The Employment Tribunals (Constitution and Rules of Procedure) Regulations 2013

Explanatory Note

(This note is not part of the Regulations)

These Regulations replace the Employment Tribunals (Constitution and Rules of Procedure) Regulations 2004 (“the 2004 Regulations”). The rules of procedure in Schedules 1 to 3 replace the existing rules of procedure in the Employment Tribunals set out in Schedules 1 to 6 to the 2004 Regulations.

Regulations 4 to 6 provide for the establishment of Employment Tribunals and the appointment of the Presidents, the Vice President and Regional Employment Judges, and regulation 7 sets out the responsibilities of those office holders.

Regulations 8 and 9 detail who shall sit to determine proceedings in the Employment Tribunals and regulation 10 make special provision for the composition of Employment Tribunals when dealing with national security proceedings.

Regulation 11 gives each President power to make practice directions in relation to the area (either Scotland or England and Wales) for which the President is responsible.

Regulation 12 delegates to the Secretary of State the power to prescribe forms to be used by claimants and respondents in proceedings before an Employment Tribunal and regulation 12(2) lists the proceedings in which a prescribed form need not be used.

Regulation 13 provides that Schedule 1 to the Regulations is to apply to all proceedings before an Employment Tribunal. However, Schedule 1 is modified by Schedules 2 and 3 in relation to the proceedings to which those Schedules apply.

Regulation 14 makes provision for the maintenance of a register of judgments and written reasons issued by an Employment Tribunal.

Regulation 15 makes transitional provision in relation to the presentation of a response which contains an employer's contract claim and in relation to proceedings which were presented before 29th July 2013 and in respect of which Schedule 3, 4 or 5 of the 2004 Regulations applied. Subject to those transitional provisions, these Regulations apply to all proceedings before the Employment Tribunals.

Schedule 1 sets out the rules of procedure for claims before the Employment Tribunals. Rule 1 sets out the definitions relevant to those rules.

Rule 2 provides that the overriding objective of the rules is to enable the Employment Tribunals to deal with cases fairly and justly.

Rules 4 and 5 contain provisions on the calculation of time and extending and shortening time limits.

Rule 7 provides for the publication by the Presidents of guidance on the exercise of powers in the rules.

Rule 8 sets out the requirements for the presentation of a claim in the Employment Tribunals and rule 10 provides that a claim shall be rejected by an Employment Tribunal if a prescribed form is not used or certain information is not contained in the claim.

Rule 11 provides that, if any enactment requires a claim to be accompanied by a fee or an application for a remission from that fee and a claim is presented without such a fee or application, then that claim shall be rejected.

Rule 12 provides that an Employment Judge may reject a claim if the Employment Tribunals do not have jurisdiction to consider it, or it is in a form which cannot sensibly be responded to or is otherwise an abuse of process.

Rule 13 provides for the reconsideration of a rejection made under rule 10 or 12.

Rule 16 provides that a respondent has 28 days from the date that the copy of the claim was sent by an Employment Tribunal in which to present a response.

Rule 17 provides that a response shall be rejected if a prescribed form is not used or certain information is not contained in the response and rule 18 provides that a response shall be rejected if it is presented late.

Rule 19 provides for the reconsideration of a rejection made under rule 17 or 18.

Rule 20 allows a respondent to make an application for an extension of time for presenting the response to a claim.

Rule 21 sets out how an Employment Tribunal will determine a claim if no response is presented or the respondent does not contest a claim.

Rules 23 to 25 set out the process for presenting, and responding to, an employer's contract claim.

Rule 26 provides for an initial consideration of the claim and response. Rules 27 and 28 set out the process for the dismissal of all, or part, of the claim or response, if at this stage the Tribunal considers that the claim, response, or the part in question, has no reasonable prospect of success.

Rules 29 to 40 set out the Employment Tribunals' case management and other powers and the procedure for making applications for case management orders.

Rule 29 sets out the Employment Tribunals' general power to manage proceedings.

Rule 30 sets out the procedure for making applications for case management orders.

Rule 36 introduces a lead case mechanism, which enables an Employment Tribunal to identify claims giving rise to common or related issues of fact and law, specify one or more of those claims as a lead claim, and stay (in Scotland sist) the other claims. The related cases shall be bound by decisions in the lead case on the related issues, although a party may apply for such a decision not to apply to a related case.

Rule 37 provides the Employment Tribunals with the power to strike out all or part of a claim or response if one the specified grounds applies.

Rule 38 provides that an unless order may specify that all or part of a claim or response shall be struck out if the order is not complied with by a specified date.

Rule 39 provides that where an Employment Tribunal considers that a specific allegation or argument in a claim or response has little reasonable prospect of success it can order the relevant party to pay a deposit of up to £1,000 as a condition of continuing to advance that allegation or argument.

Rule 40 sets out the consequences which will follow if a party fails to pay any fee required under any enactment.

Rules 41 to 50 set out the rules common to all kinds of hearings, including rules on written representations (rule 42), witnesses (rule 43) and timetabling (rule 45).

Rule 50 provides that an Employment Tribunal may make an order to prevent or restrict disclosure of any aspect of proceedings so far as necessary in the interests of justice. Paragraph (3) lists examples of orders which may be made under this rule. Any person with a legitimate interest may, if he or she did not have opportunity to make representations before the order was made, apply for such an order to be revoked or discharged.

Rules 51 and 52 set out the procedure for withdrawal of a claim and provide for dismissal following withdrawal.

Rules 53 to 56 set out the scope of, and procedure for, preliminary hearings. Rules 57 to 59 set out the scope of, and procedure for, final hearings.

Rules 60 and 61 concern decisions made by an Employment Tribunal and rule 62 concerns reasons given by an Employment Tribunal.

Rule 65 sets out when a judgment or order takes effect and rule 66 sets out the time for compliance with a judgment or order which requires the payment of money.

Rules 70 to 73 set out the procedure for reconsideration by an Employment Tribunal of a judgment.

Rules 74 to 84 describe the circumstances in which a costs (in Scotland, expenses), preparation time, or wasted costs order may be made.

Rules 85 to 91 concern the requirements on delivery of documents to an Employment Tribunal, parties and non-parties.

Rule 92 introduces a new requirement on parties to copy all communications which they send to an Employment Tribunal to all other parties.

Rule 99 provides that proceedings may be transferred between Scotland and England and Wales.

Rule 104 modifies the application of the rest of Schedule 1 in relation to levy appeals under the Industrial Training Act 1982 (modifications for such proceedings appeared in Schedule 3 to the 2004 Regulations).

Rule 105 modifies the application of the rest of Schedule 1 in relation to appeals against an improvement or prohibition notice under the Health and Safety at Work etc. Act 1974 (modifications for such proceedings appeared in Schedule 4 to the 2004 Regulations).

Rule 106 modifies the application of the rest of Schedule 1 in relation to appeals against an unlawful act notice under the Equality Act 2006 (modifications for such proceedings appeared in Schedule 5 to the 2004 Regulations).

Schedule 2 modifies the application of Schedule 1 in relation to proceedings in which a direction is given, or an order is made, under rule 94 (national security proceedings) of Schedule 1.

Schedule 3 modifies the application of Schedule 1 in relation to proceedings involving an equal value claim (as defined in rule 1 of Schedule 3).