Case Example: How Poor HR Documentation Can Lead to Tribunal Claims

In employment disputes, documentation often determines the outcome.

Employers may believe that a decision was fair and justified, but without evidence to support that position, it becomes difficult to defend.

This is particularly relevant in SMEs, where documentation practices are often less structured.

An employee has been with a business for approximately 12 months. Over time, concerns arise regarding performance and conduct.

The manager:

• Raises concerns informally

• Provides verbal feedback

• Does not keep written records

No formal performance management or disciplinary process is initiated.

The employee is eventually dismissed.

Following dismissal, the employee raises a claim.

The employer is asked to provide evidence of:

• Performance concerns

• Actions taken to address issues

• Opportunities given to improve

• The process followed

The employer relies on:

• Verbal recollection of conversations

• General statements about performance

• No formal documentation

This creates several issues:

• Lack of evidence

• Inability to demonstrate consistency

• Difficulty proving that the employee was treated fairly

In tribunal proceedings, the burden is on the employer to demonstrate that:

• The decision was reasonable

• A fair process was followed

• Evidence supports the outcome

Where documentation is limited, the employer’s position becomes significantly weaker.

Document Key Conversations
Even informal discussions should be summarised and recorded.

Use Structured Processes
Performance and conduct issues should follow defined procedures.

Maintain Clear Records
Including:

• Meeting notes

• Warnings issued

• Correspondence

Align Actions with Policies
Policies should not only exist but be followed consistently.

Documentation should not be viewed as administrative burden. It is a core part of risk management.

Well-maintained records:

• Support decision-making

• Provide clarity

• Strengthen the employer’s position

If a decision cannot be evidenced, it becomes difficult to defend.

Employers who prioritise documentation and process are far better positioned to manage disputes effectively.

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