Case management and pre-trial hearings - Pre-trial applications and notices

Learning Outcomes

After reading this article, you will be able to explain the purpose and process of case management and pre-trial hearings in criminal proceedings, including the function and types of pre-trial applications and notices, the importance of disclosure, and the principles guiding bail decisions. You will also be able to identify the key procedural steps and legal requirements for pre-trial hearings, and apply these principles to SQE1-style scenarios.

SQE1 Syllabus

For SQE1, you are required to understand the practical and procedural aspects of case management and pre-trial hearings in criminal litigation. Focus your revision on:

  • the purpose and structure of case management hearings and pre-trial applications
  • the types and requirements of pre-trial applications and notices (e.g., applications to dismiss, exclude evidence, or stay proceedings)
  • the rules and principles governing disclosure of evidence by prosecution and defence
  • the process and criteria for bail decisions before trial
  • the court’s powers to issue directions and manage the progress of a criminal case

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. Which legal test applies when a defendant applies to dismiss charges before trial in the Crown Court?
  3. What are the key factors a court considers when deciding whether to grant bail before trial?
  4. When must the prosecution disclose unused material to the defence?

Introduction

Effective case management and pre-trial hearings are essential for ensuring that criminal trials proceed fairly, efficiently, and in accordance with the law. Pre-trial applications and notices allow parties to resolve procedural and evidential issues before the trial begins, reducing delays and safeguarding the rights of both the prosecution and defence. For SQE1, you must understand the structure, purpose, and legal requirements of these processes, including the management of disclosure, the making of pre-trial applications, and the principles guiding bail decisions.

Case Management and Pre-Trial Hearings: Overview

Case management in criminal proceedings refers to the court’s active role in directing the progress of a case before trial. The court ensures that all parties comply with procedural rules, that evidence is disclosed on time, and that any legal or evidential issues are addressed early. This is achieved through a series of pre-trial hearings and applications.

Key Term: case management The process by which the court and parties plan, direct, and monitor the progress of a criminal case to ensure a fair and efficient trial.

The Plea and Trial Preparation Hearing (PTPH)

The PTPH is a key pre-trial hearing in the Crown Court. Its main purposes are to take the defendant’s plea, identify the real issues in dispute, and set a timetable for the case. The court also gives directions for disclosure, witness attendance, and any further pre-trial applications.

Key Term: plea and trial preparation hearing (PTPH) A hearing in the Crown Court where the defendant enters a plea, the court manages the case, and directions are given for trial preparation.

Worked Example 1.1

A defendant is charged with burglary and appears at the Crown Court for a PTPH. The defendant pleads not guilty. What will the court do at this hearing?

Answer: The court will identify the issues in dispute, set a timetable for disclosure and service of evidence, give directions for witness attendance, and schedule any further pre-trial hearings if needed.

Pre-Trial Applications and Notices

Pre-trial applications are formal requests made to the court before trial to resolve legal or procedural issues. Common applications include:

  • Applications to dismiss charges (Crown Court only)
  • Applications to exclude evidence (e.g., under s.78 PACE)
  • Applications to stay proceedings for abuse of process
  • Applications for special measures for witnesses

Key Term: pre-trial application A formal request made to the court before trial to resolve a legal or procedural issue, such as dismissing charges or excluding evidence.

Key Term: pre-trial notice A formal notification to the court and other parties of an intention to rely on certain evidence or make a specific application before trial.

Worked Example 1.2

The defence believes that the prosecution’s evidence is insufficient to support a conviction. What pre-trial application can they make in the Crown Court, and what is the legal test?

Answer: The defence can apply to dismiss the charges. The judge will consider whether the prosecution evidence could lead a properly directed jury to convict. If not, the charges may be dismissed.

Disclosure Obligations

Disclosure is a central part of pre-trial procedure. The prosecution must disclose any material that might reasonably be considered capable of undermining the prosecution case or assisting the defence. The defence may also be required to serve a defence statement and disclose details of witnesses.

Key Term: disclosure The process by which the prosecution and defence provide each other with evidence and information relevant to the case before trial.

Worked Example 1.3

The prosecution receives new evidence after initial disclosure that may assist the defence. What must the prosecution do?

Answer: The prosecution has a continuing duty to disclose any material that may assist the defence, even after initial disclosure. The new evidence must be disclosed as soon as reasonably practicable.

Bail Decisions Before Trial

Bail is the release of a defendant from custody pending trial, subject to conditions. The court must consider the seriousness of the offence, the defendant’s character and history, the risk of absconding, and the likelihood of interfering with witnesses or evidence.

Key Term: bail The temporary release of a defendant from custody before trial, usually subject to conditions, while awaiting further proceedings.

Case Management Directions

At pre-trial hearings, the court issues directions to ensure the case is ready for trial. These may include deadlines for disclosure, service of evidence, and arrangements for witnesses or special measures.

Key Term: case management direction An order made by the court to control the progress of a criminal case, such as setting deadlines for disclosure or evidence.

Common Pre-Trial Applications

Applications to Dismiss

In the Crown Court, the defence may apply to dismiss charges if the prosecution evidence is insufficient. The judge will consider whether there is evidence on which a jury could properly convict.

Applications to Exclude Evidence

The defence may apply to exclude evidence if its admission would have an adverse effect on the fairness of proceedings (e.g., under s.78 PACE).

Applications to Stay Proceedings

If continuing with the case would be unfair or an abuse of process (e.g., due to serious delay or misconduct by authorities), the defence may apply to stay proceedings.

Applications for Special Measures

Applications can be made for special measures to support vulnerable or intimidated witnesses, such as giving evidence by video link.

The Importance of Timely Disclosure and Applications

Timely disclosure and early resolution of legal issues are essential for a fair trial. Delays or failures in disclosure can lead to adjournments, wasted costs, or even the exclusion of evidence.

Exam Warning

Failure to comply with disclosure obligations or case management directions can result in sanctions, including exclusion of evidence, adjournment, or costs orders. Always check deadlines and requirements.

Summary

Case management and pre-trial hearings ensure that criminal cases are prepared efficiently and fairly. Pre-trial applications and notices allow parties to resolve legal and procedural issues before trial, including applications to dismiss, exclude evidence, or stay proceedings. Disclosure is a continuous duty, and the court’s directions must be followed to avoid delays or unfairness. Bail decisions are made with reference to statutory criteria and risk factors.

Key Point Checklist

This article has covered the following key knowledge points:

  • The purpose and structure of case management and pre-trial hearings in criminal proceedings
  • The types and requirements of pre-trial applications and notices
  • The legal framework and process for disclosure by prosecution and defence
  • The criteria and process for bail decisions before trial
  • The court’s powers to issue case management directions and manage the progress of a case
  • The consequences of failing to comply with disclosure or directions

Key Terms and Concepts

  • case management
  • plea and trial preparation hearing (PTPH)
  • pre-trial application
  • pre-trial notice
  • disclosure
  • bail
  • case management direction
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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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