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United Kingdom Statutory Instruments |
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You are here: BAILII >> Databases >> United Kingdom Statutory Instruments >> The Family Health Services Appeal Authority (Procedure) Rules 2001 URL: http://www.bailii.org/uk/legis/num_reg/2001/20013750.html |
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Made | 22nd November 2001 | ||
Laid before Parliament | 23rd November 2001 | ||
Coming into force | 14th December 2001 |
1. | Citation, Commencement and extent |
2. | Interpretation |
3. | Carrying out of President's functions by Deputy President |
4. | Appeals and applications |
5. | Time period in which an FHS regulations appeal must be made |
6. | Notice of appeal |
7. | Amendment of appeal and delivery of supplementary grounds of appeal |
8. | Application by appellant for directions |
9. | Withdrawal of appeal |
10. | Notice of hearing to appellant |
11. | Representation at hearing |
12. | Action by a respondent Health Authority on receipt of a notice of appeal |
13. | Amendment of reply and application for directions by respondent Health Authority |
14. | Representation at, and action of the respondent Health Authority on notification of, hearing |
15. | Applications in respect of contingent removal decisions |
16. | Applications to the FHSAA |
17. | Documents and other material to accompany application |
18. | Amendment of application and delivery of supplementary statement |
19. | Application for directions |
20. | Withdrawal of application |
21. | Action of applicant on receipt of notice of hearing |
22. | Representation at hearing |
23. | Action by respondent on receipt of notice of application |
24. | Documents and other material to accompany reply |
25. | Amendment of reply and delivery of supplementary statement |
26. | Application for directions |
27. | Action of respondent on receipt of notice of hearing |
28. | Representation at hearing |
29. | Acknowledgement and registration of appeal or application and service of documents by FHSAA |
30. | Composition of panels in certain cases |
31. | Allocation to a panel and directions |
32. | Directions in respect of hearings |
33. | Further directions |
34. | Disclosure of documents and other material |
35. | Summoning of witnesses |
36. | Failure to comply with certain directions |
37. | Varying or setting aside directions |
38. | Power to determine an appeal or application without a hearing |
39. | Hearings to be in public and exceptions |
40. | Failure of parties to attend hearing |
41. | Procedure at hearing |
42. | Decision of panel |
43. | Review of a panel's decision |
44. | Miscellaneous powers of panels |
45. | Irregularities |
46. | Publication of certain decisions by FHSAA |
47. | Copies of decisions sent to certain persons or bodies |
(2) In these Rules, except where the context otherwise requires -
as the case may be;
(b) "application", except in the expression "application for directions" shall be construed accordingly; and
(c) in Part III to Part V in relation to a Health Authority, the words "he", "his" or "himself" shall, where relevant be construed as applying to that Authority.
(3) In these Rules, unless the context otherwise requires, a reference -
Carrying out of President's functions by Deputy President
3.
Any functions of the President under these Rules may be carried out by any Deputy President.
Appeals and applications
4.
In these Rules, Part II applies only to appeals and Part III applies only to applications.
(3) The appellant shall attach to his notice of appeal a copy of the disputed decision together with two copies of any documents on which he proposes to rely for the purposes of his appeal.
(4) The appellant or his representative shall sign the notice of appeal.
(5) The appellant must send or deliver his notice of appeal to the FHSAA.
Amendment of appeal and delivery of supplementary grounds of appeal
7.
- (1) The appellant may, at any time before he is notified of the date of the hearing of his appeal, amend his notice of appeal, deliver a supplementary statement of grounds of appeal or send to the FHSAA any other documents on which he proposes to rely.
(2) The appellant may amend any notice of appeal or supplementary statement, with the leave of the panel to which the case has been allocated, at any time after he has been notified of the date of the hearing of the appeal, or at the hearing itself and the panel may grant such leave on such terms as it thinks fit.
(3) The appellant shall send a copy of every amendment and supplementary statement to the FHSAA.
Application by appellant for directions
8.
The appellant may apply in writing to the FHSAA for directions to be given as to any matter relating to the hearing of his appeal.
Withdrawal of appeal
9.
The appellant may -
Notice of hearing to appellant
10.
- (1) The FHSAA shall serve on the appellant a notice informing him of the time and place of any oral hearing which is to be held.
(2) Such notice shall include guidance regarding the rules of evidence and procedure which apply to the hearing.
(3) When the appellant receives the notice of the time and place of hearing, he shall inform the FHSAA whether or not he intends to attend or be represented at the hearing and whether or not he intends to call any witnesses and where he does intend to call witnesses he shall provide their names and addresses to the FHSAA.
(4) If the appellant does not intend to attend or be represented at the hearing, he may send to the FHSAA additional written representations in support of his appeal.
Representation at hearing
11.
At the hearing of an appeal or any other hearing in connection with an appeal including a hearing for directions, the appellant may conduct his case himself (with assistance from his representative if he wishes) or may appear and be represented by his representative or by Counsel.
(3) The respondent Health Authority shall include with their reply a statement summarising the facts relating to the disputed decision, and shall send or deliver their reply to the FHSAA together with a copy of any document on which they propose to rely.
(4) Every such reply shall be signed by an officer of the respondent Health Authority who is authorised to sign such documents or by their solicitor and shall be delivered to the FHSAA not later than 21 days after the date on which the copy of the notice of appeal was received by the Health Authority from the FHSAA.
(5) The respondent Health Authority may include in their reply, or by way of a separate notice to the FHSAA, a request for further particulars of the appeal.
Amendment of reply and application for directions by respondent Health Authority
13.
- (1) The respondent Health Authority may at any time before they are notified of the date of the hearing of the appeal amend their reply or deliver a supplementary statement by way of reply.
(2) The respondent Health Authority may amend any reply or supplementary statement with the leave of the panel to which the case has been allocated at any time after they have been notified of the date of the hearing of the appeal or at the hearing itself and the panel may grant such leave on such terms as it thinks fit.
(3) The Health Authority may apply in writing to the FHSAA for directions to be given as to any matter relating to the hearing of the appeal.
(4) The Health Authority shall send a copy of every amendment and supplementary statement to the FHSAA.
Representation at, and action of the respondent Health Authority on notification of, hearing
14.
- (1) At the hearing of an appeal or any other hearing in connection with that appeal including a hearing for directions, the respondent Health Authority may conduct their case themselves (with assistance from their representative if they wish) or may appear and be represented by their representative or by Counsel.
(2) When they receive a notice of the time and place of the hearing of the appeal, the respondent Health Authority shall inform the FHSAA whether or not they intend to attend or be represented at the hearing, and whether or not they intend to call witnesses and where they do intend to call witnesses, they shall supply their names and addresses to the FHSAA.
(3) If the Health Authority do not intend to attend or be represented at the hearing, they may send to the FHSAA additional written representations in support of their reply.
the application shall be treated as being made by the Health Authority and may be made after a period of one month has elapsed since the FHSAA gave its decision in respect of an application to which either paragraph (2) or (3) applied.
Applications to the FHSAA
16.
- (1) An applicant shall make an application in accordance with the following paragraphs.
(2) The application shall be in writing and shall state -
(3) The applicant or his representative shall sign the notice of application and shall send or deliver the application to the FHSAA within any time limit specified by or under the 1977 Act.
(4) The FHSAA shall acknowledge receipt of the application and shall inform the applicant or the applicant's representative of any further steps which must be taken to enable the FHSAA to decide the application and the time and place of any hearing in respect of the application.
Documents and other material to accompany application
17.
- (1) The applicant shall send or deliver to the FHSAA with the application a copy of every document on which he intends to rely for the purposes of the application.
(2) The FHSAA may, on such terms as it thinks fit, excuse the applicant from providing any document required to be furnished under paragraph (1) where that document or a copy is already held by the FHSAA.
Amendment of application and delivery of supplementary statement
18.
- (1) The applicant may, at any time before being notified of the date of the hearing of the application, amend the application or deliver a supplementary statement in relation to that application.
(2) The applicant may amend the application or supplementary statement with the leave of the panel at any time after being notified of the date of the hearing of the application, or at the hearing itself, and the panel may grant such leave on such terms as it thinks fit.
(3) The applicant shall send a copy of every amendment and supplementary statement to the FHSAA.
Application for directions
19.
- (1) The applicant may apply to the FHSAA for directions to be given by a panel in respect of any matter relating to the hearing of the application.
(2) An application for directions shall be made in writing to the FHSAA.
Withdrawal of application
20.
The applicant may -
Action of applicant on receipt of notice of hearing
21.
- (1) The FHSAA shall serve on the applicant a notice giving the time and place of any oral hearing which is to be held.
(2) When the applicant receives the notice of the time and place of hearing, he shall inform the FHSAA whether or not he intends to be represented at the hearing and whether or not he intends to call witnesses, and where he does intend to call witnesses, he shall supply their names and addresses to the FHSAA.
(3) If the applicant does not intend to attend or be represented at the hearing, he may send to the FHSAA additional written representations in support of his application.
Representation at hearing
22.
At the hearing of an application or any other hearing in connection with that application, including a hearing for directions, the applicant may conduct his case himself (with assistance from his representative if he wishes) or may appear and be represented by his representative or by Counsel.
(2) The respondent may include in his reply a request for further particulars of the application.
(3) Every such reply shall be signed by the respondent or his representative and shall be delivered to the FHSAA not later than 21 days after the date on which the notification of the application was sent to him by the FHSAA.
(4) A reply which is received by the FHSAA after the time appointed by this rule which contains reasons on which the respondent relies for justifying the delay shall be deemed to include an application for an extension of the time so appointed.
(5) A respondent who has not delivered a written reply shall not be entitled to take any part in the proceedings before the panel on the application except -
Documents and other material to accompany reply
24.
- (1) The respondent shall send or deliver to the FHSAA with his reply a copy of every document on which he intends to rely at the hearing of the application.
(2) The FHSAA may, on such terms as it thinks fit, excuse the respondent from providing any document required to be furnished under paragraph (1) where that document, or a copy of it, is already held by the FHSAA.
Amendment of reply and delivery of supplementary statement
25.
- (1) The respondent may, at any time before he is notified of the date of the hearing of the application, amend his reply or deliver a supplementary statement by way of reply.
(2) The respondent may amend any reply or supplementary statement with the leave of a panel at any time after he has been notified of the hearing of the application or at the hearing itself.
(3) The respondent shall send a copy of every amendment and supplementary statement to the FHSAA.
Application for directions
26.
- (1) The respondent may apply to the FHSAA for directions to be given by a panel as to any matter relating to the hearing of the application for disqualification.
(2) An application for directions shall be made in writing to the FHSAA.
Action of respondent on receipt of notice of hearing
27.
- (1) The FHSAA shall serve on a respondent who opposes the application a notice informing him of the time and place of any oral hearing which is to be held and such notice will include guidance regarding the rules of evidence and procedure which apply to the hearing.
(2) When the respondent receives the notice of the time and place of hearing, he shall inform the FHSAA whether or not he intends to attend or be represented at the hearing, and whether he intends to call witnesses, and where he does intend to call witnesses he shall supply their names and addresses to the FHSAA.
(3) If the respondent does not intend to attend or be represented at the hearing, he may send to the FHSAA additional written representations in support of his reply.
Representation at hearing
28.
At the hearing of an application or any other hearing in connection with that application, including a hearing for directions, the respondent may conduct his case himself (with assistance from his representative if he wishes) or may appear and be represented by his representative or by Counsel.
(2) Upon receiving a reply from a respondent the FHSAA shall -
(3) Subject to paragraph (4) the FHSAA shall serve forthwith a copy of any document submitted by a party in connection with an appeal or an application on the other party in the case, provided that if any document is sent or delivered to the FHSAA after a time prescribed in these Rules other than in rule 5 or 15, the FHSAA may defer service pending a decision by a panel for the extension of the time limit in question.
(4) If any document supplied to the FHSAA by a party in an appeal or an application contains any matter that relates to -
and for that reason the party seeks to restrict its disclosure, that party shall inform the FHSAA of that fact and of the reasons for seeking such a restriction.
(5) In any case falling within paragraph (4) the FHSAA shall serve the copies as provided in this rule only in accordance with directions given by the panel to which the case is allocated.
(6) In this rule, "respondent" includes a respondent Health Authority.
the composition of any panel to which the case or any proceedings in such a case is allocated under rule 31 is in accordance with paragraph 10(a) and (b) of Schedule 9A to that Act as if the panel were one constituted for the purposes of section 49M or 49N of the 1977 Act.
Allocation to a panel and directions
31.
- (1) Subject to the following paragraphs, the President shall allocate a case to a panel after the FHSAA has received a reply to an appeal under Part II or to an application under Part III, as the case may be.
(2) Where a party to an appeal or an application makes an application for directions before the case has been allocated to a panel, the President may allocate such an application to any panel.
(3) Where a case has been allocated to a panel in accordance with paragraph (1), any proceedings in that case, including any application for directions by a party shall be dealt with by that panel, except where in the President's opinion, including for reasons of urgency, the matter should be dealt with by another panel and the President shall allocate that matter to another panel accordingly.
Directions in respect of hearings
32.
- (1) Subject to rule 31(3) and paragraph (2) below the panel to which a case has been allocated may at any time, on the application for directions of a party or of its own motion, give such directions as are necessary to enable the parties to prepare for the hearing or to assist the panel to which the case is allocated to determine the issues.
(2) In exercising the powers conferred by this rule the panel shall take into account the need to protect any matter referred to in rule 29(4).
(3) An application by a party for directions shall be made in writing to the FHSAA and, unless it is accompanied by the written consent of the other party, shall be served by the FHSAA on the other party.
(4) If the other party objects to the directions sought, the panel shall, if it considers it necessary for the determination of the application, give the parties an opportunity of appearing before it.
(5) Directions shall, where appropriate, include a statement of the possible consequences for the appeal or application, as provided by rule 36, of a party's failure to comply with any requirement within the time allowed by the panel.
Further directions
33.
The panel may give directions requiring any party to provide such particulars or supplementary statements as may be reasonably required for the determination of the appeal or application.
Disclosure of documents and other material
34.
- (1) Subject to paragraph 18 of Schedule 9A to the 1977 Act the panel may require a person to deliver to the FHSAA any document or class of documents which it is in the power of that person to deliver.
(2) The FHSAA shall, subject to rule 29(4), make such provision as it thinks necessary to supply copies of any document obtained under this rule to the other party to the proceedings, and it shall be a condition of such supply that a party shall use such a document only for the purposes of the appeal or application.
Summoning of witnesses
35.
- (1) The panel may by summons require any person in England to attend as a witness at a hearing of an appeal or application at such time and place as may be specified in the summons and, 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 or application, subject to paragraph 18 of Schedule 9A to the 1977 Act.
(2) No person shall be required to attend in obedience to such a summons unless -
Failure to comply with certain directions
36.
- (1) Subject to paragraph (2), if any directions given to a party under this Part are not complied with by such a party without reasonable excuse, the panel may, before or at the hearing -
(2) A panel 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 that direction giving an opportunity to show cause why it should not do so.
Varying or setting aside directions
37.
- (1) Where a person to whom a direction is given under this Part had no opportunity to object to the making of such direction, he may apply to have it varied or set aside.
(2) Where such an application is made it shall be considered by the panel which gave the direction and it shall not be varied or set aside without notifying the party which applied for the direction and considering any representations made by that party.
(3) The provisions of paragraph (2) of rule 40 and of paragraph (6) of rule 41 shall apply in respect of the determination of an appeal or application, or any particular issue, under this rule.
Hearings to be in public and exceptions
39.
- (1) All hearings by a panel shall be in public except where a practitioner (as defined in paragraph 21 of Schedule 9A to the 1977 Act) has asked for the hearing be in private and the panel considers that it is reasonable in all the circumstances for that hearing to be held in private.
(2) The following persons shall be entitled to attend the hearing of an appeal or an application, whether or not it is in private -
but such persons may not take part in the proceedings or in the making of any decision by a panel.
(3) A panel, with the consent of the parties, may permit any other person to attend the hearing of an appeal or application which is held in private.
Failure of parties to attend hearing
40.
- (1) If a party fails to attend or be represented at a hearing of which he has been duly notified, the panel may -
(2) Before determining any appeal or application in the absence of a party, the panel shall consider any representations in writing submitted by that party in response to the notice of hearing and, for the purpose of this rule, the appeal or application and any reply shall be treated as representations in writing.
Procedure at hearing
41.
- (1) At the beginning of the hearing the Chairman shall explain to the parties the order of proceedings which the panel proposes to adopt.
(2) Subject to this rule, the panel shall conduct the hearing in such manner as it considers most suitable to the clarification of the issues before it and generally to the just handling of the proceedings.
(3) The parties shall be heard in such order as the panel shall determine and they shall be entitled to give evidence, to call witnesses, to question any witnesses and to address the panel both on the evidence and generally on the subject matter of the appeal or the application, as the case may be.
(4) Where the hearing is in public the panel may direct -
(5) Evidence before the panel may be given orally or, if the panel so directs, by written statement, but the panel may at any stage of the proceedings require the personal attendance of any maker of a written statement.
(6) The panel may receive evidence of any fact which appears to it to be relevant, notwithstanding that such evidence would be inadmissible in proceedings before a court of law, but shall not refuse to admit any evidence which is admissible at law and is relevant.
(7) At any hearing the panel may, if it is satisfied that it is just and reasonable to do so, permit a party to rely on grounds not stated in his notice of appeal or, as the case may be, notice of application, or his reply in either case and, in respect of an appellant, to adduce any evidence not presented to the respondent Health Authority before or at the time it took the disputed decision.
(8) The panel may require any witness to give evidence on oath or affirmation and for that purpose there may be administered an oath or affirmation in due form.
Decision of panel
42.
- (1) The decision of the panel may be given orally at the end of the hearing or reserved.
(2) All decisions of a panel shall be recorded forthwith in a document which records the relevant party's professional registration number, where applicable, and save in the case of a decision by consent, shall also contain a statement of the reasons (in summary form) for its decision, and that document shall be signed and dated by the Chairman.
(3) Subject to paragraph (4), every document referred to in this rule shall be entered in the register and the FHSAA shall send a copy of the entry to each party.
(4) Where any such document refers to any evidence that has been heard in private or when a witness has given evidence in circumstances of anonymity as provided for under rule 41(4), it shall be entered in the register as the panel may direct, but copies of the complete document shall be sent to the parties together with a copy of the entry.
(5) Every copy of an entry sent to the parties under this rule shall be accompanied by a notification of their rights under section 11 of the Tribunals and Inquiries Act 1992 relating to appeals from decisions of the FHSAA and of the time within which and place at which such appeal shall be made.
(6) Except where a decision is announced at the end of the hearing, it shall be treated as having been made on the date on which a copy of the document recording it is sent to the appellant, or the applicant Health Authority, as the case may be.
Review of a panel's decision
43.
- (1) Subject to the following paragraphs, if, on the application of a party or of its own motion, a panel is satisfied that -
the panel may review and, by certificate under the Chairman's hand, set aside or vary the decision of the panel in question.
(2) An application by a party for the purposes of paragraph (1) shall be made to the FHSAA not later than fourteen days after the date on which the decision was sent to the parties in accordance with rule 42 and shall be in writing, stating the grounds in full.
(3) The parties shall have an opportunity to be heard on any application for review under this rule and the review shall, subject to rule 45, be determined by the panel which decided the case.
(4) Where for any reason it is not practicable for the review to be carried out by the same panel, the President shall allocate the matter to another panel.
(5) If, having reviewed the decision, the decision is set aside, the panel shall substitute such decision as it thinks fit or order a rehearing before it.
(6) The certificate of the Chairman as to the setting aside or variation of a panel's decision under this rule shall be sent to the President who shall ensure that such correction as may be necessary is made in the register and that a copy of the entry so corrected is sent to each of the parties.
(7) Where a decision is reviewed the FHSAA shall serve a copy of that revised decision on the parties as soon as practicable thereafter.
(8) Where a copy of the original decision has already been sent to any person or body referred to in rule 47, the President shall ensure that the person or body in question is notified immediately of the revised decision.
Miscellaneous powers of panel
44.
- (1) A panel may, if it thinks fit -
(2) Subject to paragraph (3), at any stage of the proceedings a panel may direct that -
(3) Before making any direction under paragraph (2) the panel shall give notice to the party against whom it is proposed that any such direction should be made giving him an opportunity to show cause why it should not be made.
Irregularities
45.
- (1) Any irregularity resulting from failure to comply with any provisions of these Rules or of any directions before the panel has reached its decision shall not of itself render the proceedings void.
(2) Where any such irregularity comes to the attention of the panel, the panel may, and shall if it considers that any person may have been prejudiced by the irregularity, give such directions as it thinks fit to cure or waive the irregularity before reaching its decision.
Copies of decisions sent to certain persons or bodies
47.
- (1) The FHSAA may send a copy of any decision within either paragraph 13(a) or (b) of Schedule 9A to the 1977 Act, or rule 46, to any of the following persons or bodies -
(2) The FHSAA may send a copy of such a decision to any other person or body which, in its opinion, should be made aware of that decision.
Irvine of Lairg,
C
22nd November 2001
[2] 1992 c. 53. A reference to the Family Health Services Appeal Authority was substituted in Schedule 1, paragraph 33, by the 2001 Act, Schedule 5, paragraph 10.back
[4] Sections 49F to 49R were inserted into the 1977 Act by section 25 of the 2001 Act.back
[5] Section 49S was inserted in to the 1977 Act by section 27(1) of the 2001 Act. The FHSAA's office is at 30 Victoria Avenue, Harrogate HG1 5PR.back
[6] Sections 29B, 36, 39, 42 and 43 of the 1977 Act were amended by section 20 of the 2001 Act.back
[7] Section 43ZA was inserted into the 1977 Act by section 21 of the 2001 Act.back
[8] Section 43D was inserted into the 1977 Act by section 24 of the 2001 Act.back
[9] Section 28DA was inserted into the 1977 Act by section 26(1) of the 2001 Act.back
[10] Section 8ZA of the National Health Service (Primary Care) Act 1977 (c. 46) was inserted by section 26(2) of the 2001 Act.back