The Tribunal Procedure (Upper Tribunal) Rules 2008

Rule 26C

[F1 SCHEDULE 4 Procedure in financial sanctions cases

Textual Amendments

F1 Sch. 4 inserted (27.7.2017) by The Tribunal Procedure (Amendment) Rules 2017 (S.I. 2017/723), rules 1, 13

Interpretation

1.   In this Schedule—

“2017 Act” means the Policing and Crime Act 2017.

“financial sanctions legislation” has the meaning provided by section 143(4) of the 2017 Act.

“further material” means documents which-

(a)

were considered by the Treasury in reaching a decision under section 147(3) of the 2017 Act to impose the monetary penalty that is the subject of the appeal; or

(b)

were considered by the Minister in reaching a decision under section 147(4) of the 2017 Act to uphold the monetary penalty that is the subject of the appeal; or

(c)

were obtained by either the Treasury or the Minister in connection with a decision described above (whether they were obtained before or after making the decision) but which were not considered by them in reaching that decision, but does not include documents on which the respondent relies in support of the decision made.

Notice of Appeal

2.— (1) A notice of appeal must be made in writing and received by the Upper Tribunal no later than 28 days after notice was given of the decision under challenge.

(2) The notice of appeal must state—

(a) the name and address of the appellant;

(b) the name and address of the appellant’s representative (if any);

(c) if no representative is named under sub-paragraph (b), an address where documents for the appellant may be sent or delivered;

(d) details (including the full reference) of the decision challenged; and

(e) the grounds on which the appellant relies.

(3) The appellant must provide with the notice of appeal a copy of—

(a) any written record of the Treasury’s decision under section 147(3) of the 2017 Act;

(b) any written record of the Minister’s decision under section 147(4) of the 2017 Act;

(c) any separate written statement of reasons for either of those decisions.

(4) If the appellant provides the notice of appeal to the Upper Tribunal later than the time required by sub-paragraph (1) or by an extension of time allowed under rule 5(3)(a) (power to extend time)—

(a) the notice of appeal must include a request for an extension of time and the reason why the notice of appeal was not provided in time; and

(b) unless the Upper Tribunal extends time for the application under rule 5(3)(a) (power to extend time) the Upper Tribunal must not admit the notice of appeal.

(5) At the same time as it sends the notice to the Upper Tribunal, the appellant must send a copy of the notice and any accompanying documents to the respondent.

Respondent’s statement of case

3.— (1) On receipt of a copy of a notice of appeal, the respondent must send or deliver a written statement (“a statement of case”) in support of the decision taken so that it is received by the Upper Tribunal no later than 28 days after the day on which the respondent received from the Upper Tribunal the copy of the notice of appeal.

(2) The statement of case must—

(a) identify the provisions of the financial sanctions legislation by reference to which the decision was made;

(b) state the reasons for the decision; and

(c) set out all the matters and facts upon which the respondent relies to support the decision.

(3) The respondent must provide with the statement of case a list of—

(a) any documents (or relevant extracts) on which the respondent relies in support of the decision; and

(b) any further material (or relevant extracts) which in the opinion of the respondent might undermine the decision taken.

(4) At the same time as it sends or delivers the statement of case to the Upper Tribunal, the respondent must send to the appellant a copy of the statement of case and of the list referred to in sub-paragraph (3).

Appellant’s reply

4.— (1) The appellant must send or deliver a written reply so that it is received by the Upper Tribunal no later than 28 days after the date on which the appellant received a copy of the statement of case.

(2) The reply must—

(a) identify all matters contained in the respondent’s statement of case which are disputed by the appellant; and

(b) state the appellant’s reasons for disputing them.

(3) The appellant must send with the reply a list of all the documents (or relevant extracts) on which the appellant relies in support of the appellant’s case.

(4) At the same time as it sends or delivers the written reply required by sub-paragraph (1) to the Upper Tribunal, the appellant must send to the respondent a copy of the reply and of the list referred to in sub-paragraph (3).

Secondary disclosure by the respondent

5.— (1) After the appellant’s reply has been sent or delivered, if there is any further material (or relevant extracts) which might reasonably be expected to assist the appellant’s case as disclosed by the appellant’s reply and which is not listed in the list provided in accordance with paragraph 4(3), the respondent must send or deliver to the Upper Tribunal a list of such further material (or relevant extracts).

(2) Any list required to be sent or delivered by sub-paragraph (1) must be sent or delivered so that it is received no later than 14 days after the day on which the respondent received the appellant’s reply.

(3) At the same time as it sends or delivers any list required by sub-paragraph (1) to the Upper Tribunal, the respondent must send a copy to the appellant.

Exceptions to disclosure

6.— (1) A list provided in accordance with paragraph 3(3), 4(3) or 5(1) need not include any document:

(a) that is material the disclosure of which for the purposes of or in connection with any legal proceedings is prohibited by section 17 of the Regulation of Investigatory Powers Act 2000; or

(b) in respect of which an application has been or is being made under sub-paragraph (2).

(2) A party may apply to the Upper Tribunal (without giving notice to any other party) for a direction authorising the party making the application not to include in the list required by paragraph 3(3), 4(3) or 5(1) a document on the ground that disclosure of the document—

(a) would not be in the public interest; or

(b) should not otherwise be given.

(3) For the purpose of deciding an application by a party under sub-paragraph (2), the Upper Tribunal may—

(a) require the document to be produced to the Upper Tribunal together with a statement of the reasons why—

(i) in the case of an application under sub-paragraph (2)(a), its disclosure would not be in the public interest; or

(ii) in the case of an application under sub-paragraph (2)(b), its disclosure should not be given; and

(b) invite the other party to make representations.

(4) If the Upper Tribunal refuses an application under sub-paragraph (2), it must direct the party—

(a) to revise its list so as to include the document; and

(b) to send or deliver a copy of the revised list to the Upper Tribunal and to the other party.

(7) A party (“P”) who has sent or delivered a list under paragraph 3(3), 4(3) or 5(1) must, upon the request of the other party, provide that party with a copy of any document which P has which is specified in the list, or make it available for inspection or copying, and if P does not have it, tell the other party where to the best of P’s knowledge and belief it may be found.

(8) Sub-paragraph (7) does not apply to any document in respect of which a claim to legal professional privilege, or (in Scotland) to confidentiality of communications as between client and professional legal adviser, could be maintained in legal proceedings]