< Previous | Contents | Next >
This manual has been prepared for use by police officers, police staff and CPS prosecutors concerned with the preparation, processing and submission of prosecution files. Every effort has been made to ensure that this manual uses straight forward language and that it reflects current CJS processes.
In support of the Director’s Guidance on Charging (4th edition), this manual introduces the concept of a “National File Standard” (NFS) and outlines the process for upgrading the NFS according to key trial issues identified at a case management hearing at Magistrate’s Court or for Crown Court Trial.
This manual is not intended to replace other existing guidance (for example the Director’s Guidance on Charging – 4th edition) but rather to be read in conjunction with such documents. Consequently, where a reader may require more information from other such documents, some references or web links have been included in the manual to enable further research to be undertaken if needed.
1.5.2 The charging decision
1.5.8 The referral process
1.6.1 CPS charge cases
1.6.12 Police charge cases
1.7.2 Pre-charge bail conditions
1.7.5 Breach of pre-charge bail
1.7.8 Breach of post-charge bail
1.8.1 Post-Charge National File Standard (anticipated guilty plea)
1.8.4 Post-Charge National File Standard (anticipated not guilty plea)
1.12.12 Grounds to seek a remand in custody
1.12.13 Intimidated or vulnerable witnesses
1.12.14 Remand on court imposed conditional bail
1.12.16 Bail appeals
1.12.19 Remands to secure local authority accommodation for Young Offenders
1.12.20 The ‘Key’ Witness in remand cases
1.13.1 Interview Notes – Short Descriptive Note (SDN)
1.13.2 What must an SDN contain?
1.13.3 Record of Taped Interview (ROTI) or Visually Recorded Interview (ROVI)
1.14.3 When does the duty to disclose arise?
1.14.6 When and how must material be recorded?
1.14.7 Disclosure roles and responsibilities
1.14.8 Disclosure roles
1.14.9 Describing the material
1.1.1 This first section of the Manual of Guidance gives a guide to the main aspects of preparing a case file together with an outline of the process for obtaining a charging decision. The more specific details of completing the MG forms can be found in Section 3.
1.1.2 The police and the CPS share a common goal – the successful prosecution of persons who have committed offences in circumstances where the public interest requires a prosecution. It is the responsibility of the police to investigate offences, and the responsibility of the Crown Prosecution Service (CPS) to prosecute people who are charged as a result of police investigations. The Police will determine the charge in the offence categories as specified in the Director’s Guidance on Charging (this can be found on the CPS website www.cps.gov.uk). These are mostly summary contested and non-contested offences and either way guilty pleas. There are a number of important exceptions, which must be referred to a CPS Prosecutor for charging advice. The CPS will determine the charge in cases that in the opinion of the Director of Public Prosecution require the exercise of an informed legal judgment by a Crown Prosecutor.
1.1.3 Where the police consider there is sufficient evidence to charge a suspect with any offence (other than an indictable only offence), and determine that it is in the public interest instead to administer a simple caution, a reprimand or final warning in the case of a youth, or other out of court disposal (except conditional cautions), the police may do so without further reference to a Crown Prosecutor.
1.1.4 All reports and files sent to the CPS for prosecution must be prepared and submitted in accordance with this manual. It sets out national standards for the preparation of case files, their content and format.
1.1.5 This manual applies to all cases, whether the defendant is charged, summonsed or proceedings commenced by postal requisition, except those dealt with under Section 12 of the Magistrates’ Courts Act 1980 (as amended by the Magistrates’ Courts (Procedure) Act 1998) which is the procedure for allowing defendants to plead guilty by post.
1.2.1 The national forms used to prepare a case file are numbered and have the prefix ‘MG’. All MG forms carry a Government Protected Marking Scheme header and footer. The scheme assists the police and CPS in complying with the Data Protection Act 1998, and ensures that all agencies which share information, handle it according to the same security classification.
1.2.2 The scheme categorises material into four classes, namely ‘Restricted’, ‘Confidential’, ‘Secret’ and ‘Top Secret’.
1.2.3 MG forms carry the protective headings ‘Restricted’ and/or ‘Confidential’.
1.2.4 Restricted information: material falls into this category if accidental or deliberate compromise of the material would be likely to cause substantial distress to individuals; prejudice the investigation; facilitate the commission of crime; breach undertakings to maintain confidence of information provided by third parties; or breach data protection restrictions, for example, information supplied to police by a witness in confidence (home address details) or police briefing material.
1.2.5 Confidential information: material falls into this category if it would prejudice individual security or liberty; impede the investigation or facilitate the commission of serious crime, for example, material regarding covert operations/observation points or information supplied by a covert human intelligence source (which does not reveal his/her identity). Material that would reveal the identity of a source/undercover officer would be classed as ‘Secret’.
1.2.6 It is up to the person completing the form to decide what the correct classification should be and delete the heading which does not apply.
1.2.7 The chequered banding on the forms identifies material which, when complete, is not disclosable.
1.3.1 A URN must be allocated to a case file at the earliest opportunity to allow tracking and monitoring of the case where possible. This process should start at the CPS pre-charge advice stage where the URN will be recorded on the MG3/3A.
1.3.2 When completing a case file the URN must be entered on all MG forms. The endorsement of the URN on each page of each form ensures that if material
becomes separated from the file, it can be easily identified and maintains continuity.
1.3.3 A URN is divided into 4 discrete elements:
1. Force PNC Code (01 - Met) comprising 2 digits
2. BCU, Division/Sub Division (AA, BA etc.) comprising 2 letters
3. Numeric identifier (02389 etc.) to a maximum of 5 digits
4. Year (03, 04, etc.) comprising 2 digits Example:
1 2 3 4
01 | AT | 00642 | 04 |
1.4.1 The ASN is the number agreed between a police force and PNC to identify an individual defendant in a case linked to one or more offences. The offences are identified by standard CJS Offence Codes provided through PNLD (the Police National Legal Database) and are allocated a specific sequence number against the ASN.
1.4.2 The combination of an ASN, an offence code and its sequence number against the ASN is a Criminal Prosecution Reference (CPR), held by police force systems and PNC, and used as the basis for tracking the progress and result of a prosecution. It is therefore important that this information is entered specifically on an MG4 - Charge Sheet and MG21 - Forensic Submissions together with the matching URN.
1.4.3 As well as helping to track prosecutions, the provision of this information will enable improved resulting quality and timeliness, and support the collection of management information.
1.5.1 An investigator must gather together the documents acquired during the investigation of an offence from the outset. The case file is built from those documents, whether they contain evidence or not. It is not necessary for a suspect to be held in custody before starting to build the case file. All reasonable lines of enquiry must be followed, not only those that appear to point to a certain person being responsible.
The file building process starts with the production of a ‘Pre-charge report’ which is used to seek a charging decision (see below). Following a decision to charge, the custody officer will determine whether to release the defendant on bail (either with or without conditions) or refuse bail and keep them in custody to be put before the court, where a remand in custody may be sought. The content of the file subsequently produced for court, the ‘National File Standard’ will depend on the anticipated plea of the defendant (see 1.8 onwards).
1.5.2 Under the Criminal Justice Act 2003, responsibility for determining the charge is split between the police and CPS. In general terms all indictable only offences, and contested either way offences must be referred to the CPS. For detailed guidance as to which offences must be referred to the CPS for a charging decision – see The Director’s Guidance on Charging, 4th Edition – www.cps.gov.uk
1.5.3 In making charging decisions both custody officers and Crown Prosecutors take into account the provisions of the Code for Crown Prosecutors and the evidential tests therein, which need to be satisfied before a case can be properly charged.
1.5.4 The Full Code Test has two stages – firstly that the evidence is sufficient to provide a ‘realistic prospect of conviction’, and secondly that a prosecution is needed in the public interest. Only if these two tests are satisfied can a charge be laid.
1.5.5 In cases where a remand in custody will be applied for and it is not possible to apply the Full Code test at that time because all the evidence is not yet available, then the Threshold Test is applied by Crown Prosecutors. Firstly, the prosecutor must be satisfied that there is at least a reasonable suspicion that
the person to be charged has committed the offence. Secondly, the prosecutor must be satisfied that there are reasonable grounds for believing that the continuing investigation will provide further evidence, within a reasonable period of time, so that all the evidence taken together is capable of establishing a realistic prospect of conviction in accordance with the Full Code Test.
The Threshold Test may only be applied where the prosecutor is satisfied that
a) there is insufficient evidence currently available to apply the evidential stage of the Full Code Test; and
b) there are reasonable grounds for believing that further evidence will become available within a reasonable period; and
c) the seriousness of the circumstances of the case justify the making of an immediate charging decision; and
d) there are continuing substantial grounds to object to bail in accordance with the Bail Act 1976 and in all the circumstances of the case an application to withhold bail may be properly made.
1.5.6 Where the investigator considers there is sufficient evidence to charge on either of the tests, the case should be referred to the CPS or custody officer as appropriate for a charging decision. Where the Crown Prosecutor or custody sergeant cannot make a decision immediately, the custody officer may decide that the suspect should be bailed, with or without conditions. See 1.7.2 Pre- charge bail conditions for further information.
1.5.7 Conditions may now be imposed on bail pre-charge even where the Crown Prosecutor or custody officer considers there is insufficient evidence to charge at that time.
1.5.8 Since June 2010, there has been in place a more responsive daytime charging service delivered by the CPS in respect of volume crime. This service operates every day from 9am to 5pm Monday to Friday except for Bank Holidays (see Annex A). For out of hours advice and Bank Holidays/weekends, CPSD will continue to provide charging decisions as now.
1.5.9 Charging advice by the CPS is provided in two ways:
(i) Having sent through the MG3 and case material in advance (usually electronically), officers ring a dedicated telephone number and speak to a
Crown Prosecutor who reviews the evidence, discusses the case, and provides the charging decision on an MG3, which will usually also be sent electronically.
(ii) Serious and complex cases will continue to be dealt with, where appropriate, through face-to-face consultation with a CPS lawyer. Service Level Agreements, which have been agreed with every force, set out the modernising charging arrangements locally and reference should be made to this to obtain detailed guidance on procedures. In particular, the SLAs detail which cases are not suitable for telephone advice; broadly those involving:
a fatality
rape / serious sexual assault;
child abuse;
large scale or long term fraud;
substantial or complex video or audio key evidence;
evidence of such complexity that it would be likely to take longer than 90 minutes to provide charging advice;
any other cases deemed suitable for referral by the police gatekeeper and agreed by the local CPS level D manager.
1.6.1 Prosecutors will ordinarily make charging decisions on the information provided by the MG3 (Report to Crown Prosecutor), MG3A (Further report to Crown Prosecutor) and any key evidence. These forms make up the ‘Pre- charge report’ for a charging decision, along with other documents which vary depending on the type of report being prepared i.e. whether there is an anticipated guilty or not guilty plea. However, the method of communication with the CPS may dictate the form of the document. Pre-charge reports should be compiled in accordance with Annex C.
1.6.2 Key evidence is that evidence which either alone (i.e. the evidence of one key witness) or taken together with other evidence (e.g. a number of key witness each of whom provide some key evidence) and relevant exhibits establish every element of the offence to be proved, identify the offender and show that he or she committed the offence with the necessary criminal intent.
1.6.3 Where witnesses provide accounts of the same events that differ in a material respect, MG11 witness statements must be supplied in respect of each. As a general guide, where an officer considers that witnesses' accounts vary sufficiently, then statements should be provided for each witness and this should be recorded on an MG3 for the information of the CPS lawyer providing the charging decision.
1.6.4 Corroborative statements or continuity evidence will not be required to be submitted with the MG5 or MG3 unless already contained within the statement of a key witness. Other evidence supporting or repetitive of key statements will not be required. However, the MG3 should indicate corroborative or continuity evidence is available.
1.6.5 These papers should also be accompanied by any unused material which exists that may undermine the prosecution case or assist the defence in relation to bail (see R v DPP ex parte Lee, section 2.2.11). Information impacting upon the decision to withhold or allow the granting of bail must be included and provided to the prosecutor, for example, if relevant, the crime log or incident report should be produced.
1.6.6 Any background information, which is considered relevant for the prosecutor to know, should be noted on the MG3, e.g. the background to domestic violence cases can be particularly important and useful for the prosecutor as it may indicate how the evidence could be strengthened and may help to inform the public interest test.
1.6.7 Whether a brief summary of the interview on the MG5 or one contained in a ROTI/ROVI or full transcript is required depends on the seriousness of the case and role and importance of the interview in relation to the facts to be proved or inferences to be made. The brief summary need not be type written, but must be legible.
1.6.8 A PNC print of suspect(s) previous convictions / cautions / reprimands / final warnings is also required
1.6.9 If the prosecutor cannot make a charging decision, form MG3 will be completed with an action plan outlining what key evidence is required together with any other specified information. If this material cannot be secured, the investigator should arrange to seek further advice from the prosecutor. Once further action has been carried out, the report should be re-submitted with form MG3A (Further Report to Prosecutor) completed and attached for a charging decision.
1.6.10 The MG3/3A forms MUST NOT be given to the defence or any third party under any circumstances as they contain information on the strengths and weaknesses of the case. The forms are also subject to legal privilege between police and CPS only.
1.6.11 Once a charging decision has been made, a National File Standard (NFS) file as required by the Director’s Guidance must be produced for the prosecution of the case. See Annex C.
1.6.12 Generally, there is no specific documentation required to obtain a police charging decision for those cases where this is appropriate. However, the rationale for the charging decision should be recorded on an MG6 where a summary only offence is charged and it is anticipated that a not guilty plea will be entered as the suspect has put forward a specific defence or has denied the offence in interview. This then becomes part of the post-charge NFS for the first hearing at court.
1.6.12 Where the Threshold Test is used to charge an imprisonable summary only offence, the police must record on an MG6 how the Test requirements are met and how the evidential stage is satisfied. This will be provided to the CPS with the file for the first hearing. The Threshold Test may not be used to charge a summary only offence that does not carry imprisonment.
1.7.1 Decisions on bail are made by the custody officer. Decisions to charge need to be made in accordance with the Director’s Guidance. Where there is sufficient evidence to charge, the custody officer will need to decide whether to:
release without charge on bail for the Duty Prosecutor to make a charging decision; or
release without charge on bail (but not for the purpose of a charging decision, e.g. to consider a restorative justice disposal); or
release without charge (e.g. where there are mental capacity issues); or
charge and bail; or
remand in custody following charge to put the defendant before the court.
1.7.2 Pre-charge bail conditions can be applied where a suspect is bailed pending a charging decision by the CPS or where it is considered that further enquiries are required and conditions are necessary to satisfy the relevant risks under the Bail Act. Any conditions imposed must be appropriate and justifiable. A person bailed may appeal to a custody sergeant for a variation of the conditions or to a magistrates’ court.
1.7.3 If the investigator believes that it is necessary to impose conditions for the reasons below, he/she should make representations to the custody officer. Conditions can only be imposed if they are necessary to seek to prevent a person from:
Failing to surrender – previous conviction for absconding, defendant has no fixed abode or has indicated he/she will not appear;
Committing offences on bail (current and previous) – offence committed on bail (details of charges, bail dates and conditions should be given), the ‘lifestyle’ of the defendant is such that it is likely offending will continue, e.g. a drug habit;
Obstructing the course of justice and/or interfering with witnesses - the defendant has threatened to interfere with witnesses (or has a history of such behaviour) or will hinder the recovery of property, and/or;
The conditions are necessary
For the person’s safety – there is a real threat of revenge from the victim’s family, or friends etc., or the person is suicidal, a drug addict or suffering from mental disorder;
If a child or young person, for that person’s own welfare or own interests – the defendant has threatened self-harm, or is being coerced by older youths/adults to commit crime or does not have a stable family background.
1.7.4 Form MG4A is used to record bail conditions.
1.7.5 Where a defendant has been arrested for a breach of pre-charge bail conditions, the custody officer has the option of releasing the defendant on bail, with or without conditions, or referring to a prosecutor for a charging decision regarding the offence for which the suspect was bailed. Once charged, it may
be appropriate for a remand in custody application to be made to the court.
1.7.6 See Annex B for the contents of a breach of bail file.
1.7.7 Breaching bail conditions pre-charge is not an offence: it provides grounds for an arrest. It is only a failure to surrender to bail that gives rise to a new offence for which the custody officer will make a charging decision.
1.7.8 See Annex B for the contents of a breach of bail file.
1.8.1 The Pre-charge report forms the basis of the National File Standard for the first court hearing. See column 1B at Annex C.
1.8.2 The National File Standard File applies to cases initiated by summons as well as by charge.
1.8.3 If a defendant decides to enter a not-guilty plea at court or elects to have the case heard at Crown Court, a contested case ‘upgraded file’ (see column 3. at Annex C) will be required.
1.8.4 The pre-charge report for an anticipated not guilty plea forms the basis of the National File Standard for the first court hearing. See Annex C.
1.8.5 All statements that have been taken from witnesses, whether ‘key’ or not, should be forwarded to the CPS with the file.
1.8.6 Key witness statements should appear on the file in the following order:
Victim/main witness
Non-police witness
Expert witness
Other police officer(s) in the order they witnessed events
Officer in the case (OIC)
1.8.7 See column 2B at Annex C for case file contents.
1.8.8 The Post-charge National File Standard will be upgraded where a not guilty plea is entered at the first hearing and the case is proceeding to trial, or where
a case is to proceed to the Crown Court (see 1.10 and column 3 Annex C).
http://www.justice.gov.uk/criminal/procrules_fin/index.htm
1.10.1 Further upgrading will be necessary where it is clear that the case will be heard in the Crown Court, or the case is contested (as opposed to an anticipated not guilty plea). A case is ‘contested’ when there is a clear indication from the defendant at plea stage (or plea before venue stage for either way offences) that he or she will plead not guilty and therefore the case should be prepared for trial. The disclosure forms (MG6C, 6D and 6E) will need to be added to the Post-charge NFS along with further evidence to produce an ‘Upgraded file’ which must be submitted to the agreed timescales.
1.10.2 See column 3. at Annex C for file contents.
1.10.3 A brief outline of the disclosure requirements that will apply when completing such files is shown at section 1.14.
1.11.1 There is no prescribed format for the font, line spacing or their general appearance. Manuscript or hand-written statements can be provided in cases to be finalised as early guilty pleas in magistrates’ courts and may present the most proportionate approach to case preparation.
1.11.2 Generally typed statements will be required for all summary trial cases, except motoring cases, unless there is a local agreement with the courts to accept hand -written statements. Where provided, hand-written statements must be legible, comprehensible and sufficiently clear to produce good quality photocopies.
1.11.3 Committal papers prepared for, and statements used in, the Crown Court must be typed.
1.11.4 In order to meet Disability Discrimination Act requirements, typed copies of case file documents should be in either Arial or Verdana font 12. Any variation in the font size that may be required at court should be recorded as part of the special measures for the witness so that CPS can provide an appropriate document for the witness to read on day of trial.
1.12.1 After charge, a custody officer has to make a decision on whether to grant bail, or whether there are reasons why bail should not be granted. If there are reasons why bail should not be granted, then the investigator should seek a remand in custody at the first court hearing.
1.12.2 The investigator is responsible for ensuring that the custody officer has all the relevant information in order to make a decision on whether grounds exist to refuse bail.
1.12.3 If the detainee is kept in police custody after charge, the decision as to whether a remand in custody is to be sought at court lies solely with the Crown Prosecutor.
1.12.4 The Crown Prosecutor will determine in all the circumstances whether the Threshold Test may be applied. To ensure this is a fully informed decision, the police should provide all material relevant to the objections to bail which has been considered by the custody officer. This should be done through the completion of a detailed form MG7 (Remand in custody application). Details
should also be included of any conditions that would be appropriate for conditional bail if the court does not remand the defendant in custody.
1.12.5 Where the Prosecutor applies the Threshold Test, the Investigator will be informed of the date when the Full Code Test is to be applied. The Investigator will be under a duty to expedite the gathering of evidence and allow the Full Code Test to be applied.
1.12.6 The detention or continued detention of an offender is a serious step to take and imposes strict Custody Time Limits (CTL) to be complied with at each subsequent stage of court proceedings.
1.12.7 The law will only allow unconvicted defendants to be kept in custody before trial for a very limited period. This period is called a custody time limit. If the police and the CPS (the prosecution) do not at all times prepare the case diligently and expeditiously, the court has to release the defendant, however serious the alleged crime. This can lead to victims and witnesses being harmed and the case may be lost. Custody cases must be prioritised and delays must be explained or escalated according to agreed local procedures. Common causes of delay are medical and forensic evidence; these need to be requested and provided as quickly as possible.
1.12.8 CTLs apply as follows:
From 1st appearance in custody (i.e. the first appearance before the court charging a person with the offence) at court to the start of the trial for a summary only or either way offence: 56 days (8 weeks)
From 1st appearance in custody to committal for trial at the Crown Court: 70 days (10 weeks)
From the date of committal in custody to the start of the trial at Crown Court: 112 days (4 months)
In the case of indictable only (IO) offences sent to the Crown Court under sections 51 and 52 Crime and Disorder Act 1998, (including any either way offence sent with the IO offence) from 1st appearance in magistrates’ court to the start of the Crown Court trial: 182 days (6 months & 2 weeks)
1.12.9 If a remand to secure local authority accommodation for a child or young person under 17 years is sought, see 1.12.19 below.
1.12.10 The MG7 must be as detailed as possible. It must contain details of any substantial grounds that support the request for a remand in custody or the imposition of bail conditions and also how much time is required to prepare the case file. Failure to provide sufficient information may lead to a refusal to impose conditions, remands in custody, or lead to adjournments for shorter periods than are required.
1.12.11 Confidential information must not be included on the MG7. Use the MG6 for this purpose. If any information undermines the prosecution case, or assists the defence in their bail application, forms MG6C and E must be prepared. See guidance notes 12 and 13 (R v DPP, ex parte Lee) on MG6 in Section 3.
1.12.12 The court must find that there are substantial grounds for believing that an offender will:
Fail to surrender – previous conviction for absconding, defendant has no fixed abode, the defendant has indicated he/she will not appear; and/or
Commit offences on bail (current and previous) – present offence committed on bail (details of charges, bail dates and conditions should be given), the ‘lifestyle’ of the defendant is such that it is likely offending will continue, e.g. a drug habit; and/or,
Obstruct the course of justice and/or interfere with witnesses – the defendant has threatened to interfere with witnesses (or has a history of such behaviour) or will hinder the recovery of property, and/or;
A remand in custody is necessary for the person’s safety – there is a real threat of revenge from the victim’s family, or friends etc., or the person is suicidal, a drug addict or suffering from mental disorder; and/or,