Case
management
3.1
The scope of this Part
This
Part applies to the management of each case in a magistrates' court
and in the Crown Court (including an appeal to the Crown Court) until
the conclusion of that case.
Rules that apply to procedure in the Court of Appeal are in Parts 65
to 73 of these Rules.
3.2
The duty of the court
(1)
The court must further the overriding objective by actively managing
the case.
(2) Active case management includes –
(a) the early identification of the real issues;
(b) the early identification of the needs of witnesses;
(c) achieving certainty as to what must be done, by whom, and when,
in particular by the early setting of a tiMETAble for the progress of
the case;
(d) monitoring the progress of the case and compliance with directions;
(e) ensuring that evidence, whether disputed or not, is presented in
the shortest and clearest way;
(f) discouraging delay, dealing with as many aspects of the case as
possible on the same occasion, and avoiding unnecessary hearings;
(g) encouraging the participants to co-operate in the progression of
the case; and
(h) making use of technology.
(3) The court must actively manage the case by giving any direction
appropriate to the needs of that case as early as possible.
3.3
The duty of the parties
Each
party must –
(a) actively assist the court in fulfilling its duty under rule 3.2,
without or if necessary with a direction; and
(b) apply for a direction if needed to further the overriding objective.
3.4
Case progression officers and their duties
(1)
At the beginning of the case each party must, unless the court otherwise
directs—
(a) nominate an individual responsible for progressing that case; and
(b) tell other parties and the court who he is and how to contact him.
(2) In fulfilling its duty under rule 3.2, the court must where appropriate
–
(a) nominate a court officer responsible for progressing the case; and
(b) make sure the parties know who he is and how to contact him.
(3) In this Part a person nominated under this rule is called a case
progression officer.
(4) A case progression officer must –
(a) monitor compliance with directions;
(b) make sure that the court is kept informed of events that may affect
the progress of that case;
(c) make sure that he can be contacted promptly about the case during
ordinary business hours;
(d) act promptly and reasonably in response to communications about
the case; and
(e) if he will be unavailable, appoint a substitute to fulfil his duties
and inform the other case progression officers.
3.5
The court's case management powers
(1)
In fulfilling its duty under rule 3.2 the court may give any direction
and take any step actively to manage a case unless that direction or
step would be inconsistent with legislation, including these Rules.
(2) In particular, the court may –
(a) nominate a judge, magistrate, justices' clerk or assistant to a
justices' clerk to manage the case;
(b) give a direction on its own initiative or on application by a party;
(c) ask or allow a party to propose a direction;
(d) for the purpose of giving directions, receive applications and representations
by letter, by telephone or by any other means of electronic communication,
and conduct a hearing by such means;
(e) give a direction without a hearing;
(f) fix, postpone, bring forward, extend or cancel 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 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.
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.
3.6
Application to vary a direction
(1)
A party may apply to vary a direction if –
(a) the court gave it without a hearing;
(b) the court gave it at a hearing in his absence; or
(c) circumstances have changed.
(2) A party who applies to vary a direction must –
(a) apply as soon as practicable after he becomes aware of the grounds
for doing so; and
(b) give as much notice to the other parties as the nature and urgency
of his application permits.
3.7
Agreement to vary a time limit fixed by a direction
(1)
The parties may agree to vary a time limit fixed by a direction, but
only if—
(a) the variation will not –
(i) affect the date of any hearing that has been fixed, or
(ii) significantly affect the progress of the case in any other way;
(b) the court has not prohibited variation by agreement; and
(c) the court's case progression officer is promptly informed.
(2) The court's case progression officer must refer the agreement to
the court if he doubts the condition in paragraph (1)(a) is satisfied.
3.8
Case preparation and progression
(1)
At every hearing, if a case cannot be concluded there and then the court
must give directions so that it can be concluded at the next hearing
or as soon as possible after that.
(2) At every hearing the court must, where relevant –
(a) if the defendant is absent, decide whether to proceed nonetheless;
(b) take the defendant's plea (unless already done) or if no plea can
be taken then find out whether the defendant is likely to plead guilty
or not guilty;
(c) set, follow or revise a tiMETAble for the progress of the case,
which may include a tiMETAble for any hearing including the trial or
(in the Crown Court) the appeal;
(d) in giving directions, ensure continuity in relation to the court
and to the parties’ representatives where that is appropriate
and practicable; and
(e) where a direction has not been complied with, find out why, identify
who was responsible, and take appropriate action.
3.9
Readiness for trial or appeal
(1)
This rule applies to a party's preparation for trial or (in the Crown
Court) appeal, and in this rule and rule 3.10 trial includes any hearing
at which evidence will be introduced.
(2) In fulfilling his duty under rule 3.3, each party must –
(a) comply with directions given by the court;
(b) take every reasonable step to make sure his witnesses will attend
when they are needed;
(c) make appropriate arrangements to present any written or other material;
and
(d) promptly inform the court and the other parties of anything that
may –
(i) affect the date or duration of the trial or appeal, or
(ii) significantly affect the progress of the case in any other way.
(3) The court may require a party to give a certificate of readiness.
3.10
Conduct of a trial or an appeal
In
order to manage the trial or (in the Crown Court) appeal, the court
may require a party to identify –
(a) which witnesses he intends to give oral evidence;
(b) the order in which he intends those witnesses to give their evidence;
(c) whether he requires an order compelling the attendance of a witness;
(d) what arrangements, if any, he proposes to facilitate the giving
of evidence by a witness;
(e) what arrangements, if any, he proposes to facilitate the participation
of any other person, including the defendant;
(f) what written evidence he intends to introduce;
(g) what other material, if any, he intends to make available to the
court in the presentation of the case;
(h) whether he intends to raise any point of law that could affect the
conduct of the trial or appeal; and
(i) what tiMETAble he proposes and expects to follow.
3.11
Case management forms and records
(1)
The case management forms set out in the Practice Direction must be
used, and where there is no form then no specific formality is required.
(2) The court must make available to the parties a record of directions
given.
Case management may be affected by the following other rules and legislation:
Criminal Procedure Rules
Parts 10.4 and 27.2: reminders of right to object to written evidence
being read at trial
Part 12.2: time for first appearance of accused sent for trial
Part 13: dismissal of charges sent or transferred to the Crown Court
Part 14: the indictment
Part 15: preparatory hearings in serious fraud and other complex or
lengthy cases
Parts 21 – 26: the rules that deal with disclosure
Parts 27 – 36: the rules that deal with evidence
Part 37: summary trial
Part 38: trial of children and young persons
Part 39: trial on indictment
