The Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004

JurisdictionUK Non-devolved
CitationSI 2004/1861

2004No. 1861

EMPLOYMENT TRIBUNALS

The Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004

19thJuly2004

20thJuly2004

1stOctober2004

Arrangement of regulations

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

HOW TO BRING A CLAIM

1.

Starting a claim

ACCEPTANCE OF CLAIM PROCEDURE

2.

What the tribunal does after receiving the claim

3.

When the claim will not be accepted by the Secretary

RESPONSE

4.

Responding to the claim

ACCEPTANCE OF RESPONSE PROCEDURE

5.

What the tribunal does after receiving the response

6.

When the response will not be accepted by the Secretary

7.

Counterclaims

CONSEQUENCES OF A RESPONSE NOT BEING PRESENTED OR ACCEPTED

8.

Default judgments

9.

Taking no further part in the proceedings

CASE MANAGEMENT

10.

General power to manage proceedings

11.

Applications in proceedings

12.

Chairman acting on his own initiative

13.

Compliance with orders and practice directions

DIFFERENT TYPES OF HEARING

14.

Hearings - general

15.

Use of electronic communications

16.

Hearings which may be held in private

CASE MANAGEMENT DISCUSSIONS

17.

Conduct of case management discussions

PRE-HEARING REVIEWS

18.

Conduct of pre-hearing reviews

19.

Notice requirements

PAYMENT OF A DEPOSIT

20.

Requirement to pay a deposit in order to continue with proceedings

CONCILIATION

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

WITHDRAWAL OF PROCEEDINGS

25.

Right to withdraw proceedings

THE HEARING

26.

Hearings

27.

What happens at the Hearing

ORDERS, JUDGMENTS AND REASONS

28.

Orders and judgments

29.

Form and content of judgments

30.

Reasons

31.

Absence of chairman

32.

The Register

POWER TO REVIEW JUDGMENTS AND DECISIONS

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

COSTS ORDERS AND ORDERS FOR EXPENSES

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

PREPARATION TIME ORDERS

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

WASTED COSTS ORDERS AGAINST REPRESENTATIVES

48.

Personal liability of representatives for costs

POWERS IN RELATION TO SPECIFIC TYPES OF PROCEEDINGS

49.

Sexual offences and the Register

50.

Restricted reporting orders

51.

Proceedings involving the National Insurance Fund

52.

Collective agreements

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

GENERAL PROVISIONS

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

For use only in proceedings on levy appeals

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

The Secretary of State, in exercise of the powers conferred on her by section 24(2) of the Health and Safety at Work etc. Act 1974( 1) , sections 1(1), 4(6), and (6A), 7(1), (3), (3ZA), (3A), and (5), 7A(1) and (2), 9(1), (2) and (4), 10(2), (5), (6) and (7), 10A(1), 11(1), 12(2), 13, 13A(1) and (2), 19 and 41(4) of the Employment Tribunals Act 1996( 2)and paragraph 36 of Schedule 8 to the Government of Wales Act 1998( 3), and paragraph 37 of Schedule 6 to the Scotland Act 1998( 4), and after consultation with the Council of Tribunals, in accordance with section 8(1) of the Tribunals and Inquiries Act 1992( 5), hereby makes the following Regulations: -

Citation, commencement and revocation

1. - (1) These Regulations may be cited as the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004 and the Rules of Procedure contained in Schedules 1, 2, 3, 4 and 5 to these Regulations may be referred to, respectively, as -

(a) the Employment Tribunals Rules of Procedure;(b) the Employment Tribunals (National Security) Rules of Procedure;(c) the Employment Tribunals (Levy Appeals) Rules of Procedure;(d) the Employment Tribunals (Health and Safety - Appeals against Improvement and Prohibition Notices) Rules of Procedure; and(e) the Employment Tribunals (Non-Discrimination Notices Appeals) Rules of Procedure.

(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: -

"ACAS" means the Advisory, Conciliation and Arbitration Service referred to in section 247 of TULR(C)A;

"appointing office holder" means, in England and Wales, the Lord Chancellor, and in Scotland, the Lord President;

"chairman" means the President or a member of the panel of chairmen appointed in accordance with regulation 8(3)(a), or, for the purposes of national security proceedings, a member of the panel referred to in regulation 10 selected in accordance with regulation 11(a), and in relation to particular proceedings it means the chairman to whom the proceedings have been referred by the President, Vice President or a Regional Chairman;

"compromise agreement" means an agreement to refrain from continuing proceedings where the agreement meets the conditions in section 203(3) of the Employment Rights Act;

"constructive dismissal" has the meaning set out in section 95(1)(c) of the Employment Rights Act;

"Disability Discrimination Act" means the Disability Discrimination Act 1995( 8);

"electronic communication" has the meaning given to it by section 15(1) of the Electronic Communications Act 2000( 9);

"Employment Act" means the Employment Act 2002( 10);

"Employment Rights Act" means the Employment Rights Act 1996( 11);

"Employment Tribunals Act" means the Employment Tribunals Act 1996( 12);

"Employment Tribunal Office" means any office which has been established for any area in either England & Wales or Scotland specified by the President and which carries out administrative functions in support of functions being carried out by a tribunal or chairman, and in relation to particular proceedings it is the office notified to the parties in accordance with rule 61(3) of Schedule 1;

"enactment" includes an enactment comprised in, or in an instrument made under, an Act of the Scottish Parliament;

"Equal Pay Act" means the Equal Pay Act 1970( 13);

"excluded person" means, in relation to any proceedings, a person who has been excluded from all or part of the proceedings by virtue of:-

(a) a direction of a Minister of the Crown under rule 54(1)(b) or (c) of Schedule 1, or(b) an order of the tribunal under rule 54(2)(a) read with 54(1)(b) or (c) of Schedule 1;

"hearing" means a case management discussion, pre-hearing review, review...

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