Agenda for Case Management Hearing

Case Management Preliminary Hearing (PH).

Respondent (employer) to prepare for and manage proceedings in the Employment Tribunal (ET), particularly focusing on the crucial stage of a Case Management Preliminary Hearing (PH).

This product provides both a structured agenda for the preliminary hearing and essential supporting legal document templates, ensuring your defence is presented strategically and professionally.

1. Case Management Agenda (Respondent Focus)

A Case Management Preliminary Hearing (PH) is typically listed for complex matters, such as discrimination or whistleblowing claims (Open Track cases), to ascertain and make orders required to prepare the case for the final hearing. Represented parties are often asked to complete a standard case management agenda at least seven days in advance of the hearing.

We assist you in structuring your responses to the tribunal's agenda, ensuring all critical aspects of the defence are addressed and that appropriate proactive orders are requested.

Case Management Preliminary Hearing Agenda Items

The employment judge at a PH will typically consider some or all of the following issues:

Agenda Item: Respondent's Strategic Focus: Rule Basis 

I. Clarifying Issues

Ensuring the Claimant’s allegations are clearly defined. Requesting the Claimant to produce a detailed List of Issues and a Chronology to avoid ambiguities.Rule 52(1)

II. Preliminary Issues & Jurisdiction

Identifying and listing arguments that may dismiss the claim early, such as: the claim being submitted out of time, the Respondent not being the correct employer, or the Claimant lacking sufficient qualifying service.Rule 52(1)(b).

III. Strike-Out and Deposit Orders

Formally requesting consideration of striking out the claim, or parts of it, where the defence demonstrates there are no reasonable prospects of success (a high threshold). Alternatively, applying for a Deposit Order where arguments have "little reasonable prospect of success".Rule 52(1)(c) & (d)

IV. Case Management Orders (Disclosure)

Determining the necessity of expert evidence (e.g., medical experts in disability claims). Directing the exchange of witness statements and setting deadlines for disclosure of documents relevant to the claim (e.g., disciplinary records, contracts, policies).Rule 30.

V. Remedy and Compensation

Directing the Claimant to provide a detailed Schedule of Loss and setting a deadline for the Respondent to produce a Counter-Schedule. Clarifying if pension loss is resolved and the necessity of splitting liability and remedy hearings.Rule 30, Rule 55

VI. Alternative Dispute Resolution (ADR)

Discussing the possibility of settlement, judicial assessment, or judicial mediation, which the tribunal must encourage wherever practicable and appropriate.Rule 52(1)(e)

VII. Final Hearing Preparation

Agreeing on the estimated length of the final hearing, allocating time for witnesses and submissions (timetable), and assigning responsibility for preparing the hearing bundle. Rule 30

VIII. Adjustments/Vulnerability

Identifying if any party, witness, or representative requires reasonable adjustments or support (e.g., relating to a disability or vulnerability).Rule 3, Rule 49

2. Supporting Legal Document Templates for the Respondent

Our product includes templates and detailed checklists tailored to ensure your case documents satisfy the rigorous procedural and substantive requirements of the ET Rules 2024.

A. The ET3 Response Form: Grounds of Resistance Checklist

The Grounds of Resistance (Box 6 of the ET3) is your first opportunity to set out the nature of your defence and must be presented within 28 days of the tribunal sending the claim. The tribunal will rely on this to determine, at the sift stage, whether your defence has reasonable prospects of success.

Our checklist ensures your ET3 is robust by requiring you to include:

Jurisdictional Challenges

Start by setting out all issues regarding the tribunal's jurisdiction (e.g., the claim is out of time, the Claimant lacks employee status, or the Respondent is not the correct party).

Detailed Factual Rebuttal

Address every issue raised by the Claimant, providing a detailed rebuttal of the specifics of the claim.

Supporting Details

Include all relevant information and details, such as dates, names, and the gist of conversations relied upon.

Consistency

Ensure your explanations are consistent with contemporaneous documents (which will have to be disclosed later).

Pleading in the Alternative

Where applicable (e.g., in dismissal cases), plead reasons in the alternative (e.g., redundancy or, if not redundancy, Some Other Substantial Reason (SOSR)).

Document Gathering

Confirm that you have gathered the necessary documents before drafting, such as the contract of employment, relevant internal policies, grievance/disciplinary procedure documents, and performance records.

B. Application for Preliminary Hearing (PH) / Case Management Order

The tribunal may make a PH order on its own initiative, or following an application from a party. This template helps you apply for a PH to address specific case management issues or preliminary matters.

The application must be in writing and should clearly set out the reason for the application and the orders requested. This is particularly useful if you intend to apply for a Strike-Out or a Deposit Order early in the proceedings.

C. Application for Extension of Time (If ET3 Deadline Missed)

If the 28-day deadline to present the ET3 response has passed, the ET3 will be rejected unless it is accompanied by an application for an extension of time.

Our standard document, the Application for extension of time to submit ET3 to the employment tribunal, is essential. The application must:

1. Be in writing and copied to the Claimant.

2. Set out the reason why the extension is sought.

3. Be accompanied by a draft of the response (ET3) or an explanation why this is not possible.

When determining whether to grant the extension, the tribunal will consider the explanation for the delay, the merits of the defence, and the balance of prejudice (i.e., whether the Respondent would suffer greater prejudice if the extension were refused than the Claimant would if it were granted).

D. Counter-Schedule of Loss Guidance

This guidance helps the Respondent prepare a detailed counter-schedule, which is necessary to challenge the Claimant's alleged financial losses and mitigate the Respondent's potential liability.

Key steps included:

• Challenging Assumptions

  Testing the Claimant’s assumption regarding pension loss and providing relevant pension scheme rules and information (e.g., rate of employee/employer contributions).

• Mitigation of Loss

  Gathering evidence to demonstrate the Claimant failed to adequately mitigate their loss (e.g., failure to look for new work).

• Reduction Factors

  Ensuring the counter-schedule incorporates potential reductions based on the liability stage (e.g., reductions for Polkey or contributory fault, which bear on complex loss calculations).

Note that the documents mentioned, like Application for extension of time to submit ET3 to employment tribunal", exist as external legal documents and are referenced here to demonstrate the content and utility of this kind of strategic product for a Respondent.