Statutory Instrument 2004 No. 1861

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

(The document as of February, 2008)

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STATUTORY INSTRUMENTS

2004 No. 1861

EMPLOYMENT TRIBUNALS

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

	Made	19th July 2004
	Laid before Parliament	20th July 2004
	Coming into force	1st October 2004

Arrangement of regulations

1.	Citation, commencement and revocation

2.	Interpretation

3.	Overriding objective

4.	President of Employment Tribunals

5.	Establishment of employment tribunals

6.	Regional Chairmen

7.	Vice President

8.	Panels of members of tribunals - general

9.	Composition of tribunals - general

10.	Panels of members of tribunals - national security proceedings

11.	Composition of tribunals - national security proceedings

12.	Modification of section 4 of the Employment Tribunals Act (national security proceedings)

13.	Practice directions

14.	Power to prescribe

15.	Calculation of time limits

16.	Application of Schedules 1-5 to proceedings

17.

18.	Proof of decisions of tribunals

19.	Jurisdiction of tribunals in Scotland and in England & Wales

20.	Transitional provisions

SCHEDULE 1

THE EMPLOYMENT TRIBUNALS RULES OF PROCEDURE

HOW TO BRING A CLAIM

1.	Starting a claim

ACCEPTANCE OF CLAIM PROCEDURE

2.	What the tribunal does after receiving the claim

3.	When the claim will not be accepted by the Secretary

RESPONSE

4.	Responding to the claim

ACCEPTANCE OF RESPONSE PROCEDURE

5.	What the tribunal does after receiving the response

6.	When the response will not be accepted by the Secretary

7.	Counterclaims

CONSEQUENCES OF A RESPONSE NOT BEING PRESENTED OR ACCEPTED

8.	Default judgments

9.	Taking no further part in the proceedings

CASE MANAGEMENT

10.	General power to manage proceedings

11.	Applications in proceedings

12.	Chairman acting on his own initiative

13.	Compliance with orders and practice directions

DIFFERENT TYPES OF HEARING

14.	Hearings - general

15.	Use of electronic communications

16.	Hearings which may be held in private

CASE MANAGEMENT DISCUSSIONS

17.	Conduct of case management discussions

PRE-HEARING REVIEWS

18.	Conduct of pre-hearing reviews

19.	Notice requirements

PAYMENT OF A DEPOSIT

20.	Requirement to pay a deposit in order to continue with proceedings

CONCILIATION

21.	Documents to be sent to conciliators

22.	Fixed period for conciliation

23.	Early termination of conciliation period

24.	Effect of staying or sisting proceedings on the conciliation period

WITHDRAWAL OF PROCEEDINGS

25.	Right to withdraw proceedings

THE HEARING

26.

Hearings

27.	What happens at the Hearing

ORDERS, JUDGMENTS AND REASONS

28.	Orders and judgments

29.	Form and content of judgments

30.

Reasons

31.	Absence of chairman

32.	The Register

POWER TO REVIEW JUDGMENTS AND DECISIONS

33.	Review of default judgments

34.	Review of other judgments and decisions

35.	Preliminary consideration of application for review

36.	The review

37.	Correction of judgments, decisions or reasons

COSTS ORDERS AND ORDERS FOR EXPENSES

38.	General power to make costs and expenses orders

39.	When a costs or expenses order must be made

40.	When a costs or expenses order may be made

41.	The amount of a costs or expenses order

PREPARATION TIME ORDERS

42.	General power to make preparation time orders

43.	When a preparation time order must be made

44.	When a preparation time order may be made

45.	Calculation of a preparation time order

46.	Restriction on making costs or expenses orders and preparation time orders

47.	Costs, expenses or preparation time orders when a deposit has been taken

WASTED COSTS ORDERS AGAINST REPRESENTATIVES

48.	Personal liability of representatives for costs

POWERS IN RELATION TO SPECIFIC TYPES OF PROCEEDINGS

49.	Sexual offences and the Register

50.	Restricted reporting orders

51.	Proceedings involving the National Insurance Fund

52.	Collective agreements

53.	Employment Agencies Act 1973

54.	National security proceedings

55.	Dismissals in connection with industrial action

56.	Devolution issues

57.	Transfer of proceedings between Scotland and England & Wales

58.	References to the European Court of Justice

59.	Transfer of proceedings from a court

GENERAL PROVISIONS

60.

Powers

61.	Notices, etc

SCHEDULE 2

THE EMPLOYMENT TRIBUNALS (NATIONAL SECURITY) RULES OF PROCEDURE

1.	Application of Schedule 2

2.	Notification of national security proceedings

3.	Responding to a claim

4.	Serving of documents by the Secretary

5.	Default judgment

6.	Witness orders and disclosure of documents

7.	Case management discussions and pre-hearing reviews

8.	Special advocate

Hearings

10.	Reasons in national security proceedings

11.	Correction of written reasons

12.	Review of judgments or decisions

SCHEDULE 3

THE EMPLOYMENT TRIBUNALS (LEVY APPEALS) RULES OF PROCEDURE

For use only in proceedings on levy appeals

1.	Application of Schedule 1

2.	Definitions

3.	Notice of Appeal

4.	Action on receipt of appeal

5.	Requests for further information

6.	Withdrawal of appeal or assessment

7.	Entry of appeal

8.	Order for further information

9.	Provisions of Schedule 1 which do not apply to levy appeals

10.	Modification of Schedule 1

SCHEDULE 4

THE EMPLOYMENT TRIBUNALS (HEALTH AND SAFETY - APPEALS AGAINST IMPROVEMENT AND PROHIBITION NOTICES) RULES OF PROCEDURE

1.	Application of Schedule 1

2.	Definitions

3.	Notice of appeal

4.	Time limit for bringing appeal

5.	Action on receipt of appeal

6.	Application for a direction suspending the operation of a prohibition notice

7.	General power to manage proceedings

8.	Appointment of an assessor

9.	Right to withdraw proceedings

10.	Costs and expenses

11.	Provisions of Schedule 1 which do not apply to appeals against improvement notices or prohibition notices

12.	Modification of Schedule 1

SCHEDULE 5

THE EMPLOYMENT TRIBUNALS (NON-DISCRIMINATION NOTICES APPEALS) RULES OF PROCEDURE

1.	Application of Schedule 1

2.	Definitions

3.	Notice of Appeal

4.	Action on receipt of appeal

5.	Provisions of Schedule 1 which do not apply to appeals against non-discrimination notices

6.	Modification of Schedule 1

The Secretary of State, in exercise of the powers conferred on her by section 24(2) of the Health and Safety at Work etc. Act 1974[1], sections 1(1), 4(6), and (6A), 7(1), (3), (3ZA), (3A), and (5), 7A(1) and (2), 9(1), (2) and (4), 10(2), (5), (6) and (7), 10A(1), 11(1), 12(2), 13, 13A(1) and (2), 19 and 41(4) of the Employment Tribunals Act 1996[2] and paragraph 36 of Schedule 8 to the Government of Wales Act 1998[3], and paragraph 37 of Schedule 6 to the Scotland Act 1998[4], and after consultation with the Council of Tribunals, in accordance with section 8(1) of the Tribunals and Inquiries Act 1992[5], hereby makes the following Regulations: -

Citation, commencement and revocation
1. - (1) These Regulations may be cited as the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004 and the Rules of Procedure contained in Schedules 1, 2, 3, 4 and 5 to these Regulations may be referred to, respectively, as -

    (2) These Regulations shall come into force on 1 October 2004.

    (3) Subject to the savings in regulation 20, the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2001[6] and the Employment Tribunals (Constitution and Rules of Procedure) (Scotland) Regulations 2001[7] are revoked.

Interpretation
    2.In these Regulations and in Schedules 1, 2, 3, 4 and 5: -

"ACAS" means the Advisory, Conciliation and Arbitration Service referred to in section 247 of TULR(C)A;

"appointing office holder" means, in England and Wales, the Lord Chancellor, and in Scotland, the Lord President;

"chairman" means the President or a member of the panel of chairmen appointed in accordance with regulation 8(3)(a), or, for the purposes of national security proceedings, a member of the panel referred to in regulation 10 selected in accordance with regulation 11(a), and in relation to particular proceedings it means the chairman to whom the proceedings have been referred by the President, Vice President or a Regional Chairman;

"compromise agreement" means an agreement to refrain from continuing proceedings where the agreement meets the conditions in section 203(3) of the Employment Rights Act;

"constructive dismissal" has the meaning set out in section 95(1)(c) of the Employment Rights Act;

"Disability Discrimination Act" means the Disability Discrimination Act 1995[8];

"electronic communication" has the meaning given to it by section 15(1) of the Electronic Communications Act 2000[9];

"Employment Act" means the Employment Act 2002[10];

"Employment Rights Act" means the Employment Rights Act 1996[11];

"Employment Tribunals Act" means the Employment Tribunals Act 1996[12];

"Employment Tribunal Office" means any office which has been established for any area in either England & Wales or Scotland specified by the President and which carries out administrative functions in support of functions being carried out by a tribunal or chairman, and in relation to particular proceedings it is the office notified to the parties in accordance with rule 61(3) of Schedule 1;

"enactment" includes an enactment comprised in, or in an instrument made under, an Act of the Scottish Parliament;

"Equal Pay Act" means the Equal Pay Act 1970[13];

"excluded person" means, in relation to any proceedings, a person who has been excluded from all or part of the proceedings by virtue of:-

"hearing" means a case management discussion, pre-hearing review, review hearing or Hearing (as those terms are defined in Schedule 1) or a sitting of a chairman or a tribunal duly constituted for the purpose of receiving evidence, hearing addresses and witnesses or doing anything lawful to enable the chairman or tribunal to reach a decision on any question;

"legally represented" has the meaning set out in rule 38(5) of Schedule 1;

"Lord President" means the Lord President of the Court of Session;

"misconceived" includes having no reasonable prospect of success;

"national security proceedings" means proceedings in relation to which a direction is given under rule 54(1) of Schedule 1, or an order is made under rule 54(2) of that Schedule;

"old (England & Wales) regulations" means the Employment Tribunals (Constitution and Rules of Procedure) (Scotland) Regulations 2001;

"old (Scotland) regulations" means the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2001;

"panel of chairmen" means a panel referred to in regulation 8(3)(a);

"President" means, in England and Wales, the person appointed or nominated by the Lord Chancellor to discharge for the time being the functions of the President of Employment Tribunals (England and Wales), and, in Scotland, the person appointed or nominated by the Lord President to discharge for the time being the functions of the President of Employment Tribunals (Scotland);

"Race Relations Act" means the Race Relations Act 1976[14];

"Regional Chairman" means a member of the panel of chairmen who has been appointed to the position of Regional Chairman in accordance with regulation 6 or who has been nominated to discharge the functions of a Regional Chairman in accordance with regulation 6;

"Register" means the Register of judgments and written reasons kept in accordance with regulation 17;

"Secretary" means a person for the time being appointed to act as the Secretary of employment tribunals either in England and Wales or in Scotland;

"Sex Discrimination Act" means the Sex Discrimination Act 1975[15];

"special advocate" means a person appointed in accordance with rule 8 of Schedule 2;

"tribunal" means an employment tribunal established in accordance with regulation 5, and in relation to any proceedings means the tribunal to which the proceedings have been referred by the President, Vice President or a Regional Chairman;

"TULR(C)A" means the Trade Union and Labour Relations (Consolidation) Act 1992[16];

"Vice President" means a person who has been appointed to the position of Vice President in accordance with regulation 7 or who has been nominated to discharge the functions of the Vice President in accordance with that regulation;

"writing" includes writing delivered by means of electronic communication.

Overriding objective
3. - (1) The overriding objective of these regulations and the rules in Schedules 1, 2, 3, 4 and 5 is to enable tribunals and chairmen to deal with cases justly.

(2) Dealing with a case justly includes, so far as practicable: -

(3) A tribunal or chairman shall seek to give effect to the overriding objective when it or he: -

    (4) The parties shall assist the tribunal or the chairman to further the overriding objective.

President of Employment Tribunals
    4. - (1) There shall be a President of Employment Tribunals (England and Wales), responsible for the administration of justice by tribunals and chairmen in England and Wales, who shall be appointed by the Lord Chancellor and shall be a person described in paragraph (3).

    (2) There shall be a President of Employment Tribunals (Scotland), responsible for the administration of justice by tribunals and chairmen in Scotland, who shall be appointed by the Lord President and shall be a person described in paragraph (3).

    (3) A President shall be a person: -

    (4) A President may resign his office by notice in writing to the appointing office holder.

    (5) If the appointing office holder is satisfied that the President is incapacitated by infirmity of mind or body from discharging the duties of his office, or the President is adjudged to be bankrupt or makes a composition or arrangement with his creditors, the appointing office holder may revoke his appointment.

    (6) The functions of President under these Regulations may, if he is for any reason unable to act or during any vacancy in his office, be discharged by a person nominated for that purpose by the appointing office holder.

Establishment of employment tribunals
    5. - (1) Each President shall, in relation to that part of Great Britain for which he has responsibility, from time to time determine the number of tribunals to be established for the purposes of determining proceedings.

    (2) The President, a Regional Chairman or the Vice President shall determine, in relation to the area specified in relation to him, at what times and in what places in that area tribunals and chairmen shall sit.

Regional Chairmen
    6. - (1) The Lord Chancellor may from time to time appoint Regional Chairmen from the panel of full-time chairmen and each Regional Chairman shall be responsible to the President (England and Wales) for the administration of justice by tribunals and chairmen in the area specified by the President (England and Wales) in relation to him.

    (2) The President (England and Wales) or the Regional Chairman for an area may from time to time nominate a member of the panel of full time chairmen to discharge for the time being the functions of the Regional Chairman for that area.

Vice President
    7. - (1) The Lord President may from time to time appoint a Vice President from the panel of full time chairmen and the Vice President shall be responsible to the President (Scotland) for the administration of justice by tribunals and chairmen in Scotland.

    (2) The President (Scotland) or the Vice President may from time to time nominate a member of the panel of full time chairmen to discharge for the time being the functions of the Vice President.

Panels of members of tribunals - general
    8. - (1) There shall be three panels of members of Employment Tribunals (England and Wales), as set out in paragraph (3).

    (2) There shall be three panels of members of Employment Tribunals (Scotland), as set out in paragraph (3).

    (3) The panels referred to in paragraphs (1) and (2) are: -

(b) a panel of persons appointed by the Secretary of State after consultation with such organisations or associations of organisations representative of employees as she sees fit; and

(c) a panel of persons appointed by the Secretary of State after consultation with such organisations or associations of organisations representative of employers as she sees fit.

    (4) Members of the panels constituted under these Regulations shall hold and vacate office under the terms of the instrument under which they are appointed but may resign their office by notice in writing, in the case of a member of the panel of chairmen, to the appointing office holder and, in any other case, to the Secretary of State; and any such member who ceases to hold office shall be eligible for reappointment.

    (5) The President may establish further specialist panels of chairmen and persons referred to in paragraphs (3)(b) and (c) and may select persons from such specialist panels in order to deal with proceedings in which particular specialist knowledge would be beneficial.

Composition of tribunals - general
    9. - (1) For each hearing, the President, Vice President or the Regional Chairman shall select a chairman, who shall, subject to regulation 11, be a member of the panel of chairmen, and the President, Vice President or the Regional Chairman may select himself.

    (2) In any proceedings which are to be determined by a tribunal comprising a chairman and two other members, the President, Regional Chairman or Vice President shall, subject to regulation 11, select one of those other members from the panel of persons appointed by the Secretary of State under regulation 8(3)(b) and the other from the panel of persons appointed under regulation 8(3)(c).

    (3) In any proceedings which are to be determined by a tribunal whose composition is described in paragraph (2) or, as the case may be, regulation 11(b), those proceedings may, with the consent of the parties, be heard and determined in the absence of any one member other than the chairman.

    (4) The President, Vice President, or a Regional Chairman may at any time select from the appropriate panel another person in substitution for the chairman or other member of the tribunal previously selected to hear any proceedings before a tribunal or chairman.

Panels of members of tribunals - national security proceedings
    10.In relation to national security proceedings, the President shall: -

Composition of tribunals - national security proceedings
11.In relation to national security proceedings: -

Modification of section 4 of the Employment Tribunals Act (national security proceedings)
    12. - (1) For the purposes of national security proceedings section 4 of the Employment Tribunals Act shall be modified as follows.

    (2) In section 4(1)(a), for the words "in accordance with regulations made under section 1(1)" substitute the words "in accordance with regulation 11(a) of the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004".

    (3) In section 4(1)(b), for the words "in accordance with regulations so made" substitute the words "in accordance with regulation 11(b) of those Regulations".

    (4) In section 4(5), for the words "in accordance with Regulations made under section 1(1)" substitute the words "in accordance with regulation 10(a) of the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004".

Practice directions
    13. - (1) The President may make practice directions about the procedure of employment tribunals in the area for which he is responsible, including practice directions about the exercise by tribunals or chairmen of powers under these Regulations or the Schedules to them.

    (2) The power of the President to make practice directions under paragraph (1) includes power:-

(3) The President shall publish a practice direction made under paragraph (1), and any revocation or variation of it, in such manner as he considers appropriate for bringing it to the attention of the persons to whom it is addressed.

Power to prescribe
14. - (1) The Secretary of State may prescribe -

(2) The Secretary of State shall publish the forms and matters prescribed pursuant to paragraph (1) in such manner as she considers appropriate in order to bring them to the attention of potential claimants, respondents and their advisers.

(3) The proceedings referred to in paragraph (1) are: -

Calculation of time limits
    15. - (1) Any period of time for doing any act required or permitted to be done under any of the rules in Schedules 1, 2, 3, 4 and 5, or under any decision, order or judgment of a tribunal or a chairman, shall be calculated in accordance with paragraphs (2) to (6).

    (2) Where any act must or may be done within a certain number of days of or from an event, the date of that event shall not be included in the calculation. For example, a respondent is sent a copy of a claim on 1st October. He must present a response to the Employment Tribunal Office within 28 days of the date on which he was sent the copy. The last day for presentation of the response is 29th October.

    (3) Where any act must or may be done not less than a certain number of days before or after an event, the date of that event shall not be included in the calculation. For example, if a party wishes to submit representations in writing for consideration by a tribunal at a hearing, he must submit them not less than 7 days before the hearing. If the hearing is fixed for 8th October, the representations must be submitted no later than 1st October.

    (4) Where the tribunal or a chairman gives any decision, order or judgment which imposes a time limit for doing any act, the last date for compliance shall, wherever practicable, be expressed as a calendar date.

    (5) In rule 14(4) of Schedule 1 the requirement to send the notice of hearing to the parties not less than 14 days before the date fixed for the hearing shall not be construed as a requirement for service of the notice to have been effected not less than 14 days before the hearing date, but as a requirement for the notice to have been placed in the post not less than 14 days before that date. For example, a hearing is fixed for 15th October. The last day on which the notice may be placed in the post is 1st October.

    (6) Where any act must or may have been done within a certain number of days of a document being sent to a person by the Secretary, the date when the document was sent shall, unless the contrary is proved, be regarded as the date on the letter from the Secretary which accompanied the document. For example, a respondent must present his response to a claim to the Employment Tribunal Office within 28 days on the date of which he was sent a copy of the claim. If the letter from the Secretary sending him a copy of the claim is dated 1^s^t October, the last day for presentation of the response is 29^t^h October.

Application of Schedules 1-5 to proceedings
    16. - (1) Subject to paragraphs (2) and (3), the rules in Schedule 1 shall apply in relation to all proceedings before an employment tribunal except where separate rules of procedure made under the provisions of any enactment are applicable.

    (2) In proceedings to which the rules in Schedule 1 apply and in which any power conferred on the Minister, the tribunal or a chairman by rule 54 (national security proceedings) of Schedule 1 is exercised, Schedule 1 shall be modified in accordance with Schedule 2.

    (3) The rules in Schedules 3, 4 and 5 shall apply to modify the rules in Schedule 1 in relation to proceedings which consist, respectively, in: -

Register
    17. - (1) The Secretary shall maintain a Register which shall be open to the inspection of any person without charge at all reasonable hours.

    (2) The Register shall contain a copy of all judgments and any written reasons issued by any tribunal or chairman which are required to be entered in the Register in accordance with the rules in Schedules 1 to 5.

    (3) The Register, or any part of it, may be kept by means of a computer.

Proof of decisions of tribunals
    18.The production in any proceedings in any court of a document purporting to be certified by the Secretary 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 of the facts stated therein.

Jurisdiction of tribunals in Scotland and in England & Wales
    19. - (1) An employment tribunal in England or Wales shall only have jurisdiction to deal with proceedings (referred to as "English and Welsh proceedings") where -

(2) An employment tribunal in Scotland shall only have jurisdiction to deal with proceedings (referred to as "Scottish proceedings") where -

Transitional provisions
20. - (1) These Regulations and Schedules 1 to 5 to them shall apply in relation to all proceedings to which they relate where those proceedings were commenced on or after 1 October 2004.

(2) These Regulations and Schedules 1 and 2 to them (with the exception of rules 1 to 3 and 38 to 48 of Schedule 1) shall apply to proceedings: -

provided that a copy of the originating application was not sent to the respondent prior to 1 October 2004.

(3) In relation to the proceedings described in paragraph (2), the following provisions of Schedule 1 to the old (England & Wales) regulations or the old (Scotland) regulations (as the case may be) shall continue to apply: -

(4) In relation to proceedings described in paragraph (2) but where a copy of the originating application was sent to the respondent prior to 1 October 2004, Schedules 1 and 2 to these Regulations shall apply with the exception of rules 1 to 9, 21 to 24, 33 and 38 to 48 of Schedule 1 and rules 2, 3 and 4 of Schedule 2.

(5) In relation to proceedings described in paragraph (4), the following provisions of the old (England & Wales) regulations or the old (Scotland) regulations (as the case may be) shall continue to apply: -

(b) rule 1 of Schedule 2.

(6) In relation to proceedings commenced prior to 1 October 2004 and to which Schedule 4, 5 or 6 to the old (England & Wales) regulations or the old (Scotland) regulations (as the case may be) applied, the provisions of those schedules shall continue to apply to such proceedings.

Gerry Sutcliffe
Parliamentary Under Secretary of State for Employment Relations, Competition and Consumers, Department of Trade and Industry

19th July 2004

SCHEDULE 1Regulation 16

THE EMPLOYMENT TRIBUNALS RULES OF PROCEDURE

HOW TO BRING A CLAIM
Starting a claim
    1. - (1) A claim shall be brought before an employment tribunal by the claimant presenting to an Employment Tribunal Office the details of the claim in writing. Those details must include all the relevant required information (subject to paragraph (5) of this rule and to rule 53 (Employment Agencies Act 1973)).

    (2) The claim may only be presented to an Employment Tribunal Office in England and Wales if it relates to English and Welsh proceedings (defined in regulation 19(1)). The claim may only be presented to an Employment Tribunal Office in Scotland if it relates to Scottish proceedings (defined in regulation 19(2)).

    (3) Unless it is a claim in proceedings described in regulation 14(3), a claim which is presented on or after 6 April 2005 must be presented on a claim form which has been prescribed by the Secretary of State in accordance with regulation 14.

    (4) Subject to paragraph (5) and to rule 53, the required information in relation to the claim is -

(5) In the following circumstances the required information identified below is not required to be provided in relation to that claim -

    (6) References in this rule to being dismissed or a dismissal by the respondent do not include references to constructive dismissal.

    (7) Two or more claimants may present their claims in the same document if their claims arise out of the same set of facts.

    (8) When section 32 of the Employment Act applies to the claim or part of one and a chairman considers in accordance with subsection (6) of section 32 that there has been a breach of subsections (2) to (4) of that section, neither a chairman nor a tribunal shall consider the substance of the claim (or the relevant part of it) until such time as those subsections have been complied with in relation to the claim or the relevant part of it.

ACCEPTANCE OF CLAIM PROCEDURE
What the tribunal does after receiving the claim
2. - (1) On receiving the claim the Secretary shall consider whether the claim or part of it should be accepted in accordance with rule 3. If a claim or part of one is not accepted the tribunal shall not proceed to deal with any part which has not been accepted (unless it is accepted at a later date). If no part of a claim is accepted the claim shall not be copied to the respondent.

(2) If the Secretary accepts the claim or part of it, he shall -

When the claim will not be accepted by the Secretary
3. - (1) When a claim is required by rule 1(3) to be presented using a prescribed form, but the prescribed form has not been used, the Secretary shall not accept the claim and shall return it to the claimant with an explanation of why the claim has been rejected and provide a prescribed claim form.

(2) The Secretary shall not accept the claim (or a relevant part of one) if it is clear to him that one or more of the following circumstances applies -

    (3) If the Secretary decides not to accept a claim or part of one for any of the reasons in paragraph (2), he shall refer the claim together with a statement of his reasons for not accepting it to a chairman. The chairman shall decide in accordance with the criteria in paragraph (2) whether the claim or part of it should be accepted and allowed to proceed.

    (4) If the chairman decides that the claim or part of one should be accepted he shall inform the Secretary in writing and the Secretary shall accept the relevant part of the claim and then proceed to deal with it in accordance with rule 2(2).

    (5) If the chairman decides that the claim or part of it should not be accepted he shall record his decision together with the reasons for it in writing in a document signed by him. The Secretary shall as soon as is reasonably practicable inform the claimant of that decision and the reasons for it in writing together with information on how that decision may be reviewed or appealed.

    (6) Where a claim or part of one has been presented to the tribunal in breach of subsections (2) to (4) of section 32 of the Employment Act, the Secretary shall notify the claimant of the time limit which applies to the claim or the part of it concerned and shall inform the claimant of the consequences of not complying with section 32 of that Act.

    (7) Except for the purposes of paragraph (6) and (8) or any appeal to the Employment Appeal Tribunal, where a chairman has decided that a claim or part of one should not be accepted such a claim (or the relevant part of it) is to be treated as if it had not been received by the Secretary on that occasion.

    (8) Any decision by a chairman not to accept a claim or part of one may be reviewed in accordance with rules 34 to 36. If the result of such review is that any parts of the claim should have been accepted, then paragraph (7) shall not apply to the relevant parts of that claim and the Secretary shall then accept such parts and proceed to deal with it as described in rule 2(2).

    (9) A decision to accept or not to accept a claim or part of one shall not bind any future tribunal or chairman where any of the issues listed in paragraph (2) fall to be determined later in the proceedings.

    (10) Except in rule 34 (review of other judgments and decisions), all references to a claim in the remainder of these rules are to be read as references to only the part of the claim which has been accepted.

RESPONSE
Responding to the claim
    4. - (1) If the respondent wishes to respond to the claim made against him he must present his response to the Employment Tribunal Office within 28 days of the date on which he was sent a copy of the claim. The response must include all the relevant required information. The time limit for the respondent to present his response may be extended in accordance with paragraph (4).

    (2) Unless it is a response in proceedings described in regulation 14(3), any response presented on or after 6 April 2005 must be on a response form prescribed by the Secretary of State pursuant to regulation 14.

    (3) The required information in relation to the response is -

(4) The respondent may apply under rule 11 for an extension of the time limit within which he is to present his response. The application must be presented to the Employment Tribunal Office within 28 days of the date on which the respondent was sent a copy of the claim (unless the application is made under rule 33(1)) and must explain why the respondent cannot comply with the time limit. Subject to rule 33, the chairman shall only extend the time within which a response may be presented if he is satisfied that it is just and equitable to do so.

(5) A single document may include the response to more than one claim if the relief claimed arises out of the same set of facts, provided that in respect of each of the claims to which the single response relates -

(6) A single document may include the response of more than one respondent to a single claim provided that -

ACCEPTANCE OF RESPONSE PROCEDURE

What the tribunal does after receiving the response
    5. - (1) On receiving the response the Secretary shall consider whether the response should be accepted in accordance with rule 6. If the response is not accepted it shall be returned to the respondent and (subject to paragraphs (5) and (6) of rule 6) the claim shall be dealt with as if no response to the claim had been presented.

    (2) If the Secretary accepts the response he shall send a copy of it to all other parties and record in writing the date on which he does so.

When the response will not be accepted by the Secretary
    6. - (1) Where a response is required to be presented using a prescribed form by rule 4(2), but the prescribed form has not been used, the Secretary shall not accept the response and shall return it to the respondent with an explanation of why the response has been rejected and provide a prescribed response form.

    (2) The Secretary shall not accept the response if it is clear to him that any of the following circumstances apply -

    (3) If the Secretary decides not to accept a response for either of the reasons in paragraph (2), he shall refer the response together with a statement of his reasons for not accepting the response to a chairman. The chairman shall decide in accordance with the criteria in paragraph (2) whether the response should be accepted.

    (4) If the chairman decides that the response should be accepted he shall inform the Secretary in writing and the Secretary shall accept the response and then deal with it in accordance with rule 5(2).

    (5) If the chairman decides that the response should not be accepted he shall record his decision together with the reasons for it in writing in a document signed by him. The Secretary shall inform both the claimant and the respondent of that decision and the reasons for it. The Secretary shall also inform the respondent of the consequences for the respondent of that decision and how it may be reviewed or appealed.

    (6) Any decision by a chairman not to accept a response may be reviewed in accordance with rules 34 to 36. If the result of such a review is that the response should have been accepted, then the Secretary shall accept the response and proceed to deal with the response as described in rule 5(2).

Counterclaims
    7. - (1) When a respondent wishes to present a claim against the claimant ("a counterclaim") in accordance with article 4 of the Employment Tribunals Extension of Jurisdiction (England and Wales) Order 1994[21], or as the case may be, article 4 of the Employment Tribunals Extension of Jurisdiction (Scotland) Order 1994[22], he must present the details of his counterclaim to the Employment Tribunal Office in writing. Those details must include -

(2) A chairman may in relation to particular proceedings by order made under rule 10(1) establish the procedure which shall be followed by the respondent making the counterclaim and any claimant responding to the counterclaim.

(3) The President may by a practice direction made under regulation 13 make provision for the procedure which is to apply to counterclaims generally.

CONSEQUENCES OF A RESPONSE NOT BEING PRESENTED OR ACCEPTED
Default judgments
8. - (1) In any proceedings if the relevant time limit for presenting a response has passed, a chairman may, in the circumstances listed in paragraph (2), issue a default judgment to determine the claim without a hearing if he considers it appropriate to do so.

(2) Those circumstances are when either -

and the claimant has not informed the Employment Tribunal Office in writing either that he does not wish a default judgment to be issued or that the claim has been settled.

    (3) A default judgment may determine liability only or it may determine liability and remedy. If a default judgment determines remedy it shall be such remedy as it appears to the chairman that the claimant is entitled to on the basis of the information before him.

    (4) Any default judgment issued by a chairman under this rule shall be recorded in writing and shall be signed by him. The Secretary shall send a copy of that judgment to the parties, to ACAS, and, if the proceedings were referred to the tribunal by a court, to that court. The Secretary shall also inform the parties of their right to have the default judgment reviewed under rule 33. The Secretary shall put a copy of the default judgment on the Register (subject to rule 49 (sexual offences and the Register)).

    (5) The claimant or respondent may apply to have the default judgment reviewed in accordance with rule 33.

    (6) If the parties settle the proceedings (either by means of a compromise agreement (as defined in rule 23(2)) or through ACAS) before or on the date on which a default judgment in those proceedings is issued, the default judgment shall have no effect.

    (7) When paragraph (6) applies, either party may apply under rule 33 to have the default judgment revoked.

Taking no further part in the proceedings
    9.A respondent who has not presented a response to a claim or whose response has not been accepted shall not be entitled to take any part in the proceedings except to -

and in these rules the word "party" or "respondent" includes a respondent only in relation to his entitlement to take such a part in the proceedings, and in relation to any such part which he takes.

CASE MANAGEMENT
General power to manage proceedings
10. - (1) Subject to the following rules, the chairman may at any time either on the application of a party or on his own initiative make an order in relation to any matter which appears to him to be appropriate. Such orders may be any of those listed in paragraph (2) or such other orders as he thinks fit. Subject to the following rules, orders may be issued as a result of a chairman considering the papers before him in the absence of the parties, or at a hearing (see regulation 2 for the definition of "hearing").

(2) Examples of orders which may be made under paragraph (1) are orders -

    (3) An order may specify the time at or within which and the place at which any act is required to be done. An order may also impose conditions and it shall inform the parties of the potential consequences of non-compliance set out in rule 13.

    (4) When a requirement has been imposed under paragraph (1) the person subject to the requirement may make an application under rule 11 (applications in proceedings) for the order to be varied or revoked.

    (5) An order described in either paragraph (2)(d) which requires a person other than a party to grant disclosure or inspection of material may be made only when the disclosure sought is necessary in order to dispose fairly of the claim or to save expense.

    (6) Any order containing a requirement described in either sub-paragraph (2)(c) or (d) shall state that under section 7(4) of the Employment Tribunals Act, any person who without reasonable excuse fails to comply with the requirement shall be liable on summary conviction to a fine, and the document shall also state the amount of the maximum fine.

    (7) An order as described in paragraph (2)(j) may be made only if all relevant parties have been given notice that such an order may be made and they have been given the opportunity to make oral or written representations as to why such an order should or should not be made.

    (8) Any order made under this rule shall be recorded in writing and signed by the chairman and the Secretary shall inform all parties to the proceedings of any order made as soon as is reasonably practicable.

Applications in proceedings
    11. - (1) At any stage of the proceedings a party may apply for an order to be issued, varied or revoked or for a case management discussion or pre-hearing review to be held.

    (2) An application for an order must be made not less than 10 days before the date of the hearing at which it is to be considered (if any) unless it is not reasonably practicable to do so, or the chairman or tribunal considers it in the interests of justice that shorter notice be allowed. The application must (unless a chairman orders otherwise) be in writing to the Employment Tribunal Office and include the case number for the proceedings and the reasons for the request. If the application is for a case management discussion or a pre-hearing review to be held, it must identify any orders sought.

    (3) An application for an order must include an explanation of how the order would assist the tribunal or chairman in dealing with the proceedings efficiently and fairly.

    (4) When a party is legally represented in relation to the application (except where the application is for a witness order described in rule 10(2)(c) only), that party or his representative must, at the same time as the application is sent to the Employment Tribunal Office, provide all other parties with the following information in writing -

and the party or his representative must confirm in writing to the Employment Tribunal Office that this rule has been complied with.

    (5) Where a party is not legally represented in relation to the application, the Secretary shall inform all other parties of the matters listed in paragraphs (4)(a) to (c).

    (6) A chairman may refuse a party's application and if he does so the Secretary shall inform the parties in writing of such refusal unless the application is refused at a hearing.

Chairman acting on his own initiative
    12. - (1) Subject to paragraph (2) and to rules 10(7) and 18(7), a chairman may make an order on his own initiative with or without hearing the parties or giving them an opportunity to make written or oral representations. He may also decide to hold a case management discussion or pre-hearing review on his own initiative.

    (2) Where a chairman makes an order without giving the parties the opportunity to make representations -

(3) An application under paragraph (2)(b) must (subject to rule 10(2)(e)) be made before the time at which, or the expiry of the period within which, the order was to be complied with. Such an application must (unless a chairman orders otherwise) be made in writing to an Employment Tribunal Office and it must include the reasons for the application. Paragraphs (4) and (5) of rule 11 apply in relation to informing the other parties of the application.

Compliance with orders and practice directions
13. - (1) If a party does not comply with an order made under these rules, under rule 8 of Schedule 3, rule 7 of Schedule 4 or a practice direction, a chairman or tribunal -

(2) An order may also provide that unless the order is complied with, the claim or, as the case may be, the response shall be struck out on the date of non-compliance without further consideration of the proceedings or the need to give notice under rule 19 or hold a pre-hearing review or Hearing.

(3) Chairmen and tribunals shall comply with any practice directions issued under regulation 13.

DIFFERENT TYPES OF HEARING
Hearings - general
14. - (1) A chairman or a tribunal (depending on the relevant rule) may hold the following types of hearing -

    (2) So far as it appears appropriate to do so, the chairman or tribunal shall seek to avoid formality in his or its proceedings and shall not be bound by any enactment or rule of law relating to the admissibility of evidence in proceedings before the courts .

    (3) The chairman or tribunal (as the case may be) shall make such enquiries of persons appearing before him or it and of witnesses as he or it considers appropriate and shall otherwise conduct the hearing in such manner as he or it considers most appropriate for the clarification of the issues and generally for the just handling of the proceedings.

    (4) Unless the parties agree to shorter notice, the Secretary shall send notice of any hearing (other than a case management discussion) to every party not less than 14 days before the date fixed for the hearing and shall inform them that they have the opportunity to submit written representations and to advance oral argument. The Secretary shall give the parties reasonable notice before a case management discussion is held.

    (5) If a party wishes to submit written representations for consideration at a hearing (other than a case management discussion) he shall present them to the Employment Tribunal Office not less than 7 days before the hearing and shall at the same time send a copy to all other parties.

    (6) The tribunal or chairman may, if it or he considers it appropriate, consider representations in writing which have been submitted otherwise than in accordance with paragraph (5).

Use of electronic communications
    15. - (1) A hearing (other than those mentioned in sub-paragraphs (c) and (d) of rule 14(1)) may be conducted by use of electronic communications provided that the chairman or tribunal conducting the hearing considers it just and equitable to do so.

    (2) Where a hearing is required by these rules to be held in public and it is to be conducted by use of electronic communications in accordance with this rule then, subject to rule 16, it must be held in a place to which the public has access and using equipment so that the public is able to hear all parties to the communication.

Hearings which may be held in private
    16. - (1) A hearing or part of one may be conducted in private for the purpose of hearing from any person evidence or representations which in the opinion of the tribunal or chairman is likely to consist of information -

(2) Where a tribunal or chairman decides to hold a hearing or part of one in private, it or he shall give reasons for doing so. A member of the Council on Tribunals (in Scotland, a member of the Council on Tribunals or its Scottish Committee) shall be entitled to attend any Hearing or pre-hearing review taking place in private in his capacity as a member.

CASE MANAGEMENT DISCUSSIONS
Conduct of case management discussions
    17. - (1) Case management discussions are interim hearings and may deal with matters of procedure and management of the proceedings and they may be held in private. Case management discussions shall be conducted by a chairman.

    (2) Any determination of a person's civil rights or obligations shall not be dealt with in a case management discussion. The matters listed in rule 10(2) are examples of matters which may be dealt with at case management discussions. Orders and judgments listed in rule 18(7) may not be made at a case management discussion.

PRE-HEARING REVIEWS
Conduct of pre-hearing reviews
    18. - (1) Pre-hearing reviews are interim hearings and shall be conducted by a chairman unless the circumstances in paragraph (3) are applicable. Subject to rule 16, they shall take place in public.

    (2) At a pre-hearing review the chairman may carry out a preliminary consideration of the proceedings and he may -

(3) Pre-hearing reviews shall be conducted by a tribunal composed in accordance with section 4(1) and (2) of the Employment Tribunals Act if -

    (4) If an order is made under paragraph (3), any reference to a chairman in relation to a pre-hearing review shall be read as a reference to a tribunal.

    (5) Notwithstanding the preliminary or interim nature of a pre-hearing review, at a pre-hearing review the chairman may give judgment on any preliminary issue of substance relating to the proceedings. Judgments or orders made at a pre-hearing review may result in the proceedings being struck out or dismissed or otherwise determined with the result that a Hearing is no longer necessary in those proceedings.

    (6) Before a judgment or order listed in paragraph (7) is made, notice must be given in accordance with rule 19. The judgments or order listed in paragraph (7) must be made at a pre-hearing review or a Hearing if one of the parties has so requested. If no such request has been made such judgments or order may be made in the absence of the parties.

    (7) Subject to paragraph (6), a chairman or tribunal may make a judgment or order: -

    (8) A claim or response or any part of one may be struck out under these rules only on the grounds stated in sub-paragraphs (7)(b) to (f).

    (9) If at a pre-hearing review a requirement to pay a deposit under rule 20 has been considered, the chairman who conducted that pre-hearing review shall not be a member of the tribunal at the Hearing in relation to those proceedings.

Notice requirements
    19. - (1) Before a chairman or a tribunal makes a judgment or order described in rule 18(7), except where the order is one described in rule 13(2) or it is a temporary restricted reporting order made in accordance with rule 50, the Secretary shall send notice to the party against whom it is proposed that the order or judgment should be made. The notice shall inform him of the order or judgment to be considered and give him the opportunity to give reasons why the order or judgment should not be made. This paragraph shall not be taken to require the Secretary to send such notice to that party if that party has been given an opportunity to give reasons orally to the chairman or the tribunal as to why the order should not be made.

    (2) Where a notice required by paragraph (1) is sent in relation to an order to strike out a claim which has not been actively pursued, unless the contrary is proved, the notice shall be treated as if it were received by the addressee if it has been sent to the address specified in the claim as the address to which notices are to be sent (or to any subsequent replacement for that address which has been notified to the Employment Tribunal Office).

PAYMENT OF A DEPOSIT
Requirement to pay a deposit in order to continue with proceedings
    20. - (1) At a pre-hearing review if a chairman considers that the contentions put forward by any party in relation to a matter required to be determined by a tribunal have little reasonable prospect of success, the chairman may make an order against that party requiring the party to pay a deposit of an amount not exceeding �500 as a condition of being permitted to continue to take part in the proceedings relating to that matter.

    (2) No order shall be made under this rule unless the chairman has taken reasonable steps to ascertain the ability of the party against whom it is proposed to make the order to comply with such an order, and has taken account of any information so ascertained in determining the amount of the deposit.

    (3) An order made under this rule, and the chairman's grounds for making such an order, shall be recorded in a document signed by the chairman. A copy of that document shall be sent to each of the parties and shall be accompanied by a note explaining that if the party against whom the order is made persists in making those contentions relating to the matter to which the order relates, he may have an award of costs or preparation time made against him and could lose his deposit.

    (4) If a party against whom an order has been made does not pay the amount specified in the order to the Secretary either: -

a chairman shall strike out the claim or response of that party or, as the case may be, the part of it to which the order relates.

(5) The deposit paid by a party under an order made under this rule shall be refunded to him in full except where rule 47 applies.

CONCILIATION
Documents to be sent to conciliators
21.In proceedings brought under the provisions of any enactment providing for conciliation, the Secretary shall send copies of all documents, orders, judgments, written reasons and notices to an ACAS conciliation officer except where the Secretary and ACAS have agreed otherwise.

Fixed period for conciliation
22. - (1) This rule and rules 23 and 24 apply to all proceedings before a tribunal which are brought under any enactment which provides for conciliation except national security proceedings and proceedings which include a claim made under one or more of the following enactments -

    (2) In all proceedings to which this rule applies there shall be a conciliation period to give a time limited opportunity for the parties to reach an ACAS conciliated settlement (the "conciliation period"). In proceedings in which there is more than one respondent there shall be a conciliation period in relation to each respondent.

    (3) In any proceedings to which this rule applies a Hearing shall not take place during a conciliation period and where the time and place of a Hearing has been fixed to take place during a conciliation period, such Hearing shall be postponed until after the end of any conciliation period. The fixing of the time and place for the Hearing may take place during a conciliation period. Pre-hearing reviews and case management discussions may take place during a conciliation period.

    (4) In relation to each respondent the conciliation period commences on the date on which the Secretary sends a copy of the claim to that respondent. The duration of the conciliation period shall be determined in accordance with the following paragraphs and rule 23.

    (5) In any proceedings which consist of claims under any of the following enactments (but no other enactments) the conciliation period is seven weeks (the "short conciliation period") -

(d) regulation 11(5) of the Transfer of Undertakings (Protection of Employment) Regulations 1981 (failure to pay compensation following failure to inform or consult).

(6) In all other proceedings to which this rule applies the conciliation period is thirteen weeks (the "standard conciliation period").

(7) In proceedings to which the standard conciliation period applies, that period shall be extended by a period of a further two weeks if ACAS notifies the Secretary in writing that all of the following circumstances apply before the expiry of the standard conciliation period -

(8) A short conciliation period in any proceedings may, if that period has not already ended, be extended into a standard conciliation period if a chairman considers on the basis of the complexity of the proceedings that a standard conciliation period would be more appropriate. Where a chairman makes an order extending the conciliation period in such circumstances, the Secretary shall inform the parties to the proceedings and ACAS in writing as soon as is reasonably practicable.

Early termination of conciliation period
23. - (1) Should one of the following circumstances arise during a conciliation period (be it short or standard) which relates to a particular respondent (referred to in this rule as the relevant respondent), that conciliation period shall terminate early on the relevant date specified (and if more than one circumstance or date listed below is applicable to any conciliation period, that conciliation period shall terminate on the earliest of those dates) -

    (2) Where a chairman or tribunal makes an order which re-establishes the relevant respondent's right to respond to the claim (for example, revoking a default judgment) and when that order is made, the conciliation period in relation to that respondent has terminated early under paragraph (1) or has otherwise expired, the chairman or tribunal may order that a further conciliation period shall apply in relation to that respondent if they consider it appropriate to do so.

    (3) When an order is made under paragraph (2), the further conciliation period commences on the date of that order and the duration of that period shall be determined in accordance with paragraphs (5) to (8) of rule 22 and paragraph (1) of this rule as if the earlier conciliation period in relation to that respondent had not taken place.

Effect of staying or sisting proceedings on the conciliation period
    24.Where during a conciliation period an order is made to stay (or in Scotland, sist) the proceedings, that order has the effect of suspending any conciliation period in those proceedings. Any unexpired portion of a conciliation period takes effect from the date on which the stay comes to an end (or in Scotland, the sist is recalled) and continues for the duration of the unexpired portion of that conciliation period or two weeks (whichever is the greater).

WITHDRAWAL OF PROCEEDINGS
Right to withdraw proceedings
    25. - (1) A claimant may withdraw all or part of his claim at any time - this may be done either orally at a hearing or in writing in accordance with paragraph (2).

    (2) To withdraw a claim or part of one in writing the claimant must inform the Employment Tribunal Office of the claim or the parts of it which are to be withdrawn. Where there is more than one respondent the notification must specify against which respondents the claim is being withdrawn.

    (3) The Secretary shall inform all other parties of the withdrawal. Withdrawal takes effect on the date on which the Employment Tribunal Office (in the case of written notifications) or the tribunal (in the case of oral notification) receives notice of it and where the whole claim is withdrawn, subject to paragraph (4), proceedings are brought to an end against the relevant respondent on that date. Withdrawal does not affect proceedings as to costs, preparation time or wasted costs.

    (4) Where a claim has been withdrawn, a respondent may make an application to have the proceedings against him dismissed. Such an application must be made by the respondent in writing to the Employment Tribunal Office within 28 days of the notice of the withdrawal being sent to the respondent. If the respondent's application is granted and the proceedings are dismissed those proceedings cannot be continued by the claimant (unless the decision to dismiss is successfully reviewed or appealed).

    (5) The time limit in paragraph (4) may be extended by a chairman if he considers it just and equitable to do so.

THE HEARING
Hearings
    26. - (1) A Hearing is held for the purpose of determining outstanding procedural or substantive issues or disposing of the proceedings. In any proceedings there may be more than one Hearing and there may be different categories of Hearing, such as a Hearing on liability, remedies, costs (in Scotland, expenses) or preparation time.

    (2) Any Hearing of a claim shall be heard by a tribunal composed in accordance with section 4(1) and (2) of the Employment Tribunals Act.

    (3) Any Hearing of a claim shall take place in public, subject to rule 16.

What happens at the Hearing
    27. - (1) The President, Vice President or a Regional Chairman shall fix the date, time and place of the Hearing and the Secretary shall send to each party a notice of the Hearing together with information and guidance as to procedure at the Hearing.

    (2) Subject to rule 14(3), at the Hearing a party shall be entitled to give evidence, to call witnesses, to question witnesses and to address the tribunal.

    (3) The tribunal shall require parties and witnesses who attend the Hearing to give their evidence on oath or affirmation.

    (4) The tribunal may exclude from the Hearing any person who is to appear as a witness in the proceedings until such time as they give evidence if it considers it in the interests of justice to do so.

    (5) If a party fails to attend or to be represented (for the purpose of conducting the party's case at the Hearing) at the time and place fixed for the Hearing, the tribunal may dismiss or dispose of the proceedings in the absence of that party or may adjourn the Hearing to a later date.

    (6) If the tribunal wishes to dismiss or dispose of proceedings in the circumstances described in paragraph (5), it shall first consider any information in its possession which has been made available to it by the parties.

    (7) At a Hearing a tribunal may exercise any powers which may be exercised by a chairman under these rules.

ORDERS, JUDGMENTS AND REASONS
Orders and judgments
    28. - (1) Chairmen or tribunals may issue the following -

    (2) If the parties agree in writing upon the terms of any order or judgment a chairman or tribunal may, if he or it thinks fit, make such order or judgment.

    (3) At the end of a hearing the chairman (or, as the case may be, the tribunal) shall either issue any order or judgment orally or shall reserve the judgment or order to be given in writing at a later date.

    (4) Where a tribunal is composed of three persons any order or judgment may be made or issued by a majority; and if a tribunal is composed of two persons only, the chairman has a second or casting vote.

Form and content of judgments
    29. - (1) When judgment is reserved a written judgment shall be sent to the parties as soon as practicable. All judgments (whether issued orally or in writing) shall be recorded in writing and signed by the chairman.

    (2) The Secretary shall provide a copy of the judgment to each of the parties and, where the proceedings were referred to the tribunal by a court, to that court. The Secretary shall include guidance to the parties on how the judgment may be reviewed or appealed.

    (3) Where the judgment includes an award of compensation or a determination that one party is required to pay a sum to another (excluding an order for costs, expenses, allowances, preparation time or wasted costs), the document shall also contain a statement of the amount of compensation awarded, or of the sum required to be paid.

Reasons
    30. - (1) A tribunal or chairman must give reasons (either oral or written) for any -

(2) Reasons may be given orally at the time of issuing the judgment or order or they may be reserved to be given in writing at a later date. If reasons are reserved, they shall be signed by the chairman and sent to the parties by the Secretary.

(3) Written reasons shall only be provided: -

    (4) When written reasons are provided, the Secretary shall send a copy of the reasons to all parties to the proceedings and record the date on which the reasons were sent. Written reasons shall be signed by the chairman.

    (5) A request for written reasons for a judgment must be made by a party either orally at the hearing (if the judgment is issued at a hearing), or in writing within 14 days of the date on which the judgment was sent to the parties. This time limit may be extended by a chairman where he considers it just and equitable to do so.

    (6) Written reasons for a judgment shall include the following information -

Absence of chairman
31.Where it is not possible for a judgment, order or reasons to be signed by the chairman due to death, incapacity or absence -

and any person who signs the document shall certify that the chairman is unable to sign.

The Register
32. - (1) Subject to rule 49, the Secretary shall enter a copy of the following documents in the Register -

(2) Written reasons for judgments shall be omitted from the Register in any case in which evidence has been heard in private and the tribunal or chairman so orders. In such a case the Secretary shall send the reasons to each of the parties and where there are proceedings before a superior court relating to the judgment in question, he shall send the reasons to that court, together with a copy of the entry in the Register of the judgment to which the reasons relate.

POWER TO REVIEW JUDGMENTS AND DECISIONS
Review of default judgments
    33. - (1) A party may apply to have a default judgment against or in favour of him reviewed. An application must be made in writing and presented to the Employment Tribunal Office within 14 days of the date on which the default judgment was sent to the parties. The 14 day time limit may be extended by a chairman if he considers that it is just and equitable to do so.

    (2) The application must state the reasons why the default judgment should be varied or revoked. When it is the respondent applying to have the default judgment reviewed, the application must include with it the respondent's proposed response to the claim, an application for an extension of the time limit for presenting the response and an explanation of why rules 4(1) and (4) were not complied with.

    (3) A review of a default judgment shall be conducted by a chairman in public. Notice of the hearing and a copy of the application shall be sent by the Secretary to all other parties.

    (4) The chairman may -

and all parties to the proceedings shall be informed by the Secretary in writing of the chairman's judgment on the application.

    (5) A default judgment must be revoked if the whole of the claim was satisfied before the judgment was issued or if rule 8(6) applies. A chairman may revoke or vary all or part of a default judgment if the respondent has a reasonable prospect of successfully responding to the claim or part of it.

    (6) In considering the application for a review of a default judgment the chairman must have regard to whether there was good reason for the response not having been presented within the applicable time limit.

    (7) If the chairman decides that the default judgment should be varied or revoked and that the respondent should be allowed to respond to the claim the Secretary shall accept the response and proceed in accordance with rule 5(2).

Review of other judgments and decisions
    34. - (1) Parties may apply to have certain judgments and decisions made by a tribunal or a chairman reviewed under rules 34 to 36. Those judgments and decisions are -

and references to "decision" in rules 34 to 37 are references to the above judgments and decisions only. Other decisions or orders may not be reviewed under these rules.

(2) In relation to a decision not to accept a claim or response, only the party against whom the decision is made may apply to have the decision reviewed.

(3) Subject to paragraph (4), decisions may be reviewed on the following grounds only -

    (4) A decision not to accept a claim or response may only be reviewed on the grounds listed in paragraphs (3)(a) and (e).

    (5) A tribunal or chairman may on its or his own initiative review a decision made by it or him on the grounds listed in paragraphs (3) or (4).

Preliminary consideration of application for review
    35. - (1) An application under rule 34 to have a decision reviewed must be made to the Employment Tribunal Office within 14 days of the date on which the decision was sent to the parties. The 14 day time limit may be extended by a chairman if he considers that it is just and equitable to do so.

    (2) The application must be in writing and must identify the grounds of the application in accordance with rule 34(3), but if the decision to be reviewed was made at a hearing, an application may be made orally at that hearing.

    (3) The application to have a decision reviewed shall be considered (without the need to hold a hearing) by the chairman of the tribunal which made the decision or, if that is not practicable, by -

and that person shall refuse the application if he considers that there are no grounds for the decision to be reviewed under rule 34(3) or there is no reasonable prospect of the decision being varied or revoked.

    (4) If an application for a review is refused after such preliminary consideration the Secretary shall inform the party making the application in writing of the chairman's decision and his reasons for it. If the application for a review is not refused the decision shall be reviewed under rule 36.

The review
    36. - (1) When a party has applied for a review and the application has not been refused after the preliminary consideration above, the decision shall be reviewed by the chairman or tribunal who made the original decision. If that is not practicable a different chairman or tribunal (as the case may be) shall be appointed by a Regional Chairman, the Vice President or the President.

    (2) Where no application has been made by a party and the decision is being reviewed on the initiative of the tribunal or chairman, the review must be carried out by the same tribunal or chairman who made the original decision and -

    (3) A tribunal or chairman who reviews a decision under paragraph (1) or (2) may confirm, vary or revoke the decision. If the decision is revoked, the tribunal or chairman must order the decision to be taken again. When an order is made that the original decision be taken again, if the original decision was taken by a chairman without a hearing, the new decision may be taken without hearing the parties and if the original decision was taken at a hearing, a new hearing must be held.

Correction of judgments, decisions or reasons
    37. - (1) Clerical mistakes in any order, judgment, decision or reasons, or errors arising in those documents from an accidental slip or omission, may at any time be corrected by certificate by the chairman, Regional Chairman, Vice President or President.

    (2) If a document is corrected by certificate under paragraph (1), or if a decision is revoked or varied under rules 33 or 36 or altered in any way by order of a superior court, the Secretary shall alter any entry in the Register which is so affected to conform with the certificate or order and send a copy of any entry so altered to each of the parties and, if the proceedings have been referred to the tribunal by a court, to that court.

    (3) Where a document omitted from the Register under rules 32 or 49 is corrected by certificate under this rule, the Secretary shall send a copy of the corrected document to the parties; and where there are proceedings before any superior court relating to the decision or reasons in question, he shall send a copy to that court together with a copy of the entry in the Register of the decision, if it has been altered under this rule.

    (4) In Scotland, the references in paragraphs (2) and (3) to superior courts shall be read as referring to appellate courts.

COSTS ORDERS AND ORDERS FOR EXPENSES
General power to make costs and expenses orders
38. - (1) Subject to paragraph (2) and in the circumstances listed in rules 39, 40 and 47 a tribunal or chairman may make an order ("a costs order") that -

(2) A costs order may be made under rules 39, 40 and 47 only where the receiving party has been legally represented at the Hearing or, in proceedings which are determined with