Learning Outcomes
After studying this article, you will be able to explain the purpose and rules of case management in criminal litigation, describe the main types of pre-trial hearings in the magistrates’ and Crown Court, outline the standard forms and directions used for trial preparation, and apply the disclosure duties of the prosecution and defence. This will allow you to anticipate and comply with case preparation requirements and advise effectively on criminal litigation matters for SQE2.
SQE2 Syllabus
For SQE2, you are required to understand the procedures and processes relating to the management of criminal cases before trial. You must be able to identify the relevant rules, typical directions, the purpose and process for key pre-trial hearings, and the obligations on all parties with respect to pre-trial preparation and disclosure. In your revision, focus on:
- The role and overriding objective of the Criminal Procedure Rules (CrimPR) 2020 in managing criminal cases justly
- The typical case management directions issued by the magistrates’ and Crown Court
- The structure, content, and purpose of trial preparation forms and hearings
- The specific requirements and procedures for plea and trial preparation hearings (PTPH) in the Crown Court
- The disclosure responsibilities of both the prosecution and defence and the timeframes for initial and ongoing disclosure
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.
- What is the overriding objective of the Criminal Procedure Rules in criminal proceedings?
- Give two examples of standard directions that may be included in a trial preparation form in the magistrates’ court.
- When must the prosecution comply with its initial duty of disclosure in the Crown Court?
- What is a PTPH and what are its key aims?
Introduction
Case management and pre-trial hearings are central to criminal litigation in England and Wales. Effective case management ensures that cases are dealt with justly, fairly, and efficiently, with issues narrowed at an early stage and avoidable delays minimised. Pre-trial hearings provide opportunities for the court to give directions, fulfil the objectives of active case management, and ensure both prosecution and defence meet their legal obligations before a trial is listed. Understanding the operation of the Criminal Procedure Rules and typical court directions is essential for compliance and for case preparation success in SQE2.
Key Term: Criminal Procedure Rules (CrimPR)
The rules governing the conduct of all criminal cases, designed to support the overriding objective of dealing with criminal cases justly.Key Term: Case management directions
Orders or instructions given by the court at pre-trial hearings setting out steps parties must take to ensure an effective trial, including deadlines and requirements for evidence, disclosures, and submissions.Key Term: Plea and Trial Preparation Hearing (PTPH)
A pre-trial Crown Court hearing where the defendant enters a plea, issues for trial are identified, and directions and timetables are set to ensure case readiness.Key Term: Disclosure
The duty on the prosecution to provide certain material to the defence that may undermine the prosecution or assist the defence, and the reciprocal requirements for the defence to serve a statement of their case and witness details in certain situations.
Case Management and the Criminal Procedure Rules
The Criminal Procedure Rules (CrimPR) require all cases to be dealt with justly, which includes acquitting the innocent, convicting the guilty, dealing with the prosecution and defence fairly, and progressing cases efficiently. All participants, including the court, are required to further this objective by actively managing cases and encouraging cooperation.
Active case management under CrimPR includes:
- Identifying the real issues in the case at an early stage
- Setting and monitoring a timetable for case preparation and progress
- Ensuring the needs of all witnesses (including those requiring special measures) are identified and addressed
- Monitoring compliance with directions and preventing avoidable delays
- Limiting the scope of evidence to what is necessary for trial
Worked Example 1.1
A defendant is charged with theft. Both sides have said there are no disputed facts except the issue of identification by a single CCTV image. The court gives directions: disclosure of all prosecution evidence in 2 weeks, any defence statements and proposed witness lists in 4 weeks, and notification of any special measures applications.
Answer:
These are standard case management directions focusing on early identification of issues, mandatory disclosures, and special measures, as required by the CrimPR.
Magistrates’ Court Case Management Directions
In the magistrates’ court, when a defendant pleads not guilty, the court issues a "Preparation for Effective Trial" form, specifying directions for both parties to prepare for trial. Directions on the form typically include:
- Prosecution service of further evidence and initial disclosure by set deadlines
- Defence service of any intended defence witness details within 10 business days of disclosure
- Notice of any expert evidence from either side within a stated timeframe
- Notifications of special measures or applications such as to admit hearsay or bad character evidence
Parties are required to confirm any facts not in dispute so they can be admitted, and to identify the real contested issues. The court may also set ground rules for questioning vulnerable witnesses and take steps to secure attendance (for example, by witness summons).
Key Term: case management directions
Directions given by the court before trial, setting out what must be done by the prosecution and defence and by when to ensure an effective trial.
Worked Example 1.2
At the first hearing, the magistrates order the prosecution to provide all CCTV evidence by a certain date, require the defence to give written notice if they are calling an alibi witness, and advise both sides that any late application for evidence may not be allowed without a good reason.
Answer:
These are typical directions aimed at avoiding unnecessary adjournments and ensuring clarity on what evidence is to be presented.
Crown Court Case Management and the PTPH
In the Crown Court, the main pre-trial hearing is the Plea and Trial Preparation Hearing (PTPH). At the PTPH, the indictment is put, the defendant enters a plea, and the court identifies issues, sets timeframes and gives further directions to ensure the case is ready for trial.
Key purposes of a PTPH include:
- Ensuring a guilty or not guilty plea is entered as early as possible
- Identifying issues for trial and determining case readiness
- Setting dates for service of prosecution and defence evidence, disclosure, special measures applications, and witness requirements
- Minimising the number of further hearings before trial (further case management hearings may take place only if strictly necessary)
If a defendant pleads guilty, the PTPH may deal with sentencing. If a not guilty plea is entered, the court will set a timetable for the completion of pre-trial steps, which can include serving a defence statement and witness list (required in the Crown Court), applications regarding expert evidence, and responses to prosecution disclosure.
Key Term: Plea and Trial Preparation Hearing (PTPH)
The main first hearing in Crown Court criminal cases to manage pleas, identify issues, and direct pre-trial preparation for an effective trial.
Worked Example 1.3
At the PTPH, a judge sets a case timetable: further prosecution evidence to be served within 14 days; defence statement and service of intended witnesses to be completed 4 weeks before trial; and any applications to admit hearsay evidence to be lodged within 21 days.
Answer:
The PTPH puts in place binding case management deadlines and minimises delay or surprise, as required for efficient trial preparation.
Further Pre-Trial Hearings
After a PTPH, further case management hearings are exceptional but may be scheduled where, for example, complex points of law arise, amendments to directions are required, or ground rules for examining a vulnerable witness must be agreed.
Key Term: case management directions
Court orders, made following hearings or review, that set compulsory steps and timetables for case preparation and compliance by parties.
Disclosure Obligations
The prosecution has an initial and ongoing duty to disclose to the defence any material that might undermine the prosecution case or assist the defence. Disclosure obligations differ depending on whether the case is in the magistrates’ or Crown Court, but generally:
- In the magistrates’ court: disclosure must be made as soon as reasonably practicable after a not guilty plea.
- In the Crown Court: disclosure must be made following committal or service of evidence, or at such time directed by the court.
If there is no such material, the prosecution must provide a written statement saying so. Both sides must notify the court and each other of compliance with disclosure obligations.
After receiving prosecution initial disclosure, the defence must, in the Crown Court, serve a defence statement within 28 days. This statement must set out the nature of the defence, any particular issues, and the facts disputed, and also provide details of any defence witnesses.
Key Term: Disclosure
The requirement for the prosecution to reveal evidence or material that could reasonably affect the case against the accused, or help the defence, and for the defence to respond with a statement and witness details where required.
Worked Example 1.4
A defendant is tried in the Crown Court for assault. After initial disclosure, the defence serves a defence statement indicating self-defence and listing two witnesses. Towards trial, the prosecution review material and realise they hold a medical report supporting the defendant’s claim. The prosecution must now disclose this to the defence without delay as part of their ongoing duty.
Answer:
Prosecution disclosure is not a "one-off" event but is reviewed throughout. Late-discovered, relevant material must still be disclosed.
Exam Warning
In criminal litigation, failure to comply with case management directions or disclosure deadlines may result in the court excluding evidence or refusing applications. Always comply promptly and document all steps taken.
Revision Tip
For SQE2, practise explaining the overriding objective, identifying standard directions, and describing the function of a PTPH or equivalent. Focus on clarity and factual accuracy, using actual forms/processes encountered in English criminal courts.
Key Point Checklist
This article has covered the following key knowledge points:
- The Criminal Procedure Rules (CrimPR) set an overriding objective for criminal cases to be dealt with justly and require active case management by courts and parties.
- Magistrates’ courts use trial preparation forms and give standard case management directions after a not guilty plea.
- In the Crown Court, the Plea and Trial Preparation Hearing (PTPH) is the main pre-trial step for identifying issues, giving directions, and ensuring trial readiness.
- All parties have disclosure obligations: initial and continuing for the prosecution; defence statement and disclosure of witnesses for the defence (especially in the Crown Court).
- Non-compliance with case management or disclosure obligations may have serious consequences for the parties in criminal litigation and affects SQE2 assessment performance.
Key Terms and Concepts
- Criminal Procedure Rules (CrimPR)
- case management directions
- Plea and Trial Preparation Hearing (PTPH)
- Disclosure