The Employment Tribunals (Constitution and Rules of Procedure) Regulations 2001

In forceThis text since 23 Mar 2001law://uk/uksi/2001/1171@2026-11-12

Contents

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1 · Citation and commencement
1. (1) These Regulations may be cited as the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2001 and the Rules of Procedure contained in Sc
2. (2) These Regulations shall come into force on 18th April 2001.
2 · Interpretation
1. (1) In these Regulations and in Schedules 1, 2, 3, 4, 5 and 6— • “the 1975 Act” means the Sex Discrimination Act 1975; • “the 1976 Act” means the Race Relations
2. (2) In these Regulations, in so far as they relate to the rules in Schedules 1, 2 and 3, and in those Schedules— • “the 1970 Act” means the Equal Pay Act 1970;
3. (3) In these Regulations, in so far as they relate to the rules in Schedule 4, and in that Schedule— • “the 1982 Act” means the Industrial Training Act 1982; •
4. (4) In these Regulations, in so far as they relate to the rules in Schedule 5, and in that Schedule— • “the 1974 Act” means the Health and Safety at Work etc Ac
5. (5) In these Regulations, in so far as they relate to the rules in Schedule 6, and in that Schedule— • “the 1999 Act” means the Disability Rights Commission Act
6. (6) 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, 5 and 6, or under any decision, direct
7. (7) 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
8. (8) 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 calcu
9. (9) Where the tribunal or a chairman gives any decision, direction, declaration, order, recommendation, award or determination which imposes a time limit for do
10. (10) In rule 5(2) of Schedule 1, rule 8 of Schedule 4, rule 6(1) of Schedule 5 and rule 4(1) of Schedule 6, the requirement to send the notice of hearing to the
3 · President of Employment Tribunals
1. (1) There shall be a President of the Employment Tribunals (England and Wales) who shall be appointed by the Lord Chancellor and shall be a person—
2. (2) The President may resign his office by notice in writing to the Lord Chancellor.
3. (3) The President shall vacate his office at the end of the completed year of service in the course of which he attains the age of 72 years.
4. (4) If the Lord Chancellor is satisfied that the President is incapacitated by infirmity of mind or body from discharging the duties of his office, or the Presi
5. (5) 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
4 · Establishment of employment tribunals
1. (1) The President shall from time to time determine the number of tribunals to be established in England and Wales for the purposes of determining proceedings.
2. (2) The President or, in relation to the area specified in relation to him, a Regional Chairman shall determine at what times and in what places in England and
5 · Panels of members of tribunals
1. (1) There shall be three panels of members of the Employment Tribunals (England and Wales), namely—
2. (2) 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
6 · Further panels in national security cases
1. (a) select a panel of persons from the panel of chairmen to act as chairmen in such cases, and
2. (b) select—
7 · Modification of section 4 of the Employment Tribunals Act 1996
1. (1) For the purposes of proceedings in relation to which a direction is given under section 10(3) of the 1996 Act, or an order is made under section 10(4) of th
2. (2) In section 4(1)(a), for the words “in accordance with regulations made under section 1(1)” substitute the words “in accordance with regulations 6(a) and 9(5
3. (3) In section 4(1)(b), for the words “in accordance with regulations so made” substitute the words “in accordance with regulations 6(b) and 9(5) of those Regul
4. (4) In section 4(5), for the words “in accordance with regulations made under section 1(1)” substitute the words “in accordance with regulation 6(a) of the Empl
8 · Regional Chairmen
1. (1) The Lord Chancellor may from time to time appoint Regional Chairmen from the panel of chairmen and each Regional Chairman shall be responsible for the admin
2. (2) The President or the Regional Chairman for an area may from time to time nominate a member of the panel of chairmen to discharge for the time being the func
9 · Composition of tribunals
1. (1) For each hearing of any matter before a tribunal the President or the Regional Chairman shall select a chairman, who shall, subject to paragraph (5), be the
2. (2) In any proceedings which are to be determined by a tribunal comprising a chairman (selected in accordance with paragraph (1) or (5), as the case may be) and
3. (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, paragraph (5)(b), those
4. (4) The President or the Regional Chairman may at any time select from the appropriate panel another person in substitution for the chairman or other member of
5. (5) For the purposes of proceedings in relation to which a direction is given under section 10(3) of the 1996 Act, or an order is made under section 10(4) of th
10 · Overriding objective
1. (1) The overriding objective of the rules in Schedules 1, 2, 3, 4, 5 and 6 is to enable tribunals to deal with cases justly.
2. (2) Dealing with a case justly includes, so far as practicable—
3. (3) A tribunal shall seek to give effect to the overriding objective when it—
4. (4) The parties shall assist the tribunal to further the overriding objective.
11 · Proceedings of tribunals
1. (1) Subject to paragraphs (2) to (6), the rules in Schedule 1 shall apply in relation to all proceedings before a tribunal except where separate rules of proced
2. (2) In proceedings to which the rules in Schedule 1 apply and in which any power conferred on the Minister or the tribunal by rule 8(1), (2) or (3) of Schedule
3. (3) In proceedings to which the rules in Schedule 1 apply and which involve an equal value claim—
4. (4) In proceedings to which the rules in Schedule 1 apply, and in which the rules in Schedule 1 are required to be modified in accordance with both paragraphs (
5. (5) The rules contained in Schedules 1, 2 and 3 shall apply in proceedings to which they relate where—
6. (6) The rules in Schedules 4, 5 and 6 shall apply in relation to proceedings before a tribunal which relate to matters arising in England and Wales and consist,
12 · Register
1. (1) The Secretary shall maintain a Register at the Office of the Tribunals which shall be open to the inspection of any person without charge at all reasonable
2. (2) The Register shall contain—
3. (3) The Register, or any part of it, may be kept by means of a computer.
13 · Proof of decisions of tribunals
14 · Transitional provision
15 · Revocations
Schedule 1 · The employment tribunals rules of procedure
1. (1) Originating application
2. (2) Action upon receipt of originating application
3. (3) Appearance by respondent
4. (4) Case management
5. (5) Time and place of hearing
6. (6) Entitlement to bring or contest proceedings
7. (7) Pre-hearing review
8. (8) National security
9. (9) Dismissals in connection with industrial action
10. (10) The hearing
11. (11) Procedure at hearing
12. (12) Decision of tribunal
13. (13) Review of tribunal’s decision
14. (14) Costs
15. (15) Miscellaneous powers
16. (16) Restricted reporting orders
17. (17) Extension of time
18. (18) Devolution issues
19. (19) Joinder and representative respondents
20. (20) Combined proceedings
21. (21) Transfer of proceedings
22. (22) References to the European Court of Justice
23. (23) Notices, etc
Schedule 2 · THE EMPLOYMENT TRIBUNALS (NATIONAL SECURITY) COMPLEMENTARY RULES OF PROCEDURE For use only in cases in which a power conferred on the Minister or the tribunal by rule 8(1), (2) or (3) of Schedule 1 is exercised
1. (1) Modification of rule 3 of Schedule 1
2. (2) Modification of rule 4 of Schedule 1
3. (3) Modification of rule 7 of Schedule 1
4. (4) Insertion of rules 7A and 7B into Schedule 1
5. (5) Modification of rule 10 of Schedule 1
6. (6) Modification of rule 11 of Schedule 1
7. (7) Modification of rule 12 of Schedule 1
8. (8) Modification of rule 13 of Schedule 1
Schedule 3 · THE EMPLOYMENT TRIBUNALS (EQUAL VALUE)COMPLEMENTARY RULES OF PROCEDURE For use only in proceedings involving an equal value claim
1. Part I —ordinary cases
2. Part II —national security cases
Schedule 4 · THE EMPLOYMENT TRIBUNALS (LEVY APPEALS) RULES OF PROCEDURE for use only in proceedings on levy appeals
1. (2) Action upon receipt of appeal
2. (3) Further particulars of appeal
3. (4) Withdrawal of appeal or assessment
4. (5) Entry of appeal
5. (6) Direction for further particulars
6. (7) Attendance of witnesses and discovery
7. (8) Time and place of hearing of appeal
8. (9) The hearing
9. (10) Procedure at hearing
10. (11) Devolution issues
11. (12) Decision of tribunal
12. (13) Costs
13. (14) Miscellaneous powers
14. (15) Applications
15. (16) Notices, etc
16. (l) Notice of appeal
Schedule 5 · THE EMPLOYMENT TRIBUNALS (IMPROVEMENT AND PROHIBITION NOTICES APPEALS) RULES OF PROCEDURE for use only in proceedings on an appeal against an improvement or prohibition notice
1. (1) Notice of appeal
2. (2) Time limit for bringing appeal
3. (3) Action upon receipt of notice of appeal
4. (4) Application for direction suspending the operation of a prohibition notice
5. (5) Power to require attendance of witnesses and production of documents, etc
6. (6) Time and place of hearing and appointment of assessor
7. (7) The hearing
8. (8) Written representations
9. (9) Procedure at hearing
10. (10) Devolution issues
11. (11) Decision of tribunal
12. (12) Review of tribunal’s decision
13. (13) Costs
14. (14) Miscellaneous powers
15. (15) Notices, etc.
Schedule 6 · THE EMPLOYMENT TRIBUNALS (NON-DISCRIMINATION NOTICES APPEALS) RULES OF PROCEDURE for use only in proceedings on an appeal against a non-discrimination notice
1. (1) Notice of appeal
2. (2) Action upon receipt of notice of appeal
3. (3) Power to require attendance of witnesses and production of documents, etc.
4. (4) Time and place of hearing
5. (5) The hearing
6. (6) Written representations
7. (7) Procedure at hearing
8. (8) Devolution issues
9. (9) Decision of tribunal
10. (10) Review of tribunal’s decision
11. (11) Costs
12. (12) Miscellaneous powers
13. (13) Restricted reporting orders
14. (14) Notices, etc.
Schedule 7 · Revocations

Contains public sector information licensed under the Open Government Licence v3.0.

Key facts

Type: Statutory instrument · UKSI 2001/1171
Made by: UK Government (statutory instrument)
Extent: England, Wales, Scotland and Northern Ireland

History · 1 version

23 Mar 2001Reading

Connections

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Amended by 2: The Disability Discrimination Act 1995 (Amendment) Regulations 2003; The Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2001
Repealed by 1: The Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004
Repeals 1: The Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2000
Applied by 2: The Industrial Training Levy (Construction Board) Order 2002; The Industrial Training Levy (Engineering Construction Board) Order 2002

Defined terms · 41

Show every defined term

chairman
means the President or a member of the panel of chairmen selected in accordance with regulation 9(1), or, for the purposes of proceedings in relation to which a direction is given under section 10(3) of the 1996 Act or an order is made under section 10(4) of that Act, a member of the panel referred to in regulation 6(a) selected in accordance with regulation 9(5)(a);
Crown employment proceedings
has the meaning given by section 10(8) of the 1996 Act;
decision
includes any order which is not an interlocutory order;
devolution issue
means a devolution issue within the meaning of paragraph 1 of Schedule 8 to the Government of Wales Act 1998;
equal value claim
means a claim by an applicant which rests upon entitlement to the benefit of an equality clause by virtue of the operation of section 1(2)(c) of the 1970 Act;
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 8(1)(b) or (c), or (b) an order of the tribunal under rule 8(2)(a) read with 8(1)(b) or (c);
expert
means a member of the panel of independent experts within the meaning of section 2A(4) of the 1970 Act;
hearing
means a sitting of a tribunal duly constituted for the purpose of receiving evidence, hearing addresses and witnesses or doing anything lawfully requisite to enable the tribunal to reach a decision on any question;
improvement notice
means a notice under section 21 of the 1974 Act;
inspector
means a person appointed under section 19(1) of the 1974 Act;
levy
means a levy imposed under section 11 of the 1982 Act.
misconceived
includes having no reasonable prospect of success;
non-discrimination notice
means a notice under section 67 of the 1975 Act, under section 58 of the 1976 Act or, as the case may be, under section 4 of the 1999 Act;
panel of chairmen
means the panel appointed under regulation 5(1)(a);
prohibition notice
means a notice under section 22 of the 1974 Act;
Regional Chairman
means a member of the panel of chairmen who has been appointed to the position of Regional Chairman in accordance with regulation 8(1) or who has been nominated to discharge the functions of a Regional Chairman in accordance with regulation 8(2);
Regional Office of the Employment Tribunals
means a regional office which has been established under the Office of the Tribunals for an area specified by the President or an office established for an area within such an area;
Regional Secretary
means the person for the time being acting as the secretary of a Regional Office of the Employment Tribunals;
Register
means the Register of applications, appeals and decisions kept in pursuance of regulation 12;
report
means a report required by a tribunal to be prepared by an expert, pursuant to section 2A(1)(b) of the 1970 Act;
respondent
means a party to the proceedings before a tribunal other than the applicant;
special advocate
means a person appointed pursuant to rule 7A(1).
specified civil proceedings
means legal proceedings brought by any person against another person in which it is to be determined whether an act of that other person, which induced the applicant to commit an act, or each of a series of acts, is by virtue of section 219 of the 1992 Act not actionable in tort or in delict;
the 1970 Act
means the Equal Pay Act 1970;
the 1974 Act
means the Health and Safety at Work etc Act 1974;
the 1975 Act
means the Sex Discrimination Act 1975;
the 1976 Act
means the Race Relations Act 1976;
the 1982 Act
means the Industrial Training Act 1982;
the 1986 Act
means the Sex Discrimination Act 1986;
the 1992 Act
means the Trade Union and Labour Relations (Consolidation) Act 1992;
the 1995 Act
means the Disability Discrimination Act 1995;
the 1996 Act
means the Employment Tribunals Act 1996;
the 1999 Act
means the Disability Rights Commission Act 1999;
the Board
means in relation to an appeal the respondent industrial training board;
the clerk
means the person appointed as clerk to the tribunal by the Secretary or a Regional Secretary to act in that capacity at one or more hearings;
the Office of the Tribunals
means the Central Office of the Employment Tribunals (England and Wales);
the President
means the President of the Employment Tribunals (England and Wales) or the person nominated by the Lord Chancellor to discharge for the time being the functions of the President;
the relevant authority
means the Attorney General and the National Assembly for Wales;
the required date
means the most recent date specified as the date by which the expert must send his report to the tribunal either in the requirement made upon him under paragraph (4) or in a notice given to him under paragraph (11). 8 Before the expiration of each interval specified in the requirement given to the expert under paragraph (4), the expert shall send a progress report to the tribunal— a stating whether he considers that he will be able to send his report to the tribunal by the required date;
the Secretary
means the person for the time being appointed to act as the Secretary of the Office of the Tribunals;
tribunal
means an employment tribunal established in pursuance of regulation 4 and in relation to any proceedings means the tribunal to which the proceedings have been referred by the President or a Regional Chairman.