The Transfer of Tribunal Functions Order 2010

• Citation: S.I. 2010/22
• Sections: 364

Section 1 Citation, commencement and extent

(1) This Order may be cited as the Transfer of Tribunal Functions Order 2010 and, subject to paragraph (2), comes into force on 18th January 2010.

(2) The following provisions of this Order come into force on 6th April 2010—

(a) paragraph (5);

(b) article 2(2), (3)(b) and (4);

(c) article 3 in respect of the Financial Services and Markets Tribunal;

(d) Schedule 1 in respect of the Financial Services and Markets Tribunal and the Pensions Regulator Tribunal;

(e) in Schedule 2, paragraphs 3(c)(i), 4(c), 5 to 9, 12 to 14, 15(c), 17(b), 18(b), 20 to 23, 43 to 49, 74 to 89, 92(h) to (k) and 141 to 151;

(f) in Schedule 3, paragraphs 16 to 38, 90 to 94, 140 to 142, 143(d), 144 to 146, 148 to 158, 176 to 189 and 191 to 200; and

(g) Part 2 of Schedule 4.

(3) Subject as follows, this Order extends to England and Wales, Scotland and Northern Ireland.

(4) Except as provided by paragraph (5), an amendment, repeal or revocation of any enactment by any provision of Schedule 2, 3 or 4 extends to the part or parts of the United Kingdom to which the enactment extends.

(5) The amendments, repeals and revocations made by the following provisions do not extend to Northern Ireland—

(a) in Schedule 2, paragraphs 5(b), 9(b), 77 to 79, 83 to 85, 88, 142(b) and 143(b);

(b) in Schedule 3, paragraphs 90 to 94;

(c) in Part 2 of Schedule 4, the entries relating to—

(i) the Tribunals, Courts and Enforcement Act 2007 in so far as it relates to paragraph 40 of Schedule 10;

(ii) the Pensions Act 2008 ;

(iii) the Pensions Regulator Tribunal Rules 2005 ; and

(iv) the Lord Chancellor (Transfer of Functions and Supplementary Provisions) ( No. 2) Order 2006 .

Section 2 Transfer of functions of certain tribunals

(1) The functions of the following tribunals are transferred to the First-tier Tribunal—

(a) tribunals drawn from the Adjudication Panel for England;

(b) the Claims Management Services Tribunal;

(c) the Gambling Appeals Tribunal;

(d) the Immigration Services Tribunal; and

(e) the Family Health Services Appeal Authority.

(2) The functions of the Financial Services and Markets Tribunal are transferred to the Upper Tribunal.

(3) The functions of the following tribunals are transferred to the First-tier Tribunal and the Upper Tribunal with the question as to which one of them is to exercise the functions in a particular case being determined by, or under, Tribunal Procedure Rules—

(a) the Information Tribunal; and

(b) subject to paragraph (4), the Pensions Regulator Tribunal.

(4) The functions of the Pensions Regulator Tribunal exercisable in relation to Northern Ireland are not transferred.

Section 3 Abolition of tribunals

The tribunals mentioned in article 2(1), (2) and (3)(a) are abolished.

Section 4 Persons becoming judges and other members of the First-tier Tribunal and the Upper Tribunal

A person who, immediately before this Order comes into force, holds an office listed in a part of Schedule 1, is to hold the office or offices set out in the corresponding entry in the table below.

Section 5 Consequential, transitional and saving provisions

(1) Schedule 2 contains amendments to primary legislation as a consequence of the transfers effected by this Order.

(2) Schedule 3 contains amendments to secondary legislation as a consequence of the transfers effected by this Order.

(3) Schedule 4 contains repeals and revocations as a consequence of the amendments in Schedules 2 and 3.

(4) Schedule 5 contains transitional and saving provisions.

Section 1 Public Records Act 1958

In paragraph 4(1) of Schedule 1 to the Public Records Act 1958 (definition of public records) omit paragraphs (ja) and (nn).

Section 2 Parliamentary Commissioner Act 1967

In Schedule 4 to the Parliamentary Commissioner Act 1967 (relevant tribunals for the purposes of section 5(7)) omit the entry relating to the Information Tribunal.

Section 3 House of Commons Disqualification Act 1975

In Schedule 1 to the House of Commons Disqualification Act 1975 (offices disqualifying for membership)—

(a) in Part 1 (judicial offices) omit the entry relating to a member of the Immigration Services Tribunal;

(b) in Part 2 (bodies of which all members are disqualified) omit the entries relating to—

(i) the Gambling Appeals Tribunal; and

(ii) the Information Tribunal; and

(c) in Part 3 (other disqualifying offices) omit the entries relating to—

(i) any member, in receipt of remuneration, of a panel of persons who may be selected to act as members of the Financial Services and Markets Tribunal; and

(ii) the President and any Deputy President of the Family Health Services Appeal Authority.

Section 4 Northern Ireland Assembly Disqualification Act 1975

In Schedule 1 to the Northern Ireland Assembly Disqualification Act 1975 (offices disqualifying for membership)—

(a) in Part 1 (judicial offices) omit the entry relating to a member of the Immigration Services Tribunal;

(b) in Part 2 (bodies of which all members are disqualified) omit the entry relating to the Information Tribunal; and

(c) in Part 3 (other disqualifying offices) omit the entry for any member, in receipt of remuneration, of a panel of persons who may be selected to act as members of the Financial Services and Markets Tribunal.

Section 5 Companies Act 1985

In Schedule 15D to the Companies Act 1985 (disclosures)—

(a) for paragraph 43 substitute—

(43) A disclosure with a view to the institution of, or otherwise for the purposes of, proceedings before the Upper Tribunal in respect of—

(a) a decision of the Financial Services Authority;

(b) a decision of the Bank of England; or

(c) a decision of a person relating to the assessment of any compensation or consideration under the Banking (Special Provisions) Act 2008 or the Banking Act 2009 .

(b) in paragraph 44A for “the Pensions Regulator Tribunal” substitute “a tribunal in relation to a decision of the Pensions Regulator”.

Section 6 Building Societies Act 1986

The Building Societies Act 1986 is amended as follows.

Section 7 Building Societies Act 1986

In section 46A (notices, hearings and appeals)—

(a) in subsection (5) for “Financial Services and Markets Tribunal” substitute “Upper Tribunal”; and

(b) omit subsection (7).

Section 8

In section 93 (amalgamations)—

(a) in subsection (6B) for “Financial Services and Markets Tribunal” substitute “Upper Tribunal”; and

(b) in subsection (6C) for “section 133(9)” substitute “section 133A(4)”.

Section 9 Companies Act 1989

In Section 87(2) of the Companies Act 1989 (exceptions from restrictions on disclosure)—

(a) for paragraph (b) substitute—

(b) civil proceedings arising under or by virtue of the Financial Services and Markets Act 2000 and proceedings before the Upper Tribunal in respect of—

(i) a decision of the Financial Services Authority;

(ii) a decision of the Bank of England; or

(iii) a decision of a person relating to the assessment of any compensation or consideration under the Banking (Special Provisions) Act 2008 or the Banking Act 2009 ,

(b) in paragraph (d) for “the Pensions Regulator Tribunal” substitute “a tribunal in relation to a decision of the Pensions Regulator”.

Section 10 Courts and Legal Services Act 1990

In Schedule 11 to the Courts and Legal Services Act 1990 (judges etc. barred from legal practice) omit the entry relating to the President of the Gambling Appeals Tribunal.

Section 11 Planning and Compensation Act 1991

In Part 2 of Schedule 18 to the Planning and Compensation Act 1991 (compensation provisions referred to in section 80) for the entry for rule 32 of the Tribunal Procedure (Upper Tribunal) (Lands Chamber) Rules 2009 substitute—

Rule 32 of the Lands Tribunal Rules 1996 (awards with interest by Lands Chamber of the Upper Tribunal).

Section 12 Friendly Societies Act 1992

The Friendly Societies Act 1992 is amended as follows.

Section 13 Friendly Societies Act 1992

In section 58A (notices, hearings and appeals)—

(a) in subsection (5) for “Financial Services and Markets Tribunal” substitute “Upper Tribunal”; and

(b) omit subsection (7).

Section 14

In section 85 (amalgamation of friendly societies)—

(a) in subsection (4C) for “Financial Services and Markets Tribunal” substitute “Upper Tribunal”; and

(b) in subsection (4D) for “section 133(9)” substitute “section 133A(4)”.

Section 15 Tribunals and Inquiries Act 1992

In Part 1 of Schedule 1 to the Tribunals and Inquiries Act 1992 (tribunals under direct supervision of Council) omit—

(a) paragraph 8A relating to the Claims Management Services Tribunal;

(b) paragraph 14(b) relating to the Information Tribunal;

(c) paragraph 18 relating to the Financial Services and Markets Tribunal;

(d) paragraph 21C relating to the Gambling Appeals Tribunal;

(e) paragraph 22A relating to the Immigration Services Tribunal; and

(f) paragraph 33(b) relating to the Family Health Services Appeal Authority.

Section 16 Judicial Pensions and Retirement Act 1993

The Judicial Pensions and Retirement Act 1993 is amended as follows.

Section 17 Judicial Pensions and Retirement Act 1993

In Part 2 of Schedule 1 (the offices which may be qualifying judicial offices – other appointments) omit the entries relating to—

(a) the President of the Gambling Appeals Tribunal; and

(b) the President or Deputy President of the Financial Services and Markets Tribunal.

Section 18

In Schedule 5 (retirement provisions: the relevant offices) omit the entries relating to—

(a) the chairman or a deputy chairman of the Information Tribunal;

(b) a Member of the Financial Services and Markets Tribunal; and

(c) the President or other member of the Gambling Appeals Tribunal.

Section 19

In Schedule 7 (retirement dates: transitional provisions), in paragraph 5(5) omit paragraph (xxvi) relating to the chairman or a deputy chairman of the Information Tribunal.

Section 20 Pension Schemes Act 1993

In section 175(1)(d) of the Pension Schemes Act 1993 (levies towards certain expenditure) for “the Pensions Regulator Tribunal” substitute “a tribunal in relation to a decision of the Pensions Regulator”.

Section 21 Pensions Act 1995

The Pensions Act 1995 is amended as follows.

Section 22 Pensions Act 1995

In section 3 (prohibition orders)—

(a) in subsection (4)—

(i) in paragraph (a) for “the Tribunal” substitute “a tribunal”; and

(ii) in paragraph (b) for “the Tribunal’s determination” substitute “the determination of the tribunal concerned”; and

(b) omit subsection (8).

Section 23

In section 4 (suspension orders)—

(a) in subsection (5A)—

(i) in paragraph (a) for “the Tribunal” substitute “a tribunal”; and

(ii) in paragraph (b) for “the Tribunal’s determination” substitute “the determination of the tribunal concerned”; and

(b) omit subsection (7).

Section 24 Data Protection Act 1998

The Data Protection Act 1998 is amended as follows.

Section 25 Data Protection Act 1998

In section 6 (the Commissioner and the Tribunal)—

(a) in the heading omit “and the Tribunal”;

(b) omit subsections (3) to (6); and

(c) in subsection (7) omit “and the Tribunal”.

Section 26

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Section 27

In section 49 (determination of appeals) omit subsections (6) and (7).

Section 28

In section 55E (notices under sections 55A and 55B: supplemental) in subsection (2)—

(a) omit paragraph (d);

(b) in paragraph (e) for “such appeals” substitute “appeals made by virtue of paragraph (c)”; and

(c) omit paragraph (f).

Section 29

In section 70(1) (supplementary definitions) for the definition of “the Tribunal” substitute—

“the Tribunal”, in relation to any appeal under this Act, means—

the Upper Tribunal, in any case where it is determined by or under Tribunal Procedure Rules that the Upper Tribunal is to hear the appeal; or

the First-tier Tribunal, in any other case;

Section 30

In Schedule 5 (the Information Commissioner and the Information Tribunal)—

(a) in the heading omit “and the Information Tribunal”; and

(b) omit Part 2 (the Tribunal).

Section 31

In Schedule 6 (appeal proceedings)—

(a) omit paragraphs 1 to 6; and

(b) in paragraph 7—

(i) for the heading substitute “Tribunal Procedure Rules”;

(ii) for sub-paragraphs (1) and (2) substitute—

(1) Tribunal Procedure Rules may make provision for regulating the exercise of the rights of appeal conferred—

(a) by sections 28(4) and (6) and 48 of this Act, and

(b) by sections 47(1) and (2) and 60(1) and (4) of the Freedom of Information Act 2000.

(2) In the case of appeals under this Act and the Freedom of Information Act 2000, Tribunal Procedure Rules may make provision—

(a) for securing the production of material used for the processing of personal data;

(b) for the inspection, examination, operation and testing of any equipment or material used in connection with the processing of personal data;

(c) for hearing an appeal in the absence of the appellant or for determining an appeal without a hearing.

(iii) omit sub-paragraph (3).

Section 32 Immigration and Asylum Act 1999

The Immigration and Asylum Act 1999 is amended as follows.

Section 33 Immigration and Asylum Act 1999

In section 82(1) (interpretation of Part 5) omit the definition of “the Tribunal” and the preceding “and”.

Section 34

For the italic cross-heading preceding section 87 (the Immigration Services Tribunal) substitute “Appeals to the First-tier Tribunal”.

Section 35

In section 87 (the Tribunal)—

(a) for the heading substitute “Appeals to the First-tier Tribunal”;

(b) omit subsections (1) and (5);

(c) in subsection (2) for “Tribunal” substitute “First-tier Tribunal”;

(d) after subsection (3) insert—

(3A) A relevant decision of the Commissioner is not to have effect while the period within which an appeal may be brought against the decision is running.

(3B) In the case of an appeal under this section, Tribunal Procedure Rules may include provision permitting the First-tier Tribunal to direct that while the appeal is being dealt with—

(a) no effect is to be given to the decision appealed against; or

(b) only such limited effect is to be given to it as may be specified in the direction.

(3C) If provision is made in Tribunal Procedure Rules by virtue of subsection (3B), the rules must also include provision requiring the First-tier Tribunal to consider applications by the Commissioner for the cancellation or variation of directions given by virtue of that subsection.

(e) for subsection (4) substitute—

(4) For a further function of the First-tier Tribunal under this Part, see paragraph 9(1)(e) of Schedule 5 (disciplinary charges laid by the Commissioner).

Section 36

In section 88 (appeal upheld by the Tribunal), in the heading and in subsections (1) and (2) for “Tribunal” substitute “First-tier Tribunal”.

Section 37

In section 89 (disciplinary charge upheld by the Tribunal), in the heading and in subsections (1) to (9) in each place for “Tribunal” substitute “First-tier Tribunal”.

Section 38

In section 91(2)(a) (definition of “restraining order”) for “Tribunal” substitute “First-tier Tribunal”.

Section 39

In section 93(1)(b) (information) for “Tribunal” substitute “First-tier Tribunal”.

Section 40

In Part 1 of Schedule 5 (the Immigration Services Commissioner: regulatory functions), in paragraph 9(1)(e), (2)(a) and (3) for “Tribunal” substitute “First-tier Tribunal”.

Section 41

In Schedule 6 (registration), in paragraphs 3(7)(a) and 6(3)(b) for “Tribunal” substitute “First-tier Tribunal”.

Section 42

Omit Schedule 7 (the Immigration Services Tribunal).

Section 43 Financial Services and Markets Act 2000

The Financial Services and Markets Act 2000 is amended as follows.

Section 44 Financial Services and Markets Act 2000

Omit section 132 (the Financial Services and Markets Tribunal).

Section 45

For section 133 (proceedings: general provision) substitute—

Proceedings before Tribunal: general provision

(133)

(1) This section applies in the case of a reference or appeal to the Tribunal (whether made under this or any other Act) in respect of—

(a) a decision of the Authority;

(b) a decision of the Bank of England; or

(c) a decision of a person relating to the assessment of any compensation or consideration under the Banking (Special Provisions) Act 2008 or the Banking Act 2009 .

(2) In this section—

“relevant decision” means a decision mentioned in subsection (1)(a), (b) or (c); and

“the decision-maker”, in relation to a relevant decision, means the person who made the relevant decision.

(3) Tribunal Procedure Rules may make provision for the suspension of a relevant decision which has taken effect, pending determination of the reference or appeal.

(4) The Tribunal may consider any evidence relating to the subject-matter of the reference or appeal, whether or not it was available to the decision-maker at the material time.

(5) The Tribunal must determine what (if any) is the appropriate action for the decision-maker to take in relation to the matter referred or appealed to it.

(6) On determining the reference or appeal, the Tribunal must remit the matter to the decision-maker with such directions (if any) as the Tribunal considers appropriate for giving effect to its determination.

(7) The decision-maker must act in accordance with the determination of, and any direction given by, the Tribunal.

(8) An order of the Tribunal may be enforced—

(a) as if it were an order of a county court; or

(b) in Scotland, as if it were an order of the Court of Session.

Proceedings before Tribunal: decision and supervisory notices, etc.

(133A)

(1) In determining a reference made (whether under this or any other Act) as a result of a decision notice given by the Authority, the Tribunal may not direct the Authority to take action which the Authority would not, as a result of section 388(2), have had power to take when giving the notice.

(2) In determining a reference made as a result of a supervisory notice given by the Authority, the Tribunal may not direct the Authority to take action which would have otherwise required the giving of a decision notice.

(3) In subsection (2) “supervisory notice” has the same meaning as in section 395.

(4) The Authority must not take the action specified in a decision notice—

(a) during the period within which the matter to which the notice relates may be referred to the Tribunal (whether under this or any other Act); and

(b) if the matter is so referred, until the reference, and any appeal against the Tribunal’s determination, has been finally disposed of.

(5) The Tribunal may, on determining a reference (whether made under this or any other Act) in respect of a decision of the Authority, make recommendations as to the Authority’s regulating provisions or its procedures.

Offences

(133B)

(1) This section applies in the case of proceedings before the Tribunal in respect of—

(a) a decision of the Authority;

(b) a decision of the Bank of England; or

(c) a decision of a person relating to the assessment of any compensation or consideration under the Banking (Special Provisions) Act 2008 or the Banking Act 2009 .

(2) A person is guilty of an offence if that person, without reasonable excuse—

(a) refuses or fails—

(i) to attend following the issue of a summons by the Tribunal; or

(ii) to give evidence; or

(b) alters, suppresses, conceals or destroys, or refuses to produce a document which he may be required to produce for the purposes of proceedings before the Tribunal.

(3) A person guilty of an offence under subsection (2)(a) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

(4) A person guilty of an offence under subsection (2)(b) is liable—

(a) on summary conviction, to a fine not exceeding the statutory maximum;

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