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Prosecution file and trial preparation
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Table of Contents
Table of Contents
2
Summary
4
Introduction
4
Purpose of this chapter
4
Related information
4
Who is the audience for the chapter?
4
General principles, roles and responsibilities
5
Officer in charge of the case
5
O/C case responsibilities
5
O/C case responsibilities in court
5
Responsibilities in relation to evidence
7
Supervisor's responsibilities
7
Preparing prosecution files
9
Purpose
9
Principles
9
File structure
9
Files being sent to the Crown
10
NIA Prosecution form set
10
Alternatives to prosecution
11
Police adult diversion
11
Alternative resolutions / formal warnings
11
Files for first appearance
12
Youth Court files
13
Files for case management meeting and case review
14
Preparing the documentation
14
2
14
3
14
4
15
5
15
6
15
7
16
8
16
Before the case management meeting
16
Files for Judge‐alone trial or filing formal statements
18
Introduction
18
File order for Judge‐alone trial or filing formal statements
18
Additional requirements for jury trial files
20
Formal statements
21
What are formal statements?
21
Types of statements
21
Evidence to be covered in formal statements
21
Supporting charges
21
Determining what to prepare for filing
21
Using original statements
21
Preparing and filing formal statements
22
Using specialist interviewers
23
Extensions to the filing timeline
24
Preparing for the Judge‐alone trial
25
Introduction
25
Before court
25
Trial day
25
The Judge‐alone trial
25
Giving evidence
25
Youth prosecutions
26
Preparing for Crown trials (Judge‐alone or jury)
27
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Before court
27
Trial day
27
After the trial
27
Youth prosecutions
27
Completing key forms and documents for files
29
NIA Prosecution form set
29
Prosecution Cover Sheet (POL 250)
29
Function
29
What to include in the cover sheet
29
What to include in the Prosecutor Notes section
29
Prosecutor notes should be detailed, but relevant
29
Disclosing the coversheet
29
Prosecution Report (POL 258 P)
29
Summary of Facts (POL 262)
29
Schedule of Offences
30
Reparation Schedule (POL 395)
30
Opposition to Bail (POL 128)
30
Victim Impact Statement (POL 392)
30
Statements
30
Synopsis of suspect interviews
31
Suspect transcripts
31
Briefs of evidence
31
Function of a brief
31
Briefing a file
31
The format
32
Points to note
32
Presenting identification evidence in a brief of evidence
32
Witness Expenses Form (POL 925)
33
Witness lists for files (POL 275)
33
File exhibit lists
33
Exhibits
33
CSV1 forms
33
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Summary
Introduction
Irrespective of how thoroughly or competently a case is investigated, any lack of attention to detail, documentation and presentation
may detract from the prosecution case. During the prosecution process the investigation will be tested and any mistakes or omissions
revealed. Cases stand or fall on the quality of the investigation, disclosure, and the prosecution file.
Purpose of this chapter
This chapter explains the file order for prosecution files commenced under the Criminal Procedure Act 2011. The order changes
depending on which stage the matter is at in the prosecution process:
‑ first appearance
‑ case review stage
‑ Judge‐alone trial
‑ jury trial.
The chapter also includes guidance on:
‑ the completion of a number of prosecution forms
‑ Officer in charge (O/C's) responsibilities when preparing for trial.
Related information
See the:
‑ 'Charging decisions' Police Manual chapter for guidance on selecting appropriate charge(s).
‑ 'Solicitor‐General's Prosecution Guidelines' for guidance about whether criminal proceedings should be commenced, and if so,
what charges should be laid, and whether the proceedings should continue
‑ Criminal procedure chapters for information and guidance on criminal procedure from commencement to disposition, with
particular reference to the Criminal Procedure Act 2011.
Who is the audience for the chapter?
The guidance in this chapter is written primarily for officers in charge of cases (O/C case), their supervisors, and other Police
employees who prepare prosecution files. It also applies to specialist units with responsibility for part or all of the prosecution file
preparation in their area.
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Stage
Responsibilities
Jury trial
‑ Maintain ongoing liaison with the Crown.
file
‑ Prepare the formal statements following advice in the 'Formal statements' section in this chapter.
‑ Prepare any exhibits referred to in the formal statements to a 'trial ready' stage. Each exhibit must be labeled for
easy identification (include Police file number, case name, exhibit number/reference, District Court name, date of
filing, O/C case name).
‑ Deliver three copies of the formal statements (or an electronic copy, if to be filed electronically) to the relevant
Crown office no later than 5 working days after the proceeding has been adjourned for trial callover.
‑ File any exhibits required by the formal statements with the court in consultation with the Crown and notify the
Crown when completed.
‑ Serve a copy of any exhibits that are also documents on the defence.
‑ Ensure all witnesses are summonsed and the Crown informed of this.
All court
‑
phases
Remember you will always be the O/C file. You should know the file, liaise with witnesses before court, uplift
exhibits and discuss your case with the assigned prosecutor at least three days out from the trial date, and in any
event, at least one working day before the hearing.
Note that Courts take a firm position on requests for trial date changes and normally require compelling reasons.
Applications for adjournments require judicial oversight and must be filed by the PPS or Crown, if they have
responsibility. If you have a good reason for not being able to attend the court hearing (e.g. overseas), submit a report as
early as possible to the prosecutor or discuss it with them. Each court will have a different practice for changing hearing
dates.
Responsibilities in relation to evidence
Consider these points relating to specific types of evidence:
Evidence type
Comment
Photographs
If you are taking photographs for a file, record "description, time, date, location of taking, name of photographer".
Witness
Always ensure there is only one witness availability calendar, covering all witnesses for a six month period. This
availability
should be on every first appearance file and updated as required. Ensure all leave and training commitments are
marked on the calendar.
Charging advice Refer to 'Charging decisions' in the Police Manual.
When to create a
‑ Every youth jointly charged must be the subject of a separate part file.
file
‑ A prosecution or enquiry part file should be created when there are different actions required for one file.
Prosecutor's
Draw the prosecutor's attention to potential issues in the case that may require them to file applications pursuant
intention to call to the Evidence Act 2006. These would generally relate the prosecution intention to call evidence under these
evidence
headings:
‑ hearsay evidence
‑ identification evidence
‑ modes of evidence:‐ the way in which evidence is proposed to be given by complainants and witnesses,
especially when an application is required for those under 18
‑ propensity evidence.
Supervisor's responsibilities
The supervisor of the O/C case must:
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‑ ensure the prosecution file is prepared to the standards set out in this chapter
‑ coach the O/C case if there are file deficiencies to ensure it is completed to a professional standard
‑ check, minute and sign all files submitted by the O/C case before forwarding to another workgroup
‑ ensure NIA has been updated with the correct file assignment information.
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Preparing prosecution files
Purpose
The three purposes of a prosecution file are to:
‑ ensure the accountability of the charging officer for action taken
‑ enable effective review of the decision to prosecute
‑ further the prosecution process in court or through alternative resolution measures, e.g. diversion.
Prosecution files are constructed with an understanding of the needs of the groups that use them (i.e.PPS prosecutors and Crown
solicitors). The information in the files can also be used for a variety of functions, including:
‑ assessing bail
‑ providing sufficient evidence to support the current charge(s)
‑ providing a basis for effective disposition, particularly through sentencing.
The O/C case should consider these purposes and functions when preparing a prosecution file.
Principles
When preparing a prosecution file, remember your ultimate 'audience' is the Judge, or Judge and jury. Pay particular attention to:
‑ Evidential content ‐ reflects an officer's ability as an investigator, their understanding of the criminal statute and the laws of
evidence, and ability to brief
‑ Presentation ‐ this includes the 'professionalism' factor and is demonstrated by the file's physical appearance (i.e. file neatly
put together, free of typing and grammatical errors, Summary of Facts concise and covering the ingredients of the offence)
‑ Construction ‐ the arrangement (file order) of the file documents to meet the required standards.
The extent to which the O/C case applies these principles and meets the file standard can have two effects:
‑ it reflects on the individual officer's performance, and
‑ the ability of the prosecution case to be progressed effectively.
Remember the file must contain all relevant evidential and disclosable information. 'Relevant' in this context means information that
can support or rebut the case against the defendant. Where there is a working prosecution file, ensure that all relevant information is
also on the prosecution file.
Matters related to evidential content are required to satisfy the evidential and public interest tests set out in the 'Solicitor‐General's
Prosecution Guidelines' as adopted in the PPS Statement of Policy and Practice and such other subject specific prosecution policies
that may be established from time to time.
File structure
Each document has a place in the file and serves a specific purpose. Note:
‑ A POL 250 Prosecution Cover Sheet (in Police Forms or self populated inNIA ‐ refer NIA Prosecution Forms on the intranet) must
be completed and printed on white paper for each prosecution file. Both the O/C case and the prosecutor are required to
complete aspects of this coversheet. Documents must not be placed above the prosecution file cover sheet.
‑ All documents attached to a prosecution file should be relevant to the file ‐ remember that many documents on a prosecution
file are subject to disclosure.
‑ As a general rule, plastic sleeves should not be attached to a file (unless used to protect an exhibit).
‑ Physical exhibits should not be attached to a file, except:
‑ copies of photographs
‑ copies of documentary exhibits
‑ (The O/C case or O/C exhibits (as appropriate) should safely secure the original documentary evidence).
‑ The file should be secured with a file pin and not stapled together.
‑ Very few files warrant being organised in a ring binder.
‑ Coloured paper inserts must not be used.
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Files being sent to the Crown
The Crown assumes responsibility for Crown prosecutions at different stages of the proceedings in accordance with the Criminal
Procedure Act 2011, associated rules and regulations. Refer to the Crown involvement section of the Administration stage chapter for
greater detail of when responsibility is assumed for a particular file. Refer also to the Memorandum of Understanding (MOU) between
the Solicitor‐General and the Commissioner of the Police outlining the processes and standards expected to be followed for Police
initiated prosecutions involving the Crown.
When the Crown assumes responsibility for a prosecution, PPS must send the file to the Crown within:
‑ 5 working days of the date the Crown assumed responsibility, or
‑ a shorter timeframe and as a matter of priority if required in a particular case (e.g. if an appearance is required by the Crown the
day after the Crown assumed responsibility).
The O/C must be aware that ongoing liaison with the Crown may be required from as early as the first appearance, depending on the
offence type and category. As such, clear identification of the O/C and relevant supervisor is required in the initial POL 258 P report.
Local arrangements for preparing files for the Crown should be discussed with the local PPS office.
NIA Prosecution form set
Wherever possible the NIA prosecution form set should be used to generate prosecution forms. This ensures that an electronic copy of
the form is kept and able to be accessed when the hard copy file cannot.
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Alternatives to prosecution
Police adult diversion
All files being considered for Police diversion must be prepared to the standard for first appearance files.
Refer to the 'Adult diversion scheme policy' in the Police Manual for further information about diversion.
Alternative resolutions / formal warnings
A prosecution file is not required for a formal warning.
Refer to the 'Charging decisions' chapter in the Police Manual.
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Files for first appearance
Follow this order when preparing a prosecution file for first appearance. Note: Where available, use theNIA ProsecutionFormset to
complete the forms listed below, otherwise use Police Forms> Prosecutions.
File
Order
(Top to
bottom)Document
Explanation
1
Administrative documents
a
POL 250 Prosecution Coversheet
b
DOC LOC case coversheet
c
DOC LOC case file statistics
Not required if a part file
2
Reports
a
POL 258 P Prosecution Report
Follow the format provided by the guidance on the form (purple text) and clearly
identify if any interview was visually recorded
b
Witness Availability Form
One sheet to cover all witnesses, both police and civilian, for the upcoming 6 months
3
Disclosure
a
Copy of Initial Disclosure Record /
After disclosure initially made
Letter
b
Disclosure Index
Only if one has been created at this time
4
Charge documents
a
Charging documents
In CRN numerical order
b
Record of victim contacts printed off Where necessary
NIA (Case Management electronic
POL1060 info)
c
Proposed bail conditions printout
Two copies
d
POL 128 Opposition to bail
If bail opposed ‐ Opposition to bail and associated papers must also be copied into
judge's pack and disclosure pack
e
Notice of bail
If Police bail was granted
f
Summons ‐ proof of service
If summonsed to appear
g
POL 262 Summary of Facts
Three copies plus one in disclosure and one in judge's pack
h
POL 395 Reparation Schedule
If applicable. A copy for the judge and prosecutor only (separate from Summary of
Facts)
i
POL 392 Victim Impact Statement
If applicable and in compliance with Victim Impact Statement currency requirements
(see 'Victims (Police service to victims'). One copy for each Summary of Facts
j
POL 275 Witness list
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Files for case management meeting and case review
Preparing the documentation
When requested by the prosecutor to provide additional information or to undertake further enquiries, complete those tasks and
forward the file at least 5 working days (unless advised otherwise by the prosecutor) before the case management meeting so that the
prosecutor has all the information to prepare for discussion with the defence counsel.
Even if the file is retained by the prosecutor following the entry of the not guilty plea, always ensure that all available disclosure is sent
to the defendant or their counsel at the defendant's address for service and update the disclosure index on the prosecution file. A
disclosure pack (see 'Prepare full disclosure' in the 'Criminal disclosure' chapter) should never be left attached to the file.
When returning the file to either PPS or the Crown, submit the file in this order.
Where available, use the NIA Prosecution Formset to complete the forms listed below, otherwise use Police Forms> Prosecutions.
File
Order
(Top to
bottom)Document
Explanation
1
POL 250
Must be the first form on every file
Prosecution File
Cover Sheet
2
Administrative

documents
a
DOC LOC case
coversheet
b
DOC LOC case file  Not required if a part file
statistics
3
Reports

a
POL 258 P
Updated if file returned. Near the top of the report include defence lawyers details and if prepared by
Prosecution Report  specialist unit, the O/C case's details. The purpose is to provide a synopsis of evidence/ issues/
negotiating position.
b
Response to NIA
If applicable.
tasks
c
NIA task to O/C
If applicable.
d
POL 2146 ‐ Action  If applicable.
required before
CMM form
e
POL 2145 ‐ Pre‐CMM
file analysis form
f
Case Memorandum  In chronological order
g
Older reports
h
Witness Availability  One sheet to cover all witnesses, updated as required.
Form
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Stage Description
1
The file is reviewed by a prosecutor with a file analysis completed following the entry of a not guilty plea. The O/C case is
informed of the plea and requirement to complete disclosure and any remedial action.
In a Crown prosecution for a category 4 offence or a Schedule offence, the Crown must identify any charges to be added,
amended, or withdrawn, within the case review stage. A transcript of any video interviews with witnesses must be provided to
the Crown as soon as practicable and preferably within four weeks after the entry of a not guilty plea, or as otherwise agreed
with the Crown Solicitor. Provision of the transcripts will assist the Crown to determine the appropriate charges prior to any
discussions with the defence.
2
If additional information or action was sought, the O/C case must submit the file or further information to their supervisor at
least 6 working days before the case management discussion to allow time for the supervisor to direct changes.
3
If additional information or action was sought, the file and/or any further information should be submitted to the PPS Office, or
where relevant to the Crown, at least 5 working days before the meeting, unless advised otherwise by the prosecutor, to give
the prosecutor time to prepare and advance the case at the case management discussion and any subsequent case review
hearing.
4
Discuss any special or complex issues with the prosecutor before the hearing.
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typed, clear version of the document that removes any inadmissible evidence must be completed in the same format as a brief of
evidence. Any video statement must be accompanied by a full unsigned transcript of the contents.
The following diagram will assist in determining if an original statement is likely to be accepted for filing and whether any statement or
transcript is required to accompany it.
Preparing and filing formal statements
Follow these steps when preparing and filing formal statements.
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Where the statement is recorded electronically by a specialist interviewer, a formal statement of the interviewer should also be
prepared.
Prepare a formal statement for the interviewer which states:
‑ the interviewer's qualification, e.g. Accredited Level 3: Specialist Adult Witness
‑ the time, date and location of the interview
‑ the witness's name
‑ that they informed the witness the video record may be used as evidence in later proceedings
‑ that they interviewed the witness and it was recorded on video
‑ the procedures used to ensure integrity of the video record
‑ that the interview was conducted in compliance with Part 1 of the Evidence Regulations 2007.
Extensions to the filing timeline
Formal statements may only be filed after the filing deadline with leave of the court.
Where a formal statement is required to establish evidence of the charges but will not be available prior to the 25 working days before
callover, an application must be made to the court for an extension of time for filing the statements. Identify any extension that may be
required in the POL 258 P. Consult the Crown prosecutor about any necessary application for an extension as early as possible and
request the local Crown Solicitor's office to file the application.
Good reasons must be provided for seeking extensions.ESR analysis or specialist reports (e.g. pathologists) are examples of evidence
that have a tendency to require more time and may require an application for an extension of time.
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Preparing for the Judge‐alone trial
Introduction
This section focuses on the responsibilities of the O/C case when preparing for hearings. Other information about preparing for Judge‐
alone trials, with a greater focus on the prosecutor's responsibilities is located in the 'Criminal procedure ‐ Trial stage' chapter.
Before court
Before going to court, the O/C case must:
‑ contact the witnesses once notified of a Judge‐alone trial date
‑ depending on the witnesses, the O/C case may need to contact them a number of times before the hearing to put them at ease
(note that the prosecutor will contact s29 victims etc)
‑ close to the hearing, ascertain whether the witnesses will require transport and if so, arrange when and where to meet them
(witnesses should be at court by 0930 hrs). Obtain their cell phone contact details
‑ request witnesses to dress appropriately for a court appearance
‑ ensure all witnesses are provided with copies of any document they have signed that might help them remember the incident.
Do this well before the hearing date. It may put witnesses at ease to be advised that they may be able to refer to their signed
statements when under cross‐examination, or to refresh their memory at any stage, if they cannot recall their evidence on a
given point
‑ advise each witness not to discuss their evidence with any other witnesses in the case
‑ contact the prosecutor to discuss case at least three days before
‑ prepare exhibits for production in court. ‐ Ensure they are presented in the most effective way and consider health and safety
issues. Uplift the master copy of the DVD/video
‑ determine if you need a private witness room at court. Contact the Court Victim Advisor.
Trial day
On the day of the Judge‐alone trial, the O/C case must:
‑ arrive at 0930 hrs and locate the witnesses. Take them to the witness room (if required and available)
‑ inform the prosecutor when you and your witnesses are ready to proceed
‑ move your witnesses to a location where they are not sitting with the defendant or their supporters
‑ brief your witnesses again and, if they do not have one, provide them with a copy of their previously signed documents. Take
them through their original statement, tell them what to expect in court (e.g. what type of things the defendant's lawyer will ask
them, and the nature of closed questioning). Show them any photographs or exhibits they will be asked to refer to. Remind them
not to discuss their evidence with any other witnesses in the case as they wait to give evidence. Note: Do not coach them or
suggest what they should say!
‑ show the witness the court room. Explain the layout, where to stand and who is likely to be present. It will assist witnesses to be
advised that regardless of who is asking them questions, the best person to put their responses to is the Judge.
The Judge‐alone trial
The Judge will indicate at the beginning of the day when and what cases will be heard. If the case is adjourned for any reason, such as
insufficient court time available that day, inform your witnesses and confirm their availability.
At the beginning of the hearing the prosecutor may seek that all witnesses be excluded from the courtroom with the exception of the
O/C case and the defendant. The O/C case may only remain if they are excluded from the order. Ensure your witnesses understand the
requirements of the order, and the reason for it.
As each witness completes their evidence thank them and advise them you will contact them with the result of the hearing if they wish.
They are entitled to stay and watch the remaining evidence if they wish but this is not encouraged.
Giving evidence
If asked to give evidence, you must:
‑ always present yourself in a professional manner. Refer to the Police Manual chapter 'Uniform, dress standards and appearance'
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‑ remove sunglasses before entering the courtroom and switch off cell phones and Police radios. Do not eat or drink in the
courtroom
‑ address judges as "Your Honour" or "Sir/Ma'am" and Justices of the Peace and Community Magistrates as "Your Worship(s)"
‑ speak slowly and clearly
‑ if you don't remember or can't understand a question say so ‐ don't 'fill in the gaps'.
Giving evidence is not a memory test. You are entitled to refer to your notebook orEBA check sheet, however you must first seek leave
of the court to do so. Do this by simply asking the Judge if you can refer to your notes made at the time of the incident. This will almost
always be approved.
Youth prosecutions
Refer to the 'Youth justice' chapter in the Police Manual.
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Preparing for Crown trials (Judge‐alone or jury)
Before court
Before going to court, the O/C case must:
‑ ensure all witnesses have been summonsed to attend the trial and advise the Crown Prosecutor once this is done. If it is a
standby trial, witnesses must be summonsed to attend the whole week but remain on call
‑ establish who the assigned Crown Prosecutor is for your trial. You can contact the Crown Trial Administrator
‑ advise the Crown Prosecutor, well in advance of the trial, of any issues including:
‑ propensity evidence, co‐offenders, disclosure
‑ witness problems or special requirements, unavailable dates and requirements resulting from the memorandum
‑ ensure the Crown Prosecutor has copies of all exhibits and sufficient copies of photographs have been prepared (normally 10
copies for jury trials)
‑ liaise with the Crown Prosecutor the week before the trial and be prepared to carry out any further enquiries that might be
requested. Confirm that the court has been made aware of any special technical requirements, e.g. DVD/video
equipment/screens for witnesses
‑ always consider bringing the victim in to meet the Crown Prosecutor and see the court setting (essential for sexual offence
trials)
‑ once the file is with the Crown, direct all defence enquiries to the assigned Crown Prosecutor
‑ arrange a witness room at the court.
Trial day
On the trial day, the O/C case must:
‑ arrive at the Crown room (if available) in the court building at least 30 minutes before court begins ‐ earlier if bringing victims or
crucial witnesses. Liaise with the Crown on their preferences as there are regional differences
‑ ensure the Crown Prosecutor has Judge, witness, counsel, and "jury copies" (as advised by the Crown) of any of any
photographs and other exhibits before the jury is empanelled for jury trials, and at least four copies of each before the
prosecutor enters the court room for Judge‐alone trials
‑ arrange access to a prosecution witness room (if necessary and available). This should be near the trial courtroom (particularly
appropriate in the High Court)
‑ ensure witnesses are segregated while waiting, and try to time their appearances to avoid unnecessary waiting
‑ brief the witnesses again. This means giving them their original statements and/or any formal statements and brief, where
applicable, to read. Take them through all of the statement(s). Confirm dates and other important matters. Remind them of the
importance to tell the truth and to state if they can't remember or don't understand the question.
Note ‐ You must allow sufficient time for this to occur.
‑ take care that witnesses do not discuss their evidence with each other prior to going into court and do not allow them to have
access to members of the jury. Advise them that jurors may be out and about during breaks and the case ought not to be
discussed during break times.
‑ ensure witnesses, after they have given evidence, complete the necessary documentation to receive payment for attending.
Advise them that they are entitled to stay and hear the remaining evidence but this is not recommended, especially in sexual
abuse cases
‑ remain throughout the trial and where possible have an assistant to brief the witnesses. Be available to liaise with the Crown
Prosecutor during adjournments and follow up on any unexpected enquiries after court has finished for the day. This includes
following up on rebuttal evidence that may have arisen from the defence case.
It is expected that the O/C case should remain throughout closing speeches, summing up and jury retirement. This is particularly
important for security reasons leading up to and after a verdict has been read.
After the trial
After the Crown trial, the O/C case must advise witnesses of the result of the trial and thank them for their time. Complete a Court
Witness Expense form (POL925) and hand it in to the Criminal Registry. This is particularly important in relation to professional
witnesses. Obtain or update any Victim Impact Statements, as required, for sentencing.
Youth prosecutions
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Refer to the 'Youth justice' chapter in the Police Manual.
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Completing key forms and documents for files
NIA Prosecution form set
You should, if possible, produce the following forms (where available) through the NIA Prosecution formset as they are self‐populating
and will provide accurate information. Go to Prosecution Forms section of the NIA Manual on the intranet for guidance.
Prosecution Cover Sheet (POL 250)
Function
Prosecution cover sheets (available in the NIA Prosecution formset and in Police Forms) must be prepared for every prosecution file,
and are used to:
‑ provide key information about the offender to the prosecutor
‑ record appearances, sentencing outcomes and bail conditions
‑ guide file completion.
What to include in the cover sheet
The cover sheet format is clear and precise and designed both to inform and record. All hand written recorded information must be
accurate, clear and understandable.
If you are completing the forms manually, remember it is easy to forget details. If the case file passes to other prosecuting staff, the
cover sheet might be the only document listing key information relating to the progression of the prosecution. Accurate information
saves time and potential embarrassment in court.
What to include in the Prosecutor Notes section
This section is for prosecutors only. Prosecutors must ensure entries are accurate and that they are clear and understandable.
Prosecutor notes should be detailed, but relevant
Do not be too brief in compiling Prosecutor Notes. It is easy to forget details. If the case file passes to other prosecuting staff, the
Prosecutor Notes might be the only document listing key information relating to the progression of the prosecution.
Never enter frivolous, personal or emotive comments or character judgements. In particular, avoid comments about a person's
attributes, criminal inclination or veracity, unless it is:
‑ relevant, and
‑ can be substantiated or supported by evidence.
Disclosing the coversheet
The cover sheet is generally not disclosable. It can be withheld as it is used to assist the prosecutor to conduct the hearing (s16(1)(c)(i)
of the Criminal Disclosure Act 2006). Where the cover sheet contains reference to facts and evidence this should be existing facts and
evidence contained in other documents previously considered for disclosure.
Prosecution Report (POL 258 P)
A guided template is provided in the NIA Prosecution formset, or in the Prosecution section of Police Forms. It is important to follow
the guidelines provided in the (purple) hidden text, and ensure 'view hidden text' is enabled in the document option settings and
'printing of hidden text' is not enabled.
The POL 258 P provides the prosecutor with much of the information required to make initial decisions on the file. Where an offence
may become a Crown prosecution due to additional criteria, or where an extension of time may be required, it is important for this
information to be clearly highlighted in the POL 258 P. Examples would include evidence of commercial drug dealing beyond the
quantity seized, ESR analysis and expected timeframes, or the existence of evidence derived from an interception warrant.
Summary of Facts (POL 262)
A Summary of Facts is a document that includes the prosecution position on the salient facts of the offending. A guided template is
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provided in the NIA Prosecution formset, or in the Prosecution section of Police Forms.
In R v McGaw (2000) 18 CRNZ 236, at paragraphs 3‐6, the High Court provided some comments on the contents of the Summary of
Facts, and offered some guidance on their preparation:
1.The summary must clearly state the position of the prosecution as to the facts. The court, and the defendant, will be left "up in
the air" if there are gaps or it recites conflicting sources of evidence and then moves on without attempting to resolve them. The
prosecution's position on the salient facts must be clear. If the defendant contests any of those facts, and the contest cannot be
resolved by agreement, the court may need to hear evidence and reach its own conclusion.
2.The courts only want to know the ultimate facts, not the process by which they were ascertained.The ultimate facts are what
the defendant actually did, the consequences of their actions, and explanation given, and any other facts which bear upon the
seriousness of the offending. The result should be a concise account of the defendant's alleged course of conduct expressed as a
chronological sequence. The essential point is that some summaries contain much unnecessary information.
3.It may be appropriate to file an amended summary, as a result of continuing investigations and negotiations with the
defence. Amended or otherwise, the summary must be available to the court before the sentencing date, as all the research and
preparation by the court is based upon the summary.
4.For drug cases: sentencing turns largely upon the types, quantities, and values of the drugs concerned, the specific occasions upon
which offences were committed, the overall periods of dealing or offending, the role played by the defendant, the profit made, and
the defendant's relationship to any others in the drug hierarchy.
Frequently, Judges are left to ascertain some of the above by questioning Counsel during the sentencing hearing. The prosecution is
entitled to draw inferences from the evidence, (both expert and lay witnesses) available. The defendant may challenge the prosecution
propositions set out in the summary.
Schedule of Offences
Consider using a Schedule of Offences as part of the Summary of Facts when an offender is charged with multiple similar offences.
Schedules can be used for any type of offence and are helpful for offending over a period of time or if the offences are numerous.
These are commonly used for fraud, burglary, tagging and unlawful taking vehicles. If you prepare a brief Summary of Facts and
include all the offences on a schedule, the details of each offence will not have to be read out in court. This will be used as a quick
reference guide by all the parties.
Reparation Schedule (POL 395)
The Reparation Schedule assists the Ministry of Justice in locating victims after a person has been sentenced to pay reparation to
them. Full victim information must be included in this form. This form is not disclosable as it contains victim's contact details.
Refer to the Prosecution section of Police Forms.
Opposition to Bail (POL 128)
Refer to the Prosecution section of Police Forms. This form has built‐in guidance for its completion.
Victim Impact Statement (POL 392)
Victim impact statements are required, if possible, at first appearance and must be on file for second appearance. The prosecutor must
task the O/C to check if the statement needs updating before each of the key stages in the court process.
Victim impact statements are used to inform the sentencing judge of the effects the offence has had on the victim. They are completed
wherever there is an identifiable victim, including, in certain circumstances, corporate victims or others disadvantaged by an offence.
Statements
Information and guidance about statements for suspects and witnesses are covered in the ' Interviewing' chapters of the Police
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Manual. As mentioned in Files for case management meeting and case review, in a Crown prosecution for a category 4 offence or a
Schedule offence, a transcript of any video interviews with witnesses must be provided to the Crown as soon as practicable and
preferably within four weeks after the entry of a not guilty plea, or as otherwise agreed with the Crown Solicitor. When the Crown
assumes responsibility for a non‐schedule offence where jury trial is elected, transcripts of any witness interviews to be filed as formal
statements must be provided to the Crown within five working daysof the adjournment to trial callover.
Synopsis of suspect interviews
A full synopsis of recorded evidence is not required. In every case where you have a recorded statement from a suspect there should be
a brief synopsis of that interview in the POL 258 P on the prosecution file. The POL 258 P should record all admissions, denials, possible
defences raised and provable lies.
Suspect transcripts
A transcript of a suspect's interview to be played at a Judge‐alone or jury trial is always required. The transcript must be made
available before the callover for jury trials wherever possible and as soon as possible once a Judge‐alone trial is confirmed.
Information and guidance about transcripts are covered in the 'Interviewing' chapters of the Police Manual and the 'Criminal
disclosure' chapter.
Briefs of evidence
A brief of evidence is a written summary of the evidence each witness will give in court. It is prepared by the O/C case or a specialist
unit from information supplied by witnesses, usually from statements, job sheets, notebooks, etc. A template can be found in Police
Forms> Prosecutions.
Police employees and some specialist witnesses, such as police photographers or ESR members, prepare their own briefs. The O/C
case or specialist unit assigned this task must ensure that this is done.
In limited situations, a formal statement may be all that is required for a brief of evidence if that statement is the sole source of verbal
evidence for a witness and fulfils the requirements and functions of a brief. A brief must be completed unless the prosecutor advises
that the existing statement is sufficient.
Function of a brief
A brief of evidence must:
‑ clearly set out the evidence that is both admissible and relevant in support of the charge, and
‑ establish all the elements of the offence that witness can attest to, and if they are able to identify the defendant.
They are used to:
‑ enable supervisors to assess whether there is evidential sufficiency, and
‑ guide the prosecutor when conducting evidence in chief, i.e. they act as an aide memoir.
A brief of evidence is not simply a routine transcription of facts. Each brief should be written in such a way that it can be easily followed
in a logical and chronological manner so that no evidence is missed. In court, witnesses will expand on different points contained in a
brief, but there must be points in the brief that can trigger their memories.
The prosecutor, who will guide the witnesses, may have no prior knowledge of the case and relies on the content of the briefs.
Therefore, everything that needs to be given in evidence must be contained in the brief, so that it is not missed.
Briefing a file
Before writing briefs:
‑ ensure that the investigation is complete if possible and that all available evidence has been obtained
‑ ensure that all information from witnesses is accurate
‑ know the file thoroughly
‑ know the elements that must be proved
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‑ be aware of possible defences
‑ plan the briefs to ensure that:
‑ witnesses are called in the correct order
‑ the evidence each witness can give is noted
‑ where a witness is to present or refer to exhibits this is clearly noted (see 'The format' below)
‑ ensure that:
‑ the combined briefs and evidence to be produced prove the charge
‑ all the evidence in the briefs is both relevant and admissible
‑ the facts referred to are accurate and within the witnesses' own first hand knowledge.
If in doubt about admissibility, contact you local legal adviser or PPS office.
The format
The brief must:
‑ be headed up with the witness' full name. The name is followed by the words "to prove" if the brief is not going to be signed by
the witness. A formal statement signed by the witness is to be headed up with the witness's full name followed by the word
"states"; for example, "William Henry Jones to prove" or "I, William Henry Jones, state". Subsequent pages must be headed "…
further to prove" in an unsigned brief, or in a formal statement "… further states"
‑ be written in the first person; e.g. "I did, saw, went"
‑ be typed using 1.5 line spacing
‑ have a 50 mm left margin
‑ contain one point per paragraph
‑ be in chronological order
‑ clearly identify the defendant when referring to identification evidence
‑ clearly indicate where any exhibits will be produced or referred to and have "PRO EXH" or "REFER EXH" written clearly in the left
margin.
Points to note
Ensure that:
‑ the facts are accurately and fairly stated so as not to "colour" the evidence, i.e. to support the prosecution
‑ the caution and rights are outlined in full (See Chief Justices' Practice Note PN13 Practice Note on Police Questioning (s 30(6)
Evidence Act 2006) 16 July 2007). Follow the wording of the caution for adults and children and young people on the Police
notebook caution card.
‑ all questions and answers from interviews are written in full on the brief
‑ the times that events took place are entered, if known
‑ expert witnesses qualify themselves at the beginning of their brief.
Presenting identification evidence in a brief of evidence
When presenting identification evidence as part of a brief of evidence ensure it complies with section 45 of the Evidence Act 2006,
unless identification of the defendant is accepted by the defence. The identification evidence should be presented in the following
sequence (in accordance with the Court of Appeals decision in R v Peato (2009) 24 CRNZ 260):
‑ The witness should first give a description of the offender as best they can from memory.
‑ They should say if they took part in a visual identification exercise (e.g. viewed photo montages).
‑ They should not give the result of the visual identification exercise.
‑ The Police officer who conducted the formal visual identification procedure under section 45 should describe the results of the
procedure.
‑ The witness should not conduct a dock identification.
Also see the synopsis of the Peato decision in Legal News (see PDF below) on the Police intranet:
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DYK Aug 2011.pdf
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Witness Expenses Form (POL 925)
Use the Witness Expense Form (POL 925) (available in Police Forms> Prosecutions) to submit witness expense details to the District
Accounts Section for payment.
The form contains details of the witnesses and their travel, accommodation, meal and court attendance expenses. The attendance fee
is based on a half‐day or full‐day presence and is at a fixed rate.
The O/C case must establish details of any expenses in addition to the attendance fee and obtain verification where possible. The form
is signed by the prosecutor or O/C case and submitted to business services.
Witness lists for files (POL 275)
For Judge‐alone trials, attach a list of witnesses, with their addresses, occupations and contact numbers, to the Summary of Facts.
Where there are a large number of witnesses, it is an advantage to have all of their details collated for contact purposes. Because the
list presents the witnesses in the order they are to appear, the O/C case and prosecutor can use it as a ready reference for the
presentation of the case. Ensure the prosecutor is aware of any confidential information in the witness list as the defence counsel
might ask for it to be disclosed. The witness list will be used by the prosecutor in the review stage of prosecutions to seek the witness
summonses.
File exhibit lists
A list of exhibits to be produced is also prepared for Judge‐alone trials, often done in conjunction with the witness list. It contains
details of each exhibit and the name of the witness producing it. These details form a checklist for the O/C case and prosecutor to
ensure that the tie‐up of witnesses and exhibits has occurred. Quote the Police exhibit number if necessary.
Exhibits
Whether for a Judge‐alone trial or not you must ensure your exhibits are presented in a professional manner.
Do not present large sums of cash or drugs as exhibits. Photographs should be taken and used, and with large sums of money carefully
note serial numbers on the file.
CSV1 forms
Where there is a victim and the matter is referred to court, complete a Court Services For Victims form (CSV1) and email it to the Victim
Adviser, Court Services for Victims before the first court appearance. Send using secure email [SEEMail] ‐ refer to 'Secure Electronic
Environment Mail (SEEMail)' in the 'Operation security' chapter.
The email's addresses are available at the CSV 1 email address list.
Update the NIA Victim Contact node to demonstrate this action has been undertaken.
This document was current at 15 February 2024. Police policies are reqularly reviewed and updated.
The most current version of Police policies are available from www.police.govt.nz

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