Legalize / United Kingdom / Statutory-Instrument

The Tribunal Procedure (Upper Tribunal) Rules 2008

Type Statutory-Instrument

Publication 2008-10-09

Last updated 2025-05-30

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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[^key-a76e615a14dbe158042f713c6f512b8a]: Word in Sch. 3 para. 5(5) inserted (27.12.2024) by The Tribunal Procedure (Amendment No. 2) Rules 2024 (S.I. 2024/1283), rules 1, 3(6)

[^key-0d30cd46aaed101d7263eb05d1601cab]: Words in Sch. 4 para. 6(1)(a) substituted (27.12.2024) by The Tribunal Procedure (Amendment No. 2) Rules 2024 (S.I. 2024/1283), rules 1, 3(7)

[^key-6a9d660bfa25d0e6bca9dd9248415707]: Rule 43(6) inserted (30.5.2025) by The Tribunal Procedure (Amendment) Rules 2025 (S.I. 2025/561), rules 1, 4(2)(b)

[^key-e65743398f9a5be1853df7d4d7ea682a]: Words in rule 43(1) inserted (30.5.2025) by The Tribunal Procedure (Amendment) Rules 2025 (S.I. 2025/561), rules 1, 4(2)(a)

Cases transferred or referred to the Upper Tribunal, applications made directly to the Upper Tribunal and proceedings without notice to a respondent

26A

(1) Paragraphs (2) and (3) apply to—

(a) a case transferred or referred to the Upper Tribunal from the First-tier Tribunal; ...

(b) a case, other than an appeal or a case to which rule 26 (references under the Forfeiture Act 1982) applies, which is started by an application made directly to the Upper Tribunal ; or

(2) In a case to which this paragraph applies—

(a) the Upper Tribunal must give directions as to the procedure to be followed in the consideration and disposal of the proceedings; ...

(aa) in a reference under section 325 or 326 of the Charities Act 2011, the Upper Tribunal may give directions providing for an application to join the proceedings as a party and the time within which it may be made; and

(b) the preceding rules in this Part will only apply to the proceedings to the extent provided for by such directions.

(3) If a case or matter to which this paragraph applies is to be determined without notice to or the involvement of a respondent—

(a) any provision in these Rules requiring a document to be provided by or to a respondent; and

(b) any other provision in these Rules permitting a respondent to participate in the proceedings

does not apply to that case or matter.

(4) Schedule 2 makes further provision for national security certificate appeals transferred to the Upper Tribunal.

Addition, substitution and removal of parties

Procedure for applying for a stay of a decision pending an appeal

20A

(1) This rule applies where another enactment provides in any terms for the Upper Tribunal to stay or suspend, or to lift a stay or suspension of, a decision which is or may be the subject of an appeal to the Upper Tribunal (“the substantive decision”) pending such appeal.

(2) A person who wishes the Upper Tribunal to decide whether the substantive decision should be stayed or suspended must make a written application to the Upper Tribunal which must include—

(a) the name and address of the person making the application;

(b) the name and address of any representative of that person;

(d) the name and address of any person who will be a respondent to the appeal;

(e) details of the substantive decision and any decision as to when that decision is to take effect, and copies of any written record of, or reasons for, those decisions; and

(f) the grounds on which the person making the application relies.

(3) In the case of an application under paragraph (2) in a road transport case —

(a) the person making the application must notify the decision maker when making the application;

(b) within 7 days of receiving notification of the application the decision maker must send or deliver written reasons for refusing or withdrawing the stay—

(i) to the Upper Tribunal; and

(ii) to the person making the application, if the decision maker has not already done so.

(4) If the Upper Tribunal grants a stay or suspension following an application under this rule—

(a) the Upper Tribunal may give directions as to the conduct of the appeal of the substantive decision; and

(b) the Upper Tribunal may, where appropriate, grant the stay or suspension subject to conditions.

(5) Unless the Upper Tribunal considers that there is good reason not to do so, the Upper Tribunal must send written notice of any decision made under this rule to each party.

SCHEDULE 1 — Procedure after the notice of appeal in road transport cases

1

This Schedule applies to road transport cases.

2

The only parties to the appeal are the appellant and any person added as a party under rule 9 (addition, substitution and removal of parties) .

3

On receipt of a copy of a notice of appeal under rule 23(6)(b), the decision maker must send to the Upper Tribunal a copy (and, on request, further copies) of—

(a) a written record of the decision appealed against and reasons for the decision;

(b) all documents produced to the decision maker in connection with the decision;

(c) if a public inquiry was held, the transcript of the inquiry or, if no such transcript was produced, the decision maker’s note of the inquiry; and

(d) in an appeal under—

(i) section 50 of the Public Passenger Vehicles Act 1981 or section 37 of the Goods Vehicles (Licensing of Operators) Act 1995, or

(ii) section 35 of the Goods Vehicles (Licensing of Operators) Act (Northern Ireland) 2010,

a list of the names and addresses of objectors and representors.

4

On receipt of a list under paragraph 3(d) the Upper Tribunal must send a copy of the notice of appeal—

(a) where the appellant had applied for, or for the variation of, an operator’s licence, to each person who made an objection to the application;

(b) where the appellant had made an objection to an application for, or (in the case of a goods vehicle operator’s licence) for the variation of, an operator’s licence, to the person who made the application and to every other person who made an objection to the application; ...

(c) in an appeal under section 37(5) of the Goods Vehicles (Licensing of Operators) Act 1995, ... to each person who made representations under section 12(4) or 19(2) of that Act against the application for, or for the variation of, the operator’s licence in question.

(d) in an appeal under section 35(5) of the Goods Vehicles (Licensing of Operators) Act (Northern Ireland) 2010, to each person who made representations under section 11(4) or 18(2) of that Act.

5

The appropriate national authority and any person to whom the Upper Tribunal has sent a copy of the notice of appeal under paragraph 4 may apply for a direction under rule 9(2) adding them as a respondent.

6

An application under paragraph 5 must be sent or delivered to the Upper Tribunal so that it is received within 14 days of the date that the Upper Tribunal sent a copy of the notice of appeal to the person making the application.

7

If a person ... makes an application in accordance with paragraphs 5 and 6, the Upper Tribunal must give a direction under rule 9(2) adding that person as a respondent.

8

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9

The Upper Tribunal must notify each other party of any application under paragraph 5 and the Upper Tribunal’s decision in respect of each such application.

10

Any party may make a request to the Upper Tribunal for copies of specified documents provided by the decision maker under paragraph 3.

11

On receiving a request under paragraph 10 the Upper Tribunal—

(a) must provide the requested copies unless it considers the request unreasonable; and

(b) if it considers the request unreasonable, give details of why it considers the request unreasonable.

SCHEDULE 2 — Additional procedure in national security certificate cases

1

This Schedule applies only to national security certificate appeals.

2

Following the transfer of the appeal from the First-tier Tribunal, the Upper Tribunal must provide a copy of the notice of appeal to the respondent, the relevant Minister and the Information Commissioner.

3

The relevant Minister must send or deliver to the Upper Tribunal a copy of the certificate to which the appeal relates, and a response to the notice of appeal, not later than 42 days after the date on which the relevant Minister received a copy of the notice of appeal.

4

In an appeal under section 28(4) of the Data Protection Act 1998, sections 27(3), 79(5) or 111(3) of the Data Protection Act 2018 or section 60(1) of the Freedom of Information Act 2000 (including that subsection as applied and modified by regulation 18 of the Environmental Information Regulations 2004), the relevant Minister’s response must state whether the relevant Minister intends to oppose the appeal and, if so set out—

(a) a summary of the circumstances relating to the issue of the certificate;

(b) the reason for the issue of the certificate;

(d) a statement of the evidence on which the relevant Minister relies in support of those grounds.

5

In an appeal under section 28(6) of the Data Protection Act 1998, sections 27(5), 79(7) or 111(5) of the Data Protection Act 2018 or section 60(4) of the Freedom of Information Act 2000 (including that subsection as applied and modified by regulation 18 of the Environmental Information Regulations 2004), the relevant Minister’s response must state whether the relevant Minister intends to make representations in relation to the appeal and, if so set out—

(a) the extent to which the relevant Minister intends to support or oppose the appeal;

(b) the grounds on which the relevant Minister relies in supporting or opposing the appeal; and

6

The Upper Tribunal must—

(a) subject to paragraph 11, provide the relevant Minister’s response and any other response to the appellant, the Information Commissioner and any respondent; and

(b) send a copy of any other response to the relevant Minister.

7

On grounds of the need to ensure that information is not disclosed contrary to the interests of national security, the relevant Minster may—

(a) object to the disclosure of the relevant Minister’s response to the appellant, the Information Commissioner or any respondent, by sending a notice to the Upper Tribunal with the response; or

(b) object to the disclosure of any other response to the Information Commissioner or any respondent, by sending a notice to the Upper Tribunal within 42 days of the date on which the relevant Minister received a copy of the response.

8

A notice under paragraph 7 must—

(a) state the reason for the objection; and

(b) in the case of a notice under paragraph 7(a) and to the extent that it is possible to do so, be accompanied by a version of the relevant Minister’s response in a form that can be shown to the appellant, the Commissioner or, as the case may be, a respondent.

9

Before the Upper Tribunal gives a direction, issues a summons or citation, or produces or publishes a written record of, or reasons for, a decision—

(a) the Upper Tribunal must notify the relevant Minister of the proposed action; and

(b) if the relevant Minister considers that the proposal would cause information that is or would be exempt by virtue of a provision in Part 2 of the Freedom of Information Act 2000 to be disclosed, the relevant Minister may object to the proposal by sending a notice to the Upper Tribunal so that the Upper Tribunal receives the notice within 14 days of the date that the Minister received notice of the proposal.

10

When deciding whether to uphold an objection made by the relevant Minister—

(a) any hearing must take place in the absence of the parties;

(b) if the Upper Tribunal is minded to overrule the relevant Minister’s objection, or to require the relevant Minister to provide a version of the relevant Minister’s response in a form other than one provided under paragraph 8(b) above, the Upper Tribunal must invite the relevant Minister to make representations; and

(c) if the Upper Tribunal overrules an objection in relation to the disclosure of a response, the Upper Tribunal must not disclose, or require the relevant Minister to disclose, any material the subject of the objection unless the relevant Minister relies upon that material in opposing the appeal.

11

Where the relevant Minister may object to the disclosure of a response or proposed action by the Upper Tribunal, the Upper Tribunal may not proceed with that disclosure or that proposed action unless—

(a) the time for the relevant Minister to object has expired; and

(b) the relevant Minister has not objected, or the Upper Tribunal has overruled the relevant Minister’s objection and, in the case of the disclosure of a response, may proceed with the disclosure under paragraph 10(c).

Appeal treated as abandoned or finally determined in an asylum case or an immigration case

17A

(1) A party to an asylum case or an immigration case before the Upper Tribunal must notify the Upper Tribunal if they are aware that—

(a) the appellant has left the United Kingdom;

(b) the appellant has been granted leave to enter or remain in the United Kingdom; or

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(1A) A party to an appeal under the Immigration (Citizens’ Rights Appeals) (EU Exit) Regulations 2020 (“the 2020 Regulations”) before the Upper Tribunal must also notify the Upper Tribunal if they are aware that the appeal is to be treated as abandoned under regulation 13 of those Regulations.

(2) Where an appeal is treated as abandoned pursuant to section 92(8), 104(4) or (4A) of the Nationality, Immigration and Asylum Act 2002 ... or regulation 13(3) of the 2020 Regulations, or as finally determined pursuant to section 104(5) of the Nationality, Immigration and Asylum Act 2002, the Upper Tribunal must send the parties a notice informing them that the appeal is being treated as abandoned or finally determined.

(3) Where an appeal would otherwise fall to be treated as abandoned pursuant to section 104(4A) of the Nationality, Immigration and Asylum Act 2002 or regulation 13(3) of the 2020 Regulations, but the appellant wishes to pursue their appeal, the appellant must send or deliver a notice, which must comply with any relevant practice directions, to the Upper Tribunal and the respondent so that it is received within thirty days of the date on which the notice of the grant of leave to enter or remain in the United Kingdom was sent to the appellant.

(4) Where a notice of grant of leave to enter or remain is sent electronically or delivered personally, the time limit in paragraph (3) is twenty eight days.

(5) Notwithstanding rule 5(3)(a) (case management powers) and rule 7(2) (failure to comply with rules etc.), the Upper Tribunal must not extend the time limits in paragraph (3) and (4).

Notice of funding of legal services

Confidentiality in child support or child trust fund cases

Power to pay expenses and allowances

Procedure for applying for a stay of a decision pending an appeal

Special time limits for hearing an appeal in a fast-track case

36A

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Public and private hearings

Hearings in a party's absence

Special procedure for providing notice of a decision relating to an asylum case

40A

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Financial services cases

26B

Schedule 3 makes provision for financial services cases and wholesale energy cases.

SCHEDULE 3 — Procedure in financial services cases and Wholesale Energy Cases

Interpretation

1

In this Schedule—

“further material” means— in a single regulator case, documents which—were considered by the respondent in reaching or maintaining the decision to give the notice in respect of which the reference has been made; orwere obtained by the respondent in connection with the matter to which that notice relates (whether they were obtained before or after giving the notice) but which were not considered by it in reaching or maintaining that decision;but does not include documents on which the respondent relies in support of the referred action;in a multiple regulator case—in relation to a respondent who is the primary regulator, documents which—were considered by that regulator in reaching or maintaining its decision to give the notice in respect of which the reference has been made; orwere obtained by that regulator in connection with the matter to which that notice relates (whether they were obtained before or after the notice was given) but which were not considered by that regulator in reaching or maintaining its decision;in relation to a respondent who is the secondary regulator, documents which—were considered by that regulator in reaching or maintaining its decision to take the secondary regulator action in relation to the notice in respect of which the reference has been made; orwere obtained by that regulator in connection with the matter to which that notice relates (whether they were obtained before or after the notice was given) but which were not considered by that regulator in reaching or maintaining its decision;but does not include documents on which either the primary regulator or the secondary regulator relies;

“multiple regulator case” means a case where—any of the Financial Conduct Authority, the Prudential Regulation Authority or the Bank of England has given the notice in respect of which the reference has been made; andsuch notice stated that another of those regulators had decided to take one of the following actions—i)to refuse a consent where such consent is required under the 2000 Act;to give a conditional consent under the 2000 Act; orto direct another regulator to take an action or not to take an action under the 2000 Act;”

“primary regulator” means, in a multiple regulator case, the regulator giving the notice;

“secondary regulator action” means an action taken by a secondary regulator, as stated in the notice given by the primary regulator;

“secondary regulator” means, in a multiple regulator case, a regulator specified in the notice other than the primary regulator;

“single regulator case” means a case that is not a multiple regulator case;

“reference notice” means the written notice required in making a reference in a financial services case or a wholesale energy case ;

“referred action” means—in a single regulator case, the act (or proposed act) on the part of the respondent that gave rise to the reference; andin a multiple regulator case, the act (or proposed act) on the part of the primary regulator that gave rise to the reference;

“the 2000 Act” means the Financial Services and Markets Act 2000;

“the 2013 Regulations” means the Electricity and Gas (Market Integrity and Transparency) (Enforcement etc.) Regulations 2013;

“the 2013 (NI) Regulations” means the Electricity and Gas (Market Integrity and Transparency) (Enforcement etc.) Regulations (Northern Ireland) 2013.

Reference notice

2

(1) A reference notice must be signed by or on behalf of the applicant and sent or delivered by the applicant to the Upper Tribunal.

(2) A reference notice must be received by the Upper Tribunal no later than 28 days after notice was given of the decision in respect of which the reference is made.

(3) The reference notice must state—

(a) the name and address of the applicant;

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

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

(d) the issues that the applicant wishes the Upper Tribunal to consider.

(4) The applicant must send or deliver to the Upper Tribunal with the reference notice a copy of the notice of the decision in respect of which the reference has been made.

(5) At the same time the applicant must send a copy of the reference notice—

(a) in a single regulator case, to the respondent; and

(b) in a multiple regulator case, to each of the primary and secondary regulators.

Register of references and decisions

3

(1) The Upper Tribunal must keep a register of references and decisions in financial services cases and wholesale energy cases.

(2) The register must be open to inspection by any person without charge and at all reasonable hours.

(3) The Upper Tribunal may direct that the register is not to include particulars of a reference if it is satisfied that it is necessary to do so having regard in particular to—

(a) any unfairness to the applicant or, except as regards a reference in respect of a decision of the Prudential Regulation Authority, any prejudice to the interests of consumers that might otherwise result;

(b) as regards a reference in respect of a decision of the Financial Conduct Authority, any detriment to the stability of the UK financial system;

(c) as regards a reference in respect of a decision of the Prudential Regulation Authority, any prejudice to the safety and soundness of persons authorised by it, or where section 2C of the 2000 Act applies, any prejudice to securing the appropriate degree of protection for policy holders; or

(d) as regards a reference under the 2013 Regulations or the 2013 (NI) Regulations any detriment to the stability of the wholesale energy market as defined in those Regulations.

(4) Upon receiving a reference notice, the Upper Tribunal must—

(a) subject to any direction given under sub-paragraph (3), enter particulars of the reference in the register; and

(b) notify the parties either that it has done so or that it will not include particulars in the register, as the case may be.

(5) In a multiple regulator case, notification under sub-paragraph (4)(b) must be given to each of the primary and secondary regulators.

Respondent’s statement of case

4

(1) The respondent in a single regulator case must send or deliver a written statement (“a statement of case”) in support of the referred action 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 notification required by paragraph 3(4)(b).

(2) The statement of case must—

(a) identify the statutory provisions providing for the referred action;

(b) state the reasons for the referred action; and

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

(a) any documents on which the respondent relies in support of the referred action; and

(b) any further material which in the opinion of the respondent might undermine the decision to take that action.

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

Applicant’s reply

5

(1) The applicant must send or deliver a written reply so that it is received by the Upper Tribunal no later than 28 days after—

(a) in a single regulator case, on the date on which the applicant received a copy of the statement of case;

(aa) in a multiple regulator case, on the first date on which the applicant was in receipt of all the statements and, where relevant, notifications required under paragraphs 4A(2) and 4A(4); or

(b) if a respondent amends its statement of case, the date on which the applicant received a copy of the amended statement of case.

(2) The reply must—

(a) state the grounds on which the applicant relies in the reference;

(b) identify all matters contained in the respondent’s statement of case (or, where applicable, respondents’ statements of case) which are disputed by the applicant; ...

(3) The applicant must send with the reply a list of all the documents on which the applicant relies in support of his case.

(4) At the same time the applicant must send to all other parties a copy of the reply and of the list referred to in sub-paragraph (3).

(5) Where the primary regulator has provided a written notification under paragraph 4A(2)(b), if the applicant wishes the Upper Tribunal to direct that further steps in the proceedings be taken by the primary regulator, an application must be made at the time of sending the reply.

Secondary disclosure by the respondent

6

(1) After the applicant’s reply has been sent or delivered, if there is any further material which might reasonably be expected to assist the applicant’s case as disclosed by the applicant’s reply and which is not listed in the list (or lists) provided in accordance with paragraph 4(3) (or paragraph 4A(6) where applicable), the respondent (or the respondents) must send or deliver to the Upper Tribunal a list (or lists) of such further material.

(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 in question received the applicant’s reply.

(3) At the same time as it sends or delivers any list required by sub-paragraph (1) a respondent must send a copy to the applicant (and where applicable the other parties).

Exceptions to disclosure

7

(1) A list provided in accordance with paragraph 4(3), 4A(6) or 6(1) need not include any document that relates to a case involving a person other than the applicant which was taken into account by the respondent providing the list in the applicant’s case only for the purposes of comparison with other cases.

(2) A list provided in accordance with paragraph 4(3), 4A(6), 5(3) or 6(1) need not include any document that is material the disclosure of which for the purposes of or in connection with any legal proceedings is prohibited by section 56 of the Investigatory Powers Act 2016.

(3) A list provided in accordance with paragraph 4(3), 4A(6), 5(3) or 6(1) need not include any document in respect of which an application has been or is being made under sub-paragraph (4).

(4) 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 4(3), 4A(6), 5(3) or 6(1) a document on the ground that disclosure of the document—

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

(b) would not be fair, having regard to—

(i) the likely significance of the document to the applicant in relation to the matter referred to the Upper Tribunal; and

(ii) the potential prejudice to the commercial interests of a person other than the applicant which would be caused by disclosure of the document.

(5) For the purpose of deciding an application by a party under sub-paragraph (4), the Upper Tribunal may—

(a) require the document to be produced to the Upper Tribunal together with a statement of the reasons why its inclusion in the list would—

(i) in the case of an application under sub-paragraph (4)(a), not be in the public interest; or

(ii) in the case of an application under sub-paragraph (4)(b), not be fair; and

(b) invite any other party to make representations.

(6) If the Upper Tribunal refuses an application under sub-paragraph (4), 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 any other party.

(7) A party (“P”) who has sent or delivered a list under paragraph 4(3), 4A(6), 5(3) or 6(1) must, upon the request of another party, provide that other 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 that is a protected item.

(9) In this paragraph “protected item” has the meaning provided by section 413 of the 2000 Act, section 311(2) of the Pensions Act 2004 or article 283(2) of the Pensions (Northern Ireland) Order 2005 or regulation 52(2) of the 2013 Regulations or regulation 51(2) of the 2013 (NI) Regulations.

Subsequent notices in relation to the referred action

8

Where, after a reference notice has been sent or delivered, a respondent gives the applicant any further, amended or supplementary notice in relation to the referred action, that respondent must without delay send or deliver a copy of that notice to the Upper Tribunal.

References by third parties

9

(1) In the case of any reference made by an applicant under section 393 of the 2000 Act, regulation 40 of the 2013 Regulations or regulation 40 of the 2013 (NI) Regulations (third party rights) these rules apply subject to the modifications set out in this paragraph.

(2) In this paragraph—

(a) if the reference was made under section 393(9) of the 2000 Act, regulation 40(9) of the 2013 Regulations or regulation 40(9) of the 2013 (NI) Regulations (reference to the Upper Tribunal by a third party to whom a decision notice was copied), the notice of the decision in respect of which the reference has been made is the decision notice which was copied to the applicant by the respondent that gave the notice; and

(b) if the reference was made under section 393(11) of the 2000 Act, regulation 40(11) of the 2013 Regulations or regulation 40(11) of the 2013 (NI) Regulations (reference to the Upper Tribunal by a third party who alleges that they were not given a copy of a decision notice), the notice of the decision in respect of which the reference has been made is the decision notice which the applicant alleges was not copied to them.

(3) If the reference was made under section 393(11) of the 2000 Act, regulation 40(11) of the 2013 Regulations or regulation 40(11) of the 2013 (NI) Regulations, paragraph 2(4) does not apply.

(4) The duties of a respondent to—

(a) set out information under paragraphs 4(2), 4A(2), 4A(4) or 4A(5); or

(b) list material under paragraphs 4(3), 4A(6) or 6(1);

apply only to information or material which relate to the matters referred to the Upper Tribunal in accordance with section 393(9) or (as the case may be) section 393(11) of the 2000 Act, regulation 40(9) or, as the case may be, regulation 40(11) of the 2013 Regulations, or regulation 40(9) or, as the case may be, regulation 40(11) of the 2013 (NI) Regulations.

Power to treat an application as a different type of application

48

The Upper Tribunal may treat an application for a decision to be corrected, set aside or reviewed, or for permission to appeal against a decision, as an application for any other one of those things.

Special provisions for fresh claim proceedings

28A

(1) The Upper Tribunal must not accept an application for permission to bring immigration judicial review proceedings unless it is either accompanied by any required fee or the Upper Tribunal accepts an undertaking that the fee will be paid.

(2) Within 9 days of making an application referred to in paragraph (1), an applicant must provide—

(a) a copy of the application and any accompanying documents to each person named in the application as a respondent or an interested party; and

(b) the Upper Tribunal with a written statement of when and how this was done.

Acknowledgment of service

Decision on permission or summary dismissal, and reconsideration of permission or summary dismissal at a hearing

Responses

Applicant seeking to rely on additional grounds

Right to make representations

Amendments and additional grounds resulting in transfer of proceedings to the High Court in England and Wales

33A

(1) This rule applies only to judicial review proceedings arising under the law of England and Wales.

(2) In relation to such proceedings—

(a) the powers of the Upper Tribunal to permit or require amendments under rule 5(3)(c) extend to amendments which would, once in place, give rise to an obligation or power to transfer the proceedings to the High Court in England and Wales under section 18(3) of the 2007 Act or paragraph (3);

(b) except with the permission of the Upper Tribunal, additional grounds may not be advanced, whether by an applicant or otherwise, if they would give rise to an obligation or power to transfer the proceedings to the High Court in England and Wales under section 18(3) of the 2007 Act or paragraph (3).

(3) Where the High Court in England and Wales has transferred judicial review proceedings to the Upper Tribunal under any power or duty and subsequently the proceedings are amended or any party advances additional grounds—

(a) if the proceedings in their present form could not have been transferred to the Upper Tribunal under the relevant power or duty had they been in that form at the time of the transfer, the Upper Tribunal must transfer the proceedings back to the High Court in England and Wales;

(b) subject to sub-paragraph (a), where the proceedings were transferred to the Upper Tribunal under section 31A(3) of the Senior Courts Act 1981(power to transfer judicial review proceedings to the Upper Tribunal), the Upper Tribunal may transfer proceedings back to the High Court in England and Wales if it appears just and convenient to do so.

Setting aside a decision in proceedings under the Forfeiture Act 1982

Respondent’s statement of case in a single regulator case

Respondents’ statements of case in a multiple regulator case

4A

(1) This paragraph applies in a multiple regulator case.

(2) The primary regulator must send or deliver either—

(a) a written statement (a “statement of case”) in support of the referred action; or

(b) a written notification that it does not itself advance a case in support of the referred action,

so that it is received by the Upper Tribunal no later than 28 days after the day on which the primary regulator received from the Upper Tribunal the notification required by paragraph 3(4)(b).

(3) A primary regulator providing a written notification under sub-paragraph (2)(b) must send or deliver a copy to the secondary regulator and the applicant and upon so doing—

(a) the primary regulator shall not be required to take further steps in the proceedings unless the Upper Tribunal gives a direction to the contrary under rule 6; and

(b) the respondent shall be the secondary regulator unless the Upper Tribunal orders otherwise.

(4) The secondary regulator must send or deliver a written statement (“a statement of case”) in support of its decision to take the secondary regulator action so that it is received by the Upper Tribunal no later than 28 days after the day on which the secondary regulator received from the Upper Tribunal the notification required by paragraph 3(4)(b).

(5) A statement of case must—

(a) identify the statutory provisions providing for the referred action;

(b) state the reasons in support for the referred action; and

(6) A regulator must provide with the statement of case a list of—

(a) all documents on which it relies in support of the referred action;

(b) any further material which, in the opinion of the regulator, might undermine its decision to—

(i) in the case of a primary regulator; take the referred action; and

(ii) in the case of a secondary regulator; take the secondary regulator action.

(7) The primary regulator and the secondary regulator must send to the applicant and the other regulator a copy of any statement of case required by sub-paragraphs (2) and (4) above and of the list referred to in sub-paragraph (6).

Applicant’s reply

Secondary disclosure by a respondent

Exceptions to disclosure

Subsequent notices in relation to the referred action

References by third parties

Special provisions for immigration judicial review proceedings

Financial services cases and wholesale energy cases

Special procedure for providing notice of a refusal of permission to appeal in an asylum case

22A

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Notice of appeal

Response to the notice of appeal

Appellant's reply

References under the Forfeiture Act 1982

Cases transferred or referred to the Upper Tribunal, applications made directly to the Upper Tribunal , cases where an offence has been certified and proceedings without notice to a respondent

Financial services cases and wholesale energy cases

SCHEDULE A1 — Procedure in Quality Contracts Scheme cases

1

This Schedule applies to quality contracts scheme cases.

Notice of appeal

2

The appellant must send or deliver to the Upper Tribunal the notice of appeal together with the following materials —

(a) a copy of the notice of the decision being challenged;

(b) a copy of any separate written statement of reasons;

(c) copies of the most significant documents (or relevant extracts) on which the appellant relies in support of the grounds stated in its notice of appeal, including—

(i) the quality contracts scheme (or relevant extracts); and

(ii) any report of the QCS Board (or relevant extracts); and

(d) a list of the materials referred to in sub-paragraphs (a) to (c) and where such materials may be accessed (e.g. link to internet webpage).

3

The appellant must, at the same time as sending its notice of appeal to the Upper Tribunal in accordance with paragraph 2, send a copy of the notice of appeal and of the additional materials to the respondent.

4

The Upper Tribunal must send a copy of the notice of appeal and a copy of the list referred to in paragraph 2(d) to the appropriate national authority.

5

The Upper Tribunal may, upon receipt of the notice of appeal, direct the respondent to—

(a) give notice in at least one newspaper circulating in the area to which the scheme relates that a notice of appeal has been received;

(b) give written notice to the persons consulted under section 125(3) (notice and consultation requirements) of the Transport Act 2000 and (if the case may be) those not consulted under section 125(3) but who in the opinion of the QCS Board, under section 126D(1)(b) (consideration of proposed schemes by boards) of that Act, ought to have been so consulted, that a notice of appeal has been received;

(c) make arrangements for a place or website where copies of the notice of appeal and any response or reply and in each case their accompanying documents may be inspected;

(d) ensure that each notice provided for in sub-paragraphs (a) and (b) states—

(i) where copies of the notice of appeal and other documents relating to the proceedings may be inspected; and

(ii) where information about the procedure for applying to be added as a party may be found.

Response to the notice of appeal

6

A respondent must send or deliver to the Upper Tribunal its response to the notice of appeal together with the following materials —

(a) a copy of the most significant documents (or relevant extracts) on which the respondent relies in support of the response;

(b) a list of those documents.

7

The respondent must, at the same time as providing its response to the Upper Tribunal in accordance with paragraph 6, provide copies of that response and of those materials to—

(a) the appellant; and

(b) the appropriate national authority.

8

Any directions given by the Upper Tribunal to the respondent under paragraph 5 are also to be regarded as directions to the respondent to make available for inspection copies of its response and accompanying materials.

Appellant’s reply

9

The appellant must send or deliver to the Upper Tribunal its reply (if any) to a response under paragraph 6 together with the following materials—

(a) a copy of any additional documents (or relevant extracts) relied on in support of the reply;

(b) a list of those documents.

10

The appellant must, at the same time as providing its reply to the Upper Tribunal in accordance with paragraph 9, provide a copy of that reply and of those materials to the respondent.

11

The Upper Tribunal must send a copy of the appellant’s reply and a copy of the list of documents referred to in paragraph 9(b) to the appropriate national authority.

12

Any directions given by the Upper Tribunal to the respondent under paragraph 5 are also to be regarded as directions to the respondent to make available for inspection copies of the appellant’s reply and accompanying materials.

Adding further parties

13

Any person who wishes to be added as a party to the proceedings, and has given notice to the respondent that they received the notice of the appeal in consequence of a direction made under paragraph 5, must apply to the Upper Tribunal in accordance with rule 9 within 1 month of the date on which they received notice of the appeal.

14

Any application to be added as a party must state—

(a) the name and address of the person making the application;

(b) the name and address of the representative (if any) of that person;

(d) whether or not copies of the notice of appeal, any response and any reply has been inspected, along with their accompanying documents;

(e) whether the person making the application supports or opposes the appeal; and

(f) the grounds relied upon for adding the person as a party.

15

The person making the application must provide the following materials with the application—

(a) a copy of the most significant documents (or relevant extracts) on which the person relies in support of the application, if not already listed by a party; and

(b) a list of the documents referred to in sub-paragraph (a).

16

The Upper Tribunal must notify the parties of any application to be joined as a party and send a copy of the list of documents with the notification.

17

The Upper Tribunal may give further directions relating to any application to be added as a party and generally as to the conduct of the case.

Financial sanctions cases

26C

Schedule 4 makes provision for financial sanctions cases.

SCHEDULE 4 — Procedure in financial sanctions cases

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-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; orwere 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; orwere 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;

(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

(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 56 of the Investigatory Powers Act 2016; 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

Coronavirus temporary rule (decisions without a hearing)

5A

(1) Notwithstanding anything in rule 34 (decision with or without a hearing), the Upper Tribunal may make a decision which disposes of proceedings without a hearing if the Upper Tribunal considers that the conditions in paragraph (2) are satisfied.

(2) The conditions are—

(a) the matter is urgent;

(b) it is not reasonably practicable for there to be a hearing (including a hearing where the proceedings would be conducted wholly or partly as video proceedings or audio proceedings); and

(3) This rule does not prejudice any power of the Upper Tribunal to make a decision which disposes of proceedings without a hearing other than under this rule.

Procedure for applying for and giving directions

Failure to comply with rules etc.

Striking out a party's case

Addition, substitution and removal of parties

Orders for costs

Representatives

Calculating time

Sending and delivery of documents

Use of documents and information

Evidence and submissions

Summoning or citation of witnesses and orders to answer questions or produce documents

Withdrawal

Appeal treated as abandoned or finally determined in an asylum case or an immigration case

Notice of funding of legal services

Power to pay expenses and allowances

Procedure for applying for a stay of a decision pending an appeal

Coronavirus temporary rule (recording of remote hearings)

37A

(1) In the circumstances set out in paragraph (3), the Upper Tribunal must direct that the hearing be recorded, if practicable.

(2) Where the Upper Tribunal has made a direction under paragraph (1), it may direct the manner in which the hearing must be recorded.

(3) The circumstances referred to in paragraph (1) are that the hearing, or part of it, is—

(a) held in private under rule 37(2ZA); or

(b) only treated as held in public by virtue of a media representative being able to access the proceedings remotely while they are taking place.

(4) On the application of any person, any recording made pursuant to a direction under paragraph (1) is to be accessed with the consent of the Upper Tribunal in such manner as the Upper Tribunal may direct.

Hearings in a party's absence

Application for an authorised costs order

20B

(1) This rule applies to an application by a charity or charity trustees of a charity for an order under section 324A (power to authorise costs to be incurred in relation to proceedings) of the Charities Act 2011 (“authorised costs order”).

(2) An applicant for an authorised costs order must start proceedings before the Upper Tribunal by sending or delivering to the Upper Tribunal an application which must include—

(a) the name and address of the applicant;

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

(d) the name and address of any respondent and any other interested party in the proceedings to which the application relates;

(e) details of the proceedings brought, or proposed to be brought, before the Upper Tribunal to which the application relates with details (including the full reference) of the decision challenged;

(f) a copy of any authorised costs order or refusal of any authorised costs order made by the First-tier Tribunal;

(g) the result the applicant is seeking;

(h) the grounds on which the applicant relies;

(i) whether the applicant wants the application to be determined at a hearing; and

(j) any further information or documents required by a practice direction.

(3) The applicant must send or deliver a copy of the application (but need not send the further information or documents referred to in paragraph (2)(j)) to the respondent and any other interested party in the proceedings to which the application relates at the same time as it provides the application to the Upper Tribunal.

(4) In this rule, references to “charity” and “charity trustees” have the meanings given by the Charities Act 2011.

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