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Disciplinary procedure definition

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What does Disciplinary procedure mean?

The procedure by which an employer sets out the process for managing a disciplinary offence.

The ACAS code of practice sets out the guidelines for a fair disciplinary procedure. Disciplinary procedures vary widely according to the type of industry and organisation. They are normally set out in a Company Handbook.

Minimise

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Acas disciplinary and grievance code—procedural requirements

Coronavirus (COVID-19): Issues relating to handling disciplinary and grievance matters during the coronavirus (COVID-19) pandemic are considered in Practice Note: Coronavirus (COVID-19)—handling disciplinary and grievance issues during the pandemic.The Acas Code of Practice on Disciplinary and Grievance Procedures places obligations on both employees and employers to comply with its provisions or face possible sanctions (see Practice Note: Acas disciplinary and grievance code—effect of non-compliance). It sets out the standard of reasonable behaviour expected in most instances.See also Practice Note: General requirements for discipline and grievance procedures.In any proceedings before a tribunal, court or the Central Arbitration Committee:•any Acas Code of Practice is admissible in evidence, and•any provision of the Code which is relevant to a question in the proceedings shall be taken into account in determining that questionIn addition, any Code of Practice which relates exclusively or primarily to procedure for the resolution of disputes (the Acas Code of Practice on Disciplinary and Grievance Procedures is the only such Code of Practice at present):•applies in any of the proceedings listed in Schedule A2 of TULR(C)A 1992 (which includes most types of claim which may be presented to an employment tribunal, but does not include redundancy dismissals or dismissals on the non-renewal of a fixed term contract—see Practice Note: Acas disciplinary and grievance

Managing conduct

Coronavirus (COVID-19): Issues relating to handling disciplinary and grievance matters during the coronavirus (COVID-19) pandemic are considered in Practice Note: Coronavirus (COVID-19)—handling disciplinary and grievance issues during the pandemic.All employers want to get the best out of their employees. Managing how they behave in the workplace is a crucial element of this. Where standards slip employers need to be able to manage employees' conduct in order to allow them the opportunity to improve. If insufficient improvement is made, employers need to know how to take steps to deal with the situation fairly which may include dismissal.The aims of conduct managementThe principal aim of conduct management is to ensure that employees behave in a reasonable manner in the workplace.If employers manage their employees well, the employees will be aware of:•the standard of behaviour that is expected of them•what behaviour will constitute misconduct and/or gross misconduct•what disciplinary code of conduct or rules apply to them•the procedure that will be followed if there is a conduct issueIn addition, if an employee's conduct is managed well, it should assist in defending a claim of unfair dismissal in the event that the employee is ultimately dismissed for misconduct (see Practice Note: Dismissing fairly for conduct reasons).Those advising in this area will find it helpful to refer to:•the Acas Code

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Draft outline script for disciplinary hearing (misconduct)

Draft outline script for disciplinary hearing (misconduct) 1 Introductions of those present if necessary. Confirm who is taking notes and that copies of the meeting notes will be made available to the employee. 2 Explain to the employee why they are here ie to discuss the misconduct issue which they have been told about in the letter sent to them. Explain that the purpose of the hearing is to go through the evidence and give them an opportunity to state their case and make any points they want to make. Explain that no decision will be made until after the meeting. If the employee asks what happens if they are dismissed/given a warning, you should say that no decision has yet been made but that if that were to happen they would have the right of appeal. 3 Explain that you are dealing with the issues in accordance with [the company’s written disciplinary procedure, of which the employee has a copy OR the guidelines set down by Acas]. 4 Remind the employee exactly what the allegation is. If it is a very serious one likely to result in dismissal then you should tell the employee that this is a serious matter explaining why eg because it involves dishonesty/bullying/discrimination/violent behaviour, and that dismissal with or without notice may be an outcome. 5 Ask the employee/their companion whether there are any initial

Draft letter to employer client on conducting a performance and capability procedure

Draft letter to employer client on conducting a performance and capability procedure Note: this letter is drafted in general terms without a specific situation in mind. You will need to tailor the letter if advising about a specific employee on particular facts. If the employer has its own performance and capability procedure (or disciplinary procedure covering poor performance) you will need to cross-refer to it throughout the letter, in relation to each stage of the procedure and in relation to any time limits set out in the procedure. You may find that the employer’s own procedure provides for more warnings to be given or other steps to be taken. It is assumed in this letter that the review periods for performance will be shorter than the length of any warnings given. [name and address of client] Dear [name] Performance and capability procedure I am writing to set out my advice on how to conduct a performance and capability procedure for an under-performing employee. The main legal risk if such a procedure is not handled carefully is a claim for unfair dismissal, if the procedure culminates in dismissal of the employee for poor performance. Other legal risks are claims for constructive dismissal and unlawful discrimination. It will be of vital importance to document the various stages of the procedure, as a complete ‘paper trail’ can greatly assist in defending employment tribunal claims—I

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Does TUPE 2006 require the transferor, on transfer, to hand over to the transferee personnel records in respect of the transferring employees?

Does TUPE 2006 require the transferor, on transfer, to hand over to the transferee personnel records in respect of the transferring employees? The main records an employer is obliged by law to keep in relation to its employees and workers include: • records for the purposes of the Immigration, Asylum and Nationality Act 2006 (IANA 2006) • records of working time and statutory holiday entitlement • records of pay for the purposes of the National Minimum Wage Act 1998 (NMWA 1998) • records for the purposes of tax and national insurance contributions • records relating to the administration and payment of statutory payments such as statutory sick pay, maternity pay, adoption pay, parental pay etc • details of certain accidents, diseases, injuries and dangerous occurrences at work and health and safety risk assessments From a best practice perspective, the employer may also keep records in respect of recruitment, disciplinary and grievance matters, absence and lateness and equal opportunities monitoring. For further information, see Practice Notes: • Illegal workers—civil and criminal sanctions • Pay statements and records • Sick pay • National minimum wage • Protected Working Time rights Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE 2006) requires the transferor to provide specified employee liability information (ELI) to the transferee not less than 28 days before the relevant transfer. The ELI to be provided in respect of each transferring employee is: • their identity and

One of my employees has alleged that their line manager is sexually harassing them. How do I deal with it?

One of my employees has alleged that their line manager is sexually harassing them. How do I deal with it? The answer to this must involve consideration of both how you deal with the person who has made the complaint and how you deal with the alleged harasser. Dealing with the complaint generally Any allegation of harassment must be taken seriously and you should act promptly and in confidence. If you already have a policy on harassment then you should follow that. For an example of a policy, see Policy—harassment and bullying. Investigation Whether or not you have a harassment policy, the first priority for you must be to establish the facts. You should appoint a suitable person, who is not connected with the allegation and is of sufficient seniority, to conduct a thorough investigation. In conducting the investigation, the investigator should: • talk to the employee in private first to establish what has happened and what they want to do about it • interview any other witnesses to see if they have relevant evidence to give • due to the potentially embarrassing subject matter, behave sensitively • listen attentively and ask questions to ensure that there is no misunderstanding • maintain confidentiality and only involve employees who can give relevant evidence. All those involved must be told of the importance of maintaining confidentiality • document all evidence in notes and/or written statements • consider any

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In dispute over privilege a tribunal should not order documents to be disclosed to a representative (Trentside Manor Care Home v Raphael)

Employment analysis: An employment tribunal should not order a party to disclose documents to the other side’s representatives when it is disputed that they are privileged. That is not a proper exercise of the tribunal’s discretion. While an order may be made for the disputed documents to be disclosed to the tribunal, that should only be used as a last resort. In addition, if legal advice comes from someone who is not a qualified lawyer, that will only attract legal advice privilege (to protect the communication from disclosure) if the circumstances are such that the advice nevertheless falls to be treated as the advice of a lawyer, according to the Employment Appeal Tribunal (EAT).

Unfair dismissal—dismissal for frivolous grievances did not require contractual analysis of gross misconduct (Hope v British Medical Association)

Employment analysis: The test for whether a dismissal for conduct reasons is unfair under section 98(4) of the Employment Rights Act 1996 (ERA 1996), involves a consideration of all the circumstances, one of which might include, in some cases, the fact that the conduct relied upon involved a breach of contract amounting to gross misconduct. However, not every case will have such a contractual element and, in those cases, an analysis on that contractual basis is not required. In the absence of that contractual element, it was not necessary for the employment tribunal to determine whether the claimant’s conduct (in raising vexatious and frivolous grievances, and being unwilling to either progress or withdraw those grievances or to attend meetings in respect of them) amounted to a contractual breach and the tribunal did not err in holding that the dismissal was not unfair, according to the Employment Appeal Tribunal (EAT).

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3 Note about disciplinary procedures and pensions

(1) A statement under section 1 shall include a note—(a) specifying any disciplinary rules applicable to [the worker] or referring [the worker] to the provisions of a document specifying such rules which is reasonably accessible to [the worker],[(aa) specifying any procedure applicable to the taking of disciplinary decisions relating to [the worker], or to a decision to dismiss [the worker], or referring [the worker] to the provisions of a document specifying such a procedure which is reasonably accessible to [the worker],](b) specifying (by description or otherwise)—(i) a person to whom

Disciplinary procedure is referenced 1 in UK Parliament Acts

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10 Pregnancy and maternity

10 Pregnancy and maternityA woman is protected from discrimination because she is pregnant, suffers a pregnancy-related illness or takes, or tries to take, maternity leave1. She is protected for the period of the pregnancy and any statutory maternity leave2 to which she is entitled. During this period, these types of discrimination cannot be treated as sex discrimination. Protection because of this characteristic replaces similar provisions in the Sex Discrimination Act 19753.

133 Special classes of employees

133 Special classes of employees133.1 Crown employment: The Part-time Workers (Prevention of Less Favourable Treatment) Regulations 2002 provide protection for individuals under Crown employment. Crown employment is defined as employment under or for the purposes of a government department or any officer or body exercising, on behalf of the Crown, functions conferred by a statutory provision1.133.2 Armed forces: The Regulations apply, with certain exceptions, to members of the armed forces. Exceptions include protection from unfair dismissal2.133.3 House of Lords, House of Commons staff: The Regulations have effect in relation to employment as a relevant member of

Disciplinary procedure is referenced 4 in Encyclopaedia of Forms and Precedents

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698. Assignment of references.

698. Assignment of references. A reference1 must be assigned by the secretary2 to a division of the referees3 consisting of: (1) the President4 or a chairman5 who must preside; (2) one member selected from those appointed6 by the Secretary of State after consultation with organisations representing employers; and (3) one member selected from those appointed7 by the Secretary of State after consultation with organisations representing employees8.If for any reason it becomes necessary, the secretary may at any time make such substitutions as respects the persons to

700. Further particulars.

The President1, or a chairman2 to whom a reference3 has been assigned4, may at any time direct either party to the reference to furnish any further particulars which appear to him to be requisite for the determination of the reference; and the party so directed must send the particulars to the secretary5 and to the other party within 14 days of the receipt of the direction6.

Disciplinary procedure is referenced 5 in Halsbury's Laws of England

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GLOSSARY

Disciplinary procedure definition

What does Disciplinary procedure mean?

View the related practice notes about Disciplinary procedure

Acas disciplinary and grievance code—procedural requirements

Managing conduct

View the related precedents about Disciplinary procedure

Draft outline script for disciplinary hearing (misconduct)

Draft letter to employer client on conducting a performance and capability procedure

View the related q&as about Disciplinary procedure

Does TUPE 2006 require the transferor, on transfer, to hand over to the transferee personnel records in respect of the transferring employees?

One of my employees has alleged that their line manager is sexually harassing them. How do I deal with it?

View the related News about Disciplinary procedure

In dispute over privilege a tribunal should not order documents to be disclosed to a representative (Trentside Manor Care Home v Raphael)

Unfair dismissal—dismissal for frivolous grievances did not require contractual analysis of gross misconduct (Hope v British Medical Association)

View the latest UK Parliament Acts documents on Disciplinary procedure

3 Note about disciplinary procedures and pensions

View the latest Encyclopaedia of Forms and Precedents documents on Disciplinary procedure

10 Pregnancy and maternity

133 Special classes of employees

View the latest Halsbury's Laws of England documents on Disciplinary procedure

698. Assignment of references.

700. Further particulars.

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Related Glossary Terms

GLOSSARY

Disciplinary procedure definition

What does Disciplinary procedure mean?

View the related practice notes about Disciplinary procedure

Acas disciplinary and grievance code—procedural requirements

Managing conduct

View the related precedents about Disciplinary procedure

Draft outline script for disciplinary hearing (misconduct)

Draft letter to employer client on conducting a performance and capability procedure

View the related q&as about Disciplinary procedure

Does TUPE 2006 require the transferor, on transfer, to hand over to the transferee personnel records in respect of the transferring employees?

One of my employees has alleged that their line manager is sexually harassing them. How do I deal with it?

View the related News about Disciplinary procedure

In dispute over privilege a tribunal should not order documents to be disclosed to a representative (Trentside Manor Care Home v Raphael)

Unfair dismissal—dismissal for frivolous grievances did not require contractual analysis of gross misconduct (Hope v British Medical Association)

View the latest UK Parliament Acts documents on Disciplinary procedure

3 Note about disciplinary procedures and pensions

View the latest Encyclopaedia of Forms and Precedents documents on Disciplinary procedure

10 Pregnancy and maternity

133 Special classes of employees

View the latest Halsbury's Laws of England documents on Disciplinary procedure

698. Assignment of references.

700. Further particulars.

Call us on

INSIGHTS

Popular Links

HELP & SUPPORT

Policies