The Tribunal System and its Costs

Registered Homes Tribunal

Department of Health

K1 Brief description of the tribunal's business. Hears appeals brought by owners of independent residential care homes, nursing homes, children's homes against decisions of the registration authority, or in the case of voluntary children's homes, the Secretary of State for Health, to refuse or cancel the home's registration or vary the registration conditions.

K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year: 75 received
99 dealt with
25 heard
46 withdrawn
27 pending

K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. 17-20 weeks from start to finish.
Statutory timescales:
42 days before hearing take notice
30 days before hearing statement of reasons
21 days before hearing grounds of appeal
14 days before hearing evidence due.

K4 For appeal tribunals, the percentage of appeals which succeed. 25-30%

K5 Managerial structures for the tribunal administration: 1 x Grade 7 Policy manager, supported by an SEO, EO and two AOs (1 f/t, 1 p/t). Tribunal also has a "lead chairman" who discusses relevant issues with administration.

K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Scrutiny of decisions and representation by tribunal members provides for the identification of problems with the substantive law.
The chairman of each tribunal sends his decision to the Secretariat for dissemination to various parties.

K7 Nature and scope of current ICT systems, and any major plans for improvement. Microsoft office software used.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. Tribunal arrangements will change as a consequence of the Care Standards Act which modernises the regulation of care services.

K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 1 full-time policy officer
1 part-time policy officer

K12 Performance and user satisfaction measures in the tribunal. None.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Both parties must make their own arrangements and pay for representation.

K14 Arrangements for providing hearings (including their locations). Secretariat asks the registering authority to organise the venue as tribunals are heard in the location of the home. Secretariat meets the cost of the accommodation.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. Assessment of ECHR compliance has been carried out. Taking measures to ensure all cases are heard as quickly as possible.

K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Lord Chancellor appoints chairmen, Privy Council appoints expert members.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. 15 Chairmen - required to sit 10-30 days (Ł261 per day)
34 Expert members - average 20-30 days (Ł166 per day)

K18 Arrangements for training tribunal members, and the approach to and content of training. New members observe hearings, and receive detailed training pack. Chairmen attend courses arranged by the JSB. In process of arranging training day for chairmen and members.

K19 Arrangements for staff training. Staff training provided in-house. Secretariat attends tribunals as observers.

K20 Resources expended on:

A tribunal member salaries and expenses Ł145,000

b staff salaries and expenses Approximately Ł49,000

c system administration

d accommodation;

e tribunal member training

f staff training

TOTAL:

Family Health Services Appeal Authority

Department of Health

K1 Brief description of the tribunal's business. Hears:

appeals from primary care practitioners following findings that have failed to act in accordance with their terms of service;

appeals about the decisions of Health Authorities concerning the establishment and location of pharmacies or the provision of dispensing services by General Medical Practitioners (GMPs); and

references about the interpretation of the Statement of Fees and Allowances (SFA) paid to GMPs or other disputes arising from the administration of the General Medical Services Regulations (GMS).

K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year: Disciplinary:
24 received
22 appeals completed
17 resolved
5 otherwise disposed of
6 outstanding

Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year: Pharmaceutical:
319 received
335 appeals completed
309 resolved
26 otherwise disposed of
77 outstanding

Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year: SFA/GMS
190 received
193 completed
151 resolved
42 invalid or withdrawn
15 outstanding.

K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. No statutory time limits. Targets:
Disciplinary:
26 weeks for decision on whether a breach (actual 16 weeks)
then: 16 weeks for meeting of relevant Advisory Committee to consider sanction (actual 13 weeks)

Pharmaceutical:
4 weeks for summary dismissal (actual 2 weeks)
15 weeks for appeal without hearing (actual 11 weeks)
26 weeks for appeal with hearing (actual 22 weeks)

SFA/GMS:
4 weeks for assessment of trainee GP salaries (actual 1 week)
20 weeks for determinations about reimbursement of cost of practice premises (actual 11 weeks)
26 weeks for appeals about disallowed prescribing (actual 20 weeks)
26 weeks for Practice Vacancy Appeals (actual 16 weeks)
15 weeks for other cases (actual 7 weeks)

K4 For appeal tribunals, the percentage of appeals which succeed. Disciplinary: 50%
Pharmaceutical: 21%
SFA/GMS: 62%

K5 Managerial structures for the tribunal administration: Appeal Authority is a Special Health Authority established by SI. Consists of a chairman, chief executive, three non-executive directors, and an executive director.

K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Annual Report identifies matters of general interest which have arisen in the course of determinations. Copies of individual determinations sent to Health Authority involved. Where appeals identify difficulties in departmental documentation, DH is alerted.

K7 Nature and scope of current ICT systems, and any major plans for improvement. All records stored on computer (Informix and Access databases, other Microsoft applications). All staff have desktop access.
IT system generates standard correspondence, has library of standard letters.
Looking to develop paperless office.
Authority part of NHSnet intranet. Has website, which it is looking to expand.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. Appeal Authority in a position to receive appeals electronically and to use electronic means for communicating with parties.

K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 1.5xAdmin and Clerical Grade 4
1xAandC Grade 6

4xSenior Manager Scale (SM) 21
1xSM 10
Chief Executive on SM 2

K12 Performance and user satisfaction measures in the tribunal. Monthly statistics include, number and types of appeals received, number completed, average time taken, hours spent on cases etc.
Set up user groups. Complaints procedures.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). No such arrangements.

K14 Arrangements for providing hearings (including their locations). Oral hearings held at premises of, or arranged by, local Health Authorities.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, concerns which have been identified. All procedures have been reviewed.

K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Chairmen and non-executive directors appointed by Secretary of State for Health, in accordance with Nolan procedures.
Panel members appointed by the Chief Executive for three year terms.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. Disciplinary:
9 legal chairmen - average two days a year (Ł700 for one day, preparation and production of a report)
27 dental members - one or two days (Ł150 per day + Ł154.50 to cover locum fees)
28 medical members - used rarely (Ł150 per day + Ł154.50 to cover locum fees)

Pharmaceutical:
9 chairmen (including the chief executive) - average ten days a year (Ł350 per day)
40 lay members - approximately two days (no fee)

K18 Arrangements for training tribunal members, and the approach to and content of training. Most trained on a three yearly basis with updates as appropriate, including training events and internal communications such as newsletters.
Basic training covers administrative issues such as process, their role, conducting tribunals.

K19 Arrangements for staff training. New members receive in-house training from an experienced colleague. On-going in-house training on different workstreams aimed at maintaining consistency of procedures and decisions. Staff required to undertake at least 12 hours of professional development.

K20 Resources expended on:

a tribunal member salaries and expenses Ł64,084

b staff salaries and expenses Ł546,855 ( Endnote 1 )

c system administration Ł212,202

d accommodation; Ł120,615 ( Endnote 2 )

e tribunal member training Ł10,500

f staff training Ł5,777

TOTAL: Ł960,033

Endnotes:

Includes Ł55,669 in redundancy costs.

Offset by rental income of Ł27,500.

NHS Tribunal

Department of Health

K1 Brief description of the tribunal's business. Decides whether the continued inclusion of a practitioner's name on a health authority's medical, dental, pharmaceutical or opthalmic list would be prejudicial to the efficiency of the service in question. If it does, it must direct that the practitioner is disqualified.

This tribunal is to be abolished in 2001 as part of the NHS Plan.

K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year: An average of eight cases per year

K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. There are statutory time limits for notification of action, submission of papers and notification of hearings (not given), but no limit on how long the tribunal should take to dispose of a case.

K4 For appeal tribunals, the percentage of appeals which succeed. Not applicable.

K5 Managerial structures for the tribunal administration: Clerk to the tribunal.

K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Not applicable - the tribunal does not take decisions relating to departmental policies.

K7 Nature and scope of current ICT systems, and any major plans for improvement. Planning to introduce an NHS tribunal website which will advise on the remit of the tribunal, how to make representations, and publish decisions of the tribunal.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. Not applicable.

K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. Clerk to the tribunal

K12 Performance and user satisfaction measures in the tribunal. No formal procedures for monitoring user satisfaction.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Parties required to provide their own legal advice. Legal aid is not available.

K14 Arrangements for providing hearings (including their locations). The tribunal does not have its own offices. Hearings are usually held in central London, but can, and have been, arranged in the locality of the HA making the application.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. The Chairman of the tribunal (a QC) reviewed the procedures to ensure they were ECHR compliant. FCO lawyers expressed concern that an ECHR compliant body was being abolished.

K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Legally qualified chairmen are appointed by the Lord Chancellor and Lord Chief Justice. Two Deputy Chairmen appointed by the Lord Chancellor. Members, professional and lay, appointed by the Secretary of State for Health.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. One chairman (Ł272 per day)
Two Deputy Chairmen (Ł272 per day)
Two lay members (Ł122 per day)
One professional, medical member (Ł170 per day)
7-9 vacancies
$$$ Sittings?

K18 Arrangements for training tribunal members, and the approach to and content of training. Following recruitment of large number of members in 1997 (2 year appointment), Chairman arranged a one-day seminar giving an overall view of the tribunal, departmental representative explaining policy/departmental role, and former members giving talks on approaching cases. Since then, due to uncertainty of the future of the tribunal, training has been handled on a one to one basis by the chairman and the clerk.

K19 Arrangements for staff training. Only one member of staff - the clerk. Training of the current clerk was handled by outgoing clerk and Chairman.

K20 Resources expended on:

a tribunal member salaries and expenses

b staff salaries and expenses

c system administration

d accommodation;

e tribunal member training

f staff training

TOTAL: Annual budget of Ł150,000 which covers accommodation, training, expenses.

Mental Health Review Tribunal

Department of Health

K1 Brief description of the tribunal's business. Hears applications for discharge made by or on behalf of patients detained under the Mental Health Act 1983.

K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year: 18806 references received
10502 hearings
1019 adjournments on the day
8168 aborted (discharged from detention by the hospital or withdrawn application)
1250 discharges
7615 No Discharge decisions

K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Statutory timescales:
Section 2 hearings are held within 7 days of receipt of applications
Conditionally discharged recalled to hospital are held within 8 weeks following the recall reference by the Home Secretary.

Target timescales agreed by DH and CoT:
Non-restricted cases arranged within 8 weeks
Restricted cases are arranged within 20 weeks
Time taken depends on extent to which reports must be chased up from, hospitals the Home Office and solicitors.

Tribunals encouraged to announce their oral decisions on the day following the hearing. Written decisions within three (section 2 cases) or seven days (all other cases).

In most cases decision takes immediate effect. In some non-restricted cases discharge can be at a future, specified date.

Restricted cases: tribunal rarely discharges patient immediately and absolutely. Most discharges conditionally effective - when deferred arrangements must be in place and tribunal's approval sought. Arrangements can take six months or more, and on occasion have mot been put into place at all.
K4 For appeal tribunals, the percentage of appeals which succeed. Percentage of hearings resulting in the patient's discharge was 11%.

K5 Managerial structures for the tribunal administration: Secretariat headed by IP4 (G7), supported by 2 IP3 (HEO/SEO) and 1 IP1 (AA/AO). 4 regional offices each headed by 1 IP3 supported by 5 IP2s (EO) and a team of IP1s (between 7 and 11).

K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Annual Report. Complaints referred to regional chairmen and head of secretariat, or to the Lord Chancellor as appropriate. Close liaison between chairmen and regional offices, and head of secretariat. Regular meetings include regional chairmen, LCD, DH branch head. Twice yearly liaison meetings include representatives of all those involved in MHRT process.

K7 Nature and scope of current ICT systems, and any major plans for improvement. Current facilities include email and internet. Customised patients' and members' database with facility for creating individual records generating standard letters and providing hearing documentation. Use of lap tops by some clerks. Development underway to provide statistical information and reports. Looking at the possibility of developing an MHRT website.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. By enabling speedy and easy access to a review of detention.

K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. 1xIP4U (Grade 6)
6xIP3 (HEO/SEO)
20xIP2 (EO)
38xIP1 (AO/AA)

K12 Performance and user satisfaction measures in the tribunal. No formal performance and satisfaction measures in place. There are a number of meetings and liaison committees to which representatives of stakeholders are invited.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Patients and those nearest relatives who have the right to apply for the patient's discharge (non-restricted cases) receive non- means tested legal aid.

K14 Arrangements for providing hearings (including their locations). Hearings are held where the patient is detained, i.e. hospital/nursing home/ mental health unit.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. Arrangements have been reviewed. Members receive ECHR training.

K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Recruitment and appointment of all members is by the Lord Chancellor and Lord Chief Justice (in consultation with the Secretary of State for Health in respect of medical and lay members).

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. 4 Regional Chairmen receive an honorarium of Ł18,000 per annum for two days tribunal work a week. Receive a fee for each tribunal they preside over.

Chairmen (4 Regional, 160 non-restricted panel, 109 restricted panel): 15-30 sitting days (Ł245.70 per day - Ł349.52 for recorders)

144 Medical members: 15-30 sitting days (Ł232.33 per day)

192 Lay members: 15-30 sitting days (Ł99.72 per day)

K18 Arrangements for training tribunal members, and the approach to and content of training. National training group and regional training group attended by regional chairmen. National training framework. Training cpd accredited by Law Society and Royal College of Psychiatrists. Content included proposals for reform of Mental Health Act.
Chairmen, members of training groups attend JSB train-the-trainer courses.
Induction for all new members, who are also required to observe hearings.

K19 Arrangements for staff training. MHRT has own training framework. All staff complete training and development plan. Training needs identified as part of appraisal and review procedure. MHRT has IiP accreditation as part of DH training strategy.

K20 Resources expended on:

a tribunal member salaries and expenses Ł7,945,000 ( Endnote 1 )

b staff salaries and expenses Ł1,134,086

c system administration Ł355,004

d accommodation; not applicable

e tribunal member training not available

f staff training not available

TOTAL: Ł9,434,090

Endnotes:

Not possible to break down costs further, but training will be identified in 2000/1.

Human Fertilisation and Embryology Authority (HFEA)

Department of Health

K1 Brief description of the tribunal's business. The HFEA is a statutory body which regulates, licenses and collects data on fertility treatments such as IVF and donor insemination, as well as embryo research, in the UK. The tribunal hears representations concerning Licence Committee decisions.

K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year: Normally no more than one case per year. None are outstanding.

K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Time limits are set out in Regulations. These are adhered to unless longer periods are agreed with appellants if adjournments are needed for further information.

K4 For appeal tribunals, the percentage of appeals which succeed. So far one appeal of three has succeeded.

K5 Managerial structures for the tribunal administration: Regulations set out who is responsible for decisions at each stage of the representation or appeal. Guidance is provided to licensed centres in HFEA's Manual for Centres.

K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Tribunal members are also HFEA board members. Decisions and implications are fed directly to HFEA. The Department of Health has observer status at HFEA meetings.

K7 Nature and scope of current ICT systems, and any major plans for improvement. HFEA has a system devoted to the Register required under the 1990 Act. There are plans to introduce a system of secure electronic data interchange for this. The other main systems are principally concerned with office automation, accounts etc - there are currently no plans for major systems enhancements.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. No information provided.

K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. Licensing team deal with day-to-day licensing:
2 senior managers (SEO level)
6 inspector co-ordinators (HEO level)
3 admin staff (AO level)
Senior management support (Grade 7)

An appeal would be managed by a Grade 7 manager, with support from an HEO.

K12 Performance and user satisfaction measures in the tribunal. None. The function is too small.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Users are medical practitioners with access to their own specialist advice and legal support.

K14 Arrangements for providing hearings (including their locations). Representations and appeals can be made orally or in writing, and appellants can be represented. Representations would normally be heard in HFEA's offices. Appeal hearings are normally held in neutral venues arranged by solicitors acting independently of the appeal body.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. Practices and procedures have been reviewed.

K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. HFEA members are appointed by the Secretary of State for Health. For specific hearings, members will be selected by availability and to ensure compliance with the Regulations. HFEA will have legal advice available to it where appropriate.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. Licence Committees, which hear representations, consist of five members with a quorum of three. Appeal committees must be of a greater number and would normally consist of seven members.
Members receive remuneration of Ł160 per day.

K18 Arrangements for training tribunal members, and the approach to and content of training. All HFEA members receive initial induction training, periodic training from HFEA lawyers, and are advised by lawyers at all stages.

K19 Arrangements for staff training. As for K18.

K20 Resources expended on: Minimal given the small caseload, although legal costs for a single case can reach Ł50,000

a tribunal member salaries and expenses

b staff salaries and expenses

c system administration

d accommodation;

e tribunal member training

f staff training

TOTAL:

Protection of Children Act Tribunal

Department of Health

K1 Brief description of the tribunal's business. Will hear appeals by individuals placed by the Secretary of State on the list of those not suitable to work with children. It will also make the final decision in cases where the Secretary of State has placed them on the list on a provisional basis and this has continued for nine months.

K2 Cases received:
Total disposals in the year:
     disputes resolved:
     otherwise disposed of:
Pending at the end of the year: It is estimated that at least 100 appeals will be heard per year.

K3 Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. Not applicable. The tribunal has yet to hear any cases.

K4 For appeal tribunals, the percentage of appeals which succeed. Not applicable. The tribunal has yet to hear any cases.

K5 Managerial structures for the tribunal administration: 1 SEO clerk to the tribunal
2 EO clerks
1 support grade

K6 How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? Not applicable. The tribunal has yet to hear any cases.

K7 Nature and scope of current ICT systems, and any major plans for improvement. Not applicable. The tribunal has yet to hear any cases.

K8 How the tribunal(s) fit in the department's Modernising Government strategy. Not applicable. The tribunal has yet to hear any cases.

K9 Numbers and grades of staff engaged on providing administrative support to the tribunal. As K5

K12 Performance and user satisfaction measures in the tribunal. Not applicable. The tribunal has yet to hear any cases.

K13 Arrangements for assistance for users, legal or otherwise (including legal aid). Not applicable. The tribunal has yet to hear any cases.

K14 Arrangements for providing hearings (including their locations). Hearing centre is available in London, and has disabled access and public facilities.

K15 The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. The tribunal has recently been established and is thought to be ECHR compliant.

K16 Arrangements for appointing tribunal members, both legally and otherwise qualified. Legally qualified chairmen are appointed by the Lord Chancellor. Lay members are appointed by the Lord Chancellor following consultation with the Secretary of State for Health.

K17 Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. President - part-time (Ł6,522 per year)

Members will receive daily fees.

K18 Arrangements for training tribunal members, and the approach to and content of training. A training day will be held in January 2001.

K19 Arrangements for staff training. The President has provided in-house raining for staff.

K20 Resources expended on: Not applicable. The tribunal has yet to hear any cases.

a tribunal member salaries and expenses

b staff salaries and expenses

c system administration

d accommodation;

e tribunal member training

f staff training

TOTAL:

NHS Medicines (Control of Prices and Profits) Appeal Tribunal

Department of Health

The tribunal derives its powers from section 37(5) of the Health Act 1999. The senior chairman and members are drawn from the same pool as the NHS Tribunal. The tribunal has never sat, as no decisions have so far been issued against which there is a right of appeal.

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K1	Brief description of the tribunal's business.	Hears appeals brought by owners of independent residential care homes, nursing homes, children's homes against decisions of the registration authority, or in the case of voluntary children's homes, the Secretary of State for Health, to refuse or cancel the home's registration or vary the registration conditions.
K2	Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year:	75 received 99 dealt with 25 heard 46 withdrawn 27 pending
K3	Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision.	17-20 weeks from start to finish. Statutory timescales: 42 days before hearing take notice 30 days before hearing statement of reasons 21 days before hearing grounds of appeal 14 days before hearing evidence due.
K4	For appeal tribunals, the percentage of appeals which succeed.	25-30%
K5	Managerial structures for the tribunal administration:	1 x Grade 7 Policy manager, supported by an SEO, EO and two AOs (1 f/t, 1 p/t). Tribunal also has a "lead chairman" who discusses relevant issues with administration.
K6	How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery?	Scrutiny of decisions and representation by tribunal members provides for the identification of problems with the substantive law. The chairman of each tribunal sends his decision to the Secretariat for dissemination to various parties.
K7	Nature and scope of current ICT systems, and any major plans for improvement.	Microsoft office software used.
K8	How the tribunal(s) fit in the department's Modernising Government strategy.	Tribunal arrangements will change as a consequence of the Care Standards Act which modernises the regulation of care services.
K9	Numbers and grades of staff engaged on providing administrative support to the tribunal.	1 full-time policy officer 1 part-time policy officer
K12	Performance and user satisfaction measures in the tribunal.	None.
K13	Arrangements for assistance for users, legal or otherwise (including legal aid).	Both parties must make their own arrangements and pay for representation.
K14	Arrangements for providing hearings (including their locations).	Secretariat asks the registering authority to organise the venue as tribunals are heard in the location of the home. Secretariat meets the cost of the accommodation.
K15	The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified.	Assessment of ECHR compliance has been carried out. Taking measures to ensure all cases are heard as quickly as possible.
K16	Arrangements for appointing tribunal members, both legally and otherwise qualified.	Lord Chancellor appoints chairmen, Privy Council appoints expert members.
K17	Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay.	15 Chairmen - required to sit 10-30 days (Ł261 per day) 34 Expert members - average 20-30 days (Ł166 per day)
K18	Arrangements for training tribunal members, and the approach to and content of training.	New members observe hearings, and receive detailed training pack. Chairmen attend courses arranged by the JSB. In process of arranging training day for chairmen and members.
K19	Arrangements for staff training.	Staff training provided in-house. Secretariat attends tribunals as observers.
K20	Resources expended on:
A	tribunal member salaries and expenses	Ł145,000
b	staff salaries and expenses	Approximately Ł49,000
c	system administration
d	accommodation;
e	tribunal member training
f	staff training
	TOTAL:

K1	Brief description of the tribunal's business.	Hears: appeals from primary care practitioners following findings that have failed to act in accordance with their terms of service; appeals about the decisions of Health Authorities concerning the establishment and location of pharmacies or the provision of dispensing services by General Medical Practitioners (GMPs); and references about the interpretation of the Statement of Fees and Allowances (SFA) paid to GMPs or other disputes arising from the administration of the General Medical Services Regulations (GMS).
K2	Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year:	Disciplinary: 24 received 22 appeals completed 17 resolved 5 otherwise disposed of 6 outstanding
	Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year:	Pharmaceutical: 319 received 335 appeals completed 309 resolved 26 otherwise disposed of 77 outstanding
	Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year:	SFA/GMS 190 received 193 completed 151 resolved 42 invalid or withdrawn 15 outstanding.
K3	Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision.	No statutory time limits. Targets: Disciplinary: 26 weeks for decision on whether a breach (actual 16 weeks) then: 16 weeks for meeting of relevant Advisory Committee to consider sanction (actual 13 weeks) Pharmaceutical: 4 weeks for summary dismissal (actual 2 weeks) 15 weeks for appeal without hearing (actual 11 weeks) 26 weeks for appeal with hearing (actual 22 weeks) SFA/GMS: 4 weeks for assessment of trainee GP salaries (actual 1 week) 20 weeks for determinations about reimbursement of cost of practice premises (actual 11 weeks) 26 weeks for appeals about disallowed prescribing (actual 20 weeks) 26 weeks for Practice Vacancy Appeals (actual 16 weeks) 15 weeks for other cases (actual 7 weeks)
K4	For appeal tribunals, the percentage of appeals which succeed.	Disciplinary: 50% Pharmaceutical: 21% SFA/GMS: 62%
K5	Managerial structures for the tribunal administration:	Appeal Authority is a Special Health Authority established by SI. Consists of a chairman, chief executive, three non-executive directors, and an executive director.
K6	How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery?	Annual Report identifies matters of general interest which have arisen in the course of determinations. Copies of individual determinations sent to Health Authority involved. Where appeals identify difficulties in departmental documentation, DH is alerted.
K7	Nature and scope of current ICT systems, and any major plans for improvement.	All records stored on computer (Informix and Access databases, other Microsoft applications). All staff have desktop access. IT system generates standard correspondence, has library of standard letters. Looking to develop paperless office. Authority part of NHSnet intranet. Has website, which it is looking to expand.
K8	How the tribunal(s) fit in the department's Modernising Government strategy.	Appeal Authority in a position to receive appeals electronically and to use electronic means for communicating with parties.
K9	Numbers and grades of staff engaged on providing administrative support to the tribunal.	1.5xAdmin and Clerical Grade 4 1xAandC Grade 6 4xSenior Manager Scale (SM) 21 1xSM 10 Chief Executive on SM 2
K12	Performance and user satisfaction measures in the tribunal.	Monthly statistics include, number and types of appeals received, number completed, average time taken, hours spent on cases etc. Set up user groups. Complaints procedures.
K13	Arrangements for assistance for users, legal or otherwise (including legal aid).	No such arrangements.
K14	Arrangements for providing hearings (including their locations).	Oral hearings held at premises of, or arranged by, local Health Authorities.
K15	The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, concerns which have been identified.	All procedures have been reviewed.
K16	Arrangements for appointing tribunal members, both legally and otherwise qualified.	Chairmen and non-executive directors appointed by Secretary of State for Health, in accordance with Nolan procedures. Panel members appointed by the Chief Executive for three year terms.
K17	Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay.	Disciplinary: 9 legal chairmen - average two days a year (Ł700 for one day, preparation and production of a report) 27 dental members - one or two days (Ł150 per day + Ł154.50 to cover locum fees) 28 medical members - used rarely (Ł150 per day + Ł154.50 to cover locum fees) Pharmaceutical: 9 chairmen (including the chief executive) - average ten days a year (Ł350 per day) 40 lay members - approximately two days (no fee)
K18	Arrangements for training tribunal members, and the approach to and content of training.	Most trained on a three yearly basis with updates as appropriate, including training events and internal communications such as newsletters. Basic training covers administrative issues such as process, their role, conducting tribunals.
K19	Arrangements for staff training.	New members receive in-house training from an experienced colleague. On-going in-house training on different workstreams aimed at maintaining consistency of procedures and decisions. Staff required to undertake at least 12 hours of professional development.
K20	Resources expended on:
a	tribunal member salaries and expenses	Ł64,084
b	staff salaries and expenses	Ł546,855 ( Endnote 1 )
c	system administration	Ł212,202
d	accommodation;	Ł120,615 ( Endnote 2 )
e	tribunal member training	Ł10,500
f	staff training	Ł5,777
	TOTAL:	Ł960,033

K1	Brief description of the tribunal's business.	Decides whether the continued inclusion of a practitioner's name on a health authority's medical, dental, pharmaceutical or opthalmic list would be prejudicial to the efficiency of the service in question. If it does, it must direct that the practitioner is disqualified. This tribunal is to be abolished in 2001 as part of the NHS Plan.
K2	Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year:	An average of eight cases per year
K3	Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision.	There are statutory time limits for notification of action, submission of papers and notification of hearings (not given), but no limit on how long the tribunal should take to dispose of a case.
K4	For appeal tribunals, the percentage of appeals which succeed.	Not applicable.
K5	Managerial structures for the tribunal administration:	Clerk to the tribunal.
K6	How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery?	Not applicable - the tribunal does not take decisions relating to departmental policies.
K7	Nature and scope of current ICT systems, and any major plans for improvement.	Planning to introduce an NHS tribunal website which will advise on the remit of the tribunal, how to make representations, and publish decisions of the tribunal.
K8	How the tribunal(s) fit in the department's Modernising Government strategy.	Not applicable.
K9	Numbers and grades of staff engaged on providing administrative support to the tribunal.	Clerk to the tribunal
K12	Performance and user satisfaction measures in the tribunal.	No formal procedures for monitoring user satisfaction.
K13	Arrangements for assistance for users, legal or otherwise (including legal aid).	Parties required to provide their own legal advice. Legal aid is not available.
K14	Arrangements for providing hearings (including their locations).	The tribunal does not have its own offices. Hearings are usually held in central London, but can, and have been, arranged in the locality of the HA making the application.
K15	The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified.	The Chairman of the tribunal (a QC) reviewed the procedures to ensure they were ECHR compliant. FCO lawyers expressed concern that an ECHR compliant body was being abolished.
K16	Arrangements for appointing tribunal members, both legally and otherwise qualified.	Legally qualified chairmen are appointed by the Lord Chancellor and Lord Chief Justice. Two Deputy Chairmen appointed by the Lord Chancellor. Members, professional and lay, appointed by the Secretary of State for Health.
K17	Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay.	One chairman (Ł272 per day) Two Deputy Chairmen (Ł272 per day) Two lay members (Ł122 per day) One professional, medical member (Ł170 per day) 7-9 vacancies $$$ Sittings?
K18	Arrangements for training tribunal members, and the approach to and content of training.	Following recruitment of large number of members in 1997 (2 year appointment), Chairman arranged a one-day seminar giving an overall view of the tribunal, departmental representative explaining policy/departmental role, and former members giving talks on approaching cases. Since then, due to uncertainty of the future of the tribunal, training has been handled on a one to one basis by the chairman and the clerk.
K19	Arrangements for staff training.	Only one member of staff - the clerk. Training of the current clerk was handled by outgoing clerk and Chairman.
K20	Resources expended on:
a	tribunal member salaries and expenses
b	staff salaries and expenses
c	system administration
d	accommodation;
e	tribunal member training
f	staff training
	TOTAL:	Annual budget of Ł150,000 which covers accommodation, training, expenses.

K1	Brief description of the tribunal's business.	Hears applications for discharge made by or on behalf of patients detained under the Mental Health Act 1983.
K2	Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year:	18806 references received 10502 hearings 1019 adjournments on the day 8168 aborted (discharged from detention by the hospital or withdrawn application) 1250 discharges 7615 No Discharge decisions
K3	Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision.	Statutory timescales: Section 2 hearings are held within 7 days of receipt of applications Conditionally discharged recalled to hospital are held within 8 weeks following the recall reference by the Home Secretary. Target timescales agreed by DH and CoT: Non-restricted cases arranged within 8 weeks Restricted cases are arranged within 20 weeks Time taken depends on extent to which reports must be chased up from, hospitals the Home Office and solicitors. Tribunals encouraged to announce their oral decisions on the day following the hearing. Written decisions within three (section 2 cases) or seven days (all other cases). In most cases decision takes immediate effect. In some non-restricted cases discharge can be at a future, specified date. Restricted cases: tribunal rarely discharges patient immediately and absolutely. Most discharges conditionally effective - when deferred arrangements must be in place and tribunal's approval sought. Arrangements can take six months or more, and on occasion have mot been put into place at all.
K4	For appeal tribunals, the percentage of appeals which succeed.	Percentage of hearings resulting in the patient's discharge was 11%.
K5	Managerial structures for the tribunal administration:	Secretariat headed by IP4 (G7), supported by 2 IP3 (HEO/SEO) and 1 IP1 (AA/AO). 4 regional offices each headed by 1 IP3 supported by 5 IP2s (EO) and a team of IP1s (between 7 and 11).
K6	How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery?	Annual Report. Complaints referred to regional chairmen and head of secretariat, or to the Lord Chancellor as appropriate. Close liaison between chairmen and regional offices, and head of secretariat. Regular meetings include regional chairmen, LCD, DH branch head. Twice yearly liaison meetings include representatives of all those involved in MHRT process.
K7	Nature and scope of current ICT systems, and any major plans for improvement.	Current facilities include email and internet. Customised patients' and members' database with facility for creating individual records generating standard letters and providing hearing documentation. Use of lap tops by some clerks. Development underway to provide statistical information and reports. Looking at the possibility of developing an MHRT website.
K8	How the tribunal(s) fit in the department's Modernising Government strategy.	By enabling speedy and easy access to a review of detention.
K9	Numbers and grades of staff engaged on providing administrative support to the tribunal.	1xIP4U (Grade 6) 6xIP3 (HEO/SEO) 20xIP2 (EO) 38xIP1 (AO/AA)
K12	Performance and user satisfaction measures in the tribunal.	No formal performance and satisfaction measures in place. There are a number of meetings and liaison committees to which representatives of stakeholders are invited.
K13	Arrangements for assistance for users, legal or otherwise (including legal aid).	Patients and those nearest relatives who have the right to apply for the patient's discharge (non-restricted cases) receive non- means tested legal aid.
K14	Arrangements for providing hearings (including their locations).	Hearings are held where the patient is detained, i.e. hospital/nursing home/ mental health unit.
K15	The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified.	Arrangements have been reviewed. Members receive ECHR training.
K16	Arrangements for appointing tribunal members, both legally and otherwise qualified.	Recruitment and appointment of all members is by the Lord Chancellor and Lord Chief Justice (in consultation with the Secretary of State for Health in respect of medical and lay members).
K17	Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay.	4 Regional Chairmen receive an honorarium of Ł18,000 per annum for two days tribunal work a week. Receive a fee for each tribunal they preside over. Chairmen (4 Regional, 160 non-restricted panel, 109 restricted panel): 15-30 sitting days (Ł245.70 per day - Ł349.52 for recorders) 144 Medical members: 15-30 sitting days (Ł232.33 per day) 192 Lay members: 15-30 sitting days (Ł99.72 per day)
K18	Arrangements for training tribunal members, and the approach to and content of training.	National training group and regional training group attended by regional chairmen. National training framework. Training cpd accredited by Law Society and Royal College of Psychiatrists. Content included proposals for reform of Mental Health Act. Chairmen, members of training groups attend JSB train-the-trainer courses. Induction for all new members, who are also required to observe hearings.
K19	Arrangements for staff training.	MHRT has own training framework. All staff complete training and development plan. Training needs identified as part of appraisal and review procedure. MHRT has IiP accreditation as part of DH training strategy.
K20	Resources expended on:
a	tribunal member salaries and expenses	Ł7,945,000 ( Endnote 1 )
b	staff salaries and expenses	Ł1,134,086
c	system administration	Ł355,004
d	accommodation;	not applicable
e	tribunal member training	not available
f	staff training	not available
	TOTAL:	Ł9,434,090

K1	Brief description of the tribunal's business.	The HFEA is a statutory body which regulates, licenses and collects data on fertility treatments such as IVF and donor insemination, as well as embryo research, in the UK. The tribunal hears representations concerning Licence Committee decisions.
K2	Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year:	Normally no more than one case per year. None are outstanding.
K3	Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision.	Time limits are set out in Regulations. These are adhered to unless longer periods are agreed with appellants if adjournments are needed for further information.
K4	For appeal tribunals, the percentage of appeals which succeed.	So far one appeal of three has succeeded.
K5	Managerial structures for the tribunal administration:	Regulations set out who is responsible for decisions at each stage of the representation or appeal. Guidance is provided to licensed centres in HFEA's Manual for Centres.
K6	How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery?	Tribunal members are also HFEA board members. Decisions and implications are fed directly to HFEA. The Department of Health has observer status at HFEA meetings.
K7	Nature and scope of current ICT systems, and any major plans for improvement.	HFEA has a system devoted to the Register required under the 1990 Act. There are plans to introduce a system of secure electronic data interchange for this. The other main systems are principally concerned with office automation, accounts etc - there are currently no plans for major systems enhancements.
K8	How the tribunal(s) fit in the department's Modernising Government strategy.	No information provided.
K9	Numbers and grades of staff engaged on providing administrative support to the tribunal.	Licensing team deal with day-to-day licensing: 2 senior managers (SEO level) 6 inspector co-ordinators (HEO level) 3 admin staff (AO level) Senior management support (Grade 7) An appeal would be managed by a Grade 7 manager, with support from an HEO.
K12	Performance and user satisfaction measures in the tribunal.	None. The function is too small.
K13	Arrangements for assistance for users, legal or otherwise (including legal aid).	Users are medical practitioners with access to their own specialist advice and legal support.
K14	Arrangements for providing hearings (including their locations).	Representations and appeals can be made orally or in writing, and appellants can be represented. Representations would normally be heard in HFEA's offices. Appeal hearings are normally held in neutral venues arranged by solicitors acting independently of the appeal body.
K15	The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified.	Practices and procedures have been reviewed.
K16	Arrangements for appointing tribunal members, both legally and otherwise qualified.	HFEA members are appointed by the Secretary of State for Health. For specific hearings, members will be selected by availability and to ensure compliance with the Regulations. HFEA will have legal advice available to it where appropriate.
K17	Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay.	Licence Committees, which hear representations, consist of five members with a quorum of three. Appeal committees must be of a greater number and would normally consist of seven members. Members receive remuneration of Ł160 per day.
K18	Arrangements for training tribunal members, and the approach to and content of training.	All HFEA members receive initial induction training, periodic training from HFEA lawyers, and are advised by lawyers at all stages.
K19	Arrangements for staff training.	As for K18.
K20	Resources expended on:	Minimal given the small caseload, although legal costs for a single case can reach Ł50,000
a	tribunal member salaries and expenses
b	staff salaries and expenses
c	system administration
d	accommodation;
e	tribunal member training
f	staff training
	TOTAL:

K1	Brief description of the tribunal's business.	Will hear appeals by individuals placed by the Secretary of State on the list of those not suitable to work with children. It will also make the final decision in cases where the Secretary of State has placed them on the list on a provisional basis and this has continued for nine months.
K2	Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year:	It is estimated that at least 100 appeals will be heard per year.
K3	Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision.	Not applicable. The tribunal has yet to hear any cases.
K4	For appeal tribunals, the percentage of appeals which succeed.	Not applicable. The tribunal has yet to hear any cases.
K5	Managerial structures for the tribunal administration:	1 SEO clerk to the tribunal 2 EO clerks 1 support grade
K6	How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery?	Not applicable. The tribunal has yet to hear any cases.
K7	Nature and scope of current ICT systems, and any major plans for improvement.	Not applicable. The tribunal has yet to hear any cases.
K8	How the tribunal(s) fit in the department's Modernising Government strategy.	Not applicable. The tribunal has yet to hear any cases.
K9	Numbers and grades of staff engaged on providing administrative support to the tribunal.	As K5
K12	Performance and user satisfaction measures in the tribunal.	Not applicable. The tribunal has yet to hear any cases.
K13	Arrangements for assistance for users, legal or otherwise (including legal aid).	Not applicable. The tribunal has yet to hear any cases.
K14	Arrangements for providing hearings (including their locations).	Hearing centre is available in London, and has disabled access and public facilities.
K15	The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified.	The tribunal has recently been established and is thought to be ECHR compliant.
K16	Arrangements for appointing tribunal members, both legally and otherwise qualified.	Legally qualified chairmen are appointed by the Lord Chancellor. Lay members are appointed by the Lord Chancellor following consultation with the Secretary of State for Health.
K17	Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay.	President - part-time (Ł6,522 per year) Members will receive daily fees.
K18	Arrangements for training tribunal members, and the approach to and content of training.	A training day will be held in January 2001.
K19	Arrangements for staff training.	The President has provided in-house raining for staff.
K20	Resources expended on:	Not applicable. The tribunal has yet to hear any cases.
a	tribunal member salaries and expenses
b	staff salaries and expenses
c	system administration
d	accommodation;
e	tribunal member training
f	staff training
	TOTAL: