How to Submit Documents to an Employment Tribunal Correctly

In Employment Tribunal proceedings in England and Wales, document submission is a structured legal process governed by the Employment Tribunals (Rules of Procedure) 2013. Proper submission of documents is essential in unfair dismissal and other employment claims, as the tribunal decides cases based on disclosed evidence rather than pleadings alone.

Documents are not simply “sent in”; they are exchanged, disclosed, indexed, and compiled into an agreed hearing bundle under tribunal directions. Failure to follow correct procedure can result in evidence being excluded or given reduced weight.

This article explains how documents must be submitted, when they must be exchanged, and how they are organised for use at a final hearing.

Legal Framework for Document Submission

Employment Tribunals require parties to follow a disclosure-based system.

Key principles include:

• Each party must disclose all relevant documents, including those that do not support their case
• Documents must be exchanged by tribunal direction and deadlines
• Evidence is compiled into a single hearing bundle for the tribunal
• The tribunal controls the process through case management orders

The duty of disclosure is ongoing and applies throughout proceedings.

Step 1: Understanding Disclosure (Initial Exchange of Documents)

Disclosure is the first stage of document submission.

What disclosure means

Each party must provide:

• Documents they rely on
• Documents that support the other side's case
• Documents that may undermine their own case

Common documents in dismissal cases

• Employment contract and job description
• Disciplinary and grievance records
• Emails and internal communications
• Performance reviews
• Meeting notes and investigation reports
• Policies in force at the time of dismissal

Disclosure is not optional or selective; relevant documents must be included even if they are unfavourable.

Step 2: Preparing a List of Documents

Before exchange, parties usually prepare a “list of documents” (also called a disclosure list).

This should:

• Identify documents clearly and systematically
• Group documents by category or date
• Allow the other party to request copies

The list acts as an index of all relevant material held.

Tribunals may order specific formats depending on case complexity.

Step 3: Exchanging Documents Between Parties

Once disclosure lists are exchanged:

• Each party requests copies of relevant documents
• Documents are shared in line with tribunal deadlines
• The tribunal may issue a timetable for staged disclosure

If one party believes documents are missing, they can apply for a tribunal order requiring further disclosure.

The tribunal expects transparency and full cooperation.

Step 4: Tribunal Case Management Orders

Document submission is controlled by formal tribunal directions.

These orders may specify:

• Deadlines for disclosure
• Format for document exchange (PDF, indexed files, etc.)
• Requirements for witness statements
• Timetables for bundle preparation

A preliminary hearing may be used to set or refine these directions.

Step 5: Preparing the Hearing Bundle

The hearing bundle is the final structured document set used at the tribunal hearing.

What the bundle contains

Typically:

• ET1 claim form and ET3 response
• Tribunal orders
• All disclosed documents from both parties
• Witness statements
• Chronology and index

The bundle must be:

• Paginated (page numbered throughout)
• Indexed at the front
• Agreed by both parties where possible

Who prepares the bundle

In most cases:

• The respondent prepares the bundle
• The claimant checks and requests additions if documents are missing

The tribunal expects the bundle to be the single source of documentary evidence for the hearing.

Step 6: Submitting Documents to the Tribunal

Documents are not usually sent individually to the tribunal during the case.

Instead:

• Documents are exchanged between parties first
• The agreed bundle is sent to the tribunal before the hearing
• Copies are provided for each party and the judge

The tribunal will usually specify how and when the bundle must be delivered.

Common formats include:

• PDF electronic bundle
• Shared secure file system
• In some cases, physical paper bundles

Step 7: Witness Statements and Their Submission

Witness statements are treated as evidence and form part of the bundle.

Key rules:

• Statements are exchanged between parties before the hearing
• They are usually included in the bundle submitted to the tribunal
• They must be signed with a statement of truth
• They should reference documents in the bundle

At the hearing, the tribunal treats witness statements as the witness's main evidence.

Step 8: Applications for Missing or Additional Documents

If relevant documents are not disclosed:

• A request can be made to the other party
• If refused, an application can be made to the tribunal
• The tribunal may order “specific disclosure”

This ensures that both parties have access to relevant evidence before the hearing.

Step 9: Common Mistakes When Submitting Documents

1. Sending documents without following tribunal directions

Documents must follow procedural orders, not informal arrangements.

2. Failing to disclose adverse documents

All relevant documents must be disclosed, even if damaging to the case.

3. Poorly organised bundles

Missing page numbers or unclear indexing can disrupt proceedings.

4. Late submission

Late documents may be excluded unless the tribunal allows them.

5. Sending incomplete bundles

The tribunal relies on the bundle as the complete evidential record.

Practical Approach to Correct Submission

A structured approach includes:

1. Collecting all relevant documents early
2. Preparing a full disclosure list
3. Exchanging documents with the other party
4. Following tribunal deadlines strictly
5. Agreeing a complete hearing bundle
6. Ensuring final bundle is paginated and indexed
7. Submitting bundle to tribunal in required format

Key Takeaways

Submitting documents to an Employment Tribunal is a formal procedural process based on disclosure, exchange, and bundle preparation. Documents must be:

• Fully disclosed to the other party
• Exchanged according to tribunal directions
• Organised into an agreed, paginated hearing bundle
• Submitted to the tribunal before the hearing

The tribunal relies on this structured process to ensure fairness and to assess evidence in unfair dismissal and other employment claims.