Procedures and processes in criminal litigation - Case manag...

Learning Outcomes

This article outlines case management and pre-trial hearings in criminal litigation, including:

• The purposes, statutory foundations (CrimPR, CPIA), and principles for summary, either way, and indictable matters
• Magistrates’ court and Crown Court case management structures, standard directions, PET forms, and PTPH practice
• Trial preparation requirements: identification of issues, witness management and summonses, expert evidence procedures, and special measures for vulnerable participants
• Prosecution disclosure: initial and continuing duties, tests, timelines, and consequences of non-compliance
• Defence obligations: defence statements (Crown Court), witness notices, expert reports, and distinctions between magistrates’ and Crown Court procedures
• Practical and legal responses to non-compliance with court directions and disclosure, including evidential exclusion and procedural sanctions
• Application of these rules to realistic scenarios, focusing on timetabling, readiness for trial, and effective case progression

SQE2 Syllabus

For SQE2, you are required to understand pre-trial criminal litigation procedure, with a focus on the following syllabus points:

• The overriding objective of CrimPR 2020: dealing with criminal cases justly, including core aims and the duties on all participants to further this objective.
• Active case management duties imposed on the court and parties, including identifying issues, timetabling, and safeguarding witness and defendant rights.
• The structure, purpose, and standard content of trial preparation forms and case management directions, and their implementation in proceedings.
• The procedural frameworks for preparation for effective trial (PET) in magistrates’ courts, and Plea and Trial Preparation Hearings (PTPH) and further case management in the Crown Court.
• The law and procedure relating to disclosure, including the initial duty and continuing obligations placed upon the prosecution, the statutory tests for disclosure, and how the defence statement operates in both summary and indictable matters.
• The management of evidence, including procedures for the service of prosecution and defence evidence, dealing with expert evidence and special measures for vulnerable participants.
• The professional obligations of legal representatives, including duty to the court, client, and the ramifications for improperly advancing or resisting cases.

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 overriding objective of the Criminal Procedure Rules in criminal proceedings?
2. Give two examples of standard directions that may be included in a trial preparation form in the magistrates’ court.
3. When must the prosecution comply with its initial duty of disclosure in the Crown Court?
4. What is a PTPH and what are its key aims?

Introduction

Case management and pre-trial hearings in criminal cases are essential elements of English criminal procedure, providing fairness, efficiency, and transparency to proceedings. The development and enforcement of clear case preparation and management standards under the Criminal Procedure Rules (CrimPR) mean all parties have defined obligations to identify real issues early, comply with timetables, and keep cases moving toward just outcomes. This area is a core part of the SQE2 skills requirement, as it underpins the effectiveness of advocacy, advice, and overall case strategy in criminal practice.

Key Term: Criminal Procedure Rules (CrimPR)
The procedural code governing the conduct of all criminal cases in England and Wales, designed to secure the just, swift, and efficient management of criminal proceedings.

Key Term: Case management directions
Court orders made at or in advance of trial, setting out the steps to be taken by the parties—including deadlines for evidence and procedural applications—to ensure an effective and fair trial.

Key Term: Plea and Trial Preparation Hearing (PTPH)
A formal Crown Court hearing at which the defendant enters a plea, issues for trial are identified, directions for pre-trial preparation are given, and a timetable to trial is set.

Key Term: Disclosure
The legal duty (mainly for the prosecution) to provide the other party—primarily the defence—with any evidence that may undermine the case for the prosecution or assist the case for the defence. The defence also carries reciprocal obligations in some cases.

Case Management and the Criminal Procedure Rules

The Criminal Procedure Rules 2020 (CrimPR) set out the framework for criminal case management in England and Wales, making the overriding objective—to deal with criminal cases justly—the touchstone for all practice and decision-making. This means ensuring fairness for all—acquitting the innocent, convicting the guilty, balancing the rights of the parties, respecting the interests of victims, witnesses, and jurors, and resolving cases swiftly and proportionately.

Every participant, including the judiciary, prosecution, defence, and court staff, is obliged to further this objective. Courts are required to manage cases actively, with specific duties including:

• Early identification of the real issues in dispute, not just those arising at trial but at the first reasonable opportunity.
• Early identification and management of the needs of all witnesses, including any requirements for interpreters, intermediaries, live links, or other special measures.
• The prompt establishment of clear timetables for case progression, with responsibilities for each party clearly allocated and monitored.
• Ensuring parties comply with court directions and avoid unnecessary delay, using robust case management powers to keep proceedings on track.
• Encouraging the use of modern technology to facilitate efficient preparation, hearing, and communication.

Active management aims to achieve as much as possible at each hearing. The court will set realistic, enforceable timetables, drive engagement with pre-trial requirements, and discourage applications to adjourn or delay hearings save for good reason.

Worked Example 1.1

A defendant is accused of theft. At the first hearing, the court requires both sides to confirm which facts are disputed, states that prosecution evidence (CCTV, witness statements) must be served within 14 days, directs the defence to serve witness names and issues in dispute within a further 10 business days, and asks for any special measures or expert evidence applications within a set timetable.

Answer:
This illustrates standard case management: early identification of issues, setting deadlines for evidence and applications, and addressing witness needs.

CrimPR requires that any party recognizing a necessary procedure or step for managing the case effectively must notify the court and other participants at once. Timetable variations agreed between the parties must be notified to the court without delay. In the event of non-compliance, parties must expect robust enforcement action, which may include the limitation of evidence or a refusal to grant adjournments.

Case management is supported by case progression officers in most magistrates’ courts, who monitor compliance with directions and ensure hearings run efficiently.

Magistrates’ Court Case Management Directions

In the magistrates’ court, case management traditionally follows a defendant’s not guilty plea in either a summary or either way offence. The court will then issue a Preparation for Effective Trial (PET) form capturing:

• The parties’ summary of issues to be tried and the identification of what matters are in dispute.
• Confirmation of undisputed facts: these should be formally admitted to avoid unnecessary evidence at trial under s.10 Criminal Justice Act 1967.
• Service of prosecution evidence and unused material by a fixed date. This includes not just witness statements but also exhibits, CCTV, forensic reports, and any documentary evidence the prosecution intends to rely on. The court can specify deadlines for any further evidence the prosecution must serve.
• A requirement for the defence to provide details of intended witnesses—which include full names, addresses, and dates of birth—normally within 10 business days of prosecution compliance with its initial disclosure duty.
• Notice to the court and prosecution of any expert evidence the defence intends to call. This involves serving expert reports and details within timeframes that often mirror those set for the prosecution.
• Applications for special measures (e.g. for child, vulnerable, or intimidated witnesses under the Youth Justice and Criminal Evidence Act 1999) or for permission to adduce hearsay or bad character evidence.
• Arrangements for the attendance of witnesses, including application for the court to issue a witness summons where necessary to secure attendance.
• Early identification and timely resolution of legal or procedural issues such as fitness to plead, legal argument, or abuse of process applications.

Obligations under the PET process facilitate early and frank disclosure. The directions are designed not only to clarify the real issues for trial but also to enable the court to exercise its power to exclude evidence or prevent late reliance on evidence or arguments, save for in exceptional circumstances.

Worked Example 1.2

At a case management hearing, a defendant charged with common assault pleads not guilty. The magistrates order the CPS to serve all further statements within two weeks, require the defence to file written notice if they are calling an alibi witness, and warn both sides that applications to introduce new evidence at a late stage will only be granted for a good reason.

Answer:
The directions structure procedural fairness and emphasise the requirement for cooperation, setting timelines and making clear the consequences of non-compliance.

The PET form addresses procedural concerns such as the need for interpreters or intermediaries, readiness for trial, likely duration, and evidence to be agreed by admission and read (as opposed to heard live).

These directions are enforceable and continue to apply unless the court orders otherwise. Application to vary or extend deadlines must be justified and granted by the court.

Crown Court Case Management and the PTPH

For cases proceeding to the Crown Court (for either way offences sent for trial or indictable-only offences), management is anchored around the Plea and Trial Preparation Hearing (PTPH), which is generally listed within 28-35 days of transfer.

At the PTPH, the defendant is arraigned, i.e., the charges on the indictment are read and pleas are entered to each count. The court:

• Takes the defendant’s plea(s) to each count in the indictment.
• If a guilty plea is entered to any count, sentencing may proceed or be adjourned for pre-sentence or Newton hearings (where the factual basis of plea is in dispute).
• If a not guilty plea is entered, the court identifies the central issues for trial—clarifying disputed facts, legal points, and witness needs.
• Sets a bespoke case timetable covering service of evidence, submission of defence statements, expert evidence, special measures, applications regarding evidence (e.g. hearsay or bad character), and deadlines for raising legal arguments.
• Considers and, where needed, gives directions for the management, attendance, or special measures for witnesses, including the use of intermediaries, live links, and ground rules for questioning.
• Sets a fixed date or range for trial or places the case into a “warned list,” alerting parties to be on trial readiness standby.
• Issues further trial preparation directions where necessary, based on information about witness availability, likely length of trial, and any anticipated need for interpretation or adaptations.

Key Term: Arraignment
The formal process at which the charges in an indictment are put to the defendant in the Crown Court and a plea is entered to each count.

Key Term: Ground rules hearing
A pre-trial hearing to plan and regulate the questioning of vulnerable or intimidated witnesses, especially children, to safeguard fairness and quality of evidence.

Further case management hearings after the PTPH are only held where specifically necessary—such as if ground rules for vulnerable witness examination must be set, novel or complex legal issues have arisen, there is a material change of circumstances since PTPH, or there is non-compliance with existing directions.

Key Term: case management directions
Orders made by the court during or after pre-trial hearings, specifying the steps and deadlines for effective case progression and trial.

Worked Example 1.3

At a PTPH in a Crown Court case, the judge directs that prosecution must serve any further evidence within fourteen days, the defence must file a detailed defence statement and serve witness lists within 28 days, and all special measures and hearsay applications must be made at least three weeks before trial.

Answer:
These are tailored case management directions, reflecting the emphasis on early issue identification, timely disclosure, and minimising trial delays or disputed evidence.

If there is non-compliance with any direction, the court can take steps at the next hearing to ensure that the trial remains effective, including limiting witness evidence, restricting cross-examination, or, in extreme cases, refusing to admit late evidence.

Further Pre-Trial Hearings

Where disputes as to law, admissibility, or late-arising witness and procedural issues persist after directions at the PTPH, the Crown Court may fix further case management hearings. These are not routine, but reserved for circumstances where further directions or clarification are genuinely required to secure a fair and effective trial.

• For example, where the court needs to determine the admissibility of confession, bad character or hearsay evidence in advance of trial, such matters can be listed for resolution so that parties know the evidential position early.
• Ground rules hearings are increasingly common where child or vulnerable adult witnesses are giving evidence, with the judge actively controlling the nature, structure, and conduct of questioning.

The ethos throughout is party cooperation and notification of changes to the court as soon as they arise, not ambushing the opposition with fresh issues on the day of trial.

Disclosure Obligations

Disclosure ensures a fair trial by requiring that the defence is informed of relevant prosecution material and has ample opportunity to prepare their case. The statutory framework (Criminal Procedure and Investigations Act 1996 (CPIA) and Attorney General’s Guidelines on Disclosure) governs these fundamental duties.

Prosecution’s Initial and Continuing Duty

• The prosecution must disclose to the defence any material in their possession which is not relied on as used evidence but which “might reasonably be considered capable of undermining the case for the prosecution or of assisting the case for the accused.” This is an objective test that covers anything from inconsistent witness statements, CCTV, forensic evidence, or information that casts doubt on witness reliability.
• In summary-only and either way offences being tried in the magistrates’ court, initial disclosure must be made as soon as reasonably practicable after a not guilty plea is entered (CrimPR r.8.2).
• In the Crown Court, the prosecution must serve its initial disclosure as soon as is reasonably practicable after the case is sent, or after evidence is served on the accused, or after a plea is added to the indictment (CPIA s.3; CrimPR r.15.5).
• The duty is ongoing: if new material comes to light later in proceedings, and it meets the disclosure test, it must be served without delay, up to the conclusion of the case (CPIA s.7A).

If there is no such material for disclosure, a written confirmation to that effect should be given to the defence and the court.

• Material deemed sensitive (for example, relating to public interest immunity, police informants, or national security) is not automatically disclosable. The prosecution must apply to the court to withhold such information.

Defence Disclosure Duties

• In the magistrates’ court, there is no compulsory duty for the defence to serve a defence statement, but if the defence chooses to provide one, it must be served within 14 days of prosecution compliance with initial disclosure.
• In Crown Court proceedings, the service of a written defence statement is mandatory within 28 days of receipt of initial prosecution disclosure (CPIA s.5, s.6A). The defence statement must set out the nature of the defence, which facts are disputed, the reasons for dispute, and details of any intended alibi or witnesses.
• If the defence intends to call witnesses (other than themselves), it must submit their names, addresses, and dates of birth within 28 days of initial disclosure. The same timeline applies for service of any expert report.

Failure to serve a proper defence statement or witness notice in Crown Court proceedings may result in adverse inferences being drawn by the court or prosecution comment at trial. In summary cases, failure is not mandatory but can affect case strategy.

Public Interest Immunity and Withholding Disclosure

• The prosecution can apply for public interest immunity (“PII”) where disclosure is not in the public interest—such as to prevent the exposure of police informants or operational methods. The court decides whether the interests of justice require non-disclosure.
• In such cases, the prosecution must prepare a schedule of sensitive material and seek the court’s determination, with arguments heard in private if necessary.

Worked Example 1.4

A defendant in the Crown Court is charged with affray. After initial disclosure, the defence statement is served, arguing self-defence. Several weeks before trial, the prosecution locate a statement from a bystander contradicting their own main witness. They must immediately inform the defence and serve the statement.

Answer:
Ongoing prosecution disclosure requires that newly discovered, relevant statements that could aid the defence or undermine the prosecution must be disclosed, regardless of when found. Delay or failure can result in exclusion of evidence or impact the fairness of the trial.

Non-compliance with disclosure and case management obligations can result in the trial judge excluding evidence, drawing adverse inferences, or in some cases ordering a retrial if there is serious prejudice.

Consequences of Non-Compliance

• Where a party fails to comply with directions or statutory disclosure obligations, the court may refuse to admit evidence not previously served in line with the timetable, and may limit or exclude unfair or prejudicial material under the exclusionary powers (PACE 1984 s.78 or CrimPR).
• These consequences mean it is essential for legal representatives to keep robust case records, give notifications immediately of procedural issues or additional evidence, and act proactively to comply with all requirements.

Exam Warning: Non-compliance with either case management or disclosure requirements may lead to exclusion of evidence, adjournment refusals, wasted costs orders, or professional disciplinary consequences for the advocate.

Procedures for Reviewing and Amending Directions

• Directions imposed by the court are not inflexible, but any parties seeking to vary directions must apply to the court in advance and justify adjustment by reference to factual or legal necessity—last-minute variations risk being refused.
• The parties should monitor compliance regularly and communicate with each other and the court where issues arise.

Management of Witnesses, Evidence, and Special Measures

The court also expects active management of witness attendance, expert evidence, and any special measures for witnesses or defendants. Directions in the trial preparation process will therefore include:

• Service and exchange of lists of witnesses, with clear indication as to who will give evidence live and any who can be agreed by admission or statement.
• Arrangements for interpreters, intermediaries, or live links where clarity or vulnerability is an issue.
• Procedures for expert evidence, including joint meetings of experts and notification of report service deadlines.
• Special measures applications—e.g. screens, live link, evidence in private, removal of wigs and gowns, or intermediaries for child and vulnerable/intimidated witnesses. In the Crown Court, ground rules hearings may be scheduled specifically to plan for questioning and adaptions for vulnerable witnesses.
• Use of technology for the display and use of digital or electronic evidence.

Key Term: Special measures
Procedures put in place by the court to support vulnerable or intimidated witnesses or defendants, designed to improve the quality and accuracy of evidence during trial.

The trial preparation process is also designed to address agreements on facts, admissions under s.10 Criminal Justice Act 1967, and potential legal issues in advance, so as to narrow the matters truly in dispute and save court time.

Worked Example 1.5

In an either way offence tried before magistrates, both parties agree the existence of a key document but disagree on its interpretation. The court directs that the parties should formally admit the document’s authenticity, allowing the dispute to focus on its meaning.

Answer:
Agreeing facts in advance via written admissions streamlines proof at trial and ensures only contested matters are examined live, consistent with CrimPR objectives.

Professional Conduct: Duties Toward the Court and Clients

Practitioners advising or acting in criminal litigation must be constantly aware of the balance between duty to the client and overriding duty to the court and the administration of justice. A solicitor or barrister must not knowingly mislead the court or advance a case they know to be untrue, even where acting in a client’s best interests.

• The duty to further the overriding objective—the fair and effective administration of justice—takes precedence.
• If a client discloses facts amounting to guilt but instructs a not guilty plea, counsel may continue to act but is strictly limited to putting the prosecution to proof and cannot conduct the defence by advancing a positive case known to be untrue.
• The practitioner is also under strict obligations relating to confidentiality, conflicts of interest, and the proper disclosure of any material irregularities.

Failure to observe professional duties both to the client and to the court may result in regulatory action and serious professional consequences.

Key Point Checklist

This article has covered the following key knowledge points:

• The overriding objective under CrimPR 2020 governs all criminal proceedings: cases must be managed so as to ensure justice, fairness, and efficiency.
• Active case management directs early identification of issues, management of witness and evidential needs, and imposition and enforcement of clear and realistic directions.
• In the magistrates’ court, the Preparation for Effective Trial (PET) process involves standard forms and directions focused on identifying real issues, witness needs, and timetabling all steps to trial.
• In Crown Court cases, the PTPH (Plea and Trial Preparation Hearing) establishes plea, identifies issues, and fixes case management directions, including deadlines for evidence, expert reports, and special measures.
• Initial and continuing disclosure duties on the prosecution ensure the defence receives all material capable of undermining the prosecution case or assisting the defence; these duties are ongoing and must be strictly complied with.
• Defence statements and witness notices are compulsory in the Crown Court and must comprehensively address all disputed factual and legal issues; deficient or late statements can result in adverse comment or exclusion of late evidence.
• The court retains powers to exclude evidence, limit argument, or adjourn where non-compliance with case management or disclosure obligations prejudices the fairness or efficiency of the proceedings.
• Practitioners must balance the duty to act in the client’s best interests with overriding obligations to the court—misleading the court or putting forward an untruthful defence is prohibited and may result in professional sanction.

Key Terms and Concepts

• Criminal Procedure Rules (CrimPR)
• Case management directions
• Plea and Trial Preparation Hearing (PTPH)
• Disclosure
• Arraignment
• Ground rules hearing
• Special measures