Tribunal Procedure (First-tier Tribunal) (General Regulatory Chamber) Rules 2009 (SI 2009/1976)
| Author | Simon Adamyk |
| Pages | 353-376 |
CONTENTS
PART 1
Introduction
1 Citation, commencement, application and interpretation
2 Overriding objective and parties’ obligation to co-operate with the tribunal 3 Alternative dispute resolution and arbitration
PART 2
General powers and provisions
4 Delegation to staff
5 Case management powers
6 Procedure for applying for and giving directions
7 Failure to comply with rules, practice directions or tribunal directions 8 Striking out a party’s case
9 Addition, substitution and removal of parties
10 Orders for costs
11 Representatives
12 Calculating time
13 Sending and delivery of documents
14 Prevention of disclosure or publication of documents and information 15 Disclosure, evidence and submissions
16 Summoning or citation of witnesses and orders to answer questions or produce documents
17 Withdrawal
18 Lead cases
18A Entry directions
19 [Omitted here because relates to non-ACV cases]
19A [Omitted here because relates to non-ACV cases]
20 Procedure for applying for a stay of a decision pending an appeal
354 Assets of Community Value: Law and Practice
PART 3
Proceedings before the Tribunal
CHAPTER 1
Before the hearing – cases other than charities cases 21 Application of this Chapter
22 The notice of appeal
23 The response
24 Appellant’s reply
CHAPTER 2
25–31 [Omitted here because relate to non-ACV cases]
CHAPTER 3
Hearings
32 Decision with or without a hearing
33 Entitlement to attend and take part in a hearing 34 Notice of hearings
35 Public and private hearings
36 Hearings in a party’s absence
CHAPTER 4
Decisions
37 Consent orders 38 Decisions
PART 4
Correcting, setting aside, reviewing and appealing Tribunal decisions 39 Interpretation
40 Clerical mistakes and accidental slips or omissions
41 Setting aside a decision which disposes of proceedings
42 Application for permission to appeal
43 Tribunal’s consideration of application for permission to appeal
44 Review of a decision
45 Power to treat an application as a different type of application
PART 1 Introduction
Citation, commencement, application and interpretation
1(1) These Rules may be cited as the Tribunal Procedure (First-tier Tribunal) (General Regulatory Chamber) Rules 2009 and come into force on 1st September 2009.
(2) These Rules apply to proceedings before the General Regulatory Chamber of the First-tier Tribunal.
(3) In these Rules—
“the 2007 Act” means the Tribunals, Courts and Enforcement Act 2007; “appellant” means a person who—
(a) commences Tribunal proceedings, whether by making an appeal, an application, a claim, a complaint, a reference or otherwise; or
(b) is added or substituted as an appellant under rule 9 (addition, substitution and removal of parties);
“charities case” means an appeal or application in respect of a decision, order or direction of the Charity Commission, or a reference under Schedule 1D of the Charities Act 1993;
“document” means anything in which information is recorded in any form, and an obligation under these Rules or any practice direction or direction to provide or allow access to a document or a copy of a document for any purpose means, unless the Tribunal directs otherwise, an obligation to provide or allow access to such document or copy in a legible form or in a form which can be readily made into a legible form;
“hearing” means an oral hearing and includes a hearing conducted in whole or in part by video link, telephone or other means of instantaneous twoway electronic communication;
“notice of appeal” means a document which starts proceedings; “party” means—
(a) a person who is an appellant or a respondent;
(b) if the proceedings have been concluded, a person who was an appellant or a respondent when the Tribunal finally disposed of all issues in the proceedings;
“practice direction” means a direction given under section 23 of the 2007 Act; “respondent” means—
(a) in proceedings appealing against or challenging a decision, direction or order, the person who made the decision, direction or order appealed against or challenged;
(b) a person against whom an appellant otherwise brings proceedings; or
(c) a person added or substituted as a respondent under rule 9 (addition, substitution and removal of parties);
356 Assets of Community Value: Law and Practice
“transport case” means proceedings under the Road Traffic Act 1988, the
Road Traffic Offenders Act 1988, the Greater London Authority Act 1999, the Postal Services Act 2000, the Vehicle Drivers (Certificates of Professional Competence) Regulations 2007 and the European Communities (Recognition of Professional Qualifications) Regulations 2007;
“Tribunal” means the First-tier Tribunal.
Overriding objective and parties’ obligation to co-operate with the tribunal
2(1) The overriding objective of these Rules is to enable the Tribunal to deal with cases fairly and justly.
(2) Dealing with a case fairly and justly includes—
(a) dealing with the case in ways which are proportionate to the importance of the case, the complexity of the issues, the anticipated costs and the resources of the parties;
(b) avoiding unnecessary formality and seeking flexibility in the proceedings;
(c) ensuring, so far as practicable, that the parties are able to participate fully in the proceedings;
(d) using any special expertise of the Tribunal effectively; and
(e) avoiding delay, so far as compatible with proper consideration of the issues.
(3) The Tribunal must seek to give effect to the overriding objective when it—
(a) exercises any power under these Rules; or
(b) interprets any rule or practice direction.
(4) Parties must—
(a) help the Tribunal to further the overriding objective; and
(b) co-operate with the Tribunal generally.
Alternative dispute resolution and arbitration
3(1) The Tribunal should seek, where appropriate—
(a) to bring to the attention of the parties the availability of any appropriate alternative procedure for the resolution of the dispute; and
(b) if the parties wish, and provided that it is compatible with the overriding objective, to facilitate the use of the procedure.
(2) Part 1 of the Arbitration Act 1996 does not apply to proceedings before the Tribunal.
PART 2
General powers and provisions
Delegation to staff
4(1) Staff appointed under section 40(1) of the 2007 Act (tribunal staff and services) may, with the approval of the Senior President of Tribunals, carry out functions of a judicial nature permitted or required to be done by the Tribunal.
(2) The approval referred to at paragraph (1) may apply generally to the carrying out of specified functions by members of staff of a specified description in specified circumstances.
(3) Within 14 days after the date that the Tribunal sends notice of a decision made by a member of staff pursuant to an approval under paragraph (1) to a party, that party may apply in writing to the Tribunal for that decision to be considered afresh by a judge.
Case management powers
5(1) Subject to the provisions of the 2007 Act and any other enactment, the Tribunal may regulate its own procedure.
(2) The Tribunal may give a direction in relation to the conduct or disposal of proceedings at any time, including a direction amending, suspending or setting aside an earlier direction.
(3) In particular, and without restricting the general powers in paragraphs (1) and (2), the Tribunal may—
(a) extend or shorten the time for complying with any rule, practice direction or direction, unless such extension or shortening would conflict with a provision of another enactment containing a time limit;
(b) consolidate or hear together two or more sets of proceedings or parts of proceedings raising common issues, or treat a case as a lead case (whether under rule 18 or otherwise);
(c) permit or require a party to amend a document;
(d) permit or require a party or another person to provide documents, information or submissions to the Tribunal or a party;
(e) deal with an issue in the proceedings as a preliminary issue;
(f) hold a hearing to consider any matter, including a case management issue;
(g) decide the form of any hearing;
(h) adjourn or postpone a hearing;
(i) require a party to produce a bundle for a hearing;
(j) stay (or, in Scotland, sist) proceedings;
(k) transfer proceedings to another court or tribunal if that other court or tribunal has jurisdiction in relation to the proceedings and—
(i) because of a change of circumstances since the proceedings were started, the Tribunal no longer has jurisdiction in relation to the proceedings; or
358 Assets of Community Value: Law and Practice
(ii) the Tribunal considers that the other court or tribunal is a more appropriate forum for the determination of the case;
(l) suspend the effect of its own decision pending the determination by the Tribunal or the Upper Tribunal of an application for permission to appeal against, and any appeal or review of, that decision.
Procedure for applying for and giving directions
6(1) The Tribunal may give a direction on the application of one or more of the parties or on its own initiative.
(2) An application for a direction may be made—
(a) by sending or delivering a written application to the Tribunal; or
(b) orally during the course of a hearing.
(3) An application for a direction must include the reason for making that application.
(4) Unless the Tribunal considers that there is good reason not to do so, the Tribunal must send written notice of any direction to every party and to any other person affected by the direction.
(5) If a party or any other person sent notice of the direction under paragraph
(4) wishes to challenge a direction which the Tribunal has given, they may do so by applying for another direction which amends, suspends or sets aside the first direction.
Failure to comply with rules, practice directions or tribunal directions
7(1) An irregularity resulting from a failure to comply with any provision of...
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