Appeals procedure - Appeals from the magistrates' court to C...

Learning Outcomes

This article examines appeals from the magistrates’ court to the Crown Court, including:

• Statutory basis for Crown Court appeals and the distinction between conviction and sentence appeals
• Procedural requirements for filing and serving notices of appeal and strict time limits
• Nature and scope of Crown Court rehearings and the admission of new evidence on appeal
• Powers of the Crown Court to confirm, quash, vary, substitute convictions and adjust sentences, including warning requirements and limits on increases
• Differences between full rehearing and review on a point of law, and routes for further appeal by case stated to the High Court
• Comparative appeal rights of defendants and prosecutors and the legal bases for further routes
• Practical and ethical responsibilities of legal representatives, including preparation of appeal bundles and compliance at each stage
• Procedural pitfalls and consequences of late, defective, or improperly served notices
• Relationship between appeal processes and fundamental justice principles, including fair trial and protection against double jeopardy, and their interface with the criminal justice system of England and Wales

SQE1 Syllabus

For SQE1, you are required to understand the appeals process from the magistrates’ court to the Crown Court, with a focus on the following syllabus points:

• the right of a defendant to appeal from conviction and/or sentence from magistrates’ court to Crown Court under the Magistrates’ Courts Act 1980 and Criminal Procedure Rules
• the distinction between appeals against conviction and appeals against sentence
• the time limits and procedural requirements for bringing and serving a notice of appeal, and the consequences of failing to comply
• the nature, scope, and function of a Crown Court appeal hearing (rehearing de novo)
• the role of new evidence on appeal and when its admission is permitted
• the available powers of the Crown Court when hearing appeals (including to confirm, reverse, vary, substitute, or remit)
• restrictions and warnings on increasing sentence, and limitations on Crown Court sentencing powers to the maxima available to magistrates for the relevant offence
• further rights of appeal by way of case stated (appeals on points of law) to the High Court, and the possibility of judicial review
• practical responsibilities of legal representatives in preparing for and conducting appeals

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 are the two main grounds on which a defendant may appeal from the magistrates’ court to the Crown Court?
2. What is the standard time limit for lodging an appeal to the Crown Court after conviction or sentence in the magistrates’ court?
3. What is the effect of an appeal against conviction to the Crown Court—does the Crown Court conduct a review or a full rehearing?
4. Can the Crown Court increase a sentence on appeal from the magistrates’ court?

Introduction

The right to appeal from the magistrates’ court to the Crown Court provides an important safeguard in the criminal process of England and Wales, allowing errors made in fact-finding or sentencing to be corrected. This statutory right exists for defendants who contest either their conviction or the lawfulness or appropriateness of the sentence imposed by the summary court. The Crown Court acts as an appellate body and, upon a proper notice of appeal, will rehear the case in substantial form, rather than acting merely as an appellate reviewer or as a supervisory court.

For those preparing for SQE1, it is necessary to understand the precise grounds upon which an appeal may be pursued, the procedures for properly initiating such an appeal, and the powers available to the Crown Court, including both the potential to reduce or quash a conviction or sentence and, where appropriate (and with due warning), to increase it. A thorough knowledge of both substantive and procedural features is necessary to ensure appeals are both effectively brought and properly opposed or defended.

The Right of Appeal

A defendant convicted and/or sentenced in the magistrates’ court has a statutory right to appeal to the Crown Court. This right is provided by the Magistrates’ Courts Act 1980 (MCA 1980), with detailed requirements supplemented by the Criminal Procedure Rules. It is important to note that only the defendant may initiate an appeal to the Crown Court—prosecutors have a more restricted right to appeal and must usually proceed by way of case stated or judicial review.

Key Term: right of appeal
The statutory entitlement of a defendant to challenge a conviction or sentence imposed by the magistrates’ court by appealing to the Crown Court.

This right offers a broad opportunity to challenge the outcome of summary trials, acting both as a check on potential miscarriages of justice and as a means to ensure sentences are within the realm of fairness and legality.

Who May Appeal

The defendant alone may appeal to the Crown Court from a magistrates’ court conviction or sentence. For those who pleaded not guilty, both conviction and sentence can be appealed. Those who pleaded guilty are generally limited to appeals against sentence, except in rare circumstances where it can be shown that the plea was equivocal or unsafe, such as if the defendant was not competent to plead or if the facts did not amount to the offence.

The prosecution may not appeal to the Crown Court against an acquittal; their route is by way of case stated (on a point of law) or, exceptionally, judicial review where procedural irregularity or excess of jurisdiction is alleged.

Grounds of Appeal

A defendant may initiate an appeal on either or both of the following grounds:

• Against conviction (disputing the finding of guilt)
• Against sentence (challenging the lawfulness or severity of any sentence imposed)

Key Term: appeal against conviction
An appeal challenging the magistrates’ court’s finding that the defendant is guilty.

Key Term: appeal against sentence
An appeal challenging the punishment imposed by the magistrates’ court as manifestly excessive, wrong in principle, or otherwise unlawful.

• A conviction appeal is open to a defendant who entered a plea of not guilty and was convicted following trial. In exceptional cases, an appeal against conviction following a guilty plea can be mounted, but only where the circumstances render the conviction unsafe (such as equivocal plea, unfairness, or mistaken belief).
• An appeal against sentence is available whether the sentence was imposed after a guilty or not guilty plea, provided it is not otherwise excluded.

The grounds should be clearly set out in the notice of appeal, specifying whether the conviction or sentence or both are disputed, and on what basis.

Procedure and Time Limits

Notice of Appeal

To begin an appeal, a defendant must file a notice of appeal. The notice must:

• State if the appeal is against conviction, sentence, or both;
• Set out the detailed grounds of appeal;
• Specify whether new evidence is to be called, identifying what the new evidence is and why it was not presented previously (the Crown Court will need to grant permission to admit such evidence).

The notice must be served both on the magistrates’ court and on the respondent (the Crown Prosecution Service), as well as on the Crown Court to which the appeal is brought.

Key Term: notice of appeal
The formal written document by which a defendant initiates an appeal to the Crown Court, specifying the grounds and details of the appeal.

Time Limit

The standard time limit for lodging an appeal is 21 days from the date of sentence or (if earlier) conviction (whichever is later), this period being set by the Criminal Procedure Rules. In practice, the appellant files the notice at the magistrates’ court which then transmits the appeal to the relevant Crown Court.

Key Term: time limit (appeals)
The prescribed period (usually 21 days) within which a notice of appeal must be filed after conviction or sentence in the magistrates’ court.

Applications for permission to appeal out of time may be considered, but this will only be allowed where there are good and compelling reasons (such as new evidence that could not have been produced earlier, illness, or some procedural failure), and the appellant must satisfy the court that the extension would be in the interests of justice. Mere inadvertence, lack of knowledge, or changed mind is insufficient.

Content and Service Requirements

The appeal notice must strictly comply with formalities set by the Criminal Procedure Rules and relevant Practice Directions. If the defendant is legally represented, their solicitor must certify that the defence has considered the merits of the appeal. Failure to properly serve the notice of appeal or to do so within the required time frame may render the appeal inadmissible unless the Crown Court exercises its discretion to allow the appeal to proceed out of time.

Key Term: service
The formal delivery of legal documents to the relevant parties, ensuring that the notice is brought properly to their attention and on the appropriate court.

Waiver of Notice Requirements

The Crown Court has a discretionary power to allow an appeal to proceed notwithstanding procedural defects or irregularities in service, but this is only exercised in the interests of justice or where no prejudice is caused.

Worked Example 1.1

A defendant is convicted of theft in the magistrates’ court on 1 June and is sentenced on 10 June. By what date must the defendant file a notice of appeal against sentence?

Answer:
The defendant must file the notice of appeal within 21 days of the date of sentence, so by 1 July.

The Appeal Hearing

Scope of the Appeal

• An appeal against conviction takes the form of a full rehearing (hearing de novo). The Crown Court re-examines the entirety of the case as if it were being tried afresh, with live evidence from prosecution and defence witnesses ordinarily being given again. Both sides may call new evidence if the Crown Court gives leave, and the normal rules of evidence apply.
• An appeal against sentence is a full rehearing of the sentencing exercise. The Crown Court approaches the sentencing decision independently, considering all matters before and after conviction. Any new information relevant to sentencing (such as fresh mitigation) may be received.

Key Term: rehearing
A fresh hearing of the case in the Crown Court, where evidence and arguments are reconsidered anew.

Some practical points:

• New evidence not adduced below may be admitted, but the Crown Court will consider whether there was a reasonable explanation for not tendering it at first instance.
• The Crown Court judge sits with two (sometimes more) lay magistrates, none of whom may have previously heard the case in the magistrates’ court below.

Role of the Court and Parties

• The prosecution and defence set out their cases again, calling and cross-examining witnesses as required.
• The Crown Court may invite submissions or require further elaboration of the evidence or law at issue.
• The appellant may be represented by counsel or a solicitor advocate and may be eligible for public funding under a representation order, if the interests of justice test is satisfied.

Powers of the Crown Court

Upon hearing an appeal, the Crown Court’s powers are co-extensive with those of the magistrates’ court. The Crown Court may:

• Confirm the conviction or sentence;
• Quash (set aside) the conviction;
• Vary the conviction, for example by substituting a verdict for a lesser included offence;
• Remit the matter back to the magistrates’ court either for retrial or for resentencing (rare);
• Substitute a different sentence or vary the order made by the magistrates (within the statutory maximums for that offence).

On sentence appeals, the Crown Court may:

• Confirm the sentence;
• Substitute any sentence or order that the magistrates’ court had the power to impose;
• Decrease the sentence; or
• In very limited circumstances, increase the sentence, provided the appellant (defendant) is warned beforehand of the risk.

The Crown Court may not impose a sentence that exceeds the magistrates’ maximum sentencing powers for the relevant offence, even where it would have imposed a higher sentence had it tried the case at first instance.

Key Term: maximum sentence
The highest sentence permitted by law for a given offence in the magistrates’ court, which also acts as the upper limit for the Crown Court on appeal.

Risk of Increased Sentence

If the Crown Court is considering imposing a sentence more severe than that imposed by the magistrates, the defendant must be warned explicitly of this risk and given an opportunity to withdraw their appeal. This is codified in the Criminal Procedure Rules and ensures fairness and procedural justice.

Worked Example 1.2

A defendant appeals against conviction for assault. At the Crown Court hearing, new evidence is produced showing the defendant was elsewhere at the time of the offence. What can the Crown Court do?

Answer:
The Crown Court may admit the new evidence, reconsider the case, and if satisfied the conviction is unsafe, quash the conviction.

Standard of Proof and Burden

On appeal, the prosecution continues to bear the burden of proving guilt beyond reasonable doubt, as in the originally contested trial. The Crown Court must be sure of guilt to uphold a conviction, and if doubts arise (for instance due to discredited evidence or new material), the appeal should succeed.

Role of Written Admissions and Previous Decisions

The parties may agree factual points or legal issues, which can be adopted by the Crown Court, but the appellate court is not bound by the previous decisions or findings of fact of the tribunal below.

Appellate Outcomes

The decisions of the Crown Court, upon an appeal, wholly replace those of the magistrates’ court. The appeal is, therefore, decisive: if the conviction or sentence is quashed or varied, the prior decision ceases to have effect from the date of the Crown Court’s judgment.

Costs and Ancillary Orders

The Crown Court may make ancillary orders, including orders for the payment of prosecution or defence costs, or compensation, in connection with its decision.

Worked Example 1.3

A defendant is convicted of possession of a bladed article and appeals alleging that important prosecution evidence was obtained unlawfully. The Crown Court rules this evidence inadmissible at the rehearing, finds the remaining evidence insufficient, and quashes the conviction.

Answer:
The defendant is acquitted, the conviction disappears from the record, and any penalties imposed are set aside.

Procedural Requirements at the Crown Court

• The hearing is usually listed before a Crown Court judge and two lay magistrates.
• All evidence must be given in accordance with law; the normal criminal trial rules regarding presentation and admissibility of evidence, cross-examination, and disclosure apply.
• If the appeal is withdrawn prior to hearing or decision, the magistrates’ judgment stands, and the appeal lapses.
• The appellant (and legal representative if any) must attend the hearing unless excused.

Effect and Consequences of the Appeal

• If successful, the conviction or sentence is replaced by the Crown Court’s decision; penalties (including fines, community orders, or imprisonment) may be set aside or replaced accordingly.
• If unsuccessful, the conviction/sentence stands, and any custodial sentence (if applicable) continues to run from the date originally imposed.

Defendants remanded in custody pending appeal may remain detained until the appeal is heard unless granted bail. Bail pending appeal is at the discretion of the magistrates’ court or the Crown Court, considered on the standard statutory criteria.

Further Appeals

The Crown Court is the final fact-finding appellate court in summary proceedings. A further appeal from the decision of the Crown Court is not available as of right to the defendant, but the following are possible:

• Appeal by way of case stated to the High Court (Divisional Court) on a point of law, either by the defendant or by the prosecutor (MCA 1980, s.111).
• Judicial review to the High Court in cases of jurisdictional error, procedural unfairness, or other public law failings (rather than points of law proper).

A further appeal by way of case stated is confined to errors of law or jurisdiction, not a challenge to the findings of fact made by the Crown Court.

Compliance and Responsibility

Strict compliance with procedural requirements is essential. Legal representatives must ensure all grounds and supporting documents are properly prepared, filed, and served. Errors, omissions, or failure to comply with time limits may forfeit the right of appeal or significantly prejudice its prospects.

Solicitors and advocates are under a professional obligation not to pursue unmeritorious appeals and must advise clients accordingly. Where clients disclose guilt but wish to pursue an untrue defence, the solicitor must not mislead the court and must act in accordance with the professional conduct principles established by the SRA Code of Conduct.

Summary

Key Point Checklist

This article has covered the following key knowledge points:

• The defendant alone has a statutory right to appeal from the magistrates’ court to the Crown Court against conviction and/or sentence, governed by the MCA 1980 and Criminal Procedure Rules.
• The appeal must be commenced by lodging a properly completed notice of appeal, served on all appropriate parties within 21 days of conviction or sentence.
• An appeal against conviction results in a full rehearing: the Crown Court determines the facts and applies the law afresh, hearing new and existing evidence.
• The Crown Court may confirm, quash, or vary the conviction, as well as confirm, reduce, or (exceptionally and with warning) increase the sentence, subject to statutory maximums applicable in the magistrates’ court.
• Strict adherence to procedural requirements, including content, service, and time limits for appeal notice, is mandatory and critical to preserving appeal rights.
• Further appeal from the Crown Court’s decision is only possible by case stated (on a point of law or jurisdiction), or by judicial review in rare cases, and not by full rehearing.

Key Terms and Concepts

• right of appeal
• appeal against conviction
• appeal against sentence
• notice of appeal
• time limit (appeals)
• rehearing
• service
• maximum sentence