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This Practice Note outlines the law concerning criminal recklessness. The subjective test for recklessness Certain statutory and common law offences allow the prosecution to prove mens rea through ‘recklessness’. Put simply, recklessness is where the accused takes an unjustified risk that results in unlawful harm or damage. The House of Lords in R v G reaffirmed the subjective approach to recklessness. Before R v G, two distinct tests were used, depending on the offence charged: Subjective recklessness from R v Cunningham: the prosecution had to establish that the accused personally foresaw the risk. Objective recklessness from R v Caldwell: the prosecution only needed to show that the risk would have been obvious to a reasonable person, without proving the accused themselves foresaw it. In R v G, the House of Lords concluded that the objective test could operate unfairly where a defendant did not foresee the
This Practice Note examines the remedy of rescission, explaining when and in what manner a contract can be unwound (at common law, in equity and under statute) and thereby terminated and brought to an end. It covers the consequences and effects of rescission, the principal grounds for setting aside an agreement (misrepresentation, mistake, undue influence, duress, non‑disclosure, fiduciary misdealing and bribery) and the main obstacles to claiming rescission—affirmation, the intervention of third‑party rights and the impossibility of restitution. For further guidance on rescission in the context of misrepresentation, see Practice Note: Misrepresentation—rescission as a remedy. There are many ways in which a contract may reach its end; see: Terminating contracts—how and when a contract ends—overview for a brief and accessible summary, with links to the related further practical guidance, including Practice Note: Termination and expiry of contracts. For a table
What is a res judicata? A res judicata is a determination by a court or tribunal with jurisdiction over the cause of action and the parties, which finally disposes of the issues decided so they cannot be litigated again by those bound, save on appeal. Final judgments entered by default or by consent fall within this concept, whereas rulings on purely procedural points and any decision lacking finality do not. The doctrine’s aim is to bring litigation to an end and shield parties from being harassed by the same dispute twice. in personam—binds the parties and their privies in rem—binds all persons, privy or otherwise (ie a judgment binding the whole world) A party may rely on res judicata: as an estoppel to defeat an opponent’s claim or defence; and/or as the basis of their own claim or
The offence of causing grievous bodily harm with intent Wounding or causing grievous bodily harm (GBH) with intent can be tried solely in the Crown Court on indictment. Elements of the offence Under the Offences against the Person Act 1861 (OATPA 1861), the prosecution must establish that the defendant unlawfully and maliciously: wounded with the intention of causing GBH, or caused GBH with that intention, or wounded intending to resist or prevent the lawful arrest or detention of any person, or caused GBH intending to resist or prevent the lawful arrest or detention of any person ‘Unlawfully’ and ‘maliciously’ Unlawfully The wounding or causing of GBH must be unlawful. Such conduct may be lawful if used: in self-defence in defence of another in defence of property for the prevention of crime where the victim gave express or implied consent For further information on these defences, see below:
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This Practice Note outlines how the Care Quality Commission ( CQC) applies its powers and approach to sanctions and enforcement. What is the CQC? The CQC is a non-departmental statutory body, sponsored by the Department of Health and Social Care. It regulates health and social care services in England and safeguards the interests of people whose rights are restricted under the Mental Health Act 1983 ( Me HA 1983). See Practice Note: Care Quality Commission ( CQC). The relevant legal framework for enforcement The CQC’s enforcement powers are derived from: the Health and Social Care Act 2008 ( HSCA 2008) the Health and Social Care Act 2008 ( Regulated Activities) Regulations 2014, SI 2014/2936 the Care Quality Commission ( Registration) Regulations 2009, SI 2009/3112 the Legislative and Regulatory Reform Act 2006 ( LRRA 2006) and the Regulators’ Code For registered services,...
Practice Note: Goods vehicle licensing Across England, Wales and Scotland, Traffic Commissioners grant operator licences. They oversee the licensing and regulation of operators of heavy goods vehicles, light goods vehicles ( LGVs) and passenger service vehicles, and also deal with the registration of local bus services. A general overview of the operator licensing regime is available in Practice Note: Goods vehicle licensing. Licensing for LGVs commenced on 21 May 2022 and extends to vehicles, and vehicle–trailer combinations, weighing above 2.5 tonnes but no more than 3.5 tonnes when undertaking international journeys. See Practice Note: Goods vehicle licensing. Their remit covers England, Wales and Scotland. An outline of the system is provided in the same Practice Note for reference. Ensuring compliance with the conditions of an operator’s licence, and with road transport law, falls to the Driver and Vehicle Standards Agency ( DVSA) and the police. The DVSA and...
Local authorities can employ a range of measures to secure business compliance with the Food Safety Act 1990 ( FSA 1990) and the relevant Codes of Practice, using proportionate and escalating interventions as required, such as: education advice guidance warning letters improvement notices emergency prohibition notices formal cautions prosecution For an overview of the principal offences under the FSA 1990, see Practice Note: Food Safety Act 1990 offences. For details on out-of-court disposals, see Practice Note: Alternatives to prosecution for adults. As set out in the Food Standards Agency’s ( FSA) Food Law Code of Practice and Food Law Practice Guidance, the choice of enforcement action turns on the level of risk posed to public health. Prohibition notices and prosecution are reserved for circumstances where there is an imminent risk of injury to health linked to...
ARCHIVED : This Practice Note is archived and no longer updated, and it will not be revised further or maintained going forward. It formerly outlined the investigative powers of the US Department of Justice ( DOJ) and the Securities and Exchange Commission ( SEC) in relation to bribery and corruption offences under the Foreign Corrupt Practices Act 1977 ( FCPA 1977), before the Executive Order of February 2025 halting all investigations and prosecutions under the Foreign Corrupt Practices Act ( FCPA) and the subsequent publication of revised DOJ guidance for FCPA investigations and enforcement. For more detailed information, consult the DOJ FCPA Guidelines and the following News Analyses: Foreign countries have strong foundation to fill FCPA void DOJ signals major shift in white collar enforcement priorities Feds reboot FCPA agenda with narrower enforcement focus The US Foreign Corrupt Practices Act 1977 ( FCPA) forms part of US...
What is an operator's licence? An operator’s licence is the lawful permission from the licensing authorities required to run particular categories of vehicle across the United Kingdom. The licensing framework applies to heavy goods vehicles ( HGVs), light goods vehicles ( LGVs) together with passenger service vehicles ( PSVs), namely buses, coaches and limousines. This Practice Note centres on HGV and LGV regulation as the primary focus, although there are substantial overlaps with PSVs regarding relevant licensing processes and general enforcement. In England, Wales and Scotland, operator licences are granted by the Traffic Commissioners. The Traffic Commissioners supervise licensing and regulation across the sector for HGV, LGV and PSV operators, and they also register local bus services, with assistance from deputy Traffic Commissioners. As independent statutory licensing authorities, they may, where appropriate, take action against the vocational entitlement of bus, coach and lorry drivers who...
Introduction The government’s approach to tackling offshore tax evasion was first outlined in HMRC’s No Safe Havens 2014 and later expanded in No Safe Havens 2019. The 2014 strategy aimed to ensure that: no jurisdiction offers UK taxpayers a haven to conceal income or assets from HMRC potential offshore evaders recognise the risk now lies firmly against them evaders come forward, settle the tax due and stay compliant those who refuse to disclose are identified and face robustly enforced sanctions facilitators of offshore evasion find no refuge On the first two aims, the Common Reporting Standard ( CRS) delivered an unprecedented shift in tackling offshore evasion through the automatic, greatly expanded exchange of taxpayer information across borders. For further detail on the CRS, see Practice Note: Automatic exchange of information—the Common Reporting Standard: a...
Sentencing The Sentencing Council has issued offence‑specific sentencing guidelines (the Guidelines) for application in magistrates’ courts and Crown Courts in England and Wales covering unauthorised or harmful waste deposit, treatment or disposal, and unlawful releases to air, water and land, contrary to section 33 of the Environmental Protection Act 1990 ( EPA 1990) and regulations 12 and 38(1)–(3) of the Environmental Permitting ( England and Wales) Regulations 2016, SI 2016/1154 ( EPR 2016). They also note the now‑revoked Environmental Permitting ( England and Wales) Regulations 2010 ( EPR 2010), SI 2010/675, which were superseded by EPR 2016. The Guidelines have effect from 1 July 2014, irrespective of the date of the offence. They do not apply in Scotland or Northern Ireland, though sentencers in those jurisdictions may consult them when determining sentence. For guidance on the investigation, prosecution and sentencing of...
Introduction to the senior managers regime The Senior Managers and Certification Regime ( SM& CR) is a comprehensive framework of legislation, regulation and conduct standards designed to cut consumer harm and uphold market integrity by ensuring individuals are accountable for their behaviour and competence. It covers UK financial institutions, including banks, building societies, credit unions, PRA‑designated investment firms and insurers. For an introduction, see Practice Note: SM& CR—one minute guide. Further background and the key principles are outlined in: SM& CR—essentials for banks and PRA‑designated investment firms Conduct Rules for SM& CR Firms The SM& CR was shaped by the Independent Commission on Banking ( ICB) and the Parliamentary Commission on Banking Standards ( PCBS), established following the LIBOR scandal. For detailed analysis of LIBOR and subsequent enforcement, see Practice Notes: Benchmark enforcement action—essentials [ Archived] and Conspiracy to defraud. See also, News...
Evidence of a defendant’s good character in criminal proceedings is admissible and may relate to propensity, credibility, or both: propensity — the defendant is less likely to have committed the charged offence credibility — the defendant is more truthful than a person without such character Procedure for giving good character directions As a lack of convictions does not of itself prove good character, where reliance is placed upon it, it is the responsibility of defence counsel and the defendant to ensure the judge is made aware. If there is any uncertainty, it is good practice for the judge to raise the point with counsel. Any proposed good character direction should be provided to counsel, and counsel for both the prosecution and the defence should be given the chance to make submissions ( R v Gonzales [2004] EWCA Crim 2117 (not reported by Lexis...
Offence of making a false instrument Under section 1 of the FCA 1981, a person commits forgery if they create a false instrument intending that they, or someone else, will use it to persuade another to treat it as authentic, and, because of that acceptance, to act or refrain from acting to their own or another’s detriment. For all offences in the FCA 1981, section 8 explains what counts as an “instrument”. It covers: any document; postal stamps and Inland Revenue stamps; disks, tapes, sound tracks; and any other device on or in which information is recorded or stored by mechanical, electronic, or other means. The FCA 1981 does not define “document”, but currency notes are excluded, as these fall under counterfeiting offences in Part II of the FCA 1981 (see Practice Note: Counterfeiting notes and coins). Electronic impulses used as...
Inquests An inquest is an inquisitorial, non-adversarial procedure in which there are no ‘parties’; rather, individuals or organisations with an interest are notified about the investigation and are permitted to play a role. They are formally described as ‘properly interested persons’, often referred to as IPs (interested persons). The purpose of an inquest is to determine four statutory questions: who died, when they died, where they died, and how the death occurred. In the majority of inquests, it is the ‘how’ question that proves the most contentious issue. This note sets out some of the principal issues that can arise when preparing for an inquest. Useful guidance on approach to inquests is contained in the Chief Coroner’s Guidance for Coroners on the Bench (the Bench Guidance). The Bench Guidance is intended to be a ‘live’ document, subject to review and revision. It is said to be a...
At 11 pm ( GMT) on 31 December 2020, the Brexit transition/implementation period drew to a close, following the UK’s departure from the EU. From that moment—termed ‘ IP completion day’ in UK legislation—core transitional measures ceased and substantial changes began to apply across the UK legal framework. For information on the transitional rules for CE and UKCA marking, the amendments made by the Waste ( Miscellaneous Amendments) ( EU Exit) ( No 2) Regulations 2019, SI 2019/188 and the Hazardous Substances and Packaging ( Legislative Functions and Amendment) ( EU Exit) Regulations 2020, SI 2020/1647, and areas of divergence after Brexit, see: GB Restriction of hazardous substances ( GB Ro HS)—scope— Brexit. Ro HS Regulations 2012 The Restriction of the Use of Certain Hazardous Substances in Electrical and Electronic Equipment Regulations 2012, SI 2012/3032 ( Ro HS Regulations 2012) transpose Directive 2011/65/ EU on the...
Sections 122A–122K of the Sexual Offences Act 2003 ( SOA 2003) contain the statutory framework for sexual risk orders ( SROs). An SRO is a civil measure intended to safeguard the public across the UK, as well as children or vulnerable adults overseas, from individuals who present a risk of harm. Through SROs, the courts may impose whatever prohibitions are considered necessary to prevent such individuals from causing harm. The Police, Crime, Sentencing and Courts Act 2022 ( PCSCA 2022) makes amendments to the relevant part of the SOA 2003; at the time of writing, certain changes have not yet commenced and are highlighted below where applicable. The principal difference between an SRO and a sexual harm prevention order ( SHPO) is that an SRO can be made in relation to someone who has not been convicted of, or cautioned for, an offence listed in SOA...
This Practice Note This Practice Note sets out how to secure the forfeiture of cash pursuant to sections 297A, 297B, 297C, 297D, 297E, 297F and 297G of the Proceeds of Crime Act 2002 ( POCA 2002). It also covers obtaining forfeiture without a magistrates’ court order under POCA 2002, s 297A. For fuller guidance on the supporting powers of cash search, seizure and detention, see: Cash searches under the Proceeds of Crime Act 2002 Cash seizure and detention POCA 2002 provides two routes to forfeit seized cash: administrative forfeiture under POCA 2002, s 297A (forfeiture without court order), and court-ordered forfeiture under POCA 2002, s 298 (forfeiture by court order) For details on forfeiture by court order under POCA 2002, s 298, refer to Practice Note: Forfeiture of cash by court order. Note that distinct statutory regimes apply to the forfeiture of money in bank accounts and to personal...
Overview The Financial Services and Markets Act 2000 ( FSMA 2000) bars anyone from conducting a regulated activity in the UK unless they hold authorisation or are an exempt person; this is commonly called the general prohibition. A regulated activity means an activity of a specified type (namely, one identified in the FSMA 2000 ( Regulated Activities) Order 2001, SI 2001/544) carried on by way of business in the UK. Breaching the general prohibition is a criminal offence, attracting a fine or imprisonment. This Practice Note sets out how the Financial Conduct Authority ( FCA) acts against unauthorised business. Further material on unauthorised business is available in Practice Note: Unauthorised business—legal and regulatory framework. Key points include: the FCA’s supervision and enforcement functions focus on disrupting unauthorised firms and individuals seeking to defraud customers and on warning customers the FCA’s Warning List—a list of firms not...
A stricter penalty framework applies to an individual’s tax position where non-compliance concerns an offshore matter or an offshore transfer, with heightened consequences. This Practice Note covers the following: the definition of offshore matter and offshore transfer requirement to correct and failure to correct penalties penalties for offshore matters or offshore transfers penalties for moving offshore assets asset-based penalties This Practice Note addresses matters specific to the civil penalties and sanctions arising from offshore tax non-compliance, in particular. For the general penalty framework, see: Tax penalties, interest and time limits—overview, which signposts more detailed material and resources. For guidance on measures targeting offshore tax evaders committing a criminal offence, those enabling offshore tax evasion, or companies and other relevant entities facilitating UK and offshore tax evasion, see Practice Note: Offshore penalties, sanctions and criminal...
STOP PRESS: From 24 February 2025, the core elements of the Procurement Act 2023 ( PA 2023) now apply. Any procurement launched on or after this date must proceed under PA 2023, while procurements initiated under earlier regimes (the Public Contracts Regulations 2015 ( PCR 2015), the Utilities Contracts Regulations 2016, the Concession Regulations 2016, and the Defence and Security Public Contracts Regulations 2011) must continue to be run and overseen in line with those rules. See Practice Note: Introduction to the Procurement Act 2023— PA 2023. PCR 2015 as assimilated law PCR 2015 are EU-derived domestic rules and therefore constitute assimilated law under sections 2 and 6 of the European Union ( Withdrawal) Act 2018. For practical guidance on the standing and construction of assimilated law, see Practice Note: Assimilated law. Public procurement in the UK Public procurement concerns public bodies buying goods, works or...
ARCHIVED: This archived Practice Note offers context on the changes to criminal procedure that took effect on 2 February 2015 under the Criminal Procedure ( Amendment) Rules 2015, SI 2015/13. Those regulations have now been revoked. The current criminal procedure rules are contained in the Criminal Procedure Rules 2015, SI 2015/1490, as amended. See Practice Note: The Criminal Procedure Rules. This Note reflects the law as at 2 February 2015 and is not maintained. It is supplied for background purposes only. The Criminal Procedure ( Amendment) Rules 2015, SI 2015/13, implemented a series of amendments to the Criminal Procedure Rules, SI 2014/1610 ( Crim PR 2014). Certain provisions commenced on 2 February 2015, with the remaining changes commencing on 6 April 2015. This Practice Note provides a summary......
Legal professional privilege ( LPP) This Practice Note examines legal professional privilege, which comprises legal advice privilege and litigation privilege. It sets out the criteria applicable to both categories, including the confidentiality of communications, the dominant purpose and legal context of the material over which privilege is claimed, and the identity of any recipients copied into the correspondence. It explains, for the purposes of asserting privilege, what is meant by client, legal adviser, legal advice and anticipated litigation. It also addresses recognised exceptions, notably the iniquity exception (where fraud or crime is in play), and situations where statute displaces privilege. The treatment of copy documents, and of documents that are collated, selected or extracted, together with translations, is considered. Practical pointers are provided. In this Note, legal professional privilege (often shortened to ‘privilege’) is used as a collective label for legal advice...
Cyber risk, like any other corporate exposure, demands careful management and should be treated as a high‑priority concern for the internal compliance or legal team. It is a business issue to be addressed within an overarching information governance, risk management and crime prevention framework, and must not be left solely to the IT department. This Practice Note covers: the landscape around cybercrime (i.e. why it should be on your radar) the threats cybercrime poses to commercial organisations, and principal vulnerabilities This Practice Note reflects information security and breach notification obligations in the General Data Protection Regulation ( UK GDPR), Assimilated Regulation ( EU) 2016/679, but is not intended to address specialist sector‑specific requirements in the: Network and Information Systems Regulations 2018 ( NIS Regulations), SI 2018/506 Privacy and Electronic Communications ( EC Directive) Regulations 2003 ( PECR 2003), SI...
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When evaluating a general damages claim, the practitioner ought initially to refer to the Judicial College Guidelines (JCG)...
This Practice Note This Practice Note reviews mechanisms used in settling litigation. A Tomlin order consists of a consent order paired with a schedule. It operates to stay proceedings on terms that have been agreed. The provisions contained in the schedule may remain confidential. This Practice Note describes the scope of confidentiality attaching to the schedule and sets out how it differs from a standard consent order. Sample wording for a Tomlin order is included, alongside links to precedents, as well as guidance on court approval. It also addresses varying, setting aside and enforcing a Tomlin order, including the considerations the court will take into account when handling applications for each. Further guidance is provided on interpreting and applying the relevant provisions of the CPR; however, some courts and divisions impose very specific requirements for both drafting and approval, and for approaching the schedule and confidentiality issues. Accordingly, you must consider the particular rules and court guide provisions in the forum where your claim is proceeding when drawing up the Tomlin order...
Date [ date ] Parties [ name of Landlord ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Landlord) [ name of Tenant ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Tenant) [ [ name of Guarantor ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Guarantor) ] [ [ name of Mortgagee ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Mortgagee) ] Definitions Within this Deed, the terms below shall be interpreted as follows: [ Annual Rent • the annual sum reserved under the Lease; ] [ Insurance Rent • the Tenant’s share of the Landlord’s costs of insuring the Property (as set out in the Lease); ] Lease • the lease of the Property dated [ date ], entered into between (1) [ the Landlord OR [ name ...
I, [ name ], of [ address ], solemnly and sincerely state that: [ Matters to be verified, set out in numbered paragraphs ] I make this solemn statement in good conscience, believing it to be true, and pursuant to the provisions of the Statutory Declarations Act 1835. DECLARED at [ details ] this [ day ] day of [ month and year ] Before me ................................................................................ [ signature of the person before whom the declaration is made ] A [ commissioner for oaths OR [ solicitor OR [ insert other qualification ] ] authorised to administer oaths ]...
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