"The way LexisNexis dealt with us was receptive and not pushy. They took the time to get to know us and what we needed as a business."
Irwin Mitchell
Access all documents on Disciplinary action
Formal action against an employee.
This can include, for example, issuing a first written warning for misconduct or dismissing someone for gross misconduct.
Speed up all aspects of your legal work with tools that help you to work faster and smarter. Win cases, close deals and grow your business–all whilst saving time and reducing risk.
For our full legal glossary and more legal research sources, register for a free Lexis+ trial
Misconduct investigation and disciplinary hearing—flowchart This Flowchart sets out the stages of a disciplinary procedure to deal with an issue of employee misconduct, from investigating the allegation(s), to conducting a disciplinary hearing and deciding on appropriate disciplinary action, and managing an appeal process. Click below to view or print the full-size PDF version: Note 1—dealing with an allegation of misconduct When considering whether the issue is one involving potential misconduct, it may be necessary also to review the employee’s contract, the employer’s staff handbook and any other policies or procedures that may be relevant in addition to the disciplinary/dismissal procedure, eg equality/equal opportunities policy or expenses policy. It is also worth remembering that a situation that might, at first glance, appear to be a case of misconduct, could turn out to be a performance or capability problem. See Practice Note: Managing conduct—Dealing with conduct issues. Where a conduct issue arises, the first stage in managing that issue is to investigate the problem, promptly and without unreasonable delay, to...
Retaliation Complaint Response Checklist Many statutes and employer policies prohibit retaliation against employees who engage in protected activity. This checklist highlights key considerations in responding to internal retaliation complaints. For more information on retaliation claims, see Retaliation Claim Elements: Key Considerations, Retaliation Claim Avoidance under the FLSA, and FMLA Interference and Retaliation Claims. See also Discrimination, Harassment, and Retaliation State Practice Notes Chart. For information on retaliation against whistleblowers, see the Whistleblowing practice note page. For a full listing of key content covering workplace investigations, see Workplace Investigation Resource Kit. Retaliation Policies An employer may have a general retaliation policy that covers many types of retaliation. See Anti-retaliation Policy. Individual policies, such as an FMLA policy, should also address retaliation under specific statutory sources. See Family and Medical Leave Policy (with Acknowledgment). Receiving a Complaint of Retaliation It is generally in the employer's interest to encourage good faith complaints of retaliation, and such complaints may come in several forms. • Formal complaints. The employer may learn of alleged retaliation after...
Discover our 9 Checklists on Disciplinary action
The Acas Code of Practice on disciplinary and grievance procedures (Acas Code) sets out minimum standards of reasonable behaviour for dealing with disciplinary and grievance situations in the workplace, and places obligations on both employees and employers to comply with its provisions. It is a statutory code (see: Key principles of the Acas Code below) that has an impact on a broad range of employment claims, and failure to follow the Acas Code can be taken into account when it comes to determining liability, and may have an impact on the award of compensation, in relevant cases.The non-statutory Acas guide on discipline and grievances at work (Acas guide) complements the Acas Code and provides good practice advice for dealing with discipline and grievances in the workplace. In the event of uncertainty regarding the interpretation of the Code, the Acas guide may be followed by tribunals. For further information, see Guidance to the Acas Code, below.This Practice Note explains the application of the Acas code in employment tribunal proceedings, and its...
This Practice Note examines the assessment of damages in a prohibited conduct claim (eg discrimination claim) under the Equality Act 2010 (EqA 2010).Possible types of compensationAn award of compensation may include various different elements, including:•general financial loss (eg loss of earnings, benefits etc)•injury to feelings•damages for personal injury (where some form of injury arises which is caused by the discrimination)•pension loss•interest•aggravated damages•exemplary damagesGeneral financial loss is considered in Practice Note: Prohibited conduct claims: general financial loss. Injury to feelings and damages for personal injury are considered in Practice Note: Prohibited conduct claims: injury to feelings and personal injury. Pension loss is considered in Practice Note: Calculating pension loss in employment tribunal claims. The remainder are discussed below.Apportioning compensation between wrongdoersOne or more individual employees are often named as respondents as well as the employer, for example an employee who was discriminated against because their first line manager failed to award the employee a promotion will often join both their employer and the manager as respondents (see Practice Note: Liability of...
Discover our 194 Practice Notes on Disciplinary action
Tax evasion facilitation—post-training assessment questions How to use this test These questions are designed to test your understanding after your attendance at our training on avoiding tax evasion facilitation. After you have completed this test, please return it to [insert name]. General Name of person completing test [Insert name] Role [Insert role] Date [Insert date] Multiple choice questions Circle the correct answer. Question Multiple choice answers 1. Under which Act would [insert organisation name] commit an offence if it fails to prevent the facilitation of tax evasion? (a) Criminal Finances Act 2017(b) Serious Crime Act 2015(c) Proceeds of Crime Act 2002 2. What is not an element of the tax evasion facilitation offence? (a) Criminal tax evasion by a tax payer(b) Failure by [insert organisation name] to prevent our employee/agent from criminally facilitating tax evasion(c) Offering a bribe 3. Who is liable if the offence of failing to prevent tax evasion facilitation is committed? (a) an individual (ie an employee or agent of [insert organisation name](b) [insert...
Accounts procedures for fee earners and support staff 2011 [Archived] 1 This document sets out our [accounting OR finance] systems and controls for fee earners and support staff. 2 Basic principles 2.1 We have an overriding duty to protect client money and assets. 2.2 To ensure compliance with this duty and with the SRA Accounts Rules 2011 (the rules), all fee earners and support staff must comply with the systems and procedures set out in this document. 3 Accounts department 3.1 The [Accounts OR Finance] department is located at [insert location, eg office if you have more than one office or location within your office] and is led by [insert name and/or title], [who is also the firm’s Compliance Officer for Finance and Administration (COFA)]. 3.2 [insert any other information regarding the structure of your accounts departments, eg if you have different teams for different functions]. 4 Accounts system 4.1 We have a central accounting [and time recording] system called [insert name...
Dive into our 142 Precedents related to Disciplinary action
Where a client raises concerns about a serious safeguarding risk to a child, is there a responsibility to make a referral to social services? Is the client’s consent required for a referral to be made? What steps should be taken to ensure a referral is made? Safeguarding concerns relating to children are sadly a feature of the practises of most solicitors and barristers engaged in family law work. There is an inherent tension between the understandable desire to protect the child particularly where a serious safeguarding risk is identified, and the duty of confidentiality owed to the client. Legal representatives are not social workers, and their professional duties may from time to time conflict with what they perceive to be their moral obligations where information is disclosed by a client that leads to a safeguarding risk. Solicitors and barristers owe a duty of confidentiality to their clients (paragraph 6.4 of the Code of Conduct for Solicitors) and that duty is unqualified. The duty is to keep the information...
When convening a disciplinary investigation meeting, must the employee first be sent a letter inviting them to attend the meeting before it can be held? If so, what should the letter contain? Can the employer choose not to give the employee prior notice of the investigation meeting if it wants the employee to provide spontaneous answers to its questions, rather than have time to plan what they will say? An employer is generally expected to act reasonably and fairly when it comes to dealing with disciplinary issues in the workplace. Not doing so could potentially lead to claims, including claims for unfair dismissal if the employee is subsequently dismissed and they qualify for unfair dismissal protection. There is also the possibility of wrongful dismissal claims if the employee is dismissed without notice for gross misconduct and claims for constructive dismissal and unlawful discrimination even if the employee is not dismissed. An employer should therefore ensure that it complies with the standards for fairness set out in the Acas Code of...
See the 46 Q&As about Disciplinary action
Law360, Expert Analysis: Make no mistake, non-financial misconduct remains at the top of the Financial Conduct Authority's (FCA) agenda. In October 2024 the regulator published the results of its survey on non-financial misconduct, and made clear that the results should act as a catalyst for regulated firms' boards and trade associations to prioritise and act on issues of non-financial misconduct that lead to poor working cultures and can ultimately harm consumers or market integrity. Written by Michelle Diamond, partner, and Imogen Makin, counsel, at WilmerHale.
The Supreme Court unanimously dismissed PGMOL's appeal as it was able, on the basis of the findings of fact made by the First-tier Tax Tribunal (FTT) and the extensive submissions made by both parties, to conclude that the irreducible minimum of mutuality of obligation and control necessary for a contract of employment between the part-time referees and PGMOL was satisfied in relation to the individual match contracts. However, as it did not necessarily follow that the individual match contracts were therefore to be characterised as contracts of employment, the Supreme Court agreed with the Court of Appeal that the case should be remitted to the FTT for its decision.
Read the latest 212 News articles on Disciplinary action
**Trials are provided to all LexisNexis content, excluding Practice Compliance, Practice Management and Risk and Compliance, subscription packages are tailored to your specific needs. To discuss trialling these LexisNexis services please email customer service via our online form. Free trials are only available to individuals based in the UK, Ireland and selected UK overseas territories and Caribbean countries. We may terminate this trial at any time or decide not to give a trial, for any reason. Trial includes one question to LexisAsk during the length of the trial.
0330 161 1234