Form

Guidance for applying: UT3

Updated 4 December 2023

The Administrative Appeals Chamber is part of the Upper Tribunal and decides appeals on points of law from decisions of the First-Tier Tribunal in mental health cases. The Upper Tribunal consists of High Court judges and other specialist judges appointed by the King.   

Use form UT3 to apply to the Upper Tribunal for permission to appeal against a decision of a First-tier Tribunal. It should also be used for appealing to the Upper Tribunal if the First-tier Tribunal has already granted permission to appeal. 

You must send this form to the Upper Tribunal office so that it is received no later than one month after the date the First-tier Tribunal sent you notice of the refusal or grant of permission to appeal or the refusal to admit your application. If you are late, you must explain why in Part G of the form.

Before you apply, you must have applied to the First-tier Tribunal for permission to appeal. You should have received information from the First-tier Tribunal about how and when to do this.

The appellant

Appellant is used to describe a person who makes an appeal, or who is asking for permission to appeal to the Upper Tribunal.

You should tick the appropriate box to indicate whether you are the patient or patient’s nearest relative or a responsible authority or other official appellant.

The patient

Whoever is completing this form as an appellant should complete Part B giving the information asked for about the patient.

The patient’s nearest relative

If you are making the application or appeal as the patient’s nearest relative you should put your name and address in Part C.

The patient or nearest relative’s representative

The patient or nearest relative may be represented by a solicitor or by any other person. If you have a representative, you should give their details in the boxes provided in Part D.  The Upper Tribunal office will then correspond only with your representative.

The responsible authority

Whoever is completing this form as an appellant should complete Part E giving the information asked for about the responsible authority. If the patient is being detained or is on a community treatment order please give the details of the hospital where the patient is being detained or treated or the hospital which is responsible for the patient, if different. Put the name of the official in charge of the patient’s case in the box provided.

If the patient is subject to guardianship please give the details of the responsible social services authority.

The First-tier Tribunal that decided your case

The place of the First-tier Tribunal hearing, the date of the decision and the number of your case should all be on the tribunal’s written decision.

Reasons for any delay

You should have made a written application to the First-tier Tribunal for permission to appeal to the Upper Tribunal so that it was received no later than 28 days after you were sent written reasons for the tribunal’s decision (or notification of amended reasons or correction following a review or notification that an application to set aside was not successful). 

Form UT3 should be sent or delivered to the Upper Tribunal office so that it is received no later than one month after the date the First-tier Tribunal sent you notice of the refusal or grant of permission to appeal or the refusal to admit your application.

If your application or appeal to the Upper Tribunal is late you must ask for an extension of time and explain the delay in Part G of the form. You must show a good reason for the Upper Tribunal to accept your application or appeal.  

If your application for permission to appeal was not admitted by the First-tier Tribunal because it was late it will only be admitted if the Upper Tribunal considers that it is in the interests of justice to do so. In any event you must explain the delay.   

The Upper Tribunal may take into account the length of the delay, and other matters such as the amount of money at stake, the potential importance of the case, so you can also mention these as reasons.

Use the box provided on the form or a separate sheet of paper if necessary. If you use a separate piece of paper, make sure it has your name on it.

Reasons for appealing

You must explain why you think the First-tier Tribunal decision is wrong in law. Examples of mistakes of law are that the tribunal:

• did not apply the correct law or wrongly interpreted the law

• made a procedural error

• had no evidence, or not enough evidence, to support its decision

• did not give adequate reasons (in the written statement of its reasons)

These are only examples and the First-tier Tribunal’s decision may be wrong in law for some other reason. You should explain in as much detail as possible why the decision in your particular case is wrong in law. If you have a representative they will advise you and may complete the form for you. You should not miss the one month time limit for sending in your application form. 

What you have said on form UT3 will be treated as your main submission on the appeal (even if you are now only applying for permission to appeal). You should therefore make sure that you say everything you wish to at this stage. On the other hand, remember that short clear submissions may be more effective than long repetitive ones.   

You may use a separate piece of paper if you wish, but make sure it has your full name on it and is sent with the form.

Request for an oral hearing

If you are applying to the Upper Tribunal for permission to appeal and you or your representative wish to appear before an Upper Tribunal judge at an oral hearing of your application, fill in the relevant boxes in Part I. 

If you are refused permission to appeal (or given permission on limited grounds or subject to conditions) without an oral hearing and the judge has not certified the whole or part of your application as being totally without merit, you will be given the opportunity to ask (within 14 days) for that decision to be reconsidered at an oral hearing.

An oral hearing may be a face to face hearing (normally held in London) or be heard remotely (by video-link or telephone). You will be sent further information if the Upper Tribunal judge allows your request for an oral hearing. 

Do not fill in the boxes about an oral hearing if the First-tier Tribunal has given you permission to appeal. In that case, or if you are given permission to appeal by the Upper Tribunal, you will be given an opportunity of asking for an oral hearing of your appeal at a later stage.

Application or appeal to the Upper Tribunal

Even if you have a representative, the appellant or nearest relative must sign the form personally in Part J. Your signature will be taken as authority for the representative named in Part D to act for you. The only exception to this rule is where the representative is a solicitor. A solicitor is presumed to be acting on instructions and may sign the form on behalf of the appellant or nearest relative.

Where to send the form

You must use the E-Filing service to send form UT3 and the required documents to the Upper Tribunal (Administrative Appeals Chamber) if you are either:

• legally represented
• applying or appealing on behalf of the responsible authority or the Secretary of State

You can find more information about using the E-Filing service.

If you are not legally represented, you should use the E-Filing service. If you are unable to, you must email or send form UT3 to:

The Upper Tribunal (Administrative Appeals Chamber)
5th Floor Rolls Building
7 Rolls Buildings
Fetter Lane
London
EC4A 1NL

Email: [email protected]

If you are late, you can still end in your form but you must explain the delay in Part G of the form.

Required documents

You must enclose the following documents with the form UT3:

• a copy of the written decision issued by the First-tier Tribunal and all the documents the First-tier Tribunal relied on to make their decision
• the letter from the First-tier Tribunal telling you that you have been granted or refused permission to appeal or that your application has not been admitted
• a copy of the funding notice or legal aid certificate

If you do not send these documents your appeal may not be admitted or may be delayed.

Keep these notes in a safe place so that you have a record of the address of the Upper Tribunal office. 

Contact the office if you are not told within a week that the form has been received.