Legislation – The Criminal Procedure Rules 2020
PART 9ALLOCATION AND SENDING FOR TRIAL
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Contents of this Part |
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General rules |
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When this Part applies |
rule 9.1 |
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Exercise of magistrates’ court’s powers |
rule 9.2 |
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Matters to be specified on sending for trial |
rule 9.3 |
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Duty of justices’ legal adviser |
rule 9.4 |
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Duty of magistrates’ court officer |
rule 9.5 |
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Sending without allocation for Crown Court trial |
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Prosecutor’s notice requiring Crown Court trial |
rule 9.6 |
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Sending for Crown Court trial |
rule 9.7 |
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Allocation for magistrates’ court or Crown Court trial |
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Adult defendant: request for plea |
rule 9.8 |
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Adult defendant: guilty plea |
rule 9.9 |
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Adult defendant: not guilty plea |
rule 9.10 |
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Adult defendant: allocation for magistrates’ court trial |
rule 9.11 |
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Adult defendant: prosecutor’s application for Crown Court trial |
rule 9.12 |
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Young defendant |
rule 9.13 |
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Allocation and sending for Crown Court trial |
rule 9.14 |
GENERAL RULES
When this Part applies9.1.
(1)
This Part applies to the allocation and sending of cases for trial under—
(a)
(b)
(2)
Rules 9.6 and 9.7 apply in a magistrates’ court where the court must, or can, send a defendant to the Crown Court for trial, without allocating the case for trial there.
(3)
Rules 9.8 to 9.14 apply in a magistrates’ court where the court must allocate the case to a magistrates’ court or to the Crown Court for trial.
The exercise of the court’s powers is affected by—
(a)
(b)
(c)
whether the defendant is awaiting Crown Court trial for another offence;
(d)
whether another defendant, charged with the same offence, is awaiting Crown Court trial for that offence; and
(e)
in some cases (destroying or damaging property; aggravated vehicle taking), whether the value involved is more or less than £5,000.
Exercise of magistrates’ court’s powers9.2.
(1)
This rule applies to the exercise of the powers to which rules 9.6 to 9.14 apply.
(2)
The general rule is that the court must exercise its powers at a hearing in public, but it may exercise any power it has to—
(a)
withhold information from the public; or
(b)
order a hearing in private.
(3)
The general rule is that the court must exercise its powers in the defendant’s presence, but it may exercise the powers to which the following rules apply in the defendant’s absence on the conditions specified—
(a)
where rule 9.8 (Adult defendant: request for plea), rule 9.9 (Adult defendant: guilty plea) or rule 9.13 (Young defendant) applies, if—
(i)
the defendant is represented, and
(ii)
the defendant’s disorderly conduct makes his or her presence in the courtroom impracticable; and
(b)
where rule 9.10 (Adult defendant: not guilty plea) or rule 9.11 (Adult defendant: allocation for magistrates’ court trial) applies, if—
(i)
the defendant is represented and waives the right to be present, or
(ii)
the defendant’s disorderly conduct makes his or her presence in the courtroom impracticable.
(4)
The court may exercise its power to adjourn—
(a)
if either party asks; or
(b)
on its own initiative.
(5)
Where the court on the same occasion deals with two or more offences alleged against the same defendant, the court must deal with those offences in the following sequence—
(a)
any to which rule 9.6 applies (Prosecutor’s notice requiring Crown Court trial);
(b)
any to which rule 9.7 applies (sending for Crown Court trial, without allocation there), in this sequence—
(i)
any the court must send for trial, then
(ii)
any the court can send for trial; and
(c)
any to which rule 9.14 applies (Allocation and sending for Crown Court trial).
(6)
Where the court on the same occasion deals with two or more defendants charged jointly with an offence that can be tried in the Crown Court then in the following sequence—
(a)
the court must explain, in terms each defendant can understand (with help, if necessary), that if the court sends one of them to the Crown Court for trial then the court must send for trial in the Crown Court, too, any other of them—
(i)
who is charged with the same offence as the defendant sent for trial, or with an offence which the court decides is related to that offence,
(ii)
who does not wish to plead guilty to each offence with which he or she is charged, and
(iii)
(if that other defendant is under 18, and the court would not otherwise have sent him or her for Crown Court trial) where the court decides that sending is necessary in the interests of justice
even if the court by then has decided to allocate that other defendant for magistrates’ court trial; and
(b)
the court may ask the defendants questions to help it decide in what order to deal with them.
(7)
After following paragraph (5), if it applies, where the court on the same occasion—
(a)
deals with two or more defendants charged jointly with an offence that can be tried in the Crown Court;
(b)
allocates any of them to a magistrates’ court for trial; and
(c)
then sends another one of them to the Crown Court for trial,
the court must deal again with each one whom, on that occasion, it has allocated for magistrates’ court trial.
Part 46 contains rules allowing a representative to act on a defendant’s behalf for the purposes of these Rules.
Part 3 contains rules about the court’s powers of case management.]
Matters to be specified on sending for trial9.3.
(1)
Where the court sends a defendant to the Crown Court for trial, it must specify—
(a)
each offence to be tried;
(b)
in respect of each, the power exercised to send the defendant for trial for that offence; and
(c)
the Crown Court centre at which the trial will take place.
(2)
In a case in which the prosecutor serves a notice to which rule 9.6(1)(a) applies (notice requiring Crown Court trial in a case of serious or complex fraud), the court must specify the Crown Court centre identified by that notice.
(3)
In any other case, in deciding the Crown Court centre at which the trial will take place, the court must take into account—
(a)
the convenience of the parties and witnesses;
(b)
how soon a suitable courtroom will be available; and
(c)
the directions on the allocation of Crown Court business contained in the Practice Direction.
Duty of justices’ legal adviser9.4.
(1)
This rule applies—
(a)
only in a magistrates’ court; and
(b)
unless the court—
(i)
includes a District Judge (Magistrates’ Courts), and
(ii)
otherwise directs.
(2)
On the court’s behalf, a justices’ legal adviser may—
(a)
read the allegation of the offence to the defendant;
(b)
give any explanation and ask any question required by the rules in this Part; and
(c)
make any announcement required by the rules in this Part, other than an announcement of—
(i)
the court’s decisions about allocation and sending,
(ii)
any indication by the court of likely sentence, or
(iii)
sentence.
(3)
A justices’ legal adviser must—
(a)
assist an unrepresented defendant;
(b)
give the court such advice as is required to enable it to exercise its powers; and
(c)
if required, attend the members of the court outside the courtroom to give such advice, but inform the parties of any advice so given.
Duty of magistrates’ court officer9.5.
(1)
The magistrates’ court officer must—
(a)
serve notice of a sending for Crown Court trial on—
(i)
the Crown Court officer, and
(ii)
the parties;
(b)
in that notice record—
(i)
the matters specified by the court under rule 9.3 (Matters to be specified on sending for trial),
(ii)
any decision by the defendant under rule 9.7 (Sending for Crown Court trial) to require Crown Court trial for low-level shoplifting,
(iii)
any indication given by the defendant under rule 9.7 of intended guilty plea,
(iv)
any decision by the defendant under rule 9.11 (Adult defendant: allocation to magistrates’ court for trial) to decline magistrates’ court trial, and
(v)
the date on which any custody time limit will expire;
(c)
record any indication of likely sentence to which rule 9.11 applies; and
(d)
give the court such other assistance as it requires.
(2)
The magistrates’ court officer must include with the notice served on the Crown Court officer—
(a)
the initial details of the prosecution case served by the prosecutor under rule 8.2;
(b)
a record of any—
(i)
listing or case management direction affecting the Crown Court,
(ii)
direction about reporting restrictions,
(iii)
(iv)
recognizance given by a surety, or
(v)
representation order; and
(c)
if relevant, any available details of any—
(i)
interpreter,
(ii)
intermediary, or
(iii)
other supporting adult, where the defendant is assisted by such a person.
SENDING WITHOUT ALLOCATION FOR CROWN COURT TRIAL
Prosecutor’s notice requiring Crown Court trial9.6.
(1)
This rule applies where a prosecutor with power to do so requires a magistrates’ court to send for trial in the Crown Court—
(a)
a case of serious or complex fraud; or
(b)
a case which will involve a child witness.
(2)
The prosecutor must serve notice of that requirement—
(a)
on the magistrates’ court officer and on the defendant; and
(b)
before trial in a magistrates’ court begins under Part 24 (Trial and sentence in a magistrates’ court).
(3)
The notice must identify—
(a)
the power on which the prosecutor relies; and
(b)
the Crown Court centre at which the prosecutor wants the trial to take place.
(4)
The prosecutor—
(a)
must, when choosing a Crown Court centre, take into account the matters listed in rule 9.3(3) (court deciding to which Crown Court centre to send a case); and
(b)
may change the centre identified before the case is sent for trial.
(a)
is sufficient for the person charged to be put on trial for the offence; and
(b)
reveals a case of fraud of such seriousness or complexity that it is appropriate that the management of the case should without delay be taken over by the Crown Court.
(a)
the evidence of the offence would be sufficient for the person charged to be put on trial for that offence;
(b)
a child would be called as a witness at the trial; and
(c)
for the purpose of avoiding any prejudice to the welfare of the child, the case should be taken over and proceeded with without delay by the Crown Court.
‘Child’ for these purposes is defined by section 51C(7) of the 1998 Act.]
Sending for Crown Court trial9.7.
(1)
This rule applies where a magistrates’ court must, or can, send a defendant to the Crown Court for trial without first allocating the case for trial there.
(2)
The court must read the allegation of the offence to the defendant.
(3)
The court must explain, in terms the defendant can understand (with help, if necessary)—
(a)
the allegation, unless it is self-explanatory;
(b)
that the offence is one for which the court, as appropriate—
(i)
must send the defendant to the Crown Court for trial because the offence is one which can only be tried there or because the court for some other reason is required to send that offence for trial,
(ii)
may send the defendant to the Crown Court for trial if the magistrates’ court decides that the offence is related to one already sent for trial there, or
(iii)
(where the offence is low-value shoplifting and the defendant is 18 or over) must send the defendant to the Crown Court for trial if the defendant wants to be tried there; and
(c)
that reporting restrictions apply, which the defendant may ask the court to vary or remove.
(4)
In the following sequence, the court must then—
(a)
invite the prosecutor to—
(i)
identify the court’s power to send the defendant to the Crown Court for trial for the offence, and
(ii)
make representations about any ancillary matters, including bail and directions for the management of the case in the Crown Court;
(b)
invite the defendant to make representations about—
(i)
the court’s power to send the defendant to the Crown Court, and
(ii)
any ancillary matters;
(c)
(where the offence is low-value shoplifting and the defendant is 18 or over) offer the defendant the opportunity to require trial in the Crown Court; and
(d)
decide whether or not to send the defendant to the Crown Court for trial.
(5)
If the court sends the defendant to the Crown Court for trial, it must—
(a)
ask whether the defendant intends to plead guilty in the Crown Court and—
(i)
if the answer is ‘yes’, make arrangements for the Crown Court to take the defendant’s plea as soon as possible, or
(ii)
if the defendant does not answer, or the answer is ‘no’, make arrangements for a case management hearing in the Crown Court; and
(b)
give any other ancillary directions.
ALLOCATION FOR MAGISTRATES’ COURT OR CROWN COURT TRIAL
Adult defendant: request for plea9.8.
(1)
This rule applies where—
(a)
the defendant is 18 or over; and
(b)
the court must decide whether a case is more suitable for trial in a magistrates’ court or in the Crown Court.
(2)
The court must read the allegation of the offence to the defendant.
(3)
The court must explain, in terms the defendant can understand (with help, if necessary)—
(a)
the allegation, unless it is self-explanatory;
(b)
that the offence is one which can be tried in a magistrates’ court or in the Crown Court;
(c)
that the court is about to ask whether the defendant intends to plead guilty;
(d)
that if the answer is ‘yes’, then the court must treat that as a guilty plea and must sentence the defendant, or commit the defendant to the Crown Court for sentence;
(e)
that if the defendant does not answer, or the answer is ‘no’, then—
(i)
the court must decide whether to allocate the case to a magistrates’ court or to the Crown Court for trial,
(ii)
(iii)
if the court allocates the case to a magistrates’ court for trial, the defendant can nonetheless require trial in the Crown Court (unless the offence is one to which section 22 of the Magistrates’ Courts Act 1980 applies and the value involved requires magistrates’ court trial); and
(f)
that reporting restrictions apply, which the defendant may ask the court to vary or remove.
(4)
The court must then ask whether the defendant intends to plead guilty.
See also Part 6 (Reporting, etc. restrictions).]
Adult defendant: guilty plea9.9.
(1)
This rule applies where—
(a)
rule 9.8 applies; and
(b)
the defendant indicates an intention to plead guilty.
(2)
The court must exercise its power to deal with the case—
(a)
as if the defendant had just pleaded guilty at a trial in a magistrates’ court; and
(b)
in accordance with rule 24.11 (Procedure if the court convicts).
[Note. See section 17A of the Magistrates’ Courts Act 1980.]
Adult defendant: not guilty plea9.10.
(1)
This rule applies where—
(a)
rule 9.8 applies; and
(b)
the defendant—
(i)
indicates an intention to plead not guilty, or
(ii)
gives no indication of intended plea.
(2)
In the following sequence, the court must then—
(a)
where the offence is one to which section 22 of the Magistrates’ Courts Act 1980 applies, explain in terms the defendant can understand (with help, if necessary) that—
(i)
if the court decides that the value involved clearly is less than £5,000, the court must order trial in a magistrates’ court,
(ii)
if the court decides that it is not clear whether that value is more or less than £5,000, then the court will ask whether the defendant agrees to be tried in a magistrates’ court, and
(iii)
if the answer to that question is ‘yes’, then the court must order such a trial and if the defendant is convicted then the maximum sentence is limited;
(b)
invite the prosecutor to—
(i)
identify any previous convictions of which it can take account, and
(ii)
make representations about how the court should allocate the case for trial, including representations about the value involved, if relevant;
(c)
invite the defendant to make such representations;
(d)
where the offence is one to which section 22 of the Magistrates’ Courts Act 1980 applies—
(i)
if it is not clear whether the value involved is more or less than £5,000, ask whether the defendant agrees to be tried in a magistrates’ court,
(ii)
if the defendant’s answer to that question is ‘yes’, or if that value clearly is less than £5,000, order a trial in a magistrates’ court,
(iii)
if the defendant does not answer that question, or the answer is ‘no’, or if that value clearly is more than £5,000, apply paragraph (2)(e); and
(e)
exercise its power to allocate the case for trial, taking into account—
(i)
the adequacy of a magistrates’ court’s sentencing powers,
(ii)
any representations by the parties, and
(iii)
any allocation guidelines issued by the Sentencing Council.
Under section 22 of the 1980 Act, some offences, which otherwise could be tried in a magistrates’ court or in the Crown Court, must be tried in a magistrates’ court in the circumstances described in this rule.
The convictions of which the court may take account are those specified by section 19 of the 1980 Act.
(1)
In general, either way offences should be tried summarily unless—
(a)
the outcome would clearly be a sentence in excess of the court’s powers for the offence(s) concerned after taking into account personal mitigation and any potential reduction for a guilty plea; or
(b)
for reasons of unusual legal, procedural or factual complexity, the case should be tried in the Crown Court. This exception may apply in cases where a very substantial fine is the likely sentence. Other circumstances where this exception will apply are likely to be rare and case specific; the court will rely on the submissions of the parties to identify relevant cases.
(2)
In cases with no factual or legal complications the court should bear in mind its power to commit for sentence after a trial and may retain jurisdiction notwithstanding that the likely sentence might exceed its powers.
(3)
Cases may be tried summarily even where the defendant is subject to a Crown Court Suspended Sentence Order or Community Order.
(4)
All parties should be asked by the court to make representations as to whether the case is suitable for summary trial. The court should refer to definitive guidelines (if any) to assess the likely sentence for the offence in the light of the facts alleged by the prosecution case, taking into account all aspects of the case including those advanced by the defence, including any personal mitigation to which the defence wish to refer.
Where the court decides that the case is suitable to be dealt with in the magistrates’ court, it must warn the defendant that all sentencing options remain open and, if the defendant consents to summary trial and is convicted by the court or pleads guilty, the defendant may be committed to the Crown Court for sentence.]
Adult defendant: allocation for magistrates’ court trial9.11.
(1)
This rule applies where—
(a)
rule 9.10 applies; and
(b)
the court allocates the case to a magistrates’ court for trial.
(2)
The court must explain, in terms the defendant can understand (with help, if necessary) that—
(a)
the court considers the case more suitable for trial in a magistrates’ court than in the Crown Court;
(b)
if the defendant is convicted at a magistrates’ court trial, then in some circumstances the court may commit the defendant to the Crown Court for sentence;
(c)
if the defendant does not agree to a magistrates’ court trial, then the court must send the defendant to the Crown Court for trial; and
(d)
before deciding whether to accept magistrates’ court trial, the defendant may ask the court for an indication of whether a custodial or non-custodial sentence is more likely in the event of a guilty plea at such a trial, but the court need not give such an indication.
(3)
If the defendant asks for such an indication of sentence and the court gives such an indication—
(a)
the court must then ask again whether the defendant intends to plead guilty;
(b)
if, in answer to that question, the defendant indicates an intention to plead guilty, then the court must exercise its power to deal with the case—
(i)
as if the defendant had just pleaded guilty to an offence that can be tried only in a magistrates’ court, and
(ii)
in accordance with rule 24.11 (Procedure if the court convicts); and
(c)
if, in answer to that question, the defendant indicates an intention to plead not guilty, or gives no indication of intended plea, in the following sequence the court must then—
(i)
ask whether the defendant agrees to trial in a magistrates’ court,
(ii)
if the defendant’s answer to that question is ‘yes’, order such a trial, and
(iii)
if the defendant does not answer that question, or the answer is ‘no’, apply rule 9.14.
(4)
If the defendant asks for an indication of sentence but the court gives none, or if the defendant does not ask for such an indication, in the following sequence the court must then—
(a)
ask whether the defendant agrees to trial in a magistrates’ court;
(b)
if the defendant’s answer to that question is ‘yes’, order such a trial; and
(c)
if the defendant does not answer that question, or the answer is ‘no’, apply rule 9.14.
Adult defendant: prosecutor’s application for Crown Court trial9.12.
(1)
This rule applies where—
(a)
rule 9.11 applies;
(b)
the defendant agrees to trial in a magistrates’ court; but
(c)
the prosecutor wants the court to exercise its power to send the defendant to the Crown Court for trial instead.
(2)
The prosecutor must—
(a)
apply before trial in a magistrates’ court begins under Part 24 (Trial and sentence in a magistrates’ court); and
(b)
notify—
(i)
the defendant, and
(ii)
the magistrates’ court officer.
(3)
The court must determine an application to which this rule applies before it deals with any other pre-trial application.
Young defendant9.13.
(1)
This rule applies where—
(a)
the defendant is under 18; and
(b)
the court must decide whether to send the defendant for Crown Court trial instead of ordering trial in a youth court.
(2)
The court must read the allegation of the offence to the defendant.
(3)
The court must explain, in terms the defendant can understand (with help, if necessary)—
(a)
the allegation, unless it is self-explanatory;
(b)
that the offence is one which can be tried in the Crown Court instead of in a youth court;
(c)
that the court is about to ask whether the defendant intends to plead guilty;
(d)
that if the answer is ‘yes’, then the court must treat that as a guilty plea and must sentence the defendant, or commit the defendant to the Crown Court for sentence;
(e)
that if the defendant does not answer, or the answer is ‘no’, then the court must decide whether to send the defendant for Crown Court trial instead of ordering trial in a youth court; and
(f)
that reporting restrictions apply, which the defendant may ask the court to vary or remove.
(4)
The court must then ask whether the defendant intends to plead guilty.
(5)
If the defendant’s answer to that question is ‘yes’, the court must exercise its power to deal with the case—
(a)
as if the defendant had just pleaded guilty at a trial in a youth court; and
(b)
in accordance with rule 24.11 (Procedure if the court convicts).
(6)
If the defendant does not answer that question, or the answer is ‘no’, in the following sequence the court must then—
(a)
invite the prosecutor to make representations about whether Crown Court or youth court trial is more appropriate;
(b)
invite the defendant to make such representations; and
(c)
exercise its power to allocate the case for trial, taking into account—
(i)
the offence and the circumstances of the offence,
(ii)
the suitability of a youth court’s sentencing powers,
(iii)
where the defendant is jointly charged with an adult, whether it is necessary in the interests of justice for them to be tried together in the Crown Court, and
(iv)
any representations by the parties.
Allocation and sending for Crown Court trial9.14.
(1)
This rule applies where—
(a)
under rule 9.10 or rule 9.13, the court allocates the case to the Crown Court for trial;
(b)
under rule 9.11, the defendant does not agree to trial in a magistrates’ court; or
(c)
under rule 9.12, the court grants the prosecutor’s application for Crown Court trial.
(2)
In the following sequence, the court must—
(a)
invite the prosecutor to make representations about any ancillary matters, including bail and directions for the management of the case in the Crown Court;
(b)
invite the defendant to make any such representations; and
(c)
exercise its powers to—
(i)
send the defendant to the Crown Court for trial, and
(ii)
give any ancillary directions.