Date: Sun, 4 Jan 2009 21:04:33 +0000 Subject: Re: Freedom of Information request - Transfer of a small claim to the TCC Specialist Court From: fred robinson To: FOI requests at HMCS Dear Sir or Madam, YOUR DOWNLOAD Received: from DCASACPEXB01.aramismsg.dca.local ([10.100.40.19]) by DCASACPEXM02.aramismsg.dca.local with Microsoft SMTPSVC(6.0.3790.1830); Sun, 4 Jan 2009 18:23:19 +0000 thread-index: AclumYTbOVIenSlATW2Hdp10H9AODA== Content-Transfer-Encoding: 7bit Content-Class: urn:content-classes:message Importance: normal Priority: normal X-MimeOLE: Produced By Microsoft MimeOLE V6.00.3790.1830 Received: from DC4OAEXB01.LIBRAOA.DCA.LOCAL ([10.100.102.49]) by DCASACPEXB01.aramismsg.dca.local with Microsoft SMTPSVC(6.0.3790.1830); Sun, 4 Jan 2009 18:23:19 +0000 Received: from DC4OAMVC01.LIBRAOA.DCA.LOCAL ([10.100.102.51]) by DC4OAEXB01.LIBRAOA.DCA.LOCAL with Microsoft SMTPSVC(6.0.3790.1830); Sun, 4 Jan 2009 18:23:19 +0000 Received: from mx.hosting-e.gsi.gov.uk (unverified) by DC4OAMVC01.LIBRAOA.DCA.LOCAL (Clearswift SMTPRS 5.1.7) with ESMTP id for ; Sun, 4 Jan 2009 18:23:19 +0000 Received: from mail185.messagelabs.com ([62.231.131.115]) by mx.hosting-e.gsi.gov.uk with smtp (Exim 4.33) id 1LJXcb-000584-Jm for xxxxxxxxxxxxxxxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx; Sun, 04 Jan 2009 18:22:45 +0000 X-VirusChecked: Checked X-Env-Sender: xxxxxxxxxxxxxxxxxxxxx@xxxxxxxxxxxxxx.xxx X-Msg-Ref: server-12.tower-185.messagelabs.com!1231093365!41538221!1 X-StarScan-Version: 6.0.0; banners=-,-,hmcourts-service.gsi.gov.uk X-Originating-IP: [82.111.230.212] X-SpamReason: No, hits=0.0 required=7.0 tests= Received: (qmail 7334 invoked from network); 4 Jan 2009 18:22:45 -0000 Received: from sandwich.ukcod.org.uk (HELO sandwich.ukcod.org.uk) (82.111.230.212) by server-12.tower-185.messagelabs.com with SMTP; 4 Jan 2009 18:22:45 -0000 Received: from foi by sandwich.ukcod.org.uk with local (Exim 4.63) (envelope-from ) id 1LJXcb-00032T-38 for xxxxxxxxxxxxxxxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx; Sun, 04 Jan 2009 18:22:45 +0000 From: "fred robinson" To: "FOI requests at HMCS" Subject: Re: Freedom of Information request - Transfer of a small claim to the TCC Specialist Court MIME-Version: 1.0 Content-Type: text/plain; charset="utf-8" Message-ID: Date: Sun, 04 Jan 2009 18:22:45 +0000 Return-Path: X-OriginalArrivalTime: 04 Jan 2009 18:23:19.0249 (UTC) FILETIME=[84B84410:01C96E99] Dear Angels Lue Tain Your download is still the same and needs translation Yours sincerely, fred robinson -----Original Message----- This is an automatically generated Delivery Status Notification. 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DOES NOT ANSWER MY FOI REQUEST: FIND BELOW THE TCC COURT RULES I REFER YOU TO: SECOND EDITION OF THE TECHNOLOGY AND CONSTRUCTION COURT GUIDE Section 1. 1.1.3 In respect of those procedural areas for which specific provision is not made in this Guide, the parties, together with their advisors, will be expected to act reasonably and in accordance with both the spirit of the Guide and the overriding objective at CPR Rule 1.1 1.1.4 It is not the function of the Guide to summarise the Civil Procedure Rules (“the CPR”), and it should not be regarded as a substitute for the CPR. The parties and their advisors are expected to familiarise themselves with the CPR and, in particular, to understand the importance of the “overriding objective” of the CPR. The TCC endeavours to ensure that all its cases are dealt with justly and with proper proportionality. This includes ensuring that the parties are on an equal footing; taking all practicable steps to save expenditure; dealing with the dispute in ways which are proportionate to the size of the claim and cross-claim and the importance of the case to the parties; and managing the case throughout in a way that takes proper account of its complexity and the different financial positions of the parties. The court will also endeavour to ensure expedition, and to allot to each case an appropriate share of the court’s resources. 1.1.5 THIS NEW EDITION OF THE TCC GUIDE HAS BEEN PREPARED IN CONSULTATION WITH THE JUDGES OF THE TCC IN, LIVERPOOL. 1.2 The CPR 1.2.1 Proceedings in the TCC are governed by the CPR and the supplementary Practice Directions. CPR Part 60 and its associated Practice Direction deal specifically with the practice and procedure of the TCC. 1.2.2 Other parts of the CPR that frequently arise in TCC cases include Parts 12 and 13 (Default Judgment and Setting Aside); Part 17 (Amendments); Part 24 (Summary Judgment); Part 26 (Case Management); Part 32 (Evidence). 1.3.1 What are TCC Claims? CPR Rules 60.1 (2) and (3) provide that a TCC claim is a claim which (i) involves technically complex issues or questions (or for which trial by a TCC judge is desirable) and (ii) has been issued in or transferred into the TCC specialist list. Paragraph 2.1 of the TCC Practice Direction identifies the following as examples of the types of claim which it may be appropriate to bring as TCC claims – a building or other construction disputes, d claims by and against local authorities relating to their statutory duties concerning the development of land or the construction of buildings; h claims between neighbours, owners and occupiers of land in trespass, nuisance, etc. It should be noted that this list is not exhaustive and other types of claim may well be appropriate for the TCC. The Court. Both the High Court and the county courts deal with TCC business. Circuit judges and recorders only have jurisdiction to manage and try TCC cases if they have been nominated by the Lord Chancellor pursuant to section 68 (1) (a) of the Supreme Court Act 1981. “Full time” TCC judges spend most of their time dealing with TCC business, although they will do other work when there is no TCC business requiring their immediate attention. All of the courts which deal with TCC claims form a composite group of courts. When those courts are dealing with TCC business, CPR Part 60, its accompanying Practice Direction and this Guide govern the procedures of those courts. The High Court judge in charge of the TCC (“the Judge in Charge”), although based principally in London, has overall responsibility for the judicial supervision of TCC business in those courts. 1.3.3 The TCC in London. The principal centre for TCC work is the High Court in London at St Dunstan’s House, 133-137 Fetter Lane, London, EC4A 1HD. The Judge in Charge of the TCC sits principally at St Dunstan’s House together with five full time TCC judges. Subject to paragraph 3.7.1 below, any communication or enquiry concerning a TCC case, which is proceeding at St Dunstan’s House, should be directed to the clerk of the judge who is assigned to that case. The various contact details for the judges’ clerks are set out in Appendix D. TCC county court cases in London are brought in (or transferred to) the Central London Civil Justice Centre, 13-14 Park Crescent, London W1N 4HT. 1.3.4 District Registries :wherever possible, such claims should be issued in one of the following District Registries: Chester, LIVERPOOL There are full-time TCC Judges in Liverpool and Salford (Manchester). In a number of regions a “TCC liaison district judge” has been appointed. It is the function of the TCC liaison district judge: a. To keep other district judges in that region well informed about the role and remit of the TCC (in order that appropriate cases may be transferred to the TCC at an early, rather than late, stage). c To deal with any subsidiary matter which a TCC judge directs should be determined by a district judge pursuant to rule 60.1 (5) (b) (ii). d To deal with urgent applications in TCC cases pursuant to paragraph 7.2 of the Practice Direction (i.e. no TCC judge is available and the matter is of a kind that falls within the district judge’s jurisdiction). 1.3.5 TCC claims may also be brought in those county courts which are specified in the Part 60 Practice Direction. The specified county courts are: CHESTER AND LIVERPOOL. Where TCC proceedings are brought in a county court, statements of case and applications should be headed: “In the … County Court Technology and Construction Court” This heading is important because in TCC cases (subject to the limited exceptions mentioned in paragraph 1.3.4 above) district judges do not have jurisdiction to hear applications or make orders. 1.3.6 As a general rule TCC claims for more than £50,000 are brought in the High Court, whilst claims for lower sums are brought in the county court. 1.4 The TCC Users’ Committees 1.4.1 The continuing ability of the TCC to meet the changing needs of all those involved in TCC litigation depends in large part upon a close working relationship between the TCC and its users. 1.4.2 London. The Judge in Charge chairs two meetings a year of the London TCC Users’ Committee. The judge’s clerk acts as secretary to the Committee and takes the minutes of meetings. That Committee is made up of representatives of the London TCC judges, the barristers and solicitors who regularly use the Court, the professional bodies, such as architects, engineers and arbitrators, whose members are affected by the decisions of the Court, and representatives of both employers and contractors’ groups. 1.4.3 Outside London. There are similar meetings of TCC Users’ Committees in Liverpool. Each Users’ Committee is chaired by the full time TCC judge or the principal TCC judge in that location. 1.4.4 The TCC regards these channels of communication as extremely important and all those who are concerned with the work of the Court are encouraged to make full use of these meetings. Any suggestions or other correspondence raising matters for consideration by the Users’ Committee should, in the first instance, be addressed to the clerk to the Judge in Charge at St. Dunstan’s House or to the clerk to the appropriate TCC judge outside London. 1.5 Specialist Associations 1.5.1 There are a number of associations of legal representatives which are represented on the Users’ Committees and which also liaise closely with the Court. These contacts ensure that the Court remains responsive to the opinions and requirements of the professional users of the Court. 1.5.2 The relevant professional organisations are the TCC Bar Association (“TECBAR”) and the TCC Solicitors Association (“TeCSA”). Details of the relevant contacts at these organisations are set out on their respective websites, namely www.tecbar.org and www.tecsa.org. Section 2. Pre-Action Protocol 2.1.1 There is a Pre-Action Protocol for Construction and Engineering Disputes. Where the dispute involves a claim against architects, engineers or quantity surveyors, this Protocol prevails over the Professional Negligence Pre-Action Protocol: see paragraph 1.1 of the Protocol for Construction and Engineering Disputes and paragraph A.1 of the Professional Negligence Pre-Action Protocol. The current version of the Construction and Engineering Pre-Action Protocol (“the Protocol”) is set out in volume 1 of the White Book at section C. 2.1.2 The purpose of the Protocol is to encourage the frank and early exchange of information about the prospective claim and any defence to it; to enable parties to avoid litigation by agreeing a settlement of the claim before the commencement of proceedings; and to support the efficient management of proceedings where litigation cannot be avoided. 2.1.3 Proportionality. The overriding objective (CPR rule 1.1) applies to the pre-action period. The Protocol must not be used as a tactical device to secure advantage for one party or to generate unnecessary costs. In lower value TCC claims (such as those likely to proceed in the county court), the letter of claim and the response should be simple and the costs of both sides should be kept to a modest level. In all cases the costs incurred at the Protocol stage should be proportionate to the complexity of the case and the amount of money which is at stake. The Protocol does not impose a requirement on the parties to marshal and disclose all the supporting details and evidence that may ultimately be required if the case proceeds to litigation. 2.2 To Which Claims Does The Protocol Apply? 2.2.1 The court will expect all parties to have complied in substance with the provisions of the Protocol in all construction and engineering disputes. The only exceptions to this are identified in paragraph 2.3 below. 2.2.2 The court regards the Protocol as setting out normal and reasonable pre-action conduct. Accordingly, whilst the Protocol is not mandatory for a number of the claims noted by way of example in paragraph 1.3.1 above, such as computer cases or dilapidations claims, the court would, in the absence of a specific reason to the contrary, expect the Protocol generally to be followed in such cases prior to the commencement of proceedings in the TCC. 2.3 What Are The Exceptions ? 2.3.1 A claimant does not have to comply with the Protocol if his claim: a is to enforce the decision of an adjudicator; b includes a claim for interim injunctive relief; c will be the subject of a claim for summary judgmentpursuant to Part 24 of the CPR; or d relates to the same or substantially the same issues as have been the subject of a recent adjudication or some other formal alternative dispute resolution procedure. 2.3.2 In addition, a claimant need not comply with any part of the Protocol if, by so doing, his claim may become time-barred under the Limitation Act 1980. In those circumstances, a claimant should commence proceedings without complying with the Protocol and must, at the same time, apply for specific directions as to the timetable and form of procedure to be adopted. The court may order a stay of those proceedings pending completion of the steps set out in the Protocol. 2.4 What Are The Essential Ingredients Of The Protocol ? 2.4.1 The Letter of Claim. The letter of claim must comply with Section 3 of the Protocol. Amongst other things, it must contain a clear summary of the facts on which each claim is based; the basis on which each claim is made; and details of the relief claimed, including a breakdown showing how any damages have been quantified. The claimant must also provide the names of experts already instructed and on whom he intends to rely. 2.4.2 The Defendant’s Response. The defendant has 14 days to acknowledge the letter of claim and 28 days (from receipt of the letter of claim) either to take any jurisdiction objection or to respond in substance to the letter of claim. Paragraph 4.3.1 of the Protocol enables the parties to agree an extension of the 28 day period up to a maximum of 3 months. In any case of substance it is quite usual for an extension of time to be agreed for the defendant’s response. The letter of response must comply with section 4 of the Protocol. Amongst other things, it must state which claims are accepted, which claims are rejected and on what basis. It must set out any counterclaim to be advanced by the defendant. The defendant should also provide the names of experts who have been instructed and on whom he intends to rely. If the defendant fails either to acknowledge or to respond to the letter of claim in time, the claimant is entitled to commence proceedings. 2.4.3 Pre-action Meeting. The Construction and Engineering Protocol is the only Protocol under the CPR that generally requires the parties to meet, without prejudice, at least once, in order to identify the main issues and the root causes of their disagreement on those issues. The purpose of the meeting is to see whether, and if so how, those issues might be resolved without recourse to litigation or, if litigation is unavoidable, what steps should be taken to ensure that it is conducted in accordance with the overriding objective. At or as a result of the meeting, the parties should consider whether some form of alternative dispute resolution (“ADR”) would be more suitable than litigation and if so, they should endeavour to agree which form of ADR to adopt. Although the meeting is “without prejudice”, any party who attended the meeting is at liberty to disclose to the Court at a later stage that the meeting took place; who attended and who refused to attend, together with the grounds for their refusal; and any agreements concluded between the parties. 2.5 What Happens To The Material Generated By The Protocol? 2.5.1 The letter of claim, the defendant’s response, and the information relating to attendance (or otherwise) at the meeting are not confidential or ‘without prejudice’ and can therefore be referred to by the parties in any subsequent litigation. The detail of any discussion at the meeting(s) and/or any note of the meeting cannot be referred to the court unless all parties agree. 2.5.2 Normally the parties should include in the bundle for the first case management conference: (a) the letter of claim, (b) the response, and (c) any agreed note of the pre-action meeting: see Section 5 below. The documents attached to or enclosed with the letter and the response should not be included in the bundle. 2.6 What If One Party Has Not Complied With The Protocol ? 2.6.1 There can often be a complaint that one or other party has not complied with the Protocol. The court will consider any such complaints once proceedings have been commenced. If the court finds that the claimant has not complied with one part of the Protocol, then the court may stay the proceedings until the steps set out in the Protocol have been taken. 2.6.2 Paragraph 2.3 of the Practice Direction in respect of Protocols (section C of volume 1 of the White Book) makes plain that the court may make adverse costs orders against a party who has failed to comply with the Protocol. The court will exercise any sanctions available with the object of placing the innocent party in no worse a position than he would have been if the Protocol had been complied with. Section 3.Commencement and Transfer 3.1.1 All proceedings must be started using a claim form under CPR Part 7 or CPR Part 8. All claims allocated to the TCC are assigned to the Multi-Track: see CPR Rule 60.6(1). 3.2 Part 7 Claims 3.2.1 The Part 7 claim form must be marked “Technology and Construction Court” in the appropriate place on the form. 3.4 Service 3.4.1 Claim forms issued in the TCC at St Dunstan’s House in London are to be served by the claimant, not by the Registry. In some other court centres claim forms are served by the court, unless the claimant specifically requests otherwise. 3.4.2 The different methods of service are set out in CPR Part 6 and the accompanying Practice Direction. 3.5.1 A defendant must file an acknowledgment of service in response to both Part 7 claims 14 days after service of the claim form. 3.6.2 A TCC claim may be transferred from the High Court to one of the county courts noted above, and from any county court to the High Court, if the criteria stated in CPR Rule 30.3 are satisfied. In ordinary circumstances, proceedings will be transferred from the TCC in the High Court to the TCC in an appropriate county court if the amount of the claim does not exceed £50,000. 3.7.1 Where a claim has been issued at or transferred to the TCC at St Dunstan’s House in London, the Judge in Charge of the TCC (“the Judge in Charge”) shall with the assistance of court staff classify the case either “HCJ” or “SCJ”. i If the case is classified “HCJ”, it shall be managed and tried either by the Judge in Charge or by another High Court judge, who will be identified after consultation between the Judge in Charge and the Vice-President of the Queen’s Bench Division. ii If the case is classified “SCJ”, it shall be managed and tried by one of the senior circuit judges, who is a full time TCC judge in London. Cases in the latter category will either (a) be assigned by the Judge in Charge to a specific senior circuit judge or (b) be assigned to a senior circuit judge by operation of the rota. The assigned judge will have primary responsibility for the management of that case. 3.7.2 When classifying a case “HCJ” or “SCJ”, the Judge in Charge will take into account the following matters, as well as all the circumstances of the case: 1 The size and complexity of the case. 2 The nature and importance of any points of law arising. 3 The amount of money which is at stake. 4 Whether the case is one of public importance. 5 Whether the case has an international element or involves overseas parties. 6 The limited number of High Court judges and the needs of other court users, both civil and criminal. 3.7.5 There are full time TCC judges at LIVERPOOL. TCC cases at these court centres are assigned to judges either (a) by direction of the full time or principal TCC judge or (b) by operation of a rota. It will not generally be appropriate for the Judge in Charge (who is based in London) to consider TCC cases which are commenced in, or transferred to, court centres outside London. 3.7.6 When a TCC case has been assigned to a named circuit judge at a court centre other than St Dunstan’s House, all communications to the court about the case (save for communications in respect of fees) shall be made to that judge’s clerk. All communications in respect of fees should be sent to the relevant registry. All statements of case and applications should be marked with the name of the assigned judge. Section 4. Access to the Court 4.1.1 There may be a number of stages during the case management phase when the parties will make applications to the court for particular order. There will also be the need for the court to give or vary directions, so as to enable the case to progress to trial. 4.1.2 The court is acutely aware of the costs that may be incurred when both parties prepare for an oral hearing in respect of such interlocutory matters and is always prepared to consider alternative, and less expensive, ways in which the parties may seek the court’s assistance. 4.1.3 There are certain stages in the case management phase when it will generally be better for the parties to appear before the assigned judge. 4.2 Hearings in Court 4.2.1 First Case Management Conference. The court will normally require the parties to attend an oral hearing for the purposes of the first Case Management Conference. This is because there may be matters which the judge would wish to raise with the parties arising out of the answers to the case management information sheets and the parties’ proposed directions: Even in circumstances where the directions and the case management timetable may be capable of being agreed by the parties and the court, the assigned judge may still wish to consider a range of case management matters face-to-face with the parties, including the possibility of ADR. 4.2.2 Whilst the previous paragraph sets out the ideal position, it is recognised that in low value cases the benefits of personal attendance might be outweighed by the costs involved. Ultimately, the question whether personal attendance should be dispensed with at any particular case management conference must be decided by the judge, after considering any representations made and the circumstances of that particular case. 4.2.3 Pre-trial Review. It will normally be helpful for the parties to attend before the judge on a Pre-trial Review (“PTR”). It is always preferable for Counsel or other advocates who will be appearing at the trial to attend the PTR. Again, even if the parties can agree beforehand any outstanding directions and the detailed requirements for the management of the trial, it is still of assistance for the judge to raise matters of detailed trial management with the parties at an oral hearing. In appropriate cases, e.g. where the amount in issue is disproportionate to the costs of a full trial, the judge may wish to consider with the parties whether there are other ways in which the dispute might be resolved. 4.2.4 Whether or not other interlocutory applications require to be determined at an oral hearing will depend on the nature and effect of the application being made. 4.4 Paper Applications 4.4.2 If a party wishes to make an application to the court, it should ask itself the question: “Can this application be conveniently dealt with in writing?” If it can, then the party should issue the application and make its (short) written submissions both in support of its application and why it should be dealt with on paper. The application, any supporting evidence and the written submissions should be provided to all parties, as well as the court. These must include a draft of the precise order sought. 4.4.3 The party against whom the application is made, and any other interested party, should respond within 3 days dealing both with the substantive application and the request for it to be dealt with in writing. 4.4.4 The court can then decide whether or not to deal with the application in writing. If the parties are agreed that the court should deal with it in writing, it will be rare for the court to take a different view. If the parties disagree as to whether or not the application should be dealt with in writing, the court can decide that issue and, if it decides to deal with it in writing can go on to resolve the substantive point on the basis of the parties’ written submissions. 4.4.6 It is important for the parties to ensure that all documents provided to the court are also provided to all the other parties, so as to ensure that both the court and the parties are working on the basis of the same documentation. The pagination of any bundle which is provided to the court and the parties must be identical. 4.8 Lodging documents. 4.8.1 In general documents should be lodged in hard copy and not sent by email or fax. Section 5. Case Management and the First CMC 5.1.1 The general approach of the TCC to case management is to give directions at the outset and then throughout the proceedings to serve the overriding objective of dealing with cases justly. The judge to whom the case has been assigned has wide case management powers, which will be exercised to ensure that: • the real issues are identified early on and remain the focus of the ongoing proceedings; • a realistic timetable is ordered which will allow for the fair and prompt resolution of the action; • costs are properly controlled and reflect the value of the issues to the parties and their respective financial positions. 5.1.2 In order to assist the judge in the exercise of his case management functions, the parties will be expected to co-operate with one another at all times. See CPR rule 1.3. Costs sanctions may be applied, if the judge concludes that one party is not reasonably co-operating with the other parties. 5.1.3 A hearing at which the judge gives general procedural directions is a case management conference (“CMC”). CMCs are relatively informal and business-like occasions. Counsel are not robed. Representatives sit when addressing the judge. 5.1.4 The following procedures apply in order to facilitate effective case management: Upon commencement of a case in the TCC, it is allocated automatically to the multi-track. The provisions of CPR Part 29 apply to all TCC cases. • The TCC encourages a structured exchange of proposals and submissions for CMCs in advance of the hearing, so as to enable the parties to respond on an informed basis to proposals made. • The judges of the TCC operate pro-active case management. In order to avoid the parties being taken by surprise by any judicial initiative, the judge will consider giving prior notification of specific or unusual case management proposals to be raised at a case management conference. 5.1.5 The TCC’s aim is to ensure that the trial of each case takes place before the judge who has managed the case since the first CMC. Whilst continuity of judge is not always possible, this remains an aspiration of case management within the TCC. 5.2 The Fixing of the First CMC 5.2.1 Where a claim has been started in the TCC, or where it has been transferred into the TCC, paragraph 8.1 of the Part 60 Practice Direction requires the court to fix the first CMC within 14 days of the earliest of 1 the filing by the defendant of an acknowledgement of service or 2 the filing by the defendant of the defence or 3 the date of the order transferring the case to the TCC. If some defendants but not others are served with proceedings, the claimant’s solicitors should so inform the court and liaise about the fixing of the first CMC. 5.2.2 This means that the first CMC takes place relatively early, sometimes before the defendant has filed a defence. However, if, as will usually be the case, the parties have complied with the protocol they will have a good idea of each other’s respective positions, and an effective CMC can take place. If, on the other hand, there has been a failure to comply with the protocol, or there are other reasons why the issues are not clearly defined at the outset, then it may be important for the judge to be involved at an early stage. 5.3.1 All parties are expected to complete a detailed response to the case management information sheet sent out by the Registry when the case is commenced/transferred. A copy of a blank case management information sheet is attached as Appendix A . It is important that all parts of the form are completed, particularly those sections (e.g. concerned with estimated costs) that enable the judge to give directions in accordance with the overriding objective. 5.3.2 The Registry will also send out a blank standard directions form to each party. This sets out the usual directions made on the first CMC. The parties should fill them in, indicating the directions and timetable sought. The parties should return both the questionnaire and the directions form to the court, so that the areas (if any) of potential debate at the CMC can be identified. The parties are encouraged to exchange proposals for directions and the timetable sought, with a view to agreeing the same before the CMC for consideration by the court. 5.3.3 If the case is large or complex, it is helpful for the advocates to prepare a Note to be provided to the judge the day before the CMC. If such a Note is provided, it is unnecessary for the claimant also to prepare a Case Summary as well. 5.3.4 In smaller cases, a Case Summary for the CMC, explaining briefly the likely issues, can be helpful. Such Case Summaries should be non-contentious and should (if this is possible without incurring disproportionate cost) be agreed between the parties in advance of the hearing. 5.4.1 The following checklist identifies the matters which the judge is likely to want to consider at the first CMC, although it is not exhaustive: • The need for, and content of, any further pleadings. This is dealt with in Section 5.5 below. • The outcome of the Protocol process, and the possible further need for ADR. ADR is dealt with. • The desirability of dealing with particular disputes by way of a Preliminary Issue hearing. • Whether the trial should be in stages (e.g. stage 1 liability and causation, stage 2 quantum). In very heavy cases this may be necessary in order to make the trial manageable. In more modest cases, where the quantum evidence will be extensive, a staged trial may be in the interest of all parties. • The appropriate orders in respect of the disclosure of documents. • The appropriate orders as to the exchange of written witness statements. It should be noted that, although it is normal for evidence-in-chief to be given by way of the written statements in the TCC, the judge may direct that evidence about particular disputes (such as what was said at an important meeting) should be given orally without reference to such statements. • Whether it is appropriate for the parties to rely on expert evidence and, if so, what disciplines of experts should give evidence, and on what issues. This may be coupled with an order relating to the carrying out of inspections, the obtaining of samples, the conducting of experiments, or the performance of calculations. The parties must be aware that, in accordance with the overriding objective, the judge will only give the parties permission to rely on expert evidence if it is both necessary and appropriate, and, even then, will wish to ensure that the scope of any such evidence is limited as far as possible. • In certain cases the possibility of making a costs cap order. • The appropriate timetable for the taking of the various interlocutory steps noted above, and the fixing of dates for both the PTR and the trial itself. The parties will therefore need to provide the judge with an estimate for the length of the trial, assuming all issues remain in dispute. Unless there is good reason not to, the trial date will generally be fixed at the first CMC (although this may be more difficult at court centres with only one TCC judge). Therefore, to the extent that there are any relevant concerns as to availability of either witnesses or legal representatives, they need to be brought to the attention of the court on that occasion. The length of time fixed for the trial will depend on the parties’ estimates, and also the judge’s own view. If the parties’ estimate of trial length subsequently changes, they should inform the clerk of the assigned judge immediately. 5.4.2 The fixing of the trial date at the CMC is usually as a provisional fixture. Therefore no trial fee is payable at this stage. The court should at the same time specify a date upon which the fixture will cease to be “provisional” and, therefore, the trial fee will become payable. This should ordinarily be two months before the trial date. It should be noted that: • if the trial fee is not paid within 14 days of the due date, then the whole claim will be struck out: see CPR rule 3.7 (1) (a) and (4); • if the court is notified at least 14 days before the trial date that the case is settled or discontinued, then the trial fee, which has been paid, shall be refunded: see fee 2.2 in Schedule 1 to the Civil Proceedings Fees Order 2004. 5.4.3 Essentially, the judge’s aim at the first CMC is to set down a detailed timetable which, in the majority of cases, will ensure that the parties need not return to court until the PTR. 5.5.1 Defence. If no defence has been served prior to the first CMC, then (except in cases where judgment in default is appropriate) the court will usually make an order for service of the defence within a specified period. The defendant must plead its positive case. Bare denials and non-admissions are, save in exceptional circumstances, unacceptable. 5.5.2 Further Information. If the defendant wants to request further information of the Particulars of Claim, the request should, if possible, be formulated prior to the first CMC, so that it can be considered on that occasion. All requests for further information should be kept within reasonable limits, and concentrate on the important parts of the case. 5.5.3 Reply. A reply to the defence is not always necessary. However, where the defendant has raised a positive defence on a particular issue, it may be appropriate for the claimant to set out in a reply how it answers such a defence. 5.5.4 Part 20 Claims. The defendant should, at the first CMC, indicate (so far as possible) any Part 20 claims that it is proposing to make, whether against the claimant or any other party. Part 20 claims are required to be pleaded in the same detail as the original claim. They are a very common feature of TCC cases, because the widespread use of sub-contractors in the UK construction industry often makes it necessary to pass claims down a contractual chain. Defendants are encouraged to start any necessary Part 20 proceedings as soon as possible. It is undesirable for applications to join Part 20 defendants, to be made late in the proceedings. 5.7 Agreement Between the Parties 5.7.1 Many, perhaps most, of the required directions at the first CMC may be agreed by the parties. If so, the judge will endeavour to make orders in the terms which have been agreed, unless he considers that the agreed terms fail to take into account important features of the case as a whole, or the principles of the CPR. The agreed terms will always, at the very least, form the starting-point of the judge’s consideration of the orders to be made at the CMC. If the agreed terms are submitted to the judge 3 days in advance of the hearing date, it may be possible to avoid the need for a hearing altogether. 5.7.2 The approach outlined in paragraph 5.7.1 above is equally applicable to all other occasions when the parties come before the court with a draft order that is wholly or partly agreed. 5.8.1 Unless the court itself draws up the order, it will direct one party (usually the claimant or applicant) to do so within a specified time. That party must draw up the order and lodge it with the court for approval. Once approved, the order will be stamped by the court and returned to that party for service upon all other parties. 5.9.1 In an appropriate case, the judge will fix a review CMC, to take place part way through the timetable that has been set down, in order to allow the court to review progress, and to allow the parties to raise any matters arising out of the steps that have been taken up to that point. This will not, however, be ordered automatically. 5.9.2 Each party will be required to give notice in writing to the other parties and the court of any order which it will be seeking at the review CMC, two days in advance of the hearing.. 5.10 The Permanent Case Management Bundle 5.10.1 In conjunction with the judge’s clerk, the claimant’s solicitor is responsible for ensuring that, for the first CMC and at all times thereafter, there is a permanent bundle of copy documents available to the judge, which contains: • any relevant documents resulting from the Pre-Action Protocol; • the claim form and all statements of case; • all orders; • all completed case management information sheets. 5.10.2 The permanent case management bundle can then be supplemented by the specific documents relevant to any particular application that may be made. Whether these supplementary documents should (a) become a permanent addition to the case management bundle or (b) be set on one side, will depend upon their nature. The permanent case management bundle may remain at court and be marked up by the judge; alternatively, the judge may direct that the permanent case management bundle be maintained at the offices of the claimant’s solicitors and provided to the court when required. Section 6. Applications after the First CMC 6.1 Relevant parts of the CPR 6.1.1 The basic rules relating to all applications that any party may wish to make are set out in CPR Part 23 and its accompanying Practice Directions. 6.1.2 Part 7 of the Practice Direction accompanying CPR Part 60 is also of particular relevance. 6.2 Application Notice 6.2.1 As a general rule, any party to proceedings in the TCC wishing to make an application of any sort must file an application notice (rule 23.3) and serve that application notice on all relevant parties as soon as practicable after it has been filed (rule 23.4). Application notices should be served by the parties, unless (as happens in some court centres outside London) service is undertaken by the court. 6.2.2 The application notice must set out in clear terms what order is sought and, more briefly, the reasons for seeking that order: see rule 23.6. 6.2.3 The application notice must be served at least 3 days before the hearing at which the Court deals with the application: rule 23.7 (1). Such a short notice period is only appropriate for the most straight-forward type of application. 6.2.4 Most applications, in particular applications for summary judgment under CPR Part 24 or to strike out a statement of case under CPR rule 3.4, will necessitate a much longer notice period than 3 days. In such cases, it is imperative that the applicant obtain a suitable date and time for the hearing of the application from the assigned judge’s clerk before the application notice is issued. The applicant must then serve his application notice and evidence in support sufficiently far ahead of the date fixed for the hearing of the application for there to be time to enable the respondent to serve evidence in response. Save in exceptional circumstances, there should be a minimum period of 10 working days between the service of the notice (and supporting evidence) and the hearing date. If any party considers that there is insufficient time before the hearing of the application or if the time estimate for the application itself is too short, that party must notify the Judge’s clerk and the hearing may then be refixed by agreement. 6.2.5 When considering the application notice, the judge may give directions in writing as to the dates for the provision or exchange of evidence and any written submissions or skeleton arguments for the hearing. 6.3.1 The application notice when it is served must be accompanied by all evidence in support: rule 23.7 (2). 6.3.2 Unless the CPR expressly requires otherwise, evidence will be given by way of witness statements. Such statements must be verified by a statement of truth signed by the maker of the statement: rule 22.1. 6.4.1 Likewise, any evidence in opposition to the application should, unless the rules expressly provide otherwise, be given by way of witness statement verified by a statement of truth. 6.4.2 It is important to ensure that the evidence in opposition to the application is served in good time before the hearing so as to enable: • the court to read and note up the evidence; • the applicant to put in any further evidence in reply that may be considered necessary. Such evidence should be served at least 5 working days before the hearing. 6.5.1 The bundle for the hearing of anything other than the most simple and straightforward application should consist of: • the permanent case management bundle; • the witness statements provided in support of the application, together with any exhibits; • the witness statements provided in opposition to the application together with exhibits; • any witness statements in reply, together with exhibits. 6.5.2 The permanent case management bundle will either be with the court or with the claimant’s solicitors, depending on the order made at the first CMC. If it is with the claimant’s solicitors, it should be provided to the court not less than 2 working days before the hearing. In any event, a paginated bundle (see paragraph 6.5.4 below) containing any material specific to the application should also be provided to the court not less than 2 working days before the hearing, unless otherwise directed by the judge. A failure to comply with this deadline may result in the adjournment of the hearing, and the costs thrown away being paid by the defaulting party. 6.5.3 In all but the simplest applications, the court will expect the parties to provide skeleton arguments and copies of any authorities to be relied on. The form and content of the skeleton argument is principally a matter for the author, although the judge will expect it to identify the issues that arise on the application, the important parts of the evidence relied on, and the applicable legal principles. For detailed guidance as to the form, content and length of skeleton arguments, please see paragraph 7.11.12 of the Queen’s Bench Guide; Appendix 3 of the Chancery Guide; and Appendix 9 of the Commercial Court Guide. 6.5.4 For an application that is estimated to last ½ day or less, the skeleton should be provided no later than 1 pm on the last working day before the hearing. It should be accompanied by photocopies of the authorities relied on. 6.5.5 For an application that is estimated to last more than ½ day, the skeleton should be provided no later than 4 pm one clear working day before the hearing. It should be accompanied by photocopies of the authorities relied on. 6.5.6 The time limits at paragraphs 6.5.4 and 6.5.5 above will be regarded as the latest times by which such skeletons should be provided to the court. Save in exceptional circumstances, no extension to these periods will be permitted. 6.5.7 Pagination. It is generally necessary for there to be a paginated bundle for the hearing. Where the parties have produced skeleton arguments, these should be cross-referred to the bundle page numbers. 6.6 Hearings 6.6.1 Arbitration applications may be heard in private: see CPR rule 62.10. All other applications will be heard in public in accordance with CPR rule 39.2, save where otherwise ordered. 6.6.2 Provided that the application bundle and the skeletons have been lodged in accordance with the time limits set out above, the parties can assume that the court will have a good understanding of the points in issue. However, the court will expect to be taken to particular documents relied on by the parties and will also expect to be addressed on any important legal principles that arise. 6.6.3 It is important that the parties ensure that every application is dealt with in the estimated time period. Since many applications are dealt with on Fridays, it causes major disruption if application hearings are not disposed of within the estimated period. If the parties take too long in making their submissions, the application may be adjourned, part heard, and the Court may impose appropriate costs sanctions. 6.6.4 At the conclusion of the hearing, unless the court itself draws up the order, it will direct the applicant’s solicitor to do so within a specified period. 6.7 Paper Applications 6.7.1 Contested applications are usually best disposed of at an oral hearing (either in court or by telephone). However, as noted in Section 4 above, some applications may be suitable for determination on paper. The procedure for dealing with paper applications is outlined in paragraph 4.4 above. 6.7.2 In addition, certain simple applications (particularly in lower value cases) arising out of the management of the proceedings may be capable of being dealt with by correspondence without the need for any formal application or order of the court. This is particularly true of applications to vary procedural orders, which variations are wholly or largely agreed, or proposals to vary the estimated length of the trial. In such cases, the applicant should write to the other parties indicating the nature of its application and to seek their agreement to it. If, however, it emerges that there is an issue to be resolved by the court, then a formal application must be issued and dealt with in the normal manner. 6.8.3 As noted above, whilst the parties can agree between themselves the orders to be made either at the Case Management Conference or the Pre-Trial Review, it is normally necessary for the Court to consider the case with the parties (either at an oral hearing or by way of a telephone conference) on those occasions in any event. 6.8.4 Generally, when giving directions, the court will endeavour to identify the date by which the relevant step must be taken, and will not simply provide a period during which that task should be performed. The parties should therefore ensure that any proposed consent order also identifies particular dates, rather then periods, by which the relevant steps must be taken. 6.9.2 The costs of any application which took a day or less to be heard and disposed of will be dealt with summarily, unless there is a good reason for the court not to exercise its powers as to the summary assessment of costs. 6.9.3 Accordingly, it is necessary for parties to provide to the court and to one another their draft statements of costs no later than 24 hours before the start of the application hearing. Any costs which are incurred after these draft statements have been prepared, but which have not been allowed for (e.g. because the hearing has exceeded its anticipated length), can be mentioned at the hearing. Section 7. ADR 7.1.1 The court will provide encouragement to the parties to use alternative dispute resolution (“ADR”) and will, whenever appropriate, facilitate the use of such a procedure. In this Guide, ADR is taken to mean any process through which the parties attempt to resolve their dispute, which is voluntary, or (occasionally) early neutral evaluations. In an early neutral evaluation either a judge or some other neutral person receives a concise presentation from each party and then states his own evaluation of the case. 7.1.2 The use of ADR can lead to a significant saving of costs and may result in a settlement which is satisfactory to all parties. 7.1.3 Legal representatives in all TCC cases should ensure that their clients are fully aware of the benefits of ADR and that the use of ADR has been carefully considered prior to the first CMC. 7.2.1 ADR may be appropriate before the proceedings have begun or at any subsequent stage. 7.2.2 The TCC Pre-Action Protocl itself provides for a type of ADR, because it requires there to be at least one face-to-face meeting between the parties before the commencement of proceedings. At this meeting, there should be sufficient time to discuss and resolve the dispute. As a result of this procedure having taken place, the court will not necessarily grant a stay of proceedings upon demand and it will always need to be satisfied that an adjournment is actually necessary to enable ADR to take place. 7.2.3 However, at the first CMC, the court will want to be addressed on the parties’ views as to the likely efficacy of ADR, the appropriate timing of ADR, and the advantages and disadvantages of a short stay of proceedings to allow ADR to take place. Having considered the representations of the parties, the court may order a short stay to facilitate ADR at that stage. Alternatively, the court may simply encourage the parties to seek ADR and allow for it to occur within the timetable for the resolution of the proceedings set down by the court. 7.2. At any stage after the first CMC and prior to the commencement of the trial, the court, will, either on its own initiative or if requested to do so by one or both of the parties, consider afresh the likely efficacy of ADR and whether or not a short stay of the proceedings should be granted, in order to facilitate ADR. 7.3.1 In an appropriate case, the court may indicate the type of ADR that it considers suitable, but the decision in this regard must be made by the parties. In most cases, the appropriate ADR procedure will be mediation. 7.3.2 If at any stage in the proceedings the court considers it appropriate, an ADR order may be made. If such an order is made at the first CMC, the court may go on to give directions for the conduct of the action up to trial (in the event that the ADR fails). Such directions may include provision for a review CMC. 7.3.3 The court will not ordinarily recommend any individual or body to act as mediator or to perform any other ADR procedure. In the event that the parties fail to agree the identity of a mediator or other neutral person pursuant to an order in the terms of the court may select such a person from the lists provided by the parties. To facilitate this process, the court would also need to be furnished with the C.V’s of each of the individuals on the lists. 7.3.4 Information as to the types of ADR procedures available and the individuals able to undertake such procedures is available from TeCSA, TECBAR, the Civil Mediation Council, and from some TCC court centres outside London. 7.4.1 Generally. At the end of the trial, there may be costs arguments on the basis that one or more parties unreasonably refused to take part in ADR. The court will determine such issues having regard to all the circumstances of the particular case. In Halsey v Milton Keynes General NHS Trust [2004] EWCA Civ 576; [2004] 1 WLR 3002, the Court of Appeal identified six factors that may be relevant to any such consideration: a the nature of the dispute; b the merits of the case; c the extent to which other settlement methods have been attempted; d whether the costs of the ADR would be disproportionately high; e whether any delay in setting up and attending the ADR would have been prejudicial; f whether the ADR had a reasonable prospect of success. 7.4.2 If an ADR Order Has Been Made. The court will expect each party to co-operate fully with any ADR which takes place following an order of the court. If any other party considers that there has not been proper co-operation in relation to arrangements for the mediation, the complaint will be considered by the court and cost orders and/or other sanctions may be ordered against the defaulting party in consequence. 7.5.1 An early neutral evaluation (“ENE”) may be carried out by any appropriately qualified person, whose opinion is likely to be respected by the parties. In an appropriate case, and with the consent of all parties, a TCC judge may provide an early neutral evaluation either in respect of the full case or of particular issues arising within it. Such an ENE will not, save with the agreement of the parties, be binding on the parties. 7.5.2 If the parties would like an ENE to be carried out by the court, then they can seek an appropriate order from the assigned judge either at the first CMC or at any time prior to the commencement of the trial. 7.5.3 The assigned judge may choose to do the ENE himself. In such instance, the judge will take no further part in the proceedings once he has produced the ENE, unless the parties expressly agree otherwise. Alternatively, the assigned judge will select another available TCC judge to undertake the ENE. 7.5.4 The judge undertaking the ENE will give appropriate directions for the preparation and conduct of the ENE. This may include a stay of the substantive proceedings whilst the ENE is carried out. The ENE may be carried out entirely on paper. Alternatively, there may be an oral hearing (either with or without evidence). The parties should agree whether the entire ENE procedure is to be without prejudice, or whether it can be referred to at any subsequent trial or hearing. Section 8. Preliminary Issues 8.1.1 The hearing of Preliminary Issues (“PI”), at which the court considers and delivers a binding judgment on particular issues in advance of the main trial, can be an extremely cost-effective and efficient way of narrowing the issues between the parties and, in certain cases, of resolving disputes altogether. 8.1.2 Some cases listed in the TCC lend themselves particularly well to this procedure. A PI hearing can address particular points which may be decisive of the whole proceedings; even if that is not the position, it is often possible for a PI hearing to cut down significantly on the scope (and therefore the costs) of the main trial. 8.1.3 At the first CMC the court will expect to be addressed on whether or not there are matters which should be taken by way of Preliminary Issues in advance of the main trial. Subject to paragraph 8.5 below, it is not generally appropriate for the court to make an order for the trial of preliminary issues until after the defence has been served. After the first CMC, and at any time during the litigation, any party is at liberty to raise with any other party the possibility of a PI hearing and the court will consider any application for the hearing of such Preliminary Issues. In many cases, although not invariably, a PI order will be made with the support of all parties. 8.1.4 Whilst, for obvious reasons, it is not possible to set out hard and fast rules for what is and what is not suitable for a PI hearing, the criteria set out in Section 8.2 below should assist the parties in deciding whether or not some or all of the disputes between them will be suitable for a PI hearing. 8.1.5 Drawbacks of preliminary issues in inappropriate cases. If preliminary issues are ordered inappropriately, they can have adverse effect. Evidence may be duplicated. The same witnesses may give evidence before different judges, in the event that there is a switch of assigned judge. Findings may be made at the PI hearing, which are affected by evidence called at the main hearing. The prospect of a PI hearing may delay the commencement of ADR or settlement negotiations. Also two trials are more expensive than one. For all these reasons, any proposal for preliminary issues needs to be examined carefully, so that the benefits and drawbacks can be evaluated. Also the court should give due weight to the views of the parties when deciding whether a PI hearing would be beneficial. 8.1.6 Staged trials. The breaking down of a long trial into stages should be differentiated from the trial of preliminary issues. Sometimes it is sensible for liability (including causation) to be tried before quantum of damages. Occasionally the subject matter of the litigation is so extensive that for reasons of case management the trial needs to be broken down into separate stages. 8.2.1 The Significance of the Preliminary Issues. The court would expect that any issue proposed as a suitable PI would, if decided in a particular way, be capable of: • resolving the whole proceedings or a significant element of the proceedings; or • significantly reducing the scope, and therefore the costs, of the main trial; or • significantly improving the possibility of a settlement of the whole proceedings. 8.2.2 Oral Evidence. The court would ordinarily expect that, if issues are to be dealt with by way of a PI hearing, there would be either no or relatively limited oral evidence. If extensive oral evidence was required on any proposed PI, then it may not be suitable for a PI hearing. Although it is difficult to give specific guidance on this point, it is generally considered that a PI hearing in a smaller case should not take more than about 2 days, and in a larger and more complex case, should not take more than about 4 days. 8.3 The following are commonly resolved by way of a PI hearing: a Disputes as to whether or not there was a binding contract between the parties. b Disputes as to what documents make up or are incorporated within the contract between the parties and disputes as to the contents or relevance of any conversations relied on as having contractual status or effect. c Disputes as to the proper construction of the contract documents or the effect of an exclusion or similar clause. d Disputes as to the correct application of a statute or binding authority to a situation where there is little or no factual dispute. e Disputes as to the existence and/or scope of a statutory duty . f Disputes as to the existence and/or scope of a duty of care at common law in circumstances where there is no or little dispute about the relevant facts. 8.4 Other Possible Preliminary Issues The following can sometimes be resolved by way of a preliminary issue hearing, although a decision as to whether or not to have such a hearing will always depend on the facts of the individual case: 8.4.1 A Limitation Defence. It is often tempting to have limitation issues resolved in advance of the main trial. This can be a good idea because, if a complex claim is statute-barred, a decision to that effect will lead to a significant saving of costs. However, there is also a risk that extensive evidence relevant to the limitation defence (relating to matters such as when the damage occurred or whether or not there has been deliberate concealment) may also be relevant to the liability issues within the main trial. In such a case, a preliminary issue hearing may lead to a) extensive duplication of evidence and therefore costs and b) give rise to difficulty if the main trial is heard by a different judge. 8.4.3 ‘One-Off’ Issues. Issues which do not fall into any obvious category, like misrepresentation, may be suitable for resolution by way of a PI hearing, particularly if the whole case can be shown to turn on them. 8.5.1 Sometimes parties wish to resolve their dispute by ADR, but there is one major issue which is a sticking point in any negotiation or mediation. The parties may wish to obtain the court’s decision on that single issue, in the expectation that after that they can resolve their differences without further litigation. 8.5.2 In such a situation the parties may wish to bring proceedings under CPR Part 8, in order to obtain the court’s decision on that issue. Such proceedings can be rapidly progressed. Alternatively, if the issue is not suitable for Part 8 proceedings, the parties may bring proceedings under Part 7 and then seek determination of the critical question as a preliminary issue. At the first CMC the position can be explained and the judge can be asked to order early trial of the proposed preliminary issue, possibly without the need for a defence or any further pleadings. 8.6.1 If a party wishes to seek a PI hearing, either at the first CMC or thereafter, that party must circulate a precise draft of the proposed preliminary issues to the other parties and to the court well in advance of the relevant hearing. 8.6.2 If the court orders a PI hearing, it is likely to make such an order only by reference to specific and formulated issues, in order to avoid later debate as to the precise scope of the issues that have been ordered. Of course, the parties are at liberty to propose amendments to the issues before the PI hearing itself, but if such later amendments are not agreed by all parties, they are unlikely to be ordered. 8.7 Appeals 8.7.1 When considering whether or not to order a PI hearing, the court will take into account the effect of any possible appeal against the PI judgment, and the concomitant delay caused. 8.7.2 At the time of ordering preliminary issues, both the parties and the court should specifically consider whether, in the event of an appeal against the PI judgment, it is desirable that the trial of the main action should (a) precede or (b) follow such appeal. It should be noted, however, that the first instance court has no power to control the timetable for an appeal. A first instance court’s power to extend time under CPR rule 52.4 (2) (a) for filing an appellant’s notice is effectively limited to 14 days (see paragraph 5.19 of the Practice direction supplementing Part 52). The question whether an appeal should be (a) expedited or (b) stayed is entirely a matter for the Court of Appeal. Nevertheless, the Court of Appeal will take notice of any “indication” given by the lower court in this regard. 10.2.3 The claimant must include within the claim form an application for permission to appeal . No separate application notice is required. 10.2.4 The claim form and supporting documents must be served on the defendant. The judge will not consider the application for permission to appeal until (a) a certificate of service has been filed at the appropriate TCC registry or court centre and (b) a further 28 days have elapsed, so as to enable the defendant to file written evidence in opposition. Save in exceptional circumstances, the only material admissible on an application for permission to appeal is (a) the award itself and any documents annexed to the award and (b) evidence relevant to the issue whether any identified question of law is of general public importance. 10.2.5 If necessary, the judge dealing with the application will direct an oral hearing with a date for the hearing. That hearing will, ordinarily, consist of brief submissions by each party. The judge dealing with the application will announce his decision in writing or, if a hearing has been directed, at the conclusion of the hearing with brief reasons if the application is refused. 10.2.6 Where the permission has been allowed in part and refused in part: a Only those questions for which permission has been granted may be raised at the hearing of the appeal. b Brief reasons will be given for refusing permission in respect of the other questions. 10.2.7 If the application is granted, the judge will fix the date for the appeal, and direct whether the same judge or a different judge shall hear the appeal. 10.3 Appeals where leave to appeal is not required 10.3.1 Parties to a construction contract should check whether they have agreed in the underlying contract that an appeal may be brought without leave, since some construction and engineering standard forms of contract so provide. If that is the case, the appeal may be set down for a substantive hearing without leave being sought. The arbitration claim form should set out the clause or provision which it is contended provides for such agreement and the claim form should be marked “Arbitration Appeal – Leave not required”. 10.3.2 Where leave is not required, the claimant should identify each question of law that it is contended arises out of the award and which it seeks to raise in an appeal under section 69. If the defendant does not accept that the questions thus identified are questions of law or maintains that they do not arise out of the award or that the appeal on those questions may not be brought for any other reason, then the defendant should notify the claimant and the court of its contentions and apply for a directions hearing before the judge nominated to hear the appeal on a date prior to the date fixed for the hearing of the appeal. Unless the judge hearing the appeal otherwise directs, the appeal will be confined to the questions of law identified in the arbitration claim form. 10.3.3 In an appropriate case, the judge may direct that the question of law to be raised and decided on the appeal should be reworded, so as to identify more accurately the real legal issue between the parties. 10.4 The hearing of the appeal 10.4.1 Parties should ensure that the court is provided only with material that is relevant and admissible to the point of law. This will usually be limited to the award and any documents annexed to the award: see Hok Sport Ltd v Aintree Racecourse Ltd [2003] BLR 155 at 160. However, the court should also receive any document referred to in the award, which the court needs to read in order to determine a question of law arising out of the award: see Kershaw Mechanical Services Ltd v Kendrick Construction Ltd [2006] EWHC (TCC). 10.4.2 On receiving notice of permission being granted, or on issuing an arbitration claim form in a case where leave to appeal is not required, the parties should notify the court of their joint estimate or differing estimates of the time needed for the hearing of the appeal. 10.4.3 The hearing of the appeal is to be in open court unless an application (with notice) has previously been made that the hearing should be wholly or in part held in private and the court has directed that this course should be followed. 10.5 Section 68 applications – Serious Irregularity 10.5.1 In some arbitration claims arising out of construction and engineering arbitrations, a party will seek to appeal a question of law and, at the same time, seek to challenge the award under section 68 of the Arbitration Act 1996 on the grounds of serious irregularity. This raises questions of procedure, since material may be admissible in a section 68 application which is inadmissible on an application or appeal under section 69. Similarly, it may not be appropriate for all applications to be heard together. A decision is needed as to the order in which the applications should be heard, whether there should be one or more separate hearings to deal with them and whether or not the same judge should deal with all applications. Where a party intends to raise applications under both sections of the Arbitration Act 1996, they should be issued in the same arbitration claim form or in separate claim forms issued together. The court should be informed that separate applications are intended and asked for directions as to how to proceed. 10.5.2 The court will give directions as to how the section 68 and section 69 applications will be dealt with before hearing or determining any application. These directions will normally be given in writing but, where necessary or if such is applied for by a party, the court will hold a directions hearing at which directions will be given. The directions will be given following the service of any documentation by the defendant in answer to all applications raised by the claimant. Section 11. Disclosure 11.1.1 The appropriate disclosure and inspection orders to be made will normally be considered and made at the first case management conference. This is governed by CPR Part 31 and the Practice Direction supplementing it. This procedure provides for standard disclosure, being disclosure and inspection in accordance with CPR Part 31 of: a the documents upon which a party relies; b the documents which adversely affect his or another party’s case or support another party’s case; and c the documents which a party is required to disclose by any relevant practice direction. 11.2 Limiting disclosure and the cost of disclosure 11.2.1 In many cases being conducted in the TCC, standard disclosure will not be appropriate. This may for any one or more of the following reasons: (a) The amount of documentation may be considerable, given the complexity of the dispute and the underlying contract or contracts, and the process of giving standard disclosure may consequently be disproportionate to the issues and sums in dispute. (b) The parties may have many of the documents in common from their previous dealings so that disclosure is not necessary or desirable. (c) The parties may have provided informal disclosure and inspection of the majority of these documents, for example when complying with the pre-action Protocol. (d) The cost of providing standard disclosure may be disproportionate. In such cases, the parties should seek to agree upon a more limited form of disclosure or to dispense with formal disclosure altogether. Such an agreement could limit disclosure to specified categories of documents or to such documents as may be specifically applied for. 11.2.2 Where disclosure is to be provided, the parties should consider whether it is necessary for lists of documents to be prepared or whether special arrangements should be agreed as to the form of listing and identifying disclosable documents, the method, timing and location of inspection and the manner of copying or providing copies of documents. Thought should also be given to providing disclosure in stages or to reducing the scope of disclosure by providing the relevant material in other forms. 11.2.4 All these matters should be agreed between the parties. If it is necessary to raise any of these matters with the court they should be raised, if possible, at the first CMC. If points arise on disclosure after the first CMC, they may well be capable of being dealt with by the court on paper. 11.3.1 The parties should consult with each other before the first CMC. Where agreement is not possible, the parties should raise these matters for decision at a CMC. Section 14. The Pre-Trial Review 14.1.1 The Pre-Trial Review (“PTR”) will usually be fixed for a date that is 4-6 weeks in advance of the commencement of the trial itself. It is vital that the advocates, who are going to conduct the trial, should attend the PTR and every effort should be made to achieve this. It is usually appropriate for the PTR to be conducted by way of an oral hearing or, at the very least, a telephone conference. 14.2 Documents 14.2.1 The parties must complete the PTR Questionnaire and return it in good time to the court. In addition, the judge may order the parties to provide other documents for the particular purposes of the PTR. 14.2.2 In an appropriate case, the advocates for each party should prepare a Note for the PTR, which addresses: 2 the issues for determination at the trial; 4 These Notes should be provided to the court by 4 p.m. one clear working day before the PTR. 14.2.3 The parties should also ensure that, for the PTR, the court has an up-to-date permanent case management bundle, together with a bundle of the evidence (factual and expert) that has been exchanged. This Bundle should also be made available to the court by 4 p.m. one clear day before the PTR. 14.3.1 It can sometimes be the case that there are still outstanding interlocutory steps to be taken at the time of the PTR. That will usually mean that one, or more, of the parties has not complied with an earlier direction of the court. In that event, the court is likely to require prompt compliance, and may make costs orders to reflect the delays. 14.3.2 Sometimes a party will wish to make an application to be heard at the same time as the PTR. Such a practice is unsatisfactory, because it uses up time allocated for the PTR, and it gives rise to potential uncertainty close to the trial date. It is always better for a party, if it possibly can, to make all necessary applications well in advance of the PTR. If that is not practicable, the court should be asked to allocate additional time for the PTR, in order to accommodate specific applications. If additional time is not available, such applications will not generally be entertained. 14.4.1 The parties should, if possible, provide the judge at the PTR with an agreed list of the Issues for the forthcoming trial. 14.4.2 If the parties are unable to agree the precise formulation of the issues, they should provide to the court their respective contentions as to what the issues are, and why. 14.4.3 In order to determine the best way to deal with the trial, it is necessary for the issues to be identified. If the precise formulation of the issues is a matter of dispute between the parties, the judge will note the parties’ respective contentions, but is unlikely to give a ruling on this matter at the PTR. 14.5.1 Much of the PTR will be devoted to a consideration of the appropriate timetable for the trial, and other logistical matters. These will commonly include: • Directions in respect of oral and written openings. • Sequence of oral evidence; for example, whether all the factual evidence should be called before the expert evidence. • Timetabling of oral evidence. (To facilitate this exercise, the advocates should tell the judge which witnesses need to be cross-examined and which evidence can be agreed.) • Whether any form of time limits should be imposed. (Since the purpose of time limits is to ensure that that the costs incurred and the resources devoted to the trial are proportionate, this is for the benefit of the parties. The judge will endeavour to secure agreement to any time limits imposed.) • Directions in respect of the trial bundle: when it should be agreed and lodged; the contents and structure of the bundle; avoidance of duplication; whether witness statements and/or expert reports should be annotated with cross references to page numbers in the main bundle (see paragraph 12.3 above); and similar matters. • Whether there should be a core bundle; if so how it should be prepared and what it should contain. • Any directions relating to the use of simultaneous transcription at trial (this subject to agreement between the parties). 14.5.2 The topics identified in paragraph 14.5.1 are discussed in greater detail in section 15 below. The Trial 15.1.1 Prior to the trial the parties’ legal representatives should seek to agree on the following matters, in so far as they have not been resolved at the PTR: the order in which witnesses are to be called to give evidence; which witnesses are not required for cross examination and whose evidence in consequence may be adduced entirely from their witness statements; the timetable for the trial and the length of time each advocate is to be allowed for a brief opening speech. When planning the timetable, it should be noted that trials normally take place on Mondays to Thursdays, since Fridays are reserved for applications. 15.2.1 Opening notes. Unless the court has ordered otherwise, each party’s advocate should provide an opening note, which outlines that party’s case in relation to each of the issues identified at the PTR. Each opening note should indicate which documents (giving their page numbers in the trial bundle) that party considers that the judge should pre-read. The claimant’s opening note should include a neutral summary of the background facts, as well as a chronology and cast list. The other parties’ opening notes should be shorter and should assume familiarity with the factual background. In general terms, all opening notes should be of modest length and proportionate to the size and complexity of the case. Subject to any specific directions at the PTR, the claimant’s opening note should be served two clear working days before the start of the trial; the other parties opening notes should be served by 1 p.m. on the last working day before the trial. 15.2.2 Trial bundles. Subject to any specific directions at the PTR, the trial bundles should be delivered to court at least three working days before the hearing. It is helpful for the party delivering the trial bundles to liaise in advance with the judge’s clerk, in order to discuss practical arrangements, particularly when a large number of bundles are to be delivered. The parties should provide for the court an agreed index of all trial bundles. There should also be an index at the front of each bundle. This should be a helpful guide to the contents of that bundle. (An interminable list, itemising every letter or sheet of paper is not a helpful guide. Nor are bland descriptions, such as “exhibit “JT3”, of much help to the bundle user.) The spines of bundles should be clearly labelled. 15.2.3 As a general rule the trial bundles should be clearly divided between statements of case, orders, contracts, witness statements, expert reports and correspondence/ minutes of meetings. The correspondence/ minutes of meetings should be in a separate bundle or bundles and in chronological order. Documents should only be included, if they are relevant to the issues in the case or helpful as background material. Documents should not be duplicated. Exhibits to witness statements should generally be omitted, since the documents to which the witnesses are referring will be found elsewhere in the bundles. The bundles of contract documents and correspondence/ minutes of meetings should be paginated, so that every page has a discrete number. The other bundles could be dealt with in one of two ways: • The statements of case, witness statements and expert reports could be placed in bundles and continuously paginated. • Alternatively, the statements of case, witness statements and expert reports could be placed behind tabbed divider cards, and then the internal numbering of each such document can be used at trial. If the latter course is adopted, it is vital that the internal page numbering of each expert report continues sequentially through the appendices to that report. The ultimate objective is to create trial bundles, which are user friendly and in which any page can be identified with clarity and brevity (e.g. “bundle G page 273” or “defence page 3” or “Dr Smith page 12”). The core bundle, if there is one (as to which see paragraph 14.5.1 above), will be a separate bundle with its own pagination 15.2.4 Opening speeches. Subject to any directions made at the PTR, each party will be permitted to make an opening speech. These speeches should be prepared and presented on the basis that the judge will have pre-read the opening notes and the documents identified by the parties for pre-reading. The claimant’s advocate may wish to highlight the main features of the claimant’s case and/or to deal with matters raised in the other parties’ opening notes. The other parties’ advocates will then make shorter opening speeches, emphasising the main features of their own cases and/or responding to matters raised in the claimant’s opening speech. 15.2.5 It is not usually necessary or desirable to embark upon legal argument during opening speeches. It is, however, helpful to foreshadow those legal arguments which (a) explain the relevance of particular parts of the evidence or (b) will assist the judge in following a party’s case that is to be presented during the trial. 15.2.6 Narrowing of issues. Experience shows that often that the issues between the parties progressively narrow as the trial advances. Sometimes this process begins during the course of opening speeches. Weaker contentions may be abandoned and responses to those contentions may become irrelevant. The advocates will co-operate in focussing their submissions and the evidence on the true issues between the parties, as those issues are thrown into sharper relief by the adversarial process. 15.3.1 Many trials in the TCC, including the great majority of the longer trials, are conducted with simultaneous transcripts of the evidence being provided. There are a number of transcribing systems available. It is now common for a system to be used involving simultaneous transcription onto screens situated in court. However, systems involving the production of the transcript in hard or electronic form at the end of the day or even after a longer period of time are also used. The parties must make the necessary arrangements with one of the companies who provide this service. The court can provide a list, on request, of all companies who offer such a service. 15.3.2 In long trials or those which involve any significant amount of detailed or technical evidence, simultaneous transcripts are helpful. Furthermore, they enable all but the shortest trials to be conducted so as to reduce the overall length of the trial appreciably, since the judge does not have to note the evidence or submissions in longhand as the trial proceeds. Finally, a simultaneous transcript makes the task of summarising a case in closing submissions and preparing the judgment somewhat easier. It reduces both the risk of error or omission and the amount of time needed to prepare a reserved judgment. 15.3.3 If possible, the parties should have agreed at or before the PTR whether a simultaneous transcript is to be employed. It is usual for parties to agree to share the cost of a simultaneous transcript as an interim measure pending the assessment or agreement of costs, when this cost is assessable and payable as part of the costs in the case. Sometimes, a party cannot or will not agree to an interim cost sharing arrangement. If so, it is permissible for one party to bear the cost, but the court cannot be provided with a transcript unless all parties have equal access to the transcript. Unlike transcripts for use during an appeal, there is no available means of obtaining from public funds the cost of a transcript for use at the trial. 15.4.1 Generally trials in the TCC are conducted under some form of time limit arrangement. Several variants of time limit arrangements are available, but the TCC has developed the practice of imposing flexible guidelines in the form of directions as to the sharing of the time allotted for the trial. These are not mandatory but an advocate should ordinarily be expected to comply with them. 15.4.2 The practice is, in the usual case, for the court to fix, or for the parties to agree, at the PTR or before trial an overall length of time for the trial and overall lengths of time within that period for the evidence and submissions. The part of those overall lengths of time that will be allocated to each party must then be agreed or directed. 15.4.3 The amount of time to be allotted to each party will not usually be the same. The guide is that each party should have as much time as is reasonably needed for it to present its case and to test and cross examine any opposing case, but no longer. 15.4.4 Before the trial, the parties should agree a running order of the witnesses and the approximate length of time required for each witness. A trial timetable should be provided to the court when the trial starts and, in long trials, regularly updated. 15.4.5 The practice of imposing a strict guillotine on the examination or cross examination of witnesses, is not normally appropriate. Flexibility is encouraged, but the agreed or directed time limits should not ordinarily be exceeded without good reason. It is unfair on a party, if that party’s advocate has confined cross-examination to the agreed time limits, but an opposing party then greatly exceeds the corresponding time limits that it has been allocated. 15.4.6 An alternative form of time limit, which is sometimes agreed between the parties and approved by the court, is the “chess clock arrangement”. The available time is divided equally between the parties, to be used by the parties as they see fit. Thus each side has X hours. One representative on each side operates the chess clock. The judge has discretion “to stop the clock” in exceptional circumstances. A chess clock arrangement is only practicable in a two-party case. 15.5.1 Evidence in chief is ordinarily adduced by the witness confirming on oath the truth and accuracy of the previously served witness statement or statements. A limited number of supplementary oral questions will usually be allowed (a) to give the witness an opportunity to become familiar with the procedure and (b) to cover points omitted by mistake from the witness statement or which have arisen subsequent to its preparation. 15.5.2 In some cases, particularly those involving allegations of dishonest, disreputable or culpable conduct or where significant disputes of fact are not documented or evidenced in writing, it is desirable that the core elements of a witness’s evidence-in-chief are given orally. The giving of such evidence orally will often assist the court in assessing the credibility or reliability of a witness. 15.5.3 If any party wishes such evidence to be given orally, a direction should be sought either at the PTR or during the openings to that effect. Where evidence in chief is given orally, the rules relating to the use of witness statements in cross-examination and to the adducing of the statement in evidence at any subsequent stage of the trial remain in force and may be relied on by any party. 15.5.4 It is usual for all evidence of fact from all parties to be adduced before expert evidence and for the experts to give evidence in groups with all experts in a particular discipline giving their evidence in sequence. Usually, but not invariably, the order of witnesses will be such that the claimant’s witnesses give their evidence first, followed by all the witnesses for each of the other parties in turn. If a party wishes a different order of witnesses to that normally followed, the agreement of the parties or a direction from the judge must be obtained in advance. 15.5.6 The coaching of witnesses or the suggestion of answers that may be given, before that witness starts to give evidence, is not permitted. Any prior discussion between the lawyers and the witness about the giving of evidence should be confined to factual information about the evidence-giving process. In short, witness familiarisation is permissible, but witness coaching is not. The boundary between witness familiarisation and witness coaching is discussed by the Court of Appeal in R v Momodou [2005] EWCA Crim 177 at [61] – [62]. Once a witness has started giving evidence, he cannot discusss the case or his evidence either with the lawyers or with anyone else until he has finally left the witness box. Occasionally a dispensation is needed (for example, an expert may need to participate in an experts’ meeting about some new development). In those circumstances the necessary dispensation will either be agreed between the advocates or ordered by the judge. 15.6.1 Submissions and legal argument should be kept to a minimum during the course of the trial. Where these are necessary, (a) they should, where possible, take place when a witness is not giving evidence and (b) the judge should be given forewarning of the need for submissions or legal argument. Where possible, the judge will fix a time for these submissions outside the agreed timetable for the evidence. 15.7.1 The appropriate form of closing submissions can be determined during the course of the trial. Those submissions may take the form of (a) oral closing speeches or (b) written submission alone or (c) written submissions supplemented by oral closing speeches. In shorter or lower value cases, oral closing speeches immediately after the evidence may be the most cost effective way to proceed. Alternatively, if the evidence finishes in the late afternoon, a direction for written closing submissions to be delivered by specified (early) dates may avoid the cost of a further day’s court hearing. In longer and heavier cases the judge may (in consultation with the advocates) set a timetable for the delivery of sequential written submissions (alternatively, an exchange of written submissions) followed by an oral hearing. In giving directions for oral and/or written closing submissions, the judge will have regard to the circumstances of the case and the overriding objective. 15.7.2 It is helpful if, in advance of preparing closing submissions, the parties can agree on the principal topics or issues that are to be covered. It is also helpful for the written and oral submissions of each party to be structured so as to cover those topics in the same order. 15.7.3 It is both customary and helpful for the judge to be provided with a photocopy of each authority and statutory provision that is to be cited in closing submissions. 15.8 Views 15.8.1 It is sometimes necessary or desirable for the judge to be taken to view the subject-matter of the case. In normal circumstances, such a view is best arranged to take place immediately after the openings and before the evidence is called. However, if the subject matter of the case is going to be covered up or altered prior to the trial, the view must be arranged earlier. In that event, it becomes particularly important to avoid a change of judge. Accordingly, the court staff will note on the trial diary the fact that the assigned judge has attended a view. In all subsequent communications between the parties and court concerning trial date, the need to avoid a change of judge must be borne firmly in mind. 15.8.2 The matters viewed by the judge form part of the evidence that is received and may be relied on in deciding the case. However, nothing said during the view to (or in the earshot of) the judge, has any evidential status, unless there has been an agreement or order to that effect. 15.8.3 The parties should agree the arrangements for the view and then make those arrangements themselves. The judge will ordinarily travel to the view unaccompanied and, save in exceptional circumstances when the cost will be shared by all parties, will not require any travelling costs to be met by the parties. 15.9 Judgments 15.9.1 Depending on the length and complexity of the trial, the judge may (a) give judgment orally immediately after closing speeches; (b) give judgment orally on the following day or soon afterwards; or (c) deliver a reserved judgment in writing at a later date. 15.9.2 Where judgment is reserved. The judge will normally indicate at the conclusion of the trial what arrangements will be followed in relation to (a) the making available of any draft reserved judgment and (b) the handing down of the reserved judgment in open court. If a judgment is reserved, it will be handed down as soon as possible. Save in exceptional circumstances, any reserved judgment will be handed down within 3 months of the conclusion of the trial. Any enquiries as to the progress of a reserved judgment should be addressed in the first instance to the judge’s clerk, with notice of that enquiry being given to other parties. If concerns remain following the judge’s response to the parties, further enquiries or communication should be addressed to the judge in charge of the TCC. 15.9.3 If the judge decides to release a draft judgment in advance of the formal hand down, this draft judgment will be confidential to the parties and their legal advisers. Solicitors and counsel on each side should send to the judge a note (if possible, agreed) of any clerical errors or slips which they note in the judgment. However, this is not to be taken as an opportunity to re-argue the issues in the case. 15.10 Disposal of judge’s bundle after conclusion of the case 15.10.1 The judge will have made notes and annotations on the bundle during the course of the trial. Accordingly, the normal practice is that the entire contents of the judge’s bundle are disposed of as confidential waste. The empty ring files can be recovered by arrangement with the judge’s clerk. 15.10.2 If any party wishes to retrieve from the judge’s bundle any particular items of value which it has supplied (e.g. plans or photographs), a request for these items should be made to the judge’s clerk promptly at the conclusion of the case. If the judge has not made annotations on those particular items, they will be released to the requesting party. 16.2 Summary Assessment of Costs 16.2.1 Interlocutory hearings that last one day or less will usually be the subject of a summary assessment of costs in accordance with CPR 44.7 and section 13 of the Costs Practice Direction. The parties must ensure that their statements of costs, on which the summary assessment will be based, are provided to each other party, and the Court, no later than 24 hours before the hearing in question: see paragraph 6.9.3 above. 16.2.2 The Supreme Court Costs Office Guide to the Summary Assessment of Costs sets out clear advice and guidance as to the principles to be followed in any summary assessment. Generally summary assessment proceeds on the standard basis. In making an assessment on the standard basis, the court will only allow a reasonable amount in respect of costs reasonably incurred and any doubts must be resolved in favour of the paying party. 16.2.3 In arguments about the hourly rates claimed, the judge will have regard to the principles set out by the Court of Appeal in Wraith v Sheffield Forgemasters Ltd [1998] 1 WLR 132: i.e. the judge will consider whether the successful party acted reasonably in employing the solicitors who had been instructed and whether the costs they charged were reasonable compared with the broad average of charges made by similar firms practising in the same area. 16.2.4 In addition, when considering hourly rates, the judge in the TCC may have regard to the guideline rates published from time to time by TecSA. 16.2.5 The court will also consider whether unnecessary work was done or an unnecessary amount of time was spent on the work. 16.3.1 In exercising case management powers, the judge may make costs cap orders which, in normal circumstances, will be prospective only. He should only do so, however, where there is a real and substantial risk that, without such an order: a costs will be disproportionately or unreasonably incurred and b such costs cannot be controlled by conventional case management and a detailed assessment of costs after a trial, and c it is just to make such an order. See CPR rule 3.1 and the notes to that rule in the White Book headed “Prospective costs cap orders”. 16.3.2 The possibility of a costs cap order should be considered at the first CMC. The later such an order is sought, the more difficult it may be to impose an effective costs cap. Section 17. Enforcement 17.1.1 The TCC is concerned with the enforcement of judgments and orders given by the TCC and with the enforcement of adjudicators’ decisions and arbitrators’ awards. Adjudication and arbitration enforcement have been dealt with in, respectively, sections 9 and 10 above. 17.2.2 Outside London. Where the judgment or order in respect of which enforcement is sought was made by a judge of the TCC out of London, the party seeking enforcement should use the Registry of the court in which the judgment or order was made. 17.2.3 Where orders are required or sought to support enforcement of a TCC judgment or order, a judge of the TCC is the appropriate judge for that purpose. If available, the judge who gave the relevant judgment or made the relevant order is the appropriate judge to whom all applications should be addressed. 17.4.1 Where the application or order is unopposed or does not involve any substantial dispute, the necessary order should be sought by way of a paper application. Appendix A Case management information sheet Appendix B Case management directions form Appendix C Pre-trial review questionnaire Appendix D Contact details for courts dealing with TCC claims Appendix E Draft ADR Order Appendix F Draft directions order in adjudication enforcement proceedings Appendix A Case Management Information Sheet This Appendix is the same as Appendix A to the Part 60 Practice Direction [http://www.dca.gov.uk/civil/procrules_fin/contents/practice_directions/pd_part60.htm]. In electronic versions of the TCC Guide it is not possible to copy this Appendix. Practitioners should refer either to the Part 60 Practice Direction or to published hard copies of this Guide. Appendix B Case Management Directions Form Action no HT-…………. Delete or amend the following directions, as appropriate to the circumstances of the case. 1 Trial date ……………….. For the purposes of payment of the trial fee, but for no other purposes, this date is provisional. This date will cease to be provisional and the trial fee will become payable on … [usually be 2 months before the trial date]. 2 Estimated length of trial ………………. 3 Directions, if appropriate, (a) for the trial of any preliminary issues or (b) for the trial to be divided into stages … 4 This action is to be [consolidated] [managed and tried with] action no … The lead action shall be … All directions given in the lead action shall apply to both actions, unless otherwise stated. 5 Further statements of case shall be filed and served as follows: • Defence and any counterclaim by 4 p.m. on … • Reply (if any) and defence to counterclaim (if any) by 4 p.m. on … 6 Permission to make the following amendments … 7 Disclosure of documents by 5 p.m. on … [Standard disclosure dispensed with/ limited/ varied as follows …]. Specific directions in respect of electronic disclosure … 8 There shall be a Scott Schedule in respect of defects/ items of damage/ other … • The column headings shall be as follows … • Claimant/ defendant to serve Scott Schedule by 5 p.m. on … • Defendant/ claimant to respond to Scott Schedule by 5 p.m. on … 9 Signed statements of witnesses of fact to be served by 5 p.m. on … 10 [Supplementary statements of witnesses of fact to be served by 5 p.m. on …] 11 The parties have permission to call the following expert witnesses in respect of the following issues: • … • … • … 12 In respect of any expert evidence permitted under paragraph 10: • Directions for carrying out inspections/ taking samples/ conducting experiments/ performance of calculations shall be … • Experts in like fields to hold discussions in accordance with rule 35.12 by … • Experts’ statements rule 35.12 (3) to be prepared and filed by 5 p.m. on … • Experts’ reports to be served by 5 p.m. on … 13 A single joint expert shall be appointed by the parties to report on the following issue(s) …. The following directions shall govern the appointment of the single joint expert: • …. • …. 14 The following documents shall be provided to the court electronically or in computer readable form, as well as in hard copy … 15 A review case management conference shall be held on … at …a.m./ p.m. Time allowed … 16 The pre-trial review shall be held on … at ... a.m./p.m. Time allowed … 17 The above dates and time limits may be extended by agreement between the parties. Nevertheless: • The dates and time limits specified in paragraphs … may not be extended by more than … days without the permission of the court. • The dates specified in paragraph 1 (trial) and paragraph 15 (pre-trial review) cannot be varied without the permission of the court. 18 Liberty to restore. 19 Costs in the case. 20 Claimant’s solicitors to draw up this order by … [Delete if order is to be drawn up by the court.] Back to top Appendix C Pre-Trial Review Questionnaire This Appendix is the same as Appendix C to the Part 60 Practice Direction [http://www.dca.gov.uk/civil/procrules_fin/contents/practice_directions/pd_part60.htm#IDA3JGWB]. In electronic versions of the TCC Guide it is not possible to copy this Appendix. Practitioners should refer either to the Part 60 Practice Direction or to published hard copies of this Guide. Appendix D Contact Details for Technology and Construction Court The High Court of Justice, Queen’s Bench Division, Technology and Construction Court St Dunstan’s House 133-137 Fetter Lane London EC4A 1HD (a) Management Court Manager: Mr Steven Gibbon Case Administration Unit Manager/Registry Manager: Steven Gibbon (xxxxxx.xxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx) Registry: Tel: 020 7947 6022 Fax: 020 7947 7428 Case Administration Unit: Tel: 020 7947 7156 Fax: 020 7947 6465 (b) TCC Judges Mr Justice Ramsey Clerk: Mr David Hamilton (xxxxx.xxxxxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx) Tel: 0207 947 6331 Fax: 0207 073 4701 Mr Justice Jackson (until replaced) Clerk: Olivia Jay (xxxxxx.xxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx) Tel: 0207 947 6484 His Honour Judge Anthony Thornton QC Clerk: Ms Anne Farrelly (xxxx.xxxxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx) Tel: 020 7947 6457 His Honour Judge David Wilcox Clerk: Ms Pam Gilham (xxxxxx.xxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx) Tel: 020 7947 6450 His Honour Judge John Toulmin CMG QC Clerk: Steven Gibbon (xxxxxx.xxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx) Tel:020 7947 6498 His Honour Judge Peter Coulson QC Clerk: Mr Steve Jones (xxxxxxx.xxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx) Tel: 020 7947 6547 • The following five High Court Judges will be available, when necessary and by arrangement with the Vice-President of the Queen’s Bench Division, to sit in the TCC: Mr Justice Burton Mr Justice Elias Mr Mr Justice Field Mr Justice Ouseley Mr Justice Simon Mr Justice Christopher Clarke Mr Justice Teare • The Case Administration Unit, headed by Steven Gibbon, administers cases classified as “HCJ” (see section 3.7 of guide). Birmingham District Registry: Birmingham County Court 33 Bull Street Birmingham West Midlands B4 6DS TCC listing and clerk to HH Judge Kirkham: Peter Duke (xxxxx.xxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx) Tel: 0121 681 3181 Fax: 0121 681 3121 TCC Judges Her Honour Judge Frances Kirkham (full time TCC Judge) His Honour Judge Stephen Davies (Half TCC & half County Court) His Honour Judge Simon Brown QC (Mercantile Judge) Her Honour Judge Caroline Alton (Mercantile Judge) His Honour Judge Alastair Norris Q.C (Chancery Judge) His Honour Judge Charles Purle QC (Chancery Judge) Other judges in Birmingham who have been nominated to deal with TCC business are: His Honour Judge MacDuff Q.C. Bristol District Registry: Bristol County Court TCC Listing Office The Law Courts Small Street Bristol BS1 1DA TCC Listing officers: Dan Cuthbertson and Priya Patel Email: xxxxxxxxxxxxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx Tel: 0117 910 6700 Fax: 0117 910 6727 TCC Judges His Honour Judge Mark Havelock-Allan QC (principal TCC judge) His Honour Judge Patrick McCahill QC Cardiff District Registry: Cardiff County Court Cardiff Civil Justice Centre 2 Park Street Cardiff CF10 1 ET Main switchboard: 02920 376 400 Fax: 02920 376 475 Listing office: 02920 376 412 Circuit Judges Listing Manager: Graham Driver Tel: 02920 376483, xxxxxx.xxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx Specialist Listing Officer: Tracey Davies Tel: 02920 376412, xxxxxx.xxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx TCC Judges His Honour Judge Gary Hickinbottom (principal TCC judge) His Honour Judge Nicholas Chambers QC Central London Civil Justice Centre 26 Park Crescent, London WIN 4HT Listing office for TCC, Chancery and Mercantile Courts Tel: 0207 917 7932 / 7933 Chancery and Specialist Section Manager: Ms Kathlyn Antoine Tel: 0207 917 7889/ 7821 Fax: 0207 917 7935 TCC Judges His Honour Judge Brian Knight QC (principal TCC judge) His Honour Judge Paul Collins CBE His Honour Judge Edward Bailey Chester District Registry: Chester County Court The Chester Civil Justice Centre Trident House Little St John Street Chester CH1 1SN< br/> Diary Manager: Julie Burgess Email: xxxxx.xxxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx Tel: 01244 404200 Fax: 01244 404300 TCC Judge HIS HONOUR JUDGE DEREK HALBERT Exeter District Registry: Exeter County Court Southernhay Gardens Exeter Devon England EX1 1UH Tel: 01392 415350 Fax: 01392 415645 TCC Judge His Honour Judge Jeremy Griggs Leeds Combined Court Centre The Courthouse Oxford Row Leeds LS1 3BG High Court Civil Listing Officers: David Eaton and Terence Pendlebury Tel: 0113 306 2440/2441 Fax: 0113 242 6380 e-mail: xxxxx.xxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx TCC Judges His Honour Judge John Cockroft (principal TCC judge) His Honour Judge John Behrens His Honour Judge Peter Langan QC His Honour Judge Simon Grenfell His Honour Judge Simon Hawkesworth QC His Honour Judge Kaye QC Leicester District Registry: Leicester County Court 90 Wellington Street Leicester LE1 6HG Tel : 0116 222 5700 Fax: 0116 222 5763 TCC Judge His Honour Judge David Brunning Liverpool District Registry: Liverpool Combined Court Centre Liverpool Civil & Family Courts 35 Vernon Street Liverpool L2 2BX TCC listing officer: Jackie Jones Tel: 0151 296 2444 Fax: 0151 295 2201 TCC Judges HIS HONOUR JUDGE DAVID MAKAY (full time TCC judge) His HIS HONOUR STEPHEN STEWART JUDGE QC His Honour Judge Graham Platt Mold County Court Law Courts Civic Centre Mold Flintshire Wales CH7 1AE TCC listing officer: Selina Wilkes Tel: 01352 707405 Fax: 01352 753874 TCC Judges Will attend from Cardiff when required Newcastle upon Tyne Combined Court Centre The Law Courts Quayside Newcastle upon Tyne NE1 3LA Tel: 0191 201 2029 Listing Officer: Mrs Carol Gallagher xxxxx.xxxxxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx Tel: 0191 201 2047 Fax: 0191 201 2001 TCC Judges His Honour Judge Christopher Walton District Judge Atherton Nottingham District Registry: Nottingham County Court 60 Canal Street Nottingham NG1 7EJ Tel 0115 910 3500 Fax: 0115 910 3510 TCC Judge His Honour Judge Richard Inglis Salford District Registry: SalfordCounty Court Prince William House Peel Cross Road Salford M5 4RR TCC clerks: Isobel Rich and David Fernandez Tel: 0161 745 7511 Fax: 0161 745 7202 e-mail: xxxxxxxx@xxxxxxx.xxxxxxxxxxx.xxx.xxx.xx TCC Judges His Honour Judge David Gilliland QC (full time TCC judge) His Honour Judge Philip Raynor QC (full time TCC judge) The following judges at Manchester are nominated to deal with TCC business: His Honour Judge Brendan Hegarty QC, His Honour Judge David Hodge QC, His Honour Judge Mark Pelling QC and His Honour Judge David Waksman QC. Sheffield Combined Court Centre The Law Courts 50 West Bar Sheffield S3 8PH Tel: 0114 281 2419 Fax: 0114 281 2585 TCC Judge His Honour Judge John Bullimore Winchester Combined Court Centre The Law Courts Winchester Hampshire SO23 9EL Diary Manager: Mr Wayne Hacking – email xxxxx.xxxxxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx Tel: 023 8021 3254 Civil Listing Officer: Mrs Karen Hart – email xxxxx.xxxx@xxxxxxxxxxxxxxxx.xxx.xxx.xx Tel: 01962 814 113 Switchboard: 01962 814100 Fax: 01962 814260 TCC Judge His Honour Judge Iain Hughes QC Back to top Appendix E Draft ADR Order 1 By [ ] the parties shall exchange lists of three neutral individuals who have indicated their availability to conduct a mediation/ENE in this case prior to [ ]. 2 By [ ] the parties shall agree an individual from the exchanged lists to conduct the mediation/ENE by [ ]. If the parties are unable to agree on the neutral individual, they will apply to the Court in writing by [ ] and the Court will choose one of the listed individuals to conduct the mediation/ENE. 3 There will be a stay of the proceedings until [ ] to allow the mediation/ENE to take place.On or before that date, the Court shall be informed as to whether or not the case has been finally settled. If it has not been finally settled, the parties will: a comply with all outstanding directions made by the Court; b attend for a review CMC on [ ]. Appendix F Draft Directions in Adjudication Enforcement Proceedings Upon reading the Claim Form, Particulars of Claim, the Claimant’s without notice application dated the day of 200 and the evidence in support thereof IT IS ORDERED THAT: 1 The Claimant’s solicitor shall [as soon as practicable after receipt of this Order/ by 4pm on day of ] serve upon the Defendant a The Claim Form and Response Pack b This Order c The Claimant’s Application Pursuant to Part 24 and the Claimant’s evidence in support. 2 The time for the Defendant to file its acknowledgement of service is abridged to [ ] days. 3 The Claimant hereby has permission to issue an application pursuant to CPR Part 24 without an acknowledgement of service or Defence having been filed. 4 The Part 24 application will be heard on the day of at am/pm at .Estimated Length of Hearing hours] 5 Any further evidence in relation to the Part 24 Application shall be served and filed a By the Defendant, [14 days after the service of the documents in Paragraph 1 above/ at least 5 working days before the date fixed for the hearing of the Application] [on day the day of ] b By the Claimant, in response to that of the Defendant, [at least 3 working days before the date fixed for the hearing of the Application] [on day the day of 200 ] and in either case no later than 4.00pm upon that day. 6 The Claimant’s solicitor shall file a paginated bundle comprising a The witness statements provided in support of the application, together with any exhibits; b The witness statements provided in opposition to the application together with exhibits; c Any witness statements in reply, together with exhibits; d Photocopies of relevant authorities. This bundle is to be provided no later than [2 working days before the hearing of the Application] [on day of ]. 7 The parties shall file and serve skeleton arguments by no later than [4.00pm one clear working day before the hearing/ 1pm the last working day before the hearing]* [on day the day of ] 8 The costs of and incidental to these directions are reserved to the Part 24 hearing. Permission to apply in respect of such costs in the absence of such hearing. 9 The parties have permission to apply to the court on 48 hours written notice to the other to seek to set aside or vary these directions. * Depending whether the hearing is estimated to last in excess of ½ day or not Yours sincerely, fred robinson -----Original Message----- This is an automatically generated Delivery Status Notification. Delivery to the following recipients failed. CUSTOMERSERVICECSHQ+AEA-HMCOURTS-SERVICE.GSI.GOV.UK This e-mail (and any attachment) is intended only for the attention of the addressee(s). 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