PART 1THE OVERRIDING OBJECTIVE

The overriding objective

1.1.—(1) The overriding objective of this procedural code is that criminal cases be dealt with justly.

(2) Dealing with a criminal case justly includes―

(a)acquitting the innocent and convicting the guilty;

(b)treating all participants with politeness and respect;

(c)dealing with the prosecution and the defence fairly;

(d)recognising the rights of a defendant, particularly those under Article 6 of the European Convention on Human Rights;

(e)respecting the interests of witnesses, victims and jurors and keeping them informed of the progress of the case;

(f)dealing with the case efficiently and expeditiously;

(g)ensuring that appropriate information is available to the court when bail and sentence are considered; and

(h)dealing with the case in ways that take into account―

(i)the gravity of the offence alleged,

(ii)the complexity of what is in issue,

(iii)the severity of the consequences for the defendant and others affected, and

(iv)the needs of other cases.

The duty of the participants in a criminal case

1.2.—(1) Each participant, in the conduct of each case, must―

(a)prepare and conduct the case in accordance with the overriding objective;

(b)comply with these Rules, practice directions and directions made by the court; and

(c)at once inform the court and all parties of any significant failure (whether or not that participant is responsible for that failure) to take any procedural step required by these Rules, any practice direction or any direction of the court. A failure is significant if it might hinder the court in furthering the overriding objective.

(2) Anyone involved in any way with a criminal case is a participant in its conduct for the purposes of this rule.

The application by the court of the overriding objective

1.3. The court must further the overriding objective in particular when―

(a)exercising any power given to it by legislation (including these Rules);

(b)applying any practice direction; or

(c)interpreting any rule or practice direction.

PART 2UNDERSTANDING AND APPLYING THE RULES; POWERS AND DUTIES OF COURT OFFICERS AND JUSTICES’ LEGAL ADVISERS

UNDERSTANDING AND APPLYING THE RULES

When the Rules apply

2.1.—(1) In general, Criminal Procedure Rules apply―

(a)in all criminal cases in magistrates’ courts and in the Crown Court;

(b)in extradition cases in the High Court; and

(c)in all cases in the criminal division of the Court of Appeal.

(2) If a rule applies only in one or some of those courts, the rule makes that clear.

(3) These Rules apply on and after 5^th October, 2020, but unless the court otherwise directs, they do not affect a right or duty existing under the Criminal Procedure Rules 2015(38).

(4)The amendments to Part 14 of these Rules (Bail and custody time limits) made by rule 7(a) and (b) of the Criminal Procedure (Amendment) Rules 2023 do not apply in relation to a defendant arrested before 28^th October, 2022, for an offence, or in relation to such a defendant who on or after that date is arrested again in relation to that offence under―

(a)section 46A of the Police and Criminal Evidence Act 1984(arrest for failure to attend at a police station as required by police bail, or failure to comply with a condition of such bail); or

(b)section 24A of the Criminal Justice Act 2003 (arrest for failure to comply with a condition attached to a conditional caution).

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[Note. The rules replaced by the first Criminal Procedure Rules (the Criminal Procedure Rules 2005(39)) were revoked when those Rules came into force by provisions of the Courts Act 2003, the Courts Act 2003 (Consequential Amendments) Order 2004(40) and the Courts Act 2003 (Commencement No. 6 and Savings) Order 2004(41). The first Criminal Procedure Rules reproduced the substance of all the rules they replaced.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Amendments made by the Police, Crime, Sentencing and Courts Act 2022to the pre-charge bail provisions of the Police and Criminal Evidence Act 1984 came into force on 28^th October, 2022. Under section 45(3) of the 2022 Act, those amendments do not apply in the circumstances described in paragraph (4) of this rule. ]

Definitions

2.2.—(1) In these Rules, unless the context makes it clear that something different is meant:

‘advocate’ means a person who is entitled to exercise a right of audience in the court under section 13 of the Legal Services Act 2007(42);

‘authorised court officer’ has the meaning given by rule 2.4;

‘business day’ means any day except Saturday, Sunday, Christmas Day, Boxing Day, Good Friday, Easter Monday or a bank holiday;

‘court’ means a tribunal with jurisdiction over criminal cases. It includes a judge, recorder, District Judge (Magistrates’ Court), lay justice and, when exercising their judicial powers, the Registrar of Criminal Appeals and an authorised court officer;

‘court officer’ means the appropriate member of the staff of a court;

‘justices’ legal adviser’ means a person authorised under section 28 of the Courts Act 2003(43) to give advice about law to justices of the peace;

‘legal representative’ means:

‘live link direction’ means a direction that:

‘live link direction’ means a direction that requires or permits a person to take part through a live audio link or a live video link in the proceedings listed in section 51(3) of the Criminal Justice Act 2003;

‘Practice Direction’ means the Lord Chief Justice’s Criminal Practice Directions, as amended, and ‘Criminal Costs Practice Direction’ means the Lord Chief Justice’s Practice Direction (Costs in Criminal Proceedings), as amended;

‘public interest ruling’ means a ruling about whether it is in the public interest to disclose prosecution material under sections 3(6), 7A(8) or 8(5) of the Criminal Procedure and Investigations Act 1996(45); and

‘Registrar’ means the Registrar of Criminal Appeals or a court officer exercising a function of the Registrar.

(2)Special definitions and definitions of some other expressions are in the rules in which they apply.

[Note. The glossary at the end of the Rules is a guide to the meaning of certain legal expressions used in them.]

References to legislation, including these Rules

2.3.—(1) In these Rules, where a rule refers to an Act of Parliament or to subordinate legislation by title and year, subsequent references to that Act or to that legislation in the rule are shortened: so, for example, after a reference to the Criminal Procedure and Investigations Act 1996(46) that Act is called ‘the 1996 Act’; and after a reference to the Criminal Procedure and Investigations Act 1996 (Defence Disclosure Time Limits) Regulations 2011(47) those Regulations are called ‘the 2011 Regulations’.

(2) In the courts in which these Rules apply―

(a)unless the context makes it clear that something different is meant, a reference to the Criminal Procedure Rules, without reference to a year, is a reference to the Criminal Procedure Rules in force at the date on which the event concerned occurs or occurred;

(b)a reference to the Criminal Procedure Rules may be abbreviated to ‘CrimPR’; and

(c)a reference to a Part or rule in the Criminal Procedure Rules may be abbreviated to, for example, ‘CrimPR Part 3’ or ‘CrimPR 3.5’.

POWERS OF AUTHORISED COURT OFFICERS

Exercise of court’s functions by authorised court officers: general rules

2.4.—(1) This rule and rules 2.5, 2.6, 2.7, 2.8 and 2.9 provide for the exercise of relevant judicial functions within the meaning of section 67A of the Courts Act 2003(48)―

(a)in a court in which these Rules apply; and

(b)by a person authorised for the purpose by the Lord Chief Justice under section 67B of that Act(49).

(2) In this rule and in rules 2.5, 2.6, 2.7, 2.8 and 2.9―

(a)‘authorised court officer’ means any such person; and

(b)a reference to an authorised court officer who is legally qualified is a reference to one who has such qualifications as are for the time being prescribed by regulations made under section 28(3) of the Courts Act 2003.

(3) No court officer may―

(a)authorise a person’s committal to prison;

(b)authorise a person’s arrest (but that exclusion does not apply to the issue of a warrant of arrest, whether or not endorsed for bail, to secure that a person attends court proceedings relating to an offence of which the person has been accused or convicted in a case in which no objection is made by or on behalf of that person to the issue of the warrant);

(c)grant or withhold bail, except to the extent that rule 2.6 or rule 2.8 allows;

(d)adjudicate on guilt, or on the act or omission with which a defendant is charged, except to the extent of―

(i)acquitting a defendant against whom the prosecutor offers no evidence,

(ii)convicting a defendant who pleads guilty, or

(iii)giving a prosecutor permission to withdraw a case;

(e)determine the admissibility of evidence;

(f)set ground rules for the conduct of questioning where rule 3.8(6), (7) (directions for the appropriate treatment and questioning of a witness or the defendant) applies;

(g)make findings of fact for the purpose of sentence, defer or pass sentence, impose a penalty or commit a defendant to the Crown Court for sentence;

(h)make an order for a party or other person to pay costs, unless that party or person agrees;

(i)make any other order consequent upon acquittal, conviction or a finding that the accused did the act or made the omission charged, except to the extent that rule 2.8 allows;

(j)vary, discharge, remit, remove, revoke, review or suspend a sentence, penalty or other order consequent on acquittal or conviction, except to the extent that rule 2.8 allows;

(k)order the search, confiscation, restraint, detention or seizure of property except to the extent that rule 2.8 allows;

(l)determine an appeal or reference to an appeal court, or an application for permission to appeal or refer, except to the extent that rule 2.6 allows; or

(m)determine an allegation of contempt of court.

(4) An authorised court officer may exercise a relevant judicial function for which rule 2.5, 2.6, 2.7, 2.8 or 2.9 provides―

(a)only subject to the same conditions as apply to its exercise by the court or person whose function it is; and

(b)where a party affected by the exercise of that function is entitled to make representations before its exercise, only if each such party has had a reasonable opportunity to make such representations―

(i)in writing, or

(ii)at a hearing (whether or not that party in fact attends).

(5) Unless the context makes it clear that something different is meant, provision in rule 2.5, 2.6, 2.7, 2.8 or 2.9 permitting the exercise of a relevant judicial function by an authorised court officer includes a power to decline to exercise that function.

[Note. Under section 67A of the Courts Act 2003, ‘relevant judicial function’ means a function of a court to which the general duty of the Lord Chancellor under section 1 of that Act applies and a judicial function of a person holding an office that entitles the person to exercise functions of such a court, but does not include in a court in which Criminal Procedure Rules apply―

(a)any function so far as its exercise involves authorising a person’s committal to prison; or

(b)any function so far as its exercise involves authorising a person’s arrest, except the issue of a warrant of arrest (whether or not endorsed for bail) to secure that a person attends court proceedings relating to an offence of which the person has been accused or convicted in a case in which no objection is made by or on behalf of that person to the issue of the warrant.

Under section 67B of the 2003 Act, in a court in which Criminal Procedure Rules apply the Rules may provide for the exercise of relevant judicial functions by persons who are appointed under section 2(1) of that Act and who satisfy any requirements specified in the Rules as to qualifications or experience. Such a person may exercise such a function only if authorised to do so by the Lord Chief Justice.

Section 28 of the 2003 Act provides for persons authorised by the Lord Chief Justice to give advice to justices of the peace about matters of law. Such a person may be authorised for that purpose only if appointed under section 2(1) of that Act and possessed of such qualifications as may be prescribed by regulations made under section 28. See also rule 2.2 (Definitions).]

Exercise of functions of the Court of Appeal

2.5.—(1) This rule provides for the exercise by an authorised court officer of relevant judicialfunctions of—

(a)the criminal division of the Court of Appeal; and

(b)the Registrar of Criminal Appeals.

(2) Subject to rule 2.4, an authorised court officer may exercise—

(a)any function of the criminal division of the Court of Appeal that may be exercised by the Registrar of Criminal Appeals; and

(b)any other judicial function of the Registrar.

(3) Where an authorised court officer exercises a function of the court—

(a)the same provision as that made by section 31A(4) or section 31C(3), as the case may be, of the Criminal Appeal Act 1968(50) applies as if that function had been exercised by the Registrar; and

(b)rule 36.5 (Renewing an application refused by a judge or the Registrar) applies.

[Note. See also rule 2.4, which makes general rules about the exercise of judicial functions by authorised court officers.

For the functions of the criminal division of the Court of Appeal that may be exercised by the Registrar of Criminal Appeals, see sections 31A and 31B of the Criminal Appeal Act 1968(51). For other functions of the Registrar, see section 21 of that Act(52).

Sections 31A(4) and 31C(3) of the 1968 Act provide for the reconsideration by a judge of a decision by the Registrar to which those provisions apply.]

Exercise of functions of the High Court

2.6.—(1) This rule provides for the exercise by an authorised court officer of relevant judicialfunctions of the High Court in relation to its jurisdiction under the Extradition Act 2003(53).

(2) An authorised court officer may exercise any such function of the High Court to which the rules in Section 3 of Part 50 apply (Extradition; Appeal to the High Court), subject to—

(a)rule 2.4; and

(b)paragraph (3) of this rule.

(3) No court officer may—

(a)grant or withhold bail;

(b)impose or vary a condition of bail; or

(c)reopen a decision which determines an appeal or an application for permission to appeal,

unless paragraph (4) applies.

(4) If making a decision to which the parties have agreed in writing, an authorised court officer may—

(a)give or refuse permission to appeal;

(b)determine an appeal;

(c)grant or withhold bail; or

(d)impose or vary a condition of bail.

(5) Paragraph (6) of this rule—

(a)applies where a party wants a judge to reconsider a decision made by an authorised court officer; but

(b)does not apply where such an officer agrees to postpone the date on which the required period for extradition begins under section 36(3) of the Extradition Act 2003(54).

(6) Such a party must—

(a)apply for such a reconsideration as soon as reasonably practicable, and in any event no later than the earlier of—

(i)the next hearing before a judge, or

(ii)the fifth business day after the date on which notice of the decision is served on the applicant;

(b)unless the application is made at a hearing, serve the application on—

(i)the court officer, and

(ii)each other party (if any) affected by the decision; and

(c)in the application—

(i)specify the decision in issue,

(ii)explain why it is appropriate for the decision to be reconsidered and what decision the applicant thinks would be appropriate, and

(iii)ask for a hearing, if one is wanted, and explain why it is needed.

(7) The judge may determine the application—

(a)at a hearing (which may be in public or private), or without a hearing; and

(b)in the absence of—

(i)the applicant,

(ii)each other party (if any) affected by the decision.

(8) But the judge must not determine the application in the absence of an affected party unless that party has had—

(a)such notice as the nature and urgency of the application permits; and

(b)a reasonable opportunity to make written representations.

[Note. See also—

(a)rule 2.4, which makes general rules about the exercise of judicial functions by authorised court officers;

(b)rule 2.10, which provides for extension of the time limit under this rule;

(c)rule 3.6 (Application to vary a direction); and

(d)rule 50.18 (Case management in the High Court).

For the functions of the High Court for which this rule provides, see the introductory note to Section 3 of Part 50. See also rule 50.30 for the constitution of the High Court when exercising the powers to which that Section of that Part applies.

Under section 36 of the Extradition Act 2003, where an extradition order has been made under Part 1 of the Act and the outcome of an appeal by the defendant is that he or she is to be extradited, then unless the requesting authority and the High Court agree to postpone that starting date the defendant must be removed to the requesting territory within 10 days starting with the day on which the decision of the relevant court on the appeal becomes final or proceedings on the appeal are discontinued.]

Exercise of functions of the Crown Court

2.7.—(1) This rule provides for the exercise by an authorised court officer of relevant judicial functions of the Crown Court in a criminal cause or matter.

(2) Subject to rule 2.4 and to paragraph (3) of this rule, an authorised court officer may—

(a)determine an application to extend a time limit set by a rule or by a judge, including a time limit for the conduct of confiscation proceedings, unless the effect would be—

(i)to affect the date of any hearing that has been fixed, including a trial, or

(ii)significantly to affect the progress of the case in any other way;

(b)give a live link direction under section 51 of the Criminal Justice Act 2003 for the participation of a defendant in custody in a preliminary hearing, a sentencing hearing or an enforcement hearing; ...

(c)exercise the court’s functions listed in rule 23.2 (Appointment of advocate to cross-examine witness) and select such an advocate as that rule describes (but a court officer may not decline to select such an advocate where that rule applies); and

(d)issue a summons under section 80 of the Senior Courts Act 1981 in proceedings to which rule 32.2 applies (application, etc. in relation to the breach, revocation or amendment of a community or other order).

(3) An authorised court officer may not exercise a function of the court in a case in which a judge so directs.

(4) Paragraph (5) of this rule applies where a party or an advocate appointed under rule 23.2 (Appointment of advocate to cross-examine witness) wants a judge to reconsider a decision made by an authorised court officer.

(5) Such a party or advocate must—

(a)apply for such a reconsideration as soon as reasonably practicable, and in any event no later than the earlier of—

(i)the next hearing before a judge, or

(ii)the tenth business day after the date on which notice of the decision is served on the applicant;

(b)unless the application is made at a hearing, serve the application on—

(i)the court officer, and

(ii)each other party (if any) affected by the decision; and

(c)in the application—

(i)specify the decision in issue,

(ii)explain why it is appropriate for the decision to be reconsidered and what decision the applicant thinks would be appropriate, and

(iii)ask for a hearing, if one is wanted, and explain why it is needed.

(6) The judge may determine the application—

(a)at a hearing (which may be in public or private), or without a hearing; and

(b)in the absence of—

(i)the applicant,

(ii)each other party (if any) affected by the decision.

(7) But the judge must not determine the application in the absence of an affected party unless that party has had—

(a)such notice as the nature and urgency of the application permits; and

(b)a reasonable opportunity to make representations.

[Note. See also—

(a)rule 2.4, which makes general rules about the exercise of judicial functions by authorised court officers;

(b)rule 2.10, which provides for extension of the time limit under this rule; and

(c)rule 3.6 (Application to vary a direction).

For the constitution and powers of the Crown Court, see the note to rule 25.1 (Trial and sentence in the Crown Court; When this Part applies).]

Exercise of functions of a magistrates’ court

2.8.—(1) This rule provides for the exercise by an authorised court officer of relevant judicial functions of a magistrates’ court in a criminal cause or matter.

(2) Subject to rule 2.4 and to paragraph (12) of this rule, an authorised court officer may—

(a)fix, cancel or vary the date, time or place for a hearing, including a trial, or adjourn a hearing;

(b)adjourn, remit or transfer proceedings from one local justice area to another;

(c)determine an application to extend a time limit set by a rule or by the court, unless the effect would be—

(i)to affect the date of any hearing that has been fixed, including a trial, or

(ii)significantly to affect the progress of the case in any other way;

(d)issue a summons at the request of a public prosecutor, or under section 16B of the Magistrates’ Courts Act 1980(55) (Cases not tried in accordance with section 16A) or section 83 of that Act(56) (Process for securing attendance of offender);

(e)give a prosecutor permission to withdraw a case;

(f)grant bail where the defendant already is on bail and—

(i)the conditions, if any, to which that bail is subject will remain the same, or

(ii)bail conditions will be varied or imposed with both parties’ agreement;

(g)give consent for another magistrates’ court to deal with a defendant for an offence in respect of which the defendant, when an adult, was discharged conditionally;

(h)order a convicted defendant to produce his or her driving licence;

(i)require a statement of the defendant’s assets and other financial circumstances;

(j)amend an attendance centre order to—

(i)vary the day or hour specified in that order for the defendant’s first attendance, or

(ii)substitute an alternative centre;

(k)amend the local justice area or responsible officer named in an order of the court;

(l)amend a sentence or order by requiring it to be completed in Northern Ireland or Scotland;

(m)extend the time for service of a statutory declaration to which applies—

(i)rule 44.2 (Statutory declaration of ignorance of proceedings), or

(ii)rule 29.4 (Statutory declaration to avoid fine after fixed penalty notice);

(n)fix a later time at which a defendant must attend court for the purposes of an enquiry or hearing under section 82 of the Magistrates’ Courts Act 1980(57) (Restriction on power to impose imprisonment for default);

(o)conduct a means enquiry;

(p)make a collection order;

(q)issue a warrant of control;

(r)extend the time for payment of a fine or sum to which Part 30 (Enforcement of fines and other orders for payment) applies;

(s)vary an order for the payment by instalments of such a fine or sum;

(t)make a transfer of fine order;

(u)make a disclosure order under section 125CA Magistrates’ Courts Act 1980(58) (Power to make disclosure order) for the purposes of securing the execution of a warrant;

(v)make an attachment of earnings order;

(w)make or withdraw an application for deductions to be made from a defendant’s benefit payments; and

(x)take any step listed in paragraph 38 of Schedule 5 to the Courts Act 2003(59) (range of further steps available against defaulters).

(3) In addition to the functions listed in paragraph (2), subject to rule 2.4 and to paragraph (12) of this rule an authorised court officer who is legally qualified may exercise the other functions of a magistrates’ court listed in paragraphs (4) to (11).

(4) In connection with the rules about general matters (Parts 1 to 6)—

(a)exercising the powers to which section 50 of the Crime and Disorder Act 1998(60) (Early administrative hearings) refers, where that section applies and subject to the restrictions that it contains;

(b)giving, varying or revoking a live link direction under sections 51 and 52 of the Criminal Justice Act 2003 for the participation of a defendant in custody in a preliminary hearing, a sentencing hearing or an enforcement hearing;

(c)determining an application to extend a time limit set by a rule or by the court;

(d)giving, varying or revoking an order for separate or joint trials in respect of two or more defendants or two or more offences, if all parties agree;

(e)giving, varying or revoking directions for the conduct of proceedings, including—

(i)the timetable for the case,

(ii)the attendance of the parties,

(iii)the service of documents (including summaries of any legal arguments relied on by the parties),

(iv)the manner in which evidence is to be given, insofar as this rule makes no other provision and except the making, varying or revocation of a witness anonymity order;

(f)directing the correction of a court record under rule 5.4(4) (correction of inaccuracy in court record);

(g)where rule 5.10 applies ( Request or application determined by the court )—

(i)directing service of a request under rule 5.10(2)(a)(ii) (service on a person not specified by the rule),

(ii)extending the period for objection under rule 5.10(3), and

(iii)determining a request referred to the court under rule 5.9(7) (Request for information by a party or person directly affected by a case) where no notice of objection is given within the time for which rule 5.10(3) provides;

(h)imposing a reporting restriction under section 45 of the Youth Justice and Criminal Evidence Act 1999(61) (identity of a person under 18) where there is no objection to the order;

(i)giving permission for proceedings to be recorded; and

(j)asking a court security officer to remove a person from a courtroom.

(5) In connection with the rules about preliminary proceedings (Parts 7 to 12)—

(a)issuing a summons and giving directions for service;

(b)under section 4 of the Summary Jurisdiction (Process) Act 1881(62), endorsing a summons or warrant issued by a court in Scotland;

(c)giving a prosecutor permission to withdraw a charge;

(d)dismissing a prosecution where the prosecutor offers no evidence;

(e)amending a charge; and

(f)sending a defendant to the Crown Court for trial where the only condition for sending is—

(i)that prescribed by section 51(2)(a), of the Crime and Disorder Act 1998(63) (offence triable only on indictment other than one in respect of which notice is given under section 51B or 51C of that Act(64)), or

(ii)the service of a notice under section 51B or 51C of that Act (prosecutor’s notice requiring sending for trial in a case of serious or complex fraud or a case in which a child is to be called as a witness).

(6) In connection with the rules about custody and bail (Parts 13 and 14)—

(a)issuing or withdrawing a warrant for a person’s arrest to secure that the person attends court proceedings relating to an offence of which the person has been accused or convicted in a case in which no objection is made by or on behalf of that person to the issue of the warrant; and

(b)granting bail where—

(i)the defendant is present,

(ii)the prosecutor agrees to the grant of bail, and

(iii)the conditions, if any, to which that bail will be subject will remain the same as before, or will be varied or imposed with the parties’ agreement.

(7) In connection with the rules about evidence (Parts 16 to 23)—

(a)requiring a person who has made a written statement to attend before the court to give evidence;

(b)issuing a witness summons and giving directions for its service; and

(c)exercising the court’s functions listed in rule 23.2 (Appointment of advocate to cross-examine witness) and appointing such an advocate as that rule describes (but a court officer may not decline to appoint such an advocate where that rule applies).

(8) In connection with the rules about trial (Parts 24 to 27)—

(a)convicting a defendant who has pleaded guilty;

(b)requesting a pre-sentence report where a defendant pleads guilty; and

(c)directing the commissioning of a medical report.

(9) In connection with the rules about appeal (Parts 34 to 44)—

(a)stating a case for the opinion of the High Court where the decision under appeal was made by an authorised court officer; and

(b)requiring the appellant to enter into a recognizance under section 114 of the Magistrates’ Courts Act 1980(65) on an application to state a case for the opinion of the High Court.

(10) In connection with the rules about costs (Part 45)—

(a)making or varying an order for a party to pay costs, if both parties agree;

(b)making or varying an order for another person to pay costs, if that person agrees; and

(c)making a costs order to which rule 45.4 (Costs out of central funds) applies.

(11) In connection with the rules about other proceedings (Parts 46 to 50)—

(a)making a legal aid representation order on an appeal against a refusal of legal aid (but a court officer may not decline to make such an order); and

(b)determining an application for a change of legal representative.

(12) An authorised court officer who is not a justices’ legal adviser may not exercise a function of the court in a case in which a District Judge (Magistrates’ Courts), a lay justice or a justices’ legal adviser so directs.

[Note. See also—

(a)rule 2.4, which makes general rules about the exercise of judicial functions by authorised court officers; and

(b)rule 3.6 (Application to vary a direction).

Under section 148 of the Magistrates’ Courts Act 1980(66), the expression ‘magistrates’ court’ means any justice or justices of the peace acting under any enactment or by virtue of their commission or under the common law. For a court’s power to try an allegation of an offence, see the note to rule 24.1 (Trial and sentence in a magistrates’ court; When this Part applies).

Under section 50 of the Crime and Disorder Act 1998(67), where a defendant has been charged with an offence at a police station the magistrates’ court before whom he or she appears or is brought for the first time in relation to the charge may consist of a single justice; and where on such an occasion the powers of a single justice are exercised by an authorised court officer that court officer may not remand the defendant in custody or, without the consent of the prosecutor and the defendant, remand the defendant on bail on conditions other than those (if any) previously imposed.

Under section 8B(3) of the Magistrates’ Courts Act 1980(68), a magistrates’ court may discharge or vary (or further vary) a pre-trial ruling within the meaning of section 8A of that Act(69) if the court has given the parties an opportunity to be heard and if, among other things, there has been a material change of circumstances since the ruling was made or, if a previous application has been made, since the application (or last application) was made.

Under section 53(4) of the Courts Act 2003(70), a court security officer acting in the execution of that officer’s duty may remove any person from a courtroom at the request of a judge or a justice of the peace.]

Exercise of functions of a District Judge (Magistrates’ Courts) in extradition cases

2.9.—(1) This rule provides for the exercise by an authorised court officer of relevant judicial functions of a District Judge (Magistrates’ Courts) in a case to which Part 50 (Extradition) applies.

(2) Subject to rule 2.4, an authorised court officer who is legally qualified may—

(a)fix, cancel or vary the date, time or place for a hearing, including an extradition hearing; and

(b)determine an application to extend a time limit set by a rule or by the court, unless the effect would be—

(i)to affect the date of any hearing that has been fixed, including an extradition hearing, or

(ii)significantly to affect the progress of the case in any other way.

(3) An authorised court officer who is not a justices’ legal adviser may not exercise a function of the court in a case in which a District Judge (Magistrates’ Courts) or a justices’ legal adviser so directs.

[Note. See also—

(a)rule 2.4, which makes general rules about the exercise of judicial functions by authorised court officers;

(b)rule 3.6 (Application to vary a direction); and

(c)rule 50.4 (Case management in the magistrates’ court and duty of court officer).]

Court’s power to extend time under rule 2.6 or rule 2.7

2.10.—(1) The court may extend (even after it has expired) a time limit under rule 2.6 (Exercise of functions of the High Court) or rule 2.7 (Exercise of functions of the Crown Court).

(2) A party who wants an extension of time must—

(a)apply when serving the application for which it is needed; and

(b)explain the delay.

POWERS OF COURT OFFICERS TO TAKE STATUTORY DECLARATIONS

Taking of statutory declarations by court officers

2.11.—(1)This rule applies to a statutory declaration required by―

(a)rule 29.4 (Statutory declaration to avoid fine after fixed penalty notice); or

(b)rule 44.2 (Statutory declaration of ignorance of proceedings).

(2)A court officer may take a statutory declaration to which this rule applies if that officer is—

(a)a justices’ legal adviser;

(b)nominated for the purpose by a justices’ legal adviser; or

(c)authorised to exercise the function to which rule 2.8(2)(m) refers (extending time for the service of a statutory declaration).

[Note. Section 2 of the Commissioners for Oaths Act 1889allows rules that regulate the procedure of a court to authorise the taking of a statutory declaration by an officer of that court.]

JUSTICES’ LEGAL ADVISERS

Duties of justices’ legal adviser

2.12.—(1)This rule applies in relation to a magistrates’ court, including a youth court, that comprises a lay justice or lay justices.

(2)A justices’ legal adviser―

(a)must provide the court with any legal advice that it needs to carry out its functions, whether the court asks for that advice or not, including advice about―

(i)questions of law,

(ii)questions of mixed law and fact,

(iii)matters of practice and procedure,

(iv)relevant judicial decisions that bind the court,

(v)the process to be followed to reach a decision,

(vi)the process to be followed when sentencing,

(vii)the range of penalties and orders available when sentencing and the matters to be taken into account, in accordance with any sentencing guideline that applies, and

(viii)any other matter relevant to the case before the court;

(b)must allow the parties, if present, an opportunity to make representations to the court about that advice;

(c)may ask questions of a party or witness on the court’s behalf to clarify representations and evidence;

(d)if necessary must assist the court with the formulation and recording of reasons for its decisions; and

(e)may make announcements on the court’s behalf, other than an announcement of—

(i)an allocation or sending decision,

(ii)an indication of likely sentence, or

(iii)a verdict or sentence.

(3)To provide the legal advice required by paragraph (2)(a) a justices’ legal adviser must―

(a)if necessary, attend the members of the court outside the courtroom; and

(b)in that event, inform the parties, if present, of any such advice given there.

(4)A justices’ legal adviser must assist a party who has no legal representative—

(a)to understand what the court requires and why;

(b)to provide information required by the court to prepare for trial or to carry out its other functions; and

(c)if necessary, to make representations to the court or to give evidence.

(5)In performing the functions for which these Rules provide a justices’ legal adviser―

(a)must avoid the appearance of advocacy for a party;

(b)must adhere to the same principles that apply to courts of independence, impartiality, integrity, propriety, competence, diligence and ensuring fair treatment; and

(c)may consult with other justices’ legal advisers.

[Note. Section 28 of the Courts Act 2003provides for persons authorised by the Lord Chief Justice to give advice to justices of the peace about matters of law. Such a person may be authorised for that purpose only if appointed under section 2(1) of that Act and possessed of such qualifications as may be prescribed. Section 29 of the 2003 Actprovides that the Lord Chief Justice may give directions to such a person but that, apart from that, such a person is not subject to the direction of the Lord Chancellor or anyone else when exercising functions under section 28.

See also rule 2.2 (Definitions).

The following rules impose specific duties on a justices’ legal adviser in addition to those listed in this rule―

(a)rule 9.4 (duty of justices’ legal adviser during allocation and sending for trial);

(b)rule 14.3 (duty of justices’ legal adviser in proceedings about bail and custody time limits);

(c)rule 24.14 (duty of justices’ legal adviser during trial and sentence in a magistrates’ court);

(d)rule 30.2 ((duty of justices’ legal adviser in proceedings about the enforcement of fines and other orders for payment);

(e)rule 35.4 (duty of justices’ legal adviser on an application to a magistrates’ court to state a case for the High Court); and

(f)rule 47.25 (duty of justices’ legal adviser on an application to a magistrates’ court for a search warrant).]

PART 3CASE MANAGEMENT

GENERAL RULES

When this Part applies

3.1.—(1) Rules 3.1 to 3.15 apply to the management of each case in a magistrates’ court and in the Crown Court (including an appeal to the Crown Court) until the conclusion of that case.

(2)Rules 3.16 to 3.18 apply where the case must be tried in a magistrates’ court, or the court orders trial there.

(3) Rules 3.19 to 3.34 apply where―

(a)the defendant is sent to the Crown Court for trial;

(b)a High Court or Crown Court judge gives permission to serve a draft indictment; or

(c)the Court of Appeal orders a retrial.

(4)Rules 3.35 to 3.39 apply where the court can give a live link direction.

[Note. Rules that apply to procedure in the Court of Appeal are in Parts 36 to 42 of these Rules. Rules that apply to procedure in extradition proceedings are in Part 50 of these Rules: see in particular rules 50.3, 50.4, 50.17 and 50.18.

At the first hearing in a magistrates’ court the court may (and in some cases must) order trial in that court, or may (and in some cases must) send the defendant to the Crown Court for trial under section 51 or 51A of the Crime and Disorder Act 1998(1). See Part 9 (Allocation and sending for trial) for the procedure. The decision depends upon—

(a) the classification of the offence (and the general rule, subject to exceptions, is that an offence classified as triable only on indictment must be sent to the Crown Court for trial; an offence classified as triable only summarily must be tried in a magistrates’ court; and an offence classified as triable either way, on indictment or summarily, must be allocated to one or the other court for trial, subject to the defendant’s right to choose Crown Court trial: see in particular sections 50A, 51 and 51A of the 1998 Act(2) and section 19 of the Magistrates’ Courts Act 1980(3));

(b) the defendant’s age (and the general rule, subject to exceptions, is that an offence alleged against a defendant under 18 must be tried in a magistrates’ court sitting as a youth court: see in particular sections 24 and 24A of the 1980 Act(4));

(c) whether the defendant is awaiting Crown Court trial for another offence;

(d) whether another defendant, charged with the same offence, is awaiting Crown Court trial for that offence;

(e) in some cases (destroying or damaging property; aggravated vehicle taking), whether the value involved is more or less than £5,000; and

(f) in a case of low-value shoplifting, whether the defendant chooses Crown Court trial: see section 22A of the 1980 Act(5).

Under paragraph 2(1) of Schedule 17 to the Crime and Courts Act 2013 and section 2 of the Administration of Justice (Miscellaneous Provisions) Act 1933, the Crown Court may give permission to serve a draft indictment where it approves a deferred prosecution agreement. See Part 11 for the rules about that procedure and Part 10 for the rules about indictments.

The procedure for applying for the permission of a High Court judge to serve a draft indictment is in rule 10.9 (Application to a High Court judge for permission to serve a draft indictment).

The Court of Appeal may order a retrial under section 8 of the Criminal Appeal Act 1968(71) (on a defendant’s appeal against conviction) or under section 77 of the Criminal Justice Act 2003(72) (on a prosecutor’s application for the retrial of a serious offence after acquittal). Section 8 of the 1968 Act, section 84 of the 2003 Act and rules 27.6 and 39.14 require the arraignment of a defendant within 2 months.]

The duty of the court

3.2.—(1) The court must further the overriding objective by actively managing the case.

(2) Active case management includes―

(a)the early identification of the real issues;

(b)the early identification of the needs of witnesses;

(c)achieving certainty as to what must be done, by whom, and when, in particular by the early setting of a timetable for the progress of the case;

(d)monitoring the progress of the case and compliance with directions;

(e)ensuring that evidence, whether disputed or not, is presented in the shortest and clearest way;

(f)discouraging delay, dealing with as many aspects of the case as possible on the same occasion, and avoiding unnecessary hearings;

(g)encouraging the participants to co-operate in the progression of the case; and

(h)making use of technology.

(3) The court must actively manage the case by giving any direction appropriate to the needs of that case as early as possible.

(4)Where appropriate live links are available, making use of technology for the purposes of this rule includes giving a live link direction for a person’s participation—

(a)under a power to which rule 3.35 applies (Live link direction: exercise of court’s powers); and

(b)whether an application for such a direction is made or not.

(5)At the first hearing in a case the court must require a defendant who is present―

(a)to provide―

(i)the defendant’s name and date of birth; and

(ii)at least one address at which documents may be served on the defendant under rule 4.4 (Service by leaving or posting a document), including any address at which the defendant resides, in order to facilitate effective communication between the court and the defendant; and

(b)further to assist communication between the court and the defendant, to provide any―

(i)electronic address by means of which written messages may be sent to the defendant, and

(ii)telephone number by means of which oral messages may be given to or left for the defendant.

(6)At any hearing after the first in a case the court may require a defendant who is present to provide or confirm the information required under paragraph (5).

(7)Information required under paragraph (5)(a) must be provided in public unless on an application under rule 6.4 (Reporting and access restrictions) the court otherwise directs.

(8)If the defendant fails to comply with a requirement to provide name and date of birth―

(a)the court that imposed the requirement―

(i)may invite the prosecutor there and then to start a prosecution in respect of that failure, in accordance with the rules in Part 7 (Starting a prosecution in a magistrates’ court),

(ii)must apply to any such prosecution the rules in Part 24 (Trial and sentence in a magistrates’ court), and

(iii)in any such prosecution may receive evidence from court staff but must not, as a general rule, receive evidence from the defendant’s legal representative (if any) or from a member of the court; and

(b)for the purposes of this paragraph the rules in Parts 7 and 24 apply in the Crown Court as well as in a magistrates’ court.

[Note. Under section 51 of the Criminal Justice Act 2003, the court may require or permit any person to take part through a live audio or video link in the pre-trial, trial, sentencing, enforcement and appeal proceedings listed in that section. Under section 52A of the Act, a person who takes part in accordance with a live link direction is to be treated as present in court.

Under section 86A of the Courts Act 2003, Criminal Procedure Rules must specify stages of proceedings at which the court must require the defendant to provide name and date of birth and may specify other stages of proceedings at which such a requirement may be imposed. Under section 86A(3) a person commits an offence if, without reasonable excuse, that person fails to comply with such a requirement, whether by providing false or incomplete information or by providing no information. Under section 86A(6) the court before which a person is required to provide that information may deal with any suspected such offence at the same time as dealing with the offence for which the person was already before the court.]

The duty of the parties

3.3.—(1) Each party must―

(a)actively assist the court in fulfilling its duty under rule 3.2, without or if necessary with a direction; and

(b)apply for a direction if needed to further the overriding objective.

(2) Active assistance for the purposes of this rule includes―

(a)at the beginning of the case, communication between the prosecutor and the defendant at the first available opportunity and in any event no later than the beginning of the day of the first hearing;

(b)after that, communication between the parties and with the court officer until the conclusion of the case;

(c)by such communication establishing, among other things―

(i)whether the defendant is likely to plead guilty or not guilty,

(ii)what is agreed and what is likely to be disputed,

(iii)what information, or other material, is required by one party of another, and why, and

(iv)what is to be done, by whom, and when (without or if necessary with a direction);

(d)reporting on that communication to the court―

(i)at the first hearing, and

(ii)after that, as directed by the court; ...

(e)alerting the court to any reason why—

(i)a live link direction should not be given, or

(ii)such a direction should be varied or rescinded;

(f)alerting the court to any potential impediment to the defendant’s effective participation in the trial; ...

(g)alerting the court to any potential need for a witness to be accompanied while giving evidence, and in that event―

(i)identifying a proposed companion,

(ii)naming that person, if possible, and

(iii)explaining why that person would be an appropriate companion for the witness, including the witness’ own views; and

(h)alerting the court to any related family proceedings or anticipated such proceedings as soon as reasonably practicable after becoming aware of them.

[Note. See also rule 3.8(7) (Case preparation and progression) about the participation of a witness companion.]

Case progression officers and their duties

3.4.—(1) At the beginning of the case each party must, unless the court otherwise directs―

(a)nominate someone responsible for progressing that case; and

(b)tell other parties and the court who that is and how to contact that person.

(2) In fulfilling its duty under rule 3.2, the court must where appropriate―

(a)nominate a court officer responsible for progressing the case; and

(b)make sure the parties know who that is and how to contact that court officer.

(3) In this Part a person nominated under this rule is called a case progression officer.

(4) A case progression officer must―

(a)monitor compliance with directions;

(b)make sure that the court is kept informed of events that may affect the progress of that case;

(c)make sure that he or she can be contacted promptly about the case during ordinary business hours;

(d)act promptly and reasonably in response to communications about the case; and

(e)if he or she will be unavailable, appoint a substitute to fulfil his or her duties and inform the other case progression officers.

The court’s case management powers

3.5.—(1) In fulfilling its duty under rule 3.2 the court may give any direction and take any step actively to manage a case unless that direction or step would be inconsistent with legislation, including these Rules.

(2) In particular, the court may―

(a)nominate a judge, magistrate or justices’ legal adviser to manage the case;

(b)give a direction on its own initiative or on application by a party;

(c)ask or allow a party to propose a direction;

(d)receive applications, notices, representations and information by letter, by live link, by email or by any other means of electronic communication, and conduct a hearing by live link or other such electronic means;

(e)give a direction―

(i)at a hearing, in public or in private, or

(ii)without a hearing;

(f)fix, postpone, bring forward, extend, cancel or adjourn a hearing;

(g)shorten or extend (even after it has expired) a time limit fixed by a direction;

(h)require that issues in the case should be―

(i)identified in writing,

(ii)determined separately, and decide in what order they will be determined; ...

(i)specify the consequences of failing to comply with a direction;

(j)request information from a court dealing with family proceedings by―

(i)making the request itself, or

(ii)directing the court officer or a party to make the request on the criminal court’s behalf; and

(k)supply information to a court dealing with family proceedings as if a request had been made under rule 5.8(7) (Request for information about a case) by―

(i)supplying the information itself, or

(ii)directing the court officer or a party to supply that information on the criminal court’s behalf.

(3) A magistrates’ court may give a direction that will apply in the Crown Court if the case is to continue there.

(4) The Crown Court may give a direction that will apply in a magistrates’ court if the case is to continue there.

(5) Any power to give a direction under this Part includes a power to vary or revoke that direction.

(6) If a party fails to comply with a rule or a direction, the court may—

(a)fix, postpone, bring forward, extend, cancel or adjourn a hearing;

(b)exercise its powers to make a costs order; and

(c)impose such other sanction as may be appropriate.

(7)In deciding whether to postpone, cancel or adjourn a hearing the court must take into account—

(a)the likelihood that delay would be contrary to the court’s duty under rule 1.3 (The application by the court of the overriding objective);

(b)the court’s duty under rule 3.8 (Case preparation and progression);

(c)the availability of a substitute hearing date;

(d)the need for compelling reasons, and especially where an application to postpone, cancel or adjourn is made at or shortly before the hearing;

(e)the nature and gravity of any failure to comply with a rule or direction, or to take some other step, where that failure prompts the proposed postponement, cancellation or adjournment; and

(f)the evidence of unfitness to attend, where a participant’s ill-health prompts the proposed postponement, cancellation or adjournment, and in particular the extent to which any medical certificate satisfactorily—

(i)identifies the date of the participant’s examination,

(ii)describes the participant’s injury, illness or condition, the activity or activities which that ill-health impedes and the likely duration of that impediment, and

(iii)explains how that ill-health renders the participant unfit to attend the hearing.

[Note. Depending upon the nature of a case and the stage that it has reached, its progress may be affected by other Criminal Procedure Rules and by other legislation. The note at the end of this Part lists other rules and legislation that may apply.

See also rule 3.8 (Case preparation and progression).

The court may require expert evidence in support of an application to postpone, cancel or adjourn a hearing by reason of ill-health, in particular from the medical practitioner who provided a certificate in support of the application. See also Part 19 (Expert evidence).

The court may make a costs order under—

(a)section 19 of the Prosecution of Offences Act 1985(73), where the court decides that one party to criminal proceedings has incurred costs as a result of an unnecessary or improper act or omission by, or on behalf of, another party;

(b)section 19A of that Act(74), where the court decides that a party has incurred costs as a result of an improper, unreasonable or negligent act or omission on the part of a legal representative;

(c)section 19B of that Act(75), where the court decides that there has been serious misconduct by a person who is not a party.

Under some other legislation, including Parts 19, 20 and 21 of these Rules, if a party fails to comply with a rule or a direction then in some circumstances—

(a)the court may refuse to allow that party to introduce evidence;

(b)evidence that that party wants to introduce may not be admissible;

(c)the court may draw adverse inferences from the late introduction of an issue or evidence.

See also—

(a)section 81(1) of the Police and Criminal Evidence Act 1984(76) and section 20(3) of the Criminal Procedure and Investigations Act 1996(77) (advance disclosure of expert evidence);

(b)section 11(5) of the Criminal Procedure and Investigations Act 1996(78) (faults in disclosure by accused);

(c)section 132(5) of the Criminal Justice Act 2003(79) (failure to give notice of hearsay evidence).]

Application to vary a direction

3.6.—(1) A party may apply to vary a direction if―

(a)the court gave it without a hearing;

(b)the court gave it at a hearing in that party’s absence; or

(c)circumstances have changed.

(2) A party who applies to vary a direction must―

(a)apply as soon as practicable after becoming aware of the grounds for doing so; and

(b)give as much notice to the other parties as the nature and urgency of the application permits.

Agreement to vary a time limit fixed by a direction

3.7.—(1) The parties may agree to vary a time limit fixed by a direction, but only if―

(a)the variation will not―

(i)affect the date of any hearing that has been fixed, or

(ii)significantly affect the progress of the case in any other way;

(b)the court has not prohibited variation by agreement; and

(c)the court’s case progression officer is promptly informed.

(2) The court’s case progression officer must refer the agreement to the court if in doubt that the condition in paragraph (1)(a) is satisfied.

Case preparation and progression

3.8.—(1) At every hearing, if a case cannot be concluded there and then the court must give directions so that it can be concluded at the next hearing or as soon as possible after that.

(2) At every hearing the court must, where relevant―

(a)if the defendant is absent, decide whether to proceed nonetheless;

(b)take the defendant’s plea (unless already done) or if no plea can be taken then find out whether the defendant is likely to plead guilty or not guilty;

(c)set, follow or revise a timetable for the progress of the case, which may include a timetable for any hearing including the trial or (in the Crown Court) the appeal;

(d)in giving directions, ensure continuity in relation to the court and to the parties’ representatives where that is appropriate and practicable; and

(e)where a direction has not been complied with, find out why, identify who was responsible, and take appropriate action.

(3) In order to prepare for the trial, the court must take every reasonable step―

(a)to encourage and to facilitate the attendance of witnesses when they are needed; and

(b)to facilitate the participation of any person, including the defendant.

(4) Facilitating the participation of the defendant includes finding out whether the defendant needs interpretation because―

(a)the defendant does not speak or understand English; or

(b)the defendant has a hearing or speech disorder.

(5) Where the defendant needs interpretation―

(a)the court officer must arrange for interpretation to be provided at every hearing which the defendant is due to attend;

(b)interpretation may be by an intermediary where the defendant has a speech disorder, without the need for a defendant’s evidence direction;

(c)on application or on its own initiative, the court may require a written translation to be provided for the defendant of any document or part of a document, unless―

(i)translation of that document, or part, is not needed to explain the case against the defendant, or

(ii)the defendant agrees to do without and the court is satisfied that the agreement is clear and voluntary and that the defendant has had legal advice or otherwise understands the consequences; and

(d)on application by the defendant, the court must give any direction which the court thinks appropriate, including a direction for interpretation by a different interpreter, where―

(i)no interpretation is provided,

(ii)no translation is ordered or provided in response to a previous application by the defendant, or

(iii)the defendant complains about the quality of interpretation or of any translation.

(6)Facilitating the participation of any person includes―

(a)giving directions for someone to accompany a witness if the witness so wishes while the witness gives evidence and at any other hearing; and

(b)giving directions for the appropriate treatment and questioning of a witness or the defendant, especially where the court directs that such questioning is to be conducted through an intermediary.

(7)Where a witness will be accompanied―

(a)the court―

(i)may allow or require the companion to sit with the witness, and

(ii)if the companion is an advisor must as a general rule allow that advisor to sit next to or near the witness in the courtroom or at any other place where the witness takes part, subject to any direction under rule 3.9 (Ground rules hearing);

(b)before the hearing begins an accompanying advisor must notify the court, orally or in writing (but not in public unless the court otherwise directs) of―

(i)the advisor’s presence, the advisor’s name and the identity of the witness whom the advisor will accompany, and

(ii)the name and address of the organisation, if any, on behalf of which the advisor is providing the witness with support; and

(c)an advisor or other companion must not―

(i)discuss the evidence with the witness,

(ii)advise the witness on how to answer a question,

(iii)give the witness legal advice,

(iv)address the court unless asked to do so, or

(v)interrupt the hearing.

(8)For the purposes of this rule ‘advisor’ means an independent domestic violence advisor or an independent sexual violence advisor and―

(a)an independent domestic violence advisor is a person who provides support to an individual who is a victim of criminal conduct which constitutes domestic abuse within the meaning of the Domestic Abuse Act 2021; and

(b)an independent sexual violence advisor is a person who provides support to an individual who is a victim of criminal conduct which constitutes conduct of a sexual nature.

(9) Where directions for appropriate treatment and questioning are required, the court must―

(a)invite representations by the parties and by any intermediary; and

(b)set ground rules for the conduct of the questioning, which rules may include―

(i)a direction relieving a party of any duty to put that party’s case to a witness or a defendant in its entirety,

(ii)directions about the manner of questioning,

(iii)directions about the duration of questioning,

(iv)if necessary, directions about the questions that may or may not be asked,

(v)directions about the means by which any intermediary may intervene in questioning, if necessary,

(vi)where there is more than one defendant, the allocation among them of the topics about which a witness may be asked, and

(vii)directions about the use of models, plans, body maps or similar aids to help communicate a question or an answer.

[Note. See also—

(a)rule 3.3(2)(g) which requires the parties to alert the court to any potential need for a witness to be accompanied while giving evidence; and

(b)rule 3.36(2)(h) (Content of application for a live link direction) and rule 18.10(f) (Content of application for a special measures direction) about the participation of a witness companion in the circumstances to which those rules apply.

Part 18 (Measures to assist a witness or defendant to give evidence) contains rules about an application for a defendant’s evidence direction under (among other provisions) sections 33BA and 33BB of the Youth Justice and Criminal Evidence Act 1999(80).

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Where a trial in a magistrates’ court will take place in Wales, a participant may use the Welsh language: see rule 3.18. Where a trial in the Crown Court will take place in Wales and a participant wishes to use the Welsh language, see rule 3.34.]

Ground rules hearing

3.9.—(1) This rule applies where the court exercises the powers to which rule 3.8(6) and (7) apply (directions for appropriate treatment and questioning of a witness or defendant).

(2) At a pre-trial case management hearing convened for the purpose—

(a)the parties and any intermediary must—

(i)attend, unless the court otherwise directs, and

(ii)actively assist the court in setting ground rules and giving directions;

(b)the court must—

(i)discuss proposed ground rules and directions with the parties and any intermediary,

(ii)set ground rules for the conduct of questioning of the witness or defendant, as applicable, and

(iii)give such other directions as may be required to facilitate the effective participation of that witness or defendant; and

(c)despite rule 3.14(b) (court officer’s duty to make a record of directions), the court may require the parties—

(i)to make a record of those ground rules and directions, and

(ii)to serve that record on each other, on any intermediary and on the court officer.

(3) In setting such ground rules and giving such directions, the court must have regard to—

(a)any intermediary’s report;

(b)the parties’ representations; and

(c)such other information or advice as the court requires.

(4) The ground rules for questioning set by the court may include any listed in rule 3.8(7)(b).

(5) The directions given by the court may include any about—

(a)the timetable for the submission of proposed questions;

(b)the timetable for the trial, including the taking of breaks during proceedings;

(c)seating arrangements in the court room for the defendant, the defendant’s advocate and legal representative, any intermediary and any parent, guardian or other companion of the defendant; and

(d)any explanation to be given to the jury, if there is one, of—

(i)the witness’ or the defendant’s communication needs and behaviour, as applicable, and

(ii)the role of the intermediary, if there is one.

[Note. See also rule 3.16 (Pre-trial hearings in a magistrates’ court: general rules) and rule 3.21 (Pre-trial hearings in the Crown Court: general rules).]

Directions for commissioning medical reports, other than for sentencing purposes

3.10.—(1) This rule applies where, because of a defendant’s suspected mental ill-health―

(a)a magistrates’ court requires expert medical opinion about the potential suitability of a hospital order under section 37(3) of the Mental Health Act 1983(81) (hospital order without convicting the defendant);

(b)the Crown Court requires expert medical opinion about the defendant’s fitness to participate at trial, under section 4 of the Criminal Procedure (Insanity) Act 1964(82); or

(c)a magistrates’ court or the Crown Court requires expert medical opinion to help the court determine a question of intent or insanity,

other than such opinion introduced by a party.

(2) A court may exercise the power to which this rule applies on its own initiative having regard to―

(a)an assessment of the defendant’s health by a mental health practitioner acting independently of the parties to assist the court;

(b)representations by a party; or

(c)observations by the court.

(3) A court that requires expert medical opinion to which this rule applies must―

(a)identify each issue in respect of which the court requires such opinion and any legislation applicable;

(b)specify the nature of the expertise likely to be required for giving such opinion;

(c)identify each party or participant by whom a commission for such opinion must be prepared, who may be―

(i)a party (or party’s representative) acting on that party’s own behalf,

(ii)a party (or party’s representative) acting on behalf of the court, or

(iii)the court officer acting on behalf of the court;

(d)where there are available to the court arrangements with the National Health Service under which an assessment of a defendant’s mental health may be prepared, give such directions as are needed under those arrangements for obtaining the expert report or reports required;

(e)where no such arrangements are available to the court, or they will not be used, give directions for the commissioning of an expert report or expert reports, including―

(i)such directions as can be made about supplying the expert or experts with the defendant’s medical records,

(ii)directions about the other information, about the defendant and about the offence or offences alleged to have been committed by the defendant, which is to be supplied to each expert, and

(iii)directions about the arrangements that will apply for the payment of each expert;

(f)set a timetable providing for—

(i)the date by which a commission is to be delivered to each expert,

(ii)the date by which any failure to accept a commission is to be reported to the court,

(iii)the date or dates by which progress in the preparation of a report or reports is to be reviewed by the court officer, and

(iv)the date by which each report commissioned is to be received by the court; and

(g)identify the person (each person, if more than one) to whom a copy of a report is to be supplied, and by whom.

(4) A commission addressed to an expert must—

(a)identify each issue in respect of which the court requires expert medical opinion and any legislation applicable;

(b)include—

(i)the information required by the court to be supplied to the expert,

(ii)details of the timetable set by the court, and

(iii)details of the arrangements that will apply for the payment of the expert;

(c)identify the person (each person, if more than one) to whom a copy of the expert’s report is to be supplied; and

(d)request confirmation that the expert from whom the opinion is sought—

(i)accepts the commission, and

(ii)will adhere to the timetable.

[Note. See also rule 28.8 (Directions for commissioning medical reports for sentencing purposes).

The court may request a medical examination of the defendant and a report under—

(a)section 4 of the Criminal Procedure (Insanity) Act 1964, under which the Crown Court may determine a defendant’s fitness to plead;

(b)section 35 of the Mental Health Act 1983(83), under which the court may order the defendant’s detention in hospital to obtain a medical report;

(c)section 36 of the 1983 Act(84), under which the Crown Court may order the defendant’s detention in hospital instead of in custody pending trial or sentence;

(d)section 37 of the 1983 Act(85), under which the court may order the defendant’s detention and treatment in hospital, or make a guardianship order, instead of disposing of the case in another way (section 37(3) allows a magistrates’ court to make such an order without convicting the defendant if satisfied that the defendant did the act or made the omission charged);

(e)section 38 of the 1983 Act(86), under which the court may order the defendant’s temporary detention and treatment in hospital instead of disposing of the case in another way;

(f)section 157 of the Criminal Justice Act 2003(87), under which the court must usually obtain and consider a medical report before passing a custodial sentence if the defendant is, or appears to be, mentally disordered;

(g)section 207 of the 2003 Act(88)(in the case of a defendant aged 18 or over), or section 1(1)(k) of the Criminal Justice and Immigration Act 2008(89) (in the case of a defendant who is under 18), under which the court may impose a mental health treatment requirement.

For the purposes of the legislation listed in (a), (c), (d) and (e) above, the court requires the written or oral evidence of at least two registered medical practitioners, at least one of whom is approved as having special experience in the diagnosis or treatment of mental disorder. For the purposes of (b), (f) and (g), the court requires the evidence of one medical practitioner so approved.

Under section 11 of the Powers of Criminal Courts (Sentencing) Act 2000(90), a magistrates’ court may adjourn a trial to obtain medical reports.

Part 19 (Expert evidence) contains rules about the content of expert medical reports.

For the authorities from whom the court may require information about hospital treatment or guardianship, see sections 39 and 39A of the 1983 Act(91).

The Practice Direction includes a timetable for the commissioning and preparation of a report or reports which the court may adopt with such adjustments as the court directs.

Payments to medical practitioners for reports and for giving evidence are governed by section 19(3) of the Prosecution of Offences Act 1985(92) and by the Costs in Criminal Cases (General) Regulations 1986(93), regulation 17 (Determination of rates or scales of allowances payable out of central funds), regulation 20 (Expert witnesses, etc.) and regulation 25 (Written medical reports). The rates and scales of allowances payable under those Regulations are determined by the Lord Chancellor.]

Hearing to inform the court of sensitive material

3.11.—(1) This rule applies where the prosecutor has, or is aware of, material—

(a)the revelation of which to the public or to the defendant the prosecutor thinks would give rise to a real risk of serious prejudice to an important public interest;

(b)to which the prosecutor does not think the obligation to disclose prosecution material applies, under Part I of the Criminal Procedure and Investigations Act 1996; but

(c)of the existence of which the prosecutor thinks it necessary to inform the court to avoid—

(i)potential unfairness to the defendant in the conduct of the trial,

(ii)potential prejudice to the fair management of the trial, or

(iii)potential prejudice to that public interest.

(2) Such a prosecutor must―

(a)ask for a hearing so to inform the court; and

(b)notify the defendant of that request only to such extent, if any, and at such time, if at all, as the court directs.

(3) At or before the hearing the prosecutor must―

(a)explain—

(i)why the hearing is necessary, and

(ii)why it is necessary for the hearing to take place in the defendant’s absence;

(b)explain to what extent, if any, and when, if at all, the defendant should be informed―

(i)of the hearing, and

(ii)of the material of which the prosecutor wants to inform the court; and

(c)provide or describe the material to the court―

(i)only to the extent needed to achieve the purpose for which the hearing is convened, and

(ii)in such manner as the court directs.

(4) Unless the court otherwise directs―

(a)any such hearing―

(i)must be in private, and

(ii)must take place in the defendant’s absence;

(b)the court officer must not give notice to anyone other than the prosecutor of—

(i)the court’s decision on the request for a hearing,

(ii)the arrangements for any such hearing, and

(iii)any directions given at such a hearing; and

(c)the court officer may—

(i)keep any written representations or material received under this rule, or

(ii)arrange for the whole or any part to be kept by some other appropriate person, subject to any conditions that the court may impose.

Readiness for trial or appeal

3.12.—(1) This rule applies to a party’s preparation for trial or appeal, and in this rule and rule 3.13 ‘trial’ includes any hearing at which evidence will be introduced.

(2) In fulfilling the duty under rule 3.3, each party must―

(a)comply with directions given by the court;

(b)take every reasonable step to make sure that party’s witnesses will attend when they are needed;

(c)make appropriate arrangements to present any written or other material; and

(d)promptly inform the court and the other parties of anything that may―

(i)affect the date or duration of the trial or appeal, or

(ii)significantly affect the progress of the case in any other way.

(3) The court may require a party to give a certificate of readiness.

Conduct of a trial or an appeal

3.13. In order to manage a trial or an appeal, the court—

(a)must establish, with the active assistance of the parties, what are the disputed issues;

(b)must consider setting a timetable that—

(i)takes account of those issues and of any timetable proposed by a party, and

(ii)may limit the duration of any stage of the hearing;

(c)may require a party to identify—

(i)which witnesses that party wants to give evidence in person,

(ii)the order in which that party wants those witnesses to give their evidence,

(iii)whether that party requires an order compelling the attendance of a witness,

(iv)what arrangements are desirable to facilitate the giving of evidence by a witness,

(v)what arrangements are desirable to facilitate the participation of any other person, including the defendant,

(vi)what written evidence that party intends to introduce,

(vii)what other material, if any, that person intends to make available to the court in the presentation of the case, and

(viii)whether that party intends to raise any point of law that could affect the conduct of the trial or appeal; and

(d)may limit—

(i)the examination, cross-examination or re-examination of a witness, and

(ii)the duration of any stage of the hearing.

[Note. See also rules 3.5 (The court’s case management powers) and 3.8 (Case preparation and progression).]

Duty of court officer

3.14. The court officer must—

(a)where a person is entitled or required to attend a hearing, give as much notice as reasonably practicable to―

(i)that person, and

(ii)that person’s custodian (if any); and

(b)where the court gives directions, promptly make a record available to the parties.

[Note. See also rule 5.9 (Request for information by a party or person directly affected by a case).]

Court’s power to vary requirements under this Part

3.15.—(1) The court may—

(a)shorten or extend (even after it has expired) a time limit set by this Part; and

(b)allow an application or representations to be made orally.

(2) A person who wants an extension of time must—

(a)apply when serving the application or representations for which it is needed; and

(b)explain the delay.

PREPARATION FOR TRIAL IN A MAGISTRATES’ COURT

Pre-trial hearings in a magistrates’ court: general rules

3.16.—(1) A magistrates’ court―

(a)must conduct a preparation for trial hearing unless―

(i) under rule 9.11 or rule 9.13 (Adult defendant: allocation for magistrates’ court trial; Young defendant) the defendant indicates an intention to plead guilty, or

(ii)the case is one to which rule 24.8 or rule 24.9 applies (Written guilty plea: special rules; Single justice procedure: special rules); and

(b)may conduct a further pre-trial case management hearing (and if necessary more than one such hearing) only where―

(i)the court anticipates a guilty plea,

(ii)it is necessary to conduct such a hearing in order to give directions for an effective trial, or

(iii)such a hearing is required to set ground rules for the conduct of the questioning of a witness or defendant.

(2) At a preparation for trial hearing the court must give directions for an effective trial.

(3)At a preparation for trial hearing, if the defendant is present—

(a)the court must satisfy itself that there has been explained to the defendant, in terms the defendant can understand (with help, if necessary), that the defendant will receive credit for a guilty plea;

(b)the court may explain, in terms the defendant can understand (with help, if necessary), that the defendant may ask the court for an indication of whether a custodial or non-custodial sentence is more likely in the event of a guilty plea there and then, but the court need not give such an indication;

(c)whether the court gives such an explanation or not the defendant may ask the court for such an indication;

(d)if the defendant asks the court for such an indication, the prosecutor must―

(i)provide any information relevant to sentence not yet served but which is available there and then, and

(ii)identify any other matter relevant to sentence, including the legislation applicable, any sentencing guidelines or guideline cases and aggravating and mitigating factors;

(e)the court must take the defendant’s plea or if no plea can be taken then find out whether the defendant is likely to plead guilty or not guilty; and

(f)unless the defendant pleads guilty, the court must satisfy itself that there has been explained to the defendant, in terms the defendant can understand (with help, if necessary), that at the trial―

(i)the defendant will have the right to give evidence after the court has heard the prosecution case,

(ii)if the defendant does not attend, the trial is likely to take place in the defendant’s absence, and

(iii)where the defendant is released on bail, failure to attend court when required is an offence for which the defendant may be arrested and punished and bail may be withdrawn.

(4) A pre-trial case management hearing must be in public, as a general rule, but all or part of the hearing may be in private if the court so directs.

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[Note. ...

Under section 11 of the Magistrates’ Courts Act 1980(94), where the defendant does not attend the trial, where the defendant is at least 18 years old, and subject to some exceptions, then the court must proceed in his or her absence unless it appears to the court to be contrary to the interests of justice to do so. Where the defendant does not attend the trial and he or she is under 18 then, again subject to some exceptions, the court may proceed in his or her absence.

Under sections 8A and 8B of the Magistrates’ Courts Act 1980(95), a pre-trial ruling about the admissibility of evidence or any other question of law is binding unless it later appears to the court in the interests of justice to discharge or vary that ruling.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ]

Place of magistrates’ court trial

3.17. The court officer must arrange for a magistrates’ court trial to take place in a courtroom provided by the Lord Chancellor, unless—

(a)the court otherwise directs; or

(b)the case is one to which rule 24.9 (Single justice procedure: special rules) applies.

[Note. See section 3 of the Courts Act 2003(96) and section 16A of the Magistrates’ Courts Act 1980(97).

In some circumstances the court may conduct all or part of the hearing outside a courtroom. The members of the court may discuss the verdict and sentence outside the courtroom.]

Use of Welsh language at magistrates’ court trial

3.18. Where a magistrates’ court trial takes place in Wales—

(a)any party or witness may use the Welsh language; and

(b)if practicable, at least one member of the court must be Welsh-speaking.

[Note. See section 3 of the Courts Act 2003(98)and section 22 of the Welsh Language Act 1993(99).]

PREPARATION FOR TRIAL IN THE CROWN COURT

Service of prosecution evidence

3.19.—(1)This rule applies where the prosecutor—

(a)serves a draft indictment under rule 10.4, 10.5, 10.6, 10.7 or 10.8 (service of draft indictment after sending for trial; with judicial permission or on judicial direction; in connection with a deferred prosecution agreement; or on reinstitution of proceedings); and

(b)serves on the defendant copies of the documents containing the evidence on which the prosecution case relies.

(2) The prosecutor must at the same time serve copies of those documents on the Crown Court officer.

[Note. See the rules in Part 10 (The indictment) listed in this rule and the other legislation to which those rules refer.

See also the Crime and Disorder Act 1998 (Service of Prosecution Evidence) Regulations 2005 which apply where a case is sent for trial. The time for service of the prosecution evidence in such a case is prescribed by regulation 2. It is—

(a)not more than 50 days after sending for trial, where the defendant is in custody; and

(b)not more than 70 days after sending for trial, where the defendant is on bail.]

Application to dismiss offence sent for Crown Court trial

3.20.—(1) This rule applies where a defendant wants the Crown Court to dismiss an offence sent for trial there.

(2) The defendant must—

(a)apply in writing—

(i)not more than 20 business days after service of the prosecution evidence, and

(ii)before the defendant’s arraignment under rule 3.32 (Arraigning the defendant on the indictment);

(b)serve the application on—

(i)the Crown Court officer, and

(ii)each other party; and

(c)in the application—

(i)explain why the prosecution evidence would not be sufficient for the defendant to be properly convicted,

(ii)ask for a hearing, if the defendant wants one, and explain why it is needed,

(iii)identify any witness whom the defendant wants to call to give evidence in person, with an indication of what evidence the witness can give,

(iv)identify any material already served that the defendant thinks the court will need to determine the application, and

(v)include any material not already served on which the defendant relies.

(3) A prosecutor who opposes the application must—

(a)serve notice of opposition, not more than 10 business days after service of the defendant’s notice, on—

(i)the Crown Court officer, and

(ii)each other party; and

(b)in the notice of opposition—

(i)explain the grounds of opposition,

(ii)ask for a hearing, if the prosecutor wants one, and explain why it is needed,

(iii)identify any witness whom the prosecutor wants to call to give evidence in person, with an indication of what evidence the witness can give,

(iv)identify any material already served that the prosecutor thinks the court will need to determine the application, and

(v)include any material not already served on which the prosecutor relies.

(4) The court may determine an application under this rule—

(a)at a hearing, in public or in private, or without a hearing; and

(b)in the absence of—

(i)the defendant who made the application, and

(ii)the prosecutor, if the prosecutor has had at least 10 business days in which to serve notice opposing the application.

(5) The court may—

(a)shorten or extend (even after it has expired) a time limit under this rule; and

(b)allow a witness to give evidence in person even if that witness was not identified in the defendant’s application or in the prosecutor’s notice.

[Note. Under paragraph 2 of Schedule 3 to the Crime and Disorder Act 1998(100), on an application by the defendant the Crown Court must dismiss an offence charged if it appears to the court that the evidence would not be sufficient for the applicant to be properly convicted.]

Pre-trial hearings in the Crown Court: general rules

3.21.—(1) The Crown Court―

(a)may, and in some cases must, conduct a preparatory hearing where rule 3.22 (Preparatory hearing) applies;

(b)must conduct a plea and trial preparation hearing; and

(c)may conduct a further pre-trial case management hearing (and if necessary more than one such hearing) only where―

(i)the court anticipates a guilty plea,

(ii)it is necessary to conduct such a hearing in order to give directions for an effective trial, or

(iii)such a hearing is required to set ground rules for the conduct of the questioning of a witness or defendant.

(2) At the plea and trial preparation hearing the court must―

(a)satisfy itself that there has been explained to the defendant, in terms the defendant can understand (with help, if necessary), that the defendant will receive credit for a guilty plea;

(b)take the defendant’s plea in accordance with rule 3.32 (Arraigning the defendant on the indictment) or if no plea can be taken then find out whether the defendant is likely to plead guilty or not guilty;

(c)unless the defendant pleads guilty, satisfy itself that there has been explained to the defendant, in terms the defendant can understand (with help, if necessary), that at the trial―

(i)the defendant will have the right to give evidence after the court has heard the prosecution case,

(ii)if the defendant does not attend, the trial may take place in the defendant’s absence,

(iii)if the trial takes place in the defendant’s absence, the judge may inform the jury of the reason for that absence, and

(iv)where the defendant is released on bail, failure to attend court when required is an offence for which the defendant may be arrested and punished and bail may be withdrawn; and

(d)give directions for an effective trial.

(3) A pre-trial case management hearing―

(a)must be in public, as a general rule, but all or part of the hearing may be in private if the court so directs; and

(b)must be recorded, in accordance with rule 5.5 (Recording and transcription of proceedings in the Crown Court).

(4) Where the court determines a pre-trial application in private, it must announce its decision in public.

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[Note. See also the general rules in the first section of this Part (rules 3.1 to 3.15) and the other rules in this section.

The Practice Direction lists the circumstances in which a further pre-trial case management hearing is likely to be needed in order to give directions for an effective trial.

There are rules relevant to applications which may be made at a pre-trial hearing in Part 6 (Reporting, etc. restrictions), Part 14 (Bail and custody time limits), Part 15 (Disclosure), Part 17 (Witness summonses, warrants and orders), Part 18 (Measures to assist a witness or defendant to give evidence), Part 19 (Expert evidence), Part 20 (Hearsay evidence), Part 21 (Evidence of bad character), Part 22 (Evidence of a complainant’s previous sexual behaviour) and Part 23 (Restriction on cross-examination by a defendant).

On an application to which Part 14 (Bail and custody time limits) applies, rule 14.2 (exercise of court’s powers under that Part) may require the defendant’s presence, which may be by live link. Where rule 14.10 applies (Consideration of bail in a murder case), the court officer must arrange for the Crown Court to consider bail within 2 business days of the first hearing in the magistrates’ court.

Under section 40 of the Criminal Procedure and Investigations Act 1996(101), a pre-trial ruling about the admissibility of evidence or any other question of law is binding unless it later appears to the court in the interests of justice to discharge or vary that ruling.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

Preparatory hearing

3.22.—(1) This rule applies where the Crown Court―

(a)can order a preparatory hearing, under―

(i)section 7 of the Criminal Justice Act 1987(102) (cases of serious or complex fraud), or

(ii)section 29 of the Criminal Procedure and Investigations Act 1996(103) (other complex, serious or lengthy cases);

(b)must order such a hearing, to determine an application for a trial without a jury, under―

(i)section 44 of the Criminal Justice Act 2003(104) (danger of jury tampering), or

(ii)section 17 of the Domestic Violence, Crime and Victims Act 2004(105) (trial of sample counts by jury, and others by judge alone); and

(c)must order such a hearing, under section 29 of the 1996 Act, where section 29(1B) or (1C) applies (cases in which a terrorism offence is charged, or other serious cases with a terrorist connection).

(2) The court may decide whether to order a preparatory hearing—

(a)on an application or on its own initiative;

(b)at a hearing (in public or in private), or without a hearing; and

(c)in a party’s absence, if that party—

(i)applied for the order, or

(ii)has had at least 10 business days in which to make representations.

[Note. See also section 45(2) of the Criminal Justice Act 2003 and section 18(1) of the Domestic Violence, Crime and Victims Act 2004.

At a preparatory hearing, the court may—

(a)require the prosecution to set out its case in a written statement, to arrange its evidence in a form that will be easiest for the jury (if there is one) to understand, to prepare a list of agreed facts, and to amend the case statement following representations from the defence (section 9(4) of the 1987 Act, section 31(4) of the 1996 Act); and

(b)require the defence to give notice of any objection to the prosecution case statement, and to give notice stating the extent of agreement with the prosecution as to documents and other matters and the reason for any disagreement (section 9(5) of the 1987 Act, section 31(6), (7), (9) of the 1996 Act).

Under section 10 of the 1987 Act(106), and under section 34 of the 1996 Act(107), if either party later departs from the case or objections disclosed by that party, then the court, or another party, may comment on that, and the court may draw such inferences as appear proper.]

Application for preparatory hearing

3.23.—(1) A party who wants the court to order a preparatory hearing must—

(a)apply in writing—

(i)as soon as reasonably practicable, and in any event

(ii)not more than 10 business days after the defendant pleads not guilty; and

(b)serve the application on—

(i)the court officer, and

(ii)each other party.

(2) The applicant must either—

(a)if relevant, explain what legislation requires the court to order a preparatory hearing; or

(b)explain—

(i)what makes the case complex or serious, or makes the trial likely to be long,

(ii)why a substantial benefit will accrue from a preparatory hearing, and

(iii)why the court’s ordinary powers of case management are not adequate.

(3) A prosecutor who wants the court to order a trial without a jury must explain—

(a)where the prosecutor alleges a danger of jury tampering—

(i)what evidence there is of a real and present danger that jury tampering would take place,

(ii)what steps, if any, reasonably might be taken to prevent jury tampering, and

(iii)why, notwithstanding such steps, the likelihood of jury tampering is so substantial as to make it necessary in the interests of justice to order such a trial; or

(b)where the prosecutor proposes trial without a jury on some counts on the indictment—

(i)why a trial by jury involving all the counts would be impracticable,

(ii)how the counts proposed for jury trial can be regarded as samples of the others, and

(iii)why it would be in the interests of justice to order such a trial.

Application for non-jury trial containing information withheld from a defendant

3.24.—(1) This rule applies where—

(a)the prosecutor applies for an order for a trial without a jury because of a danger of jury tampering; and

(b)the application includes information that the prosecutor thinks ought not be revealed to a defendant.

(2) The prosecutor must—

(a)omit that information from the part of the application that is served on that defendant;

(b)mark the other part to show that, unless the court otherwise directs, it is only for the court; and

(c)in that other part, explain why the prosecutor has withheld that information from that defendant.

(3) The hearing of an application to which this rule applies—

(a)must be in private, unless the court otherwise directs; and

(b)if the court so directs, may be, wholly or in part, in the absence of a defendant from whom information has been withheld.

(4) At the hearing of an application to which this rule applies—

(a)the general rule is that the court will receive, in the following sequence—

(i)representations first by the prosecutor and then by each defendant, in all the parties’ presence, and then

(ii)further representations by the prosecutor, in the absence of a defendant from whom information has been withheld; but

(b)the court may direct other arrangements for the hearing.

(5) Where, on an application to which this rule applies, the court orders a trial without a jury—

(a)the general rule is that the trial will be before a judge other than the judge who made the order; but

(b)the court may direct other arrangements.

Representations in response to application for preparatory hearing

3.25.—(1) This rule applies where a party wants to make representations about—

(a)an application for a preparatory hearing; or

(b)an application for a trial without a jury.

(2) Such a party must—

(a)serve the representations on—

(i)the court officer, and

(ii)each other party;

(b)do so not more than 10 business days after service of the application; and

(c)ask for a hearing, if that party wants one, and explain why it is needed.

(3) Where representations include information that the person making them thinks ought not be revealed to another party, that person must—

(a)omit that information from the representations served on that other party;

(b)mark the information to show that, unless the court otherwise directs, it is only for the court; and

(c)with that information include an explanation of why it has been withheld from that other party.

(4) Representations against an application for an order must explain why the conditions for making it are not met.

Commencement of preparatory hearing

3.26. At the beginning of a preparatory hearing, the court must—

(a)announce that it is such a hearing; and

(b)take the defendant’s plea under rule 3.32 (Arraigning the defendant on the indictment), unless already done.

[Note. See section 8 of the Criminal Justice Act 1987(108) and section 30 of the Criminal Procedure and Investigations Act 1996(109).]

Defence trial advocate

3.27.—(1) The defendant must notify the court officer of the identity of the intended defence trial advocate―

(a)as soon as practicable, and in any event no later than the day of the plea and trial preparation hearing; and

(b)in writing, or orally at that hearing.

(2) The defendant must notify the court officer in writing of any change in the identity of the intended defence trial advocate as soon as practicable, and in any event not more than 5 business days after that change.

Application to stay case for abuse of process

3.28.—(1) This rule applies where a defendant wants the Crown Court to stay the case on the grounds that the proceedings are an abuse of the court, or otherwise unfair.

(2) Such a defendant must—

(a)apply in writing—

(i)as soon as practicable after becoming aware of the grounds for doing so,

(ii)at a pre-trial hearing, unless the grounds for the application do not arise until trial, and

(iii)in any event, before the defendant pleads guilty or the jury (if there is one) retires to consider its verdict at trial;

(b)serve the application on—

(i)the court officer, and

(ii)each other party; and

(c)in the application—

(i)explain the grounds on which it is made,

(ii)include, attach or identify all supporting material,

(iii)specify relevant events, dates and propositions of law, and

(iv)identify any witness the applicant wants to call to give evidence in person.

(3) A party who wants to make representations in response to the application must serve the representations on—

(a)the court officer; and

(b)each other party,

not more than 10 business days after service of the application.

Application for joint or separate trials, etc.

3.29.—(1) This rule applies where a party wants the Crown Court to order—

(a)the joint trial of—

(i)offences charged by separate indictments, or

(ii)defendants charged in separate indictments;

(b)separate trials of offences charged by the same indictment;

(c)separate trials of defendants charged in the same indictment; or

(d)the deletion of a count from an indictment.

(2) Such a party must—

(a)apply in writing—

(i)as soon as practicable after becoming aware of the grounds for doing so, and

(ii)before the trial begins, unless the grounds for the application do not arise until trial;

(b)serve the application on—

(i)the court officer, and

(ii)each other party; and

(c)in the application—

(i)specify the order proposed, and

(ii)explain why it should be made.

(3) A party who wants to make representations in response to the application must serve the representations on—

(a)the court officer; and

(b)each other party,

not more than 10 business days after service of the application.

(4) Where the same indictment charges more than one offence, the court may exercise its power to order separate trials of those offences if of the opinion that—

(a)the defendant otherwise may be prejudiced or embarrassed in his or her defence (for example, where the offences to be tried together are neither founded on the same facts nor form or are part of a series of offences of the same or a similar character); or

(b)for any other reason it is desirable that the defendant should be tried separately for any one or more of those offences.

[Note. See section 5 of the Indictments Act 1915(110). Rule 10.2 (The indictment: general rules) governs the form and content of an indictment.

Any issue arising from a decision under this rule may be subject to appeal to the Court of Appeal. Part 37 (Appeal to the Court of Appeal against ruling at preparatory hearing), Part 38 (Appeal to the Court of Appeal against ruling adverse to prosecution) and Part 39 (Appeal to the Court of Appeal about conviction or sentence) each contains relevant rules. The powers of the Court of Appeal on an appeal to which Part 39 applies are set out in sections 2, 3 and 7 of the Criminal Appeal Act 1968(111).]

Order for joint or separate trials, or amendment of the indictment

3.30.—(1) This rule applies where the Crown Court makes an order—

(a)on an application to which rule 3.29 (Application for joint or separate trials, etc.) applies; or

(b)amending an indictment in any other respect.

(2) Unless the court otherwise directs, the court officer must endorse any paper copy of each affected indictment made for the court with—

(a)a note of the court’s order; and

(b)the date of that order.

Application for indication of sentence

3.31.—(1) This rule applies where a defendant wants the Crown Court to give an indication of the maximum sentence that would be passed if a guilty plea were entered when the indication is sought.

(2) Such a defendant must—

(a)apply in writing as soon as practicable; and

(b)serve the application on—

(i)the court officer, and

(ii)the prosecutor.

(3) The application must—

(a)specify—

(i)the offence or offences to which it would be a guilty plea, and

(ii)the facts on the basis of which that plea would be entered; and

(b)include the prosecutor’s agreement to, or representations on, that proposed basis of plea.

(4) The prosecutor must—

(a)provide information relevant to sentence, including—

(i)any previous conviction of the defendant, and the circumstances where relevant, and

(ii)any statement of the effect of the offence on the victim, the victim’s family or others; and

(b)identify any other matter relevant to sentence, including—

(i)the legislation applicable,

(ii)any sentencing guidelines, or guideline cases, and

(iii)aggravating and mitigating factors.

(5) The hearing of the application—

(a)may take place in the absence of any other defendant; and

(b)must be attended by—

(i)the applicant defendant’s legal representatives (if any), and

(ii)the prosecution advocate.

Arraigning the defendant

3.32.—(1)In order to take the defendant’s plea, the Crown Court must—

(a)if more than one indictment has been preferred or proposed, or more than one draft indictment has been presented where rule 10.3 applies—

(i)identify the indictment or indictments that the prosecutor wants to be read to or placed before the defendant under this rule, and

(ii)identify any draft indictment, indictment or count in an indictment on which the prosecutor does not want to proceed;

(b)obtain the prosecutor’s confirmation, in writing or orally—

(i)that each indictment (or draft indictment, as the case may be) that the prosecutor wants to be read to or placed before the defendant sets out a statement of each offence that the prosecutor wants the court to try and such particulars of the conduct constituting the commission of each such offence as the prosecutor relies upon to make clear what is alleged, and

(ii)of the order in which the prosecutor wants the defendants’ names to be listed in each indictment, if the prosecutor proposes that more than one defendant should be tried at the same time;

(c)ensure that the defendant is correctly identified by each indictment or draft indictment that the prosecutor wants to be read to or placed before the defendant;

(d)satisfy itself that each allegation has been explained to the defendant, in terms the defendant can understand (with help, if necessary); and

(e)in respect of each count on which the prosecutor wants to proceed—

(i)read the count aloud to the defendant, or arrange for it to be read aloud or placed before the defendant in writing,

(ii)ask whether the defendant pleads guilty or not guilty to the offence charged by that count, and

(iii)take the defendant’s plea.

(2) Where a count is read which is substantially the same as one already read aloud, then only the materially different details need be read aloud.

(3) Where a count is placed before the defendant in writing, the court must summarise its gist aloud.

(4) In respect of each count in an indictment read to or placed before the defendant —

(a)if the defendant declines to enter a plea, the court must treat that as a not guilty plea unless rule 25.10 applies (Defendant unfit to plead);

(b)if the defendant pleads not guilty to the offence charged by that count but guilty to another offence of which the court could convict on that count—

(i)if the prosecutor and the court accept that plea, the court must treat the plea as one of guilty of that other offence, but

(ii)otherwise, the court must treat the plea as one of not guilty; and

(c)if the defendant pleads a previous acquittal or conviction of the offence charged by that count—

(i)the defendant must identify that acquittal or conviction in writing, explaining the basis of that plea, and

(ii)the court must exercise its power to decide whether that plea disposes of that count.

(5) In a case in which a magistrates’ court sends the defendant for trial, the Crown Court must take the defendant’s plea—

(a)not less than 10 business days after the date on which that sending takes place, unless the parties otherwise agree; and

(b)not more than 80 business days after that date, unless the court otherwise directs (either before or after that period expires).

(6)Unless the court otherwise directs, no further proceedings may be taken on a draft indictment, indictment or count in an indictment on which under this rule the prosecutor chooses not to proceed.

[Note. See section 6 of the Criminal Law Act 1967(112),section 77 of the Senior Courts Act 1981(113) and section 122 of the Criminal Justice Act 1988(114). Part 10 contains rules about the content and service of indictments: see in particular rule 10.2 (The indictment: general rules).

Under section 6(2) of the 1967 Act, on an indictment for murder a defendant may instead be convicted of manslaughter or another offence specified by that provision. Under section 6(3) of that Act, on an indictment for an offence other than murder or treason a defendant may instead be convicted of another offence if—

(a)the allegation in the indictment amounts to or includes an allegation of that other offence; and

(b)the Crown Court has power to convict and sentence for that other offence.]

Place of Crown Court trial

3.33.—(1) Unless the court otherwise directs, the court officer must arrange for a Crown Court trial to take place in a courtroom provided by the Lord Chancellor.

(2) The court officer must arrange for the court and the jury (if there is one) to view any place required by the court.

[Note. See section 3 of the Courts Act 2003(115) and section 14 of the Juries Act 1974(116).

In some circumstances the court may conduct all or part of the hearing outside a courtroom.]

Use of Welsh language at Crown Court trial

3.34. Where a Crown Court trial will take place in Wales and a participant wishes to use the Welsh language—

(a)that participant must serve notice on the court officer, or arrange for such a notice to be served on that participant’s behalf—

(i)at or before the plea and trial preparation hearing, or

(ii)in accordance with any direction given by the court; and

(b)if such a notice is served, the court officer must arrange for an interpreter to attend.

[Note. See section 22 of the Welsh Language Act 1993(117).]

Other provisions affecting case management

Case management may be affected by the following other rules and legislation:

Criminal Procedure Rules

Part 8 Initial details of the prosecution case

Part 9 Allocation and sending for trial

Part 10 The indictment

Part 15 Disclosure

Parts 16 – 23: the rules that deal with evidence

Part 24 Trial and sentence in a magistrates’ court

Part 25 Trial and sentence in the Crown Court

Regulations

The Prosecution of Offences (Custody Time Limits) Regulations 1987(118)

The Crime and Disorder Act 1998 (Service of Prosecution Evidence) Regulations 2005(119)

The Criminal Procedure and Investigations Act 1996 (Defence Disclosure Time Limits) Regulations 2011(120)

Acts of Parliament

Sections 10 and 18, Magistrates’ Courts Act 1980(121): powers to adjourn hearings

Sections 128 and 129, Magistrates’ Courts Act 1980(122): remand in custody by magistrates’ courts

Sections 19 and 24A, Magistrates’ Courts Act 1980(123) and sections 51 and 51A, Crime and Disorder Act 1998(124): allocation and sending for trial

Section 2, Administration of Justice (Miscellaneous Provisions) Act 1933(125): procedural conditions for trial in the Crown Court

Sections 8A and 8B, Magistrates’ Courts Act 1980(126): pre-trial hearings in magistrates’ courts

Section 7, Criminal Justice Act 1987(127); Parts III and IV, Criminal Procedure and Investigations Act 1996: pre-trial and preparatory hearings in the Crown Court

Section 9, Criminal Justice Act 1967(128): proof by written witness statement

Part 1, Criminal Procedure and Investigations Act 1996(129): disclosure.]

LIVE LINKS

Live link direction: exercise of court’s powers

3.35.—(1)The court may exercise its power to give, vary or rescind a live link direction under sections 51 and 52 of the Criminal Justice Act 2003or under sections 206A and 206B of the Extradition Act 2003 —

(a)at a hearing, in public or in private, or without a hearing; and

(b)on an application under rule 3.36 (Content of application for a live link direction) or on its own initiative.

(2)Whether it acts on an application or on its own initiative, the court must not give, vary or rescind a live link direction unless—

(a)the court is satisfied that it is in the interests of justice to do so; and

(b)each party and (if applicable) any representative of the youth offending team whose functions are exercisable in relation to a defendant—

(i)is present, or

(ii)has had an opportunity to make representations.

(3)In deciding whether to give a live link direction the court must consider—

(a)any guidance given by the Lord Chief Justice under section 51(5)(a) of the Criminal Justice Act 2003; and

(b)all the circumstances of the case.

(4)Those circumstances include in particular—

(a)the availability of the proposed participant by live link;

(b)any potential need for that person to attend in person instead of by live link;

(c)any views which that person may have expressed;

(d)the suitability of the facilities at the place where that person would take part by live link if the direction were given;

(e)that person’s ability to take part effectively if the direction were given (and see paragraph (5));

(f)if the proposed direction is for a person to give evidence by live link—

(i)the importance of that person’s evidence to the case, and

(ii)any potential for the proposed direction to inhibit a party from effectively testing that evidence; ...

(g)if the proposed direction is for a person to take part by live link from a place outside the United Kingdom, any permission needed from a court or other authority in that place; and

(h)arrangements for members of the public to see and hear proceedings at which a person takes part by live link (and see paragraph (6)).

(5)In assessing a person’s ability to take part effectively by live link, where that person is a defendant the court must have regard to, among other things―

(a)whether that defendant will be represented at the hearing for which the live link is proposed; and

(b)what other assistance will be available to that defendant at that hearing (for example, an intermediary).

(6)In assessing arrangements for members of the public to see and hear proceedings the court must have regard to, among other things, the terms of any direction under section 85A of the Courts Act 2003 (Remote observation and recording of proceedings by direction of the court).

(7)Where the proposed live link direction is for a person to take part by live link from a place outside the United Kingdom, the party in respect of whose case it is sought must assist the court by―

(a)finding out whether permission is needed from a court or other authority in that place;

(b)preparing any formal request needed to obtain that permission; and

(c)obtaining any such permission required.

(8)Where the court refuses an application to give, vary or rescind a live link direction the court must announce in public its reasons for doing so.

[Note. See sections 51, 52, 52A and 53 of the Criminal Justice Act 2003and sections 206A to 206C of the Extradition Act 2003.]

Content of application for a live link direction

3.36.—(1)An applicant for a live link direction under section 51 of the Criminal Justice Act 2003 must—

(a)apply in writing as soon as reasonably practicable;

(b)serve the application on—

(i)the court officer, and

(ii)each other party; and

(c)ask for a hearing of the application, if the applicant wants one, and explain why it is needed.

(2)The application must—

(a)specify the hearing or hearings in respect of which the applicant wants the direction to apply;

(b)identify each person to whom the applicant wants the direction to apply and specify—

(i)each one whom the applicant wants to give evidence by live link, and

(ii)each one whom the applicant wants to take part by live link without giving evidence;

(c)in respect of each such person, specify the type of live link proposed (either video or audio);

(d)unless the court otherwise directs, identify the place where each such person will take part if the direction is given;

(e)identify any material circumstances relating to—

(i)the availability of the proposed participant by live link,

(ii)any potential need for that participant to attend in person, not by live link,

(iii)any views which that participant may have expressed,

(iv)the suitability of the facilities at the place where that participant would take part by live link if the direction were given,

(v)any permission needed from a court or other authority in a place outside the United Kingdom from where, if the direction were given, the participant would take part by live link, and

(vi)that participant’s ability to take part effectively if the direction were given;

(f)if the proposed direction is for a person to give evidence by live link, identify any material circumstances relating to—

(i)the importance of that person’s evidence to the case, and

(ii)any potential for the proposed direction to inhibit a party from effectively testing that evidence;

(g)explain why it is in the interests of justice for each proposed participant by live link to take part by those means; and

(h)if the applicant wants a witness to be accompanied by another person while giving evidence—

(i)name that other person, if possible, and

(ii)explain why it is appropriate for that witness to be accompanied, including the witness’ own views.

Application to vary or rescind a live link direction

3.37.—(1)A party who wants the court to vary or rescind a live link direction must—

(a)apply in writing, as soon as reasonably practicable after becoming aware of the grounds for doing so; and

(b)serve the application on—

(i)the court officer, and

(ii)each other party.

(2)The applicant must—

(a)explain what material circumstances have changed since the direction was given;

(b)explain why it is in the interests of justice to vary or rescind the direction; and

(c)ask for a hearing, if the applicant wants one, and explain why it is needed.

[Note. See section 52 of the Criminal Justice Act 2003.]

Application containing information withheld from another party

3.38.—(1)This rule applies where—

(a)an applicant serves an application for a live link direction, or for its variation or rescission; and

(b)the application includes information that the applicant thinks ought not be revealed to another party.

(2)The applicant must—

(a)omit that information from the part of the application that is served on that other party;

(b)mark the other part to show that, unless the court otherwise directs, it is only for the court; and

(c)in that other part, explain why the applicant has withheld that information from that other party.

(3)Any hearing of an application to which this rule applies—

(a)must be in private, unless the court otherwise directs; and

(b)if the court so directs, may be, wholly or in part, in the absence of a party from whom information has been withheld.

(4)At any hearing of an application to which this rule applies—

(a)the general rule is that the court must consider, in the following sequence—

(i)representations first by the applicant and then by each other party, in all the parties’ presence, and then

(ii)further representations by the applicant, in the absence of a party from whom information has been withheld; but

(b)the court may direct other arrangements for the hearing.

Representations in response

3.39.—(1)This rule applies where a party wants to make representations about an application for a live link direction or for the variation or rescission of such a direction.

(2)Such a party must—

(a)serve the representations on—

(i)the court officer, and

(ii)each other party;

(b)do so not more than 10 business days after service of the application; and

(c)ask for a hearing, if that party wants one, and explain why it is needed.

(3)Representations must explain why it is not in the interests of justice for the direction to be given, varied or rescinded, as the case may be.

PART 4SERVICE OF DOCUMENTS

When this Part applies

4.1.—(1)The rules in this Part apply to the service of—

(a)every document in a case to which these Rules apply; and

(b)any document which other legislation allows or requires to be served in accordance with these Rules.

(2) The rules apply subject to any special rules in other legislation (including other Parts of these Rules) or in the Practice Direction.

(3) In this Part, ‘the relevant court office’ means—

(a)in relation to a case in a magistrates’ court or in the Crown Court, an office—

(i)at which that court’s business is administered, and

(ii)the address or electronic address of which is advertised by the Lord Chancellor at the date of service as that at which that type of document must be served;

(b)in relation to an application to a High Court judge for permission to serve a draft indictment—

(i)in London, the King’s Bench Listing Office , Royal Courts of Justice, Strand, London WC2A 2LL,

(ii)elsewhere, the office at which court staff administer the business of any court then constituted of a High Court judge, and

(iii)in either case, the electronic address which is advertised by the Lord Chancellor at the date of service as that at which such an application must be served;

(c)in relation to an extradition appeal case in the High Court—

(i)the Administrative Court Office, Royal Courts of Justice, Strand, London WC2A 2LL, and

(ii)the electronic address which is advertised by the Lord Chancellor at the date of service as that at which that type of document must be served; and

(d)where the recipient is the Registrar of Criminal Appeals—

(i)the Criminal Appeal Office, Royal Courts of Justice, Strand, London WC2A 2LL, and

(ii)the electronic address which is advertised by the Lord Chancellor at the date of service as that at which that type of document must be served.

[Note. The following provisions allow or require the service of documents in accordance with Criminal Procedure Rules—

(a)section 243 of the Road Traffic Act 1960 (notice requiring identification of driver);

(b)section 29(A1) of the Misuse of Drugs Act 1971 (notice or other document required by Act to be served);

(c)paragraph 8(3) of the Schedule to the Prices Act 1974 (notice of intended prosecution);

(d)paragraph 10 of Schedule 4 to the Salmon and Freshwater Fisheries Act 1975(surrender of licence to court officer);

(e)section 5(1) of the Isle of Man Act 1979(summons or process requiring a person in the Isle of Man to attend a criminal court in England and Wales);

(f)section 82(5F) of the Magistrates’ Courts Act 1980(notice of hearing to consider issue of warrant of commitment);

(g)section 72 of the Public Passenger Vehicles Act 1981(notice requiring identification of driver);

(h)section 19(4A) of the Video Recordings Act 1984 (copy of certificate of examination);

(i)section 83(4) of the Weights and Measures Act 1985 (notice of intended prosecution for offence);

(j)sections 164(10) and 172(7) of the Road Traffic Act 1988 (notice requiring verification of date of birth; notice requiring identification of driver);

(k)sections 1(1ZA), 12(1) and (3), 16(6), 25(7) and 85(A2) of the Road Traffic Offenders Act 1988 (notice of intended prosecution; notice requiring identification of driver; analyst’s certificate; notice requiring attendance of analyst; notice requiring verification of date of birth; other specified documents);

(l)section 35(7) of the Transport and Works Act 1992(documentary evidence as to breath and other specimens);

(m)section 60(11) of, and paragraphs 4(5) and 5(3) of Schedule 5 to, the Powers of Criminal Courts (Sentencing) Act 2000(attendance centre order); and

(n)section 27(1) of the Criminal Justice and Police Act 2001 (notice in connection with proposed closure of premises).]

Methods of service

4.2.—(1) A document may be served by any of the methods described in rules 4.3 to 4.6 (subject to rules 4.7 and 4.10), or in rule 4.8.

(2) Where a document may be served by electronic means under rule 4.6, the general rule is that the person serving it must use that method.

Service by handing over a document

4.3.—(1) A document may be served on—

(a)an individual by handing it to him or her;

(b)a corporation by handing it to a person holding a senior position in that corporation;

(c)an individual or corporation who is legally represented in the case by handing it to that legal representative;

(d)the prosecution by handing it to the prosecutor or to the prosecution representative; and

(e)the court officer or the Registrar of Criminal Appeals by handing it to a court officer with authority to accept it at the relevant court office.

(2) If an individual is under 18, a copy of a document served under paragraph (1)(a) must be handed to his or her parent, or another appropriate adult, unless no such person is readily available.

(3) Unless the court otherwise directs, for the purposes of paragraph (1)(c) or (d) (service by handing a document to a party’s representative) ‘representative’ includes an advocate appearing for that party at a hearing.

[Note. Some legislation treats a body that is not a corporation as if it were one for the purposes of rules about service of documents. See for example section 143 of the Adoption and Children Act 2002(130).]

Service by leaving or posting a document

4.4.—(1) A document may be served by addressing it to the person to be served and leaving it at the appropriate address for service under this rule, or by sending it to that address by first class post or by the equivalent of first class post.

(2) The address for service under this rule on—

(a)an individual is an address where it is reasonably believed that he or she will receive it;

(b)a corporation is its principal office, and if there is no readily identifiable principal office then any place where it carries on its activities or business;

(c)an individual or corporation who is legally represented in the case is that legal representative’s office;

(d)the prosecution is the prosecutor’s office;

(e)the court officer or the Registrar of Criminal Appeals is the relevant court office.

[Note. In addition to service in England and Wales for which these rules provide, service outside England and Wales may be allowed under other legislation. See—

(a)section 39 of the Criminal Law Act 1977(131) (service of summons, etc. in Scotland and Northern Ireland);

(b)section 1139(4) of the Companies Act 2006(132) (service of copy summons, etc. on company’s registered office in Scotland and Northern Ireland);

(c)sections 3, 4, 4A and 4B of the Crime (International Co-operation) Act 2003(133) (service of summons, etc. outside the United Kingdom) and rules 49.1 and 49.2; and

(d)section 1139(2) of the Companies Act 2006 (service on overseas company).]

Service by document exchange

4.5.—(1) This rule applies where—

(a)the person to be served—

(i)has given a document exchange (DX) box number, and

(ii)has not refused to accept service by DX; or

(b)the person to be served is legally represented in the case and the legal representative has given a DX box number.

(2) A document may be served by—

(a)addressing it to that person or legal representative, as appropriate, at that DX box number; and

(b)leaving it at—

(i)the document exchange at which the addressee has that DX box number, or

(ii)a document exchange at which the person serving it has a DX box number.

(3) Where the person to be served under this rule is the court officer, the address for service is the relevant court office.

Service by electronic means

4.6.—(1) This rule applies where—

(a)the person to be served—

(i)has given an electronic address and has not refused to accept service at that address, or

(ii)is given access to an electronic address at which a document may be deposited and has not refused to accept service by the deposit of a document at that address; or

(b)the person to be served is legally represented in the case and the legal representative—

(i)has given an electronic address, or

(ii)is given access to an electronic address at which a document may be deposited.

(2) A document may be served—

(a)by sending it by electronic means to the address which the recipient has given; or

(b)by depositing it at an address to which the recipient has been given access and—

(i)in every case, making it possible for the recipient to read the document, or view or listen to its content, as the case may be,

(ii)unless the court otherwise directs, making it possible for the recipient to make and keep an electronic copy of the document, and

(iii)notifying the recipient of the deposit of the document (which notice may be given by electronic means).

(3)Where the person to be served under this rule is the court officer—

(a)the address for service is the relevant court office; and

(b)if service is by deposit under paragraph (2)(b), notice of that deposit—

(i)must be given only where arrangements for use of the electronic address advertised under rule 4.1(3) so require, and

(ii)if so required, must be given in accordance with those arrangements.

(4) Where a document is served under this rule the person serving it need not provide a paper copy as well.

Documents that must be served by specified methods

4.7.—(...) An application or written statement, and notice, under rule 48.9 alleging contempt of court may be served—

(a)on an individual, only under rule 4.3(1)(a) (by handing it to him or her); and

(b)on a corporation, only under rule 4.3(1)(b) (by handing it to a person holding a senior position in that corporation).

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Service by person in custody

4.8.—(1) A person in custody may serve a document by handing it to the custodian addressed to the person to be served.

(2) The custodian must—

(a)endorse it with the time and date of receipt;

(b)record its receipt; and

(c)forward it promptly to the addressee.

Service by another method

4.9.—(1) The court may allow service of a document by a method—

(a)other than those described in rules 4.3 to 4.6 and in rule 4.8; and

(b)other than one specified by rule 4.7, where that rule applies.

(2) An order allowing service by another method must specify—

(a)the method to be used; and

(b)the date on which the document will be served.

Documents that may not be served on a legal representative

4.10. Unless the court otherwise directs, service on a party’s legal representative of any of the following documents is not service of that document on that party—

(a)a summons, requisition, single justice procedure notice or witness summons;

(b)notice of an order under section 25 of the Road Traffic Offenders Act 1988(134);

(c)a notice of registration under section 71(6) of that Act(135);

(d)notice of a hearing to review the postponement of the issue of a warrant of detention or imprisonment under section 77(6) of the Magistrates’ Courts Act 1980(136);

(e)notice under section 86 of that Act(137) of a revised date to attend a means inquiry;

(f)any notice or document served under Part 14 (Bail and custody time limits);

(g)notice under rule 24.15(a) of when and where an adjourned hearing will resume;

(h)notice under rule 28.5(3) of an application to vary or discharge a compensation order;

(i)notice under rule 28.10(2)(c) of the location of the sentencing or enforcing court;

(j)a collection order, or notice requiring payment, served under rule 30.2(a); or

(k)an application or written statement, and notice, under rule 48.9 alleging contempt of court.

Date of service

4.11.—(1) A document served under rule 4.3 or rule 4.8 is served on the day it is handed over.

(2) Unless something different is shown, a document served on a person by any other method is served—

(a)in the case of a document left at an address, on the next business day after the day on which it was left;

(b)in the case of a document sent by first class post or by the equivalent of first class post, on the second business day after the day on which it was posted or despatched;

(c)in the case of a document served by document exchange, on the second business day after the day on which it was left at a document exchange allowed by rule 4.5;

(d)in the case of a document served by electronic means—

(i)on the day on which the document is sent under rule 4.6(2)(a) or on which notice of its deposit is given under rule 4.6(2)(b), if that day is a business day and if the document is so sent or that notice is given by no later than 2.30pm that day,

(ii)if the document is an application for permission to refer a sentencing case under rule 41.2 (Service of notice of reference and application for permission), on the day on which the document is so sent or on which notice of its deposit is so given if that day is a business day and if that document is sent or the notice given by no later than 5pm that day,

(iii)in an extradition appeal case in the High Court, on the day on which the document is so sent or on which notice of its deposit is so given if that day is a business day and if the document is sent or the notice given by no later than 4.30pm that day (or by no later than midnight at the end of that day if the document is an appeal notice served under rule 50.19 (Service of appeal notice)),

(iv)on the day of its deposit under rule 4.6(2)(b), if that day is a business day and if under rule 4.6(3)(b) no notice of deposit is required, or

(v)otherwise, on the next business day after it was sent, deposited or such notice was given; and

(e)in any case, on the day on which the addressee responds to it, if that is earlier.

(3) Unless something different is shown, a document produced by a computer system for dispatch by post is to be taken as having been sent by first class post, or by the equivalent of first class post, to the addressee on the business day after the day on which it was produced.

(4) Where a document is served on or by the court officer or the Registrar of Criminal Appeals, ‘business day’ does not include a day on which the relevant court office is closed.

Proof of service

4.12. The person who serves a document may prove that by signing a certificate explaining how and when it was served.

Court’s power to give directions about service

4.13.—(1) The court may specify the time as well as the date by which a document must be—

(a)served under rule 4.3 (Service by handing over a document) or rule 4.8 (Service by person in custody); or

(b)sent or deposited by electronic means, if it is served under rule 4.6.

(2) The court may treat a document as served if the addressee responds to it even if it was not served in accordance with the rules in this Part.

PART 5FORMS AND COURT RECORDS

FORMS

Applications, etc. by forms or electronic means

5.1.—(1) This rule applies where a rule, a practice direction or the court requires a person to—

(a)make an application or give a notice;

(b)supply information for the purposes of case management by the court; or

(c)supply information needed for other purposes by the court.

(2) Unless the court otherwise directs, such a person must—

(a)use such electronic arrangements as the court officer may make for that purpose, in accordance with those arrangements; or

(b)if no such arrangements have been made, use the appropriate form issued under the Practice Direction or the Criminal Costs Practice Direction, in accordance with those Directions.

Forms in Welsh

5.2.—(1) Any Welsh language form issued under the Practice Direction or the Criminal Costs Practice Direction is for use in connection with proceedings in courts in Wales.

(2) Both a Welsh form and an English form may be contained in the same document.

(3) Where only a Welsh form, or only the corresponding English form, is served—

(a)the following words in Welsh and English must be added:

“Darperir y ddogfen hon yn Gymraeg / Saesneg os bydd arnoch ei heisiau. Dylech wneud cais yn ddi-oed i (swyddog y llys) (rhodder yma’r cyfeiriad)

This document will be provided in Welsh / English if you require it. You should apply immediately to (the court officer) (address)”; and

(b)the court officer, or the person who served the form, must, on request, supply the corresponding form in the other language to the person served.

Signature of forms

5.3.—(1) This rule applies where a form provides for its signature.

(2) Unless other legislation otherwise requires, or the court otherwise directs, signature may be by any written or electronic authentication of the form by, or with the authority of, the signatory.

[Note. Section 7 of the Electronic Communications Act 2000(138) provides for the use of an electronic signature in an electronic communication.]

COURT RECORDS

Duty to make records

5.4.—(1) For each case, as appropriate, the court officer must record, by such means as the Lord Chancellor directs—

(a)each charge or indictment against the defendant;

(b)the defendant’s plea to each charge or count;

(c)each acquittal, conviction, sentence, determination, direction or order;

(d)each decision about bail;

(e)the power exercised where the court commits or adjourns the case to another court—

(i)for sentence, or

(ii)for the defendant to be dealt with for breach of a community order, a deferred sentence, a conditional discharge, or a suspended sentence of imprisonment, imposed by that other court;

(f)the court’s reasons for a decision, where legislation requires those reasons to be recorded;

(g)any appeal;

(h)each party’s presence or absence at each hearing;

(i)any consent that legislation requires before the court can proceed with the case, or proceed to a decision;

(j)in a magistrates’ court—

(i)any indication of sentence given by the court,

(ii)the registration of a fixed penalty notice for enforcement as a fine, and any related endorsement on a driving record;

(iii)the power exercised where the court sends the defendant to the Crown Court for trial for an offence, ...

(iv)any statement made by the court under section 70(5) of the Proceeds of Crime Act 2002 (statement that if the court were not committing the defendant for consideration of a confiscation order then it would have committed the defendant to the Crown Court for sentence for an offence under section 14, 16 or 16A of the Sentencing Act 2020),

(v)any opinion given by the court under section 18(4) or 19(3) of the Sentencing Act 2020(opinion that if the court were not committing the defendant for sentence under section 18 or 19 of the 2020 Act then it could, or would be required to, commit the defendant to the Crown Court for sentence for the offence under one of sections 14, 15, 16, 16A or 17 of that Act), and

(vi)the exercise of a power to which paragraph (3) applies (judges exercising powers of District Judges (Magistrates’ Courts));

(k)in the Crown Court—

(i)any request for assistance or other communication about the case received from a juror,

(ii)the date and time at which the court gives the jury directions about the law under rule 25.14(2) or (3)(a),

(iii)the date and time at which the court gives the jury other assistance in writing under rule 25.14(5), and

(iv)the date, time and subject matter of submissions and rulings that relate to such directions and assistance;

(l)the identity of—

(i)the prosecutor,

(ii)the defendant,

(iii)any other applicant to whom these Rules apply,

(iv)any interpreter or intermediary,

(v)the parties’ legal representatives, if any, and

(vi)the judge, magistrate or magistrates, justices’ legal adviser or other person who made each recorded decision;

(m)where a defendant is entitled to attend a hearing, any agreement by the defendant to waive that right; ...

(n)where interpretation is required for a defendant, any agreement by that defendant to do without the written translation of a document; and

(o)any order made by the court on an application under rule 5.8(8) which prohibits a supply of information by the court officer without the court’s permission.

(2) Such records must include—

(a)each party’s and representative’s address, including any electronic address and telephone number available;

(b)the defendant’s date of birth, if available; and

(c)the date of each event and decision recorded.

(3)Where a judge acting under section 66 of the Courts Act 2003(Judges having powers of District Judges (Magistrates’ Courts)) exercises the power of a magistrates’ court, the court officer then assisting that judge must—

(a)record, by such means as the Lord Chancellor directs, the magistrates’ court power exercised by that judge; and

(b)as soon as practicable arrange the transmission to the magistrates’ court of—

(i)that record, and

(ii)a record of the circumstances in which that power was exercised.

(4)Where a court record appears to the court officer to be incorrect the officer must correct it if—

(a)the parties agree on the terms of the correction; or

(b)the court so directs.

(5)Where a court (“the receiving court”), or a party to the proceedings before that court, questions the accuracy of a record of a decision by a court (“the transferring court”) which sent a case for trial, committed, remitted or transferred a case for sentence or other determination, or from which an appeal has been brought to the receiving court—

(a)the court officer for the transferring court must review that record;

(b)if that record appears to be correct then the court officer for the transferring court must so inform the receiving court as soon as practicable, explaining that conclusion; and

(c)if that record appears to be incorrect then the court officer must correct it.

[Note. For the duty to keep court records, see sections 5 and 8 of the Public Records Act 1958(139).

Requirements to record the court’s reasons for its decision are contained in: section 5 of the Bail Act 1976(140); section 47(1) of the Road Traffic Offenders Act 1988(141); sections 20, 33A and 33BB of the Youth Justice and Criminal Evidence Act 1999(142); section 174 of the Criminal Justice Act 2003(143); and rule 6.8.

The prosecution of some offences requires the consent of a specified authority. Requirements for the defendant’s consent to proceedings in his or her absence are contained in sections 23 and 128 of the Magistrates’ Courts Act 1980(144).

In the circumstances for which it provides, section 20 of the Magistrates’ Courts Act 1980(145) allows the court to give an indication of whether a custodial or non-custodial sentence is more likely in the event of a guilty plea at trial in that court : see also rule 9.11(3). Rules 3.16 and 9.13 provide for sentencing indications in other circumstances in magistrates’ courts.

Requirements to register fixed penalty notices and to record any related endorsement of a driving record are contained in sections 57, 57A and 71 of the Road Traffic Offenders Act 1988(146).

Under section 66 of the Courts Act 2003, every holder of a judicial office listed in that section has the powers of a justice of the peace who is a District Judge (Magistrates’ Courts) in relation to criminal causes and matters. The list includes Circuit judges and judges of the High Court and Court of Appeal.

For agreement to do without a written translation in a case in which the defendant requires interpretation, see rule 3.8(5).

Where a court record accurately records a court’s decision but a party (a) wants the court to change that decision, or (b) questions the court’s power to make that decision, see rules 28.4 (Variation of sentence) and 44.3 (Reopening a case in a magistrates’ court; Setting aside a conviction or varying a costs, etc. order).]

Recording and transcription of proceedings in the Crown Court

5.5.—(1) Where someone may appeal to the Court of Appeal, paragraphs (2) to (4) apply and the court officer must—

(a)arrange for the recording of the proceedings in the Crown Court, unless the court otherwise directs; and

(b)arrange for the transcription of such a recording if—

(i)the Registrar wants such a transcript, or

(ii)anyone else wants such a transcript (but that is subject to the restrictions in paragraph (2)).

(2) Unless the court otherwise directs, a person who transcribes a recording of proceedings under such arrangements—

(a)may only supply a transcript of a recording of a hearing in private to—

(i)the Registrar, or

(ii)an individual who was present at that hearing;

(b)if the recording of a hearing in public contains information to which reporting restrictions apply, may only supply a transcript containing that information to—

(i)the Registrar, or

(ii)a recipient to whom that supply will not contravene those reporting restrictions; but

(c)subject to paragraph (2)(a) and (b), must supply any person with any transcript for which that person asks—

(i)in accordance with the transcription arrangements made by the court officer, and

(ii)on payment by that person of any fee prescribed.

(3) A party who wants to hear a recording of proceedings must—

(a)apply—

(i)in writing to the Registrar, if an appeal notice has been served where Part 36 applies (Appeal to the Court of Appeal: general rules), or

(ii)orally or in writing to the Crown Court officer;

(b)explain the reasons for the request; and

(c)pay any fee prescribed.

(4) If the Crown Court or the Registrar so directs, the Crown Court officer must allow that party to hear a recording of—

(a)a hearing in public; and

(b)a hearing in private, if the applicant was present at that hearing.

(5)Where the court exercises at a hearing a power to which Part 47 applies (Investigation orders and warrants)—

(a)the court officer must arrange for the recording of that hearing unless the court otherwise directs; and

(b)paragraphs (6) to (9) apply.

(6)A party or person affected by the exercise of that power who wants to hear such a recording or who wants a transcript of such a recording must—

(a)apply in writing to the court officer;

(b)explain the reasons for the request; and

(c)pay any fee prescribed.

(7)On an application under paragraph (6) to hear a recording the court officer may allow the applicant to do so—

(a)where the hearing was in public;

(b)where the hearing was in private only if the applicant was present at that hearing; and

(c)subject to any direction by the court.

(8)On an application under paragraph (6) for a transcript of a recording the court officer may arrange for transcription—

(a)where the hearing was in public;

(b)where the hearing was in private only if the applicant was present at that hearing; and

(c)subject to any direction by the court.

(9)A person who transcribes such a recording—

(a)must supply a transcript of a hearing in public to any applicant under paragraph (6), subject to paragraph (9)(b);

(b)if the recording of a hearing in public contains information to which reporting restrictions apply, may only supply a transcript containing that information to a recipient to whom that supply will not contravene those restrictions;

(c)may only supply a transcript of a hearing in private to a recipient who was present at that hearing; and

(d)must supply any such transcript—

(i)in accordance with the transcription arrangements made by the court officer, and

(ii)on payment of any fee prescribed.

[Note. Under section 32 of the Criminal Appeal Act 1968Criminal Procedure Rules may provide for the making of a record of any proceedings in respect of which an appeal lies to the Court of Appeal and for the making and supply of a transcript of such a record.

For the circumstances in which reporting restrictions may apply, see the provisions listed in the note to rule 6.1. In summary, reporting restrictions prohibit the publication of the information to which they apply where that publication is likely to lead members of the public to acquire the information concerned.]

Custody of case materials

5.6. Unless the court otherwise directs, in respect of each case the court officer must —

(a)keep—

(i)any evidence, application, representation or other material served by the parties, and

(ii)any evidence or other material prepared for the court; or

(b)arrange for the whole or any part to be kept by some other appropriate person, subject to—

(i)any condition imposed by the court, and

(ii)the rules in Part 34 (Appeal to the Crown Court) and Part 36 (Appeal to the Court of Appeal: general rules) about keeping exhibits pending any appeal.

ACCESS TO INFORMATION IN COURT RECORDS

The open justice principle

5.7.—(1)Where rules 5.8, 5.9, 5.10 and 5.11 apply, as well as furthering the overriding objective in accordance with rules 1.2 and 1.3 the court officer and the court must have regard to the importance of—

(a)dealing with criminal cases in public;

(b)allowing a public hearing to be reported to the public; and

(c)the rights of a person affected by a direction or order made, or warrant issued, by the court to understand why that decision was made.

(2)In rules 5.10 and 5.11 this requirement is called ‘the open justice principle’.

Request for information about a case

5.8.—(1)This rule—

(a)applies where anyone, including a member of the public or a reporter, requests information about a case including information contained in materials kept by the court officer for the purposes of the case; and

(b)applies where a party or other person wants the court to prohibit a supply of information without the court’s permission which affects that party or person and which otherwise would be required by this rule; but

(c)does not apply if rule 5.12 applies (Request for certificate, extract or information under other legislation).

(2)A person requesting information must—

(a)ask the court officer;

(b)specify the information requested; and

(c)pay any fee prescribed.

(3)A request for information—

(a)may be made orally or in writing, and need not explain why the information is requested, if this rule requires the court officer to supply that information; but

(b)must be in writing, unless the court otherwise permits, and must explain why the information is requested, if this rule does not so require.

(4)Subject to paragraph (5), the court officer must supply to the person making the request—

(a)the date of a hearing in public;

(b)the statement of each alleged offence (but not the particulars of offence) and any plea entered;

(c)the court’s decision—

(i)at a hearing in public,

(ii)to grant or withhold bail, or to impose or vary a bail condition(but not the terms of any such condition), or

(iii)about the committal, sending or transfer of the case to another court;

(d)whether the case is under appeal;

(e)the outcome of the case;

(f)the identity of—

(i)the prosecutor,

(ii)the defendant, including the defendant’s date of birth,

(iii)the parties’ representatives, including their addresses, and

(iv)the judge, magistrate or magistrates, or justices’ legal adviser by whom a decision at a hearing in public was made;

(g)such other information about the case as is required by arrangements to which paragraph (6)(c) refers; ...

(h)details of any reporting or access restriction ordered by the court ; and

(i)notice that reporting restrictions may apply to the publication of information supplied under this rule.

(5)The court officer must not supply the information requested if—

(a)the supply of that information is prohibited by—

(i)a reporting restriction, or

(ii)an order made on an application under paragraph (8);

(b)that information is—

(i)the date of a hearing in public of which a party has yet to be notified, or

(ii)a recording arranged under rule 5.5 (Recording and transcription of proceedings in the Crown Court), or a copy or transcript of such a recording;

(c)that information concerns a trial in which the verdict was more than 6 months ago; or

(d)that information is not readily available to the court officer (for example, because of the location or conditions of its storage).

(6)Where the court officer must supply the information requested the supply may be—

(a)by word of mouth;

(b)in writing, including by written certificate or extract from a court record; or

(c)by such other arrangements as the Lord Chancellor directs, including supply by electronic means.

(7)Where this rule does not require the court officer to supply the information requested then unless that information can be supplied under rule 5.9—

(a)the court officer must refer the request to the court; and

(b)rule 5.10 applies.

(8)Where a party or other person wants the court to prohibit a supply of information without the court’s permission which affects that party or person and which otherwise would be required by this rule—

(a)that party or person must serve an application on the court officer;

(b)the application must—

(i)specify the information to which the applicant wants the prohibition to apply,

(ii)explain why that information affects that party or person, and

(iii)explain why the applicant wants the court to prohibit the supply of that information without the court’s permission; and

(c)rule 5.10 applies.

[Note. See also rule 5.7 (The open justice principle).]

Request for information by a party or person directly affected by a case

5.9.—(1)This rule applies where a party, or a person directly affected by a direction or order made or warrant issued by the court, wants information about their case including information contained in materials kept by the court officer for the purposes of that case.

(2) Such a party or person must—

(a)ask the court officer;

(b)specify the information requested; and

(c)pay any fee prescribed.

(3)The request—

(a)may be made orally or in writing, and need not explain why the information is requested, if this rule requires the court officer to supply that information; but

(b)must be in writing, unless the court otherwise permits, and must explain why the information is requested, if this rule does not so require.

(4)Subject to paragraph (5), the court officer must supply to the party or person making the request—

(a)information about the terms of any direction or order made, or warrant issued, which was—

(i)served on, or addressed or directed to, that party or person, or

(ii)made on an application by that party or person; and

(b)information received from that party or person (which might be, for example, to establish what information the court holds, or in case of a loss of that information by the party or person making the request).

(5)The court officer must not supply the information requested if that information—

(a)concerns the grounds on which a direction or order was made, or a warrant issued, in the absence of the party or person making the request;

(b)is a recording arranged under rule 5.5 (Recording and transcription of proceedings in the Crown Court), or a copy or transcript of such a recording; or

(c)is not readily available to the court officer (for example, because of the location or conditions of its storage).

(6)Where the court officer must supply the information requested the supply may be, at the choice of the party or person making the request—

(a)by word of mouth;

(b)in writing, including by written certificate or extract from a court record; or

(c)by a copy of a document served by, or on, that party or person (but not of a document not so served).

(7)Where this rule does not require the court officer to supply the information requested—

(a)the court officer must refer the request to the court; and

(b)rule 5.10 applies.

[Note. See also rule 5.7 (The open justice principle).]

Request or application determined by the court

5.10.—(1)This rule applies where—

(a)the court officer refers to the court a request for information under rule 5.8 (Request for information about a case) or rule 5.9. (Request for information by a party or person directly affected by a case); or

(b)a party or other person applies to the court under rule 5.8(8) to prohibit a supply of information without the court’s permission.

(2)The court officer must—

(a)serve a request for information on a party or person likely to be affected by it, including—

(i)the applicant for any direction, order or warrant that the request concerns which was made or issued in the absence of the party or person making the request,

(ii)the applicant under rule 5.8(8) for a prohibition that affects the request (or may do so, where that application has yet to be determined), and

(iii)anyone else, and to such extent, as the court directs; and

(b)notify the party or person making the request of—

(i)the date of its service under this rule, and

(ii)the identity of each person served with it, if the court so directs.

(3)If a party or person served with a request for information objects to the supply of the information requested the objector must—

(a)give notice of the objection not more than 20 business days after service of the request, or within any longer period allowed by the court;

(b)serve that notice on the court officer and on the party or person making the request; and

(c)if the objector wants a hearing, explain why one is needed.

(4)A notice of objection to a request for information must explain—

(a)whether the objection is to the supply of the whole of the information requested, or only to the supply of a specified part or specified parts;

(b)whether the objection applies without limit of time, or only for a specified period (for example, until a date or event specified by the objector); and

(c)the grounds of the objection.

(5)Where a notice of objection to a request for information includes material that the objector thinks ought not be revealed to the party or person making the request, the objector must—

(a)omit that material from the notice served on that party or person;

(b)mark the material to show that it is only for the court; and

(c)with that material include an explanation of why it has been withheld.

(6)The court must not determine a request for information, and information requested must not be supplied, until—

(a)each party or person served with the request has had at least 20 business days, or any longer period allowed by the court, in which to object or make other representations; and

(b)the court is satisfied that in all the circumstances every such party or person has had a reasonable opportunity to do so.

(7)The court may determine a request for information or an application under rule 5.8(8)—

(a)at a hearing in public or private, or without a hearing; but

(b)any hearing must be in private, unless the court otherwise directs—

(i)where a request for information concerns a direction, order or warrant made or issued in the absence of the party or person making the request, or

(ii)on an application under rule 5.8(8).

(8)Where a notice of objection to a request for information includes material that the objector thinks ought not be revealed to the party or person making the request—

(a)any hearing of the request may take place, wholly or in part, in the absence of the party or person making it; and

(b)at any such hearing the general rule is that the court must consider, in the following sequence—

(i)representations first by the party or person making the request and then by the objector, in the presence of both, and then

(ii)further representations by the objector, in the absence of the party or person making the request

but the court may direct other arrangements for the hearing.

(9)In deciding whether to order a supply of information requested or to prohibit a supply of information by the court officer without the court’s permission the court must have regard to—

(a)the open justice principle;

(b)any reporting restriction;

(c)rights and obligations under other legislation;

(d)the importance of any public interest in the withholding of that information, or in its supply only in part or subject to conditions (which public interest might be, for example, in preventing injustice, protecting others’ rights, protecting the confidentiality of a criminal investigation or protecting national security); and

(e)the extent to which that information is otherwise available to the party or person making the request.

(10)Where the court orders the supply of information the supply may be, at the court’s direction and on such terms as the court directs—

(a)by word of mouth;

(b)in writing, including by written certificate or extract from a court record; ...

(c)by a copy of a document. or

(d)by allowing access to a document, including a recording (other than a recording to which rule 5.5 applies (Recording and transcription of proceedings in the Crown Court)).

[Note. See also rule 5.7 (The open justice principle).

The court’s decision under this rule may be affected by—

(a)a reporting restriction imposed by legislation or by the court (Part 6 lists the reporting restrictions that might apply);

(b)Articles 6, 8 and 10 of the European Convention on Human Rights;

(c)the Rehabilitation of Offenders Act 1974 (section 5 of the Act lists sentences and rehabilitation periods);

(d)section 18 of the Criminal Procedure and Investigations Act 1996, which affects the supply of information about material, other than evidence, disclosed by the prosecutor;

(e)Part 3 of the Data Protection Act 2018 (sections 43(3) and 117 of which make exceptions for criminal proceedings from some other provisions of that Act); and

(f)sections 33, 34 and 35 of the Legal Aid, Sentencing and Punishment of Offenders Act 2012, which affect the supply of information about applications for legal aid.]

Publication of information about court hearings, etc.

5.11.—(1)Where a case is due to be heard in public, the court officer must—

(a)publish the information listed in paragraph (2)—

(i)if that information is available to the court officer, and

(ii)unless the publication of that information is prohibited by a reporting restriction; and

(b)publish that information for no longer than 5 business days—

(i)by notice displayed somewhere prominent in the vicinity of a court room in which the hearing is due to take place, and

(ii)by such arrangements as the Lord Chancellor directs, including arrangements for publication by electronic means, but only to the extent needed to comply with the open justice principle.

(2)The information that paragraph (1) requires the court officer to publish is—

(a)the date, time and place of the hearing;

(b)the identity of the defendant; ...

(c)by notice under paragraph (1)(b)(i), such other information as it may be practicable to publish concerning—

(i)the type of hearing,

(ii)the identity of the prosecutor,

(iii)the identity of the court, and

(iv)any reporting or access restriction that applies; and

(d)by arrangements under paragraph (1)(b)(ii), such other information as it may be practicable to publish concerning—

(i)the details listed in paragraph (2)(c), and

(ii)the statement of each alleged offence (but not the particulars of offence)

(3)Where 15 business days have expired after service on the defendant of a written charge and other documents under rule 24.9 (Single justice procedure: special rules), the court officer must—

(a)publish the information listed in paragraph (4) if—

(i)the information is available to the court officer, and

(ii)the publication of the information is not prohibited by a reporting restriction; and

(b)publish that information for no longer than 5 business days by such arrangements as the Lord Chancellor directs, including arrangements for publication by electronic means, but only to the extent needed to comply with the open justice principle.

(4)The information that paragraph (3) requires the court officer to publish is—

(a)the identity of the defendant;

(b)the identity of the prosecutor;

(c)the statement of each alleged offence (but not the particulars of offence); and

(d)such other information as it may be practicable to publish about any reporting restriction that applies.

(5)If it is not practicable to publish the information about reporting or access restrictions that this rule requires then the court officer must publish a notice or notices by such arrangements as the Lord Chancellor directs—

(a)warning that such restrictions may apply to a case information about which is published under this rule;

(b)explaining the general effect of such restrictions; and

(c)explaining how further information about such restrictions may be obtained, generally and in relation to an individual case.

[Note. See also rule 5.7 (The open justice principle).]

Request for certificate, extract or information under other legislation

5.12.—(1) This rule applies where legislation other than these Rules —

(a)allows a certificate of conviction or acquittal, or an extract from records kept by the court officer, to be introduced in evidence in criminal proceedings; or

(b)requires or permitsinformation about a case, including information contained in materials kept by the court officer for the purposes of the case, to be supplied by the court officer to a specified person for a specified purpose.

(2) A person who wants such a certificate or extract , or such information, must—

(a)apply in writing to the court officer;

(b)specify the certificate , extract or information required;

(c)explain under what legislation and for what purpose it is required; and

(d)pay any fee prescribed.

(3) If the application satisfies the requirements of that legislation, the court officer must supply the certificate , extract or information requested—

(a)to a party; and

(b)unless the court otherwise directs, to any other applicant.

[Note. Under sections 73 to 75 of the Police and Criminal Evidence Act 1984, a certificate of conviction or acquittal, and certain other details from records to which this Part applies, may be admitted in evidence in criminal proceedings.

Examples of legislation to which paragraph (1)(b) of this rule applies include (this is not a complete list)—

(a)section 17 of the Criminal Appeal Act 1995, under which information may be required by the Criminal Cases Review Commission;

(b)section 115 of the Crime and Disorder Act 1998, under which information may be supplied to specified authorities for the purposes of that Act; ...

(c)section 14 of the Offender Management Act 2007, under which information may be supplied to specified persons for offender management purposes; and

(d)article 7 of the Age of Criminal Responsibility (Scotland) Act 2019 (Consequential Provisions and Modifications) Order 2021, under which information may be required to assist in a review of Scottish criminal records concerning a time at which the subject of those records was under 12 years old.

Under section 92 of the Sexual Offences Act 2003, a certificate which records a conviction for an offence and a statement by the convicting court that that offence is listed in Schedule 3 to the Act is evidence of those facts for certain purposes of that Act.

A certificate of conviction or acquittal, and certain other information, required for other purposes, may be obtained from the Secretary of State under sections 112, 113A and 113B of the Police Act 1997.

This rule applies where certificates or extracts from court records are required for use in evidence or for some other purpose specified in legislation. Where this rule does not apply, information about a case may be obtained under rule 5.8.]

PART 6REPORTING, ETC. RESTRICTIONS

GENERAL RULES

When this Part applies

6.1.—(1) This Part applies where the court can—

(a)impose a restriction on—

(i)reporting what takes place at a public hearing, or

(ii)public access to what otherwise would be a public hearing;

(b)vary or remove a reporting or access restriction that is imposed by legislation;

(c)withhold information from the public during a public hearing;

(d)order a trial in private; or

(e)allow there to take place during a hearing—

(i)sound recording, or

(ii)communication by electronic means.

(2) This Part does not apply to arrangements required by legislation, or directed by the court, in connection with—

(a)sound recording during a hearing, or the transcription of such a recording; or

(b)measures to assist a witness or defendant to give evidence.

[Note. The court can impose reporting restrictions under—

(a)section 4(2) of the Contempt of Court Act 1981(147) (postponed report of public hearing);

(b)section 11 of the Contempt of Court Act 1981 (matter withheld from the public during a public hearing);

(c)section 58 of the Criminal Procedure and Investigations Act 1996(148) (postponed report of derogatory assertion in mitigation);

(d)section 45 of the Youth Justice and Criminal Evidence Act 1999(149) (identity of a person under 18);

(e)section 45A of the Youth Justice and Criminal Evidence Act 1999(150) (identity of a witness or victim under 18);

(f)section 46 of the Youth Justice and Criminal Evidence Act 1999(151) (identity of a vulnerable adult witness);

(g)section 82 of the Criminal Justice Act 2003(152) (order for retrial after acquittal); or

(h)section 75 of the Serious Organised Crime and Police Act 2005(153) (identity of a defendant who assisted the police).

There are reporting restrictions imposed by legislation that the court can vary or remove, under—

(a)section 49 of the Children and Young Persons Act 1933(154) (youth court proceedings);

(b)section 8C of the Magistrates’ Courts Act 1980(155) (pre-trial ruling in magistrates’ courts);

(c)section 11 of the Criminal Justice Act 1987(156) (preparatory hearing in the Crown Court);

(d)section 1 of the Sexual Offences (Amendment) Act 1992(157) (identity of complainant of sexual offence);

(e)section 37 of the Criminal Procedure and Investigations Act 1996(158) (preparatory hearing in the Crown Court);

(f)section 41 of the Criminal Procedure and Investigations Act 1996(159) (pre-trial ruling in the Crown Court);

(g)section 52A of, and paragraph 3 of Schedule 3 to, the Crime and Disorder Act 1998(160) (allocation and sending for trial proceedings);

(h)section 47 of the Youth Justice and Criminal Evidence Act 1999(161) (special measures direction);

(i)section 141F of the Education Act 2002(162) (restrictions on reporting alleged offences by teachers);

(j)section 71 of the Criminal Justice Act 2003(163) (prosecution appeal against Crown Court ruling); and

(k)section 4A of, and paragraph 1 of Schedule 1 to, the Female Genital Mutilation Act 2003(164) (identity of person against whom a female genital mutilation offence is alleged to have been committed).

There are reporting restrictions imposed by legislation that the court has no power to vary or remove, under—

(a)section 1 of the Judicial Proceedings (Regulation of Reports) Act 1926(165) (indecent or medical matter);

(b)section 2 of the Contempt of Court Act 1981(166) (risk of impeding or prejudicing active proceedings).

Access to a youth court is restricted under section 47 of the Children and Young Persons Act 1933(167). See also rule 24.2 (Trial and sentence in a magistrates’ court – general rules).

Under section 36 of the Children and Young Persons Act 1933(168), no-one under 14 may be present in court when someone else is on trial, or during proceedings preliminary to a trial, unless that person is required as a witness, or for the purposes of justice, or the court permits.

The court can restrict access to the courtroom under—

(a)section 8(4) of the Official Secrets Act 1920(169), during proceedings for an offence under the Official Secrets Acts 1911 and 1920;

(b)section 37 of the Children and Young Persons Act 1933(170), where the court receives evidence from a person under 18;

(c)section 75 of the Serious Organised Crime and Police Act 2005(171), where the court reviews a sentence passed on a defendant who assisted an investigation.

The court has an inherent power, in exceptional circumstances—

(a)to allow information, for example a name or address, to be withheld from the public at a public hearing;

(b)to restrict public access to what otherwise would be a public hearing, for example to control disorder;

(c)to hear a trial in private, for example for reasons of national security.

Under section 9(1) of the Contempt of Court Act 1981(172), it is a contempt of court without the court’s permission to—

(a)use in court, or bring into court for use, a device for recording sound;

(b)publish a recording of legal proceedings made by means of such a device; or

(c)use any such recording in contravention of any condition on which permission was granted.

Under section 41 of the Criminal Justice Act 1925(173), it is an offence to take or attempt to take a photograph, or with a view to publication to make or attempt to make a portrait or sketch, of any judge, juror, witness or party, in the courtroom, or in the building or in the precincts of the building in which the court is held, or while that person is entering or leaving the courtroom, building or precincts; or to publish such a photograph, portrait or sketch.

Section 32 of the Crime and Courts Act 2013(174) (Enabling the making, and use, of films and other recordings of proceedings) allows for exceptions to be made to the prohibitions imposed by section 9 of the 1981 Act and section 41 of the 1925 Act.

By reason of sections 15 and 45 of the Senior Courts Act 1981(175), the Court of Appeal and the Crown Court each has an inherent power to deal with a person for contempt of court for disrupting the proceedings. Under section 12 of the Contempt of Court Act 1981(176), a magistrates’ court has a similar power.

See also—

(a)rule 5.5, under which the court officer must make arrangements for recording proceedings in the Crown Court;

(b)Part 18, which applies to live links and other measures to assist a witness or defendant to give evidence;

(c)rule 45.10, which applies to costs orders against a non-party for serious misconduct; and

(d)Part 48, which contains rules about contempt of court.]

Exercise of court’s powers to which this Part applies

6.2.—(1) When exercising a power to which this Part applies, as well as furthering the overriding objective, in accordance with rule 1.3, the court must have regard to the importance of—

(a)dealing with criminal cases in public; and

(b)allowing a public hearing to be reported to the public.

(2) The court may determine an application or appeal under this Part—

(a)at a hearing, in public or in private; or

(b)without a hearing.

(3) But the court must not exercise a power to which this Part applies unless each party and any other person directly affected—

(a)is present; or

(b)has had an opportunity—

(i)to attend, or

(ii)to make representations.

[Note. See also section 121 of the Magistrates’ Courts Act 1980(177) and rule 24.2 (general rules about trial and sentence in a magistrates’ court).]

Court’s power to vary requirements under this Part

6.3.—(1) The court may—

(a)shorten or extend (even after it has expired) a time limit under this Part;

(b)require an application to be made in writing instead of orally;

(c)consider an application or representations made orally instead of in writing; and

(d)dispense with a requirement to—

(i)give notice, or

(ii)serve an application.

(2) Someone who wants an extension of time must—

(a)apply when making the application or representations for which it is needed; and

(b)explain the delay.

REPORTING AND ACCESS RESTRICTIONS

Reporting and access restrictions

6.4.—(1) This rule applies where the court can—

(a)impose a restriction on—

(i)reporting what takes place at a public hearing, or

(ii)public access to what otherwise would be a public hearing; or

(b)withhold information from the public during a public hearing.

(2) Unless other legislation otherwise provides, the court may do so—

(a)on application by a party; or

(b)on its own initiative.

(3) A party who wants the court to do so must—

(a)apply as soon as reasonably practicable;

(b)notify—

(i)each other party, and

(ii)such other person (if any) as the court directs;

(c)specify the proposed terms of the order, and for how long it should last;

(d)explain—

(i)what power the court has to make the order, and

(ii)why an order in the terms proposed is necessary;

(e)where the application is for a reporting direction under section 45A of the Youth Justice and Criminal Evidence Act 1999(178) (Power to restrict reporting of criminal proceedings for lifetime of witnesses and victims under 18), explain—

(i)how the circumstances of the person whose identity is concerned meet the conditions prescribed by that section, having regard to the factors which that section lists; and

(ii)why such a reporting direction would be likely to improve the quality of any evidence given by that person, or the level of co-operation given by that person to any party in connection with the preparation of that party’s case, taking into account the factors listed in that section; and

(f)where the application is for a reporting direction under section 46 of the Youth Justice and Criminal Evidence Act 1999(179) (Power to restrict reports about certain adult witnesses in criminal proceedings), explain—

(i)how the witness is eligible for assistance, having regard to the factors listed in that section, and

(ii)why such a reporting direction would be likely to improve the quality of the witness’ evidence, or the level of co-operation given by the witness to the applicant in connection with the preparation of the applicant’s case, taking into account the factors which that section lists.

[Note. Under section 45A(10) or section 46(9) of the Youth Justice and Criminal Evidence Act 1999, if the conditions prescribed by those sections are met the court may make an excepting direction dispensing, to any extent specified, with the restrictions imposed by a reporting direction made under those sections.]

Varying or removing restrictions

6.5.—(1) This rule applies where the court can vary or remove a reporting or access restriction.

(2) Unless other legislation otherwise provides, the court may do so—

(a)on application by a party or person directly affected; or

(b)on its own initiative.

(3) A party or person who wants the court to do so must—

(a)apply as soon as reasonably practicable;

(b)notify—

(i)each other party, and

(ii)such other person (if any) as the court directs;

(c)specify the restriction; and

(d)explain, as appropriate, why it should be varied or removed.

(4) A person who wants to appeal to the Crown Court under section 141F of the Education Act 2002(180) must—

(a)serve an appeal notice on—

(i)the Crown Court officer, and

(ii)each other party;

(b)serve on the Crown Court officer, with the appeal notice, a copy of the application to the magistrates’ court;

(c)serve the appeal notice not more than 15 business days after the magistrates’ court’s decision against which the appellant wants to appeal; and

(d)in the appeal notice, explain, as appropriate, why the restriction should be maintained, varied or removed.

(5) Rule 34.11 (Constitution of the Crown Court) applies on such an appeal.

[Note. Under section 141F(7) of the Education Act 2002, a party to an application to a magistrates’ court to remove the statutory restriction on reporting an alleged offence by a teacher may appeal to the Crown Court against the decision of the magistrates’ court. With the Crown Court’s permission, any other person may appeal against such a decision.]

Trial in private

6.6.—(1) This rule applies where the court can order a trial in private.

(2) A party who wants the court to do so must—

(a)apply in writing not less than 5 business days before the trial is due to begin; and

(b)serve the application on—

(i)the court officer, and

(ii)each other party.

(3) The applicant must explain—

(a)the reasons for the application;

(b)how much of the trial the applicant proposes should be in private; and

(c)why no measures other than trial in private will suffice, such as—

(i)reporting restrictions,

(ii)an admission of facts,

(iii)the introduction of hearsay evidence,

(iv)a direction for a special measure under section 19 of the Youth Justice and Criminal Evidence Act 1999,

(v)a witness anonymity order under section 86 of the Coroners and Justice Act 2009, or

(vi)arrangements for the protection of a witness.

(4) Where the application includes information that the applicant thinks ought not be revealed to another party, the applicant must—

(a)omit that information from the part of the application that is served on that other party;

(b)mark the other part to show that, unless the court otherwise directs, it is only for the court; and

(c)in that other part, explain why the applicant has withheld that information from that other party.

(5) The court officer must at once—

(a)display notice of the application somewhere prominent in the vicinity of the courtroom; and

(b)give notice of the application to reporters by such other arrangements as the Lord Chancellor directs.

(6) The application must be determined at a hearing which—

(a)must be in private, unless the court otherwise directs;

(b)if the court so directs, may be, wholly or in part, in the absence of a party from whom information has been withheld; and

(c)in the Crown Court, must be after the defendant is arraigned but before the jury is sworn.

(7) At the hearing of the application—

(a)the general rule is that the court must consider, in the following sequence—

(i)representations first by the applicant and then by each other party, in all the parties’ presence, and then

(ii)further representations by the applicant, in the absence of a party from whom information has been withheld; but

(b)the court may direct other arrangements for the hearing.

(8) The court must not hear a trial in private until—

(a)the business day after the day on which it orders such a trial, or

(b)the disposal of any appeal against, or review of, any such order, if later.

Representations in response

6.7.—(1) This rule applies where a party, or person directly affected, wants to make representations about an application or appeal.

(2) Such a party or person must—

(a)serve the representations on—

(i)the court officer,

(ii)the applicant,

(iii)each other party, and

(iv)such other person (if any) as the court directs;