procedure for appeal will vary depending on the type and level of decision appealed against. This chapter looks in particular at the procedure for appealing from the High Court to the Court of Appeal. The discussions cover the need for the client to decide whether to appeal against all or part of the judgment based on their lawyer's advice; jurisdiction for appeals; appeals from interim decisions; grounds for appeal; procedure for appealing; the position of the respondent to an appeal; presenting an appeal; powers on appeal; the appeal decision; and costs on appeal.
Chapter
3. The Civil Courts
This chapter describes the civil courts in England and Wales. It covers the composition and administration of magistrates’s courts, County Court, and the High Court; jurisdiction; High Court Divisions (Queen’s Bench Division (QBD), Chancery Division (ChD), and Family Division), and specialist courts (Business and Property Courts, Technology and Construction Court, Commercial Court, Administrative Court, Companies Court, Patents Court, and Intellectual Property Enterprise Court). For most civil claims the claimant has a free choice between the High Court and the County Court. Common law claims are suitable for the Queen’s Bench Division, whereas equity claims are more suitable for the Chancery Division. The High Court should be used for the more important and complex claims.
Chapter
3. The Civil Courts
This chapter describes the civil courts in England and Wales. It covers the composition and administration of magistrates’s courts, County Court, and the High Court; jurisdiction; High Court Divisions (King’s Bench Division (KBD), Chancery Division (ChD), and Family Division), and specialist courts (Business and Property Courts, Technology and Construction Court, Commercial Court, Administrative Court, Insolvency and Companies List, Patents Court, and Intellectual Property Enterprise Court). For most civil claims the claimant has a free choice between the High Court and the County Court. Common law claims are suitable for the King’s Bench Division, whereas equity claims are more suitable for the Chancery Division. The High Court should be used for the more important and complex claims.
Chapter
28. The Commercial Arbitration Process
This chapter details the procedures followed in commercial arbitrations involving parties who are all located within England and Wales. Arbitration is intended to be private and confidential, concepts that flow from the private agreement of the parties to refer the matter to arbitration rather than the courts. There are many arbitral institutions, which may have their own institutional rules for arbitration, and they may also administer arbitrations. The chapter then considers how the procedural rules in the Arbitration Act 1996 are subject to contrary agreement by the parties. If institutional rules are silent on a procedural matter, the default provisions in the Arbitration Act 1996 apply. The chapter also looks at the role of legal representatives in arbitration, before discussing ‘look-sniff’ arbitrations and short-form arbitrations.
