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PART 3E+WTHE COURT'S CASE [F1AND COSTS] MANAGEMENT POWERS

Textual Amendments

Modifications etc. (not altering text)

C1Pt. 3 applied (with modifications) (1.10.2007) by The Court of Protection Rules 2007 (S.I. 2007/1744), rules 1, 184(a)

[F2SECTION I E+WCase Management]

Textual Amendments

The court’s general powers of managementE+W

3.1—(1) The list of powers in this rule is in addition to any powers given to the court by any other rule or practice direction or by any other enactment or any powers it may otherwise have.

(2) Except where these Rules provide otherwise, the court may —

(a)extend or shorten the time for compliance with any rule, practice direction or court order (even if an application for extension is made after the time for compliance has expired);

(b)adjourn or bring forward a hearing;

(c)require a party or a party’s legal representative to attend the court;

(d)hold a hearing and receive evidence by telephone or by using any other method of direct oral communication;

(e)direct that part of any proceedings (such as a counterclaim) be dealt with as separate proceedings;

(f)stay(GL) the whole or part of any proceedings or judgment either generally or until a specified date or event;

(g)consolidate proceedings;

(h)try two or more claims on the same occasion;

(i)direct a separate trial of any issue;

(j)decide the order in which issues are to be tried;

(k)exclude an issue from consideration;

(l)dismiss or give judgment on a claim after a decision on a preliminary issue;

[F3(ll)order any party to file and [F4exchange a costs budget];]

(m)take any other step or make any other order for the purpose of managing the case and furthering the overriding objective.

(3) When the court makes an order, it may —

(a)make it subject to conditions, including a condition to pay a sum of money into court; and

(b)specify the consequence of failure to comply with the order or a condition.

(4) Where the court gives directions it [F5will] take into account whether or not a party has complied with [F6the Practice Direction (Pre-Action Conduct) and] any relevant pre-action protocol(GL).

(5) The court may order a party to pay a sum of money into court if that party has, without good reason, failed to comply with a rule, practice direction or a relevant pre-action protocol.

(6) When exercising its power under paragraph (5) the court must have regard to—

(a)the amount in dispute; and

(b)the costs which the parties have incurred or which they may incur.

[F7(6A) Where a party pays money into court following an order under paragraph (3) or (5), the money shall be security for any sum payable by that party to any other party in the proceedings F8....

F9...]

(7) A power of the court under these Rules to make an order includes a power to vary or revoke the order.

[F10(8) The court may contact the parties from time to time in order to monitor compliance with directions. The parties must respond promptly to any such enquiries from the court.]

Textual Amendments

Modifications etc. (not altering text)

Commencement Information

I1Rule 3.1 in force at 26.4.1999, see Signature

Court officer’s power to refer to a judgeE+W

3.2  Where a step is to be taken by a court officer—

(a)the court officer may consult a judge before taking that step;

(b)the step may be taken by a judge instead of the court officer.

Commencement Information

I2Rule 3.2 in force at 26.4.1999, see Signature

Court’s power to make order of its own initiativeE+W

3.3—(1) Except where a rule or some other enactment provides otherwise, the court may exercise its powers on an application or of its own initiative.

(Part 23 sets out the procedure for making an application)

(2) Where the court proposes to make an order of its own initiative—

(a)it may give any person likely to be affected by the order an opportunity to make representations; and

(b)where it does so it must specify the time by and the manner in which the representations must be made.

(3) Where the court proposes—

(a)to make an order of its own initiative; and

(b)to hold a hearing to decide whether to make the order,

it must give each party likely to be affected by the order at least 3 days' notice of the hearing.

(4) The court may make an order of its own initiative without hearing the parties or giving them an opportunity to make representations.

(5) Where the court has made an order under paragraph (4)—

(a)a party affected by the order may apply to have it set aside(GL), varied or stayed(GL); and

(b)the order must contain a statement of the right to make such an application.

(6) An application under paragraph (5)(a) must be made—

(a)within such period as may be specified by the court; or

(b)if the court does not specify a period, not more than 7 days after the date on which the order was served on the party making the application.

[F11(7) If the court of its own initiative strikes out a statement of case or dismisses an application [F12(including an application for permission to appeal or for permission to apply for judicial review)], and it considers that the claim or application is totally without merit—

(a)the court’s order must record that fact; and

(b)the court must at the same time consider whether it is appropriate to make a civil restraint order.]

Textual Amendments

Commencement Information

I3Rule 3.3 in force at 26.4.1999, see Signature

Power to strike out a statement of caseE+W

3.4—(1) In this rule and rule 3.5, reference to a statement of case includes reference to part of a statement of case.

(2) The court may strike out(GL) a statement of case if it appears to the court—

(a)that the statement of case discloses no reasonable grounds for bringing or defending the claim;

(b)that the statement of case is an abuse of the court’s process or is otherwise likely to obstruct the just disposal of the proceedings; or

(c)that there has been a failure to comply with a rule, practice direction or court order.

(3) When the court strikes out a statement of case it may make any consequential order it considers appropriate.

(4) Where—

(a)the court has struck out a claimant’s statement of case;

(b)the claimant has been ordered to pay costs to the defendant; and

(c)before the claimant pays those costs, [F13the claimant] starts another claim against the same defendant, arising out of facts which are the same or substantially the same as those relating to the claim in which the statement of case was struck out,

the court may, on the application of the defendant, stay(GL) that other claim until the costs of the first claim have been paid.

(5) Paragraph (2) does not limit any other power of the court to strike out(GL) a statement of case.

[F14(6) If the court strikes out a claimant’s statement of case and it considers that the claim is totally without merit—

(a)the court’s order must record that fact; and

(b)the court must at the same time consider whether it is appropriate to make a civil restraint order.]

Textual Amendments

Commencement Information

I4Rule 3.4 in force at 26.4.1999, see Signature

Judgment without trial after striking outE+W

3.5—(1) This rule applies where—

(a)the court makes an order which includes a term that the statement of case of a party shall be struck out if the party does not comply with the order; and

(b)the party against whom the order was made does not comply with it.

(2) A party may obtain judgment with costs by filing a request for judgment if—

(a)the order referred to in paragraph (1)(a) relates to the whole of a statement of case; and

(b)where the party wishing to obtain judgment is the claimant, the claim is for—

(i)a specified amount of money;

(ii)an amount of money to be decided by the court;

(iii)delivery of goods where the claim form gives the defendant the alternative of paying their value; or

(iv)any combination of these remedies.

[F15(3) Where judgment is obtained under this rule in a case to which paragraph (2)(b)(iii) applies, it will be judgment requiring the defendant to deliver the goods, or (if [F16the defendant] does not do so) pay the value of the goods as decided by the court (less any payments made).]

[F17(4)]  The request must state that the right to enter judgment has arisen because the court’s order has not been complied with.

[F18(5)]  A party must make an application in accordance with Part 23 if [F19they wish] to obtain judgment under this rule in a case to which paragraph (2) does not apply.

Textual Amendments

Commencement Information

I5Rule 3.5 in force at 26.4.1999, see Signature

[F20Judgment without trial after striking out a claim in the County Court Money Claims CentreE+W

3.5A.—(1) If a claimant files a request for judgment in the County Court Money Claims Centre in accordance with rule 3.5, in a claim which includes an amount of money to be decided by the court, the claim will be sent to the preferred hearing centre.

(2) If a claim is sent to a preferred hearing centre pursuant to paragraph (1), any further correspondence should be sent to, and any further requests should be made at, the hearing centre to which the claim was sent.]

Textual Amendments

Setting aside judgment entered after striking outE+W

3.6—(1) A party against whom the court has entered judgment under rule 3.5 may apply to the court to set the judgment aside.

(2) An application under paragraph (1) must be made not more than 14 days after the judgment has been served on the party making the application.

(3) If the right to enter judgment had not arisen at the time when judgment was entered, the court must set aside(GL) the judgment.

(4) If the application to set aside(GL) is made for any other reason, rule 3.9 (relief from sanctions) shall apply.

Commencement Information

I6Rule 3.6 in force at 26.4.1999, see Signature

[F213.6A.  If—E+W

(a)a party against whom judgment has been entered under rule 3.5 applies to set the judgment aside;

(b)the claim is for a specified sum;

(c)the claim was started in the County Court Money Claims Centre; and

(d)the claim has not been sent to a County Court hearing centre,

the claim will be sent to—

(i)if the defendant is an individual, the defendant’s home court; and

(ii)if the defendant is not an individual, the preferred hearing centre.]

Textual Amendments

Sanctions for non—payment of certain feesE+W

3.7—[F22(1) This rule applies where—

(a)[F23a directions] questionnaire or a [F24pre-trial check list (listing questionnaire)] is filed without payment of the fee specified by the relevant Fees Order;

(b)the court dispenses with the need for [F23a directions] questionnaire or a [F25pre-trial check list] or both;

(c)these Rules do not require [F23a directions] questionnaire or a [F26pre-trial check list] to be filed in relation to the claim in question; F27...

(d)the court has made an order giving permission to proceed with a claim for judicial review [F28; or]

[F29(e)the fee payable for a hearing specified by the relevant Fees Order is not paid.]

(2) The court will serve a notice on the claimant requiring payment of the fee specified in the relevant Fees Order if, at the time the fee is due, the claimant has not paid it or made an application for [F31full or part] remission.]

(3) The notice will specify the date by which the claimant must pay the fee.

(4) If the claimant does not—

(a)pay the fee; or

(b)make an application for [F32full or part] remission of the fee,

by the date specified in the notice—

(i)[F33the claim will automatically be struck out without further order of the court]; and

(ii)the claimant [F34will] be liable for the costs which the defendant has incurred unless the court orders otherwise.

(Rule [F3544.9] provides for the basis of assessment where a right to costs arises under this rule [F36and contains provisions about when a costs order is deemed to have been made and applying for an order under section 194(3) of the Legal Services Act 2007] )

[F37(5) Where an application for—

(a)full or part remission of a fee is refused, the court will serve notice on the claimant requiring payment of the full fee by the date specified in the notice; or

(b)part remission of a fee is granted, the court will serve notice on the claimant requiring payment of the balance of the fee by the date specified in the notice.]

(6) If the claimant does not pay the fee by the date specified in the notice—

(a)[F38the claim will automatically be struck out without further order of the court]; and

(b)the claimant [F39will] be liable for the costs which the defendant has incurred unless the court orders otherwise.

[F40(7) If—

(a)a claimant applies to have the claim reinstated; and

(b)the court grants relief,

the relief [F41will] be conditional on the claimant either paying the fee or filing evidence of [F42full or part] remission of the fee within the period specified in paragraph (8).

(8) The period referred to in paragraph (7) is—

(a)if the order granting relief is made at a hearing at which a claimant is present or represented, 2 days from the date of the order;

(b)in any other case, 7 days from the date of service of the order on the claimant.]

Textual Amendments

F40Rule 3.7(7)(8) substituted for rule 3.7(7) (2.6.2003) by The Civil Procedure (Amendment No. 2) Rules 2003 (S.I. 2003/1242), rules 1, 4

Commencement Information

I7Rule 3.7 in force at 26.4.1999, see Signature

[F433.7A—[F44(1) This rule applies where—

(a)a defendant files a counterclaim without—

(i)payment of the fee specified by the relevant Fees Order; or

(ii)making an application for full or part remission of the fee; or

(b)the proceedings continue on the counterclaim alone and—

(i)[F45a directions] questionnaire or a pre-trial check list (listing questionnaire) is filed without payment of the fee specified by the relevant Fees Order;

(ii)the court dispenses with the need for [F45a directions] questionnaire or a pre-trial check list or both;

(iii)these Rules do not require [F45a directions] questionnaire or a pre-trial checklist to be filed in relation to the claim in question; or

(iv)the fee payable for a hearing specified by the relevant Fees Order is not paid.] 

(2) The court will serve a notice on the defendant requiring payment of the fee specified in the relevant Fees Order if, at the time the fee is due, the defendant has not paid it or made an application for [F46full or part] remission.

(3) The notice will specify the date by which the defendant must pay the fee.

(4) If the defendant does not—

(a)pay the fee; or

(b)make an application for [F47full or part] remission of the fee,

by the date specified in the notice, the counterclaim will automatically be struck out without further order of the court.

[F48(5) Where an application for—

(a)full or part remission of a fee is refused, the court will serve notice on the defendant requiring payment of the full fee by the date specified in the notice; or

(b)part remission of a fee is granted, the court will serve notice on the defendant requiring payment of the balance of the fee by the date specified in the notice.]

(6) If the defendant does not pay the fee by the date specified in the notice, the counterclaim will automatically be struck out without further order of the court.

(7) If—

(a)the defendant applies to have the counterclaim reinstated; and

(b)the court grants relief,

the relief will be conditional on the defendant either paying the fee or filing evidence of [F49full or part] remission of the fee within the period specified in paragraph (8).

(8) The period referred to in paragraph (7) is—

(a)if the order granting relief is made at a hearing at which the defendant is present or represented, 2 days from the date of the order;

(b)in any other case, 7 days from the date of service of the order on the defendant.]

Textual Amendments

[F50Sanctions for dishonouring chequeE+W

3.7B—(1) This rule applies where any fee is paid by cheque and that cheque is subsequently dishonoured.

(2) The court will serve a notice on the paying party requiring payment of the fee which will specify the date by which the fee must be paid.

(3) If the fee is not paid by the date specified in the notice—

(a)where the fee is payable by the claimant, the claim will automatically be struck out without further order of the court;

(b)where the fee is payable by the defendant, the defence will automatically be struck out without further order of the court,

and the paying party shall be liable for the costs which any other party has incurred unless the court orders otherwise.

(Rule [F5144.9] provides for the basis of assessment where a right to costs arises under this rule)

(4) If—

(a)the paying party applies to have the claim or defence reinstated; and

(b)the court grants relief,

the relief shall be conditional on that party paying the fee within the period specified in paragraph (5).

(5) The period referred to in paragraph (4) is—

(a)if the order granting relief is made at a hearing at which the paying party is present or represented, 2 days from the date of the order;

(b)in any other case, 7 days from the date of service of the order on the paying party.

(6) For the purposes of this rule, “claimant” includes a Part 20 claimant and “claim form” includes a Part 20 claim.]

Textual Amendments

Sanctions have effect unless defaulting party obtains reliefE+W

3.8—(1) Where a party has failed to comply with a rule, practice direction or court order, any sanction for failure to comply imposed by the rule, practice direction or court order has effect unless the party in default applies for and obtains relief from the sanction.

(Rule 3.9 sets out the circumstances which the court [F52will] consider on an application to grant relief from a sanction)

(2) Where the sanction is the payment of costs, the party in default may only obtain relief by appealing against the order for costs.

(3) Where a rule, practice direction or court order—

(a)requires a party to do something within a specified time, and

(b)specifies the consequence of failure to comply,

the time for doing the act in question may not be extended by agreement between the parties.

Textual Amendments

Commencement Information

I8Rule 3.8 in force at 26.4.1999, see Signature

Relief from sanctionsE+W

3.9—[F53(1) On an application for relief from any sanction imposed for a failure to comply with any rule, practice direction or court order, the court will consider all the circumstances of the case, so as to enable it to deal justly with the application, including the need—

(a)for litigation to be conducted efficiently and at proportionate cost; and

(b)to enforce compliance with rules, practice directions and orders.]

(2) An application for relief must be supported by evidence.

Textual Amendments

Commencement Information

I9Rule 3.9 in force at 26.4.1999, see Signature

General power of the court to rectify matters where there has been an error of procedureE+W

3.10  Where there has been an error of procedure such as a failure to comply with a rule or practice direction—

(a)the error does not invalidate any step taken in the proceedings unless the court so orders; and

(b)the court may make an order to remedy the error.

Commencement Information

I10Rule 3.10 in force at 26.4.1999, see Signature

[F54Power of the court to make civil restraint ordersE+W

3.11.  A practice direction may set out—

(a)the circumstances in which the court has the power to make a civil restraint order against a party to proceedings;

(b)the procedure where a party applies for a civil restraint order against another party; and

(c)the consequences of the court making a civil restraint order.]

Textual Amendments