Case management and pre-trial hearings - Pre-trial applicati...

Learning Outcomes

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

• the objectives and structure of case management and pre-trial hearings under the CrimPR in magistrates’ and Crown Courts;
• the functions of PET and PTPH hearings in identifying issues, setting timetables, and promoting effective trial preparation;
• main categories of pre-trial applications and notices (dismissal, exclusion of evidence, abuse of process, special measures, evidential notices);
• prosecution and defence disclosure duties under CPIA 1996, the CrimPR, and Article 6 ECHR, including sanctions for breach;
• bail decision-making under the Bail Act 1976, including presumptions, statutory exceptions, appropriate conditions, and responses to breach or absconding;
• the court’s case management powers to issue directions, control timetables, and impose sanctions for non-compliance or procedural default;
• how Articles 5 and 6 ECHR and the Human Rights Act 1998 shape bail, disclosure, and broader pre-trial fairness assessments;
• professional and ethical obligations of practitioners regarding candour to the court, responsible case progression, and proper handling of disclosure.

SQE1 Syllabus

For SQE1, you are required to understand case management and pre-trial hearings—including pre-trial applications and notices—with a focus on the following syllabus points:

• the structure, function, and statutory/regulatory basis of case management hearings in criminal proceedings, including key Criminal Procedure Rules (CrimPR) and Practice Directions.
• purposes and procedural steps of pre-trial applications and notices, including but not limited to applications to dismiss (Crown Court); applications to exclude evidence (PACE ss.76, 78; bad character; hearsay); abuse of process and stay applications; special measures for vulnerable and intimidated witnesses; statutory and CrimPR notice requirements for evidential matters.
• prosecution and defence disclosure requirements, initial and continuing, in both magistrates’ and Crown Court, including deadlines and the implications of non-compliance.
• statutory frameworks and principles for bail decision-making, including conditional and unconditional bail, exceptions, appeals, and breach consequences.
• the court’s extensive powers for issuing case management directions, timetabling, directions to secure an effective trial, and overseeing compliance—including sanctions for non-compliance.
• professional and ethical obligations in pre-trial and trial proceedings, especially with respect to not misleading the court, complying with disclosure, and managing conflicts of interest.
• key human rights (Articles 5, 6 of the ECHR) as they apply to criminal procedure and pre-trial fairness.

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. Which legal test applies when a defendant applies to dismiss charges before trial in the Crown Court?
3. What are the key factors a court considers when deciding whether to grant bail before trial?
4. When must the prosecution disclose unused material to the defence?

Introduction

Effective case management and robust pre-trial hearings underpin the just and expeditious resolution of criminal proceedings. Through case management, parties and court collaborate under the Criminal Procedure Rules (CrimPR) to clarify disputed issues, facilitate early admissions, secure timely disclosure, and minimise avoidable delay, thus safeguarding the right to a fair trial under Article 6 ECHR.

Pre-trial applications and notices play an important role in resolving questions of law and admissibility, preventing unfair advantage, and ensuring evidential and procedural fairness before a jury is sworn or the magistrates begin the evidence. They are necessary for identifying and eliminating improper prosecutions, excluding unreliable or prejudicial evidence, and ensuring appropriate measures for vulnerable witnesses. Strict case management—including compliance with directions and deadlines—balances the applicant’s rights with those of victims, witnesses, and the wider public interest in justice without undue delay or cost.

Key Term: case management
The court-supervised process for directing and monitoring the progress of a criminal case before trial, including issuing directions, resolving procedural disputes, and ensuring compliance with timetables and disclosure obligations.

Case Management and Pre-Trial Hearings: Overview

Case management in criminal litigation is primarily governed by the Criminal Procedure Rules (CrimPR), Practice Directions, case law, and the Better Case Management (BCM) initiative. The overriding objective—set out in CrimPR Part 1—is to deal with criminal cases ‘justly’. This includes convicting the guilty, acquitting the innocent, and upholding the rights of all parties, especially the defendant’s right to a fair trial (Article 6 ECHR).

The court’s case management duties, primarily under CrimPR Part 3, require:

• early identification of the real issues in dispute between prosecution and defence
• taking proactive steps to minimise disputes about formal evidence or procedural points
• early setting and robust monitoring of deadlines for disclosure, service of evidence, and written submissions
• ensuring the needs of all witnesses—in particular, vulnerable or intimidated witnesses—are considered from the outset
• addressing issues concerning special measures, resource requirements, expert evidence, and use of technology
• encouraging parties to cooperate fully, avoid unnecessary hearings, and make best use of available court resources

The process is iterative: once directions are given, the parties are monitored for compliance. Failure to comply can result in sanctions, ranging from adverse findings at trial or costs orders to, in serious cases, exclusion of evidence or case dismissal.

In practice, preparation for effective trial is formalised by completion of a Preparation for Effective Trial (PET) form in the magistrates’ court or a PTPH form in the Crown Court. These forms record the areas of agreement, factual issues, anticipated legal arguments, and provide a tailored timetable of case management steps. Documentation is reviewed, and directions refined, at subsequent reviews and pre-trial hearings.

Key Term: overriding objective
The principle under CrimPR requiring that criminal cases are dealt with justly, fairly, and efficiently, including protection of parties’ rights under the Human Rights Act 1998 and ECHR.

The Plea and Trial Preparation Hearing (PTPH)

The PTPH is the central pre-trial hearing for all Crown Court cases, and forms the primary forum for effective case management for cases sent or committed for trial. It supersedes the old ‘Plea and Case Management Hearing’ (PCMH) and focuses on the early identification of triable issues, settlement of legal disputes, confirmation of witness requirements, and proactive timetabling.

At a PTPH:

• The defendant is arraigned (pleas entered on all counts of the indictment).
• The court undertakes full issue identification, directing the parties to specify areas of factual or legal dispute and admissions.
• The court issues bespoke directions, setting deadlines for evidence, disclosure, expert reports, and service of applications and notices (bad character, hearsay, special measures, suppression orders).
• The witness schedule and any additional needs (such as interpreters or intermediaries) are fixed.
• The necessity and timescales for pre-trial legal applications—such as for exclusion of evidence or abuse of process—are identified, ensuring procedural fairness is maintained.
• Where required, ground rules hearings are scheduled for questioning of vulnerable witnesses, and technology requirements are addressed.
• A trial date is set, confirming the court’s confidence in trial readiness or listing further review hearings if necessary.

Management of the PTPH falls under CrimPR Part 3 and Practice Directions, and all parties must be ready with completed and agreed forms, having conferred in advance. Non-compliance may warrant judicial sanction.

Key Term: plea and trial preparation hearing (PTPH)
A structured pre-trial hearing in the Crown Court where the plea is taken, issues are identified, directions for trial are set, and subsequent applications are timetabled.

Worked Example 1.1

A defendant is charged with burglary and appears at the Crown Court for a PTPH. The defendant pleads not guilty. What will the court do at this hearing?

Answer:
The court will identify the disputed issues, fix a timetable for service of evidence and disclosure, give directions for the attendance and management of witnesses, address any anticipated legal applications (e.g., to exclude evidence or for special measures), and set a trial date.

Pre-Trial Applications and Notices

Pre-trial applications are a core aspect of modern criminal proceedings. They are used to clarify and resolve substantive or procedural issues before the trial begins and allow the court to make determinations that shape the structure and fairness of the trial process. Equally, many such applications trigger or require the service of formal notices under procedural rules, such as for the introduction of hearsay or bad character evidence.

Common pre-trial applications include:

• Applications to dismiss charges (Crime and Disorder Act 1998, s. 51, Crown Court only)
• Applications to exclude evidence (such as confessions under PACE, or prejudicial material under PACE s.78 or bad character/ hearsay under the Criminal Justice Act 2003)
• Applications to stay proceedings as an abuse of process (for example, where delay, misconduct, or missing evidence fatally undermines fairness)
• Special measures applications for vulnerable or intimidated witnesses, made under the Youth Justice and Criminal Evidence Act 1999
• Applications for directions or to vary existing case management orders
• Applications for the use of live links, intermediaries, interpreters, or other enhancements to trial participation

Pre-trial notices provide the procedural vehicle for alerting the court and other party to the intended introduction of certain evidence or legal arguments. CrimPR and statute mandate notice in the case of:

• bad character evidence (Criminal Justice Act 2003, s. 101 and CrimPR Part 21)
• hearsay (Criminal Justice Act 2003, s. 114-136 and CrimPR Part 20)
• expert evidence (CrimPR Part 19)
• special measures (CrimPR Part 18)
• intention to rely upon alibi (CPIA 1996, s. 6A)

The requirement for notice ensures procedural fairness, allowing the opposing side a proper opportunity to object, prepare counter-arguments, or make reciprocal applications. It also upholds a defendant’s right to a fair hearing under Article 6 ECHR by ensuring that no party is ‘taken by surprise’ and by protecting against undue delay and unnecessary adjournments.

Key Term: pre-trial application
A formal application to the court before trial to resolve substantive or procedural legal issues, such as seeking exclusion of evidence or discontinuation of proceedings.

Key Term: pre-trial notice
A written notice required by the CrimPR or statute informing the court and opposing party of an intention to adduce specific types of evidence or advance certain legal arguments prior to trial.

CrimPR Parts 20, 21, and related practice directions set out the procedures and content for such notices, including strict deadlines for service and requirements as to form and detail.

Worked Example 1.2

The defence believes that the prosecution’s evidence is insufficient to support a conviction. What pre-trial application can they make in the Crown Court, and what is the legal test?

Answer:
The defence may apply to dismiss under s. 51 of the Crime and Disorder Act 1998. The judge will consider whether, taking the prosecution evidence at its highest, a jury could properly convict. If the evidence is insufficient for a conviction, the case will be dismissed.

Further details

• Applications to Dismiss: Only available in the Crown Court, these are considered after the service of prosecution papers. The judge must determine if there is sufficient evidence on which a properly directed jury could convict. Applications are usually made in writing, but an oral hearing may occur in complex matters or where the judge requires clarification.
• Applications to Exclude Evidence: These are governed primarily by ss 76 and 78 of PACE 1984, s 101 CJA 2003 (bad character), and statutory provisions on hearsay. Applications must be detailed, referring to the specific evidence to be excluded and the grounds for exclusion, such as oppression, unreliability, or unfairness.
• Applications for Special Measures: Applications must specify why a witness is eligible (age, mental/physical impairment, fear/distress, sexual offence complainant), supported by any evidence justifying the measure (medical, psychological, or social work report). Applications should be made as soon as possible after identification of witness need and prior to trial listing.

Other Common Pre-Trial Applications

• Applications to stay proceedings for abuse of process, raised where it would be oppressive or unfair to continue (due to e.g. significant delay, entrapment, missing evidence)
• Applications for anonymity orders or protection of witness identity in threat cases
• Applications to introduce bad character or hearsay evidence, or to challenge their admission

Each application or notice type carries its own specified procedure and deadlines within the CrimPR, and late service can be fatal to an argument being allowed.

Disclosure Obligations

Disclosure of evidence, both used and unused, is a central feature of criminal justice, empowering both sides to prepare their case and safeguard the defendant’s right to a fair trial. Disclosure law is governed principally by the Criminal Procedure and Investigations Act 1996 (CPIA 1996), the Criminal Procedure Rules, recent Attorney General’s Guidelines, and Article 6 ECHR jurisprudence.

Key Term: disclosure
The process of providing material in a criminal case—by either prosecution or defence—that is relevant to the issues, in accordance with legal obligations and procedural rules.

Prosecution Disclosure

Prosecution disclosure is divided into two distinct phases:

• Initial Disclosure: Under s. 3 CPIA 1996, the prosecution must disclose to the defence any material in its possession which might reasonably be considered capable of undermining the prosecution case or assisting the defence. This includes exculpatory or potentially discrediting material, such as prior inconsistent statements, witness credibility issues, or evidence supporting an alibi.

  • In the magistrates’ court, this must occur as soon as is reasonably practicable after a not guilty plea.
  • In the Crown Court, this occurs after committal or sending of the case for trial and as soon as it is practicable.

• Continuing Duty: The obligation to disclose is ongoing and dynamic. If further relevant material comes to light at any point before verdict, that material must be disclosed without delay.

Where public interest immunity (PII) is claimed over sensitive material (e.g. national security, informant identity), a separate schedule must be prepared, and the court must rule on withholding disclosure after hearing submissions.

Key Term: unused material
Material that comes into the possession of the prosecution during investigation but is not relied upon in proving the prosecution case. It must still be scheduled, reviewed, and disclosed where appropriate.

Defence Disclosure

Defence disclosure requirements are court-specific:

• Magistrates’ Court: Defence disclosure is not compulsory, but may assist in narrowing issues or supporting further prosecution disclosure. If served, a defence statement must be in writing and provided within 14 days of initial prosecution disclosure.
• Crown Court: Defence disclosure is mandatory under s. 5-6 CPIA 1996. A defence statement must be served within 28 days of prosecution disclosure, outlining the nature of the defence, disputed facts, anticipated legal arguments, and, if relied upon, details of any alibi (including witness particulars).

The service of a detailed defence statement is essential, as it shapes subsequent prosecution obligations, focuses the trial on real disputes, and may affect the court’s willingness to admit or exclude evidence or draw adverse inferences.

Adverse inferences (per CrimPR and common law) may be drawn in certain instances, such as late service or inconsistencies in the defence statement, and the prosecution may cross-examine or comment accordingly before the jury (with appropriate judicial guidance).

Worked Example 1.3

The prosecution receives new evidence after initial disclosure that may assist the defence. What must the prosecution do?

Answer:
The prosecution must promptly disclose the new material, as the duty of disclosure is continuing and arises as soon as it is reasonably practicable to do so. Failure to disclose may result in case management sanctions and, if significant, grounds for excluding the evidence, an abuse of process application, or appeal.

Additional Aspects of Disclosure

Initial disclosure is only a starting point. Prosecution must serve a schedule of unused material and inform the defence if no such material exists. Defence applications for further disclosure under s. 8 CPIA are permitted if the defence believes additional relevant material exists that should be disclosed. The prosecution’s possession of PII or sensitive material obliges written application to the court explaining the grounds for withholding.

Deliberate or reckless breaches of disclosure obligations can result in wasted costs orders, exclusion of non-disclosed evidence (PACE s. 78), or, in egregious cases, a stay of proceedings as an abuse of process.

Summary Table: Deadlines for Disclosure

• Prosecution initial disclosure (magistrates’): as soon as reasonably practicable after a not guilty plea.
• Prosecution initial disclosure (Crown Court): as soon as reasonably practicable after case is sent or committed for trial.
• Defence statement (magistrates’): optional; within 14 days of initial prosecution disclosure if made.
• Defence statement (Crown Court): mandatory; within 28 days of initial prosecution disclosure.

Bail Decisions Before Trial

Bail is the principle of provisional liberty for an accused pending proceedings. Under the Bail Act 1976, there is a statutory presumption in favour of bail for defendants awaiting trial or sentence, except where certain statutory exceptions apply. The purpose is to protect defendants’ liberty unless clear reasons require restriction.

Key Term: bail
The provisional release of a person accused of a criminal offence pending trial or further hearings, subject to conditions and obligations to surrender. The presumption of bail is displaced only when risks clearly outweigh the liberty interest.

Procedure and Criteria for Granting or Refusing Bail

The court’s decision on bail is guided by statutory exceptions found in Schedule 1 to the Bail Act 1976 and detailed in CrimPR. Bail can be refused if substantial grounds exist for believing the defendant would:

• fail to surrender to custody
• commit further offences on bail
• interfere with witnesses or otherwise obstruct the course of justice
• require custody for their own protection or welfare

Factors for the court’s consideration include:

• Nature and seriousness of the offence
• Probable method of dealing with the defendant if convicted
• Character, antecedents (criminal record), and associations
• Previous record regarding bail (any absconding or reoffending)
• Community ties, residence, and employment status
• Strength of prosecution evidence

Bail may be unconditional or subject to conditions designed to address foreseeable risks (e.g. residence requirements, curfew, tagging, reporting, non-contact orders, surrender of passport, surety/security). The court must not impose conditions more restrictive than required to mitigate those risks.

Routes exist for both prosecution and defence to appeal decisions regarding bail, as well as for either party to seek variation of conditions.

Breaches of bail conditions (absconding or failing to comply with a condition) may result in arrest and reconsideration of bail, though breach itself is not a substantive offence (except for absconding by failing to surrender). Serious or repeated breaches can result in remand in custody and forfeiture of sureties.

Worked Example 1.4

A defendant is given bail subject to a condition that he resides at a specified address. He is later arrested elsewhere in breach of that condition. What are the consequences?

Answer:
The police may arrest the defendant without warrant for breach of a bail condition. The defendant must be brought before the magistrates’ court promptly (normally within 24 hours), where bail will be reconsidered. Breaching a bail condition is not, of itself, a criminal offence, but persistent breaches may result in remand in custody or varied, more stringent conditions.

Case Management Directions

The court’s role in case management includes persistent oversight and intervention to ensure that cases progress efficiently towards trial, with tight control of service dates, evidence, and anticipated disputes. Directions may be given at any stage (CrimPR Part 3) and typically address:

• Service of outstanding evidence or disclosure
• Witness attendance, including special measures or witness summonses
• Expert evidence—timetabling reports, joint meetings where experts differ, and notification for live testimony
• Timings for hearing pre-trial legal arguments (e.g. bad character, hearsay, s. 8 disclosure applications)
• Final trial readiness certifications, addressing compliance and resource needs

Key Term: case management direction
An order made by the court specifying procedural steps for parties (e.g., deadlines for evidence, dates for service of applications, instructions for expert or witness management).

Non-compliance with such directions can lead to a range of sanctions, including adverse findings, wasted costs, or even exclusion of evidence.

Common Pre-Trial Applications

Applications to Dismiss

In the Crown Court, the accused may apply for dismissal of charges under s. 51 Crime and Disorder Act 1998 where, after the service of prosecution papers, there is said to be insufficient evidence for a reasonable jury to convict. The judge considers the prosecution evidence ‘at its highest’—i.e., assuming witnesses are believed and interpreted as supporting the prosecution case—and determines whether any jury could convict.

If the application is successful, the charge is dismissed and cannot proceed to trial. If it is refused, the case continues as normal.

Applications to Exclude Evidence

Applications to exclude evidence are primarily grounded upon:

• PACE s. 76: Confessions said to be obtained by oppression or in circumstances likely to render them unreliable must be excluded (court has no discretion where these grounds are established).
• PACE s. 78: The court has discretion to exclude any prosecution evidence (not just confessions) if, in all the circumstances, including how the evidence was obtained, its admission would have an adverse effect on the fairness of the proceedings.
• Criminal Justice Act 2003, s. 101-103: Bad character evidence may only be introduced through one of the statutory gateways and proper notice.
• Criminal Justice Act 2003, s. 114-136: Hearsay evidence must satisfy the statutory gateways, and notice must be given unless the opposing party waives it or consents.

Applications must clearly articulate the statutory or common law grounds for exclusion, be supported by evidence or particulars as appropriate, and be lodged within the timeframes prescribed by CrimPR Parts 20, 21, and relevant practice directions.

Applications to Stay Proceedings

A ‘stay’ for abuse of process may arise where, for example, delay, non-disclosure, missing evidence, entrapment, or serious prosecution misconduct so fundamentally undermines fairness that a fair trial is no longer possible, or where it would offend the court’s sense of justice to continue.

Courts approach stays very cautiously, as a permanent stay brings the prosecution to an end, and will generally only be granted where no other remedy (such as exclusion of evidence) will cure the injustice.

Applications for Special Measures

Pre-trial applications for special measures (Youth Justice and Criminal Evidence Act 1999) are used to protect vulnerable or intimidated witnesses and secure the best possible evidence. These can include:

• screens to shield the witness from the defendant
• giving evidence by live link
• evidence given in private
• removal of wigs and gowns
• use of intermediaries to facilitate communication
• admission of pre-recorded interviews as evidence-in-chief

Eligibility for such measures is determined by age, mental or physical disability, or fear/distress connected to the proceedings (including automatic eligibility for sexual offence complainants and certain firearms offences). Applications must be lodged as early as possible, and kept under review as the case develops.

The Importance of Timely Disclosure and Applications

Timeliness is of the essence in all pre-trial litigation. Late, incomplete, or inadequate disclosure or missed notices can result in incomplete preparation for trial, prejudice to either side, and, ultimately, jeopardise the fairness of proceedings (Article 6 ECHR). The court’s powers for managing compliance are comprehensive and include requiring explanations, imposing sanctions, and, in rare cases, staying proceedings for fundamental non-compliance.

CrimPR and recent judicial attitudes strongly disapprove of ‘trial by ambush’ or tactical late introduction of issues. Instead, proactive identification and advance raising of legal arguments, evidential applications, and witness or expert needs are essential to a fair process.

Exam Warning:
Failing to comply with disclosure obligations or case management directions can result in significant procedural and evidential disadvantages (including exclusion of evidence, wasted costs orders, or even case dismissal). Always be vigilant for deadlines and serve notices/applications promptly and in the required form.

Worked Example 1.5

The prosecution fails to serve a schedule of unused material before the deadline and the trial is imminent. What are the possible consequences?

Answer:
The defence may seek an adjournment, request specific disclosure or a direction from the court, or even apply to stay proceedings for unfairness. Persistent or serious failures could result in exclusion of prosecution evidence or, in exceptional cases, a permanent stay of proceedings.

Summary

Case management and pre-trial hearings ensure that criminal cases are prepared and resolved with fairness and efficiency, driven by active and structured court oversight. Pre-trial applications and statutory notices allow legal and evidential issues to be addressed early and proportionately—whether the issue is the sufficiency of the evidence (dismissal), the admissibility or fairness of admitting certain material, or the support of a vulnerable witness.

Disclosure between prosecution and defence is a continuing and reciprocal obligation, with non-compliance potentially undermining the system and risking miscarriages of justice. Bail, as the default position, is only withheld or made conditional where prescribed risks are established and cannot otherwise be mitigated. Judicial case management directions enforce accountability and readiness, empowering the court to prevent inefficiency and difficulty at trial.

Respect for deadlines, rigorous preparation, and strict adherence to ethical obligations underpin every stage in the pre-trial process, safeguarding the rights of the accused, victims and witnesses, and upholding public confidence in the criminal justice system.

Key Point Checklist

This article has covered the following key knowledge points:

• The principles and requirements of case management and pre-trial hearings in criminal proceedings, including the role of the CrimPR and active judicial oversight
• The types, purposes, and procedural requirements for making pre-trial applications and giving formal notices (e.g., for dismissal, exclusion of evidence, bad character, hearsay)
• The legal framework and process for both prosecution and defence disclosure, including initial and continuing obligations, and consequences of non-compliance
• The criteria and procedure for bail decisions, including exceptions, conditions, and procedural rights on breach or appeal
• The powers of the court to issue case management directions, timetable proceedings, and monitor compliance
• The distinct criteria and procedures for staying proceedings as an abuse of process or excluding unreliable evidence
• Delivery and management of special measures for vulnerable witnesses, with attention to eligibility and best evidence
• Interaction of Articles 5 and 6 ECHR with domestic procedural rights and remedies at the pre-trial stage
• The various sanctions and consequences for breach of procedural or evidential obligations at the pre-trial stage

Key Terms and Concepts

• case management
• overriding objective
• plea and trial preparation hearing (PTPH)
• pre-trial application
• pre-trial notice
• disclosure
• unused material
• bail
• case management direction