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The Employment Tribunals
Rules of Procedure 2013
( as subsequently amended up to 6
th
October 2021 )
This document shows the Employment Tribunal Rules of Procedure contained in
Schedule 1 of the Employment Tribunals (Constitution and Rules of Procedure)
Regulations 2013 No. 1237 as amended by:
− The Employment Tribunals (Constitution and Rules of Procedure) (Early
Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations
2021 No. 1037,
− The Employment Tribunals (Constitution and Rules of Procedure) (Early
Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations
2020 No. 1003,
− The Employment Tribunals (Constitution and Rules of Procedure) (Amendment)
Regulations 2016 No. 271,
− The Employment Tribunals (Constitution and Rules of Procedure) (Amendment)
Regulations 2014 No. 271,
− The Employment Tribunals (Constitution and Rules of Procedure) (Amendment)
(No. 2) Regulations 2014 No. 611,
− The Employment Tribunals (Constitution and Rules of Procedure) (Amendment)
(No. 3) Regulations 2014 No. 787,
− The Energy Act 2013 (Improvement and Prohibition Notices Appeal)
Regulations 2014 No. 468, and
− The Wales Act 2014 c. 29.
It has been produced in order to assist users but its accuracy is not guaranteed and
should not be relied upon. For the definitive Rules, users should refer to the original
statutory instruments.
Please note the page numbering in this amended version of the Rules is different from
that in the original statutory instrument.
CONTENTS
- Application of this Schedule to appeals against improvement and prohibition notices
31 105A [Application of this Schedule to appeals against notices given under the Energy Act
- Interpretation INTRODUCTORY AND GENERAL
- Overriding objective
- Alternative dispute resolution
- Time
- Extending or shortening time
- Irregularities and non-compliance
- Presidential Guidance
- Presenting the claim STARTING A 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
- Sending claim form to respondents THE RESPONSE TO THE CLAIM
- 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
- Making an employer’s contract claim EMPLOYER’S CONTRACT CLAIM
- Notification of employer’s contract claim
- Responding to an employer’s contract claim
- Initial consideration INITIAL CONSIDERATION OF CLAIM FORM AND RESPONSE
- Dismissal of claim (or part)
- Dismissal of response (or part)
- Case management orders CASE MANAGEMENT ORDERS AND OTHER POWERS
- Applications for case management orders
- 30A [Postponements
- 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
- General RULES COMMON TO ALL KINDS OF HEARING
- 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
- End of claim WITHDRAWAL
- Dismissal following withdrawal
- Scope of preliminary hearings PRELIMINARY HEARINGS
- Fixing of preliminary hearings
- Constitution of tribunal for preliminary hearings
- When preliminary hearings shall be in public
- Scope of final hearing FINAL HEARING
- Notice of final hearing
- When final hearing shall be in public
- Decisions made without a hearing DECISIONS AND REASONS
- 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
- Principles RECONSIDERATION OF JUDGMENTS
- Application
- Process
- Reconsideration by the Tribunal on its own initiative
- Definitions COSTS ORDERS, PREPARATION TIME ORDERS AND WASTED COSTS ORDERS
- 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 to the Tribunal DELIVERY OF DOCUMENTS
- Delivery to parties
- Delivery to non-parties
- Special cases
- Substituted service
- Date of delivery
- Irregular service
- Correspondence with the Tribunal: copying to other parties
- ACAS MISCELLANEOUS
- 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 unlawful act notices
INTRODUCTORY AND GENERAL
Interpretation
1. —(1) In these Rules— “ACAS” means the Advisory, Conciliation and Arbitration Service referred to in section 247 of the Trade Union and Labour Relations (Consolidation) Act 1992( a ); “claim” means any proceedings before an Employment Tribunal making a complaint; “claimant” means the person bringing the claim; “Commission for Equality and Human Rights” means the body established under section 1 of the Equality Act 2006( b ); “complaint” means anything that is referred to as a claim, complaint, reference, application or appeal in any enactment which confers jurisdiction on the Tribunal; “early conciliation certificate” means a certificate issued by ACAS in accordance with the Employment Tribunals (Early Conciliation: Exemptions and Rules of Procedure) Regulations 2013; “early conciliation exemption” means an exemption contained in regulation 3(1) of the Employment Tribunals (Early Conciliation: Exemptions and Rules of Procedure) Regulations 2014; “early conciliation number” means the unique reference number which appears on an early conciliation certificate; “Employment Appeal Tribunal” means the Employment Appeal Tribunal established under section 87 of the Employment Protection Act 1975( d ) and continued in existence under section 135 of the Employment Protection (Consolidation) Act 1978( e ) and section 20(1) of the Employment Tribunals Act; “electronic communication” has the meaning given to it by section 15(1) of the Electronic Communications Act 2000( f ); “employee’s contract claim” means a claim brought by an employee in accordance with articles 3 and 7 of the Employment Tribunals Extension of Jurisdiction (England and Wales) Order 1994( g ) or articles 3 and 7 of the Employment Tribunals Extension of Jurisdiction (Scotland) Order 1994( h ); “employer’s contract claim” means a claim brought by an employer in accordance with articles 4 and 8 of the Employment Tribunals Extension of Jurisdiction (England and Wales) Order 1994( i ) or articles 4 and 8 of the Employment Tribunals Extension of Jurisdiction (Scotland) Order 1994( j ); “Employment Tribunal” or “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;
( a ) 1992 c. 52. ( b ) 2006 c. 3. ( c ) Definitions inserted by the Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations (S.I. 2014/271). ( d ) 1975 c. 71; section 87 was repealed by the Employment Protection (Consolidation) Act 1978 (c. 44), Schedule 17. ( e ) 1978 c. 44; section 135 was repealed by the Employment Tribunals Act 1996 (c. 17), Schedule 3, Part I. ( f ) 2000 c. 7; section 15(1) was amended by the Communications Act 2003 (c. 21), Schedule 17, paragraph 158. ( g ) 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. ( h ) 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. ( i ) Article 8 was amended by S.I. 2011/1133. ( j ) Article 8 was amended by S.I. 2011/1133.
(2) Any reference in the Rules to a Tribunal applies to both a full tribunal and to an Employment Judge acting alone (in accordance with section 4(2) or (6) of the Employment Tribunals Act( a )).
(3) An order or other decision of the Tribunal is either— (a) a “case management order”, being an order or decision of any kind in relation to the conduct of proceedings, not including the determination of any issue which would be the subject of a judgment; or (b) a “judgment”, being a decision, made at any stage of the proceedings (but not including a decision under rule 13 or 19), which finally determines— (i) a claim, or part of a claim, as regards liability, remedy or costs (including preparation time and wasted costs); … (ii) any issue which is capable of finally disposing of any claim, or part of a claim, even if it does not necessarily do so (for example, an issue whether a claim should be struck out or a jurisdictional issue); (iii) [the imposition of a financial penalty under section 12A of the Employment Tribunals Act].( b )
Overriding objective
2. The overriding objective of these Rules is to enable Employment Tribunals to deal with cases fairly and justly. Dealing with a case fairly and justly includes, so far as practicable—
(a) ensuring that the parties are on an equal footing; (b) dealing with cases in ways which are proportionate to the complexity and importance of the issues; (c) avoiding unnecessary formality and seeking flexibility in the proceedings; (d) avoiding delay, so far as compatible with proper consideration of the issues; and (e) saving expense.
A Tribunal shall seek to give effect to the overriding objective in interpreting, or exercising any power given to it by, these Rules. The parties and their representatives shall assist the Tribunal to further the overriding objective and in particular shall co-operate generally with each other and with the Tribunal.
Alternative dispute resolution
3. A Tribunal shall wherever practicable and appropriate encourage the use by the parties of the services of ACAS, judicial or other mediation, or other means of resolving their disputes by agreement.
Time
4. —(1) Unless otherwise specified by the Tribunal, an act required by these Rules, a practice direction or an order of a Tribunal to be done on or by a particular day may be done at any time before midnight on that day. If there is an issue as to whether the act has been done by that time, the party claiming to have done it shall prove compliance.
(2) If the time specified by these Rules, a practice direction or an order 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. “Working day” means any day except a Saturday or Sunday, Christmas Day, Good Friday or a bank holiday under section 1 of the Banking and Financial Dealings Act 1971( c ).
( a ) Section 4(2) and (6) was amended by the Tribunals, Courts and Enforcement Act 2007 (c. 15), Schedule 8, paragraphs 35 and 37. ( b ) Definition inserted by the Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2014 (S.I. 2014/271). ( c ) 1971 c. 80.
(3) Where any act is required to be, 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 example, a response shall be presented within 28 days of the date on which the respondent was sent a copy of the claim: if the claim was sent on 1st October the last day for presentation of the response is 29th October.)
(4) Where any act is required to be, 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 calculation. (For example, if a party wishes to present representations in writing for consideration by a Tribunal at a hearing, they shall be presented not less than 7 days before the hearing: if the hearing is fixed for 8th October, the representations shall be presented no later than 1st October.)
(5) Where the Tribunal imposes a time limit for doing any act, the last date for compliance shall, wherever practicable, be expressed as a calendar date.
(6) Where time is specified by reference to the date when a document is sent to a person by the Tribunal, the date when the document was sent shall, unless the contrary is proved, be regarded as the date endorsed on the document as the date of sending or, if there is no such endorsement, the date shown on the letter accompanying the document.
Extending or shortening time
5. The Tribunal may, on its own initiative or on the application of a party, extend or shorten any time limit specified in these Rules or in any decision, whether or not (in the case of an extension) it has expired.
Irregularities and non-compliance
6. A failure to comply with any provision of these Rules (except rule 8(1), 16(1), 23 or 25) or any order of the Tribunal (except for an order under rules 38 or 39) does not of itself render void the proceedings or any step taken in the proceedings. In the case of such non-compliance, the Tribunal may take such action as it considers just, which may include all or any of the following—
(a) waiving or varying the requirement; (b) striking out the claim or the response, in whole or in part, in accordance with rule 37; (c) barring or restricting a party’s participation in the proceedings; (d) awarding costs in accordance with rules 74 to 84.
Presidential Guidance
7. The Presidents may publish guidance for England and Wales and for Scotland, respectively, as to matters of practice and as to how the powers conferred by these Rules may be exercised. Any such guidance shall be published by the Presidents in an appropriate manner to bring it to the attention of claimants, respondents and their advisers. Tribunals must have regard to any such guidance, but they shall not be bound by it.
STARTING A CLAIM
Presenting the claim
8. —(1) A claim shall be started by presenting a completed claim form (using a prescribed form) in accordance with any practice direction made under regulation 11 which supplements this rule.
(2) A claim may be presented in England and Wales if— (a) the respondent, or one of the respondents, resides or carries on business in England and Wales; (b) one or more of the acts or omissions complained of took place in England and Wales;
(3) If a remission application is refused in part or in full, the Tribunal shall send the claimant a notice specifying a date for payment of the Tribunal fee and the claim shall be rejected by the Tribunal if the Tribunal fee is not paid by the date specified.
(4) If a claim, or part of it, is rejected, the form shall be returned to the claimant with a notice of rejection explaining why it has been rejected.
Rejection: substantive defects
12. —(1) The staff of the tribunal office shall refer a claim form to an Employment Judge if they consider that the claim, or part of it, may be—
(a) one which the Tribunal has no jurisdiction to consider; (b) in a form which cannot sensibly be responded to or is otherwise an abuse of the process; (c) one which institutes relevant proceedings and is made on a claim form that does not contain either an early conciliation number or confirmation that one of the early conciliation exemptions applies; (d) one which institutes relevant proceedings, is made on a claim form which contains confirmation that one of the early conciliation exemptions applies, and an early conciliation exemption does not apply; (da) one which institutes relevant proceedings and the early conciliation number on the claim form is not the same as the early conciliation number on the early conciliation certificate; (e) one which institutes relevant proceedings and the name of the claimant on the claim form is not the same as the name of the prospective claimant on the early conciliation certificate to which the early conciliation number relates; or (f) one which institutes relevant proceedings and the name of the respondent on the claim form is not the same as the name of the prospective respondent on the early conciliation certificate to which the early conciliation number relates. (2) The claim, or part of it, shall be rejected if the Judge considers that the claim, or part of it, is of a kind described in sub-paragraphs (a), (b), (c) or (d) of paragraph (1).
(2ZA) The claim shall be rejected if the Judge considers that the claim is of a kind described in sub-paragraph (da) of paragraph (1) unless the Judge considers that the claimant made an error in relation to an early conciliation number and it would not be in the interests of justice to reject the claim.
(2A) The claim, or part of it, shall be rejected if the Judge considers that the claim, or part of it, is of a kind described in sub-paragraph (e) or (f) of paragraph (1) unless the Judge considers that the claimant made an error in relation to a name or address and it would not be in the interests of justice to reject the claim.
(3) If the claim is rejected, the form shall be returned to the claimant together with a notice of rejection giving the Judge’s reasons for rejecting the claim, or part of it. The notice shall contain information about how to apply for a reconsideration of the rejection.
Reconsideration of rejection
13. —(1) A claimant whose claim has been rejected (in whole or in part) under rule 10 or 12 may apply for a reconsideration on the basis that either—
( a ) Added by the Employment Tribunals (Constitution and Rules of Procedure) (Early Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations 2020 (S.I. 2020/1003). ( b ) Added by the Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2014 (S.I. 2014/271). ( c ) Added by the Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2014 (S.I. 2014/271). ( d ) Substituted by the Employment Tribunals (Constitution and Rules of Procedure) (Early Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations 2020 (S.I. 2020/1003). ( e ) Added by the Employment Tribunals (Constitution and Rules of Procedure) (Early Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations 2020 (S.I. 2020/1003). ( f ) Added by the Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2014 (S.I. 2014/271).
(a) the decision to reject was wrong; or (b) the notified defect can be rectified. (2) The application shall be in writing and presented to the Tribunal within 14 days of the date that the notice of rejection was sent. It shall explain why the decision is said to have been wrong or rectify the defect and if the claimant wishes to request a hearing this shall be requested in the application.
(3) If the claimant does not request a hearing, or an Employment Judge decides, on considering the application, that the claim shall be accepted in full, the Judge shall determine the application without a hearing. Otherwise the application shall be considered at a hearing attended only by the claimant.
(4) If the Judge decides that the original rejection was correct but that the defect has been rectified, the claim shall be treated as presented on the date that the defect was rectified.
Protected disclosure claims: notification to a regulator
14. If a claim alleges that the claimant has made a protected disclosure, the Tribunal may, with the consent of the claimant, send a copy of any accepted claim to a regulator listed in Schedule 1 to the Public Interest Disclosure (Prescribed Persons) Order 1999( a ). “Protected disclosure” has the meaning given to it by section 43A of the Employment Rights Act 1996( b ).
THE RESPONSE TO THE CLAIM
Sending claim form to respondents
15. Unless the claim is rejected, the Tribunal shall send a copy of the claim form, together with a prescribed response form, to each respondent with a notice which includes information on—
(a) whether any part of the claim has been rejected; and (b) how to submit a response to the claim, the time limit for doing so and what will happen if a response is not received by the Tribunal within that time limit.
Response
16. —(1) The response shall be on a prescribed form and presented to the tribunal office within 28 days of the date that the copy of the claim form was sent by the Tribunal.
(2) A response form may include the response of more than one respondent if [the responses give rise to common or related issues of fact or law or if it is otherwise reasonable for the responses to be made on a single response form].( c )
(3) A response form may include the response to more than one claim if the claims [give rise to common or related issues of fact or law or if it is otherwise reasonable for the responses to be made on a single response form].. ( d )
Rejection: form not used or failure to supply minimum information
17. —(1) The Tribunal shall reject a response if— (a) it is not made on a prescribed form; or (b) it does not contain all of the following information—
( a ) 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. ( b ) 1996 c. 18; section 43A was inserted by the Public Interest Disclosure Act 1996 (c. 23), section 1. ( c ) Substituted by the Employment Tribunals (Constitution and Rules of Procedure) (Early Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations 2020 (S.I. 2020/1003). ( d ) Substituted by the Employment Tribunals (Constitution and Rules of Procedure) (Early Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations 2020 (S.I. 2020/1003).
Effect of non-presentation or rejection of response, or case not contested
21. —(1) Where on the expiry of the time limit in rule 16 no response has been presented, or any response received has been rejected and no application for a reconsideration is outstanding, or where the respondent has stated that no part of the claim is contested, paragraphs (2) and (3) shall apply.
(2) An Employment Judge shall decide whether on the available material (which may include further information which the parties are required by a Judge to provide), a determination can properly be made of the claim, or part of it. To the extent that a determination can be made, the Judge shall issue a judgment accordingly. Otherwise, a hearing shall be fixed before a Judge alone. Where a Judge has directed that a preliminary issue requires to be determined at a hearing a judgment may be issued by a Judge under this rule after that issue has been determined without a further hearing.
(3) The respondent shall be entitled to notice of any hearings and decisions of the Tribunal but, unless and until an extension of time is granted, shall only be entitled to participate in any hearing to the extent permitted by the Judge.
Notification of acceptance
22. Where the Tribunal accepts the response it shall send a copy of it to all other parties.
EMPLOYER’S CONTRACT CLAIM
Making an employer’s contract claim
23. Any employer’s contract claim shall be made as part of the response, presented in accordance with rule 16, to a claim which includes an employee’s contract claim. An employer’s contract claim may be rejected on the same basis as a claimant’s claim may be rejected under rule 12, in which case rule 13 shall apply.
Notification of employer’s contract claim
24. When the Tribunal sends the response to the other parties in accordance with rule 22 it shall notify the claimant that the response includes an employer’s contract claim and include information on how to submit a response to the claim, the time limit for doing so, and what will happen if a response is not received by the Tribunal within that time limit.
Responding to an employer’s contract claim
25. A claimant’s response to an employer’s contract claim shall be presented to the tribunal office within 28 days of the date that the response was sent to the claimant. If no response is presented within that time limit, rules 20 and 21 shall apply.
INITIAL CONSIDERATION OF CLAIM FORM AND RESPONSE
Initial consideration
26. —(1) As soon as possible after the acceptance of the response, the Employment Judge shall consider all of the documents held by the Tribunal in relation to the claim, to confirm whether there are arguable complaints and defences within the jurisdiction of the Tribunal (and for that purpose the Judge may order a party to provide further information).
(2) Except in a case where notice is given under rule 27 or 28, the Judge conducting the initial consideration shall make a case management order (unless made already) and may propose judicial mediation or other forms of dispute resolution.
( a ) Added by the Employment Tribunals (Constitution and Rules of Procedure) (Early Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations 2020 (S.I. 2020/1003).
Dismissal of claim (or part)
27. —(1) If the Employment Judge considers either that the Tribunal has no jurisdiction to consider the claim, or part of it, or that the claim, or part of it, has no reasonable prospect of success, the Tribunal shall send a notice to the parties—
(a) setting out the Judge’s view and the reasons for it; and (b) ordering that the claim, or the part in question, shall be dismissed on such date as is specified in the notice unless before that date the claimant has presented written representations to the Tribunal explaining why the claim (or part) should not be dismissed. (2) If no such representations are received, the claim shall be dismissed from the date specified without further order (although the Tribunal shall write to the parties to confirm what has occurred).
(3) If representations are received within the specified time they shall be considered by an Employment Judge, who shall either permit the claim (or part) to proceed or fix a hearing for the purpose of deciding whether it should be permitted to do so. The respondent may, but need not, attend and participate in the hearing.
(4) If any part of the claim is permitted to proceed the Judge shall make a case management order.
Dismissal of response (or part)
28. —(1) If the Employment Judge considers that the response to the claim, or part of it, has no reasonable prospect of success the Tribunal shall send a notice to the parties—
(a) setting out the Judge’s view and the reasons for it; (b) ordering that the response, or the part in question, shall be dismissed on such date as is specified in the notice unless before that date the respondent has presented written representations to the Tribunal explaining why the response (or part) should not be dismissed; and (c) specifying the consequences of the dismissal of the response, in accordance with paragraph (5) below. (2) If no such representations are received, the response shall be dismissed from the date specified without further order (although the Tribunal shall write to the parties to confirm what has occurred).
(3) If representations are received within the specified time they shall be considered by an Employment Judge, who shall either permit the response (or part) to stand or fix a hearing for the purpose of deciding whether it should be permitted to do so. The claimant may, but need not, attend and participate in the hearing.
(4) If any part of the response is permitted to stand the Judge shall make a case management order.
(5) Where a response is dismissed, the effect shall be as if no response had been presented, as set out in rule 21 above.
CASE MANAGEMENT ORDERS AND OTHER POWERS
Case management orders
29. The Tribunal may at any stage of the proceedings, on its own initiative or on application, make a case management order. Subject to rule 30A(2) and (3) the particular powers identified in the following rules do not restrict that general power. A case management order may vary, suspend or set aside an earlier case management order where that is necessary in the interests of justice, and in particular where a party affected by the earlier order did not have a reasonable opportunity to make representations before it was made.
( a ) Added by the Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2016 (S.I. 2016/271).
Evidence from other EU Member States
33. The Tribunal may use the procedures for obtaining evidence prescribed in Council Regulation (EC) No 1206/2001 of 28 May 2001( a ) on cooperation between the courts of the Member States in the taking of evidence in civil or commercial matters( b ).
Addition, substitution and removal of parties
34. The Tribunal may on its own initiative, or on the application of a party or any other person wishing to become a party, add any person as a party, by way of substitution or otherwise, if it appears that there are issues between that person and any of the existing parties falling within the jurisdiction of the Tribunal which it is in the interests of justice to have determined in the proceedings; and may remove any party apparently wrongly included.
Other persons
35. The Tribunal may permit any person to participate in proceedings, on such terms as may be specified, in respect of any matter in which that person has a legitimate interest.
Lead cases
36. —(1) Where a Tribunal considers that two or more claims give rise to common or related issues of fact or law, the Tribunal or the President may make an order specifying one or more of those claims as a lead case and staying, or in Scotland sisting, the other claims (“the related cases”).
(2) When the Tribunal makes a decision in respect of the common or related issues it shall send a copy of that decision to each party in each of the related cases and, subject to paragraph (3), that decision shall be binding on each of those parties.
(3) Within 28 days after the date on which the Tribunal sent a copy of the decision to a party under paragraph (2), that party may apply in writing for an order that the decision does not apply to, and is not binding on the parties to, a particular related case.
(4) If a lead case is withdrawn before the Tribunal makes a decision in respect of the common or related issues, it shall make an order as to—
(a) whether another claim is to be specified as a lead case; and (b) whether any order affecting the related cases should be set aside or varied.
Striking out
37. —(1) At any stage of the proceedings, either on its own initiative or on the application of a party, a Tribunal may strike out all or part of a claim or response on any of the following grounds—
(a) that it is scandalous or vexatious or has no reasonable prospect of success; (b) that the manner in which the proceedings have been conducted by or on behalf of the claimant or the respondent (as the case may be) has been scandalous, unreasonable or vexatious; (c) for non-compliance with any of these Rules or with an order of the Tribunal; (d) that it has not been actively pursued; (e) that the Tribunal considers that it is no longer possible to have a fair hearing in respect of the claim or response (or the part to be struck out). (2) A claim or response may not be struck out unless the party in question has been given a reasonable opportunity to make representations, either in writing or, if requested by the party, at a hearing.
( a ) Word substituted by the Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2014 (S.I. 2014/271). ( b ) OJ L 174, 27.6.01, p.1.
(3) Where a response is struck out, the effect shall be as if no response had been presented, as set out in rule 21 above.
Unless orders
38. —(1) An order may specify that if it is not complied with by the date specified the claim or response, or part of it, shall be dismissed without further order. If a claim or response, or part of it, is dismissed on this basis the Tribunal shall give written notice to the parties confirming what has occurred.
(2) A party whose claim or response has been dismissed, in whole or in part, as a result of such an order may apply to the Tribunal in writing, within 14 days of the date that the notice was sent, to have the order set aside on the basis that it is in the interests of justice to do so. Unless the application includes a request for a hearing, the Tribunal may determine it on the basis of written representations.
(3) Where a response is dismissed under this rule, the effect shall be as if no response had been presented, as set out in rule 21.
Deposit orders
39. —(1) Where at a preliminary hearing (under rule 53) the Tribunal considers that any specific allegation or argument in a claim or response has little reasonable prospect of success, it may make an order requiring a party (“the paying party”) to pay a deposit not exceeding £1,000 as a condition of continuing to advance that allegation or argument.
(2) The Tribunal shall make reasonable enquiries into the paying party’s ability to pay the deposit and have regard to any such information when deciding the amount of the deposit.
(3) The Tribunal’s reasons for making the deposit order shall be provided with the order and the paying party must be notified about the potential consequences of the order.
(4) If the paying party fails to pay the deposit by the date specified the specific allegation or argument to which the deposit order relates shall be struck out. Where a response is struck out, the consequences shall be as if no response had been presented, as set out in rule 21.
(5) If the Tribunal at any stage following the making of a deposit order decides the specific allegation or argument against the paying party for substantially the reasons given in the deposit order—
(a) the paying party shall be treated as having acted unreasonably in pursuing that specific allegation or argument for the purpose of rule 76, unless the contrary is shown; and (b) the deposit shall be paid to the other party (or, if there is more than one, to such other party or parties as the Tribunal orders),
otherwise the deposit shall be refunded.
(6) If a deposit has been paid to a party under paragraph (5)(b) and a costs or preparation time order has been made against the paying party in favour of the party who received the deposit, the amount of the deposit shall count towards the settlement of that order.
Non-payment of fees
40. —(1) Subject to rule 11, where a party has not paid a relevant Tribunal fee or presented a remission application in respect of that fee the Tribunal will send the party a notice specifying a date for payment of the Tribunal fee or presentation of a remission application.
(2) If at the date specified in a notice sent under paragraph (1) the party has not paid the Tribunal fee and no remission application in respect of that fee has been presented—
(a) where the Tribunal fee is payable in relation to a claim, the claim shall be dismissed without further order; (b) where the Tribunal fee is payable in relation to an employer’s contract claim, the employer’s contract claim shall be dismissed without further order;
Timetabling
45. A Tribunal may impose limits on the time that a party may take in presenting evidence, questioning witnesses or making submissions, and may prevent the party from proceeding beyond any time so allotted.
Hearings by electronic communication
46. A hearing may be conducted, in whole or in part, by use of electronic communication (including by telephone) provided that the Tribunal considers that it would be just and equitable to do so and provided that the parties and members of the public attending the hearing are able to hear what the Tribunal hears and, so far as practicable, see any witness as seen by the Tribunal.
Non-attendance
47. If a party fails to attend or to be represented at the hearing, the Tribunal may dismiss the claim or proceed with the hearing in the absence of that party. Before doing so, it shall consider any information which is available to it, after any enquiries that may be practicable, about the reasons for the party’s absence.
Conversion from preliminary hearing to final hearing and vice versa
48. A Tribunal conducting a preliminary hearing may order that it be treated as a final hearing, or vice versa, if the Tribunal is properly constituted for the purpose and if it is satisfied that neither party shall be materially prejudiced by the change.
Majority decisions
49. Where a Tribunal is composed of three persons any decision may be made by a majority and if it is composed of two persons the Employment Judge has a second or casting vote.
Privacy and restrictions on disclosure
50. —(1) A Tribunal may at any stage of the proceedings, on its own initiative or on application, make an order with a view to preventing or restricting the public disclosure of any aspect of those proceedings so far as it considers necessary in the interests of justice or in order to protect the Convention rights of any person or in the circumstances identified in section 10A of the Employment Tribunals Act.
(2) In considering whether to make an order under this rule, the Tribunal shall give full weight to the principle of open justice and to the Convention right to freedom of expression.
(3) Such orders may include— (a) an order that a hearing that would otherwise be in public be conducted, in whole or in part, in private; (b) an order that the identities of specified parties, witnesses or other persons referred to in the proceedings should not be disclosed to the public, by the use of anonymisation or otherwise, whether in the course of any hearing or in its listing or in any documents entered on the Register or otherwise forming part of the public record; (c) an order for measures preventing witnesses at a public hearing being identifiable by members of the public; (d) a restricted reporting order within the terms of section 11 or 12 of the Employment Tribunals Act. (4) Any party, or other person with a legitimate interest, who has not had a reasonable opportunity to make representations before an order under this rule is made may apply to the Tribunal in writing
( a ) Added by the Employment Tribunals (Constitution and rules of Procedure) (Early Conciliation: Exemptions and Rules of Procedure) (Amendment) Regulations 2020 (S.I. 2020/1003).
for the order to be revoked or discharged, either on the basis of written representations or, if requested, at a hearing.
(5) Where an order is made under paragraph (3)(d) above— (a) it shall specify the person whose identity is protected; and may specify particular matters of which publication is prohibited as likely to lead to that person’s identification; (b) it shall specify the duration of the order; (c) the Tribunal shall ensure that a notice of the fact that such an order has been made in relation to those proceedings is displayed on the notice board of the Tribunal with any list of the proceedings taking place before the Tribunal, and on the door of the room in which the proceedings affected by the order are taking place; and (d) the Tribunal may order that it applies also to any other proceedings being heard as part of the same hearing. (6) “Convention rights” has the meaning given to it in section 1 of the Human Rights Act 1998( a ).
WITHDRAWAL
End of claim
51. Where a claimant informs the Tribunal, either in writing or in the course of a hearing, that a claim, or part of it, is withdrawn, the claim, or part, comes to an end, subject to any application that the respondent may make for a costs, preparation time or wasted costs order.
Dismissal following withdrawal
52. Where a claim, or part of it, has been withdrawn under rule 51, the Tribunal shall issue a judgment dismissing it (which means that the claimant may not commence a further claim against the respondent raising the same, or substantially the same, complaint) unless—
(a) the claimant has expressed at the time of withdrawal a wish to reserve the right to bring such a further claim and the Tribunal is satisfied that there would be legitimate reason for doing so; or (b) the Tribunal believes that to issue such a judgment would not be in the interests of justice.
PRELIMINARY HEARINGS
Scope of preliminary hearings
53. —(1) A preliminary hearing is a hearing at which the Tribunal may do one or more of the following—
(a) conduct a preliminary consideration of the claim with the parties and make a case management order (including an order relating to the conduct of the final hearing); (b) determine any preliminary issue; (c) consider whether a claim or response, or any part, should be struck out under rule 37; (d) make a deposit order under rule 39; (e) explore the possibility of settlement or alternative dispute resolution (including judicial mediation). (2) There may be more than one preliminary hearing in any case.
( a ) 1998 c. 42.
