A Guide To Employment Tribunal Claims

Employment Tribunals are specialist judicial bodies responsible for resolving workplace disputes between employers and employees.

As part of the wider UK tribunal system, they hear a broad range of employment-related claims, including unfair dismissal, discrimination, whistleblowing, unlawful deduction from wages and breach of contract disputes.

Whether you are facing a claim for the first time or have previous experience of tribunal proceedings, understanding the process can help you manage risk, comply with procedural requirements and prepare an effective defence. This guide outlines the key stages of an Employment Tribunal claim from initial notification through to final judgment.

Step 1: Early Conciliation

Before most Employment Tribunal claims can be issued, the prospective claimant must first notify Acas and participate in the Early Conciliation (EC) process.

During EC, an Acas conciliator will contact both parties to explore whether the dispute can be resolved without formal proceedings. If settlement is not reached, Acas will issue an Early Conciliation Certificate, containing a reference number which the claimant must include on their Employment Tribunal claim form (ET1).

Step 2: Receiving the Claim (ET1)

Once a claim has been submitted and accepted by the Employment Tribunal, a copy of the ET1 will be sent to the employer (the respondent).

The respondent has 28 days from receipt of the claim to submit its response using form ET3. Missing this deadline can have serious consequences, including the possibility of a default judgment being entered without the employer having the opportunity to defend the claim.

It is therefore important to seek legal advice promptly upon receiving a claim.

Step 3: Preparing Your Response (ET3)

The ET3 is the employer’s formal defence to the claim.

At this stage, employers should:

• Identify the relevant facts and chronology of events.
• Gather key documents and records.
• Consider which allegations are admitted, denied or require further information.
• Assess whether additional particulars of the claim should be requested.

The ET3 should provide a clear and accurate account of the employer’s position but does not require supporting documents to be attached.

Step 4: Case Management and Tribunal Directions

Once the ET3 has been accepted, an Employment Judge will review the claim and defence.

The Tribunal may either:

• List the matter for a final hearing; or
• Arrange a Preliminary Hearing for Case Management (PHCM).

A PHCM is commonly used in more complex cases to clarify the issues in dispute, determine jurisdictional questions and set a timetable for the progression of the claim.

Where a final hearing is listed, the Tribunal will usually issue Case Management Orders (CMOs) setting out key deadlines.

These commonly include:

• Preparation of a Schedule of Loss by the claimant.
• Disclosure of relevant documents.
• Preparation of an agreed hearing bundle.
• Exchange of witness statements.

Step 5: Disclosure of Documents

Disclosure is one of the most important stages of Tribunal proceedings.

Each party must identify and disclose all documents in their possession or control that are relevant to the issues in dispute, regardless of whether those documents help or harm their case.

Documents can include:

• Emails and correspondence.
• Personnel records.
• Meeting notes.
• Text messages.
• Electronic files.
• Policies and procedures.

The obligation to disclose documents continues throughout the proceedings, meaning newly discovered or created relevant documents must also be disclosed.

What Happens If Documents Are Not Disclosed?

If a party believes relevant documents have been withheld, they can apply to the Tribunal for an order for specific disclosure.

Failure to comply with disclosure obligations can result in serious sanctions, including:

• Costs orders.
• Adverse findings by the Tribunal.
• Strike-out of all or part of a claim or defence.

Employers should therefore take a thorough and careful approach when carrying out disclosure exercises.

Step 6: Preparing the Hearing Bundl

Following disclosure, the parties must agree which documents will be referred to during the hearing.

These documents are collated into a hearing bundle, usually prepared by the employer or their representatives.

The bundle should be organised, indexed and paginated to allow the Tribunal and witnesses to locate documents quickly during the hearing.

Step 7: Witness Evidence

Witness evidence often plays a crucial role in Tribunal proceedings.

Employers should identify individuals who were directly involved in the events giving rise to the claim, such as:

• Managers.
• Decision-makers.
• HR personnel.
• Colleagues with relevant knowledge.

Each witness will prepare a written witness statement setting out their evidence in chief. These statements are usually exchanged before the hearing and will form part of the evidence considered by the Tribunal.

Step 8: Considering Settlemen

Settlement remains an option throughout the life of a Tribunal claim.

Even where an employer believes it has strong prospects of successfully defending a claim, it may be commercially sensible to explore settlement to avoid:

• Ongoing legal costs.
• Management time.
• Business disruption.
• Reputational risk.
• Litigation uncertainty.

Many settlements are reached through Acas and recorded in a legally binding agreement known as a COT3.

Settlement terms frequently include compensation payments, withdrawal of the claim and confidentiality provisions, although non-financial terms such as agreed references may also be included.

Step 9: The Final Hearing

Employment Tribunal hearings are generally held in public.

Depending on the nature of the claim, the case may be heard by:

• An Employment Judge sitting alone; or
• A panel comprising an Employment Judge and two lay members.

More complex claims, particularly discrimination cases, are more likely to be heard by a full panel.

During the hearing, both parties will have the opportunity to:

• Present evidence.
• Cross-examine witnesses.
• Make legal submissions.

Professional representation is not mandatory, although many parties choose to instruct solicitors and barristers to assist with preparation and advocacy.

Step 10: The Tribunal’s Decision

Following the hearing, the Tribunal may either:

• Deliver an oral judgment immediately; or
• Reserve its decision and issue a written judgment at a later date.

In some cases, particularly where compensation needs to be assessed separately, a further hearing may be required.

Where written reasons are not automatically provided, either party may request them. This is particularly important if an appeal is being considered.

Appeals and Reconsideration

A party that believes an error has been made may:

• Apply for reconsideration of the judgment within 14 days; or
• Appeal to the Employment Appeal Tribunal (EAT) within 42 days.

Appeals can only be brought on limited legal grounds and specialist advice should be sought before pursuing this route.

Costs in Employment Tribunals

Unlike civil court proceedings, Employment Tribunals do not generally require the losing party to pay the successful party’s legal costs.

Costs awards are usually reserved for exceptional circumstances, such as where a party has acted unreasonably or where a claim or defence had no reasonable prospect of success.

This means that, in most cases, each party is responsible for its own legal costs regardless of the outcome.

How Wilson Browne Can Help

Employment Tribunal proceedings can be time-consuming, costly and complex. Early legal advice can often help employers assess the strength of a claim, comply with procedural requirements and identify opportunities for resolution before costs escalate.

Wilson Browne’s Employment Law team advises employers at every stage of the Tribunal process, from responding to ET1 claims and preparing ET3 responses through to settlement negotiations, advocacy support and appeals. If you require advice on an existing claim or wish to reduce the risk of future disputes, our experienced team would be happy to help.