9.1 Consistent with the overriding objective, the EAT will seek to give directions for case management so that the case can be dealt with quickly, or better considered, and in the most effective and just way.

9.2 Applications and directions for case management will usually be dealt with on the papers ("the sift") by a judge, or by the Registrar with an appeal to a judge. Any party seeking directions must serve a copy on all parties. Directions may be given at any stage, before or after the registration of a Notice of Appeal. An order made will contain a time for compliance, which must be observed or be the subject of an application by any party to vary or discharge it, or to seek an extension of time. Otherwise, failure to comply with an order in time or at all may result in the EAT exercising its power under Rule 26 to strike out the appeal, cross-appeal or respondent's Answer or debar the party from taking any further part in the proceedings or to make any other order it thinks fit, including an award of costs.

9.3 Any application to vary or discharge an order, or to seek an extension of time, must be lodged at the EAT and served on the other parties within the time fixed for compliance. Such other parties must, if opposing the application and within 14 days (or such shorter period as may be ordered) of receiving it, submit their representations to the EAT and the other parties.

9.4 An application to amend a Notice of Appeal or respondent's Answer must include the text of the original document with any changes clearly marked and identifiable, for example with deletions struck through in red and the text of the amendment either written or underlined in red. Any subsequent amendments will have to be in a different identifiable colour.

9.5 Notices of Appeal are sifted by a judge or the Registrar so as to determine the most effective case management of the appeal. The sift will result in a decision as to which track the appeal will occupy, and directions will be given. There are 4 tracks:

9.5.1 Rule 3(7) cases [see para 9.6 below].
9.5.2 Preliminary Hearing (PH) cases [see paras 9.7 - 9.18 below].
9.5.3 Full Hearing (FH) cases [see para 9.19 below].
9.5.4 Fast Track Full Hearing ("FTFH") cases [see paras 9.20 - 9.21 below].

The judge or Registrar may also stay (or sist in Scotland) the appeal for a period, normally 21 days pending the making or the conclusion of an application by the appellant to the Employment Tribunal (ifnecessary out of time) for a review or pending the response by the Employment Tribunal to an invitation from the judge or Registrar to clarify, supplement or give its written reasons.

Rule 3(7) cases (9.5.1)

9.6 The judge or Registrar, having considered the Notice of Appeal and, if appropriate, having obtained any additional information, may decide that it or any of the grounds contained in it disclose no reasonable grounds for bringing the appeal or are an abuse of the process or otherwise likely to obstruct the just disposal of the proceedings. Reasons will be sent and within 28 days the appellant may submit a fresh Notice of Appeal for further consideration or request an oral hearing before a judge. At that hearing the judge may confirm the earlier decision or order that the appeal proceeds to a Preliminary or Full Hearing. A hearing under Rule 3(10), including judgment and any directions, will normally last not more than one hour. A judge or Registrar may also follow the Rule 3(7) procedure, of his or her own initiative, or on application, at any later stage of the proceedings, if appropriate.

Preliminary Hearing cases (9.5.2)

9.7 The purpose of a PH is to determine whether:

9.7.1 the grounds in the Notice of Appeal raise a point of law which gives the appeal a reasonable prospect of success at a FH; or
9.7.2 for some other compelling reason the appeal should be heard eg that the appellant seeks a declaration of incompatibility under the Human Rights Act 1998; or to argue that a decision binding on the EAT should be considered by a higher court.

9.8 Prior to the PH there will be automatic directions. These include sending the Notice of Appeal to the respondent(s) to the appeal. The direction may order or in any event will enable the respondent(s) to lodge and serve, within 14 days of the seal date of the order (unless otherwise directed), concise written submissions in response to the Notice of Appeal, dedicated to showing that there is no reasonable prospect of success for all or any grounds of any appeal. Such submissions willbe considered at the PH.

9.9 If the respondent to the appeal intends to serve a cross-appeal this must be accompanied by written submissions and must be lodged and served within 14 days of service of the Notice of Appeal. The respondent to the appeal must make clear whether it is intended to advance the cross-appeal:

9.9.1 in any event (an unconditional cross-appeal); or
9.9.2 only if the Appellant succeeds (a conditional cross-appeal).

In either case the respondent is entitled to attend the PH, which will also amount to a PH of the cross-appeal, and make submissions.

9.10 All parties will be notified of the date fixed for the PH. In the normal case, unless ordered otherwise, only the appellant and/or a representative should attend to make submissions to the EAT on the issue whether the Notice of Appeal raises a point of law with a reasonable prospect of success:

9.10.1 Except where the respondent to the appeal makes a cross-appeal, or the EAT orders a hearing with all parties present, the respondent to the appeal is not required to attend the hearing and is not usually permitted to take part in it. But any written submissions as referred to in (8) above will be considered at the PH.
9.10.2 If the appellant does not attend, the appeal may nevertheless be dealt with as above on written submissions, and be wholly or in part dismissed or allowed to proceed.

9.11 The PH, including judgment and directions, will normally last no more than one hour.

9.12 The sift procedure will be applied to cross-appeals as well as appeals. If an appeal has been assigned to the FH track, without a PH, and the respondent includes a cross-appeal in the respondent's Answer, the respondent must immediately apply to the EAT in writing on notice to the appellant for directions on the papers as to whether the EAT considers that there should be a PH of the cross-appeal.

9.13 If satisfied that the appeal (and/or the cross-appeal) should be heard at a FH on all or some of the grounds of appeal, the EAT will give directions relating to, for example, a time estimate, any application for fresh evidence, a procedure in respect of matters of evidence before the Employment Tribunal not sufficiently appearing from the written reasons, the exchange and lodging of skeleton arguments and an appellant's Chronology, and bundles of documents and authorities.

9.14 Permission to amend a Notice of Appeal (or cross-appeal) may be granted:

9.14.1 If the proposed amendment is produced at the hearing, then, if such amendment has not previously been notified to the other parties, and the appeal (or cross-appeal) might not have been permitted to proceed but for the amendment, the opposing party(ies) will have the opportunity to apply on notice to vary or discharge the permission to proceed, and for consequential directions as to the hearing or disposal of the appeal or cross-appeal.

9.14.2 If a draft amendment is not available at the PH, an application for permission to amend, in writing on notice to the other party(ies) in accordance with para 9.4 above, will be permitted to be made within 14 days. Where, but for such proposed amendment, the appeal (or cross-appeal) may not have been permitted to proceed to a FH, provision may be made in the order on the PH for the appeal (or cross-appeal) to be dismissed if the application for permission to amend is not made. Where such an application is made and refused, provision will be made for any party to have liberty to apply, in writing on notice to the other party(ies), as to the hearing or disposal of the appeal.

9.15 If not satisfied that the appeal, or any particular ground of it, should go forward to a FH, the EAT at the PH will dismiss the appeal, wholly or in part, and give a judgment setting out the reasons for doing so.

9.16 If an appeal is permitted to go forward to an FH on all grounds, a reasoned judgment will not normally be given.

9.17 Parties who become aware that a similar point is raised in other proceedings at an Employment Tribunal or the EAT are encouraged to co-operate in bringing this to the attention of the Registrar so that consideration can be given to the most expedient way of dealing with the cases, in particular to the possibility of having two or more appeals heard together.

9.18 If an appeal is permitted to go forward to an FH, a listing category will be assigned ie:

P (recommended to be heard in the President's list);
A (complex, and raising point(s) of law of public importance);
B (medium level);
C (involving legal principles which are well settled).

Full Hearing cases (9.5.3)

9.19 If a judge or the Registrar decides to list the case for an FH without a PH s/he will consider appropriate directions, relating for example to amendment, further information, any application for fresh evidence, a procedure in respect of matters of evidence at the Employment Tribunal not sufficiently appearing from the written reasons, allegations of bias, apparent bias or improper conduct, provisions for skeleton arguments, appellant's Chronology and bundles of documents and of authorities, time estimates and listing category (as set out in para 9.18 above).

Fast Track Full Hearing cases (9.5.4)

9.20 FH cases are normally heard in the order in which they are received. However, there are times when it is expedient to hear an appeal as soon as it can be fitted into the list. Appeals placed in this Fast Track, at the discretion of a judge or the Registrar, will normally fall into the following cases:

9.20.1 appeals where the parties have made a reasoned case on the merits for an expedited hearing;
9.20.2 appeals against interim orders or decisions of an Employment Tribunal, particularly those which involve the taking of a step in the proceedings within a specified period, forexample adjournments, further information, amendments, disclosure, witness orders;
9.20.3 appeals on the outcome of which other applications to the Employment Tribunal or the EAT or the civil courts depend;
9.20.4 appeals in which a reference to the European Court of Justice (ECJ), or a declaration of incompatibility under the Human Rights Act 1998, is sought;
9.20.5 appeals involving reinstatement, re-engagement, interim relief or a recommendation for action (discrimination cases).

9.21 Category C cases estimated to take two hours or less may also be allocated to the Fast Track.