Individuals looking to bring an Employment Tribunal claim against an employer can do so by submitting a document known as an “ET1 Claim Form” (often referred to as an “ET1” for short). This document initiates legal proceedings and sets the groundwork for the entirety of a case.
With this in mind, it is critical that anyone seeking to submit an ET1 understands the form’s content and requirements, the claims they are looking to bring (and if they are entitled to bring the same) and how to particularise these to provide a clear basis for progressing through the Tribunal process.
Preliminary Considerations
Before submitting an ET1, several preliminary steps must be considered and addressed:
Early Conciliation via ACAS
Prior to bringing an Employment Tribunal claim in the UK, usually an individual must first contact the Advisory, Conciliation, and Arbitration Service (ACAS). Early Conciliation is a mandatory step (unless an exemption from Early Conciliation applies), with the aim of resolving workplace disputes without the need for litigation.
The ACAS Early Conciliation process involves speaking with an ACAS conciliator who will attempt to facilitate an amicable resolution between you and your employer. If no agreement can be reached, ACAS will issue an Early Conciliation Certificate, allowing you to proceed with your claim to the Tribunal through submitting an ET1.
It is vital that this step is completed as you will be required to include your Early Conciliation Certificate number on the relevant section of your ET1 to demonstrate to the Tribunal that Early Conciliation has been undertaken (unless you can show an exemption applies). In absence of ACAS Early Conciliation being completed, the Tribunal is able to reject your ET1 on the basis of non-compliance with the Employment Tribunal’s rules.
Time Limits
Claims must be submitted within strict time limits which are outlined by legislation. Generally, this will be three months less one day (with some exceptions for certain claims) from the date of the act complained of. For example:
- Unfair dismissal claims must generally be brought within three months less a day of the effective date of termination.
- Discrimination claims must generally be brought within three months less one day of the discriminatory act, or, where a chain of linked acts are being claims, within three months less one day of the most recent discriminatory act.
Any time spent in the Early Conciliation stage effectively pauses the time limit, however it is of the upmost importance to calculate and monitor any time limits meticulously. Whilst Tribunals have the discretion to allow claims submitted after the above deadlines (e.g. for claims of unfair dismissal within such further period as the Tribunal considers reasonable, or for claims of discrimination within such further period as the Tribunal considers just and equitable), such extended time limits will seldom be granted unless exceptional circumstances apply.
Jurisdiction
It is important to verify that the Employment Tribunal has jurisdiction to hear the claims that you are seeking to raise. For example, for certain claims, such as that of unfair dismissal, you can only bring against your employer if you were an employee of the business (and, currently, if you had at least two years’ continuous service with them before your dismissal). Workers or self-employed contractors would not be entitled to raise such a claim however, both (alongside employees) could bring a claim for discrimination in the workplace. Employment status is therefore a key consideration, and if you are unsure of your status, or the claims you are entitled to bring as a result, legal advice should be sought to understand this further.
Additionally, the employment relationship must be governed by the courts of England and Wales. This is often confirmed in a contract of employment; however, consideration should also be given to the practical arrangements of the employment relationship. Again, legal advice should be sought to confirm the matter of jurisdiction if you are unsure.
Evidence Gathering
It is recommended that you collate relevant documentation and evidence as early as possible to aid the swift progression of any claims. This includes:
- Your contract of employment;
- Your pay slips;
- Any applicable company policies (e.g., disciplinary or grievance procedures); and
- Any other evidence relevant to your claim, whether this be written, audio or in the form of witnesses who can provide witness statements later on in the Tribunal process.
Legal Representation
Individuals are strongly encouraged to consider obtaining legal advice and support if this is financially plausible to help their claims be particularised in the strongest manner within the Particulars of Claim (please see below), but also to understand the legal thresholds required for any claims they wish to bring and whether these are met. Even if individuals make the decision to represent themselves, we encourage them to consider consulting an employment solicitor for an initial assessment of the merits of their case prior to proceeding with this through the Tribunal.
The ET1 Claim Form
The ET1 claim form is available via the gov.uk website, and includes the following key sections:
Claimant and Respondent Details
Claimant Details: You must provide details of your full name, address, date of birth, contact details and confirmation of your ability to attend different types of hearings. These must be accurate to ensure smooth communication with the Tribunal moving forwards and prevent any unnecessary delays with your claim, or even your claim being rejected.
Respondent Details: You must accurately identify the respondent(s), including their legal name and address. Individuals are encouraged to review their contract of employment to confirm the full name of their employer. If an individual is unsure of the correct respondent (e.g., for large organisations with multiple group companies), legal advice should be sought to avoid naming the wrong party, which would risk the entire claim being rejected or struck out. This should also match the employer details you provided to ACAS, which will be on your Early Conciliation Certificate.
Early Conciliation Certificate Number
Include the unique number issued by ACAS on your Early Conciliation Certificate. Claims without this number (where applicable) may be rejected.
Employment Details
You should also confirm preliminary details relating to your employment history with the respondent(s), such as your start date, termination date (if applicable), and job role. Financial information should also be provided. This includes your weekly working hours, gross and/or net pay, and clarification as to whether you were entitled to any other benefits during your employment (such as pension, health insurance or a company car).
It is also helpful to confirm whether you have obtained alternative employment, and the details surrounding this.
Providing this information assists the progression of your claim, as your employer can then confirm if they agree with your position on these points or highlight any points they do not agree with. This helps the Tribunal and parties understand what matters remain in dispute, which may need to be considered further at certain stages of the claim, in particular if compensation is being awarded upon a successful outcome.
Claim(s) being brought
In this section of the form, you must outline the specific legal claims that you intend on bringing before the Employment Tribunal. Examples include:
- Unfair Dismissal: Claiming that your dismissal was not fair or lawful under the Employment Rights Act 1996.
- Discrimination: Alleging a breach of the Equality Act 2010 based on a protected characteristic (e.g., race, gender, disability etc.).
- Whistleblowing: Claiming a detriment or dismissal for making a protected disclosure.
- Wrongful Dismissal: Claiming that you did not receive pay for your full notice period.
Individuals must correctly identify the claims they intend to bring in the ET1, as otherwise they may be prevented from bringing these claims later (taking into account the above comments in respect of time limits)
Remedy Sought
It is also helpful to confirm, at the relevant section, what remedy you are seeking. This helps both the Tribunal, and your employer know your desired outcome and can assist with settlement discussions between parties at an earlier stage. Some examples remedies are:
- Compensation (e.g., for financial loss or injury to feelings; or
- Reinstatement to the former role (in the event of an unfair dismissal claim).
There is space in the ET1 to claim any losses (both financial and otherwise) that have been incurred as a direct consequence of the claims being brought, however these are often set out in a separate document further along in the tribunal process called a Schedule of Loss.
The Particulars of Claim
As referenced above, the claim(s) should be set out in detail to assist the Tribunal and your employer understand your position. This can either be done in the ET1 itself, or more commonly due to spacing constraints on the form, a separate Particulars of Claim document is drafted and included as an attachment to the ET1.
Tribunals rely on the Particulars of Claim to understand the details of the claim(s) being brought, and your employer will base their defence on the same. As a result, it is of the upmost importance that any Particulars of Claim are drafted accurately, clearly and also with a focus on the claims being made, alongside the legal arguments which support them. Once the Particulars of Claim are submitted, if you wish to make any amendments to these at a later date, you will likely have to apply to the Tribunal to request to make any alterations, and therefore it is highly preferable for these to be well drafted from the outset.
Structure
The document should be well structured, with an introduction confirming the wider background of your employment with your prior employer (“the respondent”).
Specific incidents forming the basis of the claim(s) should be included, along with dates, descriptions and identification of any relevant individuals of your employer who were involved.
Each claim must be clearly identified, with the legislation or law that you are alleging has been breached set out and an explanation of why you consider such a breach to have occurred in respect of your employment. If you are making a discrimination claim, you should outline exactly what type you are asserting, such as direct discrimination, indirect discrimination or harassment.
Where possible, seek to stick to the facts of the case, and avoid speculation or personal opinions. It is at this stage where it is useful to review the evidence you have collated (as referenced above), as you can reference or highlight key evidence that supports your claim, such as:
- Emails, text messages, or other documentary evidence;
- Notes or recordings from meetings or conversations;
- Policies or procedures that were not followed.
In doing so, it is important to ensure all evidence aligns with the content included within your Particulars of Claim and does not contradict it, as you will be required to disclose such evidence later on in the Tribunal proceedings. The Particulars of Claim should also be checked against your ET1 to ensure these match.
Next Steps in the Tribunal Process
Once the ET1 and accompanying Particulars of Claim are submitted, your employer must submit a response to the claims and allegations made, through a document known as an “ET3 Response Form”, within 28 days of receipt of your claim from the Tribunal. This document will indicate whether they admit or refute the claims and may raise additional points for consideration.
Conclusion
Submitting an Employment Tribunal claim requires attention to detail and strong knowledge of the legal arguments at hand. By presenting a clear, compelling case, backed up with legal submissions demonstrating that the legal requirements have been met, individuals put themselves in the best position possible for continuing with their claim through the Employment Tribunal.
If you would like to learn more about how we can assist you throughout the lifecycle of your Employment Tribunal claim, please click here, or get in touch with a member of the team.
The information provided in this article is provided for general information purposes only, and does not provide definitive advice. It does not amount to legal or other professional advice and so you should not rely on any information contained here as if it were such advice.
Wright Hassall does not accept any responsibility for any loss which may arise from reliance on any information published here. Definitive advice can only be given with full knowledge of all relevant facts. If you need such advice please contact a member of our professional staff.
The information published across our Knowledge Base is correct at the time of going to press.
