Made | 19th July 2004 | ||
Laid before Parliament | 20th July 2004 | ||
Coming into force | 1st October 2004 |
1. | Citation, commencement and revocation |
2. | Interpretation |
3. | Overriding objective |
4. | President of Employment Tribunals |
5. | Establishment of employment tribunals |
6. | Regional Chairmen |
7. | Vice President |
8. | Panels of members of tribunals - general |
9. | Composition of tribunals - general |
10. | Panels of members of tribunals - national security proceedings |
11. | Composition of tribunals - national security proceedings |
12. | Modification of section 4 of the Employment Tribunals Act (national security proceedings) |
13. | Practice directions |
14. | Power to prescribe |
15. | Calculation of time limits |
16. | Application of Schedules 1-5 to proceedings |
17. | Register |
18. | Proof of decisions of tribunals |
19. | Jurisdiction of tribunals in Scotland and in England & Wales |
20. | Transitional provisions |
SCHEDULE 1 | THE EMPLOYMENT TRIBUNALS RULES OF PROCEDURE |
1. | Starting a claim |
2. | What the tribunal does after receiving the claim |
3. | When the claim will not be accepted by the Secretary |
4. | Responding to the claim |
5. | What the tribunal does after receiving the response |
6. | When the response will not be accepted by the Secretary |
7. | Counterclaims |
8. | Default judgments |
9. | Taking no further part in the proceedings |
10. | General power to manage proceedings |
11. | Applications in proceedings |
12. | Chairman acting on his own initiative |
13. | Compliance with orders and practice directions |
14. | Hearings - general |
15. | Use of electronic communications |
16. | Hearings which may be held in private |
17. | Conduct of case management discussions |
18. | Conduct of pre-hearing reviews |
19. | Notice requirements |
20. | Requirement to pay a deposit in order to continue with proceedings |
21. | Documents to be sent to conciliators |
22. | Fixed period for conciliation |
23. | Early termination of conciliation period |
24. | Effect of staying or sisting proceedings on the conciliation period |
25. | Right to withdraw proceedings |
26. | Hearings |
27. | What happens at the Hearing |
28. | Orders and judgments |
29. | Form and content of judgments |
30. | Reasons |
31. | Absence of chairman |
32. | The Register |
33. | Review of default judgments |
34. | Review of other judgments and decisions |
35. | Preliminary consideration of application for review |
36. | The review |
37. | Correction of judgments, decisions or reasons |
38. | General power to make costs and expenses orders |
39. | When a costs or expenses order must be made |
40. | When a costs or expenses order may be made |
41. | The amount of a costs or expenses order |
42. | General power to make preparation time orders |
43. | When a preparation time order must be made |
44. | When a preparation time order may be made |
45. | Calculation of a preparation time order |
46. | Restriction on making costs or expenses orders and preparation time orders |
47. | Costs, expenses or preparation time orders when a deposit has been taken |
48. | Personal liability of representatives for costs |
49. | Sexual offences and the Register |
50. | Restricted reporting orders |
51. | Proceedings involving the National Insurance Fund |
52. | Collective agreements |
53. | Employment Agencies Act 1973 |
54. | National security proceedings |
55. | Dismissals in connection with industrial action |
56. | Devolution issues |
57. | Transfer of proceedings between Scotland and England & Wales |
58. | References to the European Court of Justice |
59. | Transfer of proceedings from a court |
60. | Powers |
61. | Notices, etc |
SCHEDULE 2 | THE EMPLOYMENT TRIBUNALS (NATIONAL SECURITY) RULES OF PROCEDURE |
1. | Application of Schedule 2 |
2. | Notification of national security proceedings |
3. | Responding to a claim |
4. | Serving of documents by the Secretary |
5. | Default judgment |
6. | Witness orders and disclosure of documents |
7. | Case management discussions and pre-hearing reviews |
8. | Special advocate |
9. | Hearings |
10. | Reasons in national security proceedings |
11. | Correction of written reasons |
12. | Review of judgments or decisions |
SCHEDULE 3 | THE EMPLOYMENT TRIBUNALS (LEVY APPEALS) RULES OF PROCEDURE |
1. | Application of Schedule 1 |
2. | Definitions |
3. | Notice of Appeal |
4. | Action on receipt of appeal |
5. | Requests for further information |
6. | Withdrawal of appeal or assessment |
7. | Entry of appeal |
8. | Order for further information |
9. | Provisions of Schedule 1 which do not apply to levy appeals |
10. | Modification of Schedule 1 |
SCHEDULE 4 | THE EMPLOYMENT TRIBUNALS (HEALTH AND SAFETY - APPEALS AGAINST IMPROVEMENT AND PROHIBITION NOTICES) RULES OF PROCEDURE |
1. | Application of Schedule 1 |
2. | Definitions |
3. | Notice of appeal |
4. | Time limit for bringing appeal |
5. | Action on receipt of appeal |
6. | Application for a direction suspending the operation of a prohibition notice |
7. | General power to manage proceedings |
8. | Appointment of an assessor |
9. | Right to withdraw proceedings |
10. | Costs and expenses |
11. | Provisions of Schedule 1 which do not apply to appeals against improvement notices or prohibition notices |
12. | Modification of Schedule 1 |
SCHEDULE 5 | THE EMPLOYMENT TRIBUNALS (NON-DISCRIMINATION NOTICES APPEALS) RULES OF PROCEDURE |
1. | Application of Schedule 1 |
2. | Definitions |
3. | Notice of Appeal |
4. | Action on receipt of appeal |
5. | Provisions of Schedule 1 which do not apply to appeals against non-discrimination notices |
6. | Modification of Schedule 1 |
(2) These Regulations shall come into force on 1 October 2004.
(3) Subject to the savings in regulation 20, the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2001[6] and the Employment Tribunals (Constitution and Rules of Procedure) (Scotland) Regulations 2001[7] are revoked.
Interpretation
2.
In these Regulations and in Schedules 1, 2, 3, 4 and 5: -
Overriding objective
3.
- (1) The overriding objective of these regulations and the rules in Schedules 1, 2, 3, 4 and 5 is to enable tribunals and chairmen to deal with cases justly.
(2) Dealing with a case justly includes, so far as practicable: -
(3) A tribunal or chairman shall seek to give effect to the overriding objective when it or he: -
(4) The parties shall assist the tribunal or the chairman to further the overriding objective.
President of Employment Tribunals
4.
- (1) There shall be a President of Employment Tribunals (England and Wales), responsible for the administration of justice by tribunals and chairmen in England and Wales, who shall be appointed by the Lord Chancellor and shall be a person described in paragraph (3).
(2) There shall be a President of Employment Tribunals (Scotland), responsible for the administration of justice by tribunals and chairmen in Scotland, who shall be appointed by the Lord President and shall be a person described in paragraph (3).
(3) A President shall be a person: -
(4) A President may resign his office by notice in writing to the appointing office holder.
(5) If the appointing office holder is satisfied that the President is incapacitated by infirmity of mind or body from discharging the duties of his office, or the President is adjudged to be bankrupt or makes a composition or arrangement with his creditors, the appointing office holder may revoke his appointment.
(6) The functions of President under these Regulations may, if he is for any reason unable to act or during any vacancy in his office, be discharged by a person nominated for that purpose by the appointing office holder.
Establishment of employment tribunals
5.
- (1) Each President shall, in relation to that part of Great Britain for which he has responsibility, from time to time determine the number of tribunals to be established for the purposes of determining proceedings.
(2) The President, a Regional Chairman or the Vice President shall determine, in relation to the area specified in relation to him, at what times and in what places in that area tribunals and chairmen shall sit.
Regional Chairmen
6.
- (1) The Lord Chancellor may from time to time appoint Regional Chairmen from the panel of full-time chairmen and each Regional Chairman shall be responsible to the President (England and Wales) for the administration of justice by tribunals and chairmen in the area specified by the President (England and Wales) in relation to him.
(2) The President (England and Wales) or the Regional Chairman for an area may from time to time nominate a member of the panel of full time chairmen to discharge for the time being the functions of the Regional Chairman for that area.
Vice President
7.
- (1) The Lord President may from time to time appoint a Vice President from the panel of full time chairmen and the Vice President shall be responsible to the President (Scotland) for the administration of justice by tribunals and chairmen in Scotland.
(2) The President (Scotland) or the Vice President may from time to time nominate a member of the panel of full time chairmen to discharge for the time being the functions of the Vice President.
Panels of members of tribunals - general
8.
- (1) There shall be three panels of members of Employment Tribunals (England and Wales), as set out in paragraph (3).
(2) There shall be three panels of members of Employment Tribunals (Scotland), as set out in paragraph (3).
(3) The panels referred to in paragraphs (1) and (2) are: -
(b) a panel of persons appointed by the Secretary of State after consultation with such organisations or associations of organisations representative of employees as she sees fit; and
(c) a panel of persons appointed by the Secretary of State after consultation with such organisations or associations of organisations representative of employers as she sees fit.
(4) Members of the panels constituted under these Regulations shall hold and vacate office under the terms of the instrument under which they are appointed but may resign their office by notice in writing, in the case of a member of the panel of chairmen, to the appointing office holder and, in any other case, to the Secretary of State; and any such member who ceases to hold office shall be eligible for reappointment.
(5) The President may establish further specialist panels of chairmen and persons referred to in paragraphs (3)(b) and (c) and may select persons from such specialist panels in order to deal with proceedings in which particular specialist knowledge would be beneficial.
Composition of tribunals - general
9.
- (1) For each hearing, the President, Vice President or the Regional Chairman shall select a chairman, who shall, subject to regulation 11, be a member of the panel of chairmen, and the President, Vice President or the Regional Chairman may select himself.
(2) In any proceedings which are to be determined by a tribunal comprising a chairman and two other members, the President, Regional Chairman or Vice President shall, subject to regulation 11, select one of those other members from the panel of persons appointed by the Secretary of State under regulation 8(3)(b) and the other from the panel of persons appointed under regulation 8(3)(c).
(3) In any proceedings which are to be determined by a tribunal whose composition is described in paragraph (2) or, as the case may be, regulation 11(b), those proceedings may, with the consent of the parties, be heard and determined in the absence of any one member other than the chairman.
(4) The President, Vice President, or a Regional Chairman may at any time select from the appropriate panel another person in substitution for the chairman or other member of the tribunal previously selected to hear any proceedings before a tribunal or chairman.
Panels of members of tribunals - national security proceedings
10.
In relation to national security proceedings, the President shall: -
Composition of tribunals - national security proceedings
11.
In relation to national security proceedings: -
Modification of section 4 of the Employment Tribunals Act (national security proceedings)
12.
- (1) For the purposes of national security proceedings section 4 of the Employment Tribunals Act shall be modified as follows.
(2) In section 4(1)(a), for the words "in accordance with regulations made under section 1(1)" substitute the words "in accordance with regulation 11(a) of the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004".
(3) In section 4(1)(b), for the words "in accordance with regulations so made" substitute the words "in accordance with regulation 11(b) of those Regulations".
(4) In section 4(5), for the words "in accordance with Regulations made under section 1(1)" substitute the words "in accordance with regulation 10(a) of the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004".
Practice directions
13.
- (1) The President may make practice directions about the procedure of employment tribunals in the area for which he is responsible, including practice directions about the exercise by tribunals or chairmen of powers under these Regulations or the Schedules to them.
(2) The power of the President to make practice directions under paragraph (1) includes power:-
(3) The President shall publish a practice direction made under paragraph (1), and any revocation or variation of it, in such manner as he considers appropriate for bringing it to the attention of the persons to whom it is addressed.
Power to prescribe
14.
- (1) The Secretary of State may prescribe -
(2) The Secretary of State shall publish the forms and matters prescribed pursuant to paragraph (1) in such manner as she considers appropriate in order to bring them to the attention of potential claimants, respondents and their advisers.
(3) The proceedings referred to in paragraph (1) are: -
Calculation of time limits
15.
- (1) Any period of time for doing any act required or permitted to be done under any of the rules in Schedules 1, 2, 3, 4 and 5, or under any decision, order or judgment of a tribunal or a chairman, shall be calculated in accordance with paragraphs (2) to (6).
(2) Where any act must or may be done within a certain number of days of or from an event, the date of that event shall not be included in the calculation. For example, a respondent is sent a copy of a claim on 1st October. He must present a response to the Employment Tribunal Office within 28 days of the date on which he was sent the copy. The last day for presentation of the response is 29th October.
(3) Where any act must or may be done not less than a certain number of days before or after an event, the date of that event shall not be included in the calculation. For example, if a party wishes to submit representations in writing for consideration by a tribunal at a hearing, he must submit them not less than 7 days before the hearing. If the hearing is fixed for 8th October, the representations must be submitted no later than 1st October.
(4) Where the tribunal or a chairman gives any decision, order or judgment which imposes a time limit for doing any act, the last date for compliance shall, wherever practicable, be expressed as a calendar date.
(5) In rule 14(4) of Schedule 1 the requirement to send the notice of hearing to the parties not less than 14 days before the date fixed for the hearing shall not be construed as a requirement for service of the notice to have been effected not less than 14 days before the hearing date, but as a requirement for the notice to have been placed in the post not less than 14 days before that date. For example, a hearing is fixed for 15th October. The last day on which the notice may be placed in the post is 1st October.
(6) Where any act must or may have been done within a certain number of days of a document being sent to a person by the Secretary, the date when the document was sent shall, unless the contrary is proved, be regarded as the date on the letter from the Secretary which accompanied the document. For example, a respondent must present his response to a claim to the Employment Tribunal Office within 28 days on the date of which he was sent a copy of the claim. If the letter from the Secretary sending him a copy of the claim is dated 1st October, the last day for presentation of the response is 29th October.
Application of Schedules 1-5 to proceedings
16.
- (1) Subject to paragraphs (2) and (3), the rules in Schedule 1 shall apply in relation to all proceedings before an employment tribunal except where separate rules of procedure made under the provisions of any enactment are applicable.
(2) In proceedings to which the rules in Schedule 1 apply and in which any power conferred on the Minister, the tribunal or a chairman by rule 54 (national security proceedings) of Schedule 1 is exercised, Schedule 1 shall be modified in accordance with Schedule 2.
(3) The rules in Schedules 3, 4 and 5 shall apply to modify the rules in Schedule 1 in relation to proceedings which consist, respectively, in: -
Register
17.
- (1) The Secretary shall maintain a Register which shall be open to the inspection of any person without charge at all reasonable hours.
(2) The Register shall contain a copy of all judgments and any written reasons issued by any tribunal or chairman which are required to be entered in the Register in accordance with the rules in Schedules 1 to 5.
(3) The Register, or any part of it, may be kept by means of a computer.
Proof of decisions of tribunals
18.
The production in any proceedings in any court of a document purporting to be certified by the Secretary to be a true copy of an entry of a judgment in the Register shall, unless the contrary is proved, be sufficient evidence of the document and of the facts stated therein.
Jurisdiction of tribunals in Scotland and in England & Wales
19.
- (1) An employment tribunal in England or Wales shall only have jurisdiction to deal with proceedings (referred to as "English and Welsh proceedings") where -
(2) An employment tribunal in Scotland shall only have jurisdiction to deal with proceedings (referred to as "Scottish proceedings") where -
Transitional provisions
20.
- (1) These Regulations and Schedules 1 to 5 to them shall apply in relation to all proceedings to which they relate where those proceedings were commenced on or after 1 October 2004.
(2) These Regulations and Schedules 1 and 2 to them (with the exception of rules 1 to 3 and 38 to 48 of Schedule 1) shall apply to proceedings: -
provided that a copy of the originating application was not sent to the respondent prior to 1 October 2004.
(3) In relation to the proceedings described in paragraph (2), the following provisions of Schedule 1 to the old (England & Wales) regulations or the old (Scotland) regulations (as the case may be) shall continue to apply: -
(4) In relation to proceedings described in paragraph (2) but where a copy of the originating application was sent to the respondent prior to 1 October 2004, Schedules 1 and 2 to these Regulations shall apply with the exception of rules 1 to 9, 21 to 24, 33 and 38 to 48 of Schedule 1 and rules 2, 3 and 4 of Schedule 2.
(5) In relation to proceedings described in paragraph (4), the following provisions of the old (England & Wales) regulations or the old (Scotland) regulations (as the case may be) shall continue to apply: -
(b) rule 1 of Schedule 2.
(6) In relation to proceedings commenced prior to 1 October 2004 and to which Schedule 4, 5 or 6 to the old (England & Wales) regulations or the old (Scotland) regulations (as the case may be) applied, the provisions of those schedules shall continue to apply to such proceedings.
Gerry Sutcliffe
Parliamentary Under Secretary of State for Employment Relations, Competition and Consumers, Department of Trade and Industry
19th July 2004
(5) In the following circumstances the required information identified below is not required to be provided in relation to that claim -
(6) References in this rule to being dismissed or a dismissal by the respondent do not include references to constructive dismissal.
(7) Two or more claimants may present their claims in the same document if their claims arise out of the same set of facts.
(8) When section 32 of the Employment Act applies to the claim or part of one and a chairman considers in accordance with subsection (6) of section 32 that there has been a breach of subsections (2) to (4) of that section, neither a chairman nor a tribunal shall consider the substance of the claim (or the relevant part of it) until such time as those subsections have been complied with in relation to the claim or the relevant part of it.
When the claim will not be accepted by the Secretary
3.
- (1) When a claim is required by rule 1(3) to be presented using a prescribed form, but the prescribed form has not been used, the Secretary shall not accept the claim and shall return it to the claimant with an explanation of why the claim has been rejected and provide a prescribed claim form.
(2) The Secretary shall not accept the claim (or a relevant part of one) if it is clear to him that one or more of the following circumstances applies -
(3) If the Secretary decides not to accept a claim or part of one for any of the reasons in paragraph (2), he shall refer the claim together with a statement of his reasons for not accepting it to a chairman. The chairman shall decide in accordance with the criteria in paragraph (2) whether the claim or part of it should be accepted and allowed to proceed.
(4) If the chairman decides that the claim or part of one should be accepted he shall inform the Secretary in writing and the Secretary shall accept the relevant part of the claim and then proceed to deal with it in accordance with rule 2(2).
(5) If the chairman decides that the claim or part of it should not be accepted he shall record his decision together with the reasons for it in writing in a document signed by him. The Secretary shall as soon as is reasonably practicable inform the claimant of that decision and the reasons for it in writing together with information on how that decision may be reviewed or appealed.
(6) Where a claim or part of one has been presented to the tribunal in breach of subsections (2) to (4) of section 32 of the Employment Act, the Secretary shall notify the claimant of the time limit which applies to the claim or the part of it concerned and shall inform the claimant of the consequences of not complying with section 32 of that Act.
(7) Except for the purposes of paragraph (6) and (8) or any appeal to the Employment Appeal Tribunal, where a chairman has decided that a claim or part of one should not be accepted such a claim (or the relevant part of it) is to be treated as if it had not been received by the Secretary on that occasion.
(8) Any decision by a chairman not to accept a claim or part of one may be reviewed in accordance with rules 34 to 36. If the result of such review is that any parts of the claim should have been accepted, then paragraph (7) shall not apply to the relevant parts of that claim and the Secretary shall then accept such parts and proceed to deal with it as described in rule 2(2).
(9) A decision to accept or not to accept a claim or part of one shall not bind any future tribunal or chairman where any of the issues listed in paragraph (2) fall to be determined later in the proceedings.
(10) Except in rule 34 (review of other judgments and decisions), all references to a claim in the remainder of these rules are to be read as references to only the part of the claim which has been accepted.
(4) The respondent may apply under rule 11 for an extension of the time limit within which he is to present his response. The application must be presented to the Employment Tribunal Office within 28 days of the date on which the respondent was sent a copy of the claim (unless the application is made under rule 33(1)) and must explain why the respondent cannot comply with the time limit. Subject to rule 33, the chairman shall only extend the time within which a response may be presented if he is satisfied that it is just and equitable to do so.
(5) A single document may include the response to more than one claim if the relief claimed arises out of the same set of facts, provided that in respect of each of the claims to which the single response relates -
(6) A single document may include the response of more than one respondent to a single claim provided that -
What the tribunal does after receiving the response
5.
- (1) On receiving the response the Secretary shall consider whether the response should be accepted in accordance with rule 6. If the response is not accepted it shall be returned to the respondent and (subject to paragraphs (5) and (6) of rule 6) the claim shall be dealt with as if no response to the claim had been presented.
(2) If the Secretary accepts the response he shall send a copy of it to all other parties and record in writing the date on which he does so.
When the response will not be accepted by the Secretary
6.
- (1) Where a response is required to be presented using a prescribed form by rule 4(2), but the prescribed form has not been used, the Secretary shall not accept the response and shall return it to the respondent with an explanation of why the response has been rejected and provide a prescribed response form.
(2) The Secretary shall not accept the response if it is clear to him that any of the following circumstances apply -
(3) If the Secretary decides not to accept a response for either of the reasons in paragraph (2), he shall refer the response together with a statement of his reasons for not accepting the response to a chairman. The chairman shall decide in accordance with the criteria in paragraph (2) whether the response should be accepted.
(4) If the chairman decides that the response should be accepted he shall inform the Secretary in writing and the Secretary shall accept the response and then deal with it in accordance with rule 5(2).
(5) If the chairman decides that the response should not be accepted he shall record his decision together with the reasons for it in writing in a document signed by him. The Secretary shall inform both the claimant and the respondent of that decision and the reasons for it. The Secretary shall also inform the respondent of the consequences for the respondent of that decision and how it may be reviewed or appealed.
(6) Any decision by a chairman not to accept a response may be reviewed in accordance with rules 34 to 36. If the result of such a review is that the response should have been accepted, then the Secretary shall accept the response and proceed to deal with the response as described in rule 5(2).
Counterclaims
7.
- (1) When a respondent wishes to present a claim against the claimant ("a counterclaim") in accordance with article 4 of the Employment Tribunals Extension of Jurisdiction (England and Wales) Order 1994[21], or as the case may be, article 4 of the Employment Tribunals Extension of Jurisdiction (Scotland) Order 1994[22], he must present the details of his counterclaim to the Employment Tribunal Office in writing. Those details must include -
(2) A chairman may in relation to particular proceedings by order made under rule 10(1) establish the procedure which shall be followed by the respondent making the counterclaim and any claimant responding to the counterclaim.
(3) The President may by a practice direction made under regulation 13 make provision for the procedure which is to apply to counterclaims generally.
and the claimant has not informed the Employment Tribunal Office in writing either that he does not wish a default judgment to be issued or that the claim has been settled.
(3) A default judgment may determine liability only or it may determine liability and remedy. If a default judgment determines remedy it shall be such remedy as it appears to the chairman that the claimant is entitled to on the basis of the information before him.
(4) Any default judgment issued by a chairman under this rule shall be recorded in writing and shall be signed by him. The Secretary shall send a copy of that judgment to the parties, to ACAS, and, if the proceedings were referred to the tribunal by a court, to that court. The Secretary shall also inform the parties of their right to have the default judgment reviewed under rule 33. The Secretary shall put a copy of the default judgment on the Register (subject to rule 49 (sexual offences and the Register)).
(5) The claimant or respondent may apply to have the default judgment reviewed in accordance with rule 33.
(6) If the parties settle the proceedings (either by means of a compromise agreement (as defined in rule 23(2)) or through ACAS) before or on the date on which a default judgment in those proceedings is issued, the default judgment shall have no effect.
(7) When paragraph (6) applies, either party may apply under rule 33 to have the default judgment revoked.
Taking no further part in the proceedings
9.
A respondent who has not presented a response to a claim or whose response has not been accepted shall not be entitled to take any part in the proceedings except to -
and in these rules the word "party" or "respondent" includes a respondent only in relation to his entitlement to take such a part in the proceedings, and in relation to any such part which he takes.
(3) An order may specify the time at or within which and the place at which any act is required to be done. An order may also impose conditions and it shall inform the parties of the potential consequences of non-compliance set out in rule 13.
(4) When a requirement has been imposed under paragraph (1) the person subject to the requirement may make an application under rule 11 (applications in proceedings) for the order to be varied or revoked.
(5) An order described in either paragraph (2)(d) which requires a person other than a party to grant disclosure or inspection of material may be made only when the disclosure sought is necessary in order to dispose fairly of the claim or to save expense.
(6) Any order containing a requirement described in either sub-paragraph (2)(c) or (d) shall state that under section 7(4) of the Employment Tribunals Act, any person who without reasonable excuse fails to comply with the requirement shall be liable on summary conviction to a fine, and the document shall also state the amount of the maximum fine.
(7) An order as described in paragraph (2)(j) may be made only if all relevant parties have been given notice that such an order may be made and they have been given the opportunity to make oral or written representations as to why such an order should or should not be made.
(8) Any order made under this rule shall be recorded in writing and signed by the chairman and the Secretary shall inform all parties to the proceedings of any order made as soon as is reasonably practicable.
Applications in proceedings
11.
- (1) At any stage of the proceedings a party may apply for an order to be issued, varied or revoked or for a case management discussion or pre-hearing review to be held.
(2) An application for an order must be made not less than 10 days before the date of the hearing at which it is to be considered (if any) unless it is not reasonably practicable to do so, or the chairman or tribunal considers it in the interests of justice that shorter notice be allowed. The application must (unless a chairman orders otherwise) be in writing to the Employment Tribunal Office and include the case number for the proceedings and the reasons for the request. If the application is for a case management discussion or a pre-hearing review to be held, it must identify any orders sought.
(3) An application for an order must include an explanation of how the order would assist the tribunal or chairman in dealing with the proceedings efficiently and fairly.
(4) When a party is legally represented in relation to the application (except where the application is for a witness order described in rule 10(2)(c) only), that party or his representative must, at the same time as the application is sent to the Employment Tribunal Office, provide all other parties with the following information in writing -
and the party or his representative must confirm in writing to the Employment Tribunal Office that this rule has been complied with.
(5) Where a party is not legally represented in relation to the application, the Secretary shall inform all other parties of the matters listed in paragraphs (4)(a) to (c).
(6) A chairman may refuse a party's application and if he does so the Secretary shall inform the parties in writing of such refusal unless the application is refused at a hearing.
Chairman acting on his own initiative
12.
- (1) Subject to paragraph (2) and to rules 10(7) and 18(7), a chairman may make an order on his own initiative with or without hearing the parties or giving them an opportunity to make written or oral representations. He may also decide to hold a case management discussion or pre-hearing review on his own initiative.
(2) Where a chairman makes an order without giving the parties the opportunity to make representations -
(3) An application under paragraph (2)(b) must (subject to rule 10(2)(e)) be made before the time at which, or the expiry of the period within which, the order was to be complied with. Such an application must (unless a chairman orders otherwise) be made in writing to an Employment Tribunal Office and it must include the reasons for the application. Paragraphs (4) and (5) of rule 11 apply in relation to informing the other parties of the application.
Compliance with orders and practice directions
13.
- (1) If a party does not comply with an order made under these rules, under rule 8 of Schedule 3, rule 7 of Schedule 4 or a practice direction, a chairman or tribunal -
(2) An order may also provide that unless the order is complied with, the claim or, as the case may be, the response shall be struck out on the date of non-compliance without further consideration of the proceedings or the need to give notice under rule 19 or hold a pre-hearing review or Hearing.
(3) Chairmen and tribunals shall comply with any practice directions issued under regulation 13.
(2) So far as it appears appropriate to do so, the chairman or tribunal shall seek to avoid formality in his or its proceedings and shall not be bound by any enactment or rule of law relating to the admissibility of evidence in proceedings before the courts .
(3) The chairman or tribunal (as the case may be) shall make such enquiries of persons appearing before him or it and of witnesses as he or it considers appropriate and shall otherwise conduct the hearing in such manner as he or it considers most appropriate for the clarification of the issues and generally for the just handling of the proceedings.
(4) Unless the parties agree to shorter notice, the Secretary shall send notice of any hearing (other than a case management discussion) to every party not less than 14 days before the date fixed for the hearing and shall inform them that they have the opportunity to submit written representations and to advance oral argument. The Secretary shall give the parties reasonable notice before a case management discussion is held.
(5) If a party wishes to submit written representations for consideration at a hearing (other than a case management discussion) he shall present them to the Employment Tribunal Office not less than 7 days before the hearing and shall at the same time send a copy to all other parties.
(6) The tribunal or chairman may, if it or he considers it appropriate, consider representations in writing which have been submitted otherwise than in accordance with paragraph (5).
Use of electronic communications
15.
- (1) A hearing (other than those mentioned in sub-paragraphs (c) and (d) of rule 14(1)) may be conducted by use of electronic communications provided that the chairman or tribunal conducting the hearing considers it just and equitable to do so.
(2) Where a hearing is required by these rules to be held in public and it is to be conducted by use of electronic communications in accordance with this rule then, subject to rule 16, it must be held in a place to which the public has access and using equipment so that the public is able to hear all parties to the communication.
Hearings which may be held in private
16.
- (1) A hearing or part of one may be conducted in private for the purpose of hearing from any person evidence or representations which in the opinion of the tribunal or chairman is likely to consist of information -
(2) Where a tribunal or chairman decides to hold a hearing or part of one in private, it or he shall give reasons for doing so. A member of the Council on Tribunals (in Scotland, a member of the Council on Tribunals or its Scottish Committee) shall be entitled to attend any Hearing or pre-hearing review taking place in private in his capacity as a member.
(3) Pre-hearing reviews shall be conducted by a tribunal composed in accordance with section 4(1) and (2) of the Employment Tribunals Act if -
(4) If an order is made under paragraph (3), any reference to a chairman in relation to a pre-hearing review shall be read as a reference to a tribunal.
(5) Notwithstanding the preliminary or interim nature of a pre-hearing review, at a pre-hearing review the chairman may give judgment on any preliminary issue of substance relating to the proceedings. Judgments or orders made at a pre-hearing review may result in the proceedings being struck out or dismissed or otherwise determined with the result that a Hearing is no longer necessary in those proceedings.
(6) Before a judgment or order listed in paragraph (7) is made, notice must be given in accordance with rule 19. The judgments or order listed in paragraph (7) must be made at a pre-hearing review or a Hearing if one of the parties has so requested. If no such request has been made such judgments or order may be made in the absence of the parties.
(7) Subject to paragraph (6), a chairman or tribunal may make a judgment or order: -
(8) A claim or response or any part of one may be struck out under these rules only on the grounds stated in sub-paragraphs (7)(b) to (f).
(9) If at a pre-hearing review a requirement to pay a deposit under rule 20 has been considered, the chairman who conducted that pre-hearing review shall not be a member of the tribunal at the Hearing in relation to those proceedings.
Notice requirements
19.
- (1) Before a chairman or a tribunal makes a judgment or order described in rule 18(7), except where the order is one described in rule 13(2) or it is a temporary restricted reporting order made in accordance with rule 50, the Secretary shall send notice to the party against whom it is proposed that the order or judgment should be made. The notice shall inform him of the order or judgment to be considered and give him the opportunity to give reasons why the order or judgment should not be made. This paragraph shall not be taken to require the Secretary to send such notice to that party if that party has been given an opportunity to give reasons orally to the chairman or the tribunal as to why the order should not be made.
(2) Where a notice required by paragraph (1) is sent in relation to an order to strike out a claim which has not been actively pursued, unless the contrary is proved, the notice shall be treated as if it were received by the addressee if it has been sent to the address specified in the claim as the address to which notices are to be sent (or to any subsequent replacement for that address which has been notified to the Employment Tribunal Office).
a chairman shall strike out the claim or response of that party or, as the case may be, the part of it to which the order relates.
(5) The deposit paid by a party under an order made under this rule shall be refunded to him in full except where rule 47 applies.
(2) In all proceedings to which this rule applies there shall be a conciliation period to give a time limited opportunity for the parties to reach an ACAS conciliated settlement (the "conciliation period"). In proceedings in which there is more than one respondent there shall be a conciliation period in relation to each respondent.
(3) In any proceedings to which this rule applies a Hearing shall not take place during a conciliation period and where the time and place of a Hearing has been fixed to take place during a conciliation period, such Hearing shall be postponed until after the end of any conciliation period. The fixing of the time and place for the Hearing may take place during a conciliation period. Pre-hearing reviews and case management discussions may take place during a conciliation period.
(4) In relation to each respondent the conciliation period commences on the date on which the Secretary sends a copy of the claim to that respondent. The duration of the conciliation period shall be determined in accordance with the following paragraphs and rule 23.
(5) In any proceedings which consist of claims under any of the following enactments (but no other enactments) the conciliation period is seven weeks (the "short conciliation period") -
(c) the following provisions of TULR(C)A -
(d) regulation 11(5) of the Transfer of Undertakings (Protection of Employment) Regulations 1981 (failure to pay compensation following failure to inform or consult).
(6) In all other proceedings to which this rule applies the conciliation period is thirteen weeks (the "standard conciliation period").
(7) In proceedings to which the standard conciliation period applies, that period shall be extended by a period of a further two weeks if ACAS notifies the Secretary in writing that all of the following circumstances apply before the expiry of the standard conciliation period -
(8) A short conciliation period in any proceedings may, if that period has not already ended, be extended into a standard conciliation period if a chairman considers on the basis of the complexity of the proceedings that a standard conciliation period would be more appropriate. Where a chairman makes an order extending the conciliation period in such circumstances, the Secretary shall inform the parties to the proceedings and ACAS in writing as soon as is reasonably practicable.
Early termination of conciliation period
23.
- (1) Should one of the following circumstances arise during a conciliation period (be it short or standard) which relates to a particular respondent (referred to in this rule as the relevant respondent), that conciliation period shall terminate early on the relevant date specified (and if more than one circumstance or date listed below is applicable to any conciliation period, that conciliation period shall terminate on the earliest of those dates) -
(2) Where a chairman or tribunal makes an order which re-establishes the relevant respondent's right to respond to the claim (for example, revoking a default judgment) and when that order is made, the conciliation period in relation to that respondent has terminated early under paragraph (1) or has otherwise expired, the chairman or tribunal may order that a further conciliation period shall apply in relation to that respondent if they consider it appropriate to do so.
(3) When an order is made under paragraph (2), the further conciliation period commences on the date of that order and the duration of that period shall be determined in accordance with paragraphs (5) to (8) of rule 22 and paragraph (1) of this rule as if the earlier conciliation period in relation to that respondent had not taken place.
Effect of staying or sisting proceedings on the conciliation period
24.
Where during a conciliation period an order is made to stay (or in Scotland, sist) the proceedings, that order has the effect of suspending any conciliation period in those proceedings. Any unexpired portion of a conciliation period takes effect from the date on which the stay comes to an end (or in Scotland, the sist is recalled) and continues for the duration of the unexpired portion of that conciliation period or two weeks (whichever is the greater).
(2) If the parties agree in writing upon the terms of any order or judgment a chairman or tribunal may, if he or it thinks fit, make such order or judgment.
(3) At the end of a hearing the chairman (or, as the case may be, the tribunal) shall either issue any order or judgment orally or shall reserve the judgment or order to be given in writing at a later date.
(4) Where a tribunal is composed of three persons any order or judgment may be made or issued by a majority; and if a tribunal is composed of two persons only, the chairman has a second or casting vote.
Form and content of judgments
29.
- (1) When judgment is reserved a written judgment shall be sent to the parties as soon as practicable. All judgments (whether issued orally or in writing) shall be recorded in writing and signed by the chairman.
(2) The Secretary shall provide a copy of the judgment to each of the parties and, where the proceedings were referred to the tribunal by a court, to that court. The Secretary shall include guidance to the parties on how the judgment may be reviewed or appealed.
(3) Where the judgment includes an award of compensation or a determination that one party is required to pay a sum to another (excluding an order for costs, expenses, allowances, preparation time or wasted costs), the document shall also contain a statement of the amount of compensation awarded, or of the sum required to be paid.
Reasons
30.
- (1) A tribunal or chairman must give reasons (either oral or written) for any -
(2) Reasons may be given orally at the time of issuing the judgment or order or they may be reserved to be given in writing at a later date. If reasons are reserved, they shall be signed by the chairman and sent to the parties by the Secretary.
(3) Written reasons shall only be provided: -
(4) When written reasons are provided, the Secretary shall send a copy of the reasons to all parties to the proceedings and record the date on which the reasons were sent. Written reasons shall be signed by the chairman.
(5) A request for written reasons for a judgment must be made by a party either orally at the hearing (if the judgment is issued at a hearing), or in writing within 14 days of the date on which the judgment was sent to the parties. This time limit may be extended by a chairman where he considers it just and equitable to do so.
(6) Written reasons for a judgment shall include the following information -
Absence of chairman
31.
Where it is not possible for a judgment, order or reasons to be signed by the chairman due to death, incapacity or absence -
and any person who signs the document shall certify that the chairman is unable to sign.
The Register
32.
- (1) Subject to rule 49, the Secretary shall enter a copy of the following documents in the Register -
(2) Written reasons for judgments shall be omitted from the Register in any case in which evidence has been heard in private and the tribunal or chairman so orders. In such a case the Secretary shall send the reasons to each of the parties and where there are proceedings before a superior court relating to the judgment in question, he shall send the reasons to that court, together with a copy of the entry in the Register of the judgment to which the reasons relate.
and all parties to the proceedings shall be informed by the Secretary in writing of the chairman's judgment on the application.
(5) A default judgment must be revoked if the whole of the claim was satisfied before the judgment was issued or if rule 8(6) applies. A chairman may revoke or vary all or part of a default judgment if the respondent has a reasonable prospect of successfully responding to the claim or part of it.
(6) In considering the application for a review of a default judgment the chairman must have regard to whether there was good reason for the response not having been presented within the applicable time limit.
(7) If the chairman decides that the default judgment should be varied or revoked and that the respondent should be allowed to respond to the claim the Secretary shall accept the response and proceed in accordance with rule 5(2).
Review of other judgments and decisions
34.
- (1) Parties may apply to have certain judgments and decisions made by a tribunal or a chairman reviewed under rules 34 to 36. Those judgments and decisions are -
and references to "decision" in rules 34 to 37 are references to the above judgments and decisions only. Other decisions or orders may not be reviewed under these rules.
(2) In relation to a decision not to accept a claim or response, only the party against whom the decision is made may apply to have the decision reviewed.
(3) Subject to paragraph (4), decisions may be reviewed on the following grounds only -
(4) A decision not to accept a claim or response may only be reviewed on the grounds listed in paragraphs (3)(a) and (e).
(5) A tribunal or chairman may on its or his own initiative review a decision made by it or him on the grounds listed in paragraphs (3) or (4).
Preliminary consideration of application for review
35.
- (1) An application under rule 34 to have a decision reviewed must be made to the Employment Tribunal Office within 14 days of the date on which the decision was sent to the parties. The 14 day time limit may be extended by a chairman if he considers that it is just and equitable to do so.
(2) The application must be in writing and must identify the grounds of the application in accordance with rule 34(3), but if the decision to be reviewed was made at a hearing, an application may be made orally at that hearing.
(3) The application to have a decision reviewed shall be considered (without the need to hold a hearing) by the chairman of the tribunal which made the decision or, if that is not practicable, by -
and that person shall refuse the application if he considers that there are no grounds for the decision to be reviewed under rule 34(3) or there is no reasonable prospect of the decision being varied or revoked.
(4) If an application for a review is refused after such preliminary consideration the Secretary shall inform the party making the application in writing of the chairman's decision and his reasons for it. If the application for a review is not refused the decision shall be reviewed under rule 36.
The review
36.
- (1) When a party has applied for a review and the application has not been refused after the preliminary consideration above, the decision shall be reviewed by the chairman or tribunal who made the original decision. If that is not practicable a different chairman or tribunal (as the case may be) shall be appointed by a Regional Chairman, the Vice President or the President.
(2) Where no application has been made by a party and the decision is being reviewed on the initiative of the tribunal or chairman, the review must be carried out by the same tribunal or chairman who made the original decision and -
(3) A tribunal or chairman who reviews a decision under paragraph (1) or (2) may confirm, vary or revoke the decision. If the decision is revoked, the tribunal or chairman must order the decision to be taken again. When an order is made that the original decision be taken again, if the original decision was taken by a chairman without a hearing, the new decision may be taken without hearing the parties and if the original decision was taken at a hearing, a new hearing must be held.
Correction of judgments, decisions or reasons
37.
- (1) Clerical mistakes in any order, judgment, decision or reasons, or errors arising in those documents from an accidental slip or omission, may at any time be corrected by certificate by the chairman, Regional Chairman, Vice President or President.
(2) If a document is corrected by certificate under paragraph (1), or if a decision is revoked or varied under rules 33 or 36 or altered in any way by order of a superior court, the Secretary shall alter any entry in the Register which is so affected to conform with the certificate or order and send a copy of any entry so altered to each of the parties and, if the proceedings have been referred to the tribunal by a court, to that court.
(3) Where a document omitted from the Register under rules 32 or 49 is corrected by certificate under this rule, the Secretary shall send a copy of the corrected document to the parties; and where there are proceedings before any superior court relating to the decision or reasons in question, he shall send a copy to that court together with a copy of the entry in the Register of the decision, if it has been altered under this rule.
(4) In Scotland, the references in paragraphs (2) and (3) to superior courts shall be read as referring to appellate courts.
(2) A costs order may be made under rules 39, 40 and 47 only where the receiving party has been legally represented at the Hearing or, in proceedings which are determined without a Hearing, if the receiving party is legally represented when the proceedings are determined. If the receiving party has not been so legally represented a tribunal may make a preparation time order (subject to rules 42 to 45). (See rule 46 on the restriction on making a costs order and a preparation time order in the same proceedings.)
(3) For the purposes of these rules "costs" shall mean fees, charges, disbursements or expenses incurred by or on behalf of a party, in relation to the proceedings. In Scotland all references to costs (except when used in the expression "wasted costs") or costs orders shall be read as references to expenses or orders for expenses.
(4) A costs order may be made against or in favour of a respondent who has not had a response accepted in the proceedings in relation to the conduct of any part which he has taken in the proceedings.
(5) In these rules legally represented means having the assistance of a person (including where that person is the receiving party's employee) who -
(6) Any costs order made under rules 39, 40 or 47 shall be payable by the paying party and not his representative.
(7) A party may apply for a costs order to be made at any time during the proceedings. An application may be made at the end of a hearing, or in writing to the Employment Tribunal Office. An application for costs which is received by the Employment Tribunal Office later than 28 days from the issuing of the judgment determining the claim shall not be accepted or considered by a tribunal or chairman unless it or he considers that it is in the interests of justice to do so.
(8) In paragraph (7), the date of issuing of the judgment determining the claim shall be either -
(9) No costs order shall be made unless the Secretary has sent notice to the party against whom the order may be made giving him the opportunity to give reasons why the order should not be made. This paragraph shall not be taken to require the Secretary to send notice to that party if the party has been given an opportunity to give reasons orally to the chairman or tribunal as to why the order should not be made.
(10) Where a tribunal or chairman makes a costs order it or he shall provide written reasons for doing so if a request for written reasons is made within 14 days of the date of the costs order. The Secretary shall send a copy of the written reasons to all parties to the proceedings.
When a costs or expenses order must be made
39.
- (1) Subject to rule 38(2), a tribunal must make a costs order against a respondent where in proceedings for unfair dismissal a Hearing has been postponed or adjourned and -
(2) A costs order made under paragraph (1) shall relate to any costs incurred as a result of the postponement or adjournment of the Hearing.
When a costs or expenses order may be made
40.
- (1) A tribunal or chairman may make a costs order when on the application of a party it has postponed the day or time fixed for or adjourned a Hearing or pre-hearing review. The costs order may be against or, as the case may require, in favour of that party as respects any costs incurred or any allowances paid as a result of the postponement or adjournment.
(2) A tribunal or chairman shall consider making a costs order against a paying party where, in the opinion of the tribunal or chairman (as the case may be), any of the circumstances in paragraph (3) apply. Having so considered, the tribunal or chairman may make a costs order against the paying party if it or he considers it appropriate to do so.
(3) The circumstances referred to in paragraph (2) are where the paying party has in bringing the proceedings, or he or his representative has in conducting the proceedings, acted vexatiously, abusively, disruptively or otherwise unreasonably, or the bringing or conducting of the proceedings by the paying party has been misconceived.
(4) A tribunal or chairman may make a costs order against a party who has not complied with an order or practice direction.
The amount of a costs or expenses order
41.
- (1) The amount of a costs order against the paying party shall be determined in any of the following ways -
(2) The tribunal or chairman may have regard to the paying party's ability to pay when considering whether it or he shall make a costs order or how much that order should be.
(3) For the avoidance of doubt, the amount of a costs order made under paragraphs (1)(b) or (c) may exceed £10,000.
up to but not including time spent at any Hearing.
(4) A preparation time order may be made against a respondent who has not had a response accepted in the proceedings in relation to the conduct of any part which he has taken in the proceedings.
(5) A party may apply to the tribunal for a preparation time order to be made at any time during the proceedings. An application may be made at the end of a hearing or in writing to the Secretary. An application for preparation time which is received by the Employment Tribunal Office later than 28 days from the issuing of the judgment determining the claim shall not be accepted or considered by a tribunal or chairman unless they consider that it is in the interests of justice to do so.
(6) In paragraph (5) the date of issuing of the judgment determining the claim shall be either -
(7) No preparation time order shall be made unless the Secretary has sent notice to the party against whom the order may be made giving him the opportunity to give reasons why the order should not be made. This paragraph shall not be taken to require the Secretary to send notice to that party if the party has been given an opportunity to give reasons orally to the chairman or tribunal as to why the order should not be made.
(8) Where a tribunal or chairman makes a preparation time order it or he shall provide written reasons for doing so if a request for written reasons is made within 14 days of the date of the preparation time order. The Secretary shall send a copy of the written reasons to all parties to the proceedings.
When a preparation time order must be made
43.
- (1) Subject to rule 42(2), a tribunal must make a preparation time order against a respondent where in proceedings for unfair dismissal a Hearing has been postponed or adjourned and -
(2) A preparation time order made under paragraph (1) shall relate to any preparation time spent as a result of the postponement or adjournment of the Hearing.
When a preparation time order may be made
44.
- (1) A tribunal or chairman may make a preparation time order when on the application of a party it has postponed the day or time fixed for or adjourned a Hearing or a pre-hearing review. The preparation time order may be against or, as the case may require, in favour of that party as respects any preparation time spent as a result of the postponement or adjournment.
(2) A tribunal or chairman shall consider making a preparation time order against a party (the paying party) where, in the opinion of the tribunal or the chairman (as the case may be), any of the circumstances in paragraph (3) apply. Having so considered the tribunal or chairman may make a preparation time order against that party if it considers it appropriate to do so.
(3) The circumstances described in paragraph (2) are where the paying party has in bringing the proceedings, or he or his representative has in conducting the proceedings, acted vexatiously, abusively, disruptively or otherwise unreasonably, or the bringing or conducting of the proceedings by the paying party has been misconceived.
(4) A tribunal or chairman may make a preparation time order against a party who has not complied with an order or practice direction.
Calculation of a preparation time order
45.
- (1) In order to calculate the amount of preparation time the tribunal or chairman shall make an assessment of the number of hours spent on preparation time on the basis of -
(2) Once the tribunal or chairman has assessed the number of hours spent on preparation time in accordance with paragraph (1), it or he shall calculate the amount of the award to be paid to the receiving party by applying an hourly rate of £25.00 to that figure (or such other figure calculated in accordance with paragraph (4)). No preparation time order made under these rules may exceed the sum of £10,000.
(3) The tribunal or chairman may have regard to the paying party's ability to pay when considering whether it or he shall make a preparation time order or how much that order should be.
(4) For the year commencing on 6th April 2006, the hourly rate of £25 shall be increased by the sum of £1.00 and for each subsequent year commencing on 6 April, the hourly rate for the previous year shall also be increased by the sum of £1.00.
Restriction on making costs or expenses orders and preparation time orders
46.
- (1) A tribunal or chairman may not make a preparation time order and a costs order in favour of the same party in the same proceedings. However where a preparation time order is made in favour of a party in proceedings, the tribunal or chairman may make a costs order in favour of another party or in favour of the Secretary of State under rule 38(1)(b) in the same proceedings.
(2) If a tribunal or a chairman wishes to make either a costs order or a preparation time order in proceedings, before the claim has been determined, it or he may make an order that either costs or preparation time be awarded to the receiving party. In such circumstances a tribunal or chairman may decide whether the award should be for costs or preparation time after the proceedings have been determined.
Costs, expenses or preparation time orders when a deposit has been taken
47.
- (1) When: -
the tribunal or chairman shall consider whether to make a costs or preparation time order against that party on the ground that he conducted the proceedings relating to the matter unreasonably in persisting in having the matter determined; but the tribunal or chairman shall not make a costs or preparation time order on that ground unless it has considered the document recording the order under rule 20 and is of the opinion that the grounds which caused the tribunal or chairman to find against the party in its judgment were substantially the same as the grounds recorded in that document for considering that the contentions of the party had little reasonable prospect of success.
(2) When a costs or preparation time order is made against a party who has had an order under rule 20 made against him (whether the award arises out of the proceedings relating to the matter in respect of which the order was made or out of proceedings relating to any other matter considered with that matter), his deposit shall be paid in part or full settlement of the costs or preparation time order -
and if the amount of the deposit exceeds the amount of the costs or preparation time order, the balance shall be refunded to the party who paid it.
(3) "Wasted costs" means any costs incurred by a party: -
(4) In this rule "representative" means a party's legal or other representative or any employee of such representative, but it does not include a representative who is not acting in pursuit of profit with regard to those proceedings. A person is considered to be acting in pursuit of profit if he is acting on a conditional fee arrangement.
(5) A wasted costs order may be made in favour of a party whether or not that party is legally represented and such an order may also be made in favour of a representative's own client. A wasted costs order may not be made against a representative where that representative is an employee of a party.
(6) Before making a wasted costs order, the tribunal or chairman shall give the representative a reasonable opportunity to make oral or written representations as to reasons why such an order should not be made. The tribunal or chairman shall also have regard to the representative's ability to pay when considering whether it shall make a wasted costs order or how much that order should be.
(7) When a tribunal or chairman makes a wasted costs order, it must specify in the order the amount to be disallowed or paid.
(8) The Secretary shall inform the representative's client in writing: -
(9) Where a tribunal or chairman makes a wasted costs order it or he shall provide written reasons for doing so if a request is made for written reasons within 14 days of the date of the wasted costs order. This 14 day time limit may not be extended under rule 10. The Secretary shall send a copy of the written reasons to all parties to the proceedings.
(2) A party (or where a complaint is made under the Disability Discrimination Act, the complainant) may apply for a restricted reporting order (either temporary or full) in writing to the Employment Tribunal Office, or orally at a hearing, or the tribunal or chairman may make the order on its or his own initiative without any application having been made.
(3) A chairman or tribunal may make a temporary restricted reporting order without holding a hearing or sending a copy of the application to other parties.
(4) Where a temporary restricted reporting order has been made the Secretary shall inform all parties to the proceedings in writing as soon as possible of -
(5) If no application under paragraph (4)(b) is made within the 14 days, the temporary restricted reporting order shall lapse and cease to have any effect on the fifteenth day after the order was made. If such an application is made the temporary restricted reporting order shall continue to have effect until the pre-hearing review or Hearing at which the application is considered.
(6) All parties must be given an opportunity to advance oral argument at a pre-hearing review or a Hearing before a tribunal or chairman decides whether or not to make a full restricted reporting order (whether or not there was previously a temporary restricted reporting order in the proceedings).
(7) Any person may make an application to the chairman or tribunal to have a right to make representations before a full restricted reporting order is made. The chairman or tribunal shall allow such representations to be made where he or it considers that the applicant has a legitimate interest in whether or not the order is made.
(8) Where a tribunal or chairman makes a restricted reporting order -
(9) Where a restricted reporting order has been made under this rule and that complaint is being dealt with together with any other proceedings, the tribunal or chairman may order that the restricted reporting order applies also in relation to those other proceedings or a part of them.
(10) A tribunal or chairman may revoke a restricted reporting order at any time.
(11) For the purposes of this rule liability and remedy are determined in the proceedings on the date recorded as being the date on which the judgment disposing of the claim was sent to the parties, and references to a restricted reporting order include references to both a temporary and a full restricted reporting order.
Proceedings involving the National Insurance Fund
51.
The Secretary of State shall be entitled to appear as if she were a party and be heard at any hearing in relation to proceedings which may involve a payment out of the National Insurance Fund, and in that event she shall be treated for the purposes of these rules as if she were a party.
Collective agreements
52.
Where a claim includes a complaint under section 6(4A) of the Sex Discrimination Act 1986[29] relating to a term of a collective agreement, the following persons, whether or not identified in the claim, shall be regarded as the persons against whom a remedy is claimed and shall be treated as respondents for the purposes of these rules, that is to say -
provided that such an organisation or association shall not be treated as a respondent if the chairman, having made such enquiries of the claimant and such other enquiries as he thinks fit, is of the opinion that it is not reasonably practicable to identify the organisation or association.
Employment Agencies Act 1973
53.
In relation to any claim in respect of an application under section 3C of the Employment Agencies Act 1973[30] for the variation or revocation of a prohibition order, the Secretary of State shall be treated as the respondent in such proceedings for the purposes of these rules. In relation to such an application the claim does not need to include the name and address of the persons against whom the claim is being made.
National security proceedings
54.
- (1) A Minister of the Crown (whether or not he is a party to the proceedings) may, if he considers it expedient in the interests of national security, direct a tribunal or chairman by notice to the Secretary to: -
(2) A tribunal or chairman may, if it or he considers it expedient in the interests of national security, by order -
(c) take steps to keep secret all or part of the reasons for its judgment.
The tribunal or chairman (as the case may be) shall keep under review any order it or he has made under this paragraph.
(3) In any proceedings in which a Minister of the Crown considers that it would be appropriate for a tribunal or chairman to make an order as referred to in paragraph (2), he shall (whether or not he is a party to the proceedings) be entitled to appear before and to address the tribunal or chairman thereon. The Minister shall inform the Secretary by notice that he wishes to address the tribunal or chairman and the Secretary shall copy the notice to the parties.
(4) When exercising its or his functions, a tribunal or chairman shall ensure that information is not disclosed contrary to the interests of national security.
Dismissals in connection with industrial action
55.
- (1) In relation to a complaint under section 111 of the Employment Rights Act 1996 (unfair dismissal: complaints to employment tribunal) that a dismissal is unfair by virtue of section 238A of TULR(C)A[31] (participation in official industrial action) a tribunal or chairman may adjourn the proceedings where civil proceedings have been brought until such time as interim proceedings arising out of the civil proceedings have been concluded.
(2) In this rule -
Devolution issues
56.
- (1) In any proceedings in which a devolution issue within the definition of the term in paragraph 1 of Schedule 6 to the Scotland Act 1998 arises, the Secretary shall as soon as reasonably practicable by notice inform the Advocate General for Scotland and the Lord Advocate thereof (unless they are a party to the proceedings) and shall at the same time -
(2) In any proceedings in which a devolution issue within the definition of the term in paragraph 1 of Schedule 8 to the Government of Wales Act 1998 arises, the Secretary shall as soon as reasonably practicable by notice inform the Attorney General and the National Assembly for Wales thereof (unless they are a party to the proceedings) and shall at the same time -
(3) A person to whom notice is given in pursuance of paragraph (1) or (2) may within 14 days of receiving it, by notice to the Secretary, take part as a party in the proceedings, so far as they relate to the devolution issue. The Secretary shall send a copy of the notice to the other parties to the proceedings.
Transfer of proceedings between Scotland and England & Wales
57.
- (1) The President (England and Wales) or a Regional Chairman may at any time, with the consent of the President (Scotland), order any proceedings in England and Wales to be transferred to an Employment Tribunal Office in Scotland if it appears to him that the proceedings could be (in accordance with regulation 19), and would more conveniently be, determined in an employment tribunal located in Scotland.
(2) The President (Scotland) or the Vice President may at any time, with the consent of the President (England and Wales), order any proceedings in Scotland to be transferred to an Employment Tribunal Office in England and Wales if it appears to him that the proceedings could be (in accordance with regulation 19), and would more conveniently be, determined in an employment tribunal located in England or Wales.
(3) An order under paragraph (1) or (2) may be made by the President, Vice President or Regional Chairman without any application having been made by a party. A party may apply for an order under paragraph (1) or (2) in accordance with rule 11.
(4) Where proceedings have been transferred under this rule, they shall be treated as if in all respects they had been presented to the Secretary by the claimant.
References to the European Court of Justice
58.
Where a tribunal or chairman makes an order referring a question to the European Court of Justice for a preliminary ruling under Article 234 of the Treaty establishing the European Community, the Secretary shall send a copy of the order to the Registrar of that Court.
Transfer of proceedings from a court
59.
Where proceedings are referred to a tribunal by a court, these rules shall apply to them as if the proceedings had been sent to the Secretary by the claimant.
(2) Where a notice or document has been given or sent in accordance with paragraph (1), that notice or document shall, unless the contrary is proved, be taken to have been received by the party to whom it is addressed -
(3) All notices and documents required by these rules to be presented to the Secretary or an Employment Tribunal Office, other than a claim, shall be presented at the Employment Tribunal Office as notified by the Secretary to the parties.
(4) All notices and documents required or authorised by these rules to be sent or given to any person listed below may be sent to or delivered at -
(i) in the case of a notice or document directed to any person (other than a person specified in the foregoing provisions of this paragraph), his address or place of business in the United Kingdom or, if the person is a corporate body, the body's registered or principal office in the United Kingdom;
and a notice or document sent or given to the authorised representative of a party shall be taken to have been sent or given to that party.
(5) A party may at any time by notice to the Employment Tribunal Office and to the other party or parties (and, where appropriate, to the appropriate conciliation officer) change the address to which notices and documents are to be sent or transmitted.
(6) The President, Vice President or a Regional Chairman may order that there shall be substituted service in such manner as he may deem fit in any case he considers appropriate.
(7) In proceedings which may involve a payment out of the National Insurance Fund, the Secretary shall, where appropriate, send copies of all documents and notices to the Secretary of State whether or not she is a party.
(8) Copies of every document sent to the parties under rules 29, 30 or 32 shall be sent by the Secretary: -
rule 4(3)(d) (grounds for the response) of Schedule 1 shall not apply and paragraphs (2) and (3) of this rule shall apply instead.
(2) In a case falling within paragraph (1)(b), if the tribunal or chairman decides not to make an order under rule 54(2), the respondent shall within 28 days of the decision present to the Employment Tribunal Office the written grounds on which he resists the claim. On receiving the written grounds the Secretary shall send a copy of them to all other parties and they shall be treated as part of the response.
(3) In a case falling within paragraph (1)(b) where the tribunal or chairman makes the order, or in a case falling within paragraph (1)(a), the respondent shall with 44 days of the direction or order being made, present to the Employment Tribunal Office (and, where applicable, to the special advocate) the written grounds on which he resists the claim and they shall be treated as part of the response.
(4) The time limits in paragraphs (2) and (3) may be extended if it is just and equitable to do so and if an application is presented to the Employment Tribunal Office before the expiry of the relevant time limit. The application must explain why the respondent cannot comply with the time limit.
Serving of documents by the Secretary
4.
- (1) The Secretary shall not send a copy of the response or grounds for the response to any person excluded from all or part of the proceedings by virtue of a direction or order given or made under rule 54.
(2) Where a Minister of the Crown has informed the Secretary in accordance with rule 54(3) that he wishes to address the tribunal or chairman with a view to an order being made under rule 54(2)(a) to exclude the claimant's representative from all or part of the proceedings, the Secretary shall not at any time before the tribunal or chairman has considered the Minister's representations, send a copy of the response or the grounds for the response to any person who may be excluded from all or part of the proceedings by such an order if it were made.
Default judgment
5.
Rule 8(1) (default judgments) of Schedule 1 shall apply in relation to the time limit for presenting a response, but it shall not apply in relation to the time limits in paragraphs (2) and (3) of rule 3 in this Schedule.
Witness orders and disclosure of documents
6.
- (1) Where -
a Minister of the Crown (whether or not he is a party to the proceedings) may make an application to the tribunal or chairman objecting to the imposition of a requirement described in rule 10(2)(c) or (d) of Schedule 1 or under Schedules 3 or 4. If such an order has been made the Minister may make an application to vary or set aside the order.
(2) The tribunal or chairman shall hear and determine the Minister's application in private and the Minister shall be entitled to address the tribunal or chairman. The application shall be made by notice to the Secretary and the Secretary shall give notice of the application to all parties.
Case management discussions and pre-hearing reviews
7.
- (1) Rule 14(4) (hearings - general) of Schedule 1 shall be modified in accordance with paragraph (2).
(2) In proceedings in which a special advocate has been appointed in respect of the claimant, if the claimant has been excluded from a case management discussion or a pre-hearing review, at such a hearing the claimant shall not have the right to advance oral argument, but oral argument may be advanced on the claimant's behalf by the special advocate.
Special advocate
8.
- (1) In any proceedings in which there is an excluded person the tribunal or chairman shall inform the Attorney General (or in Scotland, the Advocate General) of the proceedings before it with a view to the Attorney General (or the Advocate General, in Scotland), if he thinks it fit to do so, appointing a special advocate to represent the interests of the claimant in respect of those parts of the proceedings from which -
(2) A special advocate shall have a general qualification for the purposes of section 71 of the Courts and Legal Services Act 1990 or shall be an advocate or a solicitor admitted in Scotland.
(3) Where the excluded person is the claimant, he shall be permitted to make a statement to the tribunal or chairman before the commencement of the proceedings, or the part of the proceedings, from which he is excluded.
(4) Except in accordance with paragraphs (5) to (7), the special advocate may not communicate directly or indirectly with any person (including an excluded person) -
(5) The special advocate may apply for orders from the tribunal or chairman authorising him to seek instructions from, or otherwise to communicate with, an excluded person -
(6) An application under paragraph (5) shall be made in writing to the Employment Tribunal Office and shall include the title of the proceedings and the grounds for the application.
(7) The Secretary shall notify the Minister of an application under paragraph (5) and the Minister shall be entitled to address the tribunal or chairman on the application.
(8) In these rules and those in Schedule 1, in any case in which a special advocate has been appointed to represent the interests of the claimant in accordance with paragraph (1), any reference to a party shall (save in those references specified in paragraph (9)) include the special advocate.
(9) The following references to "party" or "parties" shall not include the special advocate -
Hearings
9.
- (1) Any hearing of or in connection with a claim shall, subject to any direction of a Minister of the Crown or order of a tribunal or chairman under rule 54 that all or part of the proceedings are to take place in private and subject to rule 16 of Schedule 1, take place in public.
(2) A member of the Council on Tribunals shall not be entitled to attend any hearing taking place in private in his capacity as member where the hearing is taking place in private under a direction of a Minister of the Crown or an order of a tribunal or chairman under rule 54.
(3) Subject to any direction of a Minister of the Crown or order of a tribunal or chairman under rule 54, a party shall be entitled to give evidence, to call witnesses, to question any witnesses and to address the tribunal at a Hearing.
Reasons in national security proceedings
10.
- (1) This rule applies to written reasons given under rule 30 of Schedule 1 for a judgment or order made by the tribunal or chairman in national security proceedings.
(2) Before the Secretary sends a copy of the written reasons ("the full written reasons") to any party, or enters them in the Register under rule 32 of Schedule 1, he shall send a copy of the full written reasons to the Minister.
(3) If the Minister considers it expedient in the interests of national security and he has given a direction or the tribunal or a chairman has made an order under rule 54 in those proceedings, the Minister may -
(4) Where the Minister has directed the tribunal or chairman in accordance with paragraph 3(a), the edited reasons shall be signed by the chairman and initialled in each place where an omission has been made.
(5) Where a direction has been made under paragraph (3)(a), the Secretary shall -
(6) Where a direction has been made under paragraph (3)(b), the Secretary shall send a copy of the full written reasons to the persons listed in paragraph (7), but he shall not enter the full written reasons in the Register.
(7) The persons to whom full written reasons should be sent in accordance with paragraph (5) or (6) are -
Correction of written reasons
11.
Where written reasons (whether "full" or "edited") have been omitted from the Register in accordance with rule 10 and they are corrected by certificate under rule 37 of Schedule 1, the Secretary shall send a copy of the corrected reasons to the same persons who had been sent the reasons in accordance with rule 10.
Review of judgments or decisions
12.
In rule 34(3) of Schedule 1 (review of other judgments and decisions), the reference in sub-paragraph (c) to decisions being made in the absence of a party does not include reference to decisions being made in the absence of a party where this is done in accordance with a direction given or an order made under rule 54.
Notice of Appeal
3.
A person wishing to appeal an assessment to a levy (the appellant) shall do so by sending to the Board two copies of a notice of appeal which must be substantially in accordance with Form 1 in the Annex to this Schedule, and they must include the grounds of their appeal.
Action on receipt of appeal
4.
- (1) Subject to rules 5 and 6, the Board shall, within 21 days of receiving the notice of appeal send the following documents to the Employment Tribunal Office -
(2) Failure to comply with any provision of this rule or rule 5 shall not make the appeal invalid.
Requests for further information
5.
- (1) Subject to rule 6, this rule applies when, on receiving the notice of appeal, the Board considers that it requires further information on the appellant's grounds for the appeal and of any facts relevant to those grounds.
(2) The Board shall send the appellant a notice specifying the further information required by the Board within 21 days of receiving the notice of appeal.
(3) The appellant shall send the Board two copies of the further information within 21 days of receiving the notice requesting the information, or within such further period as the Board may allow.
(4) Subject to paragraph (5), within 21 days of receiving the further information the Board shall send the following documents to the Employment Tribunal Office -
(5) If further information is not received by the Board within the time limit, the documents listed in sub-paragraphs (a) and (b) of paragraph (4) shall be sent by the Board to the Employment Tribunal Office -
Withdrawal of appeal or assessment
6.
- (1) The appellant may withdraw the notice of appeal by notice given to the Board at any time and in that event no further action shall be taken in relation to the appeal.
(2) When an assessment is withdrawn by the Board, it shall notify the Employment Tribunal Office and no further action shall be taken in relation to the appeal.
Entry of appeal
7.
- (1) The Secretary shall as soon as reasonably practicable after receiving from the Board the relevant documents in accordance with rule 4(1), 5(4) or 5(5) -
Order for further information
8.
- (1) In any case in which the appellant has not sent to the Board further information which has been requested by the Board in accordance with rule 5, a chairman or tribunal may, on the application of the Board, by notice order the appellant to supply such further information as may be specified in the notice, and the appellant shall send two copies of such information to the Employment Tribunal Office within such time as the chairman or tribunal may direct.
(2) As soon as is reasonably practicable after receiving the further information from the appellant, the Secretary shall send a copy of the information to the Board.
(3) An order made under paragraph (1) shall be treated as an order made under rule 10 of Schedule 1 for the purposes of rule 13 of Schedule 1 (compliance with orders and practice directions).
Provisions of Schedule 1 which do not apply to levy appeals
9.
The following rules in Schedule 1 shall not apply in relation to levy appeals: rules 1 to 9, 16(1)(c), 18(2)(c) and (e), 20 to 25, 33, 34(1)(a), 34(2), 34(4), 38(4), 39, 42(4), 43, 47, 49 to 53, 55, and paragraphs (4)(a), (7) and (8) of rule 61. All references in Schedule 1 to the rules listed in this rule shall have no effect in relation to a levy appeal.
Modification of Schedule 1
10.
Schedule 1 shall be further modified in relation to levy appeals as follows -
Notice of appeal
3.
A person wishing to appeal an improvement notice or a prohibition notice (the appellant) shall do so by sending to the Employment Tribunal Office two copies of a notice of appeal which must include the following -
Time limit for bringing appeal
4.
- (1) Subject to paragraph (2), the notice of appeal must be sent to the Employment Tribunal Office within 21 days from the date of the service on the appellant of the notice appealed against.
(2) A tribunal may extend the time mentioned above where it is satisfied, on an application made in writing to the Secretary either before or after the expiration of that time, that it is or was not reasonably practicable for an appeal to be brought within that time.
Action on receipt of appeal
5.
On receiving the notice of appeal the Secretary shall -
Application for a direction suspending the operation of a prohibition notice
6.
- (1) When an appeal is brought against a prohibition notice, an application may be made by the appellant under section 24(3)(b) of the Health and Safety Act for a direction suspending the operation of the prohibition notice until the appeal is determined or withdrawn. The application must be presented to the Employment Tribunal Office in writing and shall include -
(2) The Secretary shall send a copy of the application to the respondent as soon as practicable after it has been received and shall inform the respondent that he has the opportunity to submit representations in writing if he so wishes, within a specified time but not less than 7 days.
(3) The chairman shall consider the application and any representations submitted by the respondent, and may -
(4) The chairman must give reasons for any decision made under paragraph (3) or made following a Hearing ordered under paragraph (3)(d).
(5) A decision made under paragraph (3) or made following a Hearing ordered under paragraph (3)(d) shall be treated as a decision which may be reviewed upon the application of a party under rule 34 of Schedule 1.
General power to manage proceedings
7.
- (1) The chairman may at any time on the application of a party, make an order in relation to any matter which appears to him to be appropriate. Such orders may be those listed in rule 10(2) of Schedule 1 (subject to rule 11 below) or such other orders as he thinks fit. Subject to the case management rules in Schedule 1, orders may be issued as a result of a chairman considering the papers before him in the absence of the parties, or at a hearing (see regulation 2 for the definition of "hearing").
(2) If the parties agree in writing upon the terms of any decision to be made by the tribunal or chairman, the chairman may, if he thinks fit, decide accordingly.
Appointment of an assessor
8.
The President, Vice President or a Regional Chairman may, if he thinks fit, appoint in accordance with section 24(4) of the Health and Safety Act a person having special knowledge or experience in relation to the subject matter of the appeal to sit with the tribunal or chairman as an assessor.
Right to withdraw proceedings
9.
- (1) An appellant may withdraw all or part of the appeal at any time. This may be done either orally at a hearing or in writing in accordance with paragraph (2).
(2) To withdraw an appeal or part of one in writing the appellant must inform the Employment Tribunal Office in writing of the appeal or the parts of it which are to be withdrawn.
(3) The Secretary shall inform all other parties of the withdrawal. Withdrawal takes effect on the date on which the Employment Tribunal Office (in the case of written notifications) or the tribunal or chairman receives notice of it and where the whole appeal is withdrawn proceedings are brought to an end against the respondent on that date and the tribunal or chairman shall dismiss the appeal.
Costs and expenses
10.
- (1) A tribunal or chairman may make an order ("a costs order") that a party ("the paying party") make a payment in respect of the costs incurred by another party ("the receiving party").
(2) For the purposes of paragraph (1) "costs" shall mean fees, charges, disbursements, expenses or remuneration incurred by or on behalf of a party in relation to the proceedings. In Scotland all references in this Schedule to costs or costs orders shall be read as references to expenses or orders for expenses.
(3) The amount of a costs order against the paying party can be determined in the following ways -
(4) The tribunal or chairman shall have regard to the paying party's ability to pay when considering whether it or he shall make a costs order or how much that order should be.
(5) For the avoidance of doubt, the amount of a costs order made under either paragraph (4)(b) or (c) may exceed £10,000.
Provisions of Schedule 1 which do not apply to appeals against improvement notices or prohibition notices
11.
The following rules in Schedule 1 shall not apply in relation to appeals against improvement and prohibition notices: rules 1 to 9, 10(1), 10(2)(g), (i), (k), (l) and (r), 12, 13, 16(1)(c), 18(2)(c) and (e), 18(8), 20 to 25, 29(3), 33, 34(1)(a), 34(2), 38 to 47, 49 to 53, 55, and 61(4)(a), (7) and (8). All references in Schedule 1 to the rules listed in this rule shall have no effect in relation to an appeal against an improvement notice or a prohibition notice.
Modification of Schedule 1
12.
Schedule 1 shall be further modified so that all references in Schedule 1 to a claim shall be read as references to a notice of appeal or to an appeal against an improvement notice or a prohibition notice, as the context may require, and all references to the claimant shall be read as references to the appellant in such an appeal.
Notice of Appeal
3.
A person wishing to appeal a non-discrimination notice (the appellant) shall do so by sending to the Employment Tribunal Office two copies of a notice of appeal which must be in writing and must include the following -
Action on receipt of appeal
4.
On receiving the notice of appeal the Secretary shall -
Provisions of Schedule 1 which do not apply to appeals against non-discrimination notices
5.
The following rules in Schedule 1 shall not apply in relation to appeals against a non-discrimination notice: rules 1 to 9, 16(1)(c), 18(2)(c) and (e), 20 to 24, 33, 34(1)(a), 34(2), 34(4), 38(4), 39, 42(4), 43, 47,49 to 53, 55, and paragraphs (4)(a), (7) and (8) of rule 61. All references in Schedule 1 to the rules listed in this rule shall have no effect in relation to an appeal against a non-discrimination notice.
Modification of Schedule 1
6.
Schedule 1 shall be further modified so that all references in Schedule 1 to a claim shall be read as references to a notice of appeal or to an appeal against a non-discrimination notice, as the context may require, and all references to the claimant shall be read as references to the appellant in such an appeal.
[2] 1996 c. 17; by virtue of section 1 of the Employment Rights (Dispute Resolution) Act 1998 (c. 8) industrial tribunals were renamed employment tribunals and references to "industrial tribunal" and "industrial tribunals" in any enactment were substituted with "employment tribunal" and "employment tribunals". Section 4(6) was amended by paragraph 12(4) of Schedule 1 to the Employment Rights (Dispute Resolution) Act 1998 and section 4(6A) was inserted by section 3(6) of that Act. Section 7 was interpreted by section 239(4) of the Trade Union and Labour Relations (Consolidation) Act 1992 (c. 52), as inserted by paragraph 1 of Schedule 5 to the Employment Relations Act 1999 (c. 26). Paragraph 7(3)(f)(i) was repealed by paragraph 14(2) of Schedule 1 to the Employment Rights (Dispute Resolution) Act 1998 and paragraph 7(3)(f)(i) was inserted by section 24(1) of the Employment Act 2002 (c.22) and section 7(3ZA) was inserted by section 25 of that Act. Sections 7(3A) to 7(3C) were inserted by section 2 of the Employment Rights (Dispute Resolution) Act 1998 and section 7(3A) was then substituted by section 26 of the Employment Act 2002. Section 7A was inserted by section 27 of the Employment Act 2002. The sum in paragraph (a) of section 9(2) was substituted by article 2 of S.I. 2001/237 and section 9(2A) was inserted by section 28 of the Employment Act 2002. Section 9(4) was amended by paragraph 15 of Schedule 1 to the Employment Rights (Dispute Resolution) Act 1998. Section 10 was substituted, and section 10A was inserted, by paragraph 3 of Schedule 8 to the Employment Relations Act 1999. Section 13(1) was substituted by subsections (1), (1A) to (1C), by section 22(1) of the Employment Act 2002. Section 13(2) was amended by paragraph 4 of Part III of Schedule 4 to the Employment Relations Act 1999 and section 13A was inserted by section 22(2) of the Employment Act 2002. Section 19(1) was numbered as such by section 24(4) of the Employment Act 2002, and was amended by paragraph 23(1) and (3) of Schedule 7 and Schedule 8 of that Act. Section 19(2) was inserted by section 24(4) of the Employment Act 2002.back
[13] 1970 c.41; section 2A was inserted by the Equal Pay (Amendment) Regulations 1983 (S.I. 1983/1794).back
[23] These sections were inserted into the Disability Discrimination Act 1995 (c. 50) by regulations 3(1), 9 and 19 of the Disability Discrimination Act 1995 (Amendment) Regulations 2003 S.I. 2003/1673.back
[26] These sections were inserted into the Employment Rights Act respectively by sections 2, 5 and 6 of the Public Interest Disclosure Act 1998 c. 23.back
[30] 1973 c. 35; section 3C was inserted by paragraphs 1(1) and (3) of Schedule 10 to the Deregulation and Contracting Out Act 1994 c. 40.back
[31] Section 238A was inserted by paragraphs 1 and 3 of Schedule 5 to the Employment Relations Act 1999 (c. 26).back