Disciplinary action meaning

This flowchart outlines the steps an employer should take once a performance or capability concern is identified, including collecting key documents such as the contract of employment and appraisal records, considering mediation, appointing who will carry out performance monitoring, arranging informal and then formal meetings, deciding on dismissal or another sanction, and overseeing the appeal stage. Click below to view or print the full-size PDF version: Note 1—identifying whether there is a performance issue If an employee’s output falls short of the required standard, the employer may choose to address it under its performance procedure. For an example procedure, see Precedent: Policy and procedure—performance and capability. A clear distinction should be drawn between misconduct and underperformance. Where conduct is the concern, a disciplinary process is the correct route—see Practice Note: Managing performance—Dealing with poor performance. Before commencing any formal action, review the terms of the employer’s performance procedure and check, for example, whether specific time periods are required between each stage...

This flowchart outlines the steps in a disciplinary process addressing suspected employee misconduct: from fact-finding into the allegation(s), through holding a disciplinary meeting and deciding any sanction, to administering an appeal. Click below to open or print the full-size PDF version: Note 1—dealing with an allegation of misconduct When assessing whether the matter amounts to possible misconduct, it may also be necessary to examine the employee’s contract, the employer’s staff handbook and any other applicable policies or procedures beyond the disciplinary/dismissal procedure, for example an equality/equal opportunities policy or an expenses policy. Remember that a situation that initially appears to be misconduct could instead be a performance or capability issue. See Practice Note: Managing conduct—Dealing with conduct issues. Where a conduct issue arises, the first step is to investigate promptly and without undue delay to establish the facts of the case. Note 2—using mediation In appropriate circumstances, mediation may be considered as part of, or in parallel with, the disciplinary process. If both parties agree to...

The watchdog is examining more than 20 separate law firms connected to one of the most serious miscarriages of justice in British history. We will, of course, act as swiftly as we can and, while we cannot confirm an exact timetable, we are hopeful we can commence prosecution action in some cases in the summer of this year, chair Anna Bradley wrote in a blog post on 27 January 2025...

What is the current legislation/regulation relating to drug misuse in the workplace and does this go far enough? Is there any guidance available for employers? Employers are legally required, under the Health and Safety at Work etc Act 1974, to safeguard the health, safety and welfare of their workforce so far as is reasonably practicable. The Management of Health and Safety at Work Regulations 1999 (SI 1999/3242) add a duty to identify and evaluate risks to employees’ health and safety. Where an employer knowingly permits someone to work while impaired by drugs or alcohol, and that behaviour endangers them or others, the employer may face prosecution. Workers, for their part, must also exercise reasonable care for their own safety and for anyone who could be affected by what they do—or fail to do—at work. The Misuse of Drugs Act 1971 is the key UK statute governing drug misuse. It renders the production, supply and possession of controlled drugs unlawful, save for defined exceptions, such as...

In this issue: Brexit UK, EU and international regulators and bodies Accountability, culture and societal governance Prudential rules Stability of the financial system Financial crime and sanctions Conduct standards Complaints, redress and claims handling Investigations, enforcement and disciplinary action Benchmark regulation and IBOR transition Capital markets regulation PRIIPs (Packaged Retail and Insurance-based Investment Products) Derivatives regulation Sustainable finance and ESG Banks and mutuals Funds and asset management MiFID II Insurance regulation Personal pensions and stakeholder products regulation Payment services and systems Fintech and cryptoassets EEA Agreement Annex IX (Financial Services) Financial Services Enforcement Database Daily and weekly news alerts Intraday alerts New and updated content Dates for your diary New Q&As New Q&As Brexit — HMT outlines the next stage of the Smarter Regulatory Framework. HM Treasury (HMT) has issued a policy paper describing the upcoming...

This Practice Note examines the legal framework governing a student’s relationship with their higher education provider in the context of discipline. It reviews the contractual position, its interface with public law, statutory obligations and criminal law. It also outlines categories of misconduct that may prompt disciplinary proceedings, and the factors to assess before any action is initiated. What power does a higher education institution have to discipline a student? Although a student’s dealings with their university are regulated by several areas of law, including: public law, including discrimination law (as set out in the Equality Act 2010 (EqA 2010)) statutory duties relating to freedom of speech on campus, human rights law data protection laws tort law, in respect of negligence claims, and property law concerning student accommodation the institution’s relationship with the student is predominantly contractual (Clark v University of Lincolnshire and Humberside). An institution’s authority to impose discipline therefore derives from that contract. See Practice Note: Higher...

This Practice Note explores a trade union member’s protection against unjustified discipline by their union at common law and under statute. Common law right Union members may only be disciplined in line with the union’s own rule book. In addition, unions should avoid arbitrary or capricious conduct and may need to observe natural justice before imposing sanctions. While statutory provisions also give members rights regarding union discipline, the common law route can be practically valuable: a court may grant a declaration or an injunction to stop disciplinary measures before they occur. These forms of relief are not available to enforce the statutory right. Even where a union’s rule book contains no express authority to discipline, a disciplinary power may, in some situations, be implied. Sometimes the rules attempt to stipulate that a member who considers they have been unfairly disciplined has no remedy other than to follow a determination or conciliation process set out in the rules. Such provisions that aim to exclude the jurisdiction of...

STOP PRESS The Data (Use and Access) Act 2025 (Commencement No 6 and Transitional and Saving Provisions) Regulations 2026, SI 2026/82, activate the outstanding sections of the Data (Use and Access) Act 2025 (DUAA 2025). Measures on subject access requests, legitimate interests, purpose limitation, automated decision-making, international transfers and enforcement apply from 5 February 2026, with the rules on penalty notices and complaints commencing on 19 June 2026. For further detail, see Practice Note: Data (Use and Access) Act 2025-employment implications. This Practice Note will be updated shortly to reflect these changes. This Practice Note examines the legal and practical challenges for employers when addressing alcohol and drug use in the workplace. Legal framework The Health and Safety at Work etc Act 1974 (HSWA 1974) imposes a general duty on all employers to protect the health, safety and welfare of their staff. If an employer knowingly permits an employee under the influence of alcohol or drugs to continue working, placing that person or others at risk, the...

1 Policy statement The Company is committed to advancing equality, diversity and inclusion (EDI). By this we mean: equality: delivering fair treatment and equal opportunity for all employees, workers and job applicants, and eradicating unlawful discrimination; diversity: acknowledging, respecting and valuing the differences in our people’s protected characteristics, backgrounds, skills and experience, and encouraging gender, age and ethnic diversity, alongside diverse physical ability and neurodiversity across our workforce; inclusion: creating a fair, safe workplace for everyone that values difference and enables each person to be themselves, reach their potential and thrive at work. The Company will not unlawfully discriminate against any employee, worker or job applicant on the basis of any protected characteristic recognised by current legislation, namely: age; disability; gender reassignment; marriage or civil partnership status; pregnancy and maternity; race (including colour, nationality and ethnic or national origin); religion or belief; sex; or sexual orientation...

Passwords sit at the heart of our information and cyber security controls. They serve as the primary line of defence. This policy: defines how to choose robust passwords; sets out measures for keeping passwords protected; and specifies how frequently passwords must be changed. This policy applies to all staff. [ Insert name ] owns this policy. Please contact them with any questions or concerns relating to anything contained in this policy. Using strong passwords Your passwords must: contain a minimum of [ 10 ] characters; not rely on personal details (eg family names etc)...

1 Introduction 1.1 This policy outlines the duties of staff and leaders regarding inquiries into fraud, bribery, the facilitation of tax evasion, and other commercial offences (collectively, ‘financial crime’) within [ insert organisation name ]. We have zero tolerance for any form of financial crime and pledge to safeguard our assets and uphold honesty and integrity at all times. 1.2 [ Insert organisation name ] is dedicated to running its operations transparently, honestly and fairly, at all times. Everyone employed by, or acting for, [ insert organisation name ] must consistently demonstrate the highest level of accountability and foster an ethical culture at all times. 1.3 When financial crime is suspected, [ insert organisation name ] will initiate an impartial inquiry into the allegations and take suitable remedial action. Actions may involve disciplinary processes, dismissal and/or providing information to the relevant criminal prosecution authorities. [ Insert organisation name ] will, where appropriate, pursue recovery of funds lost through financial crime perpetrated or enabled by employees...