The Criminal Procedure Rules 2014

• Citation: S.I. 2014/1610
• Sections: 589

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, 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 6 th October, 2014, but―

(a) unless the court otherwise directs, they do not affect a right or duty existing under the Criminal Procedure Rules 2013 ; and

(b) unless the High Court otherwise directs, Section 3 of Part 17 (Extradition – appeal to the High Court) does not apply to a case in which notice of an appeal was given before that date.

(4) In a case in which a request for extradition was received by a relevant authority in the United Kingdom on or before 31 st December, 2003―

(a) the rules in Part 17 (Extradition) do not apply; and

(b) the rules in Part 17 of the Criminal Procedure Rules 2012 continue to apply as if those rules had not been revoked.

[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.

The rules in Part 17 of the Criminal Procedure Rules 2012 applied to extradition proceedings under the Backing of Warrants (Republic of Ireland) Act 1965 or under the Extradition Act 1989 . By section 218 of the Extradition Act 2003, the 1965 and 1989 Acts ceased to have effect when the 2003 Act came into force. By article 2 of the Extradition Act 2003 (Commencement and Savings) Order 2003 , the 2003 Act came into force on 1 st January, 2004. However, article 3 of that Order provided that the coming into force of the Act did not apply for the purposes of any request for extradition, whether made under any of the provisions of the Extradition Act 1989 or of the Backing of Warrants (Republic of Ireland) Act 1965 or otherwise, which was received by the relevant authority in the United Kingdom on or before 31 st December, 2003.]

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 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 ; 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 corporation is a defendant;

(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) A member, officer or employee of a prosecutor may, on the 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.

Sections 3 and 6 of the Prosecution of Offences Act 1985 make provision about the institution of prosecutions.

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 When this Part applies

(1) Rules 3.1 to 3.12 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 3.13 to 3.26 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.

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

A magistrates’ court may send a defendant for trial in the Crown Court under section 51 or 51A of the Crime and Disorder Act 1998 . See Part 9 for the procedure on allocation and sending for trial.

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 12 for the rules about that procedure and Part 14 for the rules about indictments.

The procedure for applying for the permission of a High Court judge to serve a draft indictment is in rules 6 to 10 of the Indictments (Procedure) Rules 1971 . See also the Practice Direction.

The Court of Appeal may order a retrial under section 8 of the Criminal Appeal Act 1968 (on a defendant’s appeal against conviction) or under section 77 of the Criminal Justice Act 2003 (on a prosecutor’s application for the retrial of a serious offence after acquittal). Section 8 of the 1968 Act, and rules 41.14 and 41.15, require the arraignment of a defendant within 2 months.]

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 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.

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 3.9 (Case preparation and progression).

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;

(b) 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 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.

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 in doubt that the condition in paragraph (1)(a) is satisfied.

Section 3.8 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 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.

Section 3.9 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 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 impediment.

(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 impediment, 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;

(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 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.

[Note. Part 29 (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 .

See also Directive 2010/64/EU of the European Parliament and of the Council of 20 th October, 2010, on the right to interpretation and translation in criminal proceedings .

Where a trial in the Crown Court will take place in Wales and a participant wishes to use the Welsh language, see rule 3.26. Where a trial in a magistrates’ court will take place in Wales, a participant may use the Welsh language: see rule 37.13.]

Section 3.10 Readiness for trial or appeal

(1) This rule applies to a party’s preparation for trial or appeal, and in this rule and rule 3.11 ‘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.

Section 3.11 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 (The court’s case management powers) and 3.9 (Case preparation and progression).]

Section 3.12 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).

Section 3.13 Pre-trial hearings: general rules

(1) The Crown Court―

(a) may, and in some cases must, conduct a preparatory hearing where rule 3.14 applies;

(b) must conduct a plea and case management hearing unless the circumstances make that unnecessary;

(c) may conduct any other pre-trial hearing where―

(i) the court anticipates a guilty plea, or

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

(2) A pre-trial 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).

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

[Note. See also the general rules in the first section of this Part (rules 3.1 to 3.12) and the other rules in this section.

The Practice Direction lists the circumstances in which the Crown Court should conduct a plea and case management hearing.

There are rules relevant to applications which may be made at a pre-trial hearing in Part 16 (Reporting, etc. restrictions), Part 19 (Bail and custody time limits), Part 22 (Disclosure), Part 28 (Witness summonses, warrants and orders), Part 29 (Measures to assist a witness or defendant to give evidence), Part 33 (Expert evidence), Part 34 (Hearsay evidence), Part 35 (Evidence of bad character) and Part 36 (Evidence of a complainant’s previous sexual behaviour).

On an application to which Part 19 (Bail and custody time limits) applies, rule 19.2 (exercise of court’s powers under that Part) may require the defendant’s presence, which may be by live link. Where rule 19.10 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 , 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.]

Section 3.14 Preparatory hearing

(1) This rule applies where the Crown Court―

(a) can order a preparatory hearing, under―

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

(ii) section 29 of the Criminal Procedure and Investigations Act 1996 (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 (danger of jury tampering), or

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

(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;

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

(i) applied for the order, or

(ii) has had at least 14 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 , and under section 34 of the 1996 Act , 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.]

Section 3.15 Application for preparatory hearing

(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 14 days after the defendant pleads not guilty;

(b) serve the application on—

(i) the court officer, and

(ii) each other party.

(2) The applicant must—

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

(b) otherwise, 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.

Section 3.16 Application for non-jury trial containing information withheld from a defendant

(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.

Section 3.17 Representations in response to application for preparatory hearing

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

(a) an application for a preparatory hearing;

(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 14 days after service of the application;

(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.

Section 3.18 Commencement of preparatory hearing

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 3.24 (Arraigning the defendant on the indictment), unless already done.

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

Section 3.19 Defence trial advocate

(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 case management hearing;

(b) in writing, or orally at the plea and case management 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.

Section 3.20 Application to stay case for abuse of process

(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 14 days after service of the application.

Section 3.21 Application for joint or separate trials, etc.

(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 14 days after service of the application.

[Note. See section 5 of the Indictments Act 1915. Rule 14.2 governs the form and content of an indictment.]

Section 3.22 Order for joint or separate trials, or amendment of the indictment

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

(a) on an application under rule 3.21 applies (Application for joint or separate trials, etc.); 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.

Section 3.23 Application for indication of sentence

(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,

(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;

(b) must be attended by—

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

(ii) the prosecution advocate.

Section 3.24 Arraigning the defendant on the indictment

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

(a) ensure that the defendant is correctly identified by the indictment;

(b) in respect of each count in the indictment—

(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 the indictment—

(a) if the defendant declines to enter a plea, the court must treat that as a not guilty plea unless rule 38.11 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;

(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.

[Note. See section 6 of the Criminal Law Act 1967 and section 122 of the Criminal Justice Act 1988 .

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.]

Section 3.25 Place of trial

(1) Unless the court otherwise directs, the court officer must arrange for the 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 and section 14 of the Juries Act 1974 .

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

Section 3.26 Use of Welsh language at trial

Where the 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 case management hearing (if there is one), or

(ii) if there is no such hearing, then 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 the hearing.

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

Other provisions affecting case management

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

Criminal Procedure Rules

Part 9: allocation and sending for trial

Part 10: initial details of the prosecution case

Part 14: the indictment

Part 22: disclosure

Parts 27 – 36: the rules that deal with evidence

Part 37: trial and sentence in a magistrates’ court

Part 38: trial and sentence in the Crown Court

Regulations

The Prosecution of Offences (Custody Time Limits) Regulations 1987

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

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

Acts of Parliament

Sections 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

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

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

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

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

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

Section 4.1 When this Part applies

(1) The rules in this Part apply—

(a) to the service of every document in a case to which these Rules apply; and

(b) for the purposes of section 12 of the Road Traffic Offenders Act 1988 , to the service of a requirement to which that section applies.

(2) The rules apply subject to any special rules in other legislation (including other Parts of these Rules) or in the Practice Direction.

[Note. Section 12 of the Road Traffic Offenders Act 1988 allows the court to accept the documents to which it refers as evidence of a driver’s identity where a requirement to state that identity has been served under section 172 of the Road Traffic Act 1988 or under section 112 of the Road Traffic Regulation Act 1984 . ]

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 must 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.

(3) In this rule, ‘the relevant court office’ means—

(a) in relation to a case in a magistrates’ court or in the Crown Court, the office at which that court’s business is administered by court staff;

(b) in relation to an extradition appeal case in the High Court, the Administrative Court Office of the Queen’s Bench Division of the High Court.

[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.

(3) In this rule, ‘the relevant court office’ means—

(a) in relation to a case in a magistrates’ court or in the Crown Court, the office at which that court’s business is administered by court staff;

(b) in relation to an extradition appeal case in the High Court, the Administrative Court 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).

(4) For the purposes of section 12 of the Road Traffic Offenders Act 1988 , a notice of a requirement under section 172 of the Road Traffic Act 1988 or under section 112 of the Road Traffic Regulation Act 1984 to identify the driver of a vehicle may be served—

(a) on an individual, only by post under rule 4.4(1) and (2)(a);

(b) on a corporation, only by post under rule 4.4(1) and (2)(b).

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 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, ‘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 must be used in connection with the rules to which they apply, in accordance with those Directions.

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;

(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; and

(n) where interpretation is required for a defendant, any agreement by that defendant to do without the written translation of a document.

(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 the circumstances for which it provides, 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 .

For agreement to do without a written translation in a case in which the defendant requires interpretation, see rule 3.9(5).]

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 .]