The Criminal Procedure Rules 2012

• Citation: S.I. 2012/1726
• Sections: 542

Section 1.1 The overriding objective

(1) The overriding objective of this new 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) dealing with the prosecution and the defence fairly;

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

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

(e) dealing with the case efficiently and expeditiously;

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

(g) 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.

Section 1.2 The duty of the participants in a criminal case

(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.

Section 1.3 The application by the court of the overriding objective

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.

Section 2.1 When the Rules apply

(1) In general, the Criminal Procedure Rules apply―

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

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

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

(3) The Rules apply on and after 1st October, 2012, but unless the court otherwise directs they do not affect a right or duty existing under The Criminal Procedure Rules 2011 .

(4) Rule 9.6, and the rules in Section 3 of Part 9 (Allocation and sending for trial), apply only where there have come into force the amendments made by Schedule 3 to the Criminal Justice Act 2003 (Allocation of cases triable either way, and sending cases to the Crown Court, etc. ) which confer the powers to which those rules apply.

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

Section 2.2 Definitions

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

‘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, a justices’ clerk or assistant clerk;

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

‘justices’ legal adviser’ means a justices’ clerk or an assistant to a justices’ clerk;

‘live link’ means an arrangement by which a person can see and hear, and be seen and heard by, the court when that person is not in court;

‘Practice Direction’ means the Lord Chief Justice’s Consolidated Criminal Practice Direction, 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 ; and

‘Registrar’ means the Registrar of Criminal Appeals or a court officer acting with the Registrar’s authority.

(2) 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.]

Section 2.3 References to Acts of Parliament and to Statutory Instruments

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 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 those Regulations are called ‘the 2011 Regulations’.

Section 2.4 Representatives

(1) Under these Rules, unless the context makes it clear that something different is meant, anything that a party may or must do may be done—

(a) by a legal representative on that party’s behalf;

(b) by a person with the corporation’s written authority, where that party is a corporation;

(c) with the help of a parent, guardian or other suitable supporting adult where that party is a defendant—

(i) who is under 18, or

(ii) whose understanding of what the case involves is limited.

(2) Anyone with a prosecutor’s authority to do so may, on that prosecutor’s behalf—

(a) serve on the magistrates’ court officer, or present to a magistrates’ court, an information under section 1 of the Magistrates’ Courts Act 1980 ; or

(b) issue a written charge and requisition under section 29 of the Criminal Justice Act 2003 .

[Note. See also section 122 of the Magistrates’ Courts Act 1980 . A party’s legal representative must be entitled to act as such under section 13 of the Legal Services Act 2007 .

Section 33(6) of the Criminal Justice Act 1925 , section 46 of the Magistrates’ Courts Act 1980 and Schedule 3 to that Act provide for the representation of a corporation.

Section 223 of the Local Government Act 1972 allows a member or officer of a local authority on that authority’s behalf to prosecute or defend a case before a magistrates’ court, and to appear in and to conduct any proceedings before a magistrates’ court.

Part 7 contains rules about starting a prosecution.]

Section 3.1 The scope of this Part

This Part applies 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.

[Note. Rules that apply to procedure in the Court of Appeal are in Parts 65 to 73 of these Rules.]

Section 3.2 The duty of the court

(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.

Section 3.3 The duty of the parties

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.

Section 3.4 Case progression officers and their duties

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

(a) nominate an individual responsible for progressing that case; and

(b) tell other parties and the court who he is and how to contact him.

(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 he is and how to contact him.

(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 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 will be unavailable, appoint a substitute to fulfil his duties and inform the other case progression officers.

Section 3.5 The court’s case management powers

(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) for the purpose of giving directions, receive applications and representations by letter, by telephone or by any other means of electronic communication, and conduct a hearing by such 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; and

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

(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.

[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 3.10.

The court may make a costs order under—

(a) section 19 of the Prosecution of Offences Act 1985 , 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 , 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 , where the court decides that there has been serious misconduct by a person who is not a party.

Under some other legislation, including Parts 33, 34 and 35 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 and section 20(3) of the Criminal Procedure and Investigations Act 1996 (advance disclosure of expert evidence);

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

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

Section 3.6 Application to vary a direction

(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 his absence; or

(c) circumstances have changed.

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

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

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

Section 3.7 Agreement to vary a time limit fixed by a direction

(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 he doubts the condition in paragraph (1)(a) is satisfied.

Section 3.8 Case preparation and progression

(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 a trial in the Crown Court, the court must conduct a plea and case management hearing unless the circumstances make that unnecessary.

(4) In order to prepare for the trial, the court must take every reasonable step to encourage and to facilitate the attendance of witnesses when they are needed.

Section 3.9 Readiness for trial or appeal

(1) This rule applies to a party’s preparation for trial or appeal, and in this rule and rule 3.10 trial includes any hearing at which evidence will be introduced.

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

(a) comply with directions given by the court;

(b) take every reasonable step to make sure his 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.

Section 3.10 Conduct of a trial or an appeal

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 and 3.8.]

Section 3.11 Case management forms and records

(1) The case management forms set out in the Practice Direction must be used, and where there is no form then no specific formality is required.

(2) The court must make available to the parties a record of directions given.

(3) Where a person is entitled or required to attend a hearing, the court officer must give as much notice as reasonably practicable to―

(a) that person; and

(b) that person’s custodian (if any).

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

Criminal Procedure Rules

Rules 10.4 and 27.4: reminders of right to object to written evidence being read at trial

Part 13: dismissal of charges transferred or sent to the Crown Court

Part 14: the indictment

Part 15: preparatory hearings in the Crown Court

Part 21: initial details of the prosecution case

Part 22: disclosure

Parts 27 – 36: the rules that deal with evidence

Part 37: trial and sentence in a magistrates’ court

Part 39: trial on indictment

Regulations

The Prosecution of Offences (Custody Time Limits) Regulations 1987

The Criminal Justice Act 1987 (Notice of Transfer) Regulations 1988

The Criminal Justice Act 1991 (Notice of Transfer) Regulations 1992

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

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

Provisions of Acts of Parliament

Sections 5, 10 and 18, Magistrates’ Courts Act 1980 : powers to adjourn hearings

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

Part 1, Criminal Procedure and Investigations Act 1996 : disclosure

Schedule 2, Criminal Procedure and Investigations Act 1996 : use of witness statements at trial

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

Section 6, Magistrates’ Courts Act 1980 : committal for trial

Section 4, Criminal Justice Act 1987 ; section 53, Criminal Justice Act 1991 ; sections 51 and 51A, Crime and Disorder Act 1998 : other procedures by which a case reaches the Crown Court

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

Section 8A, Magistrates’ Courts Act 1980

Section 9, Criminal Justice Act 1967 : proof by written witness statement.]

Section 4.1 When this Part applies

The rules in this Part apply to the service of every document in a case to which these Rules apply, subject to any special rules in other legislation (including other Parts of these Rules) or in the Practice Direction.

Section 4.2 Methods of service

(1) A document may be served by any of the methods described in rules 4.3 to 4.6 (subject to rule 4.7), 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 will use that method.

Section 4.3 Service by handing over a document

(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 representative;

(d) the prosecution by handing it to the prosecutor or to the prosecution representative;

(e) the court officer by handing it to a court officer with authority to accept it at the relevant court office; and

(f) the Registrar of Criminal Appeals by handing it to a court officer with authority to accept it at the Criminal Appeal 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.

[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 . ]

Section 4.4 Service by leaving or posting a document

(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 representative’s office;

(d) the prosecution is the prosecutor’s office;

(e) the court officer is the relevant court office; and

(f) the Registrar of Criminal Appeals is the Criminal Appeal Office, Royal Courts of Justice, Strand, London, WC2A 2LL.

[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 (service of summons, etc. in Scotland and Northern Ireland);

(b) section 1139(4) of the Companies Act 2006 (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 (service of summons, etc. outside the United Kingdom) and rules 32.1 and 32.2; and

(d) section 1139(2) of the Companies Act 2006 (service on overseas company).]

Section 4.5 Service by document exchange

(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 representative has given a DX box number.

(2) A document may be served by—

(a) addressing it to that person or 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.

Section 4.6 Service by electronic means

(1) This rule applies where—

(a) the person to be served—

(i) has given an electronic address, and

(ii) has not refused to accept service by electronic means; or

(b) the person to be served is legally represented in the case and the representative has given an electronic address.

(2) A document may be served by transmitting it by electronic means to that person or representative, as appropriate, at that address.

(3) Where a document is served under this rule the person serving it need not provide a paper copy as well.

Section 4.7 Documents that must be served by specified methods

(1) The documents listed in paragraph (2) may be served—

(a) on an individual, only under rule 4.3(1)(a) (handing over) or rule 4.4(1) and (2)(a) (leaving or posting); and

(b) on a corporation, only under rule 4.3(1)(b) (handing over) or rule 4.4(1) and (2)(b) (leaving or posting).

(2) Those documents are—

(a) a summons, requisition or witness summons;

(b) notice of an order under section 25 of the Road Traffic Offenders Act 1988 ;

(c) a notice of registration under section 71(6) of that Act ;

(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 ;

(e) notice under section 86 of that Act of a revised date to attend a means inquiry;

(f) any notice or document served under Part 19 (Bail and custody time limits);

(g) notice under rule 37.15(a) of when and where an adjourned hearing will resume;

(h) notice under rule 42.5(3) of an application to vary or discharge a compensation order;

(i) notice under rule 42.10(2)(c) of the location of the sentencing or enforcing court;

(j) a collection order, or notice requiring payment, served under rule 52.2(a).

(3) An application or written statement, and notice, under rule 62.9 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);

(b) on a corporation, only under rule 4.3(1)(b) (by handing it to a person holding a senior position in that corporation).

Section 4.8 Service by person in custody

(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.

Section 4.9 Service by another method

(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;

(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.

Section 4.10 Date of service

(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 transmitted by electronic means, on the next business day after it was transmitted; 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 court computer system 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, ‘business day’ does not include a day on which the court office is closed.

Section 4.11 Proof of service

The person who serves a document may prove that by signing a certificate explaining how and when it was served.

Section 4.12 Court’s power to give directions about service

(1) The court may specify the time as well as the date by which a document must be—

(a) served under rule 4.3 or rule 4.8; or

(b) transmitted 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.

Section 5.1 Forms

The forms set out in the Practice Direction and in the Criminal Costs Practice Direction shall be used as appropriate in connection with the rules to which they apply.

Section 5.2 Forms in Welsh

(1) Any Welsh language form set out in the Practice Direction, or in 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)

(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.

Section 5.3 Signature of forms

(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 provides for the use of an electronic signature in an electronic communication.]

Section 5.4 Duty to make records

(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 in connection with the allocation of a case for trial, and

(ii) the registration of a fixed penalty notice for enforcement as a fine, and any related endorsement on a driving licence;

(k) in the Crown Court, any request for assistance or other communication about the case received from a juror; and

(l) the identity of—

(i) the prosecutor,

(ii) the defendant,

(iii) any other applicant to whom these Rules apply,

(iv) the parties’ legal representatives, if any, and

(v) the judge, magistrate or magistrates, justices’ legal adviser or other person who made each recorded decision.

(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.

[Note. For the duty to keep court records, see sections 5 and 8 of the Public Records Act 1958 .

Requirements to record the court’s reasons for its decision are contained in: section 5 of the Bail Act 1976 ; section 47(1) of the Road Traffic Offenders Act 1988 ; sections 20, 33A and 33BB of the Youth Justice and Criminal Evidence Act 1999 ; section 174 of the Criminal Justice Act 2003 ; and rule 16.8.

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 .

In a case for which the amendments made by Schedule 3 to the Criminal Justice Act 2003 have come into force, section 20 of the Magistrates’ Courts Act 1980 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.

Requirements to register fixed penalty notices and to record any related endorsement of a driving licence are contained in sections 57, 57A and 71 of the Road Traffic Offenders Act 1988 .]

Section 5.5 Recording and transcription of proceedings in the Crown Court

(1) Where someone may appeal to the Court of Appeal, 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) must not supply anyone other than the Registrar with a transcript of a recording of—

(i) a hearing in private, or

(ii) information to which reporting restrictions apply;

(b) subject to that, 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 65 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;

(b) a hearing in private, if the applicant was present at that hearing.

[Note. See also section 32 of the Criminal Appeal Act 1968 .]

Section 5.6 Custody of case materials

Unless the court otherwise directs, in respect of each case the court officer may—

(a) keep any evidence, application, representation or other material served by the parties; 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 63 (Appeal to the Crown Court) and Part 65 (Appeal to the Court of Appeal: general rules) about keeping exhibits pending any appeal.

Section 5.7 Supply to a party of information or documents from records or case materials

(1) This rule applies where a party wants information, or a copy of a document, from records or case materials kept by the court officer (for example, in case of loss, or to establish what is retained).

(2) Such a party must—

(a) apply to the court officer;

(b) specify the information or document required; and

(c) pay any fee prescribed.

(3) The application—

(a) may be made orally, giving no reasons, if paragraph (4) requires the court officer to supply the information or document requested;

(b) must be in writing, unless the court otherwise permits, and must explain for what purpose the information is required, in any other case.

(4) The court officer must supply to the applicant party—

(a) a copy of any document served by, or on, that party (but not of any document not so served);

(b) by word of mouth, or in writing, as requested—

(i) information that was received from that party in the first place,

(ii) information about any direction or order directed to that party, or made on an application by that party, or at a hearing in public,

(iii) information about the outcome of the case.

(5) If the court so permits, the court officer may supply to the applicant party, by word of mouth or in writing, as requested, information that paragraph (4) does not require the court officer to supply.

Section 5.8 Supply to the public, including reporters, of information about a case

(1) This rule applies where a member of the public, including a reporter, wants information about a case from the court officer.

(2) Such a person must—

(a) apply to the court officer;

(b) specify the information requested; and

(c) pay any fee prescribed.

(3) The application—

(a) may be made orally, giving no reasons, if paragraph (4) requires the court officer to supply the information requested;

(b) must be in writing, unless the court otherwise permits, and must explain for what purpose the information is required, in any other case.

(4) The court officer must supply to the applicant—

(a) any information listed in paragraph (6), if—

(i) the information is available to the court officer,

(ii) the supply of the information is not prohibited by a reporting restriction, and

(iii) the trial has not yet concluded, or the verdict was not more than 6 months ago; and

(b) details of any reporting or access restriction ordered by the court.

(5) The court officer will supply that information—

(a) by word of mouth; or

(b) by such other arrangements as the Lord Chancellor directs.

(6) The information that paragraph (4) requires the court officer to supply is—

(a) the date of any hearing in public, unless any party has yet to be notified of that date;

(b) each alleged offence and any plea entered;

(c) the court’s decision at any hearing in public, including any decision about—

(i) bail, or

(ii) the committal, sending or transfer of the case to another court;

(d) whether the case is under appeal;

(e) the outcome of any trial and any appeal; and

(f) the identity of—

(i) the prosecutor,

(ii) the defendant,

(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.

(7) If the court so directs, the court officer will—

(a) supply to the applicant, by word of mouth, other information about the case; or

(b) allow the applicant to inspect or copy a document, or part of a document, containing information about the case.

(8) The court may determine an application to which paragraph (7) applies—

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

(b) without a hearing.

[Note. The supply of information about a case is affected by —

(a) Articles 6, 8 and 10 of the European Convention on Human Rights, and the court’s duty to have regard to the importance of—

(i) dealing with criminal cases in public, and

(ii) allowing a public hearing to be reported to the public;

(b) the Rehabilitation of Offenders Act 1974 (section 5 of the Act lists sentences and rehabilitation periods);

(c) section 18 of the Criminal Procedure and Investigations Act 1996 ;

(d) the Sexual Offences (Protected Material) Act 1997 ;

(e) the Data Protection Act 1998 ;

(f) section 20 of the Access to Justice Act 1999 ; and

(g) reporting restrictions, rules about which are contained in Part 16 (Reporting, etc. restrictions).]

Section 5.9 Supply of written certificate or extract from records

(1) This rule applies where legislation—

(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 such a certificate or extract 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 must—

(a) apply in writing to the court officer;

(b) specify the certificate or extract 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 or extract requested—

(a) to a party;

(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.

Under section 115 of the Crime and Disorder Act 1998 , information from records to which this Part applies may be obtained by specified authorities for the 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 .]

Section 6.1 When this Part applies

(1) Sections 2 and 3 of this Part apply where, for the purposes of a terrorist investigation—

(a) a Circuit judge can make, vary or discharge—

(i) an order for the production of, or for giving access to, material, or for a statement of its location, under paragraphs 5 and 10 of Schedule 5 to the Terrorism Act 2000 ,

(ii) an explanation order, under paragraphs 10 and 13 of Schedule 5 to the 2000 Act ,

(iii) a customer information order, under paragraphs 1 and 4 of Schedule 6 to the 2000 Act ;

(b) a Circuit judge can make, and the Crown Court can vary or discharge, an account monitoring order, under paragraphs 2 and 4 of Schedule 6A to the 2000 Act .

(2) Sections 2 and 4 of this Part apply where, for the purposes of an investigation for which Part 8 of the Proceeds of Crime Act 2002 provides, a Crown Court judge can make, and the Crown Court can vary or discharge—

(a) a production order, under sections 345 and 351 of the 2002 Act ;

(b) an order to grant entry, under sections 347 and 351 of the 2002 Act;

(c) a disclosure order, under sections 357 and 362 of the 2002 Act ;

(d) a customer information order, under sections 363 and 369 of the 2002 Act ;

(e) an account monitoring order, under sections 370 and 375 of the 2002 Act .

(3) Rule 6.5 and Section 5 of this Part apply where—

(a) a justice of the peace can make or discharge an investigation anonymity order, under sections 76 and 80(1) of the Coroners and Justice Act 2009 ;

(b) a Crown Court judge can determine an appeal against—

(i) a refusal of such an order, under section 79 of the 2009 Act,

(ii) a decision on an application to discharge such an order, under section 80(6) of the 2009 Act.

(4) Sections 2 and 6 of this Part apply where a justice of the peace can make an order approving—

(a) the grant or renewal of an authorisation, or the giving or renewal of a notice, under section 23A of the Regulation of Investigatory Powers Act 2000 ;

(b) the grant or renewal of an authorisation under section 32A of the 2000 Act .

[Note. In outline, the orders to which these rules apply are—

(a) for the purposes of a terrorist investigation under the Terrorism Act 2000—

(i) an order requiring a person to produce, give access to, or state the location of material,

(ii) an explanation order, requiring a person to explain material obtained under a production, etc. order,

(iii) a customer information order, requiring a financial institution to provide information about an account holder,

(iv) an account monitoring order, requiring a financial institution to provide specified information, for a specified period, about an account held at that institution;

(b) for the purposes of an investigation under Part 8 of the Proceeds of Crime Act 2002—

(i) a production order, requiring a person to produce or give access to material,

(ii) an order to grant entry, requiring a person to allow entry to premises so that a production order can be enforced,

(iii) a disclosure order, requiring a person to provide information or documents, or to answer questions,

(iv) a customer information order, requiring a financial institution to provide information about an account holder,

(v) an account monitoring order, requiring a financial institution to provide specified information, for a specified period, about an account held at that institution;

(c) under the Coroners and Justice Act 2009, an investigation anonymity order, prohibiting the disclosure of information that identifies, or might identify, a specified person as someone who is, or was, willing to assist the investigation of an offence of murder or manslaughter caused by a gun or knife;

(d) under the Regulation of Investigatory Powers Act 2000, an order approving a local authority officer’s authorisation for the obtaining of information about the use of postal or telecommunications services, or for the use of surveillance or of a ‘covert human intelligence source’.

For all the relevant terms under which these orders can be made, see the provisions listed in rule 6.1.

By section 341 of the Proceeds of Crime Act 2002 , an investigation under Part 8 of the Act may be—

(a) an investigation into whether a person has benefited from criminal conduct, or the extent or whereabouts of such benefit (‘a confiscation investigation’);

(b) an investigation into whether a person has committed a money laundering offence (‘a money laundering investigation’);

(c) an investigation into whether property is recoverable property or associated property (as defined by section 316 of the 2002 Act ), or into who holds the property or its extent or whereabouts (‘a civil recovery investigation’);

(d) an investigation into the derivation of cash detained under the 2002 Act, or into whether such cash is intended to be used in unlawful conduct (‘a detained cash investigation’);

(e) an investigation for the purposes of Part 7 of the Coroners and Justice Act 2009 (criminal memoirs, etc.) into whether a person is a qualifying offender or has obtained exploitation proceeds from a relevant offence, or into the value of any benefits derived by such a person from such an offence or the amount available (‘an exploitation proceeds investigation’).

When the relevant provisions of the Courts Act 2003 come into force, a District Judge (Magistrates’ Courts) will have the same powers as a Circuit judge under the Terrorism Act 2000.

Under section 8 of the Senior Courts Act 1981 , a High Court judge, a Circuit judge, a Recorder, a qualifying judge advocate and a District Judge (Magistrates’ Courts) each may act as a Crown Court judge.

Under section 343 of the Proceeds of Crime Act 2002 —

(a) any Crown Court judge may make an order to which Section 4 of this Part applies for the purposes of a confiscation investigation or a money laundering investigation;

(b) only a High Court judge may make such an order for the purposes of a civil recovery investigation, a detained cash investigation or an exploitation proceeds investigation (and these rules do not apply to an application to such a judge in such a case).

As well as governing procedure on an application to the Crown Court, under the following provisions rules may govern the procedure on an application to an individual judge—

(a) paragraph 10 of Schedule 5, paragraph 4 of Schedule 6 and paragraph 5 of Schedule 6A to the Terrorism Act 2000; and

(b) sections 351, 362, 369 and 375 of the Proceeds of Crime Act 2002.

Under the Terrorism Act 2000 and under the Proceeds of Crime Act 2002, in some circumstances an individual judge can issue a warrant to search for and seize material. Applications for such warrants are not subject to these rules.]

Section 6.2 Meaning of ‘court’, ‘applicant’ and ‘respondent’

In this Part—

(a) a reference to the ‘court’ includes a reference to any justice of the peace or judge who can exercise a power to which this Part applies;

(b) ‘applicant’ means a person who, or an authority which, can apply for an order to which this Part applies; and

(c) ‘respondent’ means the person (if any) against whom such an order is sought or made.

Section 6.3 Exercise of court’s powers

(1) Subject to paragraphs (2) and (3), the court may determine an application for an order, or to vary or discharge an order—

(a) at a hearing (which will be in private unless the court otherwise directs), or without a hearing; and

(b) in the absence of—

(i) the applicant,

(ii) the respondent (if any),

(iii) any other person affected by the order.

(2) The court must not determine such an application in the applicant’s absence if—

(a) the applicant asks for a hearing; or

(b) it appears to the court that—

(i) the proposed order may infringe legal privilege, within the meaning of section 10 of the Police and Criminal Evidence Act 1984 or of section 348 or 361 of the Proceeds of Crime Act 2002 ,

(ii) the proposed order may require the production of excluded material, within the meaning of section 11 of the 1984 Act, or

(iii) for any other reason the application is so complex or serious as to require the court to hear the applicant.

(3) The court must not determine such an application in the absence of any respondent or other person affected, unless—

(a) the absentee has had at least 2 business days in which to make representations; or

(b) the court is satisfied that—

(i) the applicant cannot identify or contact the absentee,

(ii) it would prejudice the investigation if the absentee were present,

(iii) it would prejudice the investigation to adjourn or postpone the application so as to allow the absentee to attend, or

(iv) the absentee has waived the opportunity to attend.

(4) The court must not make, vary or discharge an order unless the applicant states, in writing or orally, that to the best of the applicant’s knowledge and belief—

(a) the application discloses all the information that is material to what the court must decide; and

(b) the content of the application is true.

(5) Where the statement required by paragraph (4) is made orally—

(a) the statement must be on oath or affirmation, unless the court otherwise directs; and

(b) the court must arrange for a record of the making of the statement.

Section 6.4 Court’s power to vary requirements under this Part

(1) The court may—

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

(b) dispense with a requirement for service under this Part (even after service was required); and

(c) consider an application made orally instead of in writing.

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

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

(b) explain the delay.

Section 6.5 Documents served on the court officer

(1) Unless the court otherwise directs, the court officer may—

(a) keep a written application; or

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

(2) Where the court makes an order when the court office is closed, the applicant must, not more than 72 hours later, serve on the court officer—

(a) a copy of the order; and

(b) any written material that was submitted to the court.

Section 6.6 Application for an order under the Terrorism Act 2000

(1) This rule applies where an applicant wants the court to make one of the orders listed in rule 6.1(1).

(2) The applicant must—

(a) apply in writing;

(b) serve the application on—

(i) the court officer, and

(ii) the respondent (unless the court otherwise directs);

(c) identify the respondent;

(d) give the information required by whichever of rules 6.7 to 6.10 applies; and

(e) serve any order made on the respondent.

[Note. See also rules 6.3 and 6.4, under which the court may—

(a) exercise its powers in the parties’ absence;

(b) dispense with a requirement for service; and

(c) consider an application made orally.

Under rule 6.12, an applicant may withhold information from material that is served on a respondent.]

Section 6.7 Content of application for a production etc. order

As well as complying with rule 6.6, an applicant who wants the court to make an order for the production of, or access to, material, or for a statement of its location, must—

(a) describe that material;

(b) explain why the applicant thinks the material is—

(i) in the respondent’s possession, custody or power, or

(ii) likely to be so within 28 days of the order;

(c) explain how the material constitutes or contains excluded material or special procedure material;

(d) confirm that none of the material is expected to be subject to legal privilege;

(e) explain why the material is likely to be of substantial value to the investigation;

(f) explain why it is in the public interest for the material to be produced, or for the applicant to be given access to it, having regard to—

(i) the benefit likely to accrue to the investigation if it is obtained, and

(ii) the circumstances in which the respondent has the material, or is expected to have it; and

(g) propose—

(i) the terms of the order, and

(ii) the period within which it should take effect.

[Note. See paragraphs 5 to 9 of Schedule 5 to the Terrorism Act 2000. The applicant for a production, etc. order must be a constable.

Under paragraph 4 of Schedule 5 to the 2000 Act, ‘legal privilege’, ‘excluded material’ and ‘special procedure material’ mean the same as under sections 10, 11 and 14 of the Police and Criminal Evidence Act 1984.

The period within which an order takes effect must be specified in the order and, unless the court otherwise directs, must be—

(a) where the respondent already has the material, 7 days from the date of the order; or

(b) where the respondent is likely to have the material within 28 days, 7 days from the date the respondent notifies the applicant of its receipt.]

Section 6.8 Content of application for an explanation order

As well as complying with rule 6.6, an applicant who wants the court to make an explanation order must—

(a) identify the material that the applicant wants the respondent to explain;

(b) confirm that the explanation is not expected to infringe legal privilege; and

(c) propose—

(i) the terms of the order, and

(ii) the period within which it should take effect, if 7 days from the date of the order would not be appropriate.

[Note. See paragraph 13 of Schedule 5 to the Terrorism Act 2000. The applicant for an explanation order must be a constable.

An explanation order can require a lawyer to provide a client’s name and address.]

Section 6.9 Content of application for a customer information order

As well as complying with rule 6.6, an applicant who wants the court to make a customer information order must—

(a) explain why it is desirable for the purposes of the investigation to trace property said to be terrorist property within the meaning of the Terrorism Act 2000;

(b) explain why the order will enhance the effectiveness of the investigation; and

(c) propose the terms of the order.

[Note. See Schedule 6 to the Terrorism Act 2000. The applicant for a customer information order must be a police officer of at least the rank of superintendent.

‘Customer information’ is defined by paragraph 7 of Schedule 6 to the 2000 Act. ‘Terrorist property’ is defined by section 14 of the Act.]

Section 6.10 Content of application for an account monitoring order

As well as complying with rule 6.6, an applicant who wants the court to make an account monitoring order must—

(a) specify—

(i) the information sought,

(ii) the period during which the applicant wants the respondent to provide that information (to a maximum of 90 days), and

(iii) where, when and in what manner the applicant wants the respondent to provide that information;

(b) explain why it is desirable for the purposes of the investigation to trace property said to be terrorist property within the meaning of the Terrorism Act 2000;

(c) explain why the order will enhance the effectiveness of the investigation; and

(d) propose the terms of the order.

[Note. See Schedule 6A to the Terrorism Act 2000. The applicant for an account monitoring order must be a police officer.

‘Terrorist property’ is defined by section 14 of the Act.]

Section 6.11 Application to vary or discharge an order

(1) This rule applies where one of the following wants the court to vary or discharge an order listed in rule 6.1(1)—

(a) an applicant;

(b) the respondent; or

(c) a person affected by the order.

(2) That applicant, respondent or person affected must—

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

(b) serve the application on—

(i) the court officer, and

(ii) the respondent, applicant, or any person known to be affected, as applicable;

(c) explain why it is appropriate for the order to be varied or discharged;

(d) propose the terms of any variation; and

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