This guide is maintained as a current resource for July 2026 and covers only the laws of England and Wales. Information is for general guidance, not legal advice. Consult a qualified solicitor for advice specific to your situation.
Detailed guide to case management sanctions in Employment Tribunal cases in England and Wales. Explains strike out orders, unless orders, deposit orders, costs and wasted costs sanctions, how they arise under the 2024 Procedure Rules, practical responses, and tips to avoid sanctions in tribunal proceedings.
In Employment Tribunal proceedings, efficient case management is vital for ensuring that disputes are resolved fairly, in a timely way and without unnecessary expense. To achieve this, tribunals have a range of sanctions available when parties fail to comply with case management orders (CMOs) or procedural directions. These sanctions serve both to enforce compliance and to protect the integrity of the tribunal process. This article explains what case management sanctions are, the legal framework governing them, how they operate in practice, and what parties should consider to avoid or respond to them.
What Are Case Management Orders?
A case management order is a direction from an Employment Tribunal that specifies procedural steps for preparing a case for hearing. These orders can cover matters such as:
- Deadlines for exchanging evidence and witness statements.
- Disclosure of documents.
- Timetabling future hearings.
- Providing further or better particulars of a claim or response.
Under the Employment Tribunal Procedure Rules 2024, tribunals have broad powers to make and vary case management orders either on their own initiative or on application by a party. They may also vary, suspend, or set aside earlier orders where necessary in the interests of justice.
Why Sanctions Are Necessary
Case management sanctions apply where a party fails to comply with a tribunal's directions or breaches procedural obligations. The overriding objective of the rules is to ensure cases are dealt with fairly, proportionately and without undue delay; sanctions help enforce this by deterring non‑compliance and managing parties' conduct so that disputes progress toward a final hearing.
Types of Case Management Sanctions
Tribunals can impose a variety of sanctions depending on the severity and context of non‑compliance. The most common include:
1. Strike Out Orders
A tribunal can strike out all or part of a claim, response or reply where there is:
- No reasonable prospect of success.
- Non‑compliance with the tribunal's rules or orders.
- Conduct that is scandalous, vexatious or has undermined the fairness of proceedings.
- A failure to actively pursue a case or prepare for a hearing.
- A situation where a fair hearing is no longer possible.
Tribunals must give parties a reasonable opportunity to make representations before striking out a claim or defence.
2. Unless Orders
An unless order tells a party that if they fail to comply with a specific direction by a particular date, the claim, response or part of it will be dismissed automatically. These orders are a common sanction when procedural obligations, such as supplying detailed particulars or documents, are not met at the agreed time.
If the party does not comply, the relevant parts of the case are treated as struck out and no further order is required from the tribunal to give effect to that dismissal. A party can usually apply to have such a dismissal set aside within 14 days on the basis that it is in the interests of justice to do so.
3. Deposit Orders
While not a sanction for non‑compliance in the strict sense, deposit orders act as a pre‑condition for continuing weak allegations before a hearing. Where a tribunal considers a particular allegation or argument has little reasonable prospect of success, it may require the party to pay a deposit (up to a specified maximum) before that part of the case can proceed. Failure to pay the deposit by the deadline will result in that specific allegation being struck out.
4. Costs and Wasted Costs Orders
Tribunals may also award costs orders or wasted costs orders against a party or their representative where non‑compliance has caused unnecessary expense or inefficiency. For example, if a party repeatedly misses deadlines and forces the other side to expend additional time and resources, a costs application can be made. Costs may include reasonable expenses tied directly to compliance efforts.
Consequences of Sanctions
- Strike out: A struck‑out claim or response may be treated as if it was never presented, potentially resulting in an uncontested claim or an order in favour of the other party.
- Unless order dismissal: Automatic dismissal removes the relevant part of the case without further action by the tribunal.
- Deposit orders enforced: If deposit orders are not complied with, specific allegations are struck out causing part of the case to fall away.
- Costs awards: A costs order can lead to financial liability beyond the substantive claim, including paying the other party's preparation costs.
Responding to Sanctions
Comply Promptly With Directions
The best way to avoid sanctions is to comply with case management directions promptly. Parties should respond in good time and communicate with the tribunal and the opposing party if difficulties arise.
Seek Agreements and Variations
Where compliance with a deadline is difficult due to legitimate reasons (such as a solicitor being newly instructed or unexpected circumstances), parties should proactively seek an agreed variation of the case management order, providing clear reasons and evidence. Applications for variations can be made in writing or at a hearing.
Apply for Relief or Set‑Aside
If a sanction is imposed (e.g. dismissal under an unless order), an affected party can usually apply to have the sanction set aside or obtain relief from it by showing it is in the interests of justice. Such applications should explain why compliance was not possible and why justice requires the case to proceed.
Engage on Costs Applications
If a costs or wasted costs application is made, parties or their representatives should be given a reasonable opportunity to respond, either in writing or at a hearing, before the tribunal makes an order.
Practical Considerations for Parties
- Prepare early: Begin work on documentary disclosure, witness statements and other case tasks as soon as possible.
- Communicate issues: If there are genuine barriers to meeting an order, notify the tribunal and the opposing party promptly.
- Tailor responses: When opposing sanctions (like strike out or deposit orders), provide clear legal and factual arguments.
- Understand rules changes: The 2024 Rules took effect on 6 January 2025, modernising and clarifying sanctions among other procedural powers.
Common Questions
Can sanctions be appealed?
Yes. Orders such as strike out or costs can often be challenged on a point of law in the Employment Appeal Tribunal if it is believed that the tribunal misapplied procedural rules or principles in making the sanction.
Does non‑compliance always lead to sanction?
Not automatically. Tribunals have a discretion and will usually consider whether a proportionate sanction is justified, with options ranging from costs orders to strike out depending on the severity of the breach.
Are sanctions applied at any stage?
Yes. Case management sanctions can be applied at preliminary, intermediate or final stages of proceedings, depending on when non‑compliance becomes evident.
Summary
Case management sanctions are central to the effective conduct of Employment Tribunal proceedings in England and Wales. They are designed to enforce compliance with procedural directions and ensure fair, timely case progression. Sanctions include strike out orders, unless orders, deposit orders, and costs or wasted costs awards. Tribunals exercise these powers carefully and parties should take proactive steps to comply with procedural requirements, seek variations where necessary, and respond promptly to any sanction applications. Understanding the rules and practical requirements helps protect substantive rights while maintaining orderly tribunal process.
