Disciplinary procedure 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...

ARCHIVED: This archived Checklist sets out a high-level summary of the issues an employer should consider before moving to dismiss an employee for misconduct, and signposts further materials. For broader guidance on handling conduct, see Practice Notes: Managing conduct and Dismissing fairly for conduct reasons. Investigation and procedure Have all internal disciplinary procedures been followed? See Practice Notes: How to conduct a disciplinary investigation and How to conduct a disciplinary hearing If there are no internal procedures, have the requirements of the Acas Code of Practice on disciplinary and grievance procedures (Acas Code) been followed? For details, see Practice Notes: Dismissing fairly for conduct reasons and Acas disciplinary and grievance code-procedural requirements. See also Practice Note: General requirements for discipline and grievance procedures As a minimum, ensure that: interviews with relevant witnesses and the employee have been carried out to establish the facts surrounding the complaint the employee has had the opportunity to state their case, and...

See Q&A: Which breaches of the SRA Standards and Regulations are subject to fixed penalty fines? The Solicitors Regulation Authority (SRA) is authorised to issue fixed penalty fines for defined infringements of the SRA Standards and Regulations (StaRs). The infringements that attract a fixed penalty are detailed in rule 11.2 of the SRA Regulatory and Disciplinary Procedure Rules...

In this issue: Recruitment Protected characteristics Data protection and employee information Business reorganisation Confidentiality, duties and restrictions: enforcement Immigration IRLR Highlights—March 2025 Dates for your diary Trackers Employment resources on Lexis+® Daily and weekly news alerts Recruitment Employee fairly dismissed for failing to disclose previous gross misconduct dismissal on application form employment history In Easton v Secretary of State for the Home Department (Border Force) [2025] EAT 15, the claimant applied for a position with the respondent. The application’s free-text ‘Employment History’ field listed only years, masking a three-month gap that followed his gross misconduct dismissal from another Home Office role. He did not disclose either the gap or the dismissal at interview. After he began work, the respondent discovered the prior dismissal and initiated a disciplinary investigation. It concluded he had been deliberately misleading by omitting pertinent details from his application. He was dismissed for gross misconduct. The employment tribunal dismissed...

In this issue: Key DR developments Claims and remedies Cross-border disputes Pre-action and limitation Litigation Scottish Dispute Resolution Dates for your diary Useful information Daily and weekly news alerts Key DR developments CPR updates 193rd Practice Direction update: The Master of the Rolls and the Parliamentary Under-Secretary of State for Justice have signed off the 193rd Practice Direction (PD) update to the Civil Procedure Rules (CPR). Among other changes, it amends CPR PD 52D (statutory appeals and appeals subject to special provision) and CPR PD 57AD (Disclosure Scheme in the Business and Property Courts). For more detail, see: 193rd Practice Direction update—in force on various dates—LNB News 10/02/2026. 26. Civil Procedure (Amendment) Rules 2026, SI 2026/97: These Rules make amendments to the Civil Procedure Rules 1998, SI 1998/3132, which govern practice and procedure in the Civil Division of the Court of Appeal, the High Court and the County Court...

The Acas Code of Practice on disciplinary and grievance procedures (Acas Code) The Acas Code of Practice on disciplinary and grievance procedures (Acas Code) defines baseline expectations of fair conduct for handling discipline and grievances at work, and requires both staff and management to adhere to its rules and procedures. These are minimum standards of reasonable behaviour for workplace disciplinary and grievance situations, imposing duties on employees and employers to comply with the Code’s provisions. As a statutory code, it influences a broad range of employment claims; non-compliance can be considered when assessing liability and may affect the level of compensation awarded, in relevant cases. The non-statutory Acas guide on discipline and grievances at work (Acas guide) sits alongside the Code and offers best practice guidance for managing disciplinary and grievance matters in the workplace. Where the Code’s interpretation is uncertain, tribunals may look to and follow the Acas guide. For more detail on the Acas guide, see Practice Note: Acas disciplinary and grievance code—application—Guidance to the Acas Code...

The Financial Services Enforcement Database The Financial Services Enforcement Database brings together comprehensive details on substantive Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Final Notices and, where obtainable, Decision Notices, covering 2014 onwards. The Database can be searched and refined by fields including rule/legislation breach, keyword, sector, date, financial penalty, facets of financial penalty analysis, outcomes such as redress and prohibition orders, and further actions like referrals to the Upper Tribunal. This Practice Note sets out the law and process for making a reference to the Upper Tribunal (Tax and Chancery Chamber) following a disciplinary or non-disciplinary decision of the FCA or the PRA; including decisions on restrictions, financial penalties and prohibition orders under the Financial Services and Markets Act 2000 (FSMA 2000), and the FCA’s registration of cryptoasset firms under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017, SI 2017/692 (MLRs). It addresses the Upper Tribunal’s role and scope of its powers when determining references in financial services matters....

How to conduct a disciplinary (or conduct) hearing or meeting This ‘How to’ guide explains how to run a disciplinary (or conduct) hearing or meeting as part of a fair conduct management process. It summarises the legal issues to bear in mind and sets out the steps to follow. It addresses: sound recordings notes and minutes of the hearing adjournment reconvening the hearing the right of appeal record-keeping Where a disciplinary investigation results in a recommendation to convene a hearing (see Practice Note: How to conduct a disciplinary investigation), the manager tasked with running that hearing will undertake preparation (see Practice Note: How to plan and prepare for a disciplinary hearing). The guidance below explains how to conduct the hearing itself when the day arrives. The manager should keep in mind that a well-designed and well-run disciplinary procedure enables a business to maintain expected standards of conduct while also encouraging good employee relations. Managing disciplinary hearings...

[ To be typed on the employer’s headed notepaper ] [ Insert date ] Dear [ insert name of employee ], Re: [ insert name of employer ] (the Company) I write to [ inform you of OR confirm ] the Company’s decision reached following the disciplinary hearing on [ insert date ] [ , at which you were accompanied by [ insert name ], ]. As you know, on [ insert date ] you were notified in writing that a final written warning had been issued in line with the Company’s [ dismissal and disciplinary procedure ]. That correspondence explained that any further misconduct [ within [ 12 ] [ months OR weeks ] ] was likely to lead to dismissal. As outlined during the disciplinary hearing, the Company considers your conduct to remain unsatisfactory and has decided that you will be dismissed in accordance with the Company’s [ dismissal and disciplinary procedure ]...

Note: this letter is prepared in broad terms without reference to any particular scenario. You should adapt the letter where you are advising on an identified employee and the specific facts. Where the employer operates its own performance and capability procedure (or a disciplinary process addressing inadequate performance), you must refer back to that policy throughout the letter, linking each stage of the process and any time limits set within it. You may discover that the employer’s procedure requires additional warnings or imposes other steps. This letter proceeds on the basis that performance review periods will be shorter than the duration of any warnings issued. Ensure cross-references appear at each stage and that all stated deadlines are meticulously observed throughout the procedure. [ name and address of client ] Dear [ name ] Performance and capability procedure I write to outline my advice on running a performance and capability process for an employee whose performance falls below the required standard. The principal legal exposure, if the...

1 Introduction 1.1 This policy outlines the Company’s rules for claiming back travel, accommodation and other costs you incur while undertaking Company business. It also explains how to submit claims, the supporting evidence required, and the level of approval you must obtain. 1.2 This policy applies solely to employees. It does not cover agency workers, suppliers, consultants, contractors, volunteers, interns or casual workers. 1.3 The Company will repay all reasonable costs incurred in line with this policy. Any expenses claim that is dishonest, or breaches this policy, may result in disciplinary action. 1.4 This policy is not part of any employment contract and the Company may amend it at any time, for example to reflect changes in procedures or expense thresholds. You will be informed in writing of any amendments. 1.5 When reimbursing expenses, the Company will comply with its obligations regarding PAYE deductions for income tax and National Insurance contributions...

Unfair dismissal—conduct and procedure Where an employee pursues an unfair dismissal claim, the onus lies with the employer to demonstrate a fair reason for ending employment. Conduct is one of the potentially fair grounds, but a fair process must also be observed. Ultimately, it needs to be established that dismissal is an appropriate and fair sanction. The Acas Code of Practice on Disciplinary and Grievance Procedures imposes duties on both employers and employees to follow its provisions, with possible sanctions for non-compliance. It describes the standard of reasonable behaviour expected in most situations. For further guidance, see the following Practice Notes: Dismissing fairly for conduct reasons Reason for dismissal—conduct Reason for dismissal—general, in particular section: Potentially fair reasons Acas disciplinary and grievance code—procedural requirements Under the Acas Code of Practice, certain actions—labelled gross misconduct—are so serious in themselves, or carry such serious consequences, that they may justify dismissal without notice even for a first offence. However, a fair disciplinary...