Findings from the Survey of Employment Tribunal Applications 2013 Research Series No. 177 JUNE 2014 Findings from the Survey of Employment Tribunal Applications 2013 Contents Report Authors.............................................................................................................................. 1 Glossary ........................................................................................................................................ 2 Executive Summary ...................................................................................................................... 3 About the survey ......................................................................................................................... 3 Event leading up to the claim ...................................................................................................... 3 Claim process and fees ............................................................................................................... 4 Advice and representation ........................................................................................................... 6 Attempts at resolution, offers and withdrawn claims .................................................................... 7 Acas ............................................................................................................................................ 8 Outcomes ................................................................................................................................... 9 Cost and benefits ...................................................................................................................... 11 Impact and Satisfaction ............................................................................................................. 12 Characteristics of parties ........................................................................................................... 13 1 Introduction ......................................................................................................................... 15 1.1 Background to the SETA series ..................................................................................... 15 1.2 Aims and objectives of the study ................................................................................... 15 1.3 Methodology and Fieldwork ........................................................................................... 16 1.3.1 Design of SETA 2013 ................................................................................................ 16 1.3.2 Details of the sample, data collection and analysis .................................................... 17 1.3.3 Notes on the report .................................................................................................... 18 1.4 Limitations of the methodology ...................................................................................... 18 1.5 Employment tribunal system .......................................................................................... 19 1.5.1 Origins ....................................................................................................................... 19 1.5.2 Employment tribunal structure ................................................................................... 19 1.5.3 Employment tribunal claim process ........................................................................... 20 1.5.4 Employment tribunal outcomes .................................................................................. 20 1.6 Acas .............................................................................................................................. 23 1.7 Policy context ................................................................................................................ 24 1.7.1 Employment tribunal receipt volumes ........................................................................ 24 1.7.2 Employment tribunal reform ....................................................................................... 25 2 Events leading to the claim ................................................................................................ 27 2.1 Whose idea was it to apply for the employment tribunal ................................................ 27 2.2 Initial help and advice sought by claimants .................................................................... 27 2.3 Communication prior to the employment tribunal claim .................................................. 28 2.4 Resources available to employers ................................................................................. 30 2.5 Written statements and procedures ............................................................................... 30 2.5.1 Presence of written statements and procedures ........................................................ 31 2.6 Accompaniment of workers in disciplinary meetings ...................................................... 34 2.7 Circumstances surrounding the claimant leaving their job ............................................. 34 Findings from the Survey of Employment Tribunal Applications 2013 3 Claim process, and advice and representation ................................................................. 36 3.1 Awareness and previous experience of employment tribunal system amongst claimants 36 3.2 Previous experiences of employment tribunal cases amongst employers ...................... 36 3.3 Sources of information ................................................................................................... 37 3.4 Would fees have influenced decisions? ......................................................................... 38 3.4.1 Understanding the factors associated with whether a claimant would have been influenced by fee payment .................................................................................................... 39 3.4.2 How would the claimant pay the fee? ........................................................................ 41 3.5 Help completing ET3 form ............................................................................................. 41 3.6 Preliminary hearings ...................................................................................................... 41 3.7 Advice and representation ............................................................................................. 42 3.7.1 Help and advice at different stages of the claim ......................................................... 42 3.7.2 Initial representation .................................................................................................. 42 3.7.3 Day-to-day representation ......................................................................................... 42 3.7.4 Representation at hearing .......................................................................................... 45 3.7.5 Additional help and guidance ..................................................................................... 45 3.7.6 Representation patterns............................................................................................. 45 3.7.7 Reasons for use and non-use of representatives ....................................................... 45 3.7.8 Sources of help and advice ........................................................................................ 46 3.7.9 Characteristics of the parties with a legal representative or advisor ........................... 46 3.7.10 Free advice and representation ............................................................................. 47 3.7.11 Total costs of professional advice and representation ............................................ 47 3.7.12 Employers’ insurance and cover ............................................................................ 49 3.7.13 Unsolicited approaches made by third parties ........................................................ 49 4 Attempts at resolution, offers and Acas ............................................................................ 50 4.1 Offers of settlement ....................................................................................................... 50 4.1.1 Was a settlement offered? ......................................................................................... 50 4.1.2 Who made the offer? ................................................................................................. 50 4.1.3 Motivations for settlement .......................................................................................... 51 4.1.4 Settlement details ...................................................................................................... 52 4.1.5 Most claimants receive their money settlement .......................................................... 53 4.1.6 How settlement offers compared with claimant expectations and outcomes .............. 54 4.1.7 How settlement offers compared with initial employer expectations ........................... 55 4.2 Reasons for withdrawing ............................................................................................... 57 4.3 Acas .............................................................................................................................. 57 4.3.1 Introductory letter ....................................................................................................... 57 4.3.2 Contact with Acas 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