The Employment Appeal Tribunal Rules 1993

Made: 23rd November 1993

Laid before Parliament: 24th November 1993

Coming into force: 16th December 1993

The Lord Chancellor, in exercise of the powers conferred on him by section 154(3) of and paragraphs 17(1), 18, 18A(1) and 19(1) of Schedule 11 to the Employment Protection (Consolidation) Act 1978[^f00001], and of all other powers enabling him in that behalf, after consultation with the Lord President of the Court of Session, hereby makes the following Rules:—

Citation and commencement

1

• (1) These Rules may be cited as the Employment Appeal Tribunal Rules 1993 and shall come into force on 16th December 1993.

• (2) As from that date the Employment Appeal Tribunal Rules 1980[^f00002], the Employment Appeal Tribunal (Amendment) Rules 1985[^f00003] and the Employment Appeal Tribunal (Amendment) Rules 1988[^f00004] shall be revoked.

Interpretation

2

• (1) In these rules—

• “the 1992 Act” means the Trade Union and Labour Relations (Consolidation) Act 1992;

• “the 1996 Act” means the Employment Tribunals Act 1996;

• “the 1999 Regulations” means the Transnational Information and Consultation of Employees Regulations 1999;

• “the 2004 Regulations” means the European and Public Limited-Liability Company Regulations 2004;

• “the Information and Consultation Regulations” means the Information and Consultation of Employees Regulations 2004;

• ...

• “the Appeal Tribunal” means the Employment Appeal Tribunal established under section 87 of the Employment Protection Act 1975 and continued in existence under section 20(1) of the 1996 Act and includes the President, a judge, a member or the Registrar acting on behalf of the Tribunal;

• “the CAC” means the Central Arbitration Committee;

• “the Certification Officer” means the person appointed to be the Certification Officer under section 254(2) of the 1992 Act;

• “costs officer” means any officer of the Appeal Tribunal authorised by the President to assess costs or expenses;

• “Crown employment proceedings” has the meaning given by section 10(8) of the 1996 Act;

• “document” includes a document delivered by way of electronic communication;

• “electronic communication” shall have the meaning given to it by section 15(1) of the Electronic Communications Act 2000;

• “excluded person” means, in relation to any proceedings, a person who has been excluded from all or part of the proceedings by virtue of—a direction of a Minister of the Crown under rule 30A(1)(b) or (c); oran order of the Appeal Tribunal under rule 30A(2)(a) read with rule 30A(1)(b) or (c);

• “judge” means a judge of the Appeal Tribunal nominated under section 22(1)(a) or (b) of the 1996 Act and includes a judge nominated under section 23(2) of, or a judge appointed under section 24(1) of, the 1996 Act to be a temporary additional judge of the Appeal Tribunal;

• “legal representative” means a person, including a person who is a party’s employee, who—for the purposes of the Legal Services Act 2007, is an authorised person in relation to an activity which constitutes the exercise of a right of audience or the conduct of litigation within the meaning of that Act;is an advocate or solicitor (as defined by section 65(1) of the Solicitors (Scotland) Act 1980 in Scotland; oris a member of the Bar of Northern Ireland or a Solicitor of the Court of Judicature of Northern Ireland;

• “member” means a member of the Appeal Tribunal appointed under section 22(1)(c) of the 1996 Act and includes a member appointed under section 23(3) of the 1996 Act to act temporarily in the place of a member appointed under that section;

• “national security proceedings” means proceedings in which a direction or order under rule 93 of the Employment Tribunal Procedure Rules 2024 is in force;

• “practice direction” means a direction given under section 29A of the 1996 Act;

• “the President” means the judge appointed under section 22(3) of the 1996 Act to be President of the Appeal Tribunal and includes a judge nominated under section 23(1) of the 1996 Act to act temporarily in his place;

• “the Registrar” means the person appointed to be Registrar of the Appeal Tribunal and includes any officer of the Tribunal authorised by the President to act on behalf of the Registrar;

• “the Secretary of Employment Tribunals” means the person acting for the time being as the Secretary of the Central Office of the Employment Tribunals (England and Wales) or, as may be appropriate, of the Central Office of the Employment Tribunals (Scotland);

• “special advocate” means a person appointed pursuant to rule 30A(4);

• “writing” includes writing delivered by means of electronic communication.

• (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (3) Any reference in these Rules to a person who was the claimant or, as the case may be, the respondent in the proceedings before an employment tribunal includes, where those proceedings are still continuing, a reference to a person who is the claimant or, as the case may be, is the respondent in those proceedings.

Institution of Appeal

3

• (1) Every appeal to the Appeal Tribunal shall, subject to paragraphs (2) and (4), be instituted by serving on the Tribunal the following documents—

• (a) a notice of appeal in, or substantially in, accordance with Form 1, 1A or 2 in the Schedule to these rules;

• (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (c) in the case of an appeal from a judgment of an employment tribunal a copy of the written record of the judgment of the employment tribunal which is subject to appeal and the written reasons for the judgment, or an explanation as to why written reasons are not included;

• (d) in the case of an appeal made pursuant to regulation 38(8) of the 1999 Regulations or regulation 47(6) of the 2004 Regulations or regulation 35(6) of the Information and Consultation Regulations ... from a declaration or order of the CAC, a copy of that declaration or order ; and

• (e) in the case of an appeal from an order of an employment tribunal a copy of the written record of the order of the employment tribunal which is subject to appeal and (if available) the written reasons for the order;

• (f) in the case of an appeal from a decision or order of the Certification Officer a copy of the decision or order of the Certification Officer which is subject to appeal and the written reasons for that decision or order.

• (2) In an appeal from a judgment or order of the employment tribunal in relation to national security proceedings where the appellant was the claimant—

• (i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (ii) the appellant shall not be required by virtue of paragraph (1)(c) or (e) to serve on the Appeal Tribunal a copy of the written reasons for the judgment or order if the written reasons were not sent to the appellant but if a document containing edited reasons was sent to the appellant, he shall serve a copy of that document on the Appeal Tribunal.

• (3) The period within which an appeal to the Appeal Tribunal may be instituted is—

• (a) in the case of an appeal from a judgment of the employment tribunal—

• (i) where the written reasons for the judgment subject to appeal—

• (aa) were requested orally at the hearing before the employment tribunal or in writing within 14 days of the date on which the written record of the judgment was sent to the parties; or

• (bb) were reserved and given in writing by the employment tribunal

42 days from the date on which the written reasons were sent to the parties;

• (ii) in an appeal from a judgment given in relation to national security proceedings, where there is a document containing edited reasons for the judgment subject to appeal, 42 days from the date on which that document was sent to the parties; or

• (iii) where the written reasons for the judgment subject to appeal—

• (aa) were not requested orally at the hearing before the employment tribunal or in writing within 14 days of the date on which the written record of the judgment was sent to the parties; and

• (bb) were not reserved and given in writing by the employment tribunal

42 days from the date on which the written record of the judgment was sent to the parties;

• (b) in the case of an appeal from an order of an employment tribunal, 42 days from the date of the order;

• (c) in the case of an appeal from a decision of the Certification Officer, 42 days from the date on which the written record of that decision was sent to the appellant;

• (d) in the case of an appeal from a declaration or order of the CAC under regulation 38(8) of the 1999 Regulations or regulation 47(6) of the 2004 Regulations or regulation 35(6) of the Information and Consultation Regulations or regulation 57(6) of the 2007 Regulations, 42 days from the date on which the written notification of that declaration or order was sent to the appellant.

• (4) In the case of an appeal from a judgment or order of the employment tribunal in relation to national security proceedings, the appellant shall not set out the grounds of appeal in his notice of appeal and shall not append to his notice of appeal the written reasons for the judgment of the tribunal.

• (5) In an appeal from the employment tribunal in relation to national security proceedings in relation to which the appellant was the respondent in the proceedings before the employment tribunal, the appellant shall, within the period described in paragraph (3)(a), provide to the Appeal Tribunal a document setting out the grounds on which the appeal is brought.

• (6) In an appeal from the employment tribunal in relation to national security proceedings in relation to which the appellant was the claimant in the proceedings before the employment tribunal—

• (a) the appellant may, within the period described in paragraph 3(a)(ii) or (iii) or paragraph 3(b), whichever is applicable, provide to the Appeal Tribunal a document setting out the grounds on which the appeal is brought; and

• (b) a special advocate appointed in respect of the appellant may, within the period described in paragraph 3(a)(ii) or (iii) or paragraph 3(b), whichever is applicable, or within 21 days of his appointment, whichever is later, provide to the Appeal Tribunal a document setting out the grounds on which the appeal is brought or providing supplementary grounds of appeal.

• (7) Where it appears to the Appeal Tribunal or the Registrar that a notice of appeal or a document provided under paragraph (5) or (6)—

• (a) discloses no reasonable grounds for bringing the appeal; or

• (b) is an abuse of the Appeal Tribunal’s process or is otherwise likely to obstruct the just disposal of proceedings,

the Appeal Tribunal or the Registrar shall notify the Appellant or special advocate accordingly informing him of the reasons for its opinion and, subject to paragraph (10), no further action shall be taken on the notice of appeal or document provided under paragraph (5) or (6).

• (7ZA) Where the Appeal Tribunal or the Registrar has taken a decision under paragraph (7), and also considers that the notice of appeal or document provided under paragraph (5) or (6) is totally without merit, the Appeal Tribunal or Registrar may order that the appellant or special advocate is not entitled to have the matter heard before the Appeal Tribunal under paragraph (10), with such order to be included as part of the notice issued under paragraph (7).

• (7A) In paragraphs (7) , (7ZA) and (10) reference to a notice of appeal or a document provided under paragraph (5) or (6) includes reference to part of a notice of appeal or document provided under paragraph (5) or (6).

• (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (10) Subject to paragraph (7ZA), where notification has been given under paragraph (7) and within 28 days of the date the notification was sent, an appellant or special advocate expresses dissatisfaction in writing with the reasons given by the Appeal Tribunal or Registrar for their opinion, he is entitled to have the matter heard before the Appeal Tribunal which shall make a direction as to whether any further action should be taken on the notice of appeal or document under paragraph (5) or (6).

Service of notice of appeal

4

• (1) On receipt of notice under rule 3, the Registrar shall seal the notice with the Appeal Tribunal’s seal and shall serve a sealed copy on the appellant and on—

• (a) every person who, in accordance with rule 5, is a respondent to the appeal; and

• (b) The Secretary of Industrial Tribunals in the case of an appeal from an industrial tribunal; or

• (c) the Certification Officer in the case of an appeal from any of his decisions; or

• (d) the Secretary of State in the case of an appeal under ... Chapter II of Part IV of the 1992 Act or Part XI of the Employment Rights Act 1996 to which he is not a respondent ; or

• (e) the Chairman of the CAC in the case of an appeal from the CAC under regulation 38(8) of the 1999 Regulations or regulation 47(6) of the 2004 Regulations or regulation 35(6) of the Information and Consultation Regulations ....

• (2) On receipt of a document provided under rule 3(5)—

• (a) the Registrar shall not send the document to a person in respect of whom a Minister of the Crown has informed the Registrar that he wishes to address the Appeal Tribunal in accordance with rule 30A(3) with a view to the Appeal Tribunal making an order applicable to this stage of the proceedings under rule 30A(2)(a) read with 30A(1)(b) or (c) (exclusion of a party or his representative), at any time before the Appeal Tribunal decides whether or not to make such an order; but if it decides not to make such an order, the Registrar shall, subject to sub-paragraph (b), send the document to such a person 14 days after the Appeal Tribunal’s decision not to make the order; and

• (b) the Registrar shall not send a copy of the document to an excluded person, but if a special advocate is appointed in respect of such a person, the Registrar shall send a copy of the document to the special advocate.

• (3) On receipt of a document provided under rule 3(6)(a) or (b), the Registrar shall not send a copy of the document to an excluded person, but shall send a copy of the document to the respondent.

Respondents to appeals

5

The respondents to an appeal shall be—

• (a) in the case of an appeal from an industrial tribunal or of an appeal made pursuant to section 45D, 56A, 95, 104 or 108C of the 1992 Act from a decision of the Certification Officer, the parties (other than the appellant) to the proceedings before the industrial tribunal or the Certification Officer;

• (b) in the case of an appeal made pursuant to section 9 or 126 of the 1992 Act from a decision of the Certification Officer, that Officer;

• (c) in the case of an appeal made pursuant to regulation 38(8) of the 1999 Regulations or regulation 47(6) of the 2004 Regulations or regulation 35(6) of the Information and Consultation Regulations ... from a declaration or order of the CAC, the parties (other than the appellant) to the proceedings before the CAC.

Respondent’s answer and notice of cross-appeal

6

• (1) The Registrar shall, as soon as practicable, notify every respondent of the date appointed by the Appeal Tribunal by which any answer under this rule must be delivered.

• (2) A respondent who wishes to resist an appeal shall, subject to paragraph (6), and within the time appointed under paragraph (1) of this rule, deliver to the Appeal Tribunal an answer in writing in, or substantially in, accordance with Form 3 in the Schedule to these Rules, setting out the grounds on which he relies, so, however, that it shall be sufficient for a respondent to an appeal referred to in rule 5(a) or 5(c) who wishes to rely on any ground which is the same as a ground relied on by the industrial tribunal , the Certification Officer or the CAC for making the judgment, decision , declaration or order appealed from to state that fact in his answer.

• (3) A respondent who wishes to cross-appeal may subject to paragraph (6), do so by including in his answer a statement of the grounds of his cross-appeal, and in that event an appellant who wishes to resist the cross-appeal shall, within a time to be appointed by the Appeal Tribunal, deliver to the Tribunal a reply in writing setting out the grounds on which he relies.

• (4) The Registrar shall serve a copy of every answer and reply to a cross-appeal on every party other than the party by whom it was delivered.

• (5) Where the respondent does not wish to resist an appeal, the parties may deliver to the Appeal Tribunal an agreed draft of an order allowing the appeal and the Tribunal may, if it thinks it right to do so, make an order allowing the appeal in the terms agreed.

• (6) In an appeal from the employment tribunal in relation to national security proceedings, the respondent shall not set out the grounds on which he relies in his answer to an appeal, nor include in his answer a statement of the grounds of any cross-appeal.

• (7) In an appeal from the employment tribunal in relation to national security proceedings in relation to which the respondent was not the claimant in the proceedings before the employment tribunal, the respondent shall, within the time appointed under paragraph (1), provide to the Registrar a document, setting out the grounds on which he intends to resist the appeal, and may include in that document a statement of the grounds of any cross-appeal.

• (8) In an appeal from the employment tribunal in relation to national security proceedings in relation to which the respondent was the claimant in the proceedings before the employment tribunal—

• (a) the respondent may, within the time appointed under paragraph (1) provide to the Registrar a document, setting out the grounds on which he intends to resist the appeal, and may include in that document a statement of the grounds of any cross-appeal; and