Case management and pre-trial hearings - Plea and Trial Preparation Hearing (PTPH)

Learning Outcomes

After reading this article, you will be able to explain the purpose and structure of the Plea and Trial Preparation Hearing (PTPH) in the Crown Court, identify the main procedural steps and legal requirements, understand the roles of the parties and the judge, and apply the relevant case management and disclosure rules to SQE1-style scenarios.

SQE1 Syllabus

For SQE1, you are required to understand the function and process of the PTPH in the context of criminal litigation. In your revision, focus on:

  • the purpose and structure of the PTPH in the Crown Court
  • the court’s case management powers and duties under the Criminal Procedure Rules (CrimPR)
  • the obligations of the prosecution and defence regarding disclosure and trial readiness
  • the judge’s role in issuing directions and managing the timetable for trial
  • the professional conduct and strategic considerations for solicitors at the PTPH

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

  1. What is the main purpose of a Plea and Trial Preparation Hearing (PTPH) in the Crown Court?
  2. When must the prosecution comply with its initial disclosure obligations in the Crown Court process?
  3. What are the possible outcomes if a defendant pleads guilty at the PTPH?
  4. Who is responsible for setting the timetable and issuing directions for trial preparation at the PTPH?

Introduction

The Plea and Trial Preparation Hearing (PTPH) is a mandatory pre-trial hearing in the Crown Court for all cases sent for trial. Its main aim is to ensure that cases are managed efficiently, issues are identified early, and all parties are prepared for trial. The PTPH is governed by the Criminal Procedure Rules (CrimPR) and is a key feature of modern case management in criminal litigation.

The Purpose and Structure of the PTPH

The PTPH is designed to:

  • take the defendant’s plea on each count of the indictment
  • identify the real issues in dispute
  • set a clear timetable for trial preparation
  • ensure compliance with disclosure obligations
  • issue directions to both parties to ensure the case is trial-ready

Key Term: Plea and Trial Preparation Hearing (PTPH) A pre-trial hearing in the Crown Court where the defendant enters a plea, the court manages the case, and directions are given to prepare for trial.

Case Management at the PTPH

The PTPH is the central point for case management in the Crown Court. The judge actively manages the case, using powers under CrimPR Part 3, to ensure that the overriding objective—dealing with cases justly—is achieved.

Key Term: case management The process by which the court and parties ensure a criminal case is prepared and conducted efficiently, with early identification of issues and active judicial oversight.

The court will:

  • require the prosecution and defence to complete a case management form or questionnaire
  • set deadlines for service of evidence, disclosure, and any pre-trial applications
  • determine the estimated trial length and fix a trial date or place the case in a warned list
  • address any applications for special measures or interpreters

Plea Entry and Immediate Consequences

At the PTPH, the defendant is arraigned—each count of the indictment is read and a plea is taken.

  • If the defendant pleads guilty to any or all counts, the court may sentence immediately or adjourn for pre-sentence reports. The judge may give a Goodyear indication of likely sentence if requested.
  • If the defendant pleads not guilty, the court will proceed to trial preparation.

Key Term: arraignment The formal process at which the defendant is asked to plead guilty or not guilty to each charge in the indictment.

Early Identification of Issues

A key function of the PTPH is to clarify what is agreed and what is in dispute. The parties must:

  • identify the factual and legal issues for trial
  • indicate which witnesses are required and which evidence can be agreed
  • notify the court of any anticipated legal arguments (e.g., admissibility of evidence)

This allows the judge to give focused directions and avoid unnecessary delay.

Disclosure Duties

The PTPH is a critical stage for compliance with disclosure obligations.

  • The prosecution must confirm that initial disclosure of unused material has been served, or set a date for compliance.
  • The defence must indicate when a defence statement will be served (mandatory in the Crown Court), and provide details of any expert evidence or alibi.

Key Term: disclosure The process by which the prosecution and defence provide each other with material relevant to the case, including unused evidence that may assist or undermine either side.

Judicial Directions and Timetable

The judge will issue directions covering:

  • service of further evidence or expert reports
  • deadlines for defence statements and applications (e.g., special measures, bad character, hearsay)
  • arrangements for interpreters or intermediaries
  • trial date or warned list period

The judge may also order further case management hearings if the case is complex or not trial-ready.

Key Term: judicial directions Orders made by the court to the parties, setting out steps to be taken and deadlines to be met in preparation for trial.

Professional Conduct and Strategic Considerations

Solicitors must be fully prepared for the PTPH. This includes:

  • reviewing all prosecution evidence and unused material
  • advising the client on plea and the consequences of each option
  • identifying any disclosure issues or pre-trial applications
  • ensuring compliance with all directions and deadlines

Key Term: professional conduct The ethical and procedural standards required of solicitors, including duties to the court, the client, and compliance with procedural rules.

Outcomes and Further Hearings

If the case is not trial-ready, the judge may list a further case management hearing (FCMH) to resolve outstanding issues. The aim is to ensure that, by the time of trial, all directions have been complied with and the case can proceed without avoidable delay.

Worked Example 1.1

Scenario:
A defendant is sent to the Crown Court for burglary. At the PTPH, the defendant pleads not guilty. The prosecution has not yet served all CCTV evidence, and the defence has not provided a defence statement.

Question:
What steps will the judge take at the PTPH?

Answer:
The judge will set deadlines for the prosecution to serve the outstanding CCTV evidence and for the defence to serve a defence statement. The judge will also set a trial date and may schedule a further case management hearing if the case is not trial-ready.

Worked Example 1.2

Scenario:
At a PTPH, the prosecution applies for special measures for a vulnerable witness, and the defence wishes to challenge the admissibility of a confession.

Question:
How will these issues be managed at the PTPH?

Answer:
The judge will set a timetable for the special measures application and for any pre-trial legal arguments, such as a voir dire to determine the admissibility of the confession. Directions will be given for service of supporting evidence and responses.

Exam Warning

At the PTPH, failure to comply with disclosure or case management directions can result in wasted costs orders, adverse inferences, or exclusion of evidence. Always check deadlines and ensure all forms and applications are completed accurately.

Revision Tip

Prepare for the PTPH by reviewing the case management form, identifying all issues in dispute, and confirming compliance with disclosure obligations. Bring a checklist of outstanding tasks to the hearing.

Key Point Checklist

This article has covered the following key knowledge points:

  • The PTPH is a mandatory pre-trial hearing in the Crown Court for all cases sent for trial.
  • The judge actively manages the case, sets directions, and ensures compliance with the Criminal Procedure Rules.
  • The defendant enters a plea to each count; if not guilty, the court identifies issues and sets a timetable for trial preparation.
  • Disclosure obligations for both prosecution and defence are addressed at the PTPH.
  • Failure to comply with directions can lead to sanctions or delays.
  • Solicitors must be fully prepared, advise clients on plea, and ensure all procedural requirements are met.

Key Terms and Concepts

  • Plea and Trial Preparation Hearing (PTPH)
  • case management
  • arraignment
  • disclosure
  • judicial directions
  • professional conduct
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Pleased to share that I have successfully passed the SQE1 exam on 1st attempt. With SQE2 exempted, I’m now one step closer to getting enrolled as a Solicitor of England and Wales! Would like to thank my seniors, colleagues, mentors and friends for all the support during this grueling journey. This is one of the most difficult bar exams in the world to undertake, especially alongside a full time job! So happy to help out any aspirant who may be reading this message! I had prepared from the University of Law SQE Manuals and the AI powered MCQ bank from PastPaperHero.

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