Purpose of an Employment Tribunal Preliminary Hearing

The main goal of a preliminary hearing is to manage the case effectively by identifying issues, agreeing timelines, and making orders to streamline the path to the final hearing.

Preliminary hearings, governed by the Employment Tribunals Rules of Procedure 2013 (particularly Rules 29 and 53), focus on case management rather than deciding the substantive merits of your claim. The employment judge aims to ensure both parties understand their claims and responses clearly.

For example, if your ET1 form raises multiple allegations, the judge might ask you to explain the core facts supporting unfair dismissal, helping to focus on viable issues early on. This prevents the full hearing from becoming bogged down in irrelevant details.

For more on the system, see Understanding the Employment Tribunal System in England and Wales.

Scheduling and Notice of the Hearing

The tribunal schedules a preliminary hearing after reviewing your claim and response, sending at least 14 days’ notice to allow preparation.

Once your claim (ET1) and the respondent’s response (ET3) are lodged, the tribunal office decides if a preliminary hearing is needed, often within a few months of starting the claim. Presidential Guidance recommends early case management to progress cases promptly.

You will receive a Notice of Hearing by post or email, detailing the date, time, location (or remote link), estimated duration (usually 1-2 hours), and any specific agenda items. Always check your post regularly during this period.

If you cannot attend, apply immediately to postpone using form ET15, explaining unavoidable reasons with evidence.

Format of the Hearing and Who Attends

Preliminary hearings are typically conducted by an employment judge alone, in person, by phone, or video, lasting about 1-2 hours.

These hearings usually involve just the employment judge, without lay members, as they deal with procedural matters under section 4 of the Employment Tribunals Act 1996. Both claimant and respondent (or their representatives) attend.

The format is informal compared to the final hearing—no swearing in, and the judge actively questions to clarify points. Remote hearings via CVP or telephone are common post-pandemic, making it accessible nationwide.

Bring notes, your ET1/ET3 copies, and any new documents. Self-representing claimants often find the judge helpful in guiding the discussion.

• Judge alone presides
• Informal discussion style
• Remote options available

What Happens During the Preliminary Hearing

The judge outlines the agenda, parties confirm claims, discusses evidence needs, and agrees on next procedural steps.

The hearing starts with the judge introducing themselves and confirming identities. They then review the pleaded case, asking each side to summarise their position briefly—e.g., ‘What are the key facts you rely on?’

Discussion covers outstanding issues like amendment requests, witness lists, or jurisdictional points (e.g., if you were truly an employee). The judge notes agreements and flags disputes for the full hearing.

Time is spent agreeing a timetable, such as dates for disclosure of documents or exchanging witness statements. Minutes are taken, leading to formal orders.

Real-world example: In a discrimination claim, the judge might direct both parties to provide further particulars on the protected characteristic within 14 days.

1. Judge opens and sets agenda
2. Parties state case summaries
3. Discuss evidence and witnesses
4. Agree timetable
5. Judge issues directions verbally

Case Management Orders and Hearing Directions

The judge issues case management orders setting deadlines for procedural steps like disclosure, statements, and bundle preparation.

Case management orders are binding directions under Rule 29, covering hearing directions such as document disclosure by a set date, standard disclosure lists, witness statements (limited to facts), chronology, and skeleton arguments.

For instance, orders might require: ‘Witness statements exchanged by 4 weeks before final hearing; bundle paginated and indexed 7 days prior.’ These ensure fairness and efficiency.

Non-compliance can lead to costs orders or striking out. Always read the written order carefully, sent post-hearing (usually within days).

Secondary keywords like procedural steps refer to these timelines, preventing delays.

• Disclosure of relevant documents
• Witness statement exchange
• Hearing bundle preparation
• Timetable for further applications

Possible Outcomes and Decisions

Outcomes range from standard directions to more significant decisions like strike-outs, deposit orders, or jurisdictional rulings.

Most preliminary hearings end with routine case management orders. However, under Rule 53, the judge can decide jurisdictional issues (e.g., time limits), strike out weak claims, or order deposits (up to £1,000) if prospects are low.

Amendments to ET1/ET3 may be allowed if just. Rarely, the entire claim is dismissed if no reasonable prospect of success.

Post-hearing, you get a written record. If unhappy with a ruling, apply for review under Rule 31 within 14 days.

How to Prepare for Your Preliminary Hearing

Preparation involves reviewing documents, listing questions, preparing a case summary, and anticipating directions.

Review your ET1, ET3, and ACAS certificate. List key issues, potential witnesses (5-10 max usually), and documents needed. Prepare answers to likely questions like ‘What remedy do you seek?’

Practice your summary: state facts chronologically, link to law (e.g., ERA 1996 s.98 for unfair dismissal). Dress smartly for in-person; test tech for remote.

Contact the tribunal if unrepresented for guidance. ACAS helpline can advise on process, not substance.

• Gather all papers
• Prepare case chronology
• List witnesses and documents
• Anticipate judge’s questions

1. 1. Read notice and agenda
2. 2. Draft case summary
3. 3. Prepare evidence list
4. 4. Note desired directions

What Happens After the Preliminary Hearing

Follow the issued orders strictly, prepare for final hearing per directions, or appeal/review if needed.

Comply with all case management orders promptly. The tribunal lists your final hearing months ahead, based on complexity.

Use the timetable to build your bundle, statements, etc. Track progress via tribunal office.

If new evidence emerges, apply to amend via written application.

Conclusion: Navigate Your Preliminary Hearing with Confidence

An employment tribunal preliminary hearing sets the foundation for a smooth final hearing by issuing essential case management orders and procedural steps. Understanding what happens reduces anxiety and positions you strongly.

Follow the judge’s hearing directions meticulously to avoid pitfalls. Self-representing success relies on preparation and compliance.

For more on tribunal processes, explore our guides on What is an Employment Tribunal and How Does it Work? and Understanding the Employment Tribunal System in England and Wales.