Case management and pre-trial hearings - Plea and Trial Prep...

Learning Outcomes

This article explains the Plea and Trial Preparation Hearing (PTPH) in the Crown Court, including:

• The structure, sequence, and purpose of each PTPH stage, from arraignment to the setting of a trial timetable
• How the PTPH fits within modern criminal litigation, the Criminal Procedure Rules’ overriding objective, and the wider case management framework
• Accurate completion and forensic use of the Crown Court case management form to identify, narrow, and record issues in dispute or agreement
• Statutory and practical disclosure duties of prosecution and defence under CPIA 1996 and the Attorney General’s Guidelines, with emphasis on exam-standard terminology
• Judicial powers to issue binding directions, control timetables, manage witnesses and evidence, and order further case management hearings where appropriate
• Professional conduct obligations of solicitors at PTPH, including plea advice, strategic decision‑making, and dealing with Goodyear indications and Newton hearings
• Application of PTPH principles to realistic SQE-style scenarios, highlighting risks of non-compliance, wasted costs, and adverse inferences
• The relationship between PTPH outcomes, subsequent pre-trial hearings, and ultimate trial readiness in the Crown Court

SQE1 Syllabus

For SQE1, you are required to understand the Plea and Trial Preparation Hearing (PTPH) in the Crown Court, including its structure, case management processes, judicial roles, and statutory disclosure duties, with a focus on the following syllabus points:

• the structure, aims, and process of the Plea and Trial Preparation Hearing (PTPH) in the Crown Court
• case management powers and duties under the Criminal Procedure Rules (CrimPR) and related protocols
• the initial and continuing disclosure obligations on prosecution and defence under the Criminal Procedure and Investigations Act 1996 (CPIA) and Attorney General’s Guidelines
• the judge’s functions in managing the timetable and issuing tailored directions
• identification, agreement, and dispute of issues in pre-trial case management forms
• the procedure for making and responding to applications (e.g., special measures, bad character, hearsay)
• professional conduct, duties to client and court, and strategic considerations for solicitors at all PTPH stages
• consequences of failing to comply with case management guidance, directions, or disclosure requirements

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. When must the prosecution comply with its initial disclosure obligations in the Crown Court process?
3. What are the possible outcomes if a defendant pleads guilty at the PTPH?
4. Who is responsible for setting the timetable and issuing directions for trial preparation at the PTPH?

Introduction

The Plea and Trial Preparation Hearing (PTPH) is the statutory touchstone of pre-trial process in the Crown Court of England and Wales. It stands as a mandatory procedural step for all cases sent for trial in the Crown Court, ensuring the effective and just management of criminal proceedings. Governed by the Criminal Procedure Rules (CrimPR), the PTPH provides a platform for efficient issue identification, early case clarification, and robust schedule management, while actively enforcing compliance with investigative and legal disclosure duties by the prosecution and defence. This hearing represents a shift from passive to active case management, making it necessary for all parties and their legal representatives to be comprehensively prepared.

Key Term: Plea and Trial Preparation Hearing (PTPH)
A mandatory pre-trial court hearing in the Crown Court at which the defendant is called upon to enter a plea, case management is undertaken, and procedural directions are made in preparation for trial.

The Purpose and Structure of the PTPH

The core objectives of the PTPH are:

• to require the defendant to enter a plea to each count on the indictment (arraignment)
• to identify and clarify the factual and legal issues genuinely in dispute
• to set and enforce a timetable for all consequential trial preparation steps
• to establish a clear case management pathway and responsibilities for prosecution and defence
• to verify compliance with initial statutory disclosure and defence obligations under CPIA 1996 and the Attorney-General's Guidelines on Disclosure
• to provide structure for raising and resolving applications (such as special measures, bad character, hearsay, and admissibility of evidence)

The PTPH is designed to consolidate pre-trial management and avoid subsequent, unnecessary hearings. Diversity in case complexity is accounted for, with the PTPH serving as either the principal pre-trial management stage or, in complex cases, the first in a series of case management hearings.

Key Term: case management
The process by which the court and parties collaboratively prepare and progress a criminal case to ensure a fair, efficient, and timely trial, rooted in the Criminal Procedure Rules’ overriding objective.

Case Management at the PTPH

The PTPH serves as the fulcrum of strategic and procedural organisation for Crown Court cases. The judge at this stage acts not just as a passive referee but as an active manager, exercising powers under CrimPR Part 3 and the statutory overriding objective to achieve justice and avoid delay.

The parties are required to complete and submit a bespoke case management form prior to the hearing. This form systematically gathers and records all matters relevant to progression, including:

• completed arraignment details and any anticipated further charges or amendments to indictment
• precise identification of factual and legal issues in dispute, and those which can be agreed
• details of prosecution and defence witnesses (including expert and vulnerable witnesses) to be called, and supporting information
• statements of how each party will prepare for trial, including outstanding investigative steps

The judge uses the completed forms and oral clarification to:

• allocate and record deadlines for service of further evidence, unused material, and any responses or defence documents required
• establish a trial timetable, fixing a date or placing the case into a 'warned list' if necessary
• rule on the need for any further case management hearings (often called Further Case Management Hearings, FCMHs)
• set dates for applications for special measures, hearsay, bad character, or admissibility issues
• address requirements for interpreters, intermediaries, or communication support

Key Term: judicial directions
Orders made by the court during case management (including at PTPH) specifying steps, actions, or deadlines for the prosecution or defence to fulfil.

Plea Entry and Immediate Consequences

The defendant is formally 'arraigned' at PTPH, with each count of the indictment put to them for a separate plea. The implications are significant:

• If the defendant pleads guilty to one or more counts, the judge will consider whether sentence can be imposed immediately, whether pre-sentence reports are needed, or, if the court’s sentencing powers are inadequate, whether committal to the Crown Court for sentence is required. Special attention is paid to the basis of plea—if disputed, a Newton hearing may be ordered to resolve factual disagreement relevant to sentence.
• A Goodyear indication (advance indication of likely sentence upon guilty plea) may be sought by the defence; if given and a guilty plea is entered, it binds the court in terms of potential sentence.
• If the defendant pleads not guilty to any or all counts, the court moves to rigorous trial preparation. Directions are issued and a trial date set, following a detailed review of all disputed and agreed matters.

Key Term: arraignment
The formal stage in criminal process when a defendant is asked to plead to each charge on the indictment.

Early Identification of Issues

A central function of the PTPH is to pinpoint, as early as possible, points of agreement and dispute between the parties, thereby streamlining trial preparation and avoiding unnecessary delays.

• Parties must agree and record undisputed facts, allowing them to be admitted under s.10 Criminal Justice Act 1967.
• Areas of factual dispute—including witness accounts, forensic evidence, or the existence of relevant documents—must be framed clearly, as these will dictate the subsequent focus of trial advocacy and evidence-gathering.
• Anticipated legal issues—including applications for the exclusion or admission of evidence (e.g., under s.76 or s.78 PACE, bad character, hearsay)—are to be flagged, with timeframes for skeleton arguments or supporting documentation.
• Any special requirements (interpreters, intermediaries, video links, special measures for vulnerable witnesses or parties) must be identified so that the necessary arrangements and applications are scheduled.

This early clarification ensures compliance with the case management principle under CrimPR—dealing with cases justly and efficiently by ensuring both parties and the court are clear on the issues requiring determination at trial.

Disclosure Duties

PTPH is an important checkpoint for disclosure obligations under the CPIA 1996 and the Attorney General's Guidelines on Disclosure (2022). Correct application of the law and practice is critical for Crown Court criminal litigation.

• The prosecution must confirm compliance with the initial duty of disclosure—serving on the defence all material capable of undermining the prosecution case or assisting the accused, including unused material, in line with s.3 CPIA 1996 and associated Codes of Practice.

• Any outstanding or anticipated items of unused material, digital evidence, or expert reports must be identified, with dates set for compliance.

• The defence is under a mandatory duty to serve a full and detailed defence statement (CPIA 1996, s.5-6A), which must:

  • set out the nature of the defence, including any particular defences on which the accused intends to rely
  • specify facts in dispute, any points of law (including those relating to admissibility or abuse of process)
  • provide particulars of any alibi and furnish details of any witnesses or expert reports to be called

• The timetable for service of the defence statement is strictly controlled (generally within 28 days of prosecution disclosure) and failures to comply may attract comment or adverse inferences at trial (CPIA, s.11A).

Key Term: disclosure
The process of sharing material relevant to the case, where the prosecution must provide to the defence any material that could undermine its case or assist the defence; in the Crown Court, the defence must issue a comprehensive written defence statement.

The court uses the PTPH to ensure that all parties understand the requirements and the consequences of non-compliance, including the risk of exclusion of evidence, adverse inferences being drawn at trial, or judicial orders for costs.

Judicial Directions and Timetable

Active case management at PTPH requires the judge to exercise rigorous control over the progress of the case, issuing tailored directions suited to the demands of the evidence, the application timetable, and the parties’ trial readiness.

• Deadlines are set for outstanding prosecution or defence evidence, unused material, and skeleton arguments for legal applications.
• Timetables for applications, such as for special measures (e.g., s.19-22 Youth Justice and Criminal Evidence Act 1999), hearsay (CrimPR Part 20), or bad character (CJA 2003, s.101-103), are established.
• Arrangements for interpreters or intermediaries are confirmed.
• A fixed trial date is set wherever possible (or, exceptionally, the case is placed in a warned list, with a subsequent fix date assigned as trial readiness allows).
• The PTPH may conclude with the listing of a further case management hearing (FCMH) if matters remain unresolved, if the case demonstrates exceptional complexity, or if compliance is not achieved by the parties.

The content and timing of directions are recorded in the official case management form and serve as the authoritative progression framework for trial preparation. Non-compliance may result in sanctions, including costs orders.

Professional Conduct and Strategic Considerations

Solicitors appearing at PTPH must act in accordance with the professional and ethical obligations governed by the SRA Code of Conduct and the CrimPR. They are required to:

• ensure their client is properly advised on plea, procedure, and potential consequences; this includes reviewing all served evidence and unused material and evaluating the tactical and sentencing implications of pleading guilty at this stage
• identify promptly any procedural or evidential gaps in the prosecution’s case and advise on possible legal arguments (e.g., challenging admissibility or making applications for the exclusion of evidence)
• lodge any intended evidential applications (such as for special measures, bad character evidence, or admissibility/exclusion under PACE) within deadlines, supplying persuasive supporting material
• ensure compliance with all deadlines and directions, proactively communicating with the court and other parties if difficulties or further directions are needed
• maintain full records of all correspondence, compliance, instructions, and directions to demonstrate diligence and ensure transparency throughout the case management process

Professional conduct further entails that solicitors must never mislead the court, must not attempt to circumvent disclosure protocols or timeframes, and must notify the client of any developments at each stage, or if conflicts of interest or obligations arise. Advising on the engagement and handling of expert witnesses, or accommodating vulnerable client needs (interpreters, intermediaries, or special advocacy measures), may be necessary to proper preparation.

Key Term: professional conduct
The set of ethical and procedural duties binding solicitors, which require integrity, preparation, candour towards the court, and compliance with procedural and substantive law—including CrimPR and SRA regulations.

Solicitors may also have to address issues such as advising clients on the strategic merits and risks of electing for jury or magistrates’ trial, responding to Goodyear indications, and considering the implications of trial length and case complexity for funding or representation orders.

Outcomes and Further Hearings

After the PTPH, cases will fall into one of several categories:

• Guilty plea: The court will either proceed to immediate sentence or adjourn for pre-sentence reports. A Newton hearing may be scheduled if the facts relevant to the plea are disputed and material to the sentence.
• Not guilty plea: Directions for trial are issued, a date is fixed, and any outstanding case management issues are identified for further review.
• Outstanding compliance: If either party fails to comply with disclosure or case management requirements, or if the case continues to present special complexities (such as serious or multi-handed cases, anticipated legal argument, or witness needs), the judge may direct that a further hearing (FCMH) take place to address and resolve the outstanding matters.
• On occasion, pre-trial rulings may also be made at this or subsequent hearings on challenging or admitting key evidence, sometimes following 'voir dire' hearings in the absence of a jury.

Key Term: voir dire
A hearing within a trial (in the absence of the jury) to determine an evidential or admissibility issue, commonly used for disputed confessions or procedural applications.

Worked Example 1.1

Scenario:
A defendant is sent to the Crown Court for burglary. At the PTPH, the defendant pleads not guilty. The prosecution has not yet served all CCTV evidence, and the defence has not provided a defence statement.

Answer:
The judge will order the prosecution to serve any outstanding CCTV evidence by a fixed date and require the defence to serve a full defence statement in compliance with statutory and procedural deadlines. A trial date will be fixed or the case allocated to the warned list, and a further case management hearing (FCMH) may be scheduled if the case is not yet trial-ready.

Worked Example 1.2

Scenario:
At a PTPH, the prosecution applies for special measures for a vulnerable witness, and the defence wishes to challenge the admissibility of a confession allegedly made during police interview.

Answer:
The judge will timetable a hearing for the special measures application (requiring supporting materials and opportunity for defence response) and order a voir dire prior to trial to determine the admissibility of the confession. Directions will reflect the necessary exchange of evidence and documentation, as well as fixed dates for serving legal arguments and responses.

Worked Example 1.3

Scenario:
At PTPH, a defendant intends to rely on alibi evidence and proposes to call expert forensic witnesses, while the prosecution has not agreed which parts of the forensic evidence are undisputed.

Answer:
The court will direct the defence to provide full notice of alibi details, including names, addresses, and dates of birth of alibi witnesses, in their defence statement. The judge will set a timetable for expert report exchange and require the prosecution to confirm which expert evidence is agreed and which parts remain in dispute, so as to narrow trial issues and focus on disputed evidence.

Exam Warning

At the PTPH, failures to comply with case management directions or disclosure requirements can have severe consequences: adverse inferences may be drawn at trial, evidence may be excluded under s.78 PACE 1984, the court may order wasted or costs sanctions, and the matter may be reported to the SRA for consideration of misconduct. Vigilant adherence to court orders and deadlines is essential.

Revision Tip

Effective preparation for PTPH includes reviewing the case management form and directions, identifying all factual and legal issues in dispute, confirming compliance with both prosecution and defence disclosure obligations, and bringing a well-structured checklist of outstanding tasks, directions, and potential applications to court.

Key Point Checklist

This article has covered the following key knowledge points:

• The PTPH is a mandatory pre-trial hearing in the Crown Court for all cases sent for trial, aiming to clarify issues, manage disclosure, and facilitate efficient trial preparation.
• Judges at PTPH exercise active case management, issuing directions and ensuring compliance with statutory and procedural rules (CrimPR, CPIA).
• The defendant is arraigned on the indictment and enters a plea for each count; the hearing structure is tailored depending on the plea entered.
• Disclosure obligations for the prosecution (unused and served material) and the defence (mandatory defence statement, expert evidence, alibi details) are formally addressed.
• The court considers and timetables any required pre-trial applications, including special measures, hearsay, bad character, and admissibility or exclusion of evidence.
• Solicitors’ professional conduct duties include diligence, candour, strategic preparation, and compliance with all court and ethical obligations.
• Failure to comply with PTPH directions can lead to wasted costs, sanctions, adverse trial inferences, or exclusion of evidence.
• Further case management hearings may be ordered if compliance gaps persist, complexity demands it, or additional issues arise before trial.

Key Terms and Concepts

• Plea and Trial Preparation Hearing (PTPH)
• case management
• arraignment
• disclosure
• judicial directions
• professional conduct
• voir dire