When an employment dispute escalates to a tribunal, it can feel daunting, especially for small to medium-sized businesses without dedicated in-house legal support. But with the right preparation, employers can navigate the process with confidence, ensure fair representation, and give themselves the best possible chance of a positive outcome.

Here, we share a clear step-by-step guide to help employers prepare thoroughly and strategically for a tribunal.

1. Understand the Claim: Read the ET1 Carefully

The process begins when you receive the ET1 claim form from the Employment Tribunal. This sets out the claimant’s version of events and what they are alleging (e.g. unfair dismissal, discrimination, breach of contract).

Key tips:

· Make note of the deadlines – usually 28 days to respond.

· Identify the specific legal claims being made.

· Clarify who is bringing the claim and whether they’re still employed.

If anything is unclear or surprising, seek legal advice immediately. Early missteps can seriously weaken your defence.

2. Notify Key People and Secure Documentation

Once you’ve reviewed the claim, inform any relevant individuals in your business; typically, HR, senior managers, or board members while maintaining confidentiality.

You’ll also need to:

· Locate the employee’s full personnel file.

· Gather relevant emails, meeting notes, investigation reports, policies, disciplinary records, and performance reviews.

· Review your policies (e.g. grievance, disciplinary, equal opportunities) to ensure they align with what was followed in practice.

3. Prepare and Submit Your ET3 Response

Your response to the tribunal (known as the ET3) must be submitted within 28 days of receiving the claim.

It should:

· Set out your version of events clearly and concisely.

· Deny or admit each allegation.

· Include your legal arguments and any relevant context.

Your legal representative will usually draft this for you to ensure compliance and strategic positioning. Missing the deadline can result in default judgment, so this is a critical step.

4. Consider Settlement Options

Even if you feel the claim lacks merit, it’s important to consider whether early resolution (via ACAS conciliation or direct negotiation) may be appropriate.

Tribunals can be:

· Time-consuming

· Public

· Stressful for witnesses

· Costly, even if you win

An early settlement may protect relationships, save legal fees and avoid reputational risk, particularly in cases involving discrimination or whistleblowing.

5. Prepare Your Witnesses and Statements

Most employment tribunals involve oral evidence from key individuals, usually HR professionals, managers and sometimes colleagues.

Your legal team will help you:

· Identify who needs to give evidence.

· Draft clear, accurate witness statements (which serve as the primary evidence).

· Coach witnesses on what to expect in the hearing, including how to handle cross-examination.

Good preparation ensures your witnesses feel confident and credible in the tribunal setting.

6. Build Your Tribunal Bundle

The bundle is a paginated file of all the key documents relevant to the case. It includes:

· Employment contract

· Correspondence

· Policies and procedures

· Meeting notes

· Medical records or performance reviews (if relevant)

Your legal team will compile this jointly with the claimant’s representative and ensure compliance with tribunal requirements. Having a well-organised bundle reflects well on your professionalism.

7. Engage in a Case Management Hearing (if required)

In more complex cases, the tribunal may arrange a preliminary or case management hearing to:

· Clarify the issues

· Set deadlines

· Decide on requests for anonymity or witness adjustments

This stage is particularly important in cases involving allegations like disability discrimination or whistleblowing and legal support is highly advisable.

8. Attend the Tribunal Hearing

The tribunal hearing is typically held in person, although some are now conducted remotely. It may last from one day to several weeks, depending on complexity.

During the hearing:

· The claimant and respondent give evidence and are cross-examined.

· Legal reps present arguments.

· The tribunal panel (usually an employment judge and two lay members) assess the evidence and make a ruling.

Employers should behave professionally throughout, avoid emotional reactions and take notes for internal debriefing.

9. After the Judgment: Next Steps

The tribunal may issue a verbal judgment at the end of the hearing or reserve it for a later date. A written judgment follows, with reasons for the decision.

If you lose:

· You may be required to pay compensation or reinstate the employee.

· You may be asked to review policies or take corrective action.

· Consider legal advice on appeal options (you typically have 42 days to appeal to the EAT).

If you win:

· You may still want to assess what went wrong internally.

· Reflect on how HR processes could be improved to avoid future claims.

Final Thought: Prevention Is the Best Strategy

While this guide focuses on preparing for an employment tribunal, the best outcome is always to avoid getting there in the first place. Proactive HR, well-documented procedures and clear communication go a long way in reducing risk.