The Special Educational Needs Tribunal for Wales Regulations 2012

• (b) where the decision was made by a tribunal panel, by the President or the tribunal panel which made the decision or by another tribunal panel appointed by the President.

• (8) If the President or the Chair of the tribunal panel which decided the case proposes, on the President’s or the Chair’s own initiative, that a decision is reviewed—

• (a) the Secretary of the Tribunal must serve notice on the parties no later than 28 days after the date on which the decision was sent to the parties; and

• (b) the parties must have an opportunity to be heard.

• (9) In determining an application or a proposal for a review under paragraphs (3), (4) or (7), the President or the Chair may give directions to be complied with before or at the hearing of the review.

• (10) If a party fails to comply with a direction made under paragraph (9), the tribunal panel may take account of that fact when determining the review or deciding whether to make an order for costs.

• (11) The President or the Chair may on the application of a party, give permission for that party to change a witness for the purpose of the review hearing.

• (12) An application made under paragraph (11), must be received by the Secretary of the Tribunal and served by the applicant on the other party, no later than 14 days before the review hearing.

• (13) The President or the Chair must give the parties the opportunity to be heard on any application made under paragraph (11).

• (14) If a decision is set aside or varied following a review under this regulation the Secretary of the Tribunal must alter the entry in the Register and must notify the parties accordingly.

Review of Tribunal’s decision not to extend the period in which proceedings must be commenced

57

• (1) A decision by the President not to extend the time for submitting an appeal application under regulation 16 may be reviewed under regulation 56 on the application of a person as if the person was a party to the appeal.

• (2) Where the President decides not to consider a claim which is out of time, under paragraph 4(3) of Schedule 17 to the 2010 Act, that decision may be reviewed under regulation 56 on the application of a person as if the person was a party to the claim.

• (3) If an application for review is made under paragraphs (1) or (2), the Secretary of the Tribunal must serve a copy of the application on the local authority or the responsible body and give the local authority or the responsible body a notice inviting written representations within a specified period.

Consideration of an application for permission to appeal to the Upper Tribunal

58

• (1) On receiving an application under regulation 39A of the Special Educational Needs Tribunal Regulations 2001, or regulation 39A of the Special Educational Needs and Disability Tribunal (General Provisions and Disability Claims Procedure) Regulations 2002, for permission to appeal to the Upper Tribunal the President or the Chair of the tribunal panel which decided the case must first consider, taking into account the overriding objective in regulation 6, whether to review the Tribunal’s decision in accordance with regulation 56 unless the President or the Chair have already reviewed the decision or decided not to review the decision.

• (2) If the President or the Chair decides not to review the decision, or reviews the decision and decides to take no action in relation to the decision, or part of it, the President or the Chair must then consider whether to give permission to appeal in relation to the decision or that part of it.

Power to suspend Tribunal’s decision

59

The President or the Chair of the tribunal panel which decided the case may, on application or on the President’s or the Chair’s own initiative, make an order to suspend the effect of the tribunal panel’s decision pending the determination by the President or the Chair or the Upper Tribunal of an application for permission to appeal against, and any appeal or review of, that decision.

Orders of the Upper Tribunal or the Court

60

• (1) If any decision of the Tribunal is set aside, varied or altered in any way by order of the Upper Tribunal or the Court, the Secretary of the Tribunal must alter the entry in the Register to correspond to that order and must notify the parties accordingly.

• (2) If the appeal or the claim is remitted to the Tribunal by order of the Upper Tribunal or the Court to be reheard, the Secretary of the Tribunal must notify the parties that, during a period of 15 working days (or a shorter period as agreed by the parties) each party may submit a supplementary case statement and further written evidence.

• (3) If an order to strike out the appeal application or the claim application is quashed or set aside by the Upper Tribunal or the Court, the Secretary of the Tribunal must notify the parties—

• (a) in the case where the case statement period had not expired before the order to strike out took effect—

• (i) that a new case statement period is to commence; and

• (ii) that, within the new case statement period, the parties may submit the documentation referred to in sub-paragraph (b) in respect of a case statement or evidence submitted before the strike out took effect; or

• (b) where sub-paragraph (a) does not apply, that each party has a period of 15 working days (or a shorter period as the parties may agree in writing) to submit a supplementary case statement and further written evidence.

• (4) The Secretary of the Tribunal must send a copy of all case statements and written evidence received from a party during the periods referred to in paragraphs (2) and (3)(b) to the other party.

Compliance

Compliance with tribunal panel orders — appeals

61

• (1) Subject to paragraph (5), if the tribunal panel, following its decision in relation to an appeal, makes an order requiring a local authority to perform an action referred to in paragraph (2) the local authority must perform that action within the time period specified in paragraph (2).

• (2) In the case of an order—

• (a) to make an assessment, the local authority must notify—

• (i) the parent that it must make an assessment under section 323(4) or 329A(7) of the 1996 Act as the case may be within 5 weeks; and

• (ii) where the child was the appellant, the child that it must make an assessment under section 329A(7) of the 1996 Act within 5 weeks;

• (b) to make and maintain a statement, the local authority must make a statement within 5 weeks;

• (c) remitting a case back to the local authority under section 325(3)(c) of the 1996 Act, the local authority must within 2 weeks serve a copy of a proposed statement and a notice on the parent and the child under paragraphs 2(1) and 2B(2) of Schedule 27 to the 1996 Act respectively, or give notice to the parent and the child—

• (i) under section 325(1) of the 1996 Act that they have decided not to make a statement;

• (ii) of their reasons for that decision;

• (iii) of the parent and the child’s right of appeal against that decision to the Tribunal; and

• (iv) of the time limit within which an appeal to the Tribunal must be made;

• (d) to amend a statement, the local authority must serve an amendment notice on the parent and the child under paragraph 2A of Schedule 27 to the 1996 Act within 5 weeks;

• (e) to continue to maintain a statement, the local authority must continue to maintain the statement with immediate effect;

• (f) to continue to maintain and to amend a statement, the local authority must continue to maintain the statement with immediate effect and must serve an amendment notice on the parent and the child under paragraph 2A of Schedule 27 to the 1996 Act within 5 weeks;

• (g) to substitute the name of the school or other institution specified in a child’s statement with the name of a school specified by the parent or child, the local authority must, subject to paragraph (3), specify the school specified by the parent or child within 2 weeks; and

• (h) dismissing an appeal against a determination to cease to maintain a statement, the local authority must cease to maintain that statement immediately or on a date proposed by the local authority, whichever is the later.

• (3) If an order requires a local authority to comply with both sub-paragraphs (d) and (g) of paragraph (2), or both sub-paragraphs (f) and (g) of paragraph (2), the local authority must specify the school specified by the parent or child within 5 weeks.

• (4) In each case in paragraphs (2) and (3), the period begins on the first working day after the order was made.

• (5) The local authority need not comply with the time periods referred to in paragraphs (2) and (3) if it is impractical to do so because—

• (a) exceptional personal circumstances affect the parent or, where the appellant was the child, the child during the time period;

• (b) the parent or, where the appellant was the child, the child is absent from the area of the local authority for a continuous period of no less than 2 weeks, or where paragraph (3) applies no less than 5 weeks, during the time period;

• (c) the parent has indicated that the parent wishes to make representations to the local authority about the content of the statement under paragraph 4(1) of Schedule 27 to the 1996 Act after the expiry of the 15 day period for making such representations provided for in paragraph 4(4) of that Schedule;

• (d) a meeting between the parent and an officer of the local authority has been held under paragraph 4(1) of Schedule 27 to the 1996 Act and the parent under paragraph 4(2) of that Schedule has either required that another such meeting is arranged or has required that a meeting with the appropriate person is arranged; or

• (e) the local authority have sent a written request to the Welsh Ministers seeking their consent under section 347(5) of the 1996 Act to the child being educated at an independent school which is not approved by them and such consent has not been received by the local authority within 3 weeks of the day on which the request was sent.

Compliance with appellant’s request when a local authority concedes an appeal

62

• (1) Subject to paragraph (3) if, under section 326A(2) of the 1996 Act, an appeal to the Tribunal is treated as having been determined in favour of the appellant, the local authority must—

• (a) in the case of an appeal under section 325 of the 1996 Act, make a statement within 5 weeks;

• (b) in the case of an appeal under section 328, 329 or 329A of the 1996 Act, make an assessment within 5 weeks; and

• (c) in the case of an appeal under paragraph 8(3) of Schedule 27 to the 1996 Act against a determination not to comply with the appellant’s request to substitute the name of a maintained school for the name of the school or institution specified in the statement, comply with that request within 2 weeks.

• (2) In each case in paragraph (1), the period begins on the first working day after the local authority notifies the Tribunal that it does not oppose the appeal.

• (3) The local authority need not comply with the time limits referred to in paragraph (1) if it is impractical to do so because—

• (a) exceptional personal circumstances affect the parent or, where the appellant is the child, the child during the relevant time period;

• (b) the parent or, where the appellant is the child, the child is absent from the area of the local authority for a continuous period of no less than 2 weeks during the relevant time period;

• (c) the parent has indicated that the parent wishes to make representations to the local authority about the content of the statement under paragraph 4(1) of Schedule 27 to the 1996 Act after the expiry of the 15 day period for making such representations provided for in paragraph 4(4) of that Schedule;

• (d) a meeting between the parent and an officer of the local authority has been held under paragraph 4(1) of Schedule 27 to the 1996 Act and the parent under paragraph 4(2) of that Schedule has either required that another such meeting is arranged or has required that a meeting with the appropriate person is arranged, or

• (e) the local authority have sent a written request to the Welsh Ministers seeking their consent under section 347(5) of the 1996 Act to the child being educated at an independent school which is not approved by them and such consent has not been received by the local authority within 3 weeks of the day on which the request was sent.

PART C — CASE FRIENDS

Application

63

Regulations 64 to 68 apply to an appellant or a claimant other than an appellant or claimant who is a parent of a child who is the subject of the appeal application or the claim application.

Requirement for case friend

64

• (1) Subject to paragraph (2), an appellant or a claimant may conduct proceedings in relation to an appeal or claim without a case friend.

• (2) An appellant or a claimant may not conduct proceedings where the President or the tribunal panel has made a finding that the appellant or the claimant does not have sufficient understanding to participate or continue to participate as a party to the appeal or the claim without a case friend.

• (3) The question of whether the appellant or the claimant has sufficient understanding to conduct proceedings without a case friend, whether raised—

• (a) by a party to the appeal or the claim; or

• (b) by the President or the tribunal panel, of the President’s or the tribunal panel’s own initiative,

is to be determined by the President or the tribunal panel.

• (4) Where paragraph (3)(a) applies, it is for that party to satisfy the President or the tribunal panel that the appellant or the claimant does not have sufficient understanding to conduct the proceedings without a case friend.

• (5) The President or the tribunal panel may hear any evidence that the President or the tribunal panel considers relevant to determine the question under paragraph (3).

• (6) Any hearing held for the determination of the question must not take place in public.

• (7) The President or the tribunal panel may exclude from the hearing, or part of it, any person whose presence is likely, in the opinion of the President or the tribunal panel, to make it difficult for the appellant or the claimant to make representations.

• (8) Where the President or the tribunal panel has made a finding in accordance with paragraph (2), the President or the tribunal panel must direct the appellant or the claimant to appoint a case friend.

Who may be a case friend

65

A person may only act as a case friend if the person is not barred from regulated activity relating to children within the meaning of section 3(2)(a) of the Safeguarding Vulnerable Groups Act 2006[^f00024].

How a person becomes a case friend

66

• (1) A person who wishes to act as a case friend must submit a declaration of suitability to the Tribunal.

• (2) The declaration of suitability must state—

• (a) the name and address of the person who wishes to act as the appellant’s or claimant’s case friend and if available, the person’s telephone number, fax number and email address;

• (b) the name and date of birth of the appellant or claimant;

• (c) the person’s relationship or connection to the appellant or claimant;

• (d) that the person satisfies the conditions and requirements specified in regulation 65 and section 332ZC(2) of the 1996 Act[^f00025].

• (3) The declaration of suitability must include—

• (a) the views of the appellant’s or the claimant’s parent in relation to the person’s wish to act as the appellant’s or the claimant’s case friend; or

• (b) an explanation of why the person has not established the parent’s views.

• (4) Subject to paragraph (5) the declaration of suitability must be accompanied by an enhanced disclosure certificate issued by the Criminal Records Bureau confirming the person’s suitability to work with children.

• (5) The requirement in paragraph (4) does not apply where the person who wishes to act as the case friend is the appellant’s or the claimant’s parent, step-parent, brother, step-brother, sister, step-sister, grand-parent, uncle, aunt, nephew or niece.

• (6) The Secretary of the Tribunal must—

• (a) record on the Tribunal’s register the disclosure certificate’s number and the start and expiry date;

• (b) use the recorded delivery service to return the disclosure certificate to the person.

• (7) The declaration of suitability may be accompanied by evidence to support the person’s suitability to act as a case friend.

• (8) The declaration of suitability must be signed by the person who wishes to act as the appellant’s or the claimant’s case friend.

• (9) The person who wishes to act as the child’s case friend must serve a copy of the declaration of suitability on—

• (a) the parties to the proceedings; and

• (b) the appellant’s or the claimant’s parent.

Steps in proceedings

67

• (1) If during the appeal or the claim the President or the tribunal panel make a finding under regulation 64(2), no party may take any further step in the appeal or the claim without the President’s or the tribunal panel’s permission until and unless a person who wishes to act as the appellant’s or the claimant’s case friend has submitted a declaration of suitability to the Tribunal in accordance with regulation 66.

• (2) Where a person has submitted a declaration of suitability under regulation 66, the Secretary of the Tribunal must send all documents and notices concerning the appeal or claim to the case friend instead of the appellant or the claimant.

• (3) If paragraph (2) applies references in these Regulations (however expressed) to sending documents to, or giving notice to, the appellant or the claimant must be construed as references to sending documents to, or giving notice to, the case friend.

Removing a case friend

68

• (1) A person may act as a case friend unless the President or the tribunal panel directs that the person may not, or may not continue to, act as a case friend.

• (2) The President or the tribunal panel may make a direction in accordance with paragraph (1) on the President’s or the tribunal panel’s own initiative or on application, if satisfied that—

• (a) the person does not meet any of the conditions set out in regulation 65 and section 332ZC(2) of the 1996 Act; or

• (b) other good reason exists.

• (3) An application for a direction to remove a case friend may be made by—

• (a) a party;

• (b) the case friend.

• (4) An application for a direction to remove a case friend must be supported by evidence.

• (5) Where a direction is made under paragraph (1) the President or the tribunal panel—

• (a) may direct the appellant or the claimant to appoint a new case friend; and

• (b) may stay the appeal or the claim until the appellant or the claimant has appointed a new case friend.

• (6) The Secretary of the Tribunal must serve notice on the parties of any direction made under paragraph (1) stating—

• (a) that the person no longer acts as the appellant’s or the claimant’s case friend; and

• (b) where a person has been substituted as a case friend, the name and address of the new case friend for service of notices and documents.

• (7) The Secretary of the Tribunal must serve a copy of a direction made under paragraph (1) on the person who has been removed as the case friend.

PART D — MISCELLANEOUS

Extension of time

69

• (1) Subject to paragraph (2), the President may, on application of a party or on the President’s own initiative, direct that a period of time in these Regulations or a direction made under them is extended.

• (2) The President may only extend a period of time in accordance with paragraph (1) if the President considers it fair and just to do so.

• (3) The President may extend a period of time by such period as the President thinks fit.

• (4) Where the President has extended a period of time, reference in these Regulations or in a direction made under them to that period of time must be construed as a reference to the period of time so extended.

Withdrawal

70

A person may withdraw an appeal or a claim—

• (a) by giving notice to the Secretary of the Tribunal at any time before a hearing; or

• (b) orally at a hearing.

Orders for costs and expenses

71

• (1) The President or the Chair of the tribunal panel which decided the case must not normally make an order in respect of costs and expenses, but may, subject to paragraph (3), make such an order—

• (a) against a party if the President or the Chair is of the opinion that a party has been responsible for improper, unreasonable or negligent action or omission, or for any failure to comply with a direction or any delay which with diligence could have been avoided or that the party’s conduct in making or resisting the appeal or claim was unreasonable;

• (b) against a representative if the President or the Chair is of the opinion that the representative is responsible for improper, unreasonable or negligent action or omission, or for any failure to comply with a direction or any delay which with diligence could have been avoided;

• (c) against a party who has failed to attend or be represented at a hearing of which that party has been duly notified;

• (d) against the local authority or responsible body where it has not submitted a case statement under regulation 21;

• (e) against the local authority or the responsible body where the President or the Chair considers that the disputed decision was unreasonable.

• (2) Any order in respect of costs and expenses may be made—

• (a) as respects any costs and expenses incurred, or any allowances paid; or

• (b) as respects the whole, or any part, of any allowance (other than allowances paid to members of the Tribunal) paid by the Welsh Ministers to any person for the purposes of, or in connection with, a person’s attendance at a Tribunal hearing.

• (3) An order for costs may be made on the application of a party or on the President’s or the Chair’s own initiative.

• (4) A party making an application for an order under paragraph (3) must—

• (a) submit a written application and a schedule of costs claimed to the Secretary of the Tribunal; and

• (b) serve a copy of the application and schedule of costs on the person against whom it is proposed that the order is made.

• (5) An application for an order under paragraph (3) may be made at any time during the appeal or the claim but may not be made later than 28 days from the date on which the tribunal panel—

• (a) issued the decision notice recording the decision which finally disposed of all issues in the appeal or the claim;

• (b) upon withdrawal of the appeal or the claim, made an order dismissing the appeal or the claim;

• (c) following the local authority’s concession to the appeal, issued the decision notice.

• (6) An application for an order under paragraph (3)—

• (a) must be refused by the President or the Chair if a party is asking the Tribunal to consider a matter which is outside its powers;

• (b) may be refused in whole or part by the President or the Chair if, in the President’s or the Chair’s opinion, the whole or part of it has no reasonable chance of success.

• (7) Unless an application for an order is refused under paragraph (6), it must be determined after the party and the person against whom it is proposed that the order is made have had an opportunity to be heard by the President or the Chair.

• (8) If an order is made under paragraph (3), the President or the Chair may give directions to be complied with before or at the costs hearing.

• (9) If a party fails to comply with a direction given under paragraph (8) the President or the Chair may take account of that fact when deciding whether to make an order for costs.

• (10) An order under paragraph (3) may require the party or representative against whom it is made to pay a party either a specified sum in respect of the costs and expenses incurred by that other party in connection with the appeal or claim or the whole or part of such costs as assessed if not otherwise agreed.

• (11) An order under this regulation for costs to be assessed must allow the county court to make a detailed assessment of costs in accordance with the Civil Procedure Rules 1998 either on the standard basis or if specified in the order on the indemnity basis .

Power to exercise the functions of the President and Chair

72

• (1) Subject to paragraph (2), a Chair may exercise any function which these Regulations require or authorise the President to do.

• (2) A Chair may not exercise a function under regulation 28 of these Regulations.

• (3) Where in accordance with paragraph (1), a Chair—

• (a) is required to select the Chair to a tribunal panel, a Chair may select themself;

• (b) makes a decision, regulations 56 and 57 apply in relation to that decision as if they referred to a Chair in place of the President.

• (4) Subject to regulation 77(6), in the event of the death or incapacity of the Chair, or if the Chair ceases to be a member of the chairmen’s panel, following the decision of the tribunal panel, the functions of the Chair may be exercised by the President or another Chair appointed from the chairmen’s panel.

Power to exercise the functions of an education panel member in relation to a review

73

• (1) In the event of the death or incapacity of a member of the tribunal panel other than the Chair, or if a person ceases to be a member of the education panel, following the decision of the tribunal panel, the functions of the tribunal panel in relation to any review of a decision may be undertaken by the other two members.

• (2) This regulation does not apply to a tribunal panel—

• (a) which is constituted of two members in accordance with regulation 45(5);

• (b) of which any person is authorised to act in place of the Chair in accordance with regulation 72(4).

The Secretary of the Tribunal

74

A function of the Secretary of the Tribunal may be performed by another member of the staff of the Tribunal authorised by the President.

Register

75

• (1) The Secretary of the Tribunal must keep a Register of appeals and claims registered by the Tribunal.

• (2) There must be entered in the Register a note of all appeals and claims registered, and the entry for each case must contain the following particulars where appropriate—

• (a) the names and addresses of the parties;

• (b) brief details of the nature of the appeal or the claim;

• (c) the date of any hearing including any hearing on preliminary or incidental matters, and, where appropriate, the nature of the hearing;

• (d) details of any directions or orders issued; and

• (e) the document in which the decision of the tribunal panel has been recorded under regulation 55(3).

• (3) The Register or any part of it may be kept in electronic form.

Publication

76

• (1) The President may make such arrangements as the President considers appropriate for the publication of tribunal panel decisions.

• (2) Decisions may be published electronically.

• (3) A decision may be published in an edited form, or subject to any deletions, where the President considers that it is appropriate having had regard to—

• (a) the need to safeguard the welfare and interests of the child or any other person;

• (b) the need to respect the private life of any person;

• (c) any representations on the matter which any person has provided in writing to the President or the tribunal panel at any time prior to publication under the arrangements made under paragraph (1).

• (4) A decision of the tribunal panel must be published in such manner as to protect the anonymity of the child.

Irregularities

77

• (1) An irregularity resulting from failure to comply with any provision of these Regulations, a practice direction or of any direction of the President or the tribunal panel before the tribunal panel has reached its decision may not of itself render the proceedings void.

• (2) Where any such irregularity comes to the attention of the tribunal panel, the tribunal panel may, if it considers that any person may have been prejudiced by the irregularity, give such directions as it thinks just before reaching its decision to remedy the irregularity.

• (3) Clerical mistakes in any document recording a direction or decision of the tribunal panel or a direction or decision of the President produced by or on behalf of the Tribunal or errors arising in such documents from accidental slips or omissions may at any time be corrected by the Chair or the President (as the case may be) by certificate signed by the Chair or the President.

• (4) The Secretary of the Tribunal must as soon as practicable send a copy of any corrected document containing reasons for the tribunal panel’s decision, to each party.

• (5) Where a person has appointed a representative in accordance with regulation 18, the Secretary of the Tribunal must (notwithstanding regulation 15(11)(a)) send a copy of the document referred to in paragraph (4) to the person as well as the representative.

• (6) Where these Regulations require the Chair to sign a document, but by reason of death or incapacity the Chair is unable to do so, the other members of the tribunal panel must sign it and certify that the Chair is unable to sign.

Proof of documents and certification of decisions

78

• (1) A document purporting to be a document issued by the Secretary of the Tribunal on behalf of the President or the tribunal panel is, unless the contrary is proved, to be considered to be a document so issued.

• (2) A document purporting to be certified by the Secretary of the Tribunal as a true copy of a document containing a decision of the tribunal panel is, unless the contrary is proved, to be sufficient evidence of its contents.

Method of sending, submitting or serving notices and documents

79

• (1) A notice given under these Regulations must be in writing and a party whom the Regulations require to notify a matter to the Secretary of the Tribunal must do so in writing.

• (2) Notices and documents to be provided under these Regulations must be—

• (a) sent by pre-paid post to the Secretary of the Tribunal or delivered by hand to the office of the Tribunal or such other office as the Secretary of the Tribunal may notify to the parties;

• (b) sent by facsimile transmission to the number specified for the Tribunal;

• (c) sent by email to the address specified for the Tribunal; or

• (d) sent or delivered by such other method as the Tribunal may permit or direct.

• (3) A party who sends a notice or document to the Tribunal by email or facsimile transmission must not treat the notice or document as having been delivered unless its delivery has been acknowledged by the Tribunal.

• (4) Subject to paragraph (5), if a party provides a facsimile number, email address or other details for the service of notices or documents to them, that party must accept delivery of documents by that method.

• (5) If a party informs the Tribunal and the other party that a particular form of communication, other than pre-paid post or delivery by hand, must not be used to provide documents to that party, that form of communication must not be used.

• (6) If the Tribunal or a party sends a document to a party or the Tribunal by email or any other electronic means of communication, the recipient may request that the sender provide a hard copy of the document to the recipient. The recipient must make such a request as soon as reasonably practicable after receiving the document electronically.

• (7) The Tribunal and each party may assume that the address provided by a party or a representative is and remains the address to which documents must be sent or delivered unless they receive written notification to the contrary.

• (8) Notices and documents which these Regulations authorise or require the President, the tribunal panel or the Secretary of the Tribunal to send may (subject to paragraph (10)) either be sent by first class post, by facsimile transmission to, by email to or delivered at—

• (a) in the case of a party—

• (i) the party’s address for service specified in the appeal application or the claim application or in a written reply or in a notice under paragraph (9), or

• (ii) if no address for service has been so specified the party’s last known address; and

• (b) in the case of any other person, the person’s place of residence or business or if the person is a corporation, the corporation’s registered or principal office.

• (9) A party may at any time by notice to the Secretary of the Tribunal change that party’s address for service under these Regulations.

• (10) The recorded delivery service must be used instead of first class post for service of a summons issued under regulation 48 requiring the attendance of a witness.

• (11) A notice or document sent by the Tribunal by first class post in accordance with these Regulations, and not returned to the Tribunal, is to be taken to have been received by the addressee on the second working day after the date of posting, unless the contrary is shown.

• (12) The date of posting is to be presumed, unless the contrary is shown, to be the date shown in the postmark on the envelope in which the notice or document is contained.

• (13) A notice or document sent by the Tribunal to a party using email or facsimile transmission is to be taken to have been delivered when it is received in legible form.

• (14) Where for any sufficient reason service of any document or notice cannot be effected in the manner prescribed under this regulation, the President or the tribunal panel may dispense with service or make an order for substituted service in such manner as the President or the tribunal panel may deem fit and such service must have the same effect as service in the manner prescribed under this regulation.

Calculating time

80

• (1) An act required by these Regulations, a practice direction or a direction to be done on or by a particular day must be done by 5pm on that day.

• (2) If the time specified by these Regulations, a practice direction or a direction for doing any act ends on a day other than a working day, the act is done in time if it is done on the next working day.

• (3) If the time for commencing proceedings by providing the appeal application or the claim application to the Tribunal under regulation 12 ends on a day from 25 December to 1 January inclusive, or on any day in August—

• (a) the appeal application or the claim application is provided in time if it is received by the Tribunal on the first working day after 1 January or 31 August, as appropriate; and

• (b) the days from 25 December to 1 January inclusive and any day in August must not be counted when calculating the time by which any other act must be done.

• (4) Paragraph 3(b) does not apply where the Tribunal directs that an act must be done by or on a specified date.

Signature of documents

81

Where these Regulations require a document to be signed, that requirement is satisfied—

• (a) if the signature is written; or

• (b) in the case of a document which is communicated electronically in accordance with these Regulations by the electronic signature of the person who is required to sign it.

Signed

Leighton Andrews — Minister for Education and Skills, one of the Welsh Ministers — 8 February 2012

Explanatory note

(This note is not part of the Regulations)

These Regulations set out the procedure to be followed in proceedings before the Special Educational Needs Tribunal for Wales. These Regulations make provision relating to the exercise of the Tribunal’s jurisdiction under Part 4 of the Education Act 1996 which concerns special educational needs appeals and Chapter 1 of Part 6 of the Equality Act 2010 which concerns claims of disability discrimination in respect of school pupils.

Part A contains general provisions which include revocations, savings and transitional provisions. It also makes provision in relation to the Tribunal’s constitution.

Part B makes provision about commencing proceedings, case preparation, hearings, Tribunal decisions, and reviews and appeals against Tribunal decisions. It also makes provision about Tribunal orders, the time limits within which local authorities must comply with such orders and the time limits within which local authorities must take specified action following their concession of certain appeals to the Tribunal.

Part C makes provision in relation to appellants or claimants who are children. It sets out the procedure to be followed and the provisions that must be met for a person to act as the child’s case friend.

Part D contains miscellaneous provisions which apply to proceedings before the Tribunal.

Footnotes

[^f00001]: 1996 c. 56. Section 326A was inserted by section 5 of the Special Education Needs and Disability Act 2001 (c. 10). Subsection (6) of that section was substituted by paragraphs 1 and 3 of Schedule 18 to the Education Act 2002 (c. 32). Subsection (6)(b) was amended by paragraphs 127 and 129(b) of Schedule 3 to the Transfer of Tribunal Functions Order 2008 (S.I. 2008/2833) and further amended by paragraph 7(1) and (2) of Schedule 2 to S.I. 2010/1158. Section 332ZC(1) was inserted by section 3 of the Education (Wales) Measure 2009 (2009 nawm 5) and amended by S.I 2010/1148. Section 333(5) was amended by paragraphs 127, 130(d) and 130(f) of Schedule 3 to S.I. 2008/2833. Section 334(2) was amended by paragraphs 127 and 131(a) of Schedule 3 to S.I. 2008/2833. Section 336(1) was amended by paragraphs 127, 133(a)(i) and 133(a)(ii) of Schedule 3 to S.I. 2008/2833. Section 336(2) was amended by Schedules 8 and 9 to the Special Educational Needs and Disability Act 2001, and further amended by S.I. 2008/2833 and section 7 of the Education (Wales) Measure 2009. Section 336(2A) was inserted by section 42(1) of, and Schedule 8 to, the Special Education Needs and Disability Act 2001 and amended by S.I. 2008/2833. Section 336(4A) was inserted by section 42(1) of, and Schedule 8 to, the Special Education Needs and Disability Act 2001 and amended by S.I. 2008/2833 and S.I. 2010/2279. Section 336A was inserted by section 4 of the Special Educational Needs and Disability Act 2001. Subsection (1) of that section was amended by S.I 2010/1158. Subsection (2) was substituted by paragraphs 1 and 6 of Schedule 18 to the Education Act 2002 and subsection (2)(b) amended by paragraphs 127 and 136(b) of Schedule 3 to S.I. 2008/2833. Section 569(4) was amended by section 8 of the Education (Wales) Measure 2009.

[^f00002]: Paragraph 6A was inserted into Schedule 17 to the Equality Act 2010 by S.I.2011/1651.

[^f00003]: 2010 c. 15.

[^f00004]: 2007 c. 15.

[^f00005]: 2009 nawm 5. The Education (Wales) Measure 2009 was approved by Her Majesty in Council on 9 December 2009.

[^f00006]: 2000 c. 7.

[^f00007]: Under section 576 of the 1996 Act a “parent” in relation to a child or young person, includes any person who is not a parent of the child but who has parental responsibility for the child, or has care of the child. Section 212 of the 2010 Act adopts this definition for the purposes of disability disputes.

[^f00008]: Under section 85(9) of the Equality Act 2010, the local authority or governing body, according to which has the relevant function, is the responsible body for a maintained school or maintained nursery school; the local authority is the responsible body for a pupil referral unit; the proprietor is the responsible body for an independent school or a special school not maintained by a local authority.

[^f00009]: Section 333 (1ZA) of the 1996 Act.

[^f00010]: 2007 c. 15.

[^f00011]: 1971 c. 80.

[^f00012]: S.I. 2001/600.

[^f00013]: S.I. 2002/2787.

[^f00014]: S.I. 2002/1985.

[^f00015]: Despite their lapse by Schedule 27 to the 2010 Act, the Special Educational Needs and Disability Tribunal (General Provisions and Disability Claims Procedure) Regulations 2002 continue in effect so far they relate to Wales. S.I.2010/2317.

[^f00016]: S.I. 2001/3982.

[^f00017]: See the Education (Special Educational Needs) Regulations 2002, regulation 5 (service) (S.I. 2002/152).

[^f00018]: Section 332BA was inserted by section 5 of the Education (Wales) Measure 2009.

[^f00019]: Paragraph 4(1) of Schedule 17 to the Equality Act 2010 stipulates the period in which a claim must be made to the Tribunal. Sub-paragraph (2) makes provision in relation to proceedings or prospective proceedings where the dispute is referred for conciliation.

[^f00020]: Paragraph 6C was inserted into Schedule 17 to the Equality Act 2010 by S.I. 2011/1651.

[^f00021]: 2006 c. 3: section 27(1) was substituted by paragraph 16 of Schedule 26 to the Equality Act 2010; paragraph 16 was renumbered as paragraph 71 of Schedule 26 by paragraph 1 (c) of Schedule 1 to S.I. 2010/2279; section 27(1) subsequently amended by S.I. 2011/1060.

[^f00022]: S.I. 1998/3132 — Part 31.

[^f00023]: 1990 c. 42.

[^f00024]: 2006 c. 47. Under section 3(2)(a) of the Safeguarding Vulnerable Groups Act 2006, a person is barred from regulated activity relating to children if the person’s name is included in the list in Part 1 of Schedule 3 to that Act (“the children’s barred list”).

[^f00025]: 332ZC(2) of the 1996 Act provides that a child’s case friend must make representations and exercise rights fairly and competently, have no interest adverse to that of the child and ensure that all steps and decisions taken by the case friend are for the benefit of the child and take account of the child’s views.