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Interpretation: Part VIIA and Schedule 5.
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57A.—(1) In this Part and Schedule 5—
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‘affected person’ means a person whose interests are directly or indirectly affected by an appealable decision;
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‘appeal’ means an appeal under this Part;
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‘appealable decision’ means a decision of the Regulatory Authority made under a designated enactment or designated statutory instrument that has the effect of imposing a sanction or liability of a kind specified in an order made under subsection (2);
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‘appellant’ means a person who has lodged an appeal;
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‘Chairperson’ means the Chairperson of the Appeals Tribunal;
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‘Deputy Chairperson’ means the Deputy Chairperson of the Appeals Tribunal;
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‘lay member’ means a member of the Appeals Tribunal other than the Chairperson and Deputy Chairperson;
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‘member’ means a member of the Appeals Tribunal;
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‘party’, in relation to proceedings before the Appeals Tribunal, means either the appellant or the Regulatory Authority as respondent;
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‘Registrar’ means the Registrar of the Appeals Tribunal;
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‘the rules’ means rules of the Appeals Tribunal made and in force under section 57AI.
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(2) The Government may, by order notified in Iris Oifigiúil, specify a sanction or other liability for the purposes of the definition of ‘appealable decision’ in subsection (1).
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(3) An order under subsection (2) may be made only if—
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(a) a draft of the order has been laid before both Houses of the Oireachtas, and
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(b) the draft has been approved by resolution passed by each of those Houses.
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(4) For the purposes of this Part, a decision made by a member of the Regulatory Authority or by any person acting under the authority of that Authority is taken to be a decision of that Authority.
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Objects of this Part.
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57B.—The objects of this Part are as follows:
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(a) to establish the Irish Financial Services Appeals Tribunal as an independent tribunal—
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(i) to hear and determine appeals under this Part, and
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(ii) to exercise such other jurisdiction as is conferred on it by this Part or by any other enactment or law;
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(b) to ensure that the Appeals Tribunal is accessible, its proceedings are efficient and effective and its decisions are fair;
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(c) to enable proceedings before the Appeals Tribunal to be determined in an informal and expeditious manner.
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Chapter 2
Constitution and jurisdiction of Appeals Tribunal
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Establishment of the Appeals Tribunal.
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57C.—A tribunal called ‘Binse Achomhairc Seirbhísí Airgeadais na hÉireann’ or in the English language the ‘Irish Financial Services Appeals Tribunal’ is established by this section.
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Membership of the Appeals Tribunal.
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57D.—(1) The Appeals Tribunal consists of the following members:
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(a) a Chairperson;
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(b) a Deputy Chairperson;
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(c) no fewer than 1 and no more than 5 lay members.
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(2) The members are to be appointed by the President on the nomination of the Government.
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(3) The document appointing a member is to specify whether the member has been appointed as the Chairperson or Deputy Chairperson or as a lay member.
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(4) A member may be appointed on a fulltime basis or a part-time basis.
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(5) Schedule 5 has effect with respect to the members.
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Eligibility for appointment as a member.
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57E.—(1) A person is eligible to be appointed as the Chairperson or Deputy Chairperson only if the person is—
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(a) a former judge of the Supreme Court or the High Court, or
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(b) a barrister or solicitor of not less than 7 years standing.
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(2) A person is eligible to be appointed as a lay member only if the President is satisfied that the person has special knowledge or skill in relation to the provision of financial services.
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(3) A person is not eligible for appointment as a member if the person—
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(a) is a member of either House of the Oireachtas or is, with the person's consent, nominated as a candidate for election as such a member or is nominated as a member of Seanad Éireann, or
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(b) is a member of the European Parliament or is, with the person's consent, nominated as a candidate for election as such a member or to fill a vacancy in the membership of that Parliament, or
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(c) is a member of a local authority or is, with the person's consent, nominated as a candidate for election as such a member.
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Appointment of acting members.
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57F.—(1) The President may, on the advice of the Government, appoint as an acting Chairperson or acting Deputy Chairperson a person qualified for appointment as Chairperson or Deputy Chairperson if satisfied that the appointment is necessary to enable the Appeals Tribunal to exercise its functions effectively during the period of the appointment.
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(2) The President may, on the advice of the Government, appoint as an acting lay member a person qualified for appointment as a lay member if satisfied that the appointment is necessary to enable the Appeals Tribunal to exercise its functions effectively during the period of the appointment.
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(3) The appointment of a person under this section is for such period (not exceeding 12 months) as is specified in the document of appointment.
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(4) An acting Chairperson, Deputy Chairperson or acting lay member has the functions of the Chairperson or Deputy Chairperson or lay member (as the case requires) subject to any conditions or limitations specified in the document of appointment.
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Jurisdiction and powers of the Appeals Tribunal.
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57G.—(1) The Appeals Tribunal has jurisdiction to hear and determine—
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(a) appeals made by affected persons against appealable decisions of the Regulatory Authority, and
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(b) such other matters, or class of matters, as may be prescribed by any other Act or law.
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(2) Subject to this Part, the Appeals Tribunal has power to do whatever is necessary for or in connection with, or reasonably incidental to, the exercise of its jurisdiction.
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Constitution of the Appeals Tribunal for particular proceedings.
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57H.—(1) For the purpose of hearing a particular appeal, the Appeals Tribunal is constituted by 3 members or, if that Tribunal has more than 3 members, by 3 members designated by the Chairperson.
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(2) Of the 3 members, one must be either the Chairperson or Deputy Chairperson.
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(3) If the members constituting the Appeals Tribunal for a particular hearing include the Chairperson, the Chairperson is to preside at the hearing. Otherwise, the Deputy Chairperson is to preside.
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(4) If there are sufficient members, the Appeals Tribunal may be separately constituted so as to enable it to hear different appeals at the same time.
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Functions of Chairperson.
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57I.—(1) The Chairperson is responsible for directing the business of the Appeals Tribunal, subject to this Part and the rules.
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(2) In particular, the Chairperson is responsible for deciding the places and times of hearings of appeals.
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Registrar and staff of the Appeals Tribunal.
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57J.—(1) The Chairperson shall appoint a Registrar of the Appeals Tribunal and such other staff as may be necessary for the functioning of that Tribunal.
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(2) Staff of the Appeals Tribunal (other than the Registrar) may be appointed from among the employees of the Bank, but only with the agreement of the Board.
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(3) The Registrar and other staff of the Appeals Tribunal are to be employed on such terms (including terms as to remuneration and superannuation) as are agreed between the Chairperson and the Board from time to time.
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Responsibilities of Registrar of the Appeals Tribunal.
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57K.—(1) The Registrar has the following responsibilities:
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(a) to assist the Chairperson in administering the Appeals Tribunal;
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(b) such other responsibilities as are imposed on the Registrar by or under this Part or by any other enactment or law.
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(2) The rules may make further provision with respect to the responsibilities of the Registrar.
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Chapter 3
Hearing and determination of appeals
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Right of appeal to Appeals Tribunal against appealable decision.
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57L.—(1) An affected person may appeal to the Appeals Tribunal in accordance with this section against an appealable decision of the Regulatory Authority.
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(2) An appeal must—
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(a) be in writing and state the grounds of appeal, and
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(b) be lodged with the Registrar within 28 days after the Regulatory Authority notified the affected person of the decision concerned, or within such extended period as the Registrar may allow, after consulting the Chairperson, and
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(c) be accompanied by the fee (if any) prescribed by the rules.
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(3) As soon as practicable after an appeal is lodged with the Registrar, the Registrar is required to give a copy of the appeal to the Regulatory Authority.
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(4) The Regulatory Authority is the respondent to every appeal.
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Appeals Tribunal may decide persons whose interests affected by a decision.
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57M.—(1) If it is necessary for the purposes of this Act to decide whether the interests of a person are affected, or are likely to be affected, by a decision of the Regulatory Authority, that matter is to be decided by the Appeals Tribunal.
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(2) If the Appeals Tribunal decides that the interests of a person are affected, or likely to be affected, by a decision of the Regulatory Authority, the decision of that Tribunal is conclusive and cannot be the subject of an appeal to the High Court.
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(3) However, if the Appeals Tribunal decides that the interests of a person are not affected, or are not likely to be affected, by a decision of the Regulatory Authority, the person may appeal to the High Court against the decision of that Tribunal.
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Duty of Regulatory Authority to give reasons on request.
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57N.—(1) If the Regulatory Authority has made an appealable decision, an affected person may make a written request to that Authority for a statement setting out the reasons for the decision.
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(2) As soon as practicable, but in any case not later than 28 days, after receiving such a request, the Regulatory Authority shall prepare a written statement of reasons for the decision and give it to the person who made the request.
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(3) The statement of reasons must specify—
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(a) the findings on material questions of fact, referring to the evidence or other material on which those findings were based, and
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(b) the Regulatory Authority's understanding of the applicable law, and
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(c) the reasoning processes that led that Authority to the conclusions that it came to.
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Regulatory Authority may refuse reasons in certain cases.
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57O.—(1) The Regulatory Authority may refuse to prepare and provide a statement of reasons requested by a person under section 57N if—
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(a) it is of the opinion that the person is not entitled to be given the statement, or
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(b) in the case of a decision the terms of which were recorded in writing and set out in a document that was provided to the person — the request was not made within 28 days after the person was provided with the document, or
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(c) in any other case — the request was not made within a reasonable time after the decision was made.
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(2) If the Regulatory Authority refuses under subsection (1) to prepare and give a statement of reasons, it shall, in writing, notify the person making the request of the refusal and of the reasons for the refusal as soon as practicable (and in any case not later than 28 days) after the date on which the request was made.
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(3) The Regulatory Authority may not refuse to prepare and provide a statement of reasons if—
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(a) in the case of a refusal based on subsection (1)(a) — the Appeals Tribunal makes an order declaring, on an application made under section 57P(1), that the person who made the request was entitled to make the request, or
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(b) in the case of a refusal based on subsection (1)(c) — the Appeals Tribunal makes an order declaring, on an application made under section 57Q(2), that the person who made the request did so within a reasonable time.
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(4) If the Regulatory Authority may not refuse to comply with a request for a statement of reasons because of an order of the Appeals Tribunal referred to in subsection (3)(a) or (b), it shall prepare the written statement of reasons that was originally requested and give it to the person who requested it as soon as practicable (and in any case not later than 28 days) after being notified of the order.
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Appeals Tribunal may determine whether person entitled to reasons or made request within reasonable time.
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57P.—(1) The Appeals Tribunal may, on the application of a person who has been refused a statement of reasons under section 57O(1)(a), make an order declaring that the person was, or was not, entitled to make the request to which the notice relates.
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(2) The Appeals Tribunal may, on the application of a person who has been refused a statement of reasons under section 57O(1)(c) on the basis that the person did not make the request within a reasonable time, make an order declaring that the person did make the request within a reasonable time.
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Appeals Tribunal may order Regulatory Authority to provide a statement of reasons or an adequate statement of reasons.
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57Q.—(1) If an affected person has requested a statement of reasons under section 57N but has not received it within the period specified by or under that section, the Appeals Tribunal may, on the application of the person, order the Regulatory Authority to give the statement of reasons within such time as may be specified in the order.
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(2) If an affected person who requested a statement of reasons under section 57N is given an inadequate statement of reasons, the Appeals Tribunal may, on the application of the person, order the Regulatory Authority to give the person an adequate statement of reasons within such period as may be specified in the order.
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(3) For the purposes of this section, a statement of reasons is an adequate statement of reasons only if it sets out the matters referred to in section 57N(3).
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Operation and implementation of appealed decision pending determination of appeal.
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57R.—(1) Subject to this section, the lodgement of an appeal with the Appeals Tribunal against a decision of the Regulatory Authority does not affect the operation of the decision or prevent the taking of action to implement that decision.
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(2) On the application of the appellant, the Appeals Tribunal may make such orders staying or otherwise affecting the operation of the decision appealed against as it considers will secure the effectiveness of the determination of the application.
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(3) The Appeals Tribunal may make an order under this section only if it considers that it is desirable to do so after taking into account—
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(a) the interests of any persons who may be affected by the determination of the application, and
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(b) any submission made by or on behalf of the Regulatory Authority, and
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(c) the public interest.
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(4) While an order is in force under this section (including an order that has previously been varied on one or more occasions under this subsection), the Appeals Tribunal may, on application by a party to the proceedings, vary or revoke the order by another order.
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(5) The Appeals Tribunal may not—
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(a) make an order under this section unless the Regulatory Authority has been given a reasonable opportunity to make submissions in relation to the matter, or
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(b) make an order varying or revoking an order in force under this section (including an order as varied) unless each interested person has been given a reasonable opportunity to make submissions in relation to the matter.
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(6) The following are interested persons for the purposes of subsection (5)(b):
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(a) the Regulatory Authority;
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(b) the person who requested the making of the order;
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(c) if the order has previously been varied by an order or orders under this section — the person or persons who requested the making of the variation.
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(7) A party to the relevant proceedings may appeal to the High Court against an order made under this section or against a refusal to make such an order.
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Conditions of stay order.
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57S.—(1) An order in force under section 57R (including an order that has previously been varied on one or more occasions) is subject to such conditions as are specified in the order.
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(2) Any such order has effect—
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(a) if a period for the operation of the order is specified in the order — until the end of that period or, if the Appeals Tribunal decides the relevant appeal before the end of that period, until the decision of that Tribunal on the appeal takes effect, or
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(b) if no period is so specified — until the decision of that Tribunal on the appeal takes effect.
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Opportunity of parties to make submissions.
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57T.—The Appeals Tribunal shall ensure that each party to proceedings before that Tribunal is given a reasonable opportunity—
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(a) to present the party's case (whether at a hearing or otherwise), and
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(b) to make submissions in relation to the issues arising in the proceedings.
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Representation of parties.
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57U.—(1) A party to proceedings before the Appeals Tribunal may—
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(a) appear without representation, or
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(b) be represented by an agent, or
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(c) if the party is an incapacitated person — be represented by such other person as may be appointed by that Tribunal under subsection (2).
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(2) If it appears to the Appeals Tribunal that a party is an incapacitated person, it may appoint a suitable person to represent the party.
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(3) Any person appearing before the Appeals Tribunal may use the services of an interpreter unless the person can understand and speak the English language sufficiently to enable the person to understand, and to make an adequate reply to, questions that may be put to the person.
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(4) In this section—
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‘incapacitated person’ means—
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(a) a minor, or
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(b) a person who is totally or partially incapable of representing himself or herself in proceedings before the Appeals Tribunal because the person is intellectually, physically, psychologically or sensorily disabled, of advanced age, a mentally incapacitated person or otherwise disabled, or
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(c) any other person of a class prescribed by regulations made under section 57AZ for the purposes of this paragraph;
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‘interpreter’ includes a person who interprets signs or other things made or done by a person who cannot speak adequately for the purposes of giving evidence in proceedings.
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Procedure of the Appeals Tribunal.
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57V.—(1) The Appeals Tribunal may, subject to this Part and the rules, determine its own procedure.
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(2) The Appeals Tribunal is not bound by the rules of evidence and may inquire into and inform itself on any matter in such manner as it thinks fit, subject to the rules of natural justice.
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(3) When hearing an appeal, the Appeals Tribunal is not limited to—
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(a) considering the evidence or grounds on which the Regulatory Authority based the decision that is the subject of the appeal, or
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(b) applying any sanction that was imposed as a part of that decision.
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(4) The Appeals Tribunal is required to act with as little formality as the circumstances of the case permit and according to equity, good conscience and the substantial merits of the case without regard to technicalities or legal forms.
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(5) The Appeals Tribunal is required to take such measures as are reasonably practicable—
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(a) to ensure that the parties to the proceedings before it understand the nature of the assertions made in the proceedings and the legal implications of those assertions, and
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(b) if requested to do so — to explain to the parties any aspect of the procedure of that Tribunal, or any decision or ruling made by it, that relates to the proceedings, and
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(c) to ensure that the parties have a reasonable opportunity to be heard or otherwise have their submissions considered in the proceedings.
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(6) In proceedings before it, the Appeals Tribunal is required to act as expeditiously as is practicable and to ensure that all relevant material is disclosed to that Tribunal so as to enable it to determine all of the relevant facts in issue in the proceedings.
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(7) In particular, the Appeals Tribunal may do all or any of the following:
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(a) require evidence or argument to be presented in writing and decide on the matters on which it will hear oral evidence or argument;
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(b) require the presentation of the respective cases of the parties before it to be limited to the periods of time that it determines are reasonably necessary for the fair and adequate presentation of the cases;
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(c) authorise a document to be served outside the State;
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(d) adjourn proceedings to any time and place (including for the purpose of enabling the parties to negotiate a settlement);
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(e) at any stage dismiss proceedings if the applicant has withdrawn the application to which the proceedings relate;
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(f) at any stage dismiss proceedings that it considers to be frivolous or vexatious or otherwise misconceived or lacking in substance.
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(8) The member presiding at proceedings of the Appeals Tribunal may—
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(a) hold a directions hearing in relation to any proceedings before that Tribunal, or
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(b) authorise the Registrar to hold a directions hearing in relation to the proceedings.
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Proceedings on hearing to be normally conducted in public.
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57W.—(1) The hearing of an appeal is to be open to the public, unless the parties to the hearing agree that it should be conducted in private.
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(2) However, even if the parties do not agree that the hearing should be conducted in private, the Appeals Tribunal may, if satisfied that it is desirable to do so because of the confidential nature of any evidence or matter or for any other reason, make any one or more of the following orders:
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(a) an order that the hearing be conducted wholly or partly in private;
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(b) an order prohibiting or restricting—
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(i) the disclosure of the name, address, picture or any other material that identifies, or may lead to the identification of, any person (whether or not a party to proceedings before the Appeals Tribunal or a witness summoned by, or appearing before, it), or
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(ii) the doing of any other thing that identifies, or may lead to the identification of, any such person;
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(c) an order prohibiting or restricting the publication or broadcast of any report of proceedings before it;
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(d) an order prohibiting or restricting the publication of evidence given before that Tribunal, whether in public or in private, or of matters contained in documents lodged with it or received in evidence by it;
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(e) an order prohibiting or restricting the disclosure to some or all of the parties to the proceedings of evidence given before that Tribunal, or of the contents of a document lodged with it or received in evidence by it, in relation to the proceedings.
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(3) The Appeals Tribunal may make an order under subsection (2) either on its own or on the application of a party.
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(4) The Appeals Tribunal may vary or revoke an order made under subsection (2).
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Power to remit matters to Regulatory Authority for further consideration.
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57X.—(1) At any stage of proceedings to determine an appeal against an appealable decision, the Appeals Tribunal may remit the decision to the Regulatory Authority for its reconsideration.
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(2) The Regulatory Authority shall reconsider a decision remitted under subsection (1) and on the reconsideration may—
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(a) affirm the decision, or
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(b) vary the decision, or
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(c) substitute for the decision a new decision.
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(3) If the Regulatory Authority varies the remitted decision—
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(a) the appeal is taken to be an appeal against the decision as varied, and
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(b) the appellant may either—
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(i) proceed with the appeal as varied, or
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(ii) withdraw the appeal.
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(4) If the Regulatory Authority substitutes for the remitted decision a new decision in substitution for the decision set aside—
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(a) the appeal is taken to be an appeal against the new decision, and
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(b) the appellant may either—
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(i) proceed with the appeal in relation to the new decision, or
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(ii) withdraw the appeal.
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Reconstitution of Appeals Tribunal during hearing of appeal.
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57Y.—(1) The Chairperson may replace a member during the hearing of an appeal if the member becomes mentally or physically incapacitated or otherwise becomes unavailable, or ceases to be a member, before the appeal is determined, but only if the parties agree.
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(2) The Appeals Tribunal as so reconstituted is to have regard to the evidence and decisions in relation to the matter that were given or made before it was reconstituted.
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(3) If a party does not agree to the reconstitution of the Appeals Tribunal under this section, that Tribunal, as constituted in accordance with this Part, is required to reconsider the proceedings.
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(4) When reconsidering proceedings, the Appeals Tribunal may, for the purposes of the proceedings, have regard to any record of the proceedings before that Tribunal as previously constituted, including a record of any evidence taken in the proceedings.
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What decisions the Appeals Tribunal can make in determining an appeal.
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57Z.—(1) In determining an appeal against an appealable decision, the Appeals Tribunal shall decide what the correct and preferable decision is having regard to the material then before it, including—
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(a) any relevant factual material, and
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(b) any applicable enactment or other law.
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(2) As soon as possible after finishing the hearing of an appeal against an appealable decision, the Appeals Tribunal shall do one of the following:
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(a) affirm the decision, or
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(b) vary the decision, or
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(c) substitute for the decision any appropriate decision that the Regulatory Authority could have lawfully made in relation to the matter concerned, or
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(d) set aside the decision and remit the matter concerned for reconsideration by the Regulatory Authority in accordance with any directions or recommendations of the Appeals Tribunal.
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(3) The Appeals Tribunal may dismiss an appeal against an appealable decision on the ground that the appellant has failed to attend a hearing of that Tribunal, but only if it is satisfied that the appellant was notified of the date, time and place fixed for the hearing.
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(4) The Appeals Tribunal may allow an appeal against an appealable decision on the ground that the Regulatory Authority has failed to attend a hearing of that Tribunal, but only if it is satisfied that that Authority was notified of the date, time and place fixed for the hearing. In that case, the Appeals Tribunal may substitute for the decision appealed against any appropriate decision that the Regulatory Authority could have lawfully made in relation to the matter concerned.
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How decisions of the Appeals Tribunal are to be made and given.
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57AA.—(1) If the members are not in unanimous agreement on a matter to be determined in proceedings before the Appeals Tribunal, the decision of the majority on the matter is the decision of that Tribunal.
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(2) However, a question of law (including the question whether a particular question is a question of law) arising in proceedings before the Appeals Tribunal is to be decided by the member who is presiding in the proceedings.
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(3) In deciding a matter before it, the Appeals Tribunal may impose such conditions (including exemptions) as it specifies in the decision.
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(4) The Appeals Tribunal is required to give reasons for its decision in writing—
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(a) within 28 days after the date on which it gave its decision, or
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(b) if the rules specify some other period (either generally or for that class of matter) — within that other period.
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(5) Those reasons must set out—
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(a) the findings on material questions of fact, referring to the evidence or other material on which those findings were based, and
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(b) the Appeals Tribunal's understanding of the applicable law, and
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(c) the reasoning processes that led that Tribunal to the conclusions that it made.
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(6) A failure to comply with subsection (4) or (5) does not affect the validity of a decision of the Appeals Tribunal.
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(7) The Appeals Tribunal shall ensure that a copy of its decision determining an appeal is served on each party to the proceedings.
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Appeals Tribunal may reserve decision.
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57AB.—(1) The Appeals Tribunal may reserve its decision in any proceedings before it.
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(2) A reserved decision of the Appeals Tribunal may be given—
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(a) at a subsequent sitting of that Tribunal, or
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(b) if the decision is set out in writing and is signed by the person who presided in the proceedings — by being delivered by the Chairperson or Deputy Chairperson, or
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(c) by the Registrar, at a time and place of which the parties have been given reasonable notice.
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Effect of decision of the Appeals Tribunal.
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57AC.—(1) A decision determining an appeal takes effect on the date on which it is given or such later date as may be specified in the decision.
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(2) If any such decision varies, or is made in substitution for, a decision of the Regulatory Authority, the decision of the Appeals Tribunal is taken—
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(a) to be the decision of that Authority, and
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(b) unless that Tribunal orders otherwise — to have had effect as the decision of that Authority on and from the date of its original decision.
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Amendments and irregularities.
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57AD.—(1) The Appeals Tribunal may, in any proceedings before it, make any amendments to the proceedings that that Tribunal considers to be necessary in the interests of justice.
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(2) Any such amendment may be made—
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(a) at any stage of the proceedings, and
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(b) on such terms as the Appeals Tribunal thinks fit (including terms as to costs).
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(3) A failure to comply with a provision of this Part or of the rules in relation to proceedings before the Appeals Tribunal is to be treated as an irregularity that does not itself nullify the proceedings, any step taken in the proceedings, or any decision relating to the proceedings. Nevertheless, if such a failure occurs, the Appeals Tribunal may wholly or partly set aside the proceedings, a step taken in the proceedings, or a decision in the proceedings.
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Recovery of amounts ordered to be paid.
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57AE.—(1) To facilitate the recovery of any amount (including costs) that the Appeals Tribunal has ordered to be paid, the Registrar is required to certify the amount to be paid.
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(2) A certificate given under this section must identify the person liable to pay the certified amount.
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(3) A certificate of the Registrar that—
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(a) is given under this section, and
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(b) is filed in the registry of a court having jurisdiction to give judgment for a debt of the same amount as the amount stated in the certificate,
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operates as such a judgment.
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(4) A party to proceedings in respect of which an amount has been certified by the Registrar under this section may apply to the Appeals Tribunal for a review of the decision to certify that amount.
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Powers in relation to witnesses.
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57AF.—(1) The Appeals Tribunal may, in relation to proceedings before it—
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(a) call witnesses on its own initiative, and
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(b) examine witnesses on oath, or by use of a statutory declaration, and
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(c) examine or cross-examine any witness to such extent as it thinks proper in order to elicit information relevant to the determination of the proceedings, and
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(d) require any witness to answer questions that it believes to be relevant to the proceedings.
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(2) If the Appeals Tribunal decides to call a person as a witness under this section, it may—
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(a) try to get the person to attend the proceedings voluntarily by notifying the person in such manner as it thinks appropriate, or
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(b) direct the Registrar to issue a summons to compel the attendance of the person before it.
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(3) A party to proceedings before the Appeals Tribunal may apply to the Registrar for the issue of a summons compelling the attendance of a witness before it.
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(4) On receiving a direction under subsection (2) or an application under subsection (3), the Registrar shall issue a summons requiring the person named in the summons—
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(a) to attend proceedings of the Appeals Tribunal on a specified date and at a specified time and place, and
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(b) to attend and give evidence, or attend and produce documents or other things, or to do both of those things.
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(5) A summons must be signed by the Registrar or be otherwise authenticated as provided by the rules.
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(6) A person who, without reasonable excuse, fails to comply with the requirements of a summons commits an offence and is liable on summary conviction to a fine not exceeding €2,000 or to imprisonment for a term not exceeding 3 months, or both.
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(7) A summons may be served within or outside the State.
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(8) A person who attends proceedings of the Appeals Tribunal to give evidence, or attend and produce documents or other things, is entitled to the same protection and immunity as a person appearing as a witness in civil proceedings before a court.
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Power to correct decisions of the Appeals Tribunal.
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57AG.—(1) If, after making a decision, the Appeals Tribunal is satisfied that there is an obvious error in the text of the decision or in a written statement of reasons for the decision, it may direct the Registrar to alter the text of the decision or statement in accordance with its directions.
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(2) If the text of a decision or statement is so altered, the altered text is taken to be the decision of the Appeals Tribunal or the reasons for the decision.
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(3) Examples of obvious errors in the text of a decision or statement of reasons are where—
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(a) there is an obvious clerical or typographical error in the text of the decision or statement of reasons, or
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(b) there is an error arising from an accidental slip or omission, or
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(c) there is a defect of form, or
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(d) there is an inconsistency between the decision and the statement of reasons.
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(4) The powers of the Appeals Tribunal under this section may be exercised by the member who presided at the proceedings to which the decision relates.
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Appeals Tribunal may award costs in certain circumstances.
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57AH.—(1) The Appeals Tribunal may award costs in relation to proceedings before it and may determine by whom and to what extent costs are to be paid.
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(2) In this section, ‘costs’ includes not only costs of or incidental to the hearing and determination of an appeal, but also the costs of or incidental to the proceedings giving rise to the appeal.
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Appeals Tribunal may make rules of procedure.
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57AI.—(1) The Appeals Tribunal may make rules, not inconsistent with this Part, for or with respect to any matter—
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(a) that by this Part is required or permitted to be prescribed by the rules, or
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(b) that is necessary or convenient to be prescribed in relation to the practice and procedure of that Tribunal.
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(2) Without limiting subsection (1), the rules may provide for all or any of the following matters:
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(a) the responsibilities of the Registrar or other staff of the Appeals Tribunal under this Part;
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(b) fixing the places and times for holding hearings of the Appeals Tribunal;
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(c) the representation of parties at hearings of the Appeals Tribunal;
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(d) the discovery of documents relating to proceedings before the Appeals Tribunal;
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(e) notifying decisions of the Appeals Tribunal to parties to proceedings before it;
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(f) the means for, and the practice and procedure to be followed in, the enforcement and execution of decisions of the Appeals Tribunal;
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(g) the fees payable in respect of lodging appeals with the Appeals Tribunal;
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(h) the waiver of fees payable in respect of lodging appeals with the Appeals Tribunal (whether at the time of lodgement of an appeal or otherwise);
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(i) the refund, in whole or in part, of fees if proceedings before the Appeals Tribunal terminate in a manner favourable to the appellant;
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(j) the award of costs in respect of proceedings before the Appeals Tribunal;
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(k) the use of the seal of the Appeals Tribunal.
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Chapter 4
References and appeals to High Court
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References of questions of law to High Court.
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57AJ.—(1) When hearing an appeal, the Appeals Tribunal may, on its own initiative or at the request of a party, refer a question of law arising in the appeal to the High Court for the opinion of the Court.
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(2) The High Court has jurisdiction to hear and determine any question of law referred to it under this section.
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(3) If a question of law arising in an appeal has been referred to the High Court under this section, the Appeals Tribunal may not—
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(a) give a decision in the appeal to which the question is relevant while the reference is pending, or
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(b) proceed in a manner, or make a decision, that is inconsistent with the opinion of the High Court on the question.
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Right of appeal to High Court.
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57AK.—(1) A party to an appeal determined by the Appeals Tribunal may appeal to the High Court against the decision of the Appeals Tribunal in respect of the appeal.
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(2) Neither the Appeals Tribunal nor any of its members can be made a party to an appeal under this section.
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(3) An appeal under this section must be made—
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(a) within such period and in such manner as is prescribed by rules of court of the High Court, or
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(b) within such further period as that Court may allow.
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Orders on appeal to the High Court.
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57AL.—(1) The High Court is to hear and determine an appeal made under section 57AK and may make such orders as it thinks appropriate in light of its determination.
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(2) The orders that may be made by the High Court on the hearing of such an appeal include (but are not limited to)—
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(a) an order affirming or setting aside the decision of the Appeals Tribunal, and
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(b) an order remitting the case to be heard and decided again by that Tribunal (either with or without the hearing of further evidence) in accordance with the directions of that Court.
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(3) The determination of the High Court on the hearing of such an appeal is final, except that a party to the appeal may apply to the Supreme Court to review the determination on a question of law (but only with the leave of either of those Courts).
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Appeal does not stay decision of the Appeals Tribunal.
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57AM.—An appeal under section 57AK does not—
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(a) affect the operation of the decision appealed against, or
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(b) prevent the taking of action to implement the decision, unless the High Court otherwise orders.
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Chapter 5
Miscellaneous
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Contempt of Appeals Tribunal.
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57AN.—(1) The Appeals Tribunal may report the following matters to the High Court:
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(a) if a person fails to attend in obedience to a summons after having been served with a summons to attend before the Appeals Tribunal as a witness, or
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(b) if a person fails to produce any document or other thing in the person's custody or control that the person is required by a summons to produce after having been served with a summons to attend before the Appeals Tribunal, or
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(c) if a person refuses to be sworn or to make an affirmation or refuses or otherwise fails to answer any question that is put to the person by the Appeals Tribunal after being called or examined as a witness before that Tribunal, or
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(d) if a person threatens or insults—
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(i) a member, assessor or officer of the Appeals Tribunal, or
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(ii) any witness or person summoned to attend before that Tribunal, or
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(iii) a barrister, solicitor or other person authorised to appear before that Tribunal, or
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(e) if a person interrupts the proceedings of, or otherwise misbehaves before, the Appeals Tribunal, or
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(f) if a person obstructs or attempts to obstruct the Appeals Tribunal, a member of that Tribunal or a person acting with the authority of that Tribunal in the exercise of any lawful function, or
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(g) if a person discloses, or authorises the disclosure of, evidence given before the Appeals Tribunal or any of the contents of a document produced at a hearing that that Tribunal has ordered not to be published, or
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(h) if a person discloses, or authorises the disclosure of, evidence given before the Appeals Tribunal at a hearing held in private or any of the contents of a document produced at a hearing held in private (except to a member of staff of that Tribunal or as permitted by that Tribunal), or
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(i) if a person does any other thing that, if the Appeals Tribunal were a court of law having power to commit for contempt, would be contempt of that court.
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(2) If the Appeals Tribunal reports a matter to the High Court under subsection (1), and the Court is satisfied that there was no reasonable excuse for the act or omission concerned, then the Court—
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(a) may make an order requiring the person concerned to comply with this Act, and
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(b) if the person fails to comply with such order, may deal with the matter as if it were a contempt of that Court.
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(3) Subsection (1)(h) does not apply to the Registrar or any other member of staff of the Appeals Tribunal in relation to evidence or contents of documents published to other members of that staff or to members of that Tribunal.
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Act or omission that is both an offence and contempt.
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57AO.—(1) An act or omission may be punished as a contempt of the Appeals Tribunal even though it could be punished as an offence.
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(2) An act or omission may be punished as an offence even though it could be punished as a contempt of the Appeals Tribunal.
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(3) If an act or omission constitutes both an offence and a contempt of the Appeals Tribunal, the offender is not liable to be punished twice.
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Appeals Tribunal to have seal.
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57AP.—The Appeals Tribunal is required to have a seal, which is to be judicially noticed.
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Authentication of documents.
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57AQ.—Every document requiring authentication by the Appeals Tribunal is sufficiently authenticated without the seal of that Tribunal if it is signed by the Chairperson, the Deputy Chairperson or the Registrar.
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Judicial notice to be taken of certain signatures.
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57AR.—Judicial notice is to be taken of the signature of the Chairperson, the Deputy Chairperson or the Registrar when appearing on a document issued by the Appeals Tribunal.
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Proof of certain matters not required.
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57AS.—In any legal proceedings, no proof is required (unless evidence to the contrary is given) of—
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(a) the constitution of the Appeals Tribunal, or
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(b) any decision of that Tribunal, or
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(c) the appointment, or the holding of office by, a member of that Tribunal or the Registrar.
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Protection of barristers, solicitors, witnesses and others.
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57AT.—(1) A barrister, solicitor or other person appearing before the Appeals Tribunal on behalf of a party has the same protection and immunity as a barrister has in appearing for a party in proceedings in the High Court.
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(2) Subject to this Part and the rules, a person summoned to attend or appearing before the Appeals Tribunal as a witness has the same protection, and is, in addition to the penalties provided by this Part, subject to the same liabilities, as a witness in proceedings in the High Court.
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Allowances and expenses of witnesses.
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57AU.—(1) A person (other than an employee of the Bank or a civil servant for the purposes of the Civil Service Regulation Acts 1956 to 1996) who is required to appear or give evidence before the Appeals Tribunal is entitled to be paid such allowances and expenses as are ascertained in accordance with a scale of allowances and expenses prescribed by regulations made under section 57AZ for the purposes of this section.
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(2) Subject to subsection (3), the allowances and expenses are to be paid by the party at whose request a witness is summoned.
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(3) The Appeals Tribunal may order the allowances and expenses of a witness referred to in subsection (2) to be paid wholly or partly by the Bank.
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Notices, service and lodgement of documents.
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57AV.—(1) For the purposes of this Part, a notice or document may be given to a person (or a notice or document may be served on a person)—
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(a) in the case of a natural person, by—
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(i) delivering it to the person personally, or
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(ii) leaving it at, or by sending it by pre-paid post to, the residential or business address of the person last known to the person serving the document, or
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(b) in the case of a body corporate — by leaving it at, or by sending it by pre-paid post to, the head office, a registered office or a principal office of the body corporate, or
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(c) in the case of the Regulatory Authority — by leaving it with, or by sending it by pre-paid post to, the Chief Executive or a member of staff of that Authority.
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(2) A notice or other document may be served on the Appeals Tribunal by leaving it at, or by sending it by post to (or a document that is required or permitted to be lodged with that Tribunal may be lodged at)—
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(a) the office of the Registrar, or
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(b) if the Registrar has more than one office, any one of those offices.
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(3) Nothing in this section affects the operation of any provision of any law or the rules of a court authorising a document to be served in a manner not provided for by this section.
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(4) The rules may—
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(a) provide for other means of serving, giving or lodging any notice or document, and
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(b) provide for a notice or document of a class specified by the rules to be served, given or lodged only in the manner prescribed by the rules.
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Annual report of the Appeals Tribunal.
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57AW.—(1) Not later than 3 months after the end of each financial year, the Chairperson shall provide the Minister and the Board with a report on the operations of the Appeals Tribunal for that year.
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(2) As soon as practicable after receiving the report, the Minister shall arrange for it to be laid before both Houses of the Oireachtas.
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(3) The Registrar is required to publish the report as soon as practicable after becoming aware that the report has been laid in accordance with subsection (2). All members of the public are entitled to obtain a copy of the report on payment of such reasonable charge as may be fixed by the Chairperson in consultation with the other members.
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How the cost of operating the Appeals Tribunal is to be met.
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57AX.—(1) The cost of operating the Appeals Tribunal is to be met from funds provided in accordance with this section.
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(2) Not later than 3 months before the beginning of each financial year, or within such extended period as the Minister may allow, the Chairperson of the Appeals Tribunal shall—
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(a) prepare a statement setting out estimates of that Tribunal's expected income and expenditure for that year (including the cost of providing remuneration and other amounts to its members and to its staff), and
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(b) submit the statement to the Minister for approval.
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(3) The Minister may approve the statement either without amendment or with such amendment as may be agreed with the Chairperson, but in doing so is required to have regard to the Rome Treaty and the ESCB Statute.
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(4) As soon as practicable after approving the statement, the Minister shall direct the Bank to pay to the Registrar such amount as the Minister specifies as being necessary to meet the cost of operating the Appeals Tribunal during the financial year concerned, after taking into account any income likely to be received by that Tribunal.
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(5) The Bank is required to comply with a direction given under subsection (4) within such period or periods as are specified in the direction. The amounts required to be paid under the direction are a charge on the general fund of the Bank.
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Registrar to keep proper accounting records.
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57AY.—(1) The Registrar shall keep all proper accounting records in respect of all money received and spent by or in respect of the Appeals Tribunal.
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(2) The Registrar shall open and maintain such bank accounts as are necessary for the operation of the Appeals Tribunal and shall ensure—
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(a) that all money received for that Tribunal is banked as soon as practicable after it is received, and
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(b) that no money is paid out of any of those accounts without the authority of the Chairperson.
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Government may make regulations with respect to the Appeals Tribunal.
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57AZ.—The Government may make regulations, not inconsistent with this Act, for or with respect to any matter that by this Part is required or permitted to be prescribed by regulation.”.
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