What is a preliminary hearing?

A preliminary hearing is a procedural stage in Employment Tribunal proceedings, held before the final hearing of a case. It allows the Tribunal to manage how the case will proceed and, where necessary, to decide specific legal or factual issues before the main hearing.

Preliminary hearings are conducted by an Employment Judge and may take place in person, by telephone, or by video conference. They usually last between 30 minutes and two hours, depending on the complexity of the case and the issues being discussed.

Not all claims will have a preliminary hearing. The Tribunal decides whether one is necessary based on the nature of the claim, the issues involved, and whether the parties agree on how the case should progress.

Read more: the Employment Tribunal process – a guide

When and why is a preliminary hearing listed?

A preliminary hearing may be listed for several reasons. These include:

• Managing case preparation and setting directions for disclosure, witness statements, and evidence.
• Clarifying the legal or factual issues in dispute.
• Considering whether the Tribunal has jurisdiction to hear the claim.
• Exploring whether any part of the case should be struck out or amended.

Preliminary hearings are particularly common in discrimination, whistleblowing, or complex unfair dismissal claims, where the facts or legal issues require clarification before the final hearing.

Types of preliminary hearings and their purposes

Case-management preliminary hearing (CMPH)

A case-management preliminary hearing is the most common type. Its purpose is to decide what steps need to be taken before the final hearing and to set a clear timetable.

At a CMPH, the Employment Judge will often discuss:

• The specific legal claims being brought.
• The agreed and disputed issues.
• Deadlines for exchanging evidence and witness statements.
• The estimated length of the final hearing.

The Judge may also encourage the parties to consider settlement negotiations or ACAS conciliation at this stage.

Preliminary hearing to decide a preliminary issue

Some preliminary hearings are convened to decide a specific legal issue that must be resolved before the case can proceed. Examples include:

• Whether the claim was presented within the Employment Tribunal time limits.
• Whether the claimant is legally an employee or worker.
• Whether the Tribunal has jurisdiction to hear the claim.
• Whether part of the claim should be struck out or a deposit order should be made.

These hearings are sometimes more formal, and evidence may be heard if necessary.

What happens at a preliminary hearing?

Exchange of agendas, issues and documents

Before a case-management hearing, the Tribunal will usually direct both parties to complete a case management agenda. This document helps identify the legal claims, the factual issues in dispute, and what each party must do before the final hearing.

The agenda is usually exchanged between the parties in advance and submitted to the Tribunal by an agreed deadline. It ensures that both sides are clear about the scope of the case and helps the Judge manage time efficiently during the hearing.

Orders the tribunal may make (directions, strike-out, deposit)

During the preliminary hearing, the Judge may make several case-management orders, also known as directions, such as:

• Deadlines for exchanging lists of documents and disclosure.
• Dates for witness statements.
• The format and timing of the hearing.

The Judge may also deal with procedural applications, such as requests to strike out part of a claim or to require a claimant to pay a deposit if the case appears to have limited prospects of success. The Judge’s decisions will be recorded in a written order, which both parties must follow.

Preparing for a preliminary hearing

How to complete the case management agenda

If directed to complete a case management agenda, the claimant should:

1. Carefully read the claim form (ET1) and the employer’s response (ET3).
2. Identify what legal claims are being made (e.g. unfair dismissal, discrimination).
3. Note which facts are agreed and which are disputed.
4. Suggest reasonable deadlines for disclosure and witness statements.

Completing the agenda accurately and clearly helps the Judge and ensures the claimant is well prepared for the discussion.

What information you should provide and consider

Before the preliminary hearing, employees should gather:

• The ET1 claim form and any response received from the employer.
• Relevant correspondence, contracts, and supporting evidence.
• Notes about the issues in dispute and the outcomes sought.

It is also useful to review any Tribunal correspondence and comply with any instructions about submitting documents or joining the hearing remotely.

After the preliminary hearing

Summary of orders and timetable for the full hearing

Following the preliminary hearing, the Tribunal will issue a written summary of the orders made. This will outline the tasks each party must complete and the deadlines to be met before the final hearing.

Examples include:

• Dates for disclosing documents.
• The order of witness statements.
• A deadline for preparing a joint bundle.
• The expected dates and duration of the final hearing.

It is important for both parties to comply with these directions, as failure to do so may result in penalties or parts of the claim being struck out.

Settlement discussions and alternative dispute resolution (ADR)

A preliminary hearing can also serve as an opportunity for both parties to consider whether settlement might be possible. The Judge may remind the parties about the option of ACAS Early Conciliation or private settlement discussions (with a view to agreeing a COT3 or a settlement agreement).

Even after a preliminary hearing, the parties can still negotiate and reach a settlement, which would bring the case to an end without proceeding to a full hearing.

Practical tips for claimants and respondents

Good practice before the hearing (availability, bundles, experts)

Both parties should:

• Ensure they are available for the scheduled date and notify the Tribunal promptly if they are not.
• Check the joining instructions for remote hearings in advance.
• Prepare notes about key issues or questions they wish to raise.
• Identify whether expert evidence or witness availability may affect scheduling.

Good preparation helps the hearing run smoothly and reduces the likelihood of follow-up directions or further hearings.

Common pitfalls to avoid

Some common mistakes include:

• Failing to read Tribunal correspondence carefully.
• Missing deadlines for submitting agendas or evidence.
• Providing unclear or incomplete information about the issues in dispute.
• Not attending the preliminary hearing without prior notice.

Avoiding these pitfalls helps ensure the case proceeds efficiently and maintains credibility before the Tribunal.

Preliminary hearings are an essential part of many Employment Tribunal claims. They provide an opportunity for the Tribunal to clarify issues, manage the timetable, and decide any procedural or legal matters before the final hearing. For employees, understanding what to expect, preparing the necessary documents, and complying with any directions issued after the hearing are vital steps in progressing a claim effectively.