Preliminaries to trial in the Crown Court Flashcards

1
Q

What are the consequences of a finding of unfitness to plead?

A

If A if found unfit to plea & jury determine that A did the act/made the omission as charged = court may make one of the following orders:

1) Hospital order
- May be made the subject of a restriction order w/o limit of time
- Murder charges = judge must make hospital order w/o limitation of time, whether or not justified on the medical evidence

2) Supervision order
- Court must have evidence that necessary arrangements in place & such supervision available

3) Order for A’s absolute discharge

*If A improves, will be arraigned in normal way

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2
Q

How is unfitness to plead determined?

A

Determined by court w/o jury on medical evidence

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3
Q

When can the court, D or P raise the question of A’s fitness of plead? How can the court deal with this?

A

During A’s trial and it the Q’s of fitness will be determined as soon as it arises.

Court may deal with this Qs in 2 ways:

a. Postponement: The court can delay making a decision about A’s fitness until any time up to opening of D case. This can happen if the court believes it’s expedient and in A’s interests and practical whilst having regard to nature of A’s supposed disability.

b. Acquittal: If the jury decides to acquit D before the question of A’s fitness is resolved, then the court won’t need to decide on A’s fitness.

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4
Q

What’s the procedure on arraignment?

A

Clerk reads indictment to A & asks whether he pleads G/NG after each count

If several counts, a plea must be taken on each one separately, immediately after it is read out

Two counts in alternative & A pleads G to first → unnecessary to take plea on second

Joint indictment → arraigned together w/ separate pleas after each count

A in custody (or, if not in custody, in appropriate circumstance) → can be arraigned via live link

Jury excluded from court until afterwards & only told counts to which A pled NG

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5
Q

What pleas that may be entered on arraignment?

A

G / NG usually

But sometimes open to A to plead NG as charged but G of alternative (lesser) offence

Only alternative is when not appropriate for A to be arraigned at all:
▪ Autrefois acquit/convict
▪ Unfitness
▪ Plea to jurisdiction

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6
Q

A enters a Plea of Not Guilty. What happens?

A

Usually entered personally, using words ‘Not Guilty’
- But is possible for valid trial to happen despite absence of personal NG plea (cf. G plea)

Effect = puts P to proof of entire case (prove BRD of AR + MR)

If P fails to adduce sufficient evidence of any element of the offence charged = A entitled to acquittal on judge’s direction following submission of no case to answer on close of P case

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7
Q

When arraigned and asked to enter a plea, you A goes silent. Is the NG entered?

A

Yes, NG also entered if:

▪ Wilful silence
▪ Failure to give direct response, or
▪ Ambiguous G plea

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8
Q

A enters a plea of Guilt, what’s the effect?

A

Must come personally from D’s mouth (i.e. not from counsel) — otherwise invalid + mistrial

Effect = P need not prove anything & no jury necessary

  • P calls evidence of A’s prior convictions
  • If dispute on material facts of the offence, can have a ‘Newton’ hearing to resolve: P must either call evidence supporting its version or accept D’s version
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9
Q

What’s a ‘Newton hearing’? When does it happen?

A

Is a ‘side hearing’ required when the D pleads G but there is disagreement with P as to the material facts on which the defendant should be sentenced.

  • A pleads G on a specific basis that the prosecution does not accept.
  • evidence is called by both parties and the judge (sitting without a jury) or the magistrates decide the basis on which they will pass sentence.

The burden of proof lies with P to satisfy the court BRD

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10
Q

Must the accused plead personally?

A

Yes, but a couple of exceptions

NG:
- Usually the use of words ‘NG’
- Wilful silence (accepted)
- Failure to give direct response (accepted)
- Ambiguous G plea (accepted)

G:
- Must come personally from D’s mouth (if not =mistrial)

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11
Q

Following a G plea, must the court adjourn? Does the presumption of bail applies?

A

It’s entirely at the court’s discretion, has 2 options:

(1) immediately move to sentencing, or

(2) adjourn to
(i) obtain reports on A, or
(ii) await outcome of other proceedings against A, so can be sentenced at the same time

*A can either be committed to custody or bail (presumption applies if adjournment for inquiries/PSR)

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12
Q

If A enters mixed pleas on multi-count indictment and P is not ready to accept those plea, what happens?

A

Will be tried for NG pleas.

The sentencing for counts A pleaded G postponed until after the trial on NG counts.

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13
Q

The indictment contains a count on which (if A pleaded NG) the jury could find the accused NG as charged, but G of an alternative, lesser offence. What are the offences?

A

A may plead NG to the offence charged but G to that lesser offence:
▪ Murder → manslaughter
▪ S 18 → s 20
▪ Possession w/ intent to supply → possession
▪ Burglary → handling stolen goods

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14
Q

A pleads G to a lesser offence. What happens if P accepts plea?

A

A acquitted of offence charged & sentenced for lesser offence

  • P only bound to act in accordance with the judge’s view if have sought it
  • P refuse to call evidence to prove A’s G as charged - court has no real alternative but to accept plead deal (subject to any proper Q of professional misconduct)
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15
Q

Can A change of plea from NG to G? What’s the procedure?

A

Yes - Judge may allow at any stage prior to jury returning verdict

Procedure = D asks for indictment to be put again, then A pleads G

a) directions: If change of plea comes after A put in charge of jury = jury should be directed to return a formal verdict of G

  • BUT valid conviction where D changed plea to G on 2nd day of the trial. If the judge dismisses the jury without recording any verdict, the legal proceedings continue as though the defendant had pleaded G during the initial arraignment.
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16
Q

Can A change of plea from G to NG? What’s the judge discretion here?

A

MORE DIFFICULT
Judge has discretion to allow this:
1) at any stage before sentence passed (NB held, no conviction until then)

2) even where original plea was unequivocal

3) must be exercised judicially — sparingly & only in clear cases (i.e. where not to do so might cause an injustice)

Examples:
- D misinformed on nature of charge / availability of a defence
- D put under pressure to plead D

NB: very difficult to appeal b/c discretion

17
Q

What are preliminary hearings? (generally)

A

Pre-trial Case Management hearing (after necessary consent for prosecution obtained)

18
Q

When must a preliminary hearing MUST/MAYoccur?

A

MUST: Where a deferred P agreement is proposed
- court will be invited to declare that agreement:
a) it’s likely to be in the interests of justice for P & A enter such agreement
2) proposed terms are are ‘fair reasonable and proportionate’

MAY: Serious cases of fraud

19
Q

What’s the Plea and trial preparation hearing (PTPH)? What’s PTPH purpose?

A

What is it?
= [save where a prelim hearing is required] the major pre-trail CC hearing (objective = should be the only pre-trial hearing)

Two stages:
(1) Plea stage,
(2) Sentence or trial preparation stage

Purpose?
If A has indicated G plea at Mags, or between then & PTPH → sentencing

Otherwise → ensure all steps to prepare trial have been taken / are timetabled

20
Q

What are the materials for the PTPH?

A
  • Time allowed for PTPH must be sufficient for effective trial preparation, including:
    ▪ Service of P case
    ▪ Preferring of indictment
    ▪ Service of DS
    ▪ Making of any application to dismiss

P material:
1) By PTPH, P must serve sufficient evidence to enable court to CM effectively without need for a further CM hearing

2) If A was remanded in custody & sent to CC without initial details of P case = material required for an A on bail must be provided 7 days before PTPH

3) CM necessary if a timetable for obtaining evidence as to mental health or capacity is necessary.

21
Q

During PTPH, the court must be satisfied that?

A

(a) that D understands credit will be given for a G plea

(b) what D’s plea is / is to be

(c) that D understands that if there is a trial, this can take place in his absence, & consequences in relation to bail if D FTS

22
Q

What info and matters must be addressed in the PTPH form?

A

Info required by form (online) must:
(1) be available to court at PTPH, and
(2) have been discussed between parties in advance

  • P must provide availability of likely P Ws so that trial date can immediately be arranged if there is no G plea

Matters of case preparation addressed in the form:
(a) orders in relation to Ws (e.g. special measures, W summons)

(b) orders as to disclosure

(c) outstanding legal issues (incl. bad character & hearsay apps)

NB content of the form = technically admissible in evidence against D (subject to PACE s 78*) — but essential that P & D are open in their answers at the PTPH & that no party later ambushes another: such candour is more likely where the answers given not liable to be later admitted in evidence

*Material recorded on the form on D’s behalf should not ordinarily be used as evidence against D – exception to Hearsay Rule

23
Q

What are P’s options on NG or mixed plea being entered?

A

(1) proceed to contested trial
(2) offer no evidence
(3) let indictment lie on court file

24
Q

P offers no evidence - what’s the procedure and when used?

A

Procedure →
1) Court may order NG verdict to be recorded w/o D being given in charge to jury
- While seems to give judge discretion, P cannot be forced to call evidence

When used →
1) P has reviewed evidence & concluded no/insufficient evidence to prove a count on the indictment, or

2) Part of an agreement w/ D under which A pleads G to other counts
- P only bound by judge’s view on this if have expressly asked judge to approve the agreement in advance of A’s plea

25
Q

P let counts lie on the file - what’s the procedure and when used?

A

Procedure →
- P asks judge to order that an indictment (or counts) shall lie on the file, marked not to be proceeded with w/o leave of the court / the CoA

When used →
- Where P does have enough evidence to prove, but decided not to pursue it for other reasons (e.g. A pleads G to major charges but NG to minor offences)
- Avoids necessity of a trial, but also avoids A being acquitted on counts for which there is strong evidence against him

26
Q

When can D make an application for charges to be dismissed?

A

Between the day after (not more than 20 business days from) A is served P’s evidence, on which the charge is based and day before the arraignment)

D may apply orally or in writing to CC for charges to be dismissed

Oral application = must give written notice of intention

27
Q

When must the judge dismiss charges?

A

Judge must dismiss any charge (& quash any count relating to it) if: appears that the evidence against A would not be sufficient to ensure a proper conviction

  • Judge must take into account whole of evidence against A together (& not view any evidence in isolation from context / other evidence)
  • Where P case depends on inferences/conclusions to be drawn from the evidence = judge must assess those which P propose to ask jury to draw & decide if jury could properly draw/come to them
28
Q

What’s the test to be applied upon an application to dismiss?

A

The judge must be of the opinion that the evidence against the defendant would not be sufficient for him to be properly convicted.

(It is the test set out under the Crime and Disorder Act 1998 Sch 3 para2(2).)

29
Q

On applications to dismiss - the judge must assess if there ate clear inferences that can be properly drawn from evidence as a whole?

A

Yes.

Key - whole evidence/ jury’s inferences from evidence as a whole/ P proposes to ask jury to draw

Possible judge’s considerations the test consider:

  • Direct evidence: not always necessary for there to be a case against D
  • Circumstantial evidence: can a jury draw an inference on the basis of the evidence as a whole.
  • Similarities in evidence: a jury could property draw conclusions
  • Sufficient evidence: can it be taken as a whole for the jury to conclude
30
Q

At the preliminary hearing the judge must?

A

1) be satisfied that the proposed terms of a deferred prosecution agreement are fair, reasonable and proportionate

2) be satisfied that it is likely to be in the interests of justice that the prosecution and defence enter into a deferred prosecution agreement

3) declare 1)

4) declare 2)

*A preliminary hearing must occur when a deferred prosecution agreement is proposed

31
Q

You defend Nicholas, who has pleaded guilty to four counts of ABH on different victims. He has pleaded not guilty to a fifth count alleging another offence of ABH against one of the same victims. The fifth matter is not as serious as the other four and you form the view that it would make no difference to sentence. The evidence on all counts is strong, including the fifth count.

The prosecution have now indicated that in the light of the guilty pleas they do not wish to proceed on the fifth count and the court have therefore listed all matters to be dealt with at a sentencing hearing. Your client wants to know exactly what will happen to the fifth count at the hearing.

What is the best advice to give him about what the prosecution are likely to do with this count?

Select one:

[A]  Offer no evidence because it is very unlikely that they would ever wish to proceed.

[B]  Offer no evidence because the fifth count is not as serious as the others.

[C]  Ask for an order that it lie on the file, because Nicholas will be pleading guilty to the main counts.

[D]  Ask for an order that it lie on the file, because although there is evidence against Nicholas, a trial is not necessary.

A

The correct answer is:
[D]   Ask for an order that it lie on the file, because although there is evidence against Nicholas, a trial is not necessary.

[A]  Not the best answer. Although the reason given applies to this situation, offering no evidence is appropriate where there is a lack of evidence. BCP 2023: D12.81 - D12.82.

[B]  Not the best answer. The facts point to the prosecution decision being based on likely sentence and the minor nature of the offence, but logically this should lead to an application to lie on the file rather than an offer of no evidence. BCP 2023: D12.81 - D12.82.

[C]  Not the best answer. The reason does not explain the answer as well as D; if Nicholas pleaded guilty to everything else because there was a lack of evidence on count 5, offering no evidence would be appropriate. BCP as above.

[D]  The best answer, for the reason given in BCP 2023: D12.81 - D12.82.

SA7 Preliminaries to trial in the Crown Court
BCP 2023: D12.81 - D12.82

32
Q

When can an application to dismiss to made?

A

An application to dismiss may be made at any stage after the service of the prosecution evidence and before arraignment.

  • If it appears to the court that the evidence would not be sufficient to ensure a proper conviction, then the charge must be dismissed.
  • This is a mandatory requirement and not subject to the judge’s discretion. (BCP 2023: D10.23)

ICCA Q&A: Given the facts and circumstances of the poor quality of the main CCTV evidence in this case, and the stage that the proceedings have reached (pre arraignment), an application to dismiss is the most appropriate course of action to take.

33
Q

Can the prosecution rely on evidence of P W good character to rebut the defence case (that P W is racist)?

A

Yes, the prosecution can rely on Sully’s role as a foster parent as evidence of his good character in so far as such evidence rebuts the suggestion that he is racist.

This is because the evidence is relevant to a specific issue in the case

34
Q
A