Case management and pre-trial hearings - Magistrates' court ...

Learning Outcomes

This article outlines magistrates’ court case management and pre-trial hearings, including:

• CrimPR foundations for active case management (Parts 1 and 3), including early issue identification, timetabling, and compliance monitoring
• Preparation for trial hearings after a not guilty plea and recording directions on the Magistrates’ Court Trial Preparation Form
• The function of the plea and trial preparation hearing (PTPH) and the circumstances for further case management or ground rules hearings
• IDPC content and timing, and the prosecution’s initial and continuing disclosure obligations under CPIA 1996 and the AG Guidelines 2022
• Defence disclosure in the magistrates’ court versus the Crown Court, including s 6A CPIA requirements and particulars of alibi
• s 6C CPIA witness notification, s 9 CJA 1967 written statements, and witness summonses to secure attendance
• Roles and responsibilities of the court, prosecution, and defence in case progression, and the consequences of non‑compliance (adjournment, adverse comment or inferences, exclusion, or costs)
• Procedures for managing witnesses, including special measures and applications for intermediaries
• Court approaches to late disclosure and pre‑trial evidential disputes, including witness availability, special measures, expert evidence, and digital evidence management
• Use and variation of timelines and deadlines to maintain an efficient, fair, and just trial process
• Application of legal professional conduct within case management, including duties to the court alongside duties to the client

SQE1 Syllabus

For SQE1, you are required to understand magistrates’ court case management and pre-trial hearings, with a focus on the following syllabus points:

• the purpose and operation of case management directions in the magistrates’ court
• the structure and function of plea and trial preparation hearings (PTPH)
• the requirements of the Criminal Procedure Rules (CrimPR) for active case management
• the obligations of the prosecution and defence regarding disclosure of evidence and unused material
• the roles of the court, legal advisers, prosecution, and defence in ensuring an effective trial
• Initial Details of the Prosecution Case (IDPC): content and timing
• s 6A CPIA defence statement content; s 6C CPIA defence witness notice; s 9 CJA 1967 written statements

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 magistrates’ court?
2. Who is responsible for ensuring compliance with case management directions and what document records these directions?
3. What is the prosecution’s initial duty of disclosure in the magistrates’ court?
4. True or false? The defence must always serve a defence statement in the magistrates’ court.

Introduction

Case management in the magistrates’ court is designed to ensure that criminal cases are dealt with justly, efficiently, and without unnecessary delay. The management of cases includes early identification of the real issues, setting timetables, and ensuring all parties are prepared for trial. These aims are set against the backdrop of the Criminal Procedure Rules (CrimPR), which mandate the proactive and cooperative involvement of all parties.

Comprehensive case management begins at the first hearing with Initial Details of the Prosecution Case (IDPC), continues through any preparation for trial hearing after a not guilty plea, and culminates in a well-prepared, fair trial that is focused on what is genuinely in issue.

Key Term: case management directions
Instructions issued by the court to the parties in a criminal case, setting out steps and deadlines to ensure an effective and fair trial.

Key Term: Initial Details of the Prosecution Case (IDPC)
A concise set of prosecution materials served before the first hearing to enable plea, allocation and initial case management; typically including a summary of facts, the defendant’s interview or account (if available), key witness statements or exhibits, criminal record, and, where available, a victim impact statement.

The Role of the Criminal Procedure Rules (CrimPR)

The CrimPR require courts to actively manage cases, not only in furthering the overriding objective—“to deal with cases justly”—but also to establish cooperative and efficient progression. Part 1 of the CrimPR outlines the overriding objective, requiring parties to deal with both prosecution and defence fairly and efficiently. It specifically addresses early issue identification, avoidance of unnecessary hearings, the setting and monitoring of realistic timetables, and adapting procedure to the needs of each case, including those involving vulnerability or complexity.

Part 3 of the CrimPR lays out the specific tools for active case management. This includes:

• early identification of what is and is not in dispute (e.g. presence at the scene, identification, lawfulness of arrest, continuity of exhibits)
• agreement of uncontested evidence by written admission under s 10 CJA 1967 or by reading s 9 CJA 1967 witness statements
• bespoke and realistic timetables for disclosure, evidence service, defence notices, and any pre-trial legal applications (e.g. expert reports, hearsay, bad character, exclusion)
• witness and special measures requirements (e.g., intermediaries, interpreters, video link, ground rules hearings) being raised well in advance
• ensuring all aspects that can be dealt with at the same hearing are so addressed, minimising adjournments, and keeping the process proportionate to the matter at stake
• diligent monitoring of compliance with directions and taking appropriate action (including varying the timetable, imposing sanctions or seeking explanations for non-compliance)

In practice, active case management maximises fairness. For instance, by swiftly clarifying which facts are not in dispute, court time is saved and witnesses need not attend unnecessarily. Early engagement also ensures vulnerable or intimidated witnesses can be accommodated appropriately, such as through special measures or the appointment of intermediaries.

Key Term: Criminal Procedure Rules (CrimPR)
A set of rules governing the conduct of criminal cases in England and Wales, requiring courts and parties to manage cases efficiently and fairly to achieve the overriding objective.

Plea and Trial Preparation Hearing (PTPH)

The PTPH is central to magistrates’ court case management after a not guilty plea is recorded. The purpose is to ensure all parties are trial-ready, directions are clearly given, issues are identified, and the likelihood of last-minute adjournments is minimised. In the magistrates’ court, the preparation for trial hearing (sometimes also referred to as a case management hearing) serves a functionally equivalent purpose to the Crown Court’s PTPH.

At this hearing, the court will:

• confirm the defendant’s plea or enter a not guilty plea if there is any refusal to plead
• precisely identify the issues in dispute in the case, including forensic issues, identification, or legal arguments, and record the parties’ positions
• set a bespoke timetable for serving prosecution evidence, disclosing unused material, serving a defence statement (if any), and s 6C witness notification
• establish witness requirements, agree admissions and statements (including those suitable for being read under s 9 CJA 1967)
• direct and address any need for special measures or intermediaries to support vulnerable witnesses or the defendant
• make directions regarding expert evidence or legal issues, ensuring applications are timetabled for determination before trial
• ensure logistical needs for an effective hearing (e.g. technology for playing CCTV, video links, interpreters) and record a realistic trial length estimate

A ground rules hearing may be listed when there is a vulnerable or child witness or a defendant requiring specialist assistance, to ensure questioning is appropriately managed.

Key Term: plea and trial preparation hearing (PTPH)
A hearing at which the court confirms the plea, identifies the issues, and gives directions to prepare the case for trial.

Key Term: ground rules hearing
A short hearing (often in cases involving vulnerable witnesses) where the court, parties, and any intermediary agree how questioning will be conducted to ensure best evidence is obtained fairly.

The PTPH is informed by a detailed preparation form (see below). This ensures case management directions are comprehensive, agreed by all parties, and enforceable by the court.

Worked Example 1.1

Scenario:
A defendant pleads not guilty to assault. The prosecution and defence disagree about whether the defendant was present at the scene. The magistrates’ court holds a PTPH.

Question:
What steps will the court take at the PTPH to ensure the case is ready for trial?

Answer:
The court will identify the disputed issue (presence at the scene), set deadlines for serving evidence, confirm witness attendance, address any special measures, and record all directions on the PTPH form.

Case Management Directions: The PTPH Form

All directions and agreements made at the PTPH are recorded on a standard document: the Magistrates’ Court Trial Preparation Form (sometimes also known as the Preparation for Effective Trial form). This form is used both to collect important case details and as the authoritative record of judicial directions. It usually covers:

• issues in dispute, and which are agreed or suitable for written admissions under s 10 CJA 1967
• precise deadlines for serving prosecution evidence, disclosure of unused material, service of any defence statement (if one is to be served), and notification of defence witnesses
• witness details, including which witnesses are required for cross-examination, which will be tendered by written statements under s 9 CJA 1967, and which can be admitted as facts under s 10
• any applications for, or directions about, expert evidence, legal arguments regarding admissibility (e.g., applications to exclude evidence under s 78 PACE 1984), or special measures
• logistics for the trial such as requirements for interpreters, video links, audio-visual equipment, and establishing realistic time estimates for examination-in-chief and cross-examination of each live witness

Where the defence intends to call witnesses, the court will direct compliance with s 6C CPIA 1996 and require the service of a notice listing the names, addresses, and dates of birth of each intended witness (with the court often setting a short timescale, commonly ten business days after disclosure). The statutory time-limit for service is 28 days after initial prosecution disclosure.

The PTPH form also prompts consideration of further applications for special measures, ground rules hearings, or intermediaries. The requirement to notify the court if information changes, or if new directions are sought, is emphasised.

Key Term: Magistrates’ Court Trial Preparation Form
The official document used to record case management directions, issues, and deadlines in the magistrates’ court.

If parties later need to vary any directions (for example, due to late service of evidence, witness unavailability, or a change in circumstances), prompt notification to the court is mandatory.

Worked Example 1.2

Scenario:
A trial will centre on CCTV evidence. The defence disputes the continuity of exhibits but accepts that the footage should be played. The prosecution wishes to call four witnesses, but the defence agrees two can be proved by written statement (s 9).

Question:
How should these arrangements be managed at the PTPH, and what must be recorded on the form?

Answer:
The PTPH form will record which witnesses are agreed under s 9 CJA 1967 (and will not be called live), which issues are disputed (continuity of exhibits), and directions for service of any further evidence. Timetables for all evidence and disclosure will be set, plus arrangements for any technical needs (e.g. a video player). All admissions and agreed facts are to be noted, and directions regarding remaining witnesses and special measures considered.

Disclosure Obligations

Disclosure by both prosecution and defence underpins fairness and proper case management. The prosecution’s duty is regulated by CPIA 1996 and reflected in the CrimPR and AG Guidelines on Disclosure (2022). Disclosure obligations fall into several stages:

• Initial Details of the Prosecution Case (IDPC): Must be served as soon as practicable, and at least by the start of the first hearing. The IDPC should include, depending on the status of the defendant (in custody or not): a summary of facts, the defendant’s criminal record, any written statements or exhibits then available and considered material to the plea/allocation, and where relevant victim or impact statements. Additional supporting materials must be provided for cases where no guilty plea is anticipated.
• Initial disclosure (s 3 CPIA): Following a not guilty plea (in the magistrates’ court), the prosecution must promptly disclose any material which is not previously disclosed and which might reasonably be considered capable of undermining the prosecution case or of assisting the defence.
• Unused material and continuing duty: The prosecution must prepare a schedule of unused material for review and continue to keep disclosure under review until the case concludes. Unused material is any material in the prosecution’s possession which is not intended to be used as evidence, but which may nevertheless be relevant to the issues in the case.
• Sensitive material and public interest immunity: If any material meets the disclosure test but cannot be disclosed without causing serious harm to the public interest (e.g. confidential informants, national security), the prosecution applies to the court to withhold it under public interest immunity.

Key Term: disclosure
The process by which the prosecution provides the defence with evidence and material relevant to the case, including unused material.

Key Term: unused material
Material held by the prosecution that it does not intend to use at trial but must keep under review and disclose if it meets the CPIA 1996 test (undermines the prosecution or assists the defence).

Key Term: public interest immunity
A process by which the prosecution asks the court to withhold sensitive material that would otherwise be disclosed where disclosure would damage the public interest (e.g. national security, informant identity).

The AG Guidelines 2022 stress that disclosure is a continuing duty and set out practical considerations for reviewing potential disclosure, especially in cases involving digital evidence. The prosecution is also under an obligation to give written notice if there is nothing disclosable under s 3 CPIA.

The defence may apply for disclosure if it believes there is relevant material not already disclosed; however, such an application should usually be accompanied by a defence statement, which frames the disputed issues for the court to consider.

Worked Example 1.3

Scenario:
The prosecution has provided witness statements and footage. The defence believes that police body-worn video contains evidence potentially helpful to their case which has not been disclosed.

Question:
What is the process for seeking further disclosure, and what obligations apply?

Answer:
The defence should first raise the issue directly with the prosecution, specifying the material requested. If not disclosed and the defence asserts it is covered by the CPIA test, an application can be made to the court for a disclosure order, generally with the service of a defence statement to identify the issue. If it is sensitive material, the court must consider public interest immunity.

Worked Example 1.4

Scenario:
The prosecution serves a medical report stating that the complainant has suffered minor bruising. The defence accepts the injury but disputes causation. The medical witness is unwilling to attend court.

Question:
How should this be resolved at the pre-trial stage?

Answer:
If the defence does not dispute the fact or causation of the injury, the parties should agree for the s 9 CJA 1967 statement to be read. If there is dispute or cross-examination needed, the court should consider issuing a witness summons (s 97 MCA 1980) to secure attendance if it is in the interests of justice. Directions on serving the statement, timelines, and attendance will be recorded on the PTPH form.

Key Term: s 9 CJA 1967 written statement
A statement signed by a witness and served upon the other party; if not objected to within seven days, it is admissible as evidence without requiring the maker's attendance.

Defence Case Management and Disclosure

In the magistrates’ court, serving a defence statement is optional (unlike the mandatory requirement in the Crown Court). However, other disclosure obligations do arise and must be addressed as part of timely case management:

• Optional defence statement (magistrates’ court): If served, must be in writing setting out the nature of the defence, matters of fact in issue and reasons, any point of law, and particulars of any alibi relied upon (including full details of any alibi witness).
• Mandatory defence statement (Crown Court): In the Crown Court, the defence must serve a written statement within 28 days of service of the prosecution’s initial disclosure, fulfilling statutory requirements under s 6A CPIA 1996.
• s 6C CPIA witness notification: The defence must notify the prosecution of the names, addresses, and dates of birth of any intended defence witnesses (other than the defendant themselves). This supports transparency and allows the court to plan for any issues relating to witness competence or compellability at trial.

Key Term: defence statement
A written statement (mandatory in the Crown Court; optional in the magistrates’ court) setting out the nature of the defence, facts in issue and reasons, any points of law, and, if relied upon, particulars of any alibi.

Where the defence relies on an alibi, particulars should always be provided, and the defence witness list furnished in line with timelines—often within 10 business days of initial disclosure in the magistrates’ court.

Key Term: s 6C CPIA witness notification
A requirement that the defence notify the names, addresses, and dates of birth of any non-defendant defence witnesses, to enable fair and efficient trial preparation.

Worked Example 1.5

Scenario:
The defence intends to rely upon an alibi, asserting the defendant was elsewhere with two friends at the relevant time. No formal notice has yet been given.

Question:
What is required under the CPIA and court directions, and what are the risks if the defence delays?

Answer:
The defence must serve a defence statement (mandatory in the Crown Court, optional in the magistrates’ court), setting out the particulars of the alibi and the names, addresses, and dates of birth of any alibi witnesses. Failure to give particulars may permit inferences against the defence, or preclude relying on the alibi evidence without leave of the court. The court will set and enforce the timeline, usually 10 to 28 days after initial prosecution disclosure.

Witnesses: Management, Compellability, and Special Measures

Efficient management of witnesses further ensures the effectiveness and fairness of trial proceedings. Directions will include:

• the identification of all witnesses to be called by the prosecution and defence, with due consideration of interpreters, intermediaries, and the granting of special measures eligibility where appropriate
• consideration of whether witnesses are competent and compellable, and how best evidence may be achieved (including child and vulnerable witnesses)
• analysis of the need for screens, evidence by live link, video statements-in-chief, questions in private, removal of wigs and gowns, and other statutory measures for eligible witnesses
• application procedures for witness summonses under s 97 Magistrates’ Courts Act 1980 if voluntary attendance cannot be secured

Key Term: witness summons
An order to compel a witness to attend court to give evidence; may be granted where the witness is material to the issues and it is in the interests of justice.

Key Term: special measures
Statutory provisions enabling courts to assist vulnerable or intimidated witnesses to give their best evidence, including use of screens, video links, intermediaries, and private hearings.

Key Term: intermediary
A specialist appointed to assist communication between a vulnerable witness or defendant and the court, ensuring effective participation and communication.

• The PTPH form will record all arrangements for the mode of giving evidence and eligibility for special measures. Where a ground rules hearing is required, this will be expressly noted with dates and necessary logistical arrangements.

Consequences of Non-Compliance and Professional Duties

Timely compliance with all case management directions, disclosure obligations, and witness requirements is essential in protecting the integrity of proceedings and the just outcome of each trial. The court has a range of responses to non-compliance, including:

• adverse comment by the court regarding delay or failure to comply
• drawing adverse inferences from a failure to serve a defence statement (Crown Court) or to provide adequate notice of alibi or witnesses
• exclusion of evidence obtained or served late, or in breach of procedural or professional rules (e.g., s 78 PACE 1984 for unfair evidence)
• refusing late legal applications or submissions
• revising trial dates or timetables, with the possibility of adjournments in the interests of justice where justified
• ordering costs against defaulting parties

The court retains overall control of case progression, but parties are expected to act with diligence and take responsibility for compliance. Legal professionals also have a duty to the court, including accuracy and honesty in representations, and must not knowingly or recklessly mislead the court. The legal adviser’s role in the magistrates’ court is central—advising the bench, recording directions, supporting communication, and updating the digital case record.

Key Term: active case management
The process by which the court and parties take responsibility for progressing the case efficiently, including identification of issues, agreement of uncontested evidence, and compliance with directions and deadlines.

Practical Challenges in Case Management

While the structure of directions is clear, practical difficulties are common. Common challenge areas include:

• Late or incomplete disclosure: If material is not disclosed on time, or its relevance is only discovered late, the defence may apply to the court for further time or for directions for disclosure. The court will weigh fairness, reasons for delay, and the need for a fair trial.
• Unrepresented defendants: The magistrates’ court must make extra efforts to ensure the issues are understood and that the unrepresented party complies with necessary directions without prejudice to their position.
• Digital and complex evidence: In cases involving digital evidence, such as data downloads or communications, the court now requires parties to narrow electronic evidence efficiently, agree search terms, and inform the complainant about the extent of prepared and disclosed data. Case management directions may include specific parameters for disclosure and timetables for service.
• Witness availability and special measures: Early identification of witness vulnerability allows for the listing of ground rules hearings and arrangement of support. Delays in raising such needs can endanger both the fairness of the trial and the quality of the evidence.

In certain situations, a further short case management hearing—or, for vulnerable witnesses, a ground rules hearing—may be scheduled. Otherwise, the aim is to complete pre-trial directions in a single hearing.

Worked Example 1.6

Scenario:
The defence serves an expert report shortly before trial, after standard case directions have passed. The prosecution objects to its introduction.

Question:
How will the court deal with this development, and what are the possible outcomes?

Answer:
The court will consider the reasons for late service and any prejudice caused. If no good reason exists, the court may exclude the report, adjourn proceedings, or make adverse comment. If the report raises essential issues (e.g., about the mental health of the defendant), the court may vary the timetable but will make directions to mitigate any prejudice to other parties.

Exam Warning

Non‑compliance with case management directions or disclosure obligations can result in adjournments, adverse comment or inferences, refusal of late applications, exclusion of evidence (including under s 78 PACE 1984), revising of cost awards, and, exceptionally, disciplinary investigation for professional misconduct. In particular, in the Crown Court, failure to serve a defence statement or update it can result in the jury being invited to draw an adverse inference as to the honesty or substance of the defence.

Sensitive material must not be withheld unilaterally by the prosecution; public interest immunity requires a judicial ruling. Failure to disclose or seek timely rulings risks conviction being quashed on appeal, or an order for retrial on the basis of procedural unfairness.

Revision Tip

Careful study of the PTPH and Magistrates’ Court Trial Preparation Form is essential. Practise identifying the real issues in a scenario, agreeing uncontested evidence under s 10 CJA 1967, and constructing a timetable for all evidence, disclosure, witness notification, and applications for special measures or expert evidence. Always distinguish between what is required in the magistrates’ court (optional defence statement) and in the Crown Court (mandatory defence statement).

Key Point Checklist

This article has covered the following key knowledge points:

• The purpose of case management directions is to ensure efficient, fair, and effective trials in the magistrates’ court.
• The Criminal Procedure Rules require active case management by the court and parties and emphasise early identification of issues and agreed admissions.
• Preparation for trial in the magistrates’ court (including PTPH) is used to identify issues, set deadlines, and record directions on the Magistrates’ Court Trial Preparation Form; ground rules hearings may be listed for vulnerable witnesses.
• IDPC must be served to enable plea, allocation and directions; initial disclosure of unused material follows a not guilty plea (magistrates’ court) or service of evidence (Crown Court).
• The prosecution must serve all evidence and disclose unused material that could undermine its case or assist the defence; this duty is continuing and guided by AG Guidelines 2022.
• Defence statements are optional in the magistrates’ court and mandatory in the Crown Court, complying with s 6A CPIA; where an alibi is relied on, particulars and witness details must be provided.
• Defence witness details must be notified under s 6C CPIA; a witness summons or s 9 CJA 1967 statement can support efficient proof of uncontested facts.
• Case management directions require the parties’ and legal adviser’s active attention; compliance is recorded and enforced, and failures may result in sanctions, re-setting of timetables, exclusion of evidence, or costs.
• Witness management, including special measures, ground rules hearings, and intermediary appointments, is essential to delivering best evidence and trial fairness.

Key Terms and Concepts

• case management directions
• Criminal Procedure Rules (CrimPR)
• plea and trial preparation hearing (PTPH)
• Magistrates’ Court Trial Preparation Form
• disclosure
• unused material
• public interest immunity
• defence statement
• Initial Details of the Prosecution Case (IDPC)
• ground rules hearing
• active case management
• s 6C CPIA witness notification
• s 9 CJA 1967 written statement
• special measures
• witness summons
• intermediary