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

S.I. 2004/1861 · Made 19 July 2004

Original text. legislation.gov.uk does not revise statutory instruments, so later amendments are not shown here. Changes made to it are listed under each provision when known.

EMPLOYMENT TRIBUNALS

Made 19th July 2004

Laid before Parliament 20th July 2004

Coming into force 1st October 2004

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 1974f1, 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 1996f2 and paragraph 36 of Schedule 8 to the Government of Wales Act 1998f3, and paragraph 37 of Schedule 6 to the Scotland Act 1998f4, and after consultation with the Council of Tribunals, in accordance with section 8(1) of the Tribunals and Inquiries Act 1992f5, hereby makes the following Regulations: —

Annotations to the whole text

Footnotes

f1

1974 c. 37; “prescribed” is defined by section 53(1) of the Act as meaning prescribed by regulations.

f2

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 Paragraph 7(3)(f)(i) was repealed by paragraph 14(2) of Schedule 1 to the Employment Rights (Dispute Resolution) Act 1998 and paragraph 7(3)(f)(i) was inserted by section 24(1) of the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.

f3

1998 c. 38.

f4

1998 c. 46.

f5

1992 c. 53.

Contents

  1. 1Citation, commencement and revocation
  2. 2Interpretation
  3. 3Overriding objective
  4. 4President of Employment Tribunals
  5. 5Establishment of employment tribunals
  6. 6Regional Chairmen
  7. 7Vice President
  8. 8Panels of members of tribunals – general
  9. 9Composition of tribunals - general
  10. 10Panels of members of tribunals – national security proceedings
  11. 11Composition of tribunals – national security proceedings
  12. 12Modification of section 4 of the Employment Tribunals Act (national security proceedings)
  13. 13Practice directions
  14. 14Power to prescribe
  15. 15Calculation of time limits
  16. 16Application of Schedules 1-5 to proceedings
  17. 17Register
  18. 18Proof of decisions of tribunals
  19. 19Jurisdiction of tribunals in Scotland and in England & Wales
  20. 20Transitional provisions
  21. Signature
  22. Schedule 1: THE EMPLOYMENT TRIBUNALS RULES OF PROCEDURE
  23. HOW TO BRING A CLAIM
  24. 1Starting a claim
  25. ACCEPTANCE OF CLAIM PROCEDURE
  26. 2What the tribunal does after receiving the claim
  27. 3When the claim will not be accepted by the Secretary
  28. RESPONSE
  29. 4Responding to the claim
  30. ACCEPTANCE OF RESPONSE PROCEDURE
  31. 5What the tribunal does after receiving the response
  32. 6When the response will not be accepted by the Secretary
  33. 7Counterclaims
  34. CONSEQUENCES OF A RESPONSE NOT BEING PRESENTED OR ACCEPTED
  35. 8Default judgments
  36. 9Taking no further part in the proceedings
  37. CASE MANAGEMENT
  38. 10General power to manage proceedings
  39. 11Applications in proceedings
  40. 12Chairman acting on his own initiative
  41. 13Compliance with orders and practice directions
  42. DIFFERENT TYPES OF HEARING
  43. 14Hearings - general
  44. 15Use of electronic communications
  45. 16Hearings which may be held in private
  46. CASE MANAGEMENT DISCUSSIONS
  47. 17Conduct of case management discussions
  48. PRE-HEARING REVIEWS
  49. 18Conduct of pre-hearing reviews
  50. 19Notice requirements
  51. PAYMENT OF A DEPOSIT
  52. 20Requirement to pay a deposit in order to continue with proceedings
  53. CONCILIATION
  54. 21Documents to be sent to conciliators
  55. 22Fixed period for conciliation
  56. 23Early termination of conciliation period
  57. 24Effect of staying or sisting proceedings on the conciliation period
  58. WITHDRAWAL OF PROCEEDINGS
  59. 25Right to withdraw proceedings
  60. THE HEARING
  61. 26Hearings
  62. 27What happens at the Hearing
  63. ORDERS, JUDGMENTS AND REASONS
  64. 28Orders and judgments
  65. 29Form and content of judgments
  66. 30Reasons
  67. 31Absence of chairman
  68. 32The Register
  69. POWER TO REVIEW JUDGMENTS AND DECISIONS
  70. 33Review of default judgments
  71. 34Review of other judgments and decisions
  72. 35Preliminary consideration of application for review
  73. 36The review
  74. 37Correction of judgments, decisions or reasons
  75. COSTS ORDERS AND ORDERS FOR EXPENSES
  76. 38General power to make costs and expenses orders
  77. 39When a costs or expenses order must be made
  78. 40When a costs or expenses order may be made
  79. 41The amount of a costs or expenses order
  80. PREPARATION TIME ORDERS
  81. 42General power to make preparation time orders
  82. 43When a preparation time order must be made
  83. 44When a preparation time order may be made
  84. 45Calculation of a preparation time order
  85. 46Restriction on making costs or expenses orders and preparation time orders
  86. 47Costs, expenses or preparation time orders when a deposit has been taken
  87. WASTED COSTS ORDERS AGAINST REPRESENTATIVES
  88. 48Personal liability of representatives for costs
  89. POWERS IN RELATION TO SPECIFIC TYPES OF PROCEEDINGS
  90. 49Sexual offences and the Register
  91. 50Restricted reporting orders
  92. 51Proceedings involving the National Insurance Fund
  93. 52Collective agreements
  94. 53Employment Agencies Act 1973
  95. 54National security proceedings
  96. 55Dismissals in connection with industrial action
  97. 56Devolution issues
  98. 57Transfer of proceedings between Scotland and England & Wales
  99. 58References to the European Court of Justice
  100. 59Transfer of proceedings from a court
  101. GENERAL PROVISIONS
  102. 60Powers
  103. 61Notices, etc
  104. Schedule 2: THE EMPLOYMENT TRIBUNALS (NATIONAL SECURITY) RULES OF PROCEDURE
  105. 1Application of Schedule 2
  106. 2Notification of national security proceedings
  107. 3Responding to a claim
  108. 4Serving of documents by the Secretary
  109. 5Default judgment
  110. 6Witness orders and disclosure of documents
  111. 7Case management discussions and pre-hearing reviews
  112. 8Special advocate
  113. 9Hearings
  114. 10Reasons in national security proceedings
  115. 11Correction of written reasons
  116. 12Review of judgments or decisions
  117. Schedule 3: THE EMPLOYMENT TRIBUNALS (LEVY APPEALS) RULES OF PROCEDURE
  118. For use only in proceedings on levy appeals
  119. 1Application of Schedule 1
  120. 2Definitions
  121. 3Notice of Appeal
  122. 4Action on receipt of appeal
  123. 5Requests for further information
  124. 6Withdrawal of appeal or assessment
  125. 7Entry of appeal
  126. 8Order for further information
  127. 9Provisions of Schedule 1 which do not apply to levy appeals
  128. 10Modification of Schedule 1
  129. Schedule 4: THE EMPLOYMENT TRIBUNALS (HEALTH AND SAFETY – APPEALS AGAINST IMPROVEMENT AND PROHIBITION NOTICES) RULES OF PROCEDURE
  130. 1Application of Schedule 1
  131. 2Definitions
  132. 3Notice of appeal
  133. 4Time limit for bringing appeal
  134. 5Action on receipt of appeal
  135. 6Application for a direction suspending the operation of a prohibition notice
  136. 7General power to manage proceedings
  137. 8Appointment of an assessor
  138. 9Right to withdraw proceedings
  139. 10Costs and expenses
  140. 11Provisions of Schedule 1 which do not apply to appeals against improvement notices or prohibition notices
  141. 12Modification of Schedule 1
  142. Schedule 5: THE EMPLOYMENT TRIBUNALS (NON-DISCRIMINATION NOTICES APPEALS) RULES OF PROCEDURE
  143. 1Application of Schedule 1
  144. 2Definitions
  145. 3Notice of Appeal
  146. 4Action on receipt of appeal
  147. 5Provisions of Schedule 1 which do not apply to appeals against non-discrimination notices
  148. 6Modification of Schedule 1
  149. Explanatory note