OPERATIONAL GUIDANCE

THE CHARITY TRIBUNAL

OTHER THINGS THAT AFFECT THE APPEAL AND APPLICATION PROCESS

OG 95 B3 – 18 March 2008

Functional responsibility

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Customer Services

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All operational staff

Contents

1. Exceptions to disclosure
2. Provision of copy documents and sending notices
3. Calculation of time
4. Sending notices
5. Directions
6. Withdrawal of appeal or application and unopposed appeals
7. Power to strike out
8. Orders against vexatious litigants
9. Involvement of the Attorney General
10. Consolidation of appeals or applications
11. Failure to comply
12. Irregularities

Index to further related information

The Law	Refer to a lawyer	Refer to an accountant

1. Exceptions to disclosure
	Summary of the law
	Rule 15 deals with exceptions to disclosure.
	Parties, including the Commission, are not required to disclose any document in a list under the Charity Tribunal Rules where disclosure could not be compelled in a civil trial in England or Wales.
	Parties may also make a request to the Tribunal (without giving notice to any other party) for a direction which would allow for a document to be excluded from the lists of documents or which would not allow the inspection of the document in the list supplied, on the following grounds:
	Disclosure would not be in the public interest;
	Disclosure may be prejudicial to national security; or
	Disclosure would not be fair having regard to the potential prejudice which may be caused to the legitimate interests of an appellant or a person other than an appellant.
	In order to assist its decision on whether a document can be excluded, the Tribunal may require the document in question to be produced, together with a statement of the reasons why it should not be included in a list or should not be inspected. The Tribunal may also invite any other persons to make representations (without disclosing the document) under Rule 15(4)(b).
	In practice
	It is the responsibility of the DRT Team to take advice from case workers involved in the decision, staff in the Intelligence Team and lawyers, to identify any documents which should be excluded on these grounds, to agree this with the designated lawyer and to draft a request for directions from the Tribunal. The designated lawyer must agree the request.
	If the Commission has received information from another source (such as another Government agency) that source can itself also make representations to the Tribunal if invited to do so by the Tribunal The DRT Team is responsible for co-ordinating activity relating to this Rule, with the advice and involvement of the Intelligence Team as necessary.

2. Provision of copy documents and sending notices
	Summary of the law
	Parties which have supplied lists of documents to the Tribunal, must make available the documents listed so that any other party can read or copy them, or the party must provide a copy, to another party which requests this. The documents must be supplied within 7 days of the request. (Rule 16).
	Rule 10 deals with the format, method and period in which documents may be sent to parties and the Tribunal. If the Commission intends to send a document by document exchange, fax or email, we must check whether the party is happy to receive documents in this way. Other parties have the same duty in relation to sending documents to the Commission.
	In practice
	The Commission receives requests for copies of documents included in the lists submitted with the Commission’s response and by secondary disclosure.
	On receiving any requests for copy documents, the DRT Team should check that the individual is a party to the appeal/application and if so will provide the requested documents within 7 days of the request.
	The DRT Team will contact the party to agree the format in which the documents will be supplied. Where the party in question is the appellant, it is likely that information about how they are willing to receive documents will be included in the Notice of Appeal and if their wishes are clear the DRT Team may not need to contact them about this. We expect that the DRT Team will agree with the Tribunal to send documents by email. The Team will liaise with the Charity Tribunal as necessary about this.

3. Calculation of time
	The periods of time specified in the Rules are all to be calculated in calendar days. Rule 9 also specifies that if a period ends on a non-working day, the act is done on time if done on the next working day.

4. Sending notices
	Rule 10 sets out requirements about sending documents, including when a party is deemed to have received a document which has been sent.

5. Directions
	The Tribunal may give directions to enable the parties to prepare for the hearing, to assist the Tribunal to determine issues or to ensure the just, expeditious and economical determination of the appeal or application.
	The Tribunal may give directions at the request of a party or on its own initiative. Rule 3 deals with directions.

6. Withdrawal of appeal or application and unopposed appeals
	Summary of the law
	The appellant may withdraw the appeal or application at any time before the hearing. They may also do so at the hearing, but only with the Tribunal’s permission. The Tribunal must dismiss a withdrawn appeal or application.
	The Commission may state that it does not oppose an appeal or application before the hearing, or at the hearing with the Tribunal’s permission. Rule 24 provides more information.
	In practice
	The Commission will only decide not to oppose an appeal where we feel that our original decision was wrong and should be changed. This situation is most likely to arise where appellants present new evidence to the Tribunal, which was not made available to the Commission when making our decision or when reviewing our decision as part of a decision review.
	If the Commission becomes aware of such new information, we may take action (such as to register the charity or to discharge an order, subject to the limits of S.89 of the Charities Act 1993) in order to rectify the situation. In this situation, we would expect the appellant to withdraw their case or for the Tribunal to stop proceedings by making a direction under Rule 3 or by striking out the case under Rule 5.

7. Power to strike out
	The Tribunal may regulate its own procedure and may where it thinks fit, order any party’s case to be struck out at any stage of the proceedings. Rule 5 sets out the grounds which must be relied on.

8. Orders against vexatious litigants
	Under Rule 11 the Tribunal may make an order in relation to a person who has persistently initiated proceedings which are without merit. This person will be prevented from taking any new proceedings before the Tribunal without first obtaining the Tribunal’s permission.

9. Involvement of the Attorney General
	The Attorney General may intervene in an appeal or application. If the Attorney General notifies the Tribunal that he intends to intervene, the Tribunal may hold a hearing to make such directions as are necessary about how the appeal or application should proceed.
	The Tribunal may also ask the Attorney General for assistance in arguing a question in relation to proceedings.
	More information is in Rules 22-23.

10. Consolidation of appeals or applications
	Under Rule 12 the Tribunal may direct that two or more appeals or applications are to be heard at the same time or will be consolidated. This can only happen when the appeals or applications are about the same matter, separate issues in the same matter or which involve the same or similar issues.

11. Failure to comply
	The Tribunal may take certain action against parties, including the Commission, which have failed, without reasonable excuse, to comply with a direction or with the Rules. The steps which may be taken are set out in Rule 6.

12. Irregularities
	Rule 7 sets out how the Tribunal deals with any irregularities.

Index to further related information