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The Criminal Procedure Rules 2015

Type Statutory-Instrument

Publication 2015-07-03

Last updated 2020-10-05

State In force

Department King's Printer of Acts of Parliament

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Made: 3rd July 2015

Laid before Parliament: 20th July 2015

Coming into force: 5th October 2015

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PART 1 — THE OVERRIDING OBJECTIVE

Contents of this Part

The overriding objective	rule 1.1
The duty of the participants in a criminal case	rule 1.2
The application by the court of the overriding objective	rule 1.3

The overriding objective

1.1

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

(2) Dealing with a criminal case justly includes―

(a) acquitting the innocent and convicting the guilty;

(b) 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.

The duty of the participants in a criminal case

1.2

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

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

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

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

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

The application by the court of the overriding objective

1.3

The court must further the overriding objective in particular when―

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

(b) applying any practice direction; or

PART 2 — UNDERSTANDING AND APPLYING THE RULES

Contents of this Part

When the Rules apply	rule 2.1
Definitions	rule 2.2
References to Acts of Parliament and to Statutory Instruments	rule 2.3

When the Rules apply

2.1

(1) In general, Criminal Procedure Rules apply―

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

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

(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 5th October, 2015, but―

(a) unless the court otherwise directs, they do not affect a right or duty existing under the Criminal Procedure Rules 2014[^f00029]; and

(b) unless the High Court otherwise directs, Section 3 of Part 50 (Extradition – appeal to the High Court) does not apply to a case in which notice of an appeal was given before 6th October, 2014.

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

(a) the rules in Part 50 (Extradition) do not apply; and

(b) the rules in Part 17 of the Criminal Procedure Rules 2012[^f00030] (Extradition) 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[^f00031]) were revoked when those Rules came into force by provisions of the Courts Act 2003, the Courts Act 2003 (Consequential Amendments) Order 2004[^f00032]and the Courts Act 2003 (Commencement No. 6 and Savings) Order 2004[^f00033]. The first Criminal Procedure Rules reproduced the substance of all the rules they replaced.

Definitions

2.2

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

‘advocate’ means a person who is entitled to exercise a right of audience in the court under section 13 of the Legal Services Act 2007[^f00038];

‘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;

‘legal representative’ means: the person for the time being named as a party’s representative in any legal aid representation order made under section 16 of the Legal Aid, Sentencing and Punishment of Offenders Act 2012[^f00039], or subject to that, the person named as a party’s representative in any notice for the time being given under rule 46.2 (Notice of appointment or change of legal representative), provided that person is entitled to conduct litigation in the court under section 13 of the Legal Services Act 2007;

‘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[^f00040]; 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.]

References to legislation, including these Rules

2.3

(1) In these Rules, where a rule refers to an Act of Parliament or to subordinate legislation by title and year, subsequent references to that Act or to that legislation in the rule are shortened: so, for example, after a reference to the Criminal Procedure and Investigations Act 1996[^f00041] 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[^f00042] those Regulations are called ‘the 2011 Regulations’.

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

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

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

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

PART 3 — CASE MANAGEMENT

Contents of this Part

General rules
When this Part applies	rule 3.1
The duty of the court	rule 3.2
The duty of the parties	rule 3.3
Case progression officers and their duties	rule 3.4
The court's case management powers	rule 3.5
Application to vary a direction	rule 3.6
Agreement to vary a time limit fixed by a direction	rule 3.7
Court's power to vary requirements under this Part	rule 3.8
Case preparation and progression	rule 3.9
Readiness for trial or appeal	rule 3.10
Conduct of a trial or an appeal	rule 3.11
Duty of court officer	rule 3.12

Preparation for trial in the Crown Court
Pre-trial hearings	rule 3.13
Preparatory hearing	rule 3.14
Application for preparatory hearing	rule 3.15
Application for non-jury trial containing information withheld from a defendant	rule 3.16
Representations in response to application for preparatory hearing	rule 3.17
Commencement of preparatory hearing	rule 3.18
Defence trial advocate	rule 3.19
Application to stay case for abuse of process	rule 3.20
Application for joint or separate trials, etc.	rule 3.21
Order for joint or separate trials, or amendment of the indictment	rule 3.22
Application for indication of sentence	rule 3.23
Arraigning the defendant on the indictment	rule 3.24
Place of trial	rule 3.25
Use of Welsh language at trial	rule 3.26

GENERAL RULES

When this Part applies

3.1

(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

[Note. Rules that apply to procedure in the Court of Appeal are in Parts 36 to 42 of these Rules.

The duty of the court

3.2

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

(2) Active case management includes―

(a) the early identification of the real issues;

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

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

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

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

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

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

(h) making use of technology.

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

The duty of the parties

3.3

(1) Each party must―

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

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

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

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

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

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

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

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

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

(d) reporting on that communication to the court―

(i) at the first hearing, and

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

Case progression officers and their duties

3.4

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

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

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

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

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

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

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

(4) A case progression officer must―

(a) monitor compliance with directions;

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

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

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

The court's case management powers

3.5

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

(2) In particular, the court may―

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

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

(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

[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.

Application to vary a direction

3.6

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

(a) the court gave it without a hearing;

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

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

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

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

Agreement to vary a time limit fixed by a direction

3.7

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

(a) the variation will not―

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

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

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

(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.

Court's power to vary requirements under this Part

3.8

(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.

Case preparation and progression

3.9

(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.

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

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

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

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

(ii) directions about the manner of questioning,

(iii) directions about the duration of questioning,

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

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

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

[Note. Part 18 (Measures to assist a witness or defendant to give evidence) contains rules about an application for a defendant’s evidence direction under (among other provisions) sections 33BA and 33BB of the Youth Justice and Criminal Evidence Act 1999[^f00056].

Readiness for trial or appeal

3.10

(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;

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

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

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

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

Conduct of a trial or an appeal

3.11

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;

(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).]

Duty of court officer

3.12

The court officer must—

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

(i) that person, and

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

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

[Note. See also rule 5.7 (Supply to a party of information or documents from records or case materials).]

PREPARATION FOR TRIAL IN THE CROWN COURT

Pre-trial hearings: general rules

3.13

(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 trial preparation hearing;

(i) the court anticipates a guilty plea,

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

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

(2) A pre-trial case management hearing―

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

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

(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.

Preparatory hearing

3.14

(1) This rule applies where the Crown Court―

(a) can order a preparatory hearing, under―

(i) section 7 of the Criminal Justice Act 1987[^f00059] (cases of serious or complex fraud), or

(ii) section 29 of the Criminal Procedure and Investigations Act 1996[^f00060] (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[^f00061] (danger of jury tampering), or

(ii) section 17 of the Domestic Violence, Crime and Victims Act 2004[^f00062] (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;

(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.

Application for preparatory hearing

3.15

(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.

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

3.16

(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

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

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

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

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

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

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

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

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

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

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

(b) the court may direct other arrangements.

Representations in response to application for preparatory hearing

3.17

(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;

(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

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

Commencement of preparatory hearing

3.18

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[^f00065]and section 30 of the Criminal Procedure and Investigations Act 1996[^f00066].]

Defence trial advocate

3.19

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

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

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

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

Application to stay case for abuse of process

3.20

(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

(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.

Application for joint or separate trials, etc.

3.21

(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;

(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

(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 10.2 governs the form and content of an indictment.]

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

3.22

(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.

Application for indication of sentence

3.23

(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.

Arraigning the defendant on the indictment

3.24

(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 25.11 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;

(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[^f00067]and section 122 of the Criminal Justice Act 1988[^f00068]. Part 10 contains rules about indictments.

Place of trial

3.25

(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[^f00069]and section 14 of the Juries Act 1974[^f00070].

Use of Welsh language at trial

3.26

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 trial preparation hearing, or

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

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

[Note. See section 22 of the Welsh Language Act 1993[^f00071].]

PART 4 — SERVICE OF DOCUMENTS

Contents of this Part

When this Part applies	rule 4.1
Methods of service	rule 4.2
Service by handing over a document	rule 4.3
Service by leaving or posting a document	rule 4.4
Service by document exchange	rule 4.5
Service by electronic means	rule 4.6
Documents that must be served by specified methods	rule 4.7
Service by person in custody	rule 4.8
Service by another method	rule 4.9
Documents that may not be served on a legal representative	rule 4.10
Date of service	rule 4.11
Proof of service	rule 4.12
Court's power to give directions about service	rule 4.13

When this Part applies

4.1

(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[^f00084], 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[^f00085]or under section 112 of the Road Traffic Regulation Act 1984[^f00086].]

Methods of service

4.2

(1) A document may be served by any of the methods described in rules 4.3 to 4.6 (subject to rules 4.7 and 4.10), or in rule 4.8.

(2) Where a document may be served by electronic means under rule 4.6, the general rule is that the person serving it must use that method.

Service by handing over a document

4.3

(1) A document may be served on—

(a) an individual by handing it to him or her;

(b) a corporation by handing it to a person holding a senior position in that corporation;

(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) Unless the court otherwise directs, for the purposes of paragraph (1)(c) or (d) (service by handing a document to a party’s representative) ‘representative’ includes an advocate appearing for that party at a hearing.

(4) 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[^f00087].]

Service by leaving or posting a document

4.4

(1) A document may be served by addressing it to the person to be served and leaving it at the appropriate address for service under this rule, or by sending it to that address by first class post or by the equivalent of first class post.

(2) The address for service under this rule on—

(a) an individual is an address where it is reasonably believed that he or she will receive it;

(b) a corporation is its principal office, and if there is no readily identifiable principal office then any place where it carries on its activities or business;

(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[^f00088](service of summons, etc. in Scotland and Northern Ireland);

(b) section 1139(4) of the Companies Act 2006[^f00089](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[^f00090](service of summons, etc. outside the United Kingdom) and rules 49.1 and 49.2; and

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

Service by document exchange

4.5

(1) This rule applies where—

(a) the person to be served—

(i) has given a document exchange (DX) box number, and

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

(b) the person to be served is legally represented in the case and the legal representative has given a DX box number.

(2) A document may be served by—

(a) addressing it to that person or legal representative, as appropriate, at that DX box number; and

(b) leaving it at—

(i) the document exchange at which the addressee has that DX box number, or

(ii) a document exchange at which the person serving it has a DX box number.

Service by electronic means

4.6

(1) This rule applies where—

(a) the person to be served—

(i) has given an electronic address and has not refused to accept service at that address, or

(ii) is given access to an electronic address at which a document may be deposited and has not refused to accept service by the deposit of a document at that address; or

(b) the person to be served is legally represented in the case and the legal representative—

(i) has given an electronic address, or

(ii) is given access to an electronic address at which a document may be deposited.

(2) A document may be served—

(a) by sending it by electronic means to the address which the recipient has given; or

(b) by depositing it at an address to which the recipient has been given access and—

(i) in every case, making it possible for the recipient to read the document, or view or listen to its content, as the case may be,

(ii) unless the court otherwise directs, making it possible for the recipient to make and keep an electronic copy of the document, and

(iii) notifying the recipient of the deposit of the document (which notice may be given by electronic means).

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

Documents that must be served by specified methods

4.7

(1) An application or written statement, and notice, under rule 48.9 alleging contempt of court may be served—

(a) on an individual, only under rule 4.3(1)(a) (by handing it to him or her);

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

(2) For the purposes of section 12 of the Road Traffic Offenders Act 1988[^f00091], a notice of a requirement under section 172 of the Road Traffic Act 1988[^f00092] or under section 112 of the Road Traffic Regulation Act 1984[^f00093] 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).

Service by person in custody

4.8

(1) A person in custody may serve a document by handing it to the custodian addressed to the person to be served.

(2) The custodian must—

(a) endorse it with the time and date of receipt;

(b) record its receipt; and

Service by another method

4.9

(1) The court may allow service of a document by a method—

(a) other than those described in rules 4.3 to 4.6 and in rule 4.8;

(b) other than one specified by rule 4.7, where that rule applies.

(2) An order allowing service by another method must specify—

(a) the method to be used; and

(b) the date on which the document will be served.

Documents that may not be served on a legal representative

4.10

Unless the court otherwise directs, service on a party’s legal representative of any of the following documents is not service of that document on that party—

(a) a summons, requisition, single justice procedure notice or witness summons;

(b) notice of an order under section 25 of the Road Traffic Offenders Act 1988[^f00094];

(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[^f00096];

(e) notice under section 86 of that Act[^f00097] of a revised date to attend a means inquiry;

(f) any notice or document served under Part 14 (Bail and custody time limits);

(g) notice under rule 24.16(a) of when and where an adjourned hearing will resume;

(h) notice under rule 28.5(3) of an application to vary or discharge a compensation order;

(i) notice under rule 28.10(2)(c) of the location of the sentencing or enforcing court;

(j) a collection order, or notice requiring payment, served under rule 30.2(a); or

(k) an application or written statement, and notice, under rule 48.9 alleging contempt of court.

Date of service

4.11

(1) A document served under rule 4.3 or rule 4.8 is served on the day it is handed over.

(2) Unless something different is shown, a document served on a person by any other method is served—

(a) in the case of a document left at an address, on the next business day after the day on which it was left;

(b) in the case of a document sent by first class post or by the equivalent of first class post, on the second business day after the day on which it was posted or despatched;

(c) in the case of a document served by document exchange, on the second business day after the day on which it was left at a document exchange allowed by rule 4.5;

(d) in the case of a document served by electronic means—

(i) on the day on which it is sent under rule 4.6(2)(a), if that day is a business day and if it is sent by no later than 2.30pm that day,

(ii) on the day on which notice of its deposit is given under rule 4.6(2)(b), if that day is a business day and if that notice is given by no later than 2.30pm that day, or

(iii) otherwise, on the next business day after it was sent or such notice was given; and

(e) in any case, on the day on which the addressee responds to it, if that is earlier.

(3) Unless something different is shown, a document produced by a computer system for dispatch by post is to be taken as having been sent by first class post, or by the equivalent of first class post, to the addressee on the business day after the day on which it was produced.

(4) Where a document is served on or by the court officer, ‘business day’ does not include a day on which the court office is closed.

Proof of service

4.12

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

Court's power to give directions about service

4.13

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

(a) served under rule 4.3 (Service by handing over a document) or rule 4.8 (Service by person in custody); or

(b) sent or deposited by electronic means, if it is served under rule 4.6.

(2) The court may treat a document as served if the addressee responds to it even if it was not served in accordance with the rules in this Part.

PART 5 — FORMS AND COURT RECORDS

Contents of this Part

Forms
Applications, etc. by forms or electronic means	rule 5.1
Forms in Welsh	rule 5.2
Signature of forms	rule 5.3

Court records
Duty to make records	rule 5.4
Recording and transcription of proceedings in the Crown Court	rule 5.5
Custody of case materials	rule 5.6
Supply to a party of information or documents from records or case materials	rule 5.7
Supply to the public, including reporters, of information about cases	rule 5.8
Supply of written certificate or extract from records	rule 5.9

FORMS

Applications, etc. by forms or electronic means

5.1

(1) This rule applies where a rule, a practice direction or the court requires a person to—

(a) make an application or give a notice;

(b) supply information for the purposes of case management by the court; or

(2) Unless the court otherwise directs, such a person must—

(a) use such electronic arrangements as the court officer may make for that purpose, in accordance with those arrangements; or

(b) if no such arrangements have been made, use the appropriate form set out in the Practice Direction or the Criminal Costs Practice Direction, in accordance with those Directions.

Forms in Welsh

5.2

(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)

; and

(b) the court officer, or the person who served the form, must, on request, supply the corresponding form in the other language to the person served.

Signature of forms

5.3

(1) This rule applies where a form provides for its signature.

(2) Unless other legislation otherwise requires, or the court otherwise directs, signature may be by any written or electronic authentication of the form by, or with the authority of, the signatory.

[Note. Section 7 of the Electronic Communications Act 2000[^f00098]provides for the use of an electronic signature in an electronic communication.]

COURT RECORDS

Duty to make records

5.4

(1) For each case, as appropriate, the court officer must record, by such means as the Lord Chancellor directs—

(a) each charge or indictment against the defendant;

(b) the defendant’s plea to each charge or count;

(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 record;

(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

[Note. For the duty to keep court records, see sections 5 and 8 of the Public Records Act 1958[^f00099].

Recording and transcription of proceedings in the Crown Court

5.5

(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 36 applies (Appeal to the Court of Appeal: general rules), or

(ii) orally or in writing to the Crown Court officer;

(b) explain the reasons for the request; and

(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[^f00107].]

Custody of case materials

5.6

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 34 (Appeal to the Crown Court) and Part 36 (Appeal to the Court of Appeal: general rules) about keeping exhibits pending any appeal.

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

5.7

(1) This rule applies where—

(a) 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); or

(b) a person affected by an order made, or warrant issued, by the court wants such information or such a copy.

(2) Such a party or person must—

(a) apply to the court officer;

(b) specify the information or document required; and

(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 or person—

(a) a copy of any document served by, or on, that party or person (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 or person in the first place,

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

(iii) information about the outcome of the case.

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

(6) Where the information requested is about the grounds on which an order was made, or a warrant was issued, in the absence of the party or person applying for that information—

(a) that party or person must also serve the request on the person who applied for the order or warrant;

(b) if the person who applied for the order or warrant objects to the supply of the information requested, that objector must—

(i) give notice of the objection not more than 14 days after service of the request (or within any longer period allowed by the court),

(ii) serve that notice on the court officer and on the party or person requesting the information, and

(iii) if the objector wants a hearing, explain why one is needed;

(c) the court may determine the application for information at a hearing (which must be in private unless the court otherwise directs), or without a hearing;

(d) the court must not permit the information requested to be supplied unless the person who applied for the order or warrant has had at least 14 days (or any longer period allowed by the court) in which to make representations.

(7) A notice of objection under paragraph (6) must explain—

(a) whether the objection is to the supply of any part of the information requested, or only to the supply of a specified part, or parts, of it;

(b) whether the objection is to the supply of the information at any time, or only to its supply before a date or event specified by the objector; and

(8) Where a notice of objection under paragraph (6) includes material that the objector thinks ought not be revealed to the party or person applying for information, the objector must—

(a) omit that material from the notice served on that party or person;

(b) mark the material to show that it is only for the court; and

(9) Where paragraph (8) applies—

(a) a hearing of the application may take place, wholly or in part, in the absence of the party or person applying for information;

(b) at any such hearing, the general rule is that the court must consider, in the following sequence—

(i) representations first by the party or person applying for information and then by the objector, in the presence of both, and then

(ii) further representations by the objector, in the absence of that party or person

but the court may direct other arrangements for the hearing.

Supply to the public, including reporters, of information about cases

5.8

(1) This rule—

(a) applies where a member of the public, including a reporter, wants information about a case from the court officer;

(b) requires the court officer to publish information about cases due to be heard.

(2) A person who wants information about a case from the court officer must—

(a) apply to the court officer;

(b) specify the information requested; and

(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 must 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;

(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 must—

(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.

(9) The court officer must publish the information listed in paragraph (11) if—

(a) the information is available to the court officer;

(b) the hearing to which the information relates is due to take place in public; and

(10) The court officer must publish that information—

(a) by notice displayed somewhere prominent in the vicinity of the court room in which the hearing is due to take place;

(b) by such other arrangements as the Lord Chancellor directs, including arrangements for publication by electronic means; and

(11) The information that paragraph (9) requires the court officer to publish is—

(a) the date, time and place of the hearing;

(b) the identity of the defendant; and

(i) the type of hearing,

(ii) the identity of the court,

(iii) the offence or offences alleged, and

(iv) whether any reporting restriction applies.

[Note. Rule 5.8(4) requires the court officer to supply on request the information to which that paragraph refers. On an application for other information about a case, rule 5.8(3)(b), (7) and (8) apply and the court’s decision on such an application may be affected by—

(a) any reporting restriction imposed by legislation or by the court (Part 6 lists the reporting restrictions that might apply);

(b) Articles 6, 8 and 10 of the European Convention on Human Rights, 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;

(c) the Rehabilitation of Offenders Act 1974[^f00108](section 5 of the Act[^f00109]lists sentences and rehabilitation periods);

(d) section 18 of the Criminal Procedure and Investigations Act 1996[^f00110], which affects the supply of information about material, other than evidence, disclosed by the prosecutor;

(e) the Data Protection Act 1998[^f00111](sections 34 and 35 of the Act contain relevant exemptions from prohibitions against disclosure that usually apply); and

(f) sections 33, 34 and 35 of the Legal Aid, Sentencing and Punishment of Offenders Act 2012[^f00112], which affect the supply of information about applications for legal aid.]

Supply of written certificate or extract from records

5.9

(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;

(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[^f00113], 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.

PART 6 — REPORTING, ETC. RESTRICTIONS

Contents of this Part

General rules
When this Part applies	rule 6.1
Exercise of court's powers to which this Part applies	rule 6.2
Court's power to vary requirements under this Part	rule 6.3

Reporting and access restrictions
Reporting and access restrictions	rule 6.4
Varying or removing restrictions	rule 6.5
Trial in private	rule 6.6
Representations in response	rule 6.7
Order about restriction or trial in private	rule 6.8

Sound recording and electronic communication
Sound recording and electronic communication	rule 6.9
Forfeiture of unauthorised sound recording	rule 6.10

GENERAL RULES

When this Part applies

6.1

(1) This Part applies where the court can—

(a) impose a restriction on—

(i) reporting what takes place at a public hearing, or

(ii) public access to what otherwise would be a public hearing;

(b) vary or remove a reporting or access restriction that is imposed by legislation;

(d) order a trial in private;

(e) allow there to take place during a hearing—

(i) sound recording, or

(ii) communication by electronic means.

(2) This Part does not apply to arrangements required by legislation, or directed by the court, in connection with—

(a) sound recording during a hearing, or the transcription of such a recording; or

(b) measures to assist a witness or defendant to give evidence.

[Note. The court can impose reporting restrictions under—

(a) section 4(2) of the Contempt of Court Act 1981[^f00116](postponed report of public hearing);

(b) section 11 of the Contempt of Court Act 1981 (matter withheld from the public during a public hearing);

(c) section 58 of the Criminal Procedure and Investigations Act 1996[^f00117](postponed report of derogatory assertion in mitigation);

(d) section 45 of the Youth Justice and Criminal Evidence Act 1999[^f00118](identity of a person under 18);

(e) section 45A of the Youth Justice and Criminal Evidence Act 1999[^f00119](identity of a witness or victim under 18);

(f) section 46 of the Youth Justice and Criminal Evidence Act 1999[^f00120](identity of a vulnerable adult witness);

(g) section 82 of the Criminal Justice Act 2003[^f00121](order for retrial after acquittal); or

(h) section 75 of the Serious Organised Crime and Police Act 2005[^f00122](identity of a defendant who assisted the police).

Exercise of court's powers to which this Part applies

6.2

(1) When exercising a power to which this Part applies, as well as furthering the overriding objective, in accordance with rule 1.3, the court must have regard to the importance of—

(a) dealing with criminal cases in public; and

(b) allowing a public hearing to be reported to the public.

(2) The court may determine an application or appeal under this Part—

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

(b) without a hearing.

(3) But the court must not exercise a power to which this Part applies unless each party and any other person directly affected—

(a) is present; or

(b) has had an opportunity—

(i) to attend, or

(ii) to make representations.

[Note. See also section 121 of the Magistrates’ Courts Act 1980[^f00146]and rule 24.2 (general rules about trial and sentence in a magistrates’ court).]

Court's power to vary requirements under this Part

6.3

(1) The court may—

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

(b) require an application to be made in writing instead of orally;

(d) dispense with a requirement to—

(i) give notice, or

(ii) serve a written application.

(2) Someone who wants an extension of time must—

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

(b) explain the delay.

REPORTING AND ACCESS RESTRICTIONS

Reporting and access restrictions

6.4

(1) This rule applies where the court can—

(a) impose a restriction on—

(i) reporting what takes place at a public hearing, or

(ii) public access to what otherwise would be a public hearing;

(b) withhold information from the public during a public hearing.

(2) Unless other legislation otherwise provides, the court may do so—

(a) on application by a party; or

(b) on its own initiative.

(3) A party who wants the court to do so must—

(a) apply as soon as reasonably practicable;

(b) notify—

(i) each other party, and

(ii) such other person (if any) as the court directs;

(d) explain—

(i) what power the court has to make the order, and

(ii) why an order in the terms proposed is necessary;

(e) where the application is for a reporting direction under section 45A of the Youth Justice and Criminal Evidence Act 1999[^f00147] (Power to restrict reporting of criminal proceedings for lifetime of witnesses and victims under 18), explain—

(i) how the circumstances of the person whose identity is concerned meet the conditions prescribed by that section, having regard to the factors which that section lists; and

(ii) why such a reporting direction would be likely to improve the quality of any evidence given by that person, or the level of co-operation given by that person to any party in connection with the preparation of that party’s case, taking into account the factors listed in that section;

(f) where the application is for a reporting direction under section 46 of the Youth Justice and Criminal Evidence Act 1999[^f00148] (Power to restrict reports about certain adult witnesses in criminal proceedings), explain—

(i) how the witness is eligible for assistance, having regard to the factors listed in that section, and

(ii) why such a reporting direction would be likely to improve the quality of the witness’ evidence, or the level of co-operation given by the witness to the applicant in connection with the preparation of the applicant’s case, taking into account the factors which that section lists.

[Note. Under section 45A(10) or section 46(9) of the Youth Justice and Criminal Evidence Act 1999, if the conditions prescribed by those sections are met the court may make an excepting direction dispensing, to any extent specified, with the restrictions imposed by a reporting direction made under those sections.]

Varying or removing restrictions

6.5

(1) This rule applies where the court can vary or remove a reporting or access restriction.

(2) Unless other legislation otherwise provides, the court may do so—

(a) on application by a party or person directly affected; or

(b) on its own initiative.

(3) A party or person who wants the court to do so must—

(a) apply as soon as reasonably practicable;

(b) notify—

(i) each other party, and

(ii) such other person (if any) as the court directs;

(d) explain, as appropriate, why it should be varied or removed.

(4) A person who wants to appeal to the Crown Court under section 141F of the Education Act 2002[^f00149] must—

(a) serve an appeal notice on—

(i) the Crown Court officer, and

(ii) each other party;

(b) serve on the Crown Court officer, with the appeal notice, a copy of the application to the magistrates’ court;

(c) serve the appeal notice not more than 21 days after the magistrates’ court’s decision against which the appellant wants to appeal; and

(d) in the appeal notice, explain, as appropriate, why the restriction should be maintained, varied or removed.

(5) Rule 34.11 (Constitution of the Crown Court) applies on such an appeal.

[Note. Under section 141F(7) of the Education Act 2002, a party to an application to a magistrates’ court to remove the statutory restriction on reporting an alleged offence by a teacher may appeal to the Crown Court against the decision of the magistrates’ court. With the Crown Court’s permission, any other person may appeal against such a decision.]

Trial in private

6.6

(1) This rule applies where the court can order a trial in private.

(2) A party who wants the court to do so must—

(a) apply in writing not less than 5 business days before the trial is due to begin; and

(b) serve the application on—

(i) the court officer, and

(ii) each other party.

(3) The applicant must explain—

(a) the reasons for the application;

(b) how much of the trial the applicant proposes should be in private; and

(i) reporting restrictions,

(ii) an admission of facts,

(iii) the introduction of hearsay evidence,

(iv) a direction for a special measure under section 19 of the Youth Justice and Criminal Evidence Act 1999,

(v) a witness anonymity order under section 86 of the Coroners and Justice Act 2009, or

(vi) arrangements for the protection of a witness.

(4) Where the application includes information that the applicant thinks ought not be revealed to another party, the applicant must—

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

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

(5) The court officer must at once—

(a) display notice of the application somewhere prominent in the vicinity of the courtroom; and

(b) give notice of the application to reporters by such other arrangements as the Lord Chancellor directs.

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