Statutory Instrument 1999 No. 265

The Education (Registered Inspectors of Schools Appeal Tribunal and Registered Nursery Education Inspectors Appeal Tribunal) (Procedure) Regulations 1999

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(a) section 9(1) of the 1996 Act[5], or

(b) paragraph 10(1) of Schedule 26 to the 1998 Act;

"appellant" means a person who brings an appeal;

"Chairman" means the Chairman of the Tribunal;

"Chief Inspector" means-

(a) in the case of an appeal under section 9(1) of the 1996 Act,


(i) relating to registration in the register, or as the case may be enrolment in the list, kept by the Chief Inspector for England, the Chief Inspector for England; and

(ii) relating to registration in the register, or as the case may be enrolment in the list kept by the Chief Inspector for Wales, the Chief Inspector for Wales;



(b) in the case of an appeal under paragraph 10(1) of Schedule 26 to the 1998 Act,



(i) relating to registration in the register maintained by the Chief Inspector of Schools in England, the Chief Inspector of Schools in England; and

(ii) relating to registration in the register maintained by the Chief Inspector of Schools in Wales, the Chief Inspector of Schools in Wales;

"costs" includes fees, charges, disbursements, expenses and remuneration;

"disputed decision" means the matter in relation to which the appellant appeals or intending appellant desires to appeal to the Tribunal;

"proper officer" in relation to a regulation means an officer or servant of the Tribunal appointed by the Chairman to perform the duties of a proper officer under that regulation;

"the register" except in relation to the definition of Chief Inspector, means the register kept by a proper officer of the Tribunal;

"Registered Inspectors of Schools Appeal Tribunal" means a tribunal constituted in accordance with Schedule 2 to the 1996 Act to hear appeals under section 9 of that Act;

"Registered Nursery Education Inspectors Appeal Tribunal" means a tribunal constituted in accordance with paragraph 10(2) of Schedule 26 to the 1998 Act to hear appeals under sub-paragraph (1) of that paragraph;

"the Tribunal" means-

(a) in the case of an appeal under section 9(1) of the 1996 Act, the Registered Inspectors of Schools Appeal Tribunal;

(b) in the case of an appeal under paragraph 10(1) of Schedule 26 to the 1998 Act, the Registered Nursery Education Inspectors Appeal Tribunal.

    (3) A copy of the disputed decision shall be attached to the notice of appeal.

    (4) The appellant or his representative shall sign the notice of appeal.

    (5) A proper officer of the Tribunal will acknowledge the receipt of the notice of appeal and will inform the appellant or his representative of any further steps which he must take to enable the tribunal to determine the appeal, and the time and place of the hearing of the appeal.

Time limit for appealing
     4.  - (1) Subject to paragraph (2) below, a notice of appeal shall not be valid unless it is served on the Tribunal within twenty-eight days of the date on which the notice or notification relating to the disputed decision was served on or given to the appellant.

    (2) The Tribunal may accept a notice of appeal served after expiry of the period permitted by paragraph (1) above if it is of the opinion that, by reason of special circumstances, it is just and right to do so.

Amendment of notice of appeal and delivery of supplementary grounds of appeal
     5.  - (1) The appellant may, at any time before he is notified of the date of the hearing of the appeal, amend his notice of appeal or deliver a supplementary statement of grounds of appeal.

    (2) The appellant may amend any notice of appeal or supplementary statement of grounds of appeal with the leave of the Tribunal at any time after he has been notified of the date of the hearing of the appeal or at the hearing itself. The Tribunal may grant such leave on such terms as it thinks fit, including the payment of costs.

    (3) The appellant shall send a copy of every amendment and supplementary statement to the Tribunal.

Application for directions
     6. The appellant may apply to the Tribunal to give directions about any matter relating to the hearing of his appeal. An application for directions shall be made in writing to the Tribunal with sufficient copies to enable the Tribunal to serve a copy on the other party.

Withdrawal of appeal
     7.  - (1) The appellant may:

(a) at any time before the hearing of the appeal withdraw his appeal by sending to the Tribunal a notice stating that he withdraws his appeal, signed by him or his representative;

(b) at the hearing of the appeal, with the leave of the Tribunal, withdraw his appeal.

    (2) Where an appeal is withdrawn, a fresh appeal may not be brought in relation to the same decision except with the leave of the Tribunal.

Action of appellant on receipt of notice of hearing
     8.  - (1) A proper officer will serve on the appellant a notice informing him of the time and place of any oral hearing which is to be held which, unless the parties otherwise agree, shall not be earlier than twenty-one days after the date on which the notice is sent. Such notice will include, in a form approved by the Chairman, guidance regarding the rules of evidence and procedure which apply to the hearing.

    (2) When he receives the notice of the time and place of hearing, the appellant shall inform the Tribunal whether or not he intends to attend or be represented at the hearing and whether or not he intends to call witnesses.

    (3) If the appellant does not intend to attend or be represented at the hearing, he may send to the Tribunal additional written representations in support of his appeal.

Representation at hearing
     9. At the hearing of an appeal, the appellant may conduct the case himself (with assistance from any person if he wishes) or may be represented by any person whom he may appoint for the purpose, whether or not he has notified the Tribunal of that person's name and address under regulation 3(2)(c).

    (5) The provisions of paragraph (3) of regulation 14 shall apply in relation to any document required by paragraph (2) above to be included with the reply.

Amendment of reply and application for directions by the Chief Inspector
     11.  - (1) The Chief Inspector may at any time before he is notified of the date of the hearing of the appeal amend his reply or deliver a supplementary statement by way of reply.

    (2) The Chief Inspector may amend any reply or supplementary statement with the leave of the Tribunal at any time after he has been notified of the date of the hearing of the appeal or at the hearing itself. The Tribunal may grant such leave on such terms as it thinks fit, including the payment of costs.

    (3) The Chief Inspector may apply to the Tribunal to give directions as to any matter relating to the hearing of the appeal.

    (4) The Chief Inspector shall send a copy of every amendment and supplementary statement to the Tribunal.

Failure to reply and absence of opposition
     12. If no reply is received by the Tribunal within the time appointed by regulation 10(3) or any extension of time allowed by the Tribunal, or if the Chief Inspector states in writing that he does not resist the appeal, or withdraws his opposition to the appeal, the Tribunal may determine the appeal on the basis of the notice of appeal without a hearing.

Representation at, and action of the Chief Inspector on notification of, hearing
     13.  - (1) At the hearing of an appeal, the Chief Inspector may be represented by counsel or a solicitor or a member of his staff.

    (2) When he receives a notice of the time and place of the hearing of the appeal, the Chief Inspector shall inform the Tribunal whether or not he intends to attend or be represented at the hearing, and whether or not he intends to call witnesses.

    (3) If the Chief Inspector does not intend to attend or be represented at the hearing, he may send to the Tribunal additional written representations in support of his reply.

    (3) If any document referred to in paragraph (2) contains any matter that relates to intimate personal or financial circumstances, is commercially sensitive, or consists of information communicated or obtained in confidence and for that reason the Chief Inspector seeks to restrict its disclosure, he shall inform the Tribunal of that fact and of his reasons for seeking such a restriction. In any such case the proper officer shall serve the copies as provided in this regulation only in accordance with the directions of the Tribunal.

Directions in preparation for a hearing
     15.  - (1) The Tribunal may at any time, on the application of a party or of its own motion, give such directions (including the issue of a witness summons) as are provided in this Part of these Regulations to enable the parties to prepare for the hearing or to assist the Tribunal to determine the issues:

Provided that:-

(a) no person shall be compelled to give any evidence or produce any document or other material that he could not be compelled to give or produce at a trial of an action in a court of law in England or Wales; and

(b) in exercising the powers conferred by this regulation, the Tribunal shall take into account the need to protect any matter that relates to intimate personal or financial circumstances, is commercially sensitive, or consists of information communicated or obtained in confidence.

    (2) An application by a party for directions shall be made in writing to the Tribunal and, unless it is accompanied by the written consent of the other party, shall be served by the Tribunal on the other party. If the other party objects to the directions sought, the Tribunal shall consider the objection and, if it considers it necessary for the determination of the application, shall give the parties an opportunity of appearing before it.

    (3) A direction shall include a statement of the possible consequences for the appeal, as provided by regulation 19, of a party's failure to comply with the direction within the time allowed by the Tribunal.

Particulars and supplementary statements
     16. The Tribunal may give directions requiring either party to provide any particulars or supplementary statements as may be reasonably required for the determination of the appeal within such time as the Tribunal may allow.

Disclosure of documents and other material
     17. The Tribunal may give directions requiring a party to deliver to the Tribunal within such time as the Tribunal may allow any document or other material which the Tribunal may require and which it is in the power of the party to deliver. The Tribunal shall make such provision as it thinks necessary to supply copies of any document obtained under this regulation to the other party, and it shall be a condition of such supply that a party shall use such a document only for the purposes of the appeal.

Summoning of witnesses
     18.  - (1) The Tribunal may by summons require any person in England or Wales to attend as a witness at a hearing of an appeal at such time and place as may be specified in the summons and, subject to the proviso to regulation 15(1), at the hearing to answer any questions or produce any documents in his custody or under his control which relate to any matter in question in the appeal:

Provided that:-

(a) no person shall be required to attend in obedience to such a summons unless he has been given at least seven days' notice of hearing or, if less than seven days, has informed the Tribunal that he accepts such notice as he has been given; and

(b) no person, other than the appellant or the Chief Inspector or a member of his staff, shall be required in obedience to such a summons to attend and give evidence or produce any document unless the necessary expenses of his attendance are paid or tendered to him.

Failure to comply with certain directions
     19. If any directions given to a party under this Part of these Regulations are not complied with by that party, the Tribunal may, before or at the hearing, dismiss the whole or part of the appeal or, as the case may be, strike out the whole or part of the Chief Inspector's reply and, where appropriate, direct that the Chief Inspector shall be debarred from contesting the appeal altogether:

Provided that the Tribunal shall not so dismiss or strike out or give such a direction unless it has sent notice to the party who has not complied with the direction giving him an opportunity within a period of not less than twenty-one days to explain why it should not do so.

Varying or setting aside of directions
     20. Where a person to whom a direction (including any summons) issued under this Part of these Regulations is addressed had no opportunity of objecting to the making of such direction, he may apply to the Tribunal to vary it or set it aside, but the Tribunal shall not do so without first notifying the person who applied for the direction and considering any representations made by him.

Notice of place and time of hearing
     21.  - (1) A proper officer shall, with due regard to the convenience of the parties, appoint a time and place for an oral hearing and, not less than twenty-one days before the date so fixed (or such shorter time as the parties agree), send to each party a notice of the hearing at such time and place.

    (2) The proper officer shall include in or with the notice of hearing:

(a) information and guidance, in a form approved by the Chairman, as to attendance at the hearing of the parties and witnesses, the bringing of documents, and the right of representation by another person;

(b) a statement of the right of the parties to ask for and to receive reasons in writing for a decision of the Tribunal;

(c) a statement explaining the possible consequences of non-attendance and of the right of any party who does not attend and is not represented, to make representations in writing.

    (3) The Tribunal may alter the time and place of any oral hearing and the proper officer shall give the parties not less than seven days (or such shorter time as the parties agree) notice of any such alteration:

Provided that any altered hearing date shall not (unless the parties agree) be before the date notified under paragraph (1) of this regulation.

    (4) The Tribunal may from time to time adjourn the oral hearing and, if the time and place of the adjourned hearing are announced before the adjournment, no further notice shall be required.

[2] 1998 c. 31.back

[3] 1992 c. 53.back

[4] S.I. 1994/717.back

[5] Appeal under section 9(1) is available in relation to registration under section 7 of the 1996 Act, and to persons so registered, or, by virtue of section 3A(5) of that Act, in relation to enrolment under section 3A, and to persons so enrolled. Section 3A was inserted by paragraph 4(2) of Schedule 28 to the 1998 Act.back