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United Kingdom Statutory Instruments
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URL: http://www.bailii.org/uk/legis/num_reg/2003/20030694.html

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STATUTORY INSTRUMENTS

2003 No. 694

TERMS AND CONDITIONS OF EMPLOYMENT, ENGLAND AND WALES

The ACAS (Flexible Working) Arbitration Scheme (England and Wales) Order 2003

  Made 13th March 2003 
  Laid before Parliament 13th March 2003 
  Coming into force 6th April 2003 

Whereas - 

    (1) Under section 212A(1) of the Trade Union and Labour Relations (Consolidation) Act 1992[1] ("the 1992 Act") the Advisory, Conciliation and Arbitration Service ("ACAS") may prepare a scheme providing for arbitration in the case of disputes involving proceedings, or claims which could be the subject of proceedings, before an employment tribunal arising out of a contravention or alleged contravention of section 80G(1) or section 80H(1)(b) of the Employment Rights Act 1996[2] (flexible working);

    (2) in pursuance of section 212A(1) of the 1992 Act, ACAS has prepared an arbitration scheme for flexible working cases;

    (3) in pursuance of section 212A(2) of the 1992 Act, ACAS has submitted a draft of the scheme to the Secretary of State and the Secretary of State approves the scheme:

     Now, therefore, the Secretary of State, in exercise of the powers conferred on him by sections 212A(2) and (6) of the 1992 Act, hereby makes the following Order:

Citation, commencement, interpretation and extent
     1.  - (1) This Order may be cited as the ACAS (Flexible Working) Arbitration Scheme (England and Wales) Order 2003 and shall come into force on 6th April 2003.

    (2) In this Order - 

    (3) This Order extends to England and Wales.

Commencement of the Scheme
     2. The Scheme shall come into effect on 6th April 2003.

Application of Part I of the Arbitration Act 1996
     3. The provisions of Part I of the Arbitration Act 1996[3] referred to in paragraphs 43, 93, 111, 113 to 118, 122, 128 and 129 of the Schedule and shown in italics shall, as modified in those paragraphs, apply to arbitrations conducted in accordance with the Scheme.

     4.  - (1) Section 46(1)(b) of the Arbitration Act 1996 shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modification.

    (2) For "such other considerations as are agreed by them or determined by the tribunal" in section 46(1)(b) substitute "the Terms of Reference in paragraph 13 of the arbitration scheme set out in the Schedule to the ACAS (Flexible Working) Arbitration Scheme (England and Wales) Order 2003".


Alan Johnson,
Minister for Employment Relations, Industry and the Regions, Department of Trade and Industry

13th March 2003



SCHEDULE
Articles 2 and 3


ACAS Arbitration Scheme



CONTENTS
          Paragraphs
I. INTRODUCTION 1-4
II. THE ROLE OF ACAS 5
     Routing of communications 6-7
III. TERMS AND ABBREVIATIONS 8-12
IV. ARBITRATORS' TERMS OF REFERENCE 13
V. SCOPE OF THE SCHEME     
     Cases that are covered by the Scheme 14-16
     Waiver of jurisdictional issues 17-18
     Inappropriate cases 19
VI. ACCESS TO THE SCHEME 20
     Requirements for entry into the Scheme 21-23
     Notification to ACAS of an Arbitration Agreement 24-27
     Consolidation of proceedings 28
VII. SETTLEMENT AND WITHDRAWAL FROM THE SCHEME     
     Withdrawal by the Employee 29
     Withdrawal by the Employer 30
     Settlement 31-34
VIII. APPOINTMENT OF AN ARBITRATOR     
     The ACAS Arbitration Panel 35
     Appointment to a case 36-37
     Arbitrator's duty of disclosure 38-39
     Removal of arbitrators 40-44
     Death of an arbitrator 45
     Replacement of arbitrators 46-47
IX. GENERAL DUTY OF THE ARBITRATOR 48-49
X. GENERAL DUTY OF THE PARTIES 50
XI. CONFIDENTIALITY AND PRIVACY 51-52
XII. ARRANGEMENTS FOR THE HEARING     
     Initial arrangements 53-56
     Expedited hearings 57
     Venue 58-59
     Assistance 60
     Travelling expenses/loss of earnings 61-62
     Applications for postponements of, or different venues for, initial hearings 63-65
XIII. NON-COMPLIANCE WITH PROCEDURE 66
XIV. OUTLINE OF PROCEDURE BEFORE THE HEARING 67
     Written materials 68-73
     Submissions, evidence and witnesses not previously notified 74-75
     Requests for documents 76
     Requests for attendance of witnesses 77
     Preliminary hearings and directions 78-79
XV. OUTLINE OF PROCEDURE AT THE HEARING     
     Arbitrator's overall discretion 80
     Language 81
     Witnesses 82
     Examination by the arbitrator 83
     Representatives 84
     Strict rules of evidence 85
     Non-attendance at the hearing 86-87
     Post-hearing written materials 88
XVI. QUESTIONS OF EC LAW AND THE HUMAN RIGHTS ACT 1998     
     Appointment of legal adviser 89-92
     Court determination of preliminary points 93
XVII. AWARDS     
     Form of the award 94-95
     Remedies 96
XVIII. AWARDS OF COMPENSATION 97-99
IXX. ISSUE OF AWARDS AND CONFIDENTIALITY 100-101
XX. CORRECTION OF AWARDS     
     Scrutiny of awards by ACAS 102
     Correction by the arbitrator 103-108
XXI. EFFECT OF AWARDS, ENFORCEMENT AND INTEREST     
     Effect of awards 109-110
     Enforcement 111
     Interest 112
XXII. CHALLENGING THE AWARD     
     Challenges on grounds of substantive jurisdiction 113
     Challenges for serious irregularity 114
     Appeals on questions of EC law and the Human Rights Act 1998 115
     Time limits and other procedural restrictions on challenges to awards 116
     Common law challenges and saving 117
     Challenge or appeal: effect of order of the court 118
XXIII LOSS OF RIGHT TO OBJECT 119
XXIV. IMMUNITY 120-121
XXV. MISCELLANEOUS PROVISIONS     
     Requirements in connection with legal proceedings 122
     Service of documents and notices on ACAS or the ACAS Arbitration Section 123-124
     Service of documents or notices on any other person or entity 125-127
     Powers of court in relation to service of documents 128
     Reckoning periods of time 129XXVI.
     TERRITORIAL OPERATION OF THE SCHEME 130
     APPENDIX A: WAIVER OF RIGHTS     



I.

INTRODUCTION


     1. The ACAS (Flexible Working) Arbitration Scheme ("the Scheme") is implemented pursuant to section 212A of the Trade Union and Labour Relations (Consolidation) Act 1992[4] ("the 1992 Act").

     2. The Scheme provides a voluntary alternative, in the form of arbitration, to the employment tribunal for the resolution of disputes arising out of an employee's application for a change in his terms and conditions of employment made under section 80F of the Employment Rights Act 1996 ("the 1996 Act")[5].

     3. Resolution of disputes under the Scheme is intended to be confidential, informal, relatively fast and cost efficient. Procedures under the Scheme are non-legalistic, and far more flexible than the traditional model of the employment tribunal and the courts. For example (as explained in more detail below), the Scheme avoids the use of formal pleadings and formal witness and documentary procedures; strict rules of evidence will not apply. Arbitral decisions ("awards") will be final, with very limited opportunities for parties to appeal or otherwise challenge the result.

     4. The Scheme also caters for requirements imposed as a matter of law (eg. the Human Rights Act 1998, and existing law in the field of arbitration and EC law).



II.

THE ROLE OF ACAS


     5. As more fully explained below, cases enter the Scheme by reference to ACAS, which appoints an arbitrator from a panel (see paragraphs 35-37 below) to determine the dispute. ACAS provides administrative assistance during the proceedings, and may scrutinise awards and refer any clerical or other similar errors back to the arbitrator. Disputes are determined, however, by arbitrators and not by ACAS.Routing of communications

     6. Unless in the course of a hearing, all communications between either party and the arbitrator shall be sent via the ACAS Arbitration Section.

     7. Paragraph 123 below sets out the manner in which any document, notice or communication must be served on, or transmitted to, ACAS or the ACAS Arbitration Section.



III.

TERMS AND ABBREVIATIONS


     8. The term "Employee" is used to denote the claimant, including any person entitled to pursue a claim arising out of a contravention, or alleged contravention, of section 80G(1) or 80H(1)(b) of the 1996 Act (flexible working)[6].

     9. The term "Employer" is used to denote the respondent.

     10. The term "EC law" means:

     11. The term "Flexible Working Claim" means a claim by the Employee that his Employer has failed to deal with an application made under section 80F of the 1996 Act in accordance with section 80G(1) of that Act or that a decision by his Employer to reject the application was based on incorrect facts.

     12. With the exception of paragraph 21(i) below ("Requirements for entry into the Scheme"), references to anything being written or in writing include its being recorded by any means so as to be usable for subsequent reference.



IV.

ARBITRATOR'S TERMS OF REFERENCE


     13. Every agreement to refer a dispute to arbitration under this Scheme shall be taken to be an agreement that the arbitrator decide the dispute according to the following Terms of Reference: - 

In deciding whether to uphold the Flexible Working Claim the arbitrator shall: - 

      (i) have regard to relevant provisions of the Flexible Working (Procedural Requirements) Regulations 2002[7] and to any relevant ACAS Guidance;

      (ii) apply EC law.

The arbitrator shall not decide the case by substituting what he or she would have done for the actions taken by the Employer.

If the arbitrator upholds the Flexible Working Claim, he or she shall determine the appropriate remedy under the terms of this Scheme.

Nothing in the Terms of Reference affects the operation of the Human Rights Act 1998 in so far as this is applicable and relevant and (with respect to procedural matters) has not been waived by virtue of the provisions of this Scheme.



V.

SCOPE OF THE SCHEME


Cases that are covered by the Scheme
     14. This Scheme only applies to disputes involving proceedings, or claims which could be the subject of proceedings, before an employment tribunal arising out of a contravention, or alleged contravention, of section 80G(1) or section 80H(1)(b) of the 1996 Act.

     15. The Scheme does not extend to other kinds of claim which may be related to, or raised at the same time as, a Flexible Working Claim. For example, sex discrimination cases are not covered by the Scheme.

     16. If a Flexible Working Claim has been referred for resolution under the Scheme, any other claim, even if part of the same dispute, must be settled separately, or referred to the employment tribunal, or withdrawn. In the event that different aspects of the same dispute are being heard in the employment tribunal as well as under the Scheme, the arbitrator may decide, if appropriate or convenient, to postpone the arbitration proceedings pending a determination by the employment tribunal.

Waiver of jurisdictional issues
     17. Because of its informal nature, the Scheme is not designed for disputes raising jurisdictional issues, such as for example:

     18. Accordingly, when agreeing to refer a dispute to arbitration under the Scheme, both parties will be taken to have accepted as a condition of the Scheme that no jurisdictional issue is in dispute between them. The arbitrator will not therefore deal with such issues during the arbitration process, even if they are raised by the parties, and the parties will be taken to have waived any rights in that regard.

Inappropriate cases
     19. The Scheme is not intended for disputes involving complex legal issues. Whilst such cases will be accepted for determination (subject to the Terms of Reference), parties are advised, where appropriate, to consider applying to the employment tribunal or settling their dispute by other means.



VI.

ACCESS TO THE SCHEME


     20. The Scheme is an entirely voluntary system of dispute resolution: it will only apply if parties have so agreed.Requirements for entry into the Scheme

     21. Any agreement to submit a dispute to arbitration under the Scheme must satisfy the following requirements (an "Arbitration Agreement"):

     22. Where an agreement fails to satisfy any one of these requirements, no valid reference to the Scheme will have been made, and the parties will have to settle their dispute by other means or have recourse to the employment tribunal.

     23. Where:

Notification to ACAS of an Arbitration Agreement
     24. All Arbitration Agreements must be notified to ACAS within two weeks of their conclusion, by either of the parties or their independent advisers or representatives, or an ACAS conciliator, sending a copy of the agreement and Waiver Forms, together with IT1 and IT3 forms if these have been completed, to the ACAS Arbitration Section.

     25. For the purposes of the previous paragraph, an Arbitration Agreement is treated as "concluded" on the date it is signed, or if signed by different people at different times, on the date of the last signature.

     26. Where an Arbitration Agreement is not notified to ACAS within two weeks, ACAS will not arrange for the appointment of an arbitrator under the Scheme, unless notification within that time was not reasonably practicable. Any party seeking to notify ACAS of an Arbitration Agreement outside this period must explain in writing to the ACAS Arbitration Section the reason for the delay. ACAS shall appoint an arbitrator, in accordance with the appointment provisions below, to consider the explanation, and that arbitrator may seek the views of the other party, and may call both parties to a hearing to establish the reasons for the delay. The arbitrator shall then rule in an award on whether or not the agreement can be accepted for hearing under the Scheme.

     27. Any such hearing and award will be governed by the provisions of this Scheme.

Consolidation of proceedings
     28. Where all parties so agree in writing, ACAS may consolidate different arbitral proceedings under the Scheme.



VII.

SETTLEMENT AND WITHDRAWAL FROM THE SCHEME


Withdrawal by the Employee
     29. At any stage of the arbitration process, once an Arbitration Agreement has been concluded and the reference has been accepted by ACAS, the party bringing the Flexible Working Claim may withdraw from the Scheme, provided that any such withdrawal is in writing. Such a withdrawal shall constitute a dismissal of the claim.

Withdrawal by the Employer
     30. Once an Arbitration Agreement has been concluded and the reference has been accepted by ACAS, the party against whom a claim is brought cannot unilaterally withdraw from the Scheme.

Settlement
     31. Parties are free to reach an agreement settling the dispute at any stage.

     32. If such an agreement is reached:

     33. An agreed award shall state that it is an award of the arbitrator by consent and shall have the same status and effect as any other award on the merits of the case.

     34. In rendering an agreed award, the arbitrator:



VIII.

APPOINTMENT OF AN ARBITRATOR


The ACAS Arbitration Panel
     35. Arbitrators are selected to serve on the ACAS Arbitration Panel on the basis of their practical knowledge and experience of employment issues in the workplace. They are recruited through an open recruitment exercise, and appointed to the Panel on the basis of standard terms of appointment. It is a condition of their appointment that they exercise their duties in accordance with the terms of this Scheme. Each appointment is initially for a period of two years, although it may be renewed by ACAS, at the latter's discretion. Payment is made by ACAS on the basis of time spent in connection with arbitral proceedings.

Appointment to a case
     36. Arbitral appointments are made exclusively by ACAS from the ACAS Arbitration Panel. Parties will have no choice of arbitrator.

     37. Once ACAS has been notified of a valid Arbitration Agreement, it will select and appoint an arbitrator, and notify all parties of the name of the arbitrator so appointed.

Arbitrator's duty of disclosure
     38. Immediately following selection (and before an appointment is confirmed by ACAS), every arbitrator shall disclose in writing to ACAS (to be forwarded to the parties) any circumstances known to him or her likely to give rise to any justifiable doubts as to his or her impartiality, or confirm in writing that there are no such circumstances.

     39. Once appointed, and until the arbitration is concluded, every arbitrator shall be under a continuing duty forthwith to disclose to ACAS (to be forwarded to the parties) any such circumstances which may have arisen since appointment.

Removal of arbitrators
     40. Arbitrators may only be removed by ACAS or the court (under the provisions in paragraphs 41 to 43 below).

     41. Applications under the Scheme to remove an arbitrator on any of the grounds set out in sections 24(1)(a) and (c) of the Arbitration Act 1996 shall be made in the first instance to ACAS (addressed to the ACAS Arbitration Section).

     42. If ACAS refuses such an application, a party may thereafter apply to the court.

     43.  - 

    (1) Sections 24(1)(a) and (c), 24(2), 24(3), 24(5) and 24(6) of the Arbitration Act 1996[9] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (1) for "(upon notice to the other parties, to the arbitrator concerned and to any other arbitrator) apply to the court" substitute "(upon notice to the other party, to the arbitrator concerned and to the Advisory, Conciliation and Arbitration Service ("ACAS")) apply to the High Court or Central London County Court".

    (3) In subsection (2) - 

     44. The arbitrator may continue the proceedings and make an award while an application to ACAS (as well as the court) to remove him or her is pending.

Death of an arbitrator
     45. The authority of an arbitrator is personal and ceases on his or her death.

Replacement of arbitrators
     46. Where an arbitrator ceases to hold office for any reason, he or she shall be replaced by ACAS in accordance with the appointment provisions above.

     47. Once appointed, the replacement arbitrator shall determine whether and, if so, to what extent the previous proceedings should stand.



IX.

GENERAL DUTY OF THE ARBITRATOR


     48. The arbitrator shall: - 

     49. The arbitrator shall comply with the general duty (see paragraph 48 above) in conducting the arbitral proceedings, in his or her decisions on matters of procedure and evidence and in the exercise of all other powers conferred on him or her.



X.

GENERAL DUTY OF THE PARTIES


     50. The parties shall do all things necessary for the proper and expeditious conduct of the arbitral proceedings. This includes (without limitation) complying without delay with any determination of the arbitrator as to procedural or evidential matters, or with any order or directions of the arbitrator, and co-operating in the arrangement of any hearing.



XI.

CONFIDENTIALITY AND PRIVACY


     51. Arbitrations, and all associated procedures under the Scheme, are strictly private and confidential.

     52. Hearings may only be attended by the arbitrator, the parties, their representatives, any interpreters, witnesses and a legal adviser if appointed. If the parties so agree, an ACAS official or arbitrator in training may also attend.



XII.

ARRANGEMENTS FOR THE HEARING


Initial arrangements
     53. A hearing must be held in every case, notwithstanding any agreement between the parties to a purely written procedure.

     54. Once an arbitrator has been appointed by ACAS, a hearing shall be arranged as soon as reasonably practicable by him or her, with the administrative assistance of the ACAS Arbitration Section.

     55. The arbitrator shall decide the date and venue for the hearing, in so far as an agreement cannot be reached with all parties within 28 days of the initial notification to ACAS of the Arbitration Agreement.

     56. The ACAS Arbitration Section shall contact all parties with details of the date and venue for the hearing.

Expedited hearings
     57. On the application of any party, the arbitrator may, in his or her discretion, expedite the hearing.

Venue
     58. Hearings may be held in any venue, provided that the hearing will only be held at the Employee's workplace, or a similarly non-neutral venue, if all parties so agree.

     59. Where premises have to be hired for a hearing, ACAS shall meet the reasonable costs of so doing.

Assistance
     60. Where a party needs the services of an interpreter, signer or communicator at the hearing, ACAS should be so informed well in advance of the hearing. Where an arbitrator agrees that such assistance is required, ACAS shall meet the reasonable costs of providing this.

Travelling expenses/loss of earnings
     61. Every party shall meet their own travelling expenses and those of their representatives and witnesses.

     62. No loss of earnings are payable by ACAS to anyone involved in the arbitration. However, where an arbitrator upholds a Flexible Working Claim, he or she may include in the calculation of any compensation a sum to cover reasonable travelling expenses and loss of earnings incurred by the Employee personally in attending the hearing.

Applications for postponements of, or different venues for, initial hearings
     63. Any application for a postponement of, or a different venue for, an initial hearing must be made in writing, with reasons, to the arbitrator via the ACAS Arbitration Section within 14 days of the date of the letter notifying the hearing arrangements or, where this is not practicable, as soon as is reasonably practicable. Such applications will be determined by the arbitrator without an oral hearing after all parties have received a copy of the application and been given a reasonable opportunity to respond.

     64. If the application is rejected, the initial hearing will be held on the original date and/or in the original venue.

     65. This provision does not affect the arbitrator's general discretion (set out below) with respect to postponements after an initial hearing has been fixed, or with respect to other aspects of the procedure. In particular, procedural applications may be made to the arbitrator at the hearing itself.



XIII.

NON-COMPLIANCE WITH PROCEDURE


     66. If a party fails to comply with any aspect of the procedure set out in this Scheme, or any order or direction by the arbitrator, or fails to comply with the general duty in section X above, the arbitrator may (in addition to any other power set out in this Scheme):



XIV.

OUTLINE OF PROCEDURE BEFORE THE HEARING


     67. Once a hearing has been fixed, the following procedure shall apply, subject to any direction by the arbitrator.Written materials

     68. At least 14 days before the date of the hearing, each party shall send to the ACAS Arbitration Section (for forwarding to the arbitrator and the other party) one copy of a written statement of case, together with:

     69. Written statements of case should briefly set out the main particulars of each party's case, which can then be expanded upon if necessary at the hearing itself. The statement should include an explanation of the events which led to the Flexible Working Claim being brought, including an account of the outcome of any relevant meetings.

     70. Supporting documentation or other material may include (without limitation) copies of: - 

     71. The parties must also supply details of any relevant awards of compensation that may have been made by any other tribunal or court in connection with the subject matter of the claim.

     72. Legible copies of documents must be supplied to ACAS even if they have already been supplied to an ACAS conciliator before the Arbitration Agreement was concluded.

     73. No information on the conciliation process, if any, shall be disclosed by an ACAS conciliator to the arbitrator.

Submissions, evidence and witnesses not previously notified
     74. Written statements of case and documentary or other material that have not been provided to the ACAS Arbitration Section prior to the hearing (in accordance with paragraph 68 above) may only be relied upon at the hearing with the arbitrator's permission.

     75. All representatives and witnesses who have been listed as accompanying a party at the hearing should be present at the start of the hearing. Witnesses who have not been included in a list submitted to the ACAS Arbitration Section prior to the hearing may only be called with the arbitrator's permission.

Requests for documents
     76. Any party may request the other party to produce copies of relevant documents which are not in the requesting party's possession, custody or control. Although the arbitrator has no power to compel a party to comply, the arbitrator may draw an adverse inference from a party's failure to comply with a reasonable request.

Requests for attendance of witnesses
     77. Although the arbitrator has no power to compel the attendance of anybody at the hearing, the arbitrator may draw an adverse inference if an employer who is a party to the arbitration fails or refuses to allow current employees or other workers (who have relevant evidence to give) time off from work to attend the hearing, should such an employer be so requested.

Preliminary hearings and directions
     78. Where the arbitrator believes that there may be considerable differences between the parties over any issue, including the availability or exchange of documents, or the availability of witnesses, the arbitrator may call the parties to a preliminary hearing to address such issues, or he or she may give procedural directions in correspondence.

     79. In the course of a preliminary hearing or in correspondence, the arbitrator may express views on the desirability of information and/or evidence being available at the hearing.



XV.

OUTLINE OF PROCEDURE AT THE HEARING


Arbitrator's overall discretion
     80. Subject to the arbitrator's general duty (section IX above), and subject to the points set out below, the conduct of the hearing and all procedural and evidential matters (including applications for adjournments and changes in venue) shall be for the arbitrator to decide.

Language
     81. The language of the proceedings shall be English, unless the Welsh language is applicable by virtue of the Welsh Language Act 1993 (as amended from time to time). Reference should be made to paragraph 60 above if the Welsh language is to be used.

Witnesses
     82. No party or witness shall be cross-examined by a party or representative, or examined on oath or affirmation.

Examination by the arbitrator
     83. The arbitrator shall have the right to address questions directly to either party or to anybody else attending the hearing, and to take the initiative in ascertaining the facts and (where applicable) the law.

Representatives
     84. The parties may be accompanied by any person chosen by them to help them to present their case at the hearing, although no special status will be accorded to legally qualified representatives. Each party is liable for any fees or expenses incurred by any representatives they appoint.

Strict rules of evidence
     85. The arbitrator will not apply strict rules of evidence (or any other rules) as to the admissibility, relevance or weight of any material (oral, written or other) sought to be tendered on any matters of fact or opinion.

Non-attendance at the hearing
     86. If, without showing sufficient cause, a party fails to attend or be represented at a hearing, the arbitrator may:

     87. In the case of the non-attendance of the Employee, if the arbitrator decides to adjourn the hearing, he or she may write to the Employee to request an explanation for the non-attendance. If the arbitrator decides that the Employee has not demonstrated sufficient cause for the non-attendance, he or she may rule in an award that the claim be treated as dismissed.

Post-hearing written materials
     88. No further submissions or evidence will be accepted after the end of the substantive hearing without the arbitrator's permission, which will only be granted in exceptional circumstances. Where permission is granted, any material is to be sent to the ACAS Arbitration Section, to be forwarded to the arbitrator and all other parties.



XVI.

QUESTIONS OF EC LAW AND THE HUMAN RIGHTS ACT 1998


Appointment of legal adviser
     89. The arbitrator shall have the power, on the application of any party or of his or her own motion, to require the appointment of a legal adviser to assist with respect to any issue of EC law or the Human Rights Act 1998 that, in the arbitrator's view and subject to paragraph 13 above (Arbitrator's Terms of Reference), might be involved and relevant to the resolution of the dispute.

     90. The legal adviser will be appointed by ACAS, to report to the arbitrator and the parties, and shall be subject to the duty of disclosure set out in paragraphs 38 and 39 above.

     91. The arbitrator shall allow the legal adviser to attend the proceedings, and may order an adjournment and/or change in venue to facilitate this.

     92. The parties shall be given a reasonable opportunity to comment on any information, opinion or advice offered by the legal adviser, following which the arbitrator shall take such information, opinion or advice into account in determining the dispute.

Court determination of preliminary points
     93.  - 

    (1) Section 45 of the Arbitration Act 1996[10] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (1) - 

    (3) In subsection (2)(b) omit sub-paragraph (i).

    (4) Omit subsection (4).

    (5) After subsection (6), insert - 



XVII.

AWARDS


Form of the award
     94. The award shall be in writing, signed by the arbitrator.

     95. The award (unless it is an agreed award) shall: - 

Remedies
     96. In the event that the arbitrator upholds the Employee's Flexible Working Claim, the arbitrator may make an award ordering: - 



XVIII.

AWARDS OF COMPENSATION


     97. Subject to 98 below, when an arbitrator makes an award of compensation in respect of any contravention of section 80G(1) or 80H(1)(b) of the 1996 Act, whether or not in conjunction with an award for reconsideration, such compensation shall be such an amount, not exceeding 8 weeks' pay, as the arbitrator considers just and equitable in all the circumstances.

     98. When an arbitrator makes an award of compensation in respect of breaches of Regulation 14(2) or (4) of the Flexible Working (Procedural Requirements) Regulations 2002[11] such compensation shall be such an amount, not exceeding 2 weeks' pay, as the arbitrator considers just and equitable in all the circumstances.

     99. In calculating the amount of a week's pay of an Employee, the arbitrator shall have regard to Chapter II of Part 14 of the 1996 Act, as amended from time to time, or any other relevant statutory provision applicable to the calculation of a week's pay.



IXX.

ISSUE OF AWARDS AND CONFIDENTIALITY


     100. The arbitrator's award shall be sent by ACAS to both parties.

     101. The award shall be confidential, and shall only be issued to the parties or to their nominated advisers or representatives. Awards will not be published by ACAS, or lodged with the employment tribunal by ACAS, although awards may be retained by ACAS for monitoring and evaluation purposes, and, from time to time, ACAS may publish general summary information concerning cases heard under the Scheme, without identifying any individual cases.



XX.

CORRECTION OF AWARDS


Scrutiny of awards by ACAS
     102. Before being sent to the parties, awards may be scrutinised by ACAS to check for clerical or computational mistakes, errors arising from accidental slips or omissions, ambiguities, or errors of form. Without affecting the arbitrator's liberty of decision, ACAS may refer the award back to the arbitrator (under the provisions below) in order to draw his or her attention to any such point.

Correction by the arbitrator
     103. The arbitrator may, on his or her own initiative or on the application of a party or ACAS:

     104. In so far as any such correction or additional award involves a new issue that was not previously before the parties, this power shall not be exercised without first affording the parties a reasonable opportunity to make written representations to the arbitrator.

     105. Any application by a party for the exercise of this power must be made via the ACAS Arbitration Section within 28 days of the date the award was despatched to the applying party by ACAS.

     106. Any correction of the award shall be made within 28 days of the date the application was received by the arbitrator or, where the correction is made by the arbitrator on his or her own initiative, within 28 days of the date of the award.

     107. Any additional award shall be made within 56 days of the date of the original award.

     108. Any correction of the award shall form part of the award.



XXI.

EFFECT OF AWARDS, ENFORCEMENT AND INTEREST


Effect of awards
     109. Awards made by arbitrators under this Scheme are final and binding both on the parties and on any persons claiming through or under them.

     110. This does not affect the right of a person to challenge an award under the provisions of the Arbitration Act 1996 as applied to this Scheme.

Enforcement
     111.  - 

    (1) Section 66 of the Arbitration Act 1996[12] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (1) for "tribunal pursuant to an arbitration agreement" substitute "arbitrator pursuant to the Scheme".

    (3) In subsection (3) for "(see section 73)" substitute "(see section XXIII of the Scheme").

    (4) After subsection (4) insert - 

Interest
     112. Awards of compensation that are not paid within 42 days of the date on which the award was despatched by ACAS to the Employer will attract interest on the same basis as for employment tribunal awards.



XXII.

CHALLENGING THE AWARD


Challenges on grounds of substantive jurisdiction
     113.  - 

    (1) Section 67 of the Arbitration Act 1996[13] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (1) - 

    (3) After subsection (1) insert - 

Challenges for serious irregularity
     114.  - 

    (1) Section 68 of the Arbitration Act 1996[14] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (1) - 

    (3) In subsection (2) - 

    (4) In subsection (3) - 

    (5) After subsection (4) insert - 

Appeals on questions of EC law and the Human Rights Act 1998
     115.  - 

    (1) Section 69 of the Arbitration Act 1996[15] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (1) - 

    (3) In subsection (2) after "section 70(2) and (3)" insert "as modified for the purposes of the Scheme".

    (4) In subsection (3) - 

    (5) In subsection (7) omit "The court shall not exercise its power to set aside an award, in whole or in part, unless it is satisfied that it would be inappropriate to remit the matters in question to the tribunal for reconsideration".

    (6) After subsection (8) insert - 

Time limits and other procedural restrictions on challenges to awards
     116.  - 

    (1) Section 70 of the Arbitration Act 1996[16] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (1) after "section 67, 68 or 69" insert "(as modified for the purposes of the Scheme)".

    (3) In subsection (2) - 

    (4) In subsection (3) for "of the award or, if there has been any arbitral process of appeal or review, of the date when the applicant or appellant was notified of the result of that process" substitute "the award was despatched to the applicant or appellant by ACAS".

    (5) Omit subsection (5).

    (6) After subsection (8) insert - 

Common law challenges and saving
     117. Sections 81(1)(c) and 81(2) of the Arbitration Act 1996[17] shall apply to arbitrations conducted in accordance with the Scheme.

Challenge or appeal: effect of order of the court
     118.  - 

    (1) Section 71[18] of the Arbitration Act 1996 shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (1) after "section 67, 68 and 69" insert "(as modified for the purposes of the Scheme)".

    (3) After subsection (3) insert - 

    (4) Omit subsection (4).



XXIII.

LOSS OF RIGHT TO OBJECT


     119. If a party to arbitral proceedings under this Scheme takes part, or continues to take part, in the proceedings without making, either forthwith or within such time as is allowed by the arbitrator or by any provision in this Scheme, any objection: - 



XXIV.

IMMUNITY


     120. An arbitrator under this Scheme is not liable for anything done or omitted in the discharge or purported discharge of his or her functions as arbitrator unless the act or omission is shown to have been in bad faith. This applies to a legal adviser appointed by ACAS as it applies to the arbitrator himself or herself.

     121. ACAS, by reason of having appointed an arbitrator or nominated a legal adviser, is not liable for anything done or omitted by the arbitrator or legal adviser in the discharge or purported discharge of his or her functions.



XXV.

MISCELLANEOUS PROVISIONS


Requirements in connection with legal proceedings
     122.  - 

    (1) Sections 80(1), (2), (4), (5), (6) and (7) of the Arbitration Act 1996[19] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modification.

    (2) In subsection (1) for "to the other parties to the arbitral proceedings, or to the tribunal" substitute "to the other party to the arbitral proceedings, or to the arbitrator, or to ACAS".

Service of documents and notices on ACAS or the ACAS Arbitration Section
     123. Any notice or other document required or authorised to be given or served on ACAS or the ACAS Arbitration Section for the purposes of the arbitral proceedings shall be sent by pre-paid post to the following address:

or transmitted by facsimile, addressed to the ACAS Arbitration Section, at the number stipulated in the ACAS Guide to the Scheme,

or by electronic mail, at the address stipulated in the ACAS Guide to the Scheme.

     124. Paragraph 123 (above) does not apply to the service of documents on the ACAS Arbitration Section for the purposes of legal proceedings.

Service of documents or notices on any other person or entity (other than ACAS or the ACAS Arbitration Section)
     125. Any notice or other document required or authorised to be given or served on any person or entity (other than ACAS or the ACAS Arbitration Section) for the purposes of the arbitral proceedings may be served by any effective means.

     126. If such a notice or other document is addressed, pre-paid and delivered by post: - 

     127. Paragraphs 125 and 126 (above) do not apply to the service of documents for the purposes of legal proceedings, for which provision is made by rules of court.

Powers of court in relation to service of documents
     128.  - 

    (1) Section 77 of the Arbitration Act 1996[20] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (1) omit "in the manner agreed by the parties, or in accordance with provisions of section 76 having effect in default of agreement,".

    (3) In subsection (2) for "Unless otherwise agreed by the parties, the court" substitute "The High Court or Central London County Court".

    (4) In subsection (3) for "Any party to the arbitration agreement may apply" substitute "ACAS or any party to the Arbitration Agreement".

Reckoning periods of time
     129.  - 

    (1) Section 78(2), (3), (4) and (5) of the Arbitration Act 1996[21] shall apply to arbitrations conducted in accordance with the Scheme, subject to the following modifications.

    (2) In subsection (2) - 



XXVI.

TERRITORIAL OPERATION OF THE SCHEME


     130. The Scheme applies to disputes involving an Employer who resides or carries on business in England and Wales.



APPENDIX A

Waiver of Rights

The ACAS Arbitration Scheme ("the Scheme") is entirely voluntary. In agreeing to refer a dispute to arbitration under the Scheme, both parties agree to waive rights that they would otherwise have if, for example, they had referred their dispute to the employment tribunal. This follows from the informal nature of the Scheme, which is designed to be a confidential, relatively fast, cost-efficient and non-legalistic process.

As required by section VI of the Scheme, as a confirmation of the parties' agreement to waive their rights, this form must be completed by each party and submitted to ACAS together with the agreement to arbitration.

A detailed description of the informal nature of arbitration under the Scheme, and the important differences between this and the employment tribunal, is contained in the ACAS Guide to the Flexible Working Arbitration Scheme ("the ACAS (Flexible Working) Guide"), which should be read by each party before completing this form.

The Scheme is not intended for disputes involving complex legal issues, or questions of EC law. Parties to such disputes are strongly advised to consider applying to the employment tribunal, or settling their dispute by other means.

This form does not list all the differences between the Scheme and the employment tribunal, or all of the features of the Scheme to which each party agrees in referring their dispute to arbitration.

I,


the Applicant/Respondent/Respondent's duly authorised representative [delete as appropriate] confirm my agreement to each of the following points: - 

     1. Unlike proceedings in the employment tribunal, all proceedings under the Scheme, including all hearings, are conducted in private. There are no public hearings, and the final award will be confidential.

     2. All arbitrators under the Scheme are appointed by ACAS from the ACAS Arbitration Panel (which is a panel of impartial, mainly non-lawyer, arbitrators appointed by ACAS on fixed, but renewable, terms). The appointment process and the ACAS Arbitration Panel are described in the Scheme and the ACAS Guide. Neither party will have any choice of arbitrator.

     3. Proceedings under the Scheme are conducted differently from the employment tribunal. In particular:

     -  arbitrators will conduct proceedings in an informal manner in all cases;

     -  the attendance of witnesses and the production of documents cannot be compelled (although failure to co-operate may be taken into account by the arbitrator);

     -  there will be no oaths or affirmations, and no cross-examination of witnesses by parties or their representatives;

     -  the arbitrator will take the initiative in asking questions and ascertaining the facts (with the aim of ensuring that all relevant issues are considered), as well as hearing each side's arguments;

     -  the arbitrator's decision will only contain the main considerations that have led to the result; it will not contain full or detailed reasons.

     4. Once parties have agreed to refer their dispute to arbitration in accordance with the Scheme, the parties cannot then return to the employment tribunal.

     5. In deciding whether the employee's complaint that his Employer has failed to deal with an application under section 80F of the Employment Rights Act 1996 in accordance with section 80G(1) of that Act or that a decision by his Employer to reject the application was based on incorrect facts, the arbitrator shall have regard to the Flexible Working (Procedural Requirements) Regulations 2002, as well as any relevant ACAS guidance. Unlike the employment tribunal, the arbitrator will not apply strict rules of evidence.

     6. Unlike the employment tribunal, there is no right of appeal from awards of arbitrators under the Scheme (except for a limited right to appeal questions of EC law and, aside from procedural matters set out in the Scheme, questions concerning the Human Rights Act 1998).

     7. Unlike the employment tribunal, in agreeing to arbitration under the Scheme, parties agree that there is no jurisdictional argument, ie no reason why the claim cannot be heard and determined by the arbitrator.

SIGNED:


DATED:


IN THE PRESENCE OF

Signature:


Full Name:


Position:


Address:



EXPLANATORY NOTE

(This note is not part of the Order)


This Order sets out a scheme, submitted to the Secretary of State by ACAS pursuant to section 212A of the Trade Union and Labour Relations (Consolidation) Act 1992, providing for arbitration in the case of disputes involving proceedings, or claims which could be the subject of proceedings, before an employment tribunal arising out of a contravention or alleged contravention of sections 80G(1) or 80H(1)(b) of the Employment Rights Act 1996 (flexible working). The Order extends to England and Wales only. The Order provides for the Scheme to come into effect on 6th April 2003. The Scheme will provide from that date a voluntary alternative to the employment tribunal for the resolution of claims arising out of an application for flexible working made under section 80F(1) of the 1996 Act by arbitration where both parties agree.

The Order also provides for certain provisions of the Arbitration Act 1996, as modified by the Order, to apply to arbitrations conducted in accordance with the Scheme.

Notes:

 [1] 1992 c. 52. Section 212A was inserted by section 7 of the Employment Rights (Dispute Resolution) Act 1998 (c. 8) and amended by paragraph 22 of Schedule 7 to the Employment Act 2002 (c. 22).back

[2] 1996 c. 18. Sections 80G and 80H were inserted by section 47 of the Employment Act 2002.back

[3] 1996 c. 23.back

[4] 1992 c. 52. Section 212A was inserted by section 7 of the Employment Rights (Dispute Resolution) Act 1998 (c. 8) and amended by paragraph 22 of Schedule 7 to the Employment Act 2002 (c.22).back

[5] 1996 c. 18. Section 80F was inserted by section 47 of the Employment Act 2002.back

[6] 1996 c. 18. Section 80G and section 80H were inserted by section 47 of the Employment Act 2002 (c. 22).back

[7] S.I. 2002/3207.back

[8] 1996 c. 17. Section 18 was amended by paragraph 23 of Schedule 7 to the Employment Act 2002.back

[9] 1996 c. 23.

Sections 24(1)(a) and (c), (2), (3), (5) and (6) of the Arbitration Act 1996 provide as follows

24. - (1) A party to arbitral proceedings may (upon notice to the other parties, to the arbitrator concerned and to any other arbitrator) apply to the court to remove an arbitrator on any of the following grounds - 

(a) that circumstances exist that give rise to justifiable doubts as to his impartiality;

. . .

(c) that he is physically or mentally incapable of conducting the proceedings or there are justifiable doubts as to his capacity to do so;

. . .

(2) If there is an arbitral or other institution or person vested by the parties with power to remove an arbitrator, the court shall not exercise its power of removal unless satisfied that the applicant has first exhausted any available recourse to that institution or person.

(3) The arbitral tribunal may continue the arbitral proceedings and make an award while an application to the court under this section is pending.

. . .

(5) The arbitrator concerned is entitled to appear and be heard by the court before it makes any order under this section.

(6) The leave of the court is required for any appeal from a decision of the court under this section."back

[10] 1996 c. 23.

Section 45 of the Arbitration Act 1996 provides as follows: - 

45.  -  (1) Unless otherwise agreed by the parties, the court may on the application of a party to arbitral proceedings (upon notice to the other parties) determine any question of law arising in the course of the proceedings which the court is satisfied substantially affects the rights of one or more of the parties.

An agreement to dispense with reasons for the tribunal's award shall be considered an agreement to exclude the court's jurisdiction under this section.

(2) An application under this section shall not be considered unless - 

(a) it is made with the agreement of all the other parties to the proceedings, or

(b) it is made with the permission of the tribunal and the court is satisfied - 

(i) that the determination of the question is likely to produce substantial savings in costs, and

(ii) that the application was made without delay.

(3) The application shall identify the question of law to be determined and, unless made with the agreement of all the other parties to the proceedings, shall state the grounds on which it is said that the question should be decided by the court.

(4) Unless otherwise agreed by the parties the arbitral tribunal may continue the arbitral proceedings and make an award while an application to the court under this section is pending.

(5) Unless the court gives leave, no appeal lies from a decision of the court whether the conditions specified in subsection (2) are met.

(6) The decision of the court on the question of law shall be treated as a judgment of the court for the purposes of an appeal.

But no appeal lies without the leave of the court which shall not be given unless the court considers that the question is one of general importance, or is one which for some other special reason should be considered by the Court of Appeal."back

[11] S.I. 2002/3207.back

[12] 1996 c. 23.

Section 66 of the Arbitration Act 1996 provides as follows:

66.  - (1) An award made by the tribunal pursuant to an arbitration agreement may, by leave of the court, be enforced in the same manner as a judgment or order of the court to the same effect.

(2) Where leave is so given, judgment may be enforced in terms of the award.

(3) Leave to enforce an award shall not be given where, or to the extent that, the person against whom it is sought to be enforced shows that the tribunal lacked substantive jurisdiction to make the award.

The right to raise such an objection may have been lost (see section 73).

(4) Nothing in this section affects the recognition or enforcement of an award under any other enactment or rule of law, in particular under Part II of the Arbitration Act 1950 (enforcement of awards under Geneva Convention) or the provisions of Part III of this Act relating to the recognition and enforcement of awards under the New York Convention or by an action on the award."back

[13] 1996 c. 23.

Section 67 of the Arbitration Act 1996 provides as follows:

67. - (1) A party to the arbitral proceedings may (upon notice to the other parties and to the tribunal) apply to the court - 

(a) challinging any award of the arbitral tribunal as to its substantive jurisdiction; or

(b) for an order declaring an award made by the tribunal on the merits to be of no effect, in whole or in part, because the tribunal did not have substantive jurisdiction.

A party may lose the right to object (see section 73) and the right to apply is subject to the restrictions in section 70(2) and (3).

(2) The arbitral tribunal may continue the arbitral proceedings and make a further award while an application to the court under this section is pending in relation to an award as to jurisdiction.

(3) On an application under this section challenging an award of the arbitral tribunal as to its substantive jurisdiction, the court may by order - 

(a) confirm the award,

(b) vary the award, or

(c) set aside the award in whole or in part.

(4) The leave of the court is required for any appeal from a decision of the court under this section."back

[14] 1996 c. 23.

Section 68 of the Arbitration Act provides as follows:

68. - (1) A party to arbitral proceedings may (upon notice to the other parties and to the tribunal) apply to the court challenging an award in the proceedings on the ground of serious irregularity affecting the tribunal, the proceedings or the award.

A party may lose the right to object (see section 73) and the right to apply is subject to the restrictions in section 70(2) and (3).

(2) Serious irregularity means an irregularity of one or more of the following kinds which the court considers has caused or will cause substantial injustice to the applicant - 

(a) failure by the tribunal to comply with section 33 (general duty of tribunal);

(b) the tribunal exceeding its powers (otherwise than by exceeding its substantive jurisdiction: see section 67);

(c) failure by the tribunal to conduct the proceedings in accordance with the procedure agreed by the parties;

(d) failure by the tribunal to deal with all the issues that were put to it;

(e) any arbitral or other institution or person vested by the parties with powers in relation to the proceedings or the award exceeding its powers;

(f) uncertainty or ambiguity as to the effect of the award;

(g) the award being obtained by fraud or the award or the way in which it was procured being contrary to public policy;

(h) failure to comply with the requirement as to the form of the award; or

(i) any irregularity in the conduct of the proceedings or in the award which is admitted by the tribunal or by any arbitral or other institution or person vested by the parties with powers in relation to the proceedings or the award.

(3) If there is shown to be serious irregularity affecting the tribunal, the proceedings or the award, the court may - 

(a) remit the award to the tribunal, in whole or in part, for reconsideration;

(b) set the award aside in whole or in part; or

(c) declare the award to be of no effect, in whole or in part.

The court shall not exercise its power to set aside or to declare an award to be of no effect, in whole or in part, unless it is satisfied that it would be inappropriate to remit the matters in question to the tribunal for reconsideration.

(4) The leave of the court is required for any appeal from a decision of the court under this section."back

[15] 1996 c. 23.

Section 69 of the Arbitration Act 1996 provides as follows:

69. - (1) Unless otherwise agreed by the parties, a party to arbitral proceedings may (upon notice to the other parties and to the tribunal) appeal to the court on a question of law arising out of an award made in the proceedings.

An agreement to dispense with reasons for the tribunal's award shall be considered an agreement to exclude the court's jurisdiction under this section.

(2) An appeal shall not be brought under this section except - 

(a) with the agreement of all the other parties to the proceedings, or

(b) with the leave of the court.

The right to appeal is also subject to the restrictions in section 70(2) and (3).

(3) Leave to appeal shall be given only if the court is satisfied - 

(a) that the determination of the question will substantially affect the rights of one or more of the parties,

(b) that the question is one which the tribunal was asked to determine,

(c) that, on the basis of the findings of fact in the award - 

(i) the decision of the tribunal on the question is obviously wrong, or

(ii) the question is one of general public importance and the decision of the tribunal is at least open to serious doubt, and

(d) that, despite the agreement of the parties to resolve the matter by arbitration, it is just and proper in all the circumstances for the court to determine the question.

(4) An application for leave to appeal under this section shall identify the question of law to be determined and state the grounds on which it is alleged that leave to appeal should be granted.

(5) The court shall determine an application for leave to appeal under this section without a hearing unless it appears to the court that a hearing is required.

(6) The leave of the court is required for any appeal from a decision of the court under this section to grant or refuse leave to appeal.

(7) On an appeal under this section the court may by order - 

(a) confirm the award,

(b) vary the award,

(c) remit the award to the tribunal, in whole or in part, for reconsideration in the light of the court's determination, or

(d) set aside the award in whole or in part.

The court shall not exercise its power to set aside an award, in whole or in part, unless it is satisfied that it would be inappropriate to remit the matters in question to the tribunal for reconsideration.

(8) The decision of the court on an appeal under this section shall be treated as a judgement of the court for the purposes of a further appeal.

But no such appeal lies without the leave of the court which shall not be given unless the court considers that the question is one of general importance or is one which for some other special reason should be considered by the Court of Appeal."back

[16] 1996 c. 23.

Section 70 of the Arbitration Act 1996 provides as follows:

70. - (1) The following provisions apply to an application or appeal under section 67, 68 or 69.

(2) An application or appeal may not be brought if the applicant or appellant has not first exhausted - 

(a) any available arbitral process of appeal or review, and

(b) any available recourse under section 57 (correction of award or additional award).

(3) Any application or appeal must be brought within 28 days of the date of the award or, if there has been any arbitral process of appeal or review, of the date when the applicant or appellant was notified of the result of that process.

(4) If on an application or appeal it appears to the court that the award - 

(a) does not contain the tribunal's reasons, or

(b) does not set out the tribunal's reasons in sufficient detail to enable the court properly to consider the application or appeal, the court may order the tribunal to state the reasons for its award in sufficient detail for that purpose.

(5) Where the court makes an order under subsection (4), it may make such further order as it thinks fit with respect to any additional costs of the arbitration resulting from its order.

(6) The court may order the applicant or appellant to provide security for the costs of the application or appeal, and may direct that the application or appeal be dismissed if the order is not complied with.

The power to order security for costs shall not be exercised on the ground that the applicant or appellant is - 

(a) an individual ordinarily resident outside the United Kingdom, or

(b) a corporation or association incorporated or formed under the law of a country outside the United Kingdom, or whose central management and control is exercised outside the United Kingdom. (7) The court may order that any money payable under the award shall be brought into court or otherwise secured pending the determination of the application or appeal, and may direct that the application or appeal be dismissed if the order is not complied with.

(8) The court may grant leave to appeal subject to conditions to the same or similar effect as an order under subsection (6) or (7).

This does not affect the general discretion of the court to grant leave subject to conditions."back

[17] 1996 c. 23.

Sections 81(1)(c) and 81(2) of the Arbitration Act 1996 provide as follows:

81. - (1) Nothing in this Part shall be construed as excluding the operation of any rule of law consistent with the provisions of this Part, in particular, any rule of law as to - 

. . .

(c) the refusal of recognition or enforcement of an arbitral award on grounds of public policy.

(2) Nothing in this Act shall be construed as reviving any jurisdiction of the court to set aside or remit an award on the ground of errors of fact or law on the face of the award."back

[18] 1996 c. 23.

Section 71 of the Arbitration Act 1996 provides as follows:

71. - (1) The following provisions have effect where the court makes an order under section 67, 68 or 69 with respect to an award.

(2) Where the award is varied, the variation has effect as part of the tribunal's award.

(3) Where the award is remitted to the tribunal, in whole or in part, for reconsideration, the tribunal shall make a fresh award in respect of the matters remitted within three months of the date of the order for remission or such longer or shorter period as the court may direct.

(4) Where the award is set aside or declared to be of no effect, in whole or in part, the court may also order that any provision that an award is a condition precedent to the bringing of legal proceedings in respect of a matter to which the arbitration agreement applies, is of no effect as regards the subject matter of the award or, as the case may be, the relevant part of the award."back

[19] Sections 80(1), (2), (4), (5), (6) and (7) of the Arbitration Act 1996 provide as follows:

80. - (1) References in this Part to an application, appeal or other step in relation to legal proceedings being taken "upon notice" to the other parties to the arbitral proceedings, or to the tribunal, are to such notice of the originating process as is required by rules of court and do not impose any separate requirement.

(2) Rules of court shall be made - 

(a) requiring such notice to be given as indicated by any provision of this Part, and

(b) as to the manner, form and content of any such notice.

. . .

(4) References in this Part to making an application or appeal to the court within a specified period are to the issue within that period of the appropriate originating process in accordance with rules of court.

(5) Where any provision of this Part requires an application or appeal to made to the court within a specified time, the rules of court relating to the reckoning of periods, the extending or abridging of periods, and the consequences of not taking a step within the period prescribed by the rules, apply in relation to that requirement.

(6) Provision may be made by rules of court amending the provisions of this Part - 

(a) with respect to the time within which any application or appeal to the court must be made,

(b) so as to keep any provision made by this Part in relation to arbitral proceedings in step with the corresponding provision of rules of court applying in relation to proceedings in the court, or

(c) so as to keep any provision made by this Part in relation to legal proceedings in step with the corresponding provision of rules of court applying generally in relation to proceedings in the court.

(7) Nothing in this section affects the generality of the power to make rules of court."back

[20] 1996 c. 23.

Section 77 of the Arbitration Act 1996 provides as follows:

77. - 

(1) This section applies where service of a document on a person in the manner agreed by the parties, or in accordance with provisions of section 76 having effect in default of agreement, is not reasonably practicable.

(2) Unless otherwise agreed by the parties, the court may make such order as it thinks fit - 

(a) for service in such manner as the court may direct, or

(b) dispensing with service of the document.

(3) Any party to the arbitration agreement may apply for an order, but only after exhausting any available arbitral process for resolving the matter.

(4) The leave of the court is required for any appeal from a decision of the court under this section."back

[21] Section 78(2), (3), (4) and (5) of the Arbitration Act 1996 provide as follows:

78. - (2) If or to the extent there is no such agreement, periods of time shall be reckoned in accordance with the following provisions.

(3) Where the act is required to be done within a specified period after or from a specified date, the period begins immediately after that date.

(4) Where the act is required to be done a specified number of clear days after a specified date, at least that number of days must intervene between the day on which the act is done and that date.

(5) Where the period is a period of seven days or less which would include a Saturday, Sunday or a public holiday in the place where anything which has to be done within the period falls to be done, that day shall be excluded.

In relation to England and Wales or Northern Ireland, a "public holiday" means Christmas Day, Good Friday or a day which under the Banking and Financial Dealings Act 1971 is a bank holiday."back


ISBN 0 11 045433 2


 
© Crown copyright 2003
Prepared 31 March 2003

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