The Special Educational Needs Tribunal Regulations 2001

PART 2 MAKING AN APPEAL TO THE TRIBUNAL AND STATEMENTS OF CASE

(A) THE PARENT

Notice of appeal

7.—(1) An appeal to the Tribunal shall be made by notice which—

(a) shall state—

(i) the name and address of the parent making the appeal and if more than one address is given, the address to which the tribunal should send replies or notices concerning the appeal;

(ii) the name and date of birth of the child;

(iii) that the notice is a notice of appeal;

(iv) the name of the authority which made the disputed decision and the date on which the parent was notified of it;

(v) if the parent seeks an order that the child’s statement be amended, to which Part or Parts of the statement the appeal relates;

(vi) if the parent seeks an order that a school (other than one already named in the child’s statement) be named in it, either the name and address of that school or a sufficient description of the type and nature of the school which the parent considers would constitute an appropriate placement for the child;

(b) shall be accompanied by—

(i) a copy of the notice of the disputed decision;

(ii) where the appeal is made under section 326 of, or paragraph 8 of Schedule 27 to, the 1996 Act, a copy of the child’s statement;

(iii) where the notice of appeal states the name of a school in accordance with paragraph (a)(vi) above, written confirmation that the parent has informed the school that he proposes to request that it be named in the statement;

(c) shall include or be accompanied by a statement of the parent’s reasons for appealing;

(d) may appoint a representative in accordance with regulation 12.

(2) The parent shall sign the notice of appeal.

(3) The parent must deliver the notice of appeal to the Secretary of the Tribunal so that it is received no later than the first working day after the expiry of two months from the date on which the authority gave him notice, under Part IV of the 1996 Act, that he had a right of appeal.

(4) In this regulation “parent” means a person to whom the 1996 Act gives the right to appeal to the Tribunal.

Reasons for appealing

8.—(1) If the notice of appeal does not include, and is not accompanied by, reasons for appealing which the President considers sufficient to enable the authority to respond to the appeal, he shall direct the parent to send particulars of the reasons to the Secretary of the Tribunal within 10 working days of his direction.

(2) Regulations 21 and 25 shall apply to a direction under paragraph (1).

(3) Particulars of reasons sent in response to a direction made in accordance with paragraph (1) shall be treated as part of the notice of appeal.

Statement of parent’s case, and supplementary provisions

9.—(1) During the case statement period, the parent may deliver to the Secretary of the Tribunal a written statement of his case, which may include the views of the child, and all written evidence which he wishes to submit to the Tribunal.

(2) In exceptional circumstances, the parent may amend the notice of appeal, deliver a supplementary statement of reasons for appealing or statement of case or amend a supplementary statement of reasons for appealing or statement of case, if permission is given by—

(a) the President, at any time before the hearing; or

(b) the tribunal at the hearing.

(3) The parent shall deliver to the Secretary of the Tribunal a copy of every amendment and supplementary statement for which permission was given.

(4) If the President gives permission under paragraph 2(a) he shall consider extending the case statement period.

Withdrawal of appeal

10.  The parent may withdraw his appeal—

(a) at any time before the hearing of the appeal by sending to the Secretary of the Tribunal a notice signed by him;

(b) at the hearing of the appeal.

Further action by parent

11.—(1) The parent shall give the Secretary of the Tribunal the information requested in the enquiry made under regulation 20.

(2) If the parent does not intend to attend or be represented at the hearing, he may, not less than five working days before the hearing, send to the Secretary of the Tribunal additional written representations in support of his appeal.

Parent’s representatives

12.—(1) The parent may in the notice of appeal or by giving written notice to the Secretary of the Tribunal at any later time—

(a) appoint a representative;

(b) appoint another representative to replace the representative previously appointed, whose appointment is cancelled by the later appointment;

(c) state that no person is acting as the parent’s representative, which cancels any previous appointment.

(2) To appoint a representative, the parent must give the name, address and profession of the representative.

(3) If a person whom the parent has appointed as a representative notifies the Secretary of the Tribunal in writing that he is not prepared, or is no longer prepared, to act in that capacity—

(a) the Secretary of the Tribunal shall notify the parent;

(b) the appointment of that representative is cancelled.

(4) Subject to paragraph (5), at any time after the parent has appointed a representative, and until that appointment is cancelled—

(a) the Secretary of the Tribunal shall send all documents and notices concerning the appeal to the representative instead of the parent;

(b) references in these Regulations (however expressed) to sending documents to, or giving notice to, the parent shall be construed as references to sending documents to, or giving notice to, the representative.

(5) Paragraph (4) applies—

(a) unless the parent notifies the Secretary of the Tribunal that he does not wish it to apply;

(b) subject to regulations 36(6) and 49(5).

(6) At a hearing, the parent may conduct his case himself (with assistance from one person if he wishes) or may appear and be represented by one person whether or not legally qualified:

Provided that, if the President gives permission before the hearing or the tribunal gives permission at the hearing, the parent may obtain assistance or be represented by more than one person.

(B) THE AUTHORITY

Statement of authority’s case, and supplementary provisions

13.—(1) During the case statement period, the authority shall deliver to the Secretary of the Tribunal a written statement of its case and all written evidence which it wishes to submit to the Tribunal.

(2) The statement of the authority’s case shall be signed by an officer of the authority who is authorised to sign such documents, and shall state whether or not the authority intends to oppose the appeal, and if it does intend to oppose the appeal shall state—

(a) the grounds on which it relies;

(b) the name and profession of the representative of the authority and the address for service of the authority for the purposes of the appeal;

(c) a summary of the facts relating to the disputed decision;

(d) the reasons for the disputed decision, if they are not included in the decision;

(e) the views of the child concerning the issues raised by the appeal, or the reasons why the authority has not ascertained those views.

(3) In exceptional circumstances the authority may amend its statement of case, deliver a supplementary statement of case or amend a supplementary statement of case if permission is given by—

(a) the President, at any time before the hearing; or

(b) the tribunal at the hearing.

(4) The authority shall deliver to the Secretary of the Tribunal a copy of every amendment and supplementary statement for which permission was given.

(5) If the President gives permission under paragraph (3) he shall consider extending the case statement period.

Authority’s representative

14.—(1) The authority may at any time change its representative for the purposes of the appeal by notifying the Secretary of the Tribunal of the name and profession of its new representative.

(2) References in these Regulations (however expressed) to sending documents to, or giving notice to, the authority shall be construed as references to sending documents to, or giving notice to, the representative named in accordance with regulation 13(2)(b) or paragraph (1) above.

Failure to deliver a statement of case and absence of opposition

15.—(1) If the Secretary of the Tribunal does not receive a statement of case from the Authority within the case statement period or if the authority states in writing that it does not resist the appeal, or withdraws its opposition to the appeal, the tribunal shall—

(a) determine the appeal on the basis of the notice of appeal without a hearing; or

(b) without notifying the authority hold a hearing at which the authority is not represented.

(2) Where the parent’s appeal relates to the contents of the child’s statement, no statement that the authority does not resist the appeal or that it withdraws its opposition shall take effect until the authority sends the Tribunal a written statement of the amendments (if any) to the statement which it agrees to make.

Representation at hearing and further action by the authority

16.—(1) At a hearing or part of a hearing the authority may be represented by one person whether or not legally qualified:

Provided that if the President gives permission before the hearing or the tribunal gives permission at the hearing the authority may be represented by more than one person.

(2) The authority shall give the Secretary of the Tribunal the information requested in the enquiry made under regulation 20.

(3) If the authority does not intend to be represented at the hearing it may, not less than five working days before the hearing, send to the Secretary of the Tribunal additional representations in support of its case.