(f)a statement of truth in accordance with regulation 15.

(4) The following documents must be annexed to the notice of appeal—

(a)a copy of any written record of the decision being challenged,

(b)any separate written statement of the reasons for that decision, and

(c)a list of every document, or part of a document, on which the appellant relies, including the written statements of any witnesses relied on.

(5) The respondent must, within the applicable period beginning with the day after the day on which the notice of appeal was served on that party serve on the secretary and the other parties to the appeal a notice (“the respondent’s notice”) responding to the notice of appeal.

(6) If the respondent did not submit a response to the application for permission to appeal, the respondent’s notice must state—

(a)the name and address of the respondent,

(b)the name and address of the representative, if any, of the respondent, and

(c)an email address or a postal address in the United Kingdom where documents for the respondent may be sent or delivered.

(7) The respondent’s notice must in all cases include—

(a)the grounds on which the respondent is resisting the appeal, including a full explanation for the decision which is the subject of the appeal,

(b)a list of—

(i)every document, or part of a document, on which the respondent relies in support of the decision, including the written statements of any witnesses relied on, and

(ii)any further material, or relevant extracts, which in the opinion of the respondent might undermine the decision taken, and

(c)a statement of truth in accordance with regulation 15.

(8) Within the applicable period beginning with the day after the day on which the respondent’s notice was served on the appellant, the appellant may serve on the secretary a reply to the respondent’s notice.

(9) If the appellant serves a reply to the respondent’s notice under paragraph (8), the appellant must at the same time serve a copy of the reply on all other parties to the appeal.

(10) A party to the appeal may request a copy of any document which is included in a list provided under regulation 11(8)(c) or paragraphs (4)(c) or (7)(b).

(11) The secretary must provide copies of all documents served on the secretary under this regulation to members of the appeal panel as soon as reasonably practicable.

Directions

14.—(1) The appeal panel must, before the expiry of the applicable period beginning with the day after the day on which the respondent’s notice was received by the secretary, direct—

(a)whether there is to be an oral hearing;

(b)if there is to be a hearing, what procedure is to be adopted in that hearing;

(c)if there is not going to be a hearing, what further evidence may be submitted to the appeal panel.

(2) Directions given under paragraph (1) must—

(a)permit each party to the appeal to appear in person or to be represented in any hearing held;

(b)ensure that each party to the appeal receives copies of evidence submitted to the appeal panel by another party and has the opportunity to respond to that evidence;

(c)permit a party to the appeal to participate in a hearing through a video link or by other means of remote communication;

(d)require parties to the appeal to produce copies of any documents included on the lists provided under regulations 11(8)(c), 13(4)(c) or 13(7)(b) to the appeal panel and to the other parties to the appeal;

(e)permit or require a party to provide other documents, information or evidence, or to make submissions to the appeal panel or to a party.

(3) If the appeal panel directs that there is to be an oral hearing of the appeal, the appeal panel must give not less than 14 days’ notice, ending with the day before the day on which the hearing is to be held, of the date, time and place of the hearing to all parties to the appeal.

(4) The appeal panel may, at any time, on the application of a party or of its own initiative, give such directions as are provided for in paragraph (5), or such other directions as it thinks fit, to secure that the proceedings are dealt with justly and at proportionate cost.

(5) The appeal panel may give directions—

(a)as to the manner in which the proceedings are to be conducted, including any time limits to be observed in the conduct of an oral hearing;

(b)that the parties submit additional pleadings or particulars;

(c)for the preparation and exchange of skeleton arguments;

(d)requiring clarification of any matter in dispute, or additional information in relation to any such matter, within the time specified by the appeal panel;

(e)as to the submission in advance of a hearing of any witness statement or expert reports;

(f)as to the examination or cross-examination of witnesses;

(g)for the submission of a list of issues;

(h)for the production of bundles for any hearing;

(i)as to the fixing of time limits with respect to any aspect of the hearing;

(j)as to the abridgement or extension of any time limits, whether or not expired;

(k)that the whole or part of any proceedings, decision or determination be stayed either generally or until a specified date or event;

(l)for the production by a party or third party of documents or classes of documents;

(m)permitting information which is commercially sensitive to be produced in redacted form, or to be withheld;

(n)for the appointment and instruction of experts, whether by the appeal panel or by the parties and as to the manner in which expert evidence is to be given;

(o)for the hearing of any issues as preliminary issues prior to the main substantive hearing;

(p)for hearing a person who is not a party, where it is proposed at any point in the proceedings to make an order or give a direction in relation to that person.

(6) The appeal panel may also, of its own initiative—

(a)put questions to the parties;

(b)invite the parties to make written or oral submissions on certain aspects of the proceedings;

(c)ask the parties or third parties for information or particulars;

(d)ask for documents relating to the case to be produced.

(7) An application by the parties for directions must—

(a)be made in writing as soon as possible,

(b)be supported by reasons,

(c)indicate whether it is agreed or contested by the other parties,

(d)be served on any other party who might be affected by such directions, and

(e)be determined by the appeal panel taking into account the observations of the parties.

Statement of truth

15.—(1) This regulation applies where a document is required to contain a statement of truth.

(2) The statement of truth verifying a document must be as follows—

“[I believe][The person on whose behalf the statement is being made believes] that the facts stated in the [name of the document being verified] are true.”.

(3) In a notice of application for permission to appeal or an application for permission to intervene, the statement of truth must be signed by the applicant or its legal representative.

(4) In a notice of appeal, response to the application for permission to appeal, statement of intervention or respondent’s notice, the statement of truth must be signed by the relevant party to the appeal or its legal representative.

(5) Where a document is to be verified on behalf of a body corporate or a partnership the statement of truth must be signed by a person holding a senior position in the body corporate or partnership, and the person making the statement must state the position that person holds.

(6) For the purposes of paragraph (5), the following people hold a senior position—

(a)in a partnership, each of the partners;

(b)in a government department, each member of the senior civil service, but not a person who has been temporarily promoted to the senior civil service;

(c)in the regulator, each person holding an equivalent rank to a person in sub-paragraph (b);

(d)in a body corporate, other than a government department or the regulator—

(i)a director or other member of the management body,

(ii)the treasurer,

(iii)the secretary,

(iv)the chief executive, or

(v)a manager or other officer.

(7) Where a statement of truth is signed by a legal representative—

(a)the statement must refer to the client’s belief and not that of the legal representative;

(b)the legal representative’s signature will be treated by the appeal panel as a statement that—

(i)the client on whose behalf the legal representative has signed has authorised the representative to do so,

(ii)before signing, the representative had explained to the client that in signing the statement of truth the representative would be confirming the client’s belief that the facts stated in the document were true, and

(iii)before signing, the representative had informed the client of the possible consequences to the client if it should subsequently appear that the client did not have an honest belief in the truth of those facts.

(8) Individuals who sign a statement of truth must print their full name clearly below their signature.

(9) Legal representatives who sign a statement of truth must sign it in their own name and not that of their firm or employer.

(10) A person who makes, or causes to be made, a false statement in a document verified by a statement of truth without an honest belief in its truth commits an offence.

(11) A person who commits an offence under paragraph (10) is liable—

(a)on summary conviction in England and Wales, to a fine;

(b)on summary conviction in Scotland or Northern Ireland, to a fine not exceeding the statutory maximum;

(c)on conviction on indictment, to imprisonment for a term not exceeding two years or a fine, or both.

Service of documents

16.—(1) Any notice or other document required or authorised by these Regulations to be served on any person may be served by—

(a)delivering it to that person in person,

(b)leaving it at that person’s address for service,

(c)sending it by first class post to that person’s address for service, or

(d)sending it by electronic means in accordance with paragraph (3).

(2) A document served in accordance with paragraph (1) is deemed to have been served and received—

(a)if it is delivered in person or left at the address for service—

(i)on a business day before 4.30 p.m., on that day;

(ii)in any other case, on the next business day after the day on which it was so delivered or left;

(b)if it is sent by first class post, the second business day after it was posted;

(c)if it is sent by email—

(i)if the email was sent on a business day before 4.30 p.m., on that day;

(ii)in any other case, on the next business day after the day on which the email was sent.

(3) A document may be served by electronic means—

(a)on any party if that party has—

(i)provided an email address for service, and that address has not been withdrawn, and

(ii)indicated the format in which documents must be sent, and

(b)on the secretary to the appeal panel, in any format which the secretary has indicated is acceptable.

(4) Where a party wishes to serve a document containing a statement of truth by email, that party should retain the document containing the original signature and serve on the secretary and other parties to the appeal a version of the document satisfying one of the following requirements—

(a)the document contains an accurate image of the signature of the person who has signed the statement of truth,

(b)the name of the person who has signed the statement of truth is typed underneath the statement, or

(c)the person who has signed the statement of truth has applied a facsimile of their signature to the statement in the document by electronic means.

(5) The appeal panel may require a party to produce the document containing the original signature.

(6) In this regulation—

“address for service” means—

“business day” means any day other than a Saturday, a Sunday, or a day which is a bank holiday under the Banking and Financial Dealings Act 1971(7) in any part of the United Kingdom.

Prevention of disclosure or publication of documents and information

17.—(1) The appeal panel may make an order prohibiting the disclosure of specified documents or information relating to the proceedings.

(2) The appeal panel may give a direction prohibiting the disclosure of a document or information to a person if—

(a)the appeal panel is satisfied that such disclosure would breach any international obligations of the United Kingdom or involve disclosure of sensitive information, and

(b)the appeal panel is satisfied, having regard to the interests of justice, that it is proportionate to give such a direction.

(3) If one party to the appeal (“the first party”) considers that the appeal panel should give a direction under paragraph (2) prohibiting the disclosure of a document or information to another party (“the second party”), the first party must—

(a)exclude the relevant document or information from any documents that will be provided to the second party, and

(b)provide to the appeal panel the excluded document or information, and the reason for its exclusion, so that the appeal panel may decide whether the document or information should be disclosed to the second party or should be the subject of a direction under paragraph (2).

(4) If the appeal panel gives a direction under paragraph (2) which prevents disclosure to a party who has appointed a representative, the appeal panel may give a direction that the documents or information be disclosed to that representative if the panel is satisfied that—

(a)disclosure to the representative would be in the interests of the party, and

(b)the representative will act in accordance with paragraph (5).

(5) Documents or information disclosed to a representative in accordance with a direction under paragraph (4) must not be disclosed either directly or indirectly to any other person without the appeal panel’s consent.

(6) The appeal panel may give a direction that certain documents or information must be disclosed to the appeal panel on the basis that the panel will not disclose such documents or information to other persons, or specified other persons.

(7) A party making an application for a direction under paragraph (6) may withhold the relevant documents or information from other parties until the appeal panel has granted or refused the application.

(8) Unless the appeal panel considers that there is good reason not to do so, the panel must serve notice that a party has made an application for a direction under paragraph (6) on each other party.

(9) In a case involving matters relating to national security, the appeal panel must ensure that information is not disclosed contrary to the interests of national security.

(10) The appeal panel must conduct proceedings and record its decision and reasons appropriately so as not to undermine the effect of an order made under paragraph (1), a direction given under paragraph (2) or (6) or the duty imposed by paragraph (9).

Evidence

18.—(1) The appeal panel may give directions as to—

(a)the provision by the parties of statements of agreed matters and statements of matters which are not agreed,

(b)the issues on which it requires evidence, and the admission or exclusion from the proceedings of particular evidence,

(c)the nature of the evidence which it requires to decide those issues,

(d)whether the parties are permitted to provide expert evidence,

(e)any limits on the number of witnesses whose evidence a party may put forward, whether in relation to a particular issue or generally, and

(f)the way in which evidence is to be placed before the appeal panel.

(2) In deciding whether to admit or exclude evidence, the appeal panel must have regard to whether it would be just and proportionate to do so, taking into account—

(a)the statutory provision under which the appeal is brought and the standard of review being applied by the appeal panel,

(b)whether or not the substance of the evidence was available to the respondent before the decision which is the subject of the appeal was taken,

(c)the prejudice that may be suffered by one or more parties if the evidence is admitted or excluded, and

(d)whether the evidence is necessary to enable the appeal panel to determine the appeal.

(3) Unless the appeal panel directs otherwise, no witness of fact or expert witness may be heard unless the relevant witness statement or expert report has been submitted in advance of the hearing and in accordance with any directions of the appeal panel.

(4) The appeal panel may require witnesses to give evidence on oath or affirmation or if in writing by way of affidavit.

(5) The appeal panel may allow a witness to give evidence through a video link or by other means of remote communication.

(6) The appeal panel may dispense with the need to call a witness to give oral evidence if a witness statement or expert report has been submitted in respect of that witness.

(7) The appeal panel may limit cross-examination of witnesses to any extent or in any manner it considers appropriate.

(8) The requirements set out in paragraphs 2 to 23 of Practice Direction 32 to the Civil Procedure Rules 1998(8) apply to affidavits, exhibits, witness statements and other evidence given during the course of an appeal to the appeal panel under these Regulations as they apply to evidence submitted for proceedings in court.

(9) For the purposes of paragraph (8), references in Practice Direction 32—

(a)to the court are to be treated as references to the appeal panel;

(b)to filing documents at court are to be treated as references to filing them with the secretary to the appeal panels;

(c)to court officers are to be treated as references to the secretary to the appeal panels;

(d)to the claim form are to be treated as references to the notice of appeal.

Hearings

19.—(1) If there is an oral hearing of the appeal, the hearing must take place in private.

(2) The appellant, the respondent and any party who has been given leave to intervene under regulation 11 may appear or be represented at the hearing.

(3) The appeal panel may give a direction excluding from any hearing, or part of it, any person who the panel considers should be excluded in order to give effect to the requirement at regulation 17(10).

Failure to comply with direction

20.—(1) If any party fails to comply with any direction issued by the appeal panel in accordance with these Regulations, the panel may if it considers that the justice of the case so requires, order that—

(a)the requirements of the direction be waived,

(b)the failure be remedied, or

(c)the party be debarred from taking any further part in the proceedings without the permission of the appeal panel.

(2) Before making an order under paragraph (1)(c), the appeal panel must give the party (or its representative) the opportunity to make submissions as to why the order should not be made.

Striking out

21.—(1) The appeal panel may, after giving the parties an opportunity to be heard, either on its own initiative or on the application of a party, strike out an appeal in whole or in part at any stage of the proceedings if—

(a)it considers that the notice of appeal, or part of it, discloses no valid ground of appeal,

(b)it considers that the appellant does not have a sufficient interest in the decision in respect of which the appeal is made,

(c)it is satisfied that the appellant has habitually and persistently and without any reasonable ground—

(i)instituted vexatious proceedings, whether against the same person or different persons, or

(ii)made vexatious applications in the proceedings, or

(d)the appellant fails to comply with these Regulations or with any direction issued by the appeal panel.

(2) When the appeal panel strikes out an appeal it may make any consequential determination it considers appropriate.

Amendments to notice of appeal

22.—(1) The appellant may amend the notice of appeal only with the permission of the appeal panel.

(2) Where the appeal panel grants permission under paragraph (1) it may do so on such terms as it thinks fit, and may give any further or consequential directions it considers necessary, including directions permitting the respondent to respond to the amended notice of appeal.

(3) In deciding whether to grant permission under paragraph (1), the appeal panel must take into account all the circumstances including whether the proposed amendment—

(a)involves a substantial change or addition to the appellant’s case,

(b)is based on matters of law or fact which have come to light since the notice of appeal was served, or

(c)for any other reason could not practicably have been included in the notice of appeal.

Withdrawal of the appeal

23.—(1) The appellant may withdraw its appeal at any time.

(2) The regulator may only reconsider the decision which is the subject of the appeal before the appeal is determined with leave of the appeal panel.

(3) Where an appeal is withdrawn, the appeal panel or, where no appeal panel has been appointed, the Secretary of State, may instruct the secretary to publish notice of the withdrawal on the panel website or in such other manner as the appeal panel or the Secretary of State, as the case may be, may direct.

(4) Where an appeal is withdrawn—

(a)any interim order of the appeal panel immediately ceases to have effect, and

(b)a fresh appeal may only be brought by the appellant in relation to the decision which was the subject of the appeal—

(i)within the period of 21 days after the day on which the initial appeal is withdrawn, and

(ii)with the permission of the appeal panel.

Decisions on appeals

24.—(1) The appeal panel must give notice of its decision to the Secretary of State, the appellant, the respondent and any intervener, within the applicable period beginning with the day after the day on which the decision was taken.

(2) If the appeal is dismissed, the notice must state—

(a)that the decision appealed against is confirmed,

(b)what action, if any, is required from the appellant, and

(c)the date by which this action must be taken.

(3) If the appeal is allowed in whole or in part, the notice must state—

(a)which parts of the decision appealed against are quashed, and which parts, if any, are confirmed,

(b)how the decision appealed against is varied, and

(c)whether the whole decision is being remitted to the person who made the decision for reconsideration or, if not, which elements of the matter are being so remitted for reconsideration.

(4) The notice must also—

(a)set out the reasons for the appeal panel’s decision,

(b)state the date on which the appeal panel’s decision comes into effect, and

(c)be signed by the chair of the appeal panel.

(5) If the appeal is allowed in whole or in part, the regulator must, within the period of 28 days beginning with the day after the day on which the regulator received notice of the decision—

(a)reimburse the appellant an amount equal to the fees paid by the appellant in relation to the appeal under regulation 9;

(b)write to the appellant explaining—

(i)what action the regulator will take to comply with the appeal panel’s determination, and

(ii)when that action will be taken.

(6) Notice of the outcome of the appeal must be published by the secretary on the panel website unless paragraph (7) applies.

(7) This paragraph applies if publishing the notice would, in the opinion of the appeal panel—

(a)breach any international obligations of the United Kingdom,

(b)involve the disclosure of sensitive information, or information which is commercially sensitive, or

(c)breach data protection legislation, and for these purposes, “data protection legislation” has the meaning given in section 3(9) of the Data Protection Act 2018(9).

(8) The secretary must remove information relating to an appeal from the panel website—

(a)if the decision of the appeal panel to grant an appeal is overturned by the court on an application for judicial review, or

(b)if later, after the expiry of a period of five years beginning with the day after the day on which that information was first published on the panel website.