Employment Tribunal Case Management Process Guide

The Employment Tribunal case management process is the structured sequence of directions and procedural steps that control how an employment dispute progresses from the initial claim to the final hearing. It ensures that cases are properly prepared, evidence is organised, and legal issues are clearly identified before the tribunal makes a final decision.

Case management is central to the operation of Employment Tribunals in England and Wales and is designed to promote fairness, efficiency, and proportionality in resolving disputes such as unfair dismissal, discrimination, whistleblowing, and wage claims.

What Case Management Means in Employment Tribunals

Case management refers to the tribunal's active control of a case while it is being prepared for hearing. It involves issuing directions to both parties to ensure the dispute is properly structured and ready for adjudication.

The process is governed by the Employment Tribunal Rules of Procedure 2013, which give Employment Judges broad powers to manage cases.

The primary objectives include:

• Identifying the legal and factual issues in dispute
• Ensuring both parties understand what must be proved
• Controlling timetables and deadlines
• Reducing delay and unnecessary cost
• Ensuring fair and proportionate proceedings

Early Stage Case Management

1. Receipt of Claim and Response

After a claim is submitted using the ET1 form and the employer responds using ET3, the tribunal begins early case management.

At this stage, the tribunal may:

• Review jurisdiction and time limit issues
• Identify preliminary legal questions
• Issue initial directions
• Schedule a preliminary hearing if required

Claims often involve statutory rights under the Employment Rights Act 1996 or the Equality Act 2010.

Preliminary Hearings and Case Management Hearings

A key feature of case management is the preliminary hearing, which may be combined with a case management hearing.

Purpose of preliminary hearings

These hearings are used to:

• Clarify the legal issues in dispute
• Determine whether the tribunal has jurisdiction
• Consider whether parts of a claim should be struck out
• Assess whether a claim has reasonable prospects of success
• Set detailed case directions

Case management hearings

Case management hearings focus on:

• Organising the timetable for the case
• Setting deadlines for disclosure and witness statements
• Determining the length and format of the final hearing
• Addressing procedural applications

These hearings are usually conducted by an Employment Judge sitting alone.

Case Management Orders (CMOs)

Case management orders are formal written instructions issued by the tribunal. They are legally binding and must be followed by both parties.

Common orders include:

• Disclosure of documents
• Exchange of witness statements
• Preparation of a hearing bundle
• Submission of skeleton arguments
• Timetable compliance for all procedural steps

Failure to comply can result in sanctions, including cost orders or strike out of the claim or response.

Disclosure of Documents

Disclosure is the process where both parties must share relevant documents.

This typically includes:

• Employment contracts
• Disciplinary records
• Emails and internal communications
• HR policies
• Payroll and wage records

The tribunal expects disclosure to be:

• Relevant
• Complete
• Organised chronologically
• Fairly exchanged between parties

Disputes over disclosure are common and are often resolved through additional case management hearings.

Witness Statements and Evidence Preparation

Case management requires both parties to prepare witness statements.

These statements:

• Set out each witness's evidence in writing
• Are exchanged before the hearing
• Usually stand as the main evidence-in-chief
• Must be signed as truthful accounts

The tribunal may also direct:

• Number of witnesses allowed
• Order of witness evidence
• Time limits for oral testimony

Proper preparation at this stage is essential for the final hearing.

Hearing Bundle Preparation

The hearing bundle is a paginated, agreed collection of documents used at the final hearing.

It typically includes:

• Claim and response forms (ET1 and ET3)
• Witness statements
• Key correspondence
• Contracts and policies
• Relevant legal documents

The bundle is prepared jointly by the parties or by one party under tribunal direction.

Timetabling and Directions

One of the most important case management functions is setting the timetable.

The tribunal will usually specify:

• Deadlines for disclosure
• Deadline for witness statements
• Bundle completion date
• Date of final hearing
• Estimated hearing length

These deadlines are strictly enforced. Extensions are only granted where justified.

Interim Applications and Procedural Issues

During case management, parties may make applications to the tribunal, including:

• Strike out applications (for weak or abusive claims)
• Deposit orders (requiring payment before continuing a weak claim)
• Requests for further information
• Applications to amend claims or responses
• Applications to postpone hearings

These applications are decided by an Employment Judge based on fairness and case merits.

Strike Out and Deposit Orders

Strike out

A claim or response may be struck out if:

• It has no reasonable prospect of success
• It is scandalous, vexatious, or an abuse of process
• There has been non-compliance with tribunal orders

Deposit orders

The tribunal may require a party to pay a deposit if a claim or response appears to have limited merit. Failure to pay can prevent that part of the case from proceeding.

Remote and Hybrid Case Management

Many case management hearings are now conducted remotely or in hybrid format.

This allows:

• Faster listing of hearings
• Reduced travel costs
• More flexible participation
• Efficient handling of procedural issues

However, final hearings may still be held in person depending on complexity and evidence requirements.

Importance of Case Management Compliance

Strict compliance with case management directions is essential.

Failure to comply can result in:

• Exclusion of evidence
• Cost penalties
• Adjournment of hearings
• Strike out of claims or defences
• Negative inferences at final hearing

The tribunal expects parties to engage actively and responsibly in the process.

Practical Impact of Case Management

The case management process shapes the entire outcome of an Employment Tribunal claim. It determines:

• What evidence will be considered
• Which legal issues are argued
• The structure of the final hearing
• Whether a case proceeds to trial at all

Effective case management often influences settlement discussions, particularly in claims involving compensation, discrimination damages, or unfair dismissal remedies.

Common Questions

What is a case management hearing?

It is a tribunal hearing where procedural directions are given to prepare a case for final hearing.

Do I have to attend case management hearings?

Yes. Failure to attend can result in orders being made in your absence.

Can the tribunal change deadlines?

Yes, but only where there is good reason and fairness allows it.

What happens if I ignore tribunal orders?

The tribunal may strike out your claim or defence or impose penalties.

Key Takeaways

The Employment Tribunal case management process is a structured system for preparing employment disputes for final hearing. It includes preliminary hearings, disclosure of documents, witness statement preparation, timetable directions, and procedural applications. Governed by the Employment Tribunal Rules of Procedure 2013, case management ensures that disputes are handled fairly, efficiently, and in a legally organised manner. Compliance with directions is critical, as it directly affects the progression and outcome of a case.