This snapshot, taken on
05/08/2009
, shows web content acquired for preservation by The National Archives. External links, forms and search may not work in archived websites and contact details are likely to be out of date.
 
 
The UK Government Web Archive does not use cookies but some may be left in your browser from archived websites.

Insolvency Practitioners Tribunal

Department of Trade and Industry

K1 Brief description of the tribunal's business. Sole function to deal with cases referred by the Secretary of State at the request of individuals in respect of a refusal to grant or intention to withdraw authorisation to act as an insolvency practitioner under the Insolvency Act 1986.
K2 Cases received:
Total disposals in the year:
     Disputes resolved:
     Otherwise disposed of:
Pending at the end of the year:
1
0
0
0
1
K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Has four months in which to submit its report to the Secretary of State. Can exceptionally request an extension.

There are no statutory time limits for implementing the tribunal's decision. In practical terms, the Tribunal's report will be implemented with immediate or very early effect (concurring with the Secretary of State means a practitioner is not authorised, or an insolvency practitioner's authorisation should be withdrawn. Requiring the Secretary of State to grant authorisation or not to withdraw an authorisation would generally be put into effect within seven days.

K4 For appeal tribunals, the percentage of appeals which succeed. In 13.5% (three out of 22 cases) of cases, the tribunal reported that the appropriate decision would be to authorise the applicant.
K5 Managerial structures for the tribunal administration: There is no statutory provision for the administration of the tribunal. From the time of its inception in 1986 until 1994, administrative support was provided by a retired civil servant. In 1994 the function was transferred to the Insolvency Service's HQ Secretariat.

The IPT is currently supported by an Insolvency Service B1 member of staff, who provides administrative support on an ad hoc basis, and who has recourse to a member of staff at D1 grade should any problems arise.

K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? All reports of the tribunal are closely considered by officials in Insolvency Practitioner Section (IPS) which is responsible for taking decisions on whether or not to applicants should be authorised to act as an insolvency practitioner. General issues arising are referred for consideration to DTI Legal Services.

IPS refer to tribunal reports to inform and make consistent the decision-making process.

Some anonymised transcripts are available to potential applicants and their advisors.

K7 Nature and scope of current ICT systems, and any major plans for improvement. Recommendations have been made for increased use of e-mail, creation of a website, and an investigation into using electronic documents at oral hearings, doing away with the need for bundles of papers.
K8 How the tribunal(s) fit in the department's Modernising Government strategy. IPT included in Insolvency Service's Modernising Government Action Plan, which identified the need for reviews of the IPT every five years to ensure its practices and procedures deliver best practice, and suggested ways to improve the identification and selection of suitable members to the IPT.
K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. Usually an Insolvency Service B1 member of staff; currently vacancy unfilled so IS B2 on an ad hoc basis.

Recourse to a D1 member of staff should any problems arise with the administration.

Staffing arrangements can be altered to meet any influx of work.

K12 Performance and user satisfaction measures in the tribunal. 4 months provision to complete report closely monitored. Given the small number of cases, it is not considered appropriate to set up a user satisfaction procedure.
K13 Arrangements for assistance for users, legal or otherwise (including legal aid). "Guide to IPT" issued to applicants on receipt of referral. Administrators aim to assist parties with queries about legislation, procedure etc.

No current legal aid provision, but this is under consideration.

K14 Arrangements for providing hearings (including their locations). Tribunal considers representations and sets out in writing proposed manner of investigation. If it deems an oral hearing is required, venue sought. Last two used were the Lands Tribunal (London) and the Combined Tax Tribunal (London) premises.
K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements. The tribunal's practices and procedures have been reviewed for conformity to ECHR requirements by way of a Quinquennial Review of the tribunal. The Quinquennial Review report will be published shortly.
K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Two panels of members. First panel of lawyers of seven years' general standing, nominated by the Lord Chancellor (or Lord President of the Court of Session in Scotland). Able to act as Chairmen.

Second panel: persons experienced in insolvency matters nominated by the Secretary of State.

Tribunal consists of chairman and two members, selected by the Deputy Inspector General on behalf of the Secretary of State.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time; and rates of pay. 9 members of first panel (316 per day)
14 members of second panel

Caseload is such that only a few days are sat in any one year.

K18 Arrangements for training tribunal members, the approach to and content of training. No formal system. Home Office provided guidance on the HRA, and chairmen offered private training courses.
K19 Arrangements for staff training. No formal system. At desk training will be given on the role and scope of the IPT, and the requirements for administrative support.
K20 Resources expended on:  
a Tribunal member salaries and expenses 16,289.82
b staff salaries and expenses 0
c system administration 9,424.90 (plus 65,198.91 expenditure on Treasury Solicitor/Counsel)
d Accommodation; 558
e tribunal member training 0
f staff training 0
  TOTAL: 91,471.63

Comptroller-General of Patents, Designs and Trademarks

Department of Trade and Industry

K1 Brief description of the tribunal's business. Hears a range of disputes in the field of trade marks, patents, registered designs and unregistered design rights.
K2 Cases received:
Total disposals in the year:
     Disputes resolved:
     Otherwise disposed of:
Pending at the end of the year:
Case Type Decided Rec'd W'drawn/ Settled Pending
Patents Inter Partes 68 56 27 132
Ex Parte 18 28 NA 2
Designs Inter Partes 9 10 2 23
Ex Parte 2 2 NA 0
Trade Marks Inter Partes 479 1839 1380 3974
Ex Parte 4440 4133 21 1836
K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Ranges from 4-6 weeks for an ex parte registered designs hearing to 35 months for an inter partes trade mark hearing.
K4 For appeal tribunals, the percentage of appeals which succeed. Not an appeal tribunal
K5 Managerial structures for the tribunal administration: Functions, aims, objectives, accountability for Patent Office Executive Agency and Trading Fund set out in the Framework Document. Requires Chief Executive to prepare a Corporate Plan, setting out programme of work for coming five years, with specific objectives for the first year. Chief Executive also required to produce an Annual Report and Accounts.
K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Decisions that change practice, procedure or interpretation of the law are fed back immediately into training manuals, desk instructions, personal action plans of the staff involved in the administration of the intellectual property system.

If a Hearing Officer determines that the meaning of a rule produces negative, inconvenient or generally undesirable results, that outcome can be fed immediately and directly back into the policy-making area of the office.

All substantial changes in policy or legislation flowing from tribunal decisions are the subject of wide consultation.

K7 Nature and scope of current ICT systems, and any major plans for improvement. All Patent Office staff have networked PCs with Internet access. Hearing Officers (and some support staff) have networked online access to tools and material such as LEXIS, Civil Procedure etc.

Office has facilities for use of IT during hearings (access to evidence in electronic format) but this has not yet been required.

Office is developing case management systems, which are to be accessed by tribunal users.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. Patent Office Corporate Plan structured around the five key strategic drivers of the Modernising Government White Paper.

Consultation on speeding up and simplifying proceedings following Woolf report. Customer-orientated approach. Amended rules came into force in 1999.

Agency targets and customer service standards are published and reported on a quarterly basis. Internal standards for tribunal.

K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 1 x SEO
4 x HEO
7 x EO
21 x AO
9 x AA

4 x AO contract staff in London front office.

K12 Performance and user satisfaction measures in the tribunal. Patent Office, as Executive Agency, regularly reviewed by, for eg, NAO, KPMG. Currently undergoing Quinquennial Review.

Feedback system encourages compliments and complaints. Patent Office sends out annual survey to 600 customers.

Wide consultation: informal practice working groups, formal fora, eg Standing Advisory Committee on Industrial Property.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Open between 7.30am and 6.30pm. Staff available to provide assistance on wide range of matters.

Recent trial of a voicemail system for users when the office is closed. Responses following working day. Staff may also be contacted by e-mail.

Patent Office website provides information on tribunal practices and procedures.

Legal aid not currently available.

K14 Arrangements for providing hearings (including their locations). In trade mark cases the office fixes a date for a hearing. In all other cases parties consult each other and select date for a hearing (within a specified window of time). Hearings usually in Patent Office sites in London and Newport. Occasionally in regions at parties' request.

(Preliminary) hearings can be held by videoconference between London and Newport, or other sites with compatible equipment. Also have facilities for telephone conferencing.

Parties have the right to submit written representations in lieu of attending.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements. Review of law and procedures, helped by DTI lawyers and DTI Business Law Unit. Contact with CoT and JSB.

Staff, including Hearing Officers, being trained on HRA implications.

K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Hearing Officers are established Civil Servants within the Patent Office, appointed after fair and open competition and trained in intellectual property matters. (On patents, members usually have 20 years specialist experience before appointment.)
K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. Patents:
3 Divisional Directors (inter partes and ex parte)
15 Deputy Directors (ex parte only)
Assistant Director and Senior Legal Advisor (ex parte procedural matters)

Trade Marks:
10 Principle Hearing Officers (inter partes)
6 Hearing Officers (inter partes procedural matters)
16 Hearing Officers (ex parte)

Designs:
Assistant Registrar (ex parte and non complex inter partes)
2 HEOs (ex parte only)

K18 Arrangements for training tribunal members, and the approach to and content of training. Hearing Officers civil servants with experience in intellectual property. Varied training.

Ex parte hearings: variety of initial training, including attendance at courses (internal, external), mentoring, working under supervision, academic, vocational training. Courses provide ongoing training to enable members to be kept up-to-date.

Inter partes: usually a more academic training programme: a lecture course from visiting speakers (eg IP law unit at Queen Mary and Westfield College), dealing with basic legal concepts and practical aspects of the work (incorporating videos, case studies etc). Detailed manual also available.

Training on HRA.

JSB training, such as Tribunal Chairman Skills, Train-the-trainer.

K19 Arrangements for staff training. An Investor in People organisation. Training tailored to individual needs, linked to business needs of the tribunal.

Generic training includes Internet training, familiarisation with rule changes, circulation of precedents. Desk training, external seminars and courses. Formal training "away days" held once or twice a year.

Examination and support staff attend hearings as part of their training and development. Staff undertaking hearing clerk duties attend hearings at all levels.

K20 Resources expended on:  
a tribunal member salaries and expenses 1,817,000 (estimated) for salaries for members and administrators, and system administration.
b staff salaries and expenses see a , above
c system administration see a, above
d accommodation; 300,000 (estimated)
e tribunal member training n/a
f staff training 12,000
  TOTAL: n/a

Copyright Tribunal

Department of Trade and Industry

K1 Brief description of the tribunal's business. To decide, where the parties cannot agree between themselves, the terms and conditions of licences offered by, or licensing schemes operated by, collective licensing bodies in the copyright and related rights area.
K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year:
5
19
4
15
21
K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Time taken largely dictated by the parties, who often continue to negotiate.
K4 For appeal tribunals, the percentage of appeals which succeed. Not an appeal tribunal.
K5 Managerial structures for the tribunal administration: Secretariat provided by Copyright Directorate of the Patent Office. This normally means the part-time involvement of one member of staff who acts as Secretary. Other members assist when hearings occur.
K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Policy-makers in the copyright community are aware of the very few Tribunal outcomes. Location of the secretariat within Copyright Directorate facilitates this process. No special arrangements for feedback.
K7 Nature and scope of current ICT systems, and any major plans for improvement. Secretary has full access to a networked PC with Internet access. Case management system will be considered once a similar system is on stream for the Comptroller-General of Patents.
K8 How the tribunal(s) fit in the department's Modernising Government strategy. Patent Office Corporate Plan structured around the five key strategic drivers of the Modernising Government White Paper.
K9 Numbers, and grades of staff engaged on providing administrative support to the tribunal. 1 x HEO (p/t)
Other support as necessary.
K12 Performance and user satisfaction measures in the tribunal. Next Quinquennial review due in 2001.

Parties may make informal representations to the Copyright Directorate about procedures. Tribunal Rules currently being revised and a consultation paper will be issued to, among others, parties who have appeared before the tribunal.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Secretary gives guidance on procedures etc. Information about the tribunal is provided on website and in booklet form. Copyright Directorate staff are available to explain the role of the tribunal etc, but cannot give advice on specific issues.

Legal aid not currently available.

K14 Arrangements for providing hearings (including their locations). Hearing times agreed between tribunal and parties. Held in Patent Office accommodation in London, but could be elsewhere if , for example, larger accommodation was needed, or if the parties asked for a hearing outside London.

External shorthand writers provide transcripts.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. Courses attended (Chairman's provided by the JSB). Nature of tribunal means unlikely to attract HR issues.
K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Chairman and two Deputy Chairmen are appointed by the Lord Chancellor (barrister or solicitor of seven years' standing).

Members (between two and eight) are appointed by the Secretary of State for Trade and Industry. Appointments procedure follows Cabinet Office guidance on public appointments.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time; and rates of pay. 1 Chairman - averaging 5-10 days sitting per year (316 per day)

2 Deputy Chairmen - averaging 5-10 days per year (316 per day)

7 Members - averaging 0-10 days per year (186 per day)

K18 Arrangements for training tribunal members, and the approach to and content of training. No formal training. Chairman of a hearing will guide members. New members invited to sit in on a hearing.

Specific training when required - eg HRA training for the Chairman.

K19 Arrangements for staff training. An Investor in People organisation. Training tailored to individual needs, linked to business needs of the tribunal.

Secretary's Handbook for the guidance of staff.

K20 Resources expended on:  
a tribunal member salaries and expenses 9,000
b staff salaries and expenses n/a
c system administration 75,000
d accommodation; n/a
e tribunal member training 1,500
f staff training n/a
  TOTAL: 85,500

Patent and Trade Mark Agents Tribunal

Department of Trade and Industry

K1 Brief description of the tribunal's business. Hears appeals against accusations of misconduct raised against Patent and Trade Mark Agents, and applications for restoration.
K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year:
On average, one case is dealt with per year.
K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Most cases take six months to assess the evidence. Advice is always sought from DTI Legal before a decision is taken to hold an inquiry. Over the last few years only one case has gone to the Secretary of State. This took four years (the decision is still to be issued by DTI Legal) but was unusual, as there was a related High Court action at the same time. The delay was due to evidence not being made available to the tribunal for some time.
K4 For appeal tribunals, the percentage of appeals which succeed. Not applicable.
K5 Managerial structures for the tribunal administration: DTI official (HEO level), in conjunction with DTI Legal, establishes whether prima facie grounds of misconduct. Authorisation for an appeal sought from the Director-General of Corporate and Consumer Affairs. Secretary of State is represented in enquiries by a senior Patent Office official.
K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Institutes are notified of the outcomes of relevant cases. Reasoned decisions given only if a person's name is to be removed from the register. Relevant operational directorates of the Patent Office are also advised of decisions.
K7 Nature and scope of current ICT systems, and any major plans for improvement. All Patent Office staff have their own networked PCs, with Internet access. Access to specialist software such as LEXIS.

Small number of cases, so electronic diary system used for record keeping.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. All Patent Office functions carried out in line with Modernising Government Agenda. Office three-time winner of the Charter Mark award. Agency Targets and Customer Service standards are published and reported against quarterly. Internal standards in all directorates - including those responsible for the tribunal. Fully developed IT strategy, geared to delivery of government targets for e-commerce.
K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 1xHEO (part-time)
1xAA (ad hoc basis)

Senior official from Patent Office becomes involved if an inquiry is conducted.

K12 Performance and user satisfaction measures in the tribunal. Patent Office: Feedback system encourages compliments and complaints. Annual survey of 600 customers.

Range of mechanisms for consulting on changes to procedures (informal working groups, formal consultation fora, seminars).

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Staff available to provide information on a range of matters. Use of e-mail encouraged.

Legal aid is not available.

K14 Arrangements for providing hearings (including their locations). Hearing appointed if agent wishes to make oral representations. Can be held at Patent Office sites in London and Newport.

Video-conferencing is available.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements. Review of tribunal being undertaken by Patent Office, DTI Legal Services, CIPA, ITMA in light of 10 years' experience.
K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Director of Intellectual Property Policy Division normally appointed to hold an inquiry. Policy Directorate separate from the operational directorates of the Patent Office.
K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. Director of Intellectual Property Policy Division forms the tribunal, and may be assisted by an officer at HEO level. DTI Legal Services may also attend the hearing.
K18 Arrangements for training tribunal members, and the approach to and content of training. Patent Office an Investor in People, with accreditation for the quality of training and development. Specific tribunal training on HRA implications provided. Guidance notes available on the tribunal. Training is desk-based. Training section arrange specialist training tailored for needs of individuals. Access to external training.
K19 Arrangements for staff training. Support staff are trained as above and have same access to courses. Line management takes fulfilment of training needs seriously.
K20 Resources expended on:  
a tribunal member salaries and expenses Information not provided.
b staff salaries and expenses 4116
c system administration Information not provided.
d accommodation; Information not provided.
e tribunal member training Information not provided.
f staff training Information not provided.
  TOTAL: Information not provided.

Consumer Credit Licensing Appeals

Department of Trade and Industry

K1 Brief description of the tribunal's business. Hears appeals to the Secretary of State under the Consumer Credit Act 1974 when an appeal is made against a decision by the Director-General of Fair Trading not to issue, or to revoke, a licence to carry on regulated consumer credit or consumer hire business.

The jurisdiction covers the whole of the United Kingdom.

K2
Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year:
Typical figures:
4 to 6
4 to 5
2 to 3
2 to 3
1 or 2.
K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. An average of 26 weeks from the date of the appeal until the date of the Secretary of States' decision.
K4 For appeal tribunals, the percentage of appeals which succeed. 25%
K5 Managerial structures for the tribunal administration: Administration undertaken by an Appeals Secretariat ( Endnote 1 )staffed by officials from DTI's Legal Services. Part-time administrator handles administrative and policy work on appeals, supervised by a Legal Adviser and Legal Director.
K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Appeals Secretariat is located within the team of legal advisors responsible for advising on consumer credit and estate agency matters. Issues, whether legal or administrative, that may become apparent in the course of an appeal and may call for action, can be acted on directly by the Appeals Secretariat or referred to the relevant policy section of the Department, or to the Office of Fair Trading.
K7 Nature and scope of current ICT systems, and any major plans for improvement. The Appeals Secretariat uses the DTI IT system. Small caseload such that a dedicated IT system is unlikely to be cost-effective.
K8 How the tribunal(s) fit in the department's Modernising Government strategy. Work of the Appeals Secretariat too small an element of DTI business to feature specifically in the Modernising Government Action Plan. That said, reform of the two appeal systems ( Endnote 2 ) currently being considered and stemming in part from the coming into force of the HRA will have a strong customer focus and draw on Modernising Government best practice.
K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 1xRange 8 (part-time) advised by a Range 10, and Range 11 lawyer, as necessary.
K12 Performance and user satisfaction measures in the tribunal. No formal performance and user-satisfaction measures.

Changes to procedure preceded by consultation with Office of Fair Trading and bodies representing types of business from which appellants are typically drawn.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Secretariat available to advise appellants and potential appellants.

Legal aid is not generally available.

K14 Arrangements for providing hearings (including their locations). Policy to hold hearings at centres reasonably close to the appellant's place of business. Secretariat hires suitable premises from other tribunals as necessary.
K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements. Review of HRA implications was begun in 2000.
K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. A number of new panel members were appointed by the Secretary of State in 1998/99 following advertising in line with OCPA guidance. Earlier appointments, including those of legally-qualified chairmen, followed nominations from the Public Appointment Unit at the Cabinet Office.
K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time; and rates of pay. 25 members - each might sit once or twice a year or less (339 per day for chairmen, 198 per day for members. Separate fees of 170 and 99 for days spent studying papers.).
K18 Arrangements for training tribunal members, and the approach to and content of training. A guide for panel members is available (and is shortly to be reviewed). Occasional training seminars (last in 1995, further one is planned).
K19 Arrangements for staff training. Training for staff in the Appeals Secretariat is provided by DTI.
K20 Resources expended on:  
a tribunal member salaries and expenses 8-15,000 per year ( Endnote 3 )
b staff salaries and expenses 40,000 for all DTI's associated costs
c system administration
d accommodation;
e tribunal member training
f Staff training
  TOTAL: 48-55,000

Endnotes:

  1. The Secretariat services both this appeal system and Estate Agent Appeals.

  2. The Consumer Credit and Estate Agents Appeal Systems.

  3. All resource figures cover Consumer Credit and Estate Agents Appeals.

Estate Agents Appeals

Department of Trade and Industry

K1 Brief description of the tribunal's business. Hears appeals to the Secretary of State under the Estate Agents Act 1974. A person can bring a case when subject to an order prohibiting a person from acting as an estate agent, or a warning order.
K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year:
Approximately one appeal every two years. Generalisation difficult.
K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. An average of 36 weeks for the three cases received in the last five years.
K4 For appeal tribunals, the percentage of appeals which succeed. None of the three appeals received in the last five years has succeeded.
K5 Managerial structures for the tribunal administration: Administration undertaken by an Appeals Secretariat ( Endnote 1 )staffed by officials from DTI's Legal Services. Part-time administrator handles administrative and policy work on appeals, supervised by a Legal Adviser and Legal Director.
K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Appeals Secretariat is located within the team of legal advisors responsible for advising on consumer credit and estate agency matters. Issues, whether legal or administrative, that may become apparent in the course of an appeal and may call for action, can be acted on directly by the Appeals Secretariat or referred to the relevant policy section of the Department, or to the Office of Fair Trading.
K7 Nature and scope of current ICT systems, and any major plans for improvement. The Appeals Secretariat uses the DTI IT system. Small caseload such that a dedicated IT system is unlikely to be cost-effective.
K8 How the tribunal(s) fit in the department's Modernising Government strategy. Work of the Appeals Secretariat too small an element of DTI business to feature specifically in the Modernising Government Action Plan. That said, reform of the two appeal systems ( Endnote 2 )currently being considered and stemming in part from the coming into force of the HRA will have a strong customer focus and draw on Modernising Government best practice.
K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 1xRange 8 (part-time) advised by a Range 10, and Range 11 lawyer, as necessary.
K12 Performance and user satisfaction measures in the tribunal. No formal performance and user-satisfaction measures.

Changes to procedure preceded by consultation with Office of Fair Trading and bodies representing types of business from which appellants are typically drawn.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Secretariat available to advise appellants and potential appellants.

Legal aid is not generally available.

K14 Arrangements for providing hearings (including their locations). Policy to hold hearings at centres reasonably close to the appellant's place of business. Secretariat hires suitable premises from other tribunals as necessary.
K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. Review of HRA implications was begun in 2000.
K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Appointments are made by the Secretary of State. Current appointments are of long-standing and followed nominations from the Public Appointments Unit at the Cabinet Office.
K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. 17 members - each might sit once or twice a year or less (339 per day for chairmen, 198 per day for members. Separate fees of 170 and 99 for days spent studying papers.).
K18 Arrangements for training tribunal members, and the approach to and content of training. A guide for panel members is available (and is shortly to be reviewed). Occasional training seminars (last in 1995, further one is planned).
K19 Arrangements for staff training. Training for staff in the Appeals Secretariat is provided by DTI.
K20 Resources expended on:  
a tribunal member salaries and expenses 8-15,000 per year ( Endnote 3 )
b staff salaries and expenses 40,000 for all DTI's associated costs
c system administration
d accommodation;
e tribunal member training
f staff training
  TOTAL: 48-55,000 per year

Endnotes:

  1. The secretariat services both this appeal system and Estate Agents Appeals.

  2. The Consumer Credit and Estate Agents Appeal systems.

  3. All resource figures cover Consumer Credit and Estate Agents Appeals.

Employment Tribunals

Department of Trade and Industry

K1 Brief description of the tribunal's business. Determines disputes relating mainly to individual employment rights. They have jurisdiction to determine over 50 types of complaint, including complaints of unfair dismissal, race, sex and disability discrimination, unlawful deduction of wages, breach of contract and redundancy pay.
K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year:
103,935
83,409
n/a
n/a
n/a
K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Median time spent in the system was 17.5 weeks from receipt of application to issue of formal decision.
K4 For appeal tribunals, the percentage of appeals which succeed. Not an appeal tribunal.
K5 Managerial structures for the tribunal administration: Administrative support provided by the Employment Tribunals Service, an executive agency of the DTI.
K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Tribunal decisions are seen by DTI, and those which impact on policy or legislation are considered by officials with responsibility for tribunals and/or employment legislation. DTI is in regular contact with the tribunal President, and with key user groups such as employer organisations and trades unions to discuss the workings of the system. Similarly, the President is consulted over proposed legislative changes.
K7 Nature and scope of current ICT systems, and any major plans for improvement. Approximately 1.5m invested in replacing hardware over the last two years. All staff and full-time chairmen have access to a PC. Internet access available in selected offices, to be rolled out early in 2001.

PCs provide access to case management system, RITAS, and, for, full-time chairmen, access to all decisions of the Employment Appeals Tribunal.

Two-to-three year strategy for IT improvements. Will see:

  • the introduction of voice-recognition software,
  • scanning, workflow and electronic document management software,
  • 24x7 access to public registers of ET applications and decisions,
  • comprehensive intranet,
  • electronic interchange of information with ACAS.
K8 How the tribunal(s) fit in the department's Modernising Government strategy. ETS, an executive agency, has developed its own Modernising Government Action Plan, approved by Ministers.
K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. Staff providing direct administrative support to tribunals ( Endnote 1 ):
1xRange 11 (Grade 6)
4xRange 10 (Grade 7)
7xRange 9 (SEO)
19xRange 8 (HEO)
15xRange 7
75.7xRange 6 (EO)
8xRange 5
340.9xRange 4 (AO)
45.7xRange 3
58xRange 2 (AA & Typist)
6.2xRange 1
K12 Performance and user satisfaction measures in the tribunal. Key targets for the agency include a user satisfaction measure. This is measured by annual surveys of tribunal users (including representatives) undertaken by each office. Questionnaires include a core of questions to be asked of all users plus a small number of questions specific to each office.
K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Legal aid is available for the provision of advice and assistance but not for representation.

Regulations require Employment Tribunals to seek to avoid formality in their procedures, which are intended to enable parties to present their case in person without the need for representation. A chairman will assist an unrepresented party in the presentation of their case to the extent that this is consistent with the impartiality of the tribunal and the requirements of justice.

Expenses are payable to parties and witnesses.

K14 Arrangements for providing hearings (including their locations). Rules state that normally a minimum of 14 days notice to be given of a hearing (usually much more is given).

Hearings are normally held in public.

Hearings are held in permanent and temporary premises to meet the needs of parties and the tribunal. 31 permanent offices and hearing centres are available.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. DTI has conducted an ECHR audit of tribunal procedures in anticipation of the commencement of the HRA.

Issues arising were: the provision of legal aid and the strengthening of the tenure of lay members.

K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Full and part-time chairmen are appointed by the Lord Chancellor in England and Wales and the Lord President of the Court of Session in Scotland. Full-time chairmen are appointed from the ranks of part-time chairmen. Part-time chairmen are appointed through open competition and are required to have a seven year qualification within the meaning of the Courts and Legal Services Act 1990.

Lay members are appointed, through open competition, by the Secretary of State to one of two panels - one representative of employees, the other of employers.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. 97 Full-time chairmen (Regional chairmen - 92,253; Chairmen (London) - 80,921; Chairmen (Other) - 76,921

199 Part-time chairmen (350 per day)

2110 Lay members - required to be available to sit on at least 15 occasions a year (135 per day)

Average sitting figures are not available and would mask a wide range of sittings.

K18 Arrangements for training tribunal members, and the approach to and content of training. Chairmen:

National training: All new chairmen receive a four day residential induction training course, and 'sit in' on a number of hearings. Similar training is provided after two years service, and again after five years.

Regional training: Ongoing training is provided by regional chairmen (up to two days a year). Regional training panels are being established.

Members:

Two days sitting in on a tribunal, followed by a one day induction seminar. A three year rolling programme for member training was introduced in 2000. Seminars on core subjects are held.

K19 Arrangements for staff training. ETS produces an annual training plan reflecting agency priorities and needs. Individual training needs are identified as part of the staff appraisal process.

Training is delivered in various ways: predominantly through local training officers in each office. More complex training delivered through in-house training team.

K20 Resources expended on:  
a tribunal member salaries and expenses 19,642,000
b staff salaries and expenses 9,687,000
c system administration 2,531,000
d accommodation; 6,730,000
e tribunal member training n/a ( Endnote 2 )
f staff training 249,000
  TOTAL: 38,839,000

Endnotes:

  1. Figures exclude the Chief Executive and his Personal Assistant.

  2. Training for members is provided by regional Chairmen and is not recorded as a separate expense category.

Employment Appeal Tribunal

Department of Trade and Industry

K1 Brief description of the tribunal's business. A Superior Court of Record dealing with appeals - on points of law - against decisions of Employment Tribunals as well as appeals on questions of law and fact from certain proceedings before or decisions of the Certification Officer.
K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year:
Number of appeals registered in 1999:
Unfair dismissal 438
Race discrimination 181
Sex discrimination 109
Disability discrimination 56
Wages Act 69
Jurisdiction issues 118
Interlocutory issues 123
Other 312
TOTAL 1492
 
Disposals:
Dismissed at Preliminary Hearing 446 33% of total
Withdrawn 341 26%
Dismissed at full hearing 276 21%
Allowed at full hearing 125 9%
Allowed at full hearing and remitted to an ET for re-hearing 146 11%
TOTAL 1334 100%

As of March 2000, 1173 appeals were outstanding.

K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Will vary considerably. A number of appeals are dependent on the outcome of higher court proceedings in other cases.

In July 2000, the average time to bring a case to a preliminary hearing was approximately eight months; the average to a full hearing was approximately 10 months.

K4 For appeal tribunals, the percentage of appeals which succeed. 20% of appeals in 1999/2000 were either allowed or remitted to an ET.
K5 Managerial structures for the tribunal administration: Administrative support for the EAT is provided by the Employment Tribunal Service.
K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Not applicable.
K7 Nature and scope of current ICT systems, and any major plans for improvement. Over the last two years, ETS has invested approximately 1.5m in replacing low specification and outdated hardware and software. As a result, all staff have access to a desk-top PC, providing office software. Internet access is expected to be rolled out from Autumn 2000.

A case management system holds details of all appeals and provides access to a range of management and other statistical information. The EAT also provides desktop access to all judgements for full-time chairmen of ETs.

Judgements, forms and practice directions are also accessible via the EAT website.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. As for Employment Tribunals.
K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 39 staff:

1 Range 10 (Grade 7)
1 Range 8 (HEO)
1 Range 7
13 Range 6 (EO)
1 Range 5
5 Range 4 (AO)
8 Range 3
5 Range 2 (AA)
4 Range 1

These figures exclude ETS staff undertaking the Agency's finance, personnel, IT and estates functions.

K12 Performance and user satisfaction measures in the tribunal. A range of performance measures are in use, and are reported on in the ETS Annual Report.

In addition, EAT holds regular meetings with its Users Group and Lay Members Committee, and plans for regular customer surveys.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Legal aid is available for proceedings before the EAT.

The EAT co-ordinates a free Employment Law Appeals Advice Scheme (ELAAS) - a pro-bono scheme aimed at providing a legal service for unrepresented parties at preliminary hearings only. The scheme has been in operation for six years.

K14 Arrangements for providing hearings (including their locations). Oral hearings are required to be held in public, except in respect of evidence which:

  • would be against the interests of national security;
  • could not be disclosed without contravening a prohibition imposed by or under an enactment;
  • has been communicated/obtained in confidence; or
  • would cause substantial injury to an undertaking (but subject to certain exceptions).
K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified.  
K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. The President of the EAT is a High Court judge selected by the Lord Chief Justice and the Lord Chancellor.

The Lord Chancellor also appoints such number of other High Court or Circuit judges as he sees fit to sit on the tribunal. The Lord President of the Court of Session also appoints at least one judge of the Court of Session.

Lay members, who have special knowledge or expertise of industrial relations, are appointed by Her Majesty the Queen on the joint recommendation of the Secretary of State for Trade and Industry and the Lord Chancellor.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. 24 judges - High Court judge salary: 127,872

54 lay members - expected to sit at least two days per month (236 per day + travel expenses)

K18 Arrangements for training tribunal members, and the approach to and content of training. New members receive one day practical training as observers and one day induction training.

An annual seminar is held for all judges and lay members on a specific legal topic (eg discrimination, ECHR). Those unable to attend the seminar are provided with written material

K19 Arrangements for staff training. As for the ETS
K20 Resources expended on:  
a tribunal member salaries and expenses 696,000 ( Endnote 1 )
b staff salaries and expenses 792,000
c system administration 244,000
d accommodation; -203,000 ( Endnote 2 )
e tribunal member training Not identified separately
f staff training Not identified separately
  TOTAL: 1,239,000

Endnotes:

  1. Includes an estimated 290,000 for judicial salaries, accounted for by the Lord Chancellor, rather than the ETS.

  2. A Contribution in Lieu of Rates Rebate (covering several years) of 569,000 produced a negative accommodation spend figure for 99/00.

Competition Commission Appeal Panels

Department of Trade and Industry

K1 Brief description of the tribunal's business. Will hear appeals by undertakings against a range of decisions taken by the Director-General of Fair Trading under the Competition Act 1998 when enforcing the prohibitions on anti-competitive agreements and abuse of dominant market position under that Act.
K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year:
Not applicable. The prohibitions under the 1998 Act came into force on 1 March 2000. No relevant decisions have been taken by the Director-General, hence no appeals have been made.
K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Not applicable. The prohibitions under the 1998 Act came into force on 1 March 2000. No relevant decisions have been taken by the Director-General, hence no appeals have been made.
K4 For appeal tribunals, the percentage of appeals which succeed. Not applicable. The prohibitions under the 1998 Act came into force on 1 March 2000. No relevant decisions have been taken by the Director-General, hence no appeals have been made.
K5 Managerial structures for the tribunal administration: The tribunals are headed by a President who is assisted in the management of the tribunals by the Registrar who also has overall responsibility for the management of the caseload and the maintenance of the register of appeals.

An assistant registrar deals with routine administration.

There are two legal secretaries (qualified lawyers) who report to the Registrar for personnel and administrative purposes but who work directly to the President in analysing legal issues arising in individual cases.

K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? As the tribunals have yet to commence full operation no formal mechanisms have yet been established. All tribunal decisions will be fully reasoned and published in full so departments will be able to see the developing case law..
K7 Nature and scope of current ICT systems, and any major plans for improvement. The appeal tribunal administration uses a standard PC network. The commission intends to use its website (competition-commission.org.uk) as its main means of communication and disseminating information about the appeal tribunals, and will publish decisions about cases received, giving details of pending cases, notices inviting interventions in appeals, membership details and the basic materials needed by users and interested persons.
K8 How the tribunal(s) fit in the department's Modernising Government strategy. Not applicable.
K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 1 Registrar - SCS
1 Assistant Registrar - DTI pay range 7
2 Legal Secretaries - DTI pay range 10
1 Personal Secretary - DTI pay range 5
K12 Performance and user satisfaction measures in the tribunal. No performance or user satisfaction measures have yet been established.
K13 Arrangements for assistance for users, legal or otherwise (including legal aid). The tribunal will deal with issues relating to businesses (often very substantial companies). The question of legal aid is therefore unlikely to arise.
K14 Arrangements for providing hearings (including their locations). Case management conferences and small hearings will be held in the Competition Commission premises in London. Larger hearings will be held off-site in other tribunal venues (and possibly RCJ premises) in central London.

In cases involving particular regional concerns, hearings may also be held in other parts of the United Kingdom, although no premises have yet been identified for this purpose.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements. The policy and drafting of the 1998 Act and the orders and regulations were settled with ECHR requirements directly in mind.
K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. The Secretary of State for Trade and Industry must appoint members to a panel to carry out the appeal functions of the Commission. He must also appoint a President and chairmen from that panel. Holders of these two offices must be legally qualified. Other members do not need to be.
K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. President - full time (127,872)

Chairmen - (500 per day)

Members - (250 per day)

Currently 20 members of the panel. Chairmen have not yet been appointed.

K18 Arrangements for training tribunal members, and the approach to and content of training. A training programme is being implemented which covers a number of subjects including UK and European competition law, aspects of economics which are entwined with competition law, procedural matters and human rights.
K19 Arrangements for staff training. At present there are no separate arrangements for staff training because staff are taking part in the training programme for tribunal members.

As the tribunals come into full operation, additional training for staff will be developed.

On an ad hoc basis, staff attend outside seminars on matters related to the work of the tribunals.

K20 Resources expended on:  
a tribunal member salaries and expenses 313,000 ( Endnote 1 )
b staff salaries and expenses 175,000
c system administration  
d accommodation; 539,000
e tribunal member training 14,000 ( Endnote 2 )
f staff training See above
  TOTAL: 1,017,000

Endnotes:

  1. The tribunals are still in their first year of operation and some expenses are shared with the reporting side of the Competitions Commission. It is therefore not possible to provide exact figures. The figures provided are forecasts to March 2001(and are based on a low caseload estimate).

  2. Includes member and staff training.

Office of Fair Trading Adjudicators

Department of Trade and Industry

K1 Brief description of the tribunal's business. Appointed by Director-General of Fair Trading (DGFT) to exercise his powers under Consumer Credit Act 1976 (CCA) and Estate Agents Act 1979 (EAA) where there is doubt about a trader's fitness to engage in licensable activities and/or engage in estate agency work.
K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year:
124 notices issued - of which 5 were EAA cases
177 - of which 17 were EAA cases
154
23
84 of which 8 were EAA cases
K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Administrative timetables apply as follows:
  1. issue Minded to Revoke or Refuse/Notice of Prohibition Notices within 5 working days of receipt of papers;

  2. issue reminder letters within 19 working days of i.;

  3. issue determination/decision if no representations 15 days after ii.;

  4. respond to request for oral hearing, offering or agreeing date within 12 working days;

  5. prepare minutes of meetings within 10 days of hearing; and

  6. issue determination/decision in cases with representations within 3 months of last representations.

1999 performance against vi. was 92% for CCA and 66% for EAA cases.

K4 For appeal tribunals, the percentage of appeals which succeed. Not an appeal tribunal.
K5 Managerial structures for the tribunal administration: DGFT adjudicative functions are carried out by senior staff appointed for the purpose. Two full-time adjudicators, three Directors in Consumer Affairs Division act as part-time adjudicators.
K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Appeal decisions are circulated to all adjudicators and support staff with specific comments on points of interest.

Procedures are reviewed as events, cases, practices and the law dictate. Currently looking to streamline adjudication processes. Developing an effective precedent system.

K7 Nature and scope of current ICT systems, and any major plans for improvement. Currently has a "fairly primitive" database to record cases and certain additional information.

Electronic case management system estimated for 2001, to track cases, produce management information, generating standard documents, flagging approach of deadlines. Document management systems to be introduced in due course.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. No information given.
K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 1xHEO
2xEO
1xAO
1xTypist
K12 Performance and user satisfaction measures in the tribunal. OFT targets are set out in a code of practice on enforcement activities. Results are published in DGFT's annual report.

  • adjudicate on applications /renewals in doubt within 3 months;

  • adjudicate within 3 months on whether prohibition/warning order should be made against an estate agency;

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). OFT provides impartial advice to traders and their representatives on the adjudication process.

Legal aid is not available.

K14 Arrangements for providing hearings (including their locations). Venue and date agreed in consultation with the trader. Local hearings can be accommodated via the local Trading Standards Service.
K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements. New arrangements for handling appeals were introduced in November 2000 in the light of the ECHR requirement that tribunals should be independent and impartial.
K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Adjudicators are appointed from within the civil service by the DGFT. Appointees should have a good general background in commercial trading activities.
K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time; and rates of pay. 2 full-time adjudicators

3 part-time adjudicators (part-timers adjudicate on cases which previously have been dealt with by the full-time adjudicators, and/or if the full-time adjudicators are fully committed).

K18 Arrangements for training tribunal members, and the approach to and content of training. Introduction training provided for all adjudicators, with further training as appropriate. Have also attended JSB courses. Legal advice and seminars on particular issues are available when required.
K19 Arrangements for staff training. No information provided
K20 Resources expended on:  
a member salaries and expenses 156,035 ( Endnote 1 )
b staff salaries and expenses see a, above
c system administration Cannot be identified
d accommodation; Cannot be identified
e tribunal member training 715
f staff training see e, above.
  TOTAL: 156,750

Endnotes:

  1. For members and support staff combined.

Aircraft and Shipbuilding Industries Arbitration Tribunal

Department of Trade and Industry

This tribunal was established to deal with issues of vesting and compensation arising from the establishment of British Aerospace and British Shipbuilders. It ceased to be active in the early 1980s and there is no prospect of it becoming operational again.

Wireless Telegraphy Appeal Tribunal

Department of Trade and Industry

This tribunal was set up under s9 of the Wireless Telegraphy Act 1949. It has never met, and has no members. With spectrum usage becoming ever greater, the Radiocommunications Agency are now in the process of establishing the tribunal as the chances of its service being required are greater that an any time in the last 50 years.

Industrial Training Levy Exemption Referees

Department of Trade and Industry

This body is moribund, with no recent cases, or any cases outstanding,

Mines and Quarries Tribunal

Department of Trade and Industry

The Mines and Quarries Act 1954 confers on a tribunal the power to enquire into the competence of a person to continue to hold a certificate in regard to the performance of duties relating to mines and quarries. The tribunal has never convened.

Chemical Weapons Licensing Appeal Tribunal

Department of Trade and Industry

By virtue of the Chemicals Weapons Act 1996 no person may produce, use or have in his possession toxic chemicals or precursors as defined in the Act except under the authority and in accordance with the terms of a licence issued by the Secretary of State. The tribunal comes into play if a person wishes to appeal against a refusal by the Secretary of State to grant, renew or vary a licence or against a variation or revocation by him of a licence. The tribunal has not yet been required to sit.

Re-instatement Committees and Umpires

Department of Trade and Industry

K1 Brief description of the tribunal's business. The Reserve Forces (Safeguard of Employment) Act 1985 gives reservists called up for whole-time service the right to return to their civilian job at the send of their service. Reservists who consider that their rights have been infringed can apply to a Reinstatement Committee (essentially an Employment Tribunal under a different name), which can order the employer to re- employ or pay compensation.

Appeals against Re-instatement Committee decisions are heard by a Re-instatement Umpire (the President of the Employment Appeal Tribunal) or a Deputy Umpire (a Scottish EAT member).

K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year:
Negligible. Around 10 hearings in the last ten years.

What is believed to be the first appeal in ten years to an Umpire against a Re-instatement Committee decision is due to be heard in 2001.

K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. As for Employment Tribunal and Employment Appeal Tribunal cases.
K4 For appeal tribunals, the percentage of appeals which succeed. Re-instatement Committees are not appeal tribunals

Re-instatement Umpires have not heard a case in the last ten years.

K5 Managerial structures for the tribunal administration: As for Employment Tribunal and Employment Appeal Tribunal cases.
K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? The procedure relating to Reinstatement Committees is largely out of date, as cases covering reservists should more properly rest with MoD. A draft Transfer of Functions Order has therefore recently been prepared to move responsibility for Reinstatement Committees and Umpires from the DTI to MoD.
K7 Nature and scope of current ICT systems, and any major plans for improvement. As for Employment Tribunal and Employment Appeal Tribunal cases.
K8 How the tribunal(s) fit in the department's Modernising Government strategy. As for Employment Tribunal and Employment Appeal Tribunal cases.
K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. As for Employment Tribunal and Employment Appeal Tribunal cases.
K12 Performance and user satisfaction measures in the tribunal. As for Employment Tribunal and Employment Appeal Tribunal cases.
K13 Arrangements for assistance for users, legal or otherwise (including legal aid). As for Employment Tribunal and Employment Appeal Tribunal cases.
K14 Arrangements for providing hearings (including their locations). As for Employment Tribunal and Employment Appeal Tribunal cases.
K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. As for Employment Tribunal and Employment Appeal Tribunal cases.
K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. The Secretary of State for Trade and Industry appoints members of Re-instatement Committees. Members are drawn from the panels of Employment Tribunal chairmen and lay members.

Appeals are heard by an Umpire (the President of the EAT) or Deputy Umpire (the Scottish EAT member), assisted by two Assessors, drawn from the EAT panel of lay members. They are appointed by the Queen on the recommendation of the Secretary of State for Trade and Industry.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. See K16, above.
K18 Arrangements for training tribunal members, and the approach to and content of training. As for Employment Tribunal and Employment Appeal Tribunal cases.
K19 Arrangements for staff training. As for Employment Tribunal and Employment Appeal Tribunal cases.
K20 Resources expended on: Costs in running these very occasional committees are included in the overall costs of the Employment Tribunal Service.
a tribunal member salaries and expenses
b staff salaries and expenses
c system administration
d accommodation;
e tribunal member training
f staff training
  TOTAL:

Arbitration Tribunal

Department of Trade and Industry

The Industry Act 1975 provides for the establishment of an arbitration tribunal to decide disputes arising from vesting and compensation orders which the Secretary of State has the power under the Act to issue in regard to the transfer of control of important manufacturing undertakings to non-residents. These powers have never been exercised.


Back to the contents page