The Employment Tribunals (Constitution and Rules of Procedure) Regulations 2013

Made: 28th May 2013

Laid before Parliament: 31st May 2013

Coming into force

The Secretary of State, in exercise of the powers conferred by section 24(2) of the Health and Safety at Work etc. Act 1974 , sections 1(1), 4(6) and (6A), 7(1), (3), (3ZA), (3A), (3AA), (3AB), (3B), (3C) and (5), 7A(1) and (2), 7B(1) and (2), 9(1) and (2), 10(2), (5), (6) and (7), 10A(1), 11(1), 12(2), 13, 13A, 19, and 41(4) of the Employment Tribunals Act 1996 , paragraph 37 of Schedule 6 to the Scotland Act 1998 , and paragraph 32 of Schedule 9 to the Government of Wales Act 2006 , makes the following Regulations.

The Secretary of State has consulted with the Administrative Justice and Tribunals Council, and that Council has consulted with the Scottish Committee and the Welsh Committee, in accordance with paragraph 24 of Schedule 7 to the Tribunals, Courts and Enforcement Act 2007 .

Citation and commencement

1

• (1) These Regulations may be cited as the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2013 ...

• (2) This regulation and regulations 3 and 11 come into force on 1st July 2013 and the remainder of these Regulations (including the Schedules) come into force on 29th July 2013.

Revocation

2

Subject to the savings in regulation 15 the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004 are revoked.

Interpretation

3

... In these Regulations—

• “2004 Regulations” means the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004;

• “appointing office holder” means, in England and Wales, the Lord Chancellor, and in Scotland, the Lord President;

• “Employment Tribunals Act” means the Employment Tribunals Act 1996;

• “Lord President” means the Lord President of the Court of Session;

• “national security proceedings” means proceedings in which a direction or order under rule 93 of the Employment Tribunal Procedure Rules 2024 is in force;

• “President” means either of the two presidents appointed from time to time in accordance with regulation 5(1);

• “Regional Employment Judge” means a person appointed or nominated in accordance with regulation 6(1) or (2);

• “Senior President of Tribunals” means the person appointed in accordance with section 2 of the Tribunals, Courts and Enforcement Act 2007;

• “Tribunal” means an employment tribunal established in accordance with regulation 4 and, in relation to any proceedings, means the Tribunal responsible for the proceedings in question, whether performing administrative or judicial functions;

• “Vice President” means a person appointed or nominated in accordance with regulation 6(3) or (4).

Establishment of employment tribunals

4

There are to be tribunals known as employment tribunals.

President of Employment Tribunals

5

• (1) There shall be a President of Employment Tribunals, responsible for Tribunals in England and Wales, and a President of Employment Tribunals, responsible for Tribunals in Scotland, appointed by the appointing office holder.

• (2) A President shall be—

• (a) a person who satisfies the judicial-appointment eligibility condition within the meaning of section 50 of the Tribunals, Courts and Enforcement Act 2007 on a 5-year basis;

• (b) an advocate or solicitor admitted in Scotland of at least five years standing; or

• (c) a member of the Bar of Northern Ireland or solicitor of the Supreme Court of Northern Ireland of at least five years standing.

• (3) A President may at any time resign from office by giving the appointing officer holder notice in writing to that effect.

• (4) The appointing officer holder may remove a President from office on the ground of inability or misbehaviour, or if the President is made bankrupt or makes a composition or arrangement with his creditors.

• (5) Where a President is unable to carry out the functions set out in these Regulations, those functions may be discharged by a person nominated by the appointing office holder (save that any nomination in relation to England and Wales shall be made by the Lord Chief Justice following consultation with the Senior President of Tribunals, rather than by the Lord Chancellor).

• (6) The Lord Chief Justice may nominate a judicial office holder (as defined in section 109(4) of the Constitutional Reform Act 2005 ) to exercise his functions under this regulation.

Regional Employment Judges and the Vice President

6

• (1) The Lord Chancellor may appoint Regional Employment Judges.

• (2) The President (England and Wales) or the Regional Employment Judge for an area may nominate an Employment Judge to discharge the functions of the Regional Employment Judge for that area.

• (3) The Lord President may appoint a Vice President.

• (4) The President (Scotland) or the Vice President may nominate an Employment Judge to discharge the functions of the Vice President.

• (5) Appointments and nominations under this regulation shall be from the salaried Employment Judges on the panel referred to in regulation 8(2)(a).

Responsibilities of the Presidents, Regional Employment Judges and Vice President

7

• (1) The President shall, in relation to the area for which the President is responsible, use the resources available to—

• (a) secure, so far as practicable, the speedy and efficient disposal of proceedings;

• (b) determine the allocation of proceedings between Tribunals; and

• (c) determine where and when Tribunals shall sit.

• (2) The President (England and Wales) may direct Regional Employment Judges, and the President (Scotland) may direct the Vice President, to take action in relation to the fulfilment of the responsibilities in paragraph (1) and the Regional Employment Judges and Vice President shall follow such directions.

Panels of members for tribunals

8

• (1) There shall be three panels of members for the Employment Tribunals (England and Wales) and three panels of members for the Employment Tribunals (Scotland).

• (2) The panels of members shall be—

• (a) a panel of Employment Judges who—

• (i) satisfy the criteria set out in regulation 5(2) and are appointed by the appointing office holder; or

• (ii) are able to act as Employment Judges by virtue of paragraph (2A) or (2B);

• (b) a panel of persons appointed by the Lord Chancellor after consultation with organisations or associations representative of employees; and

• (c) a panel of persons appointed by the Lord Chancellor after consultation with organisations or associations representative of employers.

• (2A) A relevant tribunal judge may act as an Employment Judge if the conditions in paragraph (2C) are satisfied.

• (2B) A relevant judge may act as an Employment Judge if the conditions in paragraph (2C) are satisfied and—

• (a) the relevant judge consents; and

• (b) unless the relevant judge is the Lord Chief Justice of England and Wales, the appropriate consent has been given.

• (2C) The conditions are—

• (a) the judge is nominated by the Senior President of Tribunals; and

• (b) the President who is responsible for the panel the judge will act as a member of consents to the judge acting in a particular case.

• (2D) The relevant President must consult the other President before consenting under paragraph (2C)(b) to any individual judge acting for the first time as a member of the panel for which the relevant President is responsible.

• (2E) A person who has been appointed to one panel of Employment Judges may act as a member of the other panel of Employment Judges if—

• (a) the person is nominated by the Senior President of Tribunals; and

• (b) the Presidents responsible for both panels consent to the person acting for such period as the Presidents shall specify.

• (2F) Consent under paragraph (2E)(b) can be withdrawn at any time by either President.

• (2G) In paragraph (2B)(b) “the appropriate consent” means—

• (a) the consent of the Lord Chief Justice of England and Wales where the relevant judge is—

• (i) the Master of the Rolls or an ordinary judge of the Court of Appeal in England and Wales;

• (ii) the President of the Queen’s Bench Division or Family Division, or the Chancellor, of the High Court in England and Wales;

• (iii) a puisne judge of the High Court in England and Wales;

• (iv) a circuit judge;

• (v) a district judge in England and Wales;

• (vi) a District Judge (Magistrates’ Courts);

• (vii) a deputy judge of the High Court in England and Wales;

• (viii) a Recorder;

• (ix) a Deputy District Judge (Magistrates’ Courts);

• (x) a deputy district judge appointed under section 8 of the County Courts Act 1984 or section 102 of the Senior Courts Act 1981;

• (xi) the holder of an office listed in the first column of the table in section 89(3C) of the Senior Courts Act 1981 (senior High Court Masters etc);

• (xii) the holder of an office listed in column 1 of Part 2 of Schedule 2 to that Act (High Court Masters etc); or

• (xiii) the Judge Advocate General or a person appointed under section 30(1)(a) or (b) of the Courts-Martial (Appeals) Act 1951 (assistants to the Judge Advocate General);

• (b) the consent of the Lord President where the relevant judge is—

• (i) a sheriff; or

• (ii) a summary sheriff;

• (c) the consent of the Lord Chief Justice of Northern Ireland where the relevant judge is—

• (i) a Lord Justice of Appeal in Northern Ireland;

• (ii) a puisne judge of the High Court in Northern Ireland;

• (iii) a county court judge in Northern Ireland; or

• (iv) a district judge in Northern Ireland.

• (2H) In this regulation “relevant judge” means a person who—

• (a) is the Lord Chief Justice of England and Wales, the Master of the Rolls or an ordinary judge of the Court of Appeal in England and Wales (including the vice-president, if any, of either division of that Court);

• (b) is the President of the Queen’s Bench Division or Family Division, or the Chancellor, of the High Court in England and Wales;

• (c) is a Lord Justice of Appeal in Northern Ireland;

• (d) is a puisne judge of the High Court in England and Wales or Northern Ireland;

• (e) is a circuit judge;

• (f) is a sheriff in Scotland;

• (g) is a summary sheriff;

• (h) is a county court judge in Northern Ireland;

• (i) is a district judge in England and Wales or Northern Ireland;

• (j) is a District Judge (Magistrates’ Courts);

• (k) is a deputy judge of the High Court in England and Wales;

• (l) is a Recorder;

• (m) is a Deputy District Judge (Magistrates’ Courts);

• (n) is a deputy district judge appointed under section 8 of the County Courts Act 1984 or section 102 of the Senior Courts Act 1981;

• (o) holds an office listed in the first column of the table in section 89(3C) of the Senior Courts Act 1981 (senior High Court Masters etc);

• (p) holds an office listed in column 1 of Part 2 of Schedule 2 to that Act (High Court Masters etc); or

• (q) is the Judge Advocate General or a person appointed under section 30(1)(a) or (b) of the Courts-Martial (Appeals) Act 1951 (assistants to the Judge Advocate General).

• (2I) References in paragraph (2H)(d) to (j) to office-holders do not include deputies or temporary office-holders.

• (3) Members of the panels shall hold and vacate office in accordance with the terms of their appointment, but may resign from office by written notice to the person who appointed them under paragraph (2), and any member who ceases to hold office shall be eligible for reappointment.

• (4) The President may establish further specialist panels of members referred to in paragraph (2) ....

Composition of tribunals

9

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

National security proceedings – panel of members and composition of tribunals

10

• (1) The President shall select—

• (a) a panel of persons from the panel referred to in regulation 8(2)(a);

• (b) a panel of persons from the panel referred to in regulation 8(2)(b); and

• (c) a panel of persons from the panel referred to in regulation 8(2)(c),

who may act in national security proceedings.

• (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Practice directions

11

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Power to prescribe

12

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Application of Schedules 1 to 3

13

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Register and proof of judgments

14

• (1) The Lord Chancellor shall maintain a register containing a copy of all judgments and written reasons issued by a Tribunal which are required to be entered in the register under the Employment Tribunal Procedure Rules 2024.

• (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (3) A document purporting to be certified by a member of staff of a Tribunal 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 its contents.

Transitional provisions

15

• (1) Subject to paragraphs (2) and (3), these Regulations and the Rules of Procedure contained in Schedules 1 to 3 apply in relation to all proceedings to which they relate.

• (2) Where a respondent receives from a Tribunal a copy of the claim form before 29th July 2013, rules 23 to 25 of Schedule 1 do not apply to the proceedings and rule 7 of Schedule 1 to the 2004 Regulations continues to apply.

• (3) Where in accordance with Schedules 3 to 5 of the 2004 Regulations, a notice of appeal was presented to a Tribunal before 29th July 2013, Schedule 1 does not apply to the proceedings and Schedule 3, 4 or 5, as appropriate, of the 2004 Regulations continues to apply.

SCHEDULE 1 — THE EMPLOYMENT TRIBUNALS RULES OF PROCEDURE

INTRODUCTORY AND GENERAL

Interpretation

1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Overriding objective

2

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Alternative dispute resolution

3

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Time

4

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Extending or shortening time

5

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Irregularities and non-compliance

6

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Presidential Guidance

7

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

STARTING A CLAIM

Presenting the claim

8

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Multiple claimants

9

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Rejection: form not used or failure to supply minimum information

10

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Rejection: absence of Tribunal fee or remission application

11

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Rejection: substantive defects

12

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reconsideration of rejection

13

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Protected disclosure claims: notification to a regulator

14

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

THE RESPONSE TO THE CLAIM

Sending claim form to respondents

15

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Response

16

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Rejection: form not used or failure to supply minimum information

17

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Rejection: form presented late

18

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reconsideration of rejection

19

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Applications for extension of time for presenting response

20

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Effect of non-presentation or rejection of response, or case not contested

21

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Notification of acceptance

22

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

EMPLOYER’S CONTRACT CLAIM

Making an employer’s contract claim

23

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Notification of employer’s contract claim

24

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Responding to an employer’s contract claim

25

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

INITIAL CONSIDERATION OF CLAIM FORM AND RESPONSE

Initial consideration

26

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Dismissal of claim (or part)

27

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Dismissal of response (or part)

28

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CASE MANAGEMENT ORDERS AND OTHER POWERS

Case management orders

29

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Applications for case management orders

30

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Disclosure of documents and information

31

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Requirement to attend to give evidence

32

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Evidence from other EU Member States

33

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Addition, substitution and removal of parties

34

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other persons

35

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Lead cases

36

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Striking out

37

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Unless orders

38

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Deposit orders

39

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Non-payment of fees

40

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

RULES COMMON TO ALL KINDS OF HEARING

General

41

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Written representations

42

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Witnesses

43

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Inspection of witness statements

44

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Timetabling

45

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Hearings by electronic communication

46

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Non-attendance

47

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Conversion from preliminary hearing to final hearing and vice versa

48

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Majority decisions

49

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Privacy and restrictions on disclosure

50

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

WITHDRAWAL

End of claim

51

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Dismissal following withdrawal

52

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PRELIMINARY HEARINGS

Scope of preliminary hearings

53

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Fixing of preliminary hearings

54

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Constitution of tribunal for preliminary hearings

55

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

When preliminary hearings shall be in public

56

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

FINAL HEARING

Scope of final hearing

57

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Notice of final hearing

58

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

When final hearing shall be in public

59

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DECISIONS AND REASONS

Decisions made without a hearing

60

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Decisions made at or following a hearing

61

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reasons

62

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Absence of Employment Judge

63

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Consent orders and judgments

64

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

When a judgment or order takes effect

65

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Time for compliance

66

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The Register

67

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Copies of judgment for referring court

68

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Correction of clerical mistakes and accidental slips

69

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

RECONSIDERATION OF JUDGMENTS

Principles

70

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Application

71

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Process

72

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reconsideration by the Tribunal on its own initiative

73

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

COSTS ORDERS, PREPARATION TIME ORDERS AND WASTED COSTS ORDERS

Definitions

74

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Costs orders and preparation time orders

75

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

When a costs order or a preparation time order may or shall be made

76

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Procedure

77

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The amount of a costs order

78

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The amount of a preparation time order

79

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

When a wasted costs order may be made

80

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Effect of a wasted costs order

81

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Procedure

82

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Allowances

83

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Ability to pay

84

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DELIVERY OF DOCUMENTS

Delivery to the Tribunal

85

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Delivery to parties

86

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Delivery to non-parties

87

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Special cases

88

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Substituted service

89

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Date of delivery

90

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Irregular service

91

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Correspondence with the Tribunal: copying to other parties

92

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

MISCELLANEOUS

ACAS

93

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

National security proceedings

94

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Interim relief proceedings

95

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Proceedings involving the National Insurance Fund

96

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Collective agreements

97

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Devolution issues

98

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Transfer of proceedings between Scotland and England & Wales

99

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

References to the Court of Justice of the European Union

100

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Transfer of proceedings from a court

101

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Vexatious litigants

102

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Information to the Commission for Equality and Human Rights

103

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Application of this Schedule to levy appeals

104

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Application of this Schedule to appeals against improvement and prohibition notices

105

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Application of this Schedule to appeals against unlawful act notices

106

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

SCHEDULE 2 — THE EMPLOYMENT TRIBUNALS (NATIONAL SECURITY) RULES OF PROCEDURE

Application of Schedule 2

1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Serving of documents

2

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Witness orders and disclosure of documents

3

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Special advocate

4

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Hearings

5

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reasons in national security proceedings

6

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

SCHEDULE 3 — THE EMPLOYMENT TRIBUNALS (EQUAL VALUE) RULES OF PROCEDURE

Application of Schedule 3

1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

General power to manage proceedings

2

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Conduct of stage 1 equal value hearing

3

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Standard orders for stage 1 equal value hearing

4

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Involvement of independent expert in fact finding

5

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Conduct of stage 2 equal value hearing

6

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Standard orders for stage 2 equal value hearing

7

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Final hearing

8

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Duties and powers of the independent expert

9

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Use of expert evidence

10

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Written questions to experts (including independent experts)

11

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Procedural matters

12

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

National security proceedings

13

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Signed

Jo Swinson — Parliamentary Under Secretary of State for Employment Relations and Consumer Affairs — 2013-05-28

Explanatory note

(This note is not part of the Regulations)

Footnotes

[^f00001]: 1974 c. 37.

[^f00002]: 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 the Employment Rights (Dispute Resolution) Act 1998, Schedule 1, paragraph 12(4), and by the Tribunals, Courts and Enforcement Act 2007 (c. 15), Schedule 8, paragraphs 35 and 37. Section 4(6A) was inserted by the Employment Rights (Dispute Resolution) Act 1998, section 3(6), and amended by the Tribunals, Courts and Enforcement Act 2007, Schedule 8, paragraphs 35 and 37. Section 7(3)(f)(i) was repealed by the Employment Rights (Dispute Resolution) Act 1998, Schedule 1, paragraph 14(2); section 7(3)(ia) was inserted by the Employment Act 2002 (c. 22), section 24(1); and section 7(3)(h) was amended by the Equality Act 2010 (c. 15), Schedule 26, paragraphs 27 and 29. Section 7(3ZA) was inserted by the Employment Act 2002, section 25. Section 7(3A) to (3C) was inserted by the Employment Rights (Dispute Resolution) Act 1999, section 2, and section 7(3A) was then substituted by the Employment Act 2002, section 26. Section 7(3AA) and (3AB) was inserted by the Employment Act 2008 (c. 24), section 4. Section 7A was inserted by the Employment Act 2002, section 27, and section 7A(1) was amended by the Tribunals Courts and Enforcement Act 2007, Schedule 8, paragraphs 35 and 41. Section 7B was inserted by the Tribunals, Courts and Enforcement Act 2007, Schedule 8, paragraphs 35 and 42. Sections 10 and 10A were substituted by the Employment Relations Act 1999 (c. 26), Schedule 8, paragraph 3, and section 10(6) was then substituted by the Employment Relations Act 2004 (c. 24), section 36. Section 12 was amended by the Equality Act 2010, Schedule 26, paragraphs 27 and 30. Section 13 was amended by the Employment Act 2002, section 22(1). Section 13(2) was amended by the Employment Relations Act 1999, section 44, Schedule 4, paragraph 4 of Part III, and Schedule 9. Section 13A was inserted by the Employment Act 2002, section 22(2). Section 19(1) was renumbered as such by the Employment Act 2002, section 24(4), and was amended by sections 24(3), 53 and 54 of, and Schedule 7, paragraph 23(1) and (3), and Schedule 8 to, that Act.

[^f00003]: 1998 c. 46.

[^f00004]: 2006 c. 32.

[^f00005]: 2007 c. 15.

[^f00006]: S.I. 2004/1861.

[^f00007]: 2005 c. 4; section 109 was amended by the Tribunals, Courts and Enforcement Act 2007, Schedule 8, paragraph 63.

[^f00008]: 1996 c. 18.

[^f00009]: 1992 c. 52.

[^f00010]: 2006 c. 3.

[^f00011]: 1975 c. 71; section 87 was repealed by the Employment Protection (Consolidation) Act 1978 (c. 44), Schedule 17.

[^f00012]: 1978 c. 44; section 135 was repealed by the Employment Tribunals Act 1996 (c. 17), Schedule 3, Part I.

[^f00013]: 2000 c. 7; section 15(1) was amended by the Communications Act 2003 (c. 21), Schedule 17, paragraph 158.

[^f00014]: S.I. 1994/1623; 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”. By virtue of the destination table to the Employment Tribunals Act 1996, the reference in article 3(a) to “section 131(2) of the 1978 Act” should be read as section 3(2) of the Employment Tribunals Act 1996. Article 7 was amended by S.I. 2011/1133.

[^f00015]: S.I. 1994/1624; by virtue of the destination table to the Employment Tribunals Act 1996 the reference in article 3(a) to “section 131(2) of the 1978 Act” should be read as section 3(2) of the Employment Tribunals Act 1996. Article 7 was amended by S.I. 2011/1133.

[^f00016]: Article 8 was amended by S.I. 2011/1133.

[^f00017]: Article 8 was amended by S.I. 2011/1133.

[^f00018]: 1996 c. 17.

[^f00019]: 2010 c. 15.

[^f00020]: Section 4(1)(b) was substituted by the Employment Rights (Dispute Resolution) Act 1998, section 4, from a date to be appointed.

[^f00021]: 1974 c. 37.

[^f00022]: 1982 c. 10. Section 11 was amended by the Employment Act 1989 (c. 38), Schedule 4, paragraph 10; there are other amending instruments but none is relevant.

[^f00023]: Section 22 was amended by the Consumer Protection Act 1987 (c. 43), Schedule 3, paragraph 2.

[^f00024]: 2006 c. 3; section 21 was amended by the Equality Act 2010 (c. 15), Schedule 26, paragraph 67.

[^f00025]: Section 4(2) and (6) was amended by the Tribunals, Courts and Enforcement Act 2007 (c. 15), Schedule 8, paragraphs 35 and 37.

[^f00026]: 1971 c. 80.

[^f00027]: S.I. 1999/1549, amended by the Energy Act 2004 (c. 20), and S.I. 2003/1993, 2004/3265, 2005/2035, 2005/2464, 2005/3172, 2008/531, 2008/2831, 2009/462, 2009/2457, 2009/2748, 2010/7, 2010/671, 2011/2581, 2012/462, 2012/725, 2012/1641, 2012/1479, 2012/2400.

[^f00028]: 1996 c. 18; section 43A was inserted by the Public Interest Disclosure Act 1996 (c. 23), section 1.

[^f00029]: OJ L 174, 27.6.01, p1.

[^f00030]: 1998 c. 42.

[^f00031]: S.I. 1993/3080

[^f00032]: Section 5(2) was amended by the Equality Act 2010 (c. 15), Schedule 26, Part I, paragraphs 27 and 28.

[^f00033]: 1992 c. 52. Section 161 was amended by the Employment Relations Act 2004 (c. 24), Schedule 1, paragraph 12. Section 165 was amended by the Employment Rights (Dispute Resolution) Act 1998 (c. 8), section 1(2).

[^f00034]: 1996 c. 17. Section 128 was amended by S.I. 2010/493. Section 131 was amended by the Employment Rights (Dispute Resolution) Act 1998 (c. 8), section 1(2).

[^f00035]: 1998 c. 46.

[^f00036]: 2006 c. 32.

[^f00037]: OJC 83, 30.03.10 p.47.

[^f00038]: 1981 c. 54.

[^f00039]: 1898 c. 35.

INTRODUCTORY AND GENERAL

Interpretation

Overriding objective

Alternative dispute resolution

Time

Extending or shortening time

Irregularities and non-compliance

Presidential Guidance

STARTING A CLAIM

Presenting the claim

Multiple claimants

Rejection: form not used or failure to supply minimum information

Rejection: absence of Tribunal fee or remission application

Rejection: substantive defects

Reconsideration of rejection

Protected disclosure claims: notification to a regulator

THE RESPONSE TO THE CLAIM

Sending claim form to respondents

Response

Rejection: form not used or failure to supply minimum information

Rejection: form presented late

Reconsideration of rejection

Applications for extension of time for presenting response

Effect of non-presentation or rejection of response, or case not contested

Notification of acceptance

EMPLOYER'S CONTRACT CLAIM

Making an employer's contract claim

Notification of employer's contract claim

Responding to an employer's contract claim

INITIAL CONSIDERATION OF CLAIM FORM AND RESPONSE

Initial consideration

Dismissal of claim (or part)

Dismissal of response (or part)

CASE MANAGEMENT ORDERS AND OTHER POWERS

Case management orders

Applications for case management orders

Disclosure of documents and information

Requirement to attend to give evidence

Evidence from other EU Member States

Addition, substitution and removal of parties

Other persons

Lead cases

Striking out

Unless orders

Deposit orders

Non-payment of fees

RULES COMMON TO ALL KINDS OF HEARING

General

Written representations

Witnesses

Inspection of witness statements

Timetabling

Hearings by electronic communication

Non-attendance

Conversion from preliminary hearing to final hearing and vice versa

Majority decisions

Privacy and restrictions on disclosure

WITHDRAWAL

End of claim

Dismissal following withdrawal

PRELIMINARY HEARINGS

Scope of preliminary hearings

Fixing of preliminary hearings

Constitution of tribunal for preliminary hearings

When preliminary hearings shall be in public

FINAL HEARING

Scope of final hearing

Notice of final hearing

When final hearing shall be in public

DECISIONS AND REASONS

Decisions made without a hearing

Decisions made at or following a hearing

Reasons

Absence of Employment Judge

Consent orders and judgments

When a judgment or order takes effect

Time for compliance

The Register

Copies of judgment for referring court

Correction of clerical mistakes and accidental slips

RECONSIDERATION OF JUDGMENTS

Principles

Application

Process

Reconsideration by the Tribunal on its own initiative

COSTS ORDERS, PREPARATION TIME ORDERS AND WASTED COSTS ORDERS

Definitions

Costs orders and preparation time orders

When a costs order or a preparation time order may or shall be made

Procedure

The amount of a costs order

The amount of a preparation time order

When a wasted costs order may be made

Effect of a wasted costs order

Procedure

Allowances

Ability to pay

DELIVERY OF DOCUMENTS

Delivery to the Tribunal

Delivery to parties

Delivery to non-parties

Special cases

Substituted service

Date of delivery

Irregular service

Correspondence with the Tribunal: copying to other parties

MISCELLANEOUS

ACAS

National security proceedings

Interim relief proceedings

Proceedings involving the National Insurance Fund

Collective agreements

Devolution issues

Transfer of proceedings between Scotland and England & Wales

References to the Court of Justice of the European Union

Transfer of proceedings from a court

Vexatious litigants

Information to the Commission for Equality and Human Rights

Application of this Schedule to levy appeals

Application of this Schedule to appeals against improvement and prohibition notices

Application of this Schedule to appeals against notices given under the Energy Act 2013

Editorial notes

[^c21803751]: 1974 c. 37.

[^c21803761]: 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 the Employment Rights (Dispute Resolution) Act 1998, Schedule 1, paragraph 12(4), and by the Tribunals, Courts and Enforcement Act 2007 (c. 15), Schedule 8, paragraphs 35 and 37. Section 4(6A) was inserted by the Employment Rights (Dispute Resolution) Act 1998, section 3(6), and amended by the Tribunals, Courts and Enforcement Act 2007, Schedule 8, paragraphs 35 and 37. Section 7(3)(f)(i) was repealed by the Employment Rights (Dispute Resolution) Act 1998, Schedule 1, paragraph 14(2); section 7(3)(ia) was inserted by the Employment Act 2002 (c. 22), section 24(1); and section 7(3)(h) was amended by the Equality Act 2010 (c. 15), Schedule 26, paragraphs 27 and 29. Section 7(3ZA) was inserted by the Employment Act 2002, section 25. Section 7(3A) to (3C) was inserted by the Employment Rights (Dispute Resolution) Act 1999, section 2, and section 7(3A) was then substituted by the Employment Act 2002, section 26. Section 7(3AA) and (3AB) was inserted by the Employment Act 2008 (c. 24), section 4. Section 7A was inserted by the Employment Act 2002, section 27, and section 7A(1) was amended by the Tribunals Courts and Enforcement Act 2007, Schedule 8, paragraphs 35 and 41. Section 7B was inserted by the Tribunals, Courts and Enforcement Act 2007, Schedule 8, paragraphs 35 and 42. Sections 10 and 10A were substituted by the Employment Relations Act 1999 (c. 26), Schedule 8, paragraph 3, and section 10(6) was then substituted by the Employment Relations Act 2004 (c. 24), section 36. Section 12 was amended by the Equality Act 2010, Schedule 26, paragraphs 27 and 30. Section 13 was amended by the Employment Act 2002, section 22(1). Section 13(2) was amended by the Employment Relations Act 1999, section 44, Schedule 4, paragraph 4 of Part III, and Schedule 9. Section 13A was inserted by the Employment Act 2002, section 22(2). Section 19(1) was renumbered as such by the Employment Act 2002, section 24(4), and was amended by sections 24(3), 53 and 54 of, and Schedule 7, paragraph 23(1) and (3), and Schedule 8 to, that Act.

[^c21803771]: 1998 c. 46.

[^c21803781]: 2006 c. 32.

[^c21803791]: 2007 c. 15.

[^c21803801]: S.I. 2004/1861.

[^c21803811]: 2005 c. 4; section 109 was amended by the Tribunals, Courts and Enforcement Act 2007, Schedule 8, paragraph 63.

[^key-a24b3018db38d0d4f50d5decf1f80b7f]: Reg. 14(2) omitted (6.4.2014) by virtue of The Employment Tribunals (Constitution and Rules of Procedure) (Amendment) (No. 2) Regulations 2014 (S.I. 2014/611), regs. 1, 2

[^key-8251ee2601a74a4104da1b84c39ee8d2]: Word in reg. 5(4) substituted (6.4.2016) by The Enterprise and Regulatory Reform Act 2013 (Consequential Amendments) (Bankruptcy) and the Small Business, Enterprise and Employment Act 2015 (Consequential Amendments) Regulations 2016 (S.I. 2016/481), reg. 1, Sch. 2 para. 12

[^M_F_2dad64cb-349e-424e-c17d-f410b1db118e]: Word in reg. 6(5) substituted (6.4.2014) by The Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2014 (S.I. 2014/271), regs. 1, 2

[^key-d1e4c7fbb185d43b09c2bae4af8aae0b]: Reg. 8(2A)-(2I) inserted (8.10.2020) by The Employment Tribunals (Constitution and Rules of Procedure) (Early Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations 2020 (S.I. 2020/1003), regs. 1(2), 3(b)

[^key-7027d9be1b251953a851b99df99d73df]: Reg. 8(2)(a) substituted (8.10.2020) by The Employment Tribunals (Constitution and Rules of Procedure) (Early Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations 2020 (S.I. 2020/1003), regs. 1(2), 3(a)

[^key-7d569eb9c0f673fac226e1120640b4da]: Reg. 9 omitted (27.1.2024) by virtue of The Employment Tribunals and Employment Appeal Tribunal (Composition of Tribunal) Regulations 2024 (S.I. 2024/94), regs. 1(1), 8(3) (with reg. 9(b))

[^key-e7b2a08680836efe9cb801091ecc8eb5]: Reg. 10(2) omitted (27.1.2024) by virtue of The Employment Tribunals and Employment Appeal Tribunal (Composition of Tribunal) Regulations 2024 (S.I. 2024/94), regs. 1(1), 8(4) (with reg. 9(b))

[^key-4dd9bf6153edccc691b308887abb2e52]: Words in reg. 8(4) omitted (27.1.2024) by virtue of The Employment Tribunals and Employment Appeal Tribunal (Composition of Tribunal) Regulations 2024 (S.I. 2024/94), regs. 1(1), 8(2) (with reg. 9(b))

[^key-b8dff62367c8e9c5a0604fd874e2cf6c]: Regs. 10A-13 omitted (6.1.2025) by virtue of The Employment Tribunals (Procedure Rules) (Consequential Amendments) Regulations 2024 (S.I. 2024/1156), regs. 1(1), 4(4)

[^key-ad43451dce94ed2d46561191bac1a821]: Regs. 14A, 14B inserted (6.1.2025) by The Employment Tribunals (Procedure Rules) (Consequential Amendments) Regulations 2024 (S.I. 2024/1156), regs. 1(1), 4(6)

[^key-6c0d789f704308268f6c3ccfc73c977d]: Schs. 1-3 omitted (6.1.2025) by virtue of The Employment Tribunals (Procedure Rules) (Consequential Amendments) Regulations 2024 (S.I. 2024/1156), regs. 1(1), 4(7)

[^key-17e9dc7681e3a3bddcf4bc20d62c780b]: Words in reg. 1(1) omitted (6.1.2025) by virtue of The Employment Tribunals (Procedure Rules) (Consequential Amendments) Regulations 2024 (S.I. 2024/1156), regs. 1(1), 4(2)

[^key-67055834ed104b1b429f67a9ea5afd9b]: Words in reg. 3 omitted (6.1.2025) by virtue of The Employment Tribunals (Procedure Rules) (Consequential Amendments) Regulations 2024 (S.I. 2024/1156), regs. 1(1), 4(3)(a)

[^key-8b4160731f97c56753f1e423348583ed]: Words in reg. 3 substituted (6.1.2025) by The Employment Tribunals (Procedure Rules) (Consequential Amendments) Regulations 2024 (S.I. 2024/1156), regs. 1(1), 4(3)(b)

[^key-d21f7b62a294a574ca61051f26af559f]: Words in reg. 14(1) substituted (6.1.2025) by The Employment Tribunals (Procedure Rules) (Consequential Amendments) Regulations 2024 (S.I. 2024/1156), regs. 1(1), 4(5)

105A

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Application of this Schedule to appeals against unlawful act notices

Postponements

30A

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Disclosure of documents and information

Requirement to attend to give evidence

Evidence from other EU Member States

Addition, substitution and removal of parties

Other persons

Lead cases

Striking out

Unless orders

Deposit orders

Non-payment of fees

Legal officers

10A

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Responsibilities of legal officers

10B

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Practice directions

Power to prescribe

Application of Schedules 1 to 3

Register and proof of judgments

Transitional provisions

Absence of Presiding Member

Digital case management

92A

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Appeals against notices given under the Health and Safety at Work etc. Act 1974

14A

A person may appeal against an improvement notice or a prohibition notice given by an inspector under section 21 or 22 respectively of the Health and Safety at Work etc. Act 1974 by presenting a claim to the Tribunal so that it is received—

• (a) before the end of the period of 21 days beginning with the date on which the notice which is the subject of the appeal is sent to the appellant, or

• (b) within such further period as the Tribunal considers reasonable where it is satisfied that it was not reasonably practicable for an appeal to be presented within that period.

Appeals against notices given under the Energy Act 2013

14B

A person may appeal against an improvement notice or a prohibition notice given by an inspector under paragraph 3 or 4 respectively of Schedule 8 to the Energy Act 2013 by presenting a claim to the Tribunal so that it is received—

• (a) before the end of the period of 21 days beginning with the date on which the notice which is the subject of the appeal is sent to the appellant, or

• (b) within such further period as the Tribunal considers reasonable where it is satisfied that it was not reasonably practicable for an appeal to be presented within that period.

Transitional provisions