4.3 Arraignment, Pleas & Change of Plea
Key Takeaways
- Arraignment under CrimPR rule 3.32 requires each count to be put to the defendant, who must plead personally; counsel cannot enter a plea on the defendant's behalf.
- A plea of guilty is itself a conviction, so no evidence is called and the court proceeds to sentence; a plea of not guilty puts every element of the offence in issue.
- A defendant may plead guilty to a lesser offence under section 6(1)(b) of the Criminal Law Act 1967, but the plea is only effective if the prosecution accepts it and the court approves.
- A change of plea from not guilty to guilty may be made at any time before verdict, but a change from guilty to not guilty requires the leave of the judge and may only be made before sentence.
- An ambiguous plea must be resolved by the court, and if it cannot be clarified a plea of not guilty must be entered.
4.3 Arraignment, Pleas & Change of Plea
Arraignment is the moment the indictment is put to the defendant and the plea is taken. Everything downstream — the burden of proof, the calling of evidence, credit for plea, the jurisdiction to sentence — flows from it.
1. The mechanics
CrimPR r.3.32 governs arraignment. The Crown Court officer or the court:
- Reads each count aloud, or places it before the defendant;
- Asks whether the defendant pleads guilty or not guilty to it;
- Records the plea to each count separately.
Two rules are absolute:
- The defendant must plead personally. Counsel cannot plead for the client. A plea entered by counsel is a nullity, and a conviction founded on it will be quashed. The rationale is that only the defendant can admit the offence.
- Each count is put separately. A defendant may plead guilty to some counts and not guilty to others (mixed pleas), and the court then determines whether the not guilty counts proceed to trial and, if so, whether sentence on the admitted counts should await the verdicts (it normally should, so the judge sentences with the full picture).
2. The pleas available
| Plea | Effect |
|---|---|
| Not guilty | Puts every element in issue; the prosecution must prove the whole case |
| Guilty | Is itself a conviction; no evidence is called and the court moves to sentence |
| Guilty to a lesser offence (Criminal Law Act 1967, s.6(1)(b)) | Effective only if the prosecution accepts it and the court approves; otherwise the trial proceeds on the count as charged |
| Autrefois acquit / autrefois convict | Special pleas in bar: the defendant has already been acquitted or convicted of the same offence, or of an offence of which they could have been convicted on the earlier indictment |
| Not guilty by reason of insanity | Leads to the special verdict and the disposals under the Criminal Procedure (Insanity) Act 1964 |
| Pardon | A rare special plea in bar |
Standing mute. If the defendant says nothing, a jury must determine whether they are mute of malice or mute by visitation of God. If mute of malice, a plea of not guilty is entered.
Effect of a guilty plea. Because the plea is the conviction, the judge sentences on the prosecution's version of the facts unless a basis of plea is agreed or a Newton hearing resolves the dispute. A defendant who pleads guilty but then asserts facts amounting to a defence has entered an equivocal plea, which the court must resolve.
3. Fitness to plead
Where the defendant's mental condition is in issue, the court determines fitness to plead under s.4 of the Criminal Procedure (Insanity) Act 1964. The question is decided by the judge (since 2004; formerly a jury) on the written or oral evidence of two or more registered medical practitioners, at least one of whom is duly approved.
- If the defendant is found fit, the trial proceeds and arraignment takes place in the ordinary way.
- If unfit, there is no trial of guilt. Instead a jury conducts a trial of the facts under s.4A, deciding only whether the defendant did the act or made the omission charged. If satisfied, the disposals are a hospital order, a supervision order or an absolute discharge — not a conviction and not a sentence.
4. Change of plea
The rules are deliberately asymmetric, because the two directions of travel carry very different risks.
Not guilty → guilty
Permitted at any time before the jury returns its verdict. The defendant asks for the count to be put again, and pleads guilty. Credit for plea is calculated by reference to the stage reached, so a change on the day of trial attracts only about one tenth. If the jury has already been sworn, the judge discharges them from returning a verdict on that count.
Guilty → not guilty
Only with the leave of the judge, and only before sentence is passed. Once sentence has been passed the Crown Court is functus and the remedy lies in the Court of Appeal. The discretion is exercised sparingly and requires a proper explanation — for example that the defendant did not understand the charge, was subjected to improper pressure, or has a defence they did not appreciate was available. That the defendant has simply changed their mind is not enough.
Equivocal and ambiguous pleas
An ambiguous plea is one where the words used do not clearly amount to guilty or not guilty ("guilty, but I never touched him"). The court must seek to clarify it; if clarification is impossible, a plea of not guilty must be entered. An equivocal plea entered in the magistrates' court is a recognised ground on which the Crown Court, hearing an appeal, may remit the case for a not guilty plea to be entered notwithstanding s.108(1)(a) MCA 1980.
Exam traps in this section
- The defendant must plead personally; a plea by counsel is a nullity.
- A plea of guilty to a lesser offence needs both prosecution acceptance and court approval.
- Guilty → not guilty needs leave and must precede sentence. Not guilty → guilty needs neither.
- A finding of unfitness leads to a trial of the facts on the act or omission only — never a conviction.
At arraignment in the Crown Court, defence counsel rises and says: 'My client pleads not guilty to count 1 and guilty to count 2.' The defendant says nothing. What is the position?
A defendant pleaded guilty to burglary at the plea and trial preparation hearing. Three weeks later, and before sentence, they instruct new counsel and say they now wish to plead not guilty because they did not appreciate that they had a defence of belief in consent to entry. What is the correct analysis?
A defendant is found unfit to plead under section 4 of the Criminal Procedure (Insanity) Act 1964. What happens next?