Legal Practice Notes

This Practice Note This Practice Note explores why an employer may issue an employee handbook or employee manual (also known as a staff handbook, staff manual or company policy manual). It sets out typical contents and how to present terms that must be reasonably accessible, covering disciplinary and grievance frameworks, holiday pay, sickness absence and pay, contractual and non-contractual policies, workplace rules and procedures, intranet publication, gender neutrality, the contractual status of policies, whether terms can be incorporated, permanent health ( PHI) and other insurance, and how to make changes or amendments. It also references the Lexis®Smart Precedent employee handbook and other relevant documents. Certain aspects of the employment and worker relationship must appear in a written statement of particulars of employment given to the employee or worker (see Practice Note: Written statements of employment particulars). Those particulars are often placed within the...

SM& CR—applications to perform SMFs, notifications, and withdrawal of approval Note: On 15 July 2025, the government unveiled the Leeds Reforms, setting out plans to simplify the SM& CR. At the same time, the PRA and FCA issued consultation papers CP18/25 and CP25/21. See News Analysis: Reform of the SM& CR— Proposals and next steps. The regulators propose a two‑stage reform, with Phase Two to follow subject to HM Treasury consultation and legislative changes. Final Phase One requirements are expected by mid‑2026. Any Phase Two consultations will depend on HMT legislation. The Senior Managers and Certification Regime ( SM& CR) and the Approved Persons Regime ( APR) constitute the UK regulators’ framework for supervising individuals in financial services, providing for individual approval by the Financial Conduct Authority ( FCA) and, where required, the Prudential Regulation Authority ( PRA). In 2016, the...

This resource kit This resource kit brings together the principal practical guidance available across Lexis+® UK on artificial intelligence ( AI). Organised by practice area, it is refreshed as new material appears. The rapid growth of AI technologies has led lawmakers, businesses and the public to focus more closely on the potential advantages and the risks that accompany AI use. AI gives rise to a range of legal and regulatory considerations across numerous disciplines, including: intellectual property ( IP) data protection and cybersecurity transactional work such as corporate and commercial employment healthcare and life sciences finance The UK government is developing an AI regulatory strategy that will determine how AI is governed here in future. In the EU, a legislative framework is being built to regulate AI, primarily via Regulation ( EU) 2024/1689 laying down harmonised rules on...

Occasionally, an employer and an employee may seek to open discussions to resolve a dispute or to set the terms of the employee's exit. As a general rule, material from those discussions is admissible in any subsequent litigation. Nevertheless, there are two routes by which the confidentiality of such discussions can be protected: by relying on the without prejudice rule through the statutory regime for 'pre-termination negotiations' in section 111A of the Employment Rights Act 1996 ( ERA 1996), often called 'protected conversations', which applies only to ordinary unfair dismissal claims Where the without prejudice rule applies, communications are inadmissible as evidence and cannot be required by a disclosure order. In a similar vein, the rule on pre-termination negotiations also renders evidence of those discussions inadmissible, albeit only in particular, specified circumstances......

This Practice Note examines the equality action plan regime under the Employment Rights Act 2025 ( ERA 2025) This Practice Note reviews the equality action plan ( EAP) regime envisaged by the Employment Rights Act 2025 ( ERA 2025). It considers the legal architecture, the sorts of measures employers might be asked to include in an action plan, and which employers and workers are likely to fall within scope. It also signposts guidance, practical steps for drafting an action plan, and possible compliance and enforcement risks. ERA 2025, s 33 gives the government power to make regulations requiring employers to prepare and publish an EAP setting out what they are doing for their employees on prescribed gender equality matters. Those prescribed matters are not yet defined and will probably need further legislation; however, s 33(4) specifically singles out closing the gender pay gap and...

An employee engaged on a fixed-term contract of employment has various rights and protections that derive from the Fixed-term Work Framework Directive 1999/70/ EC, which was implemented in the UK law by the Fixed- Term Employees ( Prevention of Less Favourable Treatment) Regulations 2002 ( FTE Regulations 2002), SI 2002/2034: The worker must be treated no less favourably than a comparable permanent colleague; it is therefore unlawful for an employer to give fixed-term staff inferior benefits and/or lower pay than permanent staff In specified situations, the individual may require their fixed-term contract to be converted to a permanent one, removing any limit on its duration The worker is protected from detriment or dismissal arising from exercising rights under the Regulations EU-derived measures such as the FTE Regulations 2002, which were made to fulfil the UK’s obligation to implement a...

This Practice Note monitors the development of UK legislation brought forward under the legislative programme linked to the UK’s departure from the EU. It also features a Brexit SI database that compiles details of both draft and made secondary legislation related to Brexit. Quick links Use the links below to go directly to the relevant section or tracker. Practice area trackers Follow the links below for trackers focused on Brexit legislation across specific practice areas: Commercial Corporate Crime Dispute Resolution Employment Energy Environment Financial Services Information Law Intellectual Property Life Sciences Local Government Pensions Property R& I Tax For further updates and guidance tailored to individual practice areas, see: Brexit collection......

Before 6 April 2014, where a claimant succeeded before an employment tribunal, the tribunal’s remit was limited to granting the available remedies for the particular claim and making costs orders (see Practice Note: Costs in the employment tribunal). It could not impose a sanction on the respondent employer for the breach of employment law itself. As of 6 April 2014, section 12A of the Employment Tribunals Act 1996 ( ETA 1996) introduced a statutory power for tribunals to require any respondent employer to pay a financial penalty where a worker’s rights have been breached with aggravating features. For contraventions commencing on or after 6 April 2019, the ceiling for such penalties is £20,000 (see: How the financial penalty is calculated below). With effect from 6 April 2016, ETA 1996, s 37F empowered enforcement officers, appointed or authorised by the Secretary of State, to issue...

Under English law, binding agreements may arise orally, in writing, or by deed. This Practice Notice explores when a deed is required or preferable, and the formalities that must be observed to ensure validity. What is a deed? When a deed is required Formalities (1): in writing Formalities (2): face value Formalities (3): execution Formalities (4): delivery Escrow Witnessing Variation Failure to comply with formalities and other defects Reform For details on executing deeds in jurisdictions outside England and Wales, see Practice Note: Execution of deeds—jurisdictional guide. We have created a comprehensive, interactive collection to help users identify and navigate concepts and common issues in executing documents, including deeds. Each phase includes practical guidance, precedent clauses and Q& As relevant to that stage. For further information, see: Execution...

This How-to guide explains how to counsel on putting a training programme in place to underpin the appraisal process. When done well, appraisals can drive notable gains in morale, capability and retention; however, meeting these aims requires all participants to know how to run effective reviews and to recognise both the possibilities and the limits of appraisal outcomes... Why appraisal training is required For many managers and staff, appraisals can be a source of considerable worry......

This Practice Note This Practice Note reviews legal questions linked to retirement from employment, such as age discrimination, the justification for a compulsory retirement age and dismissal. It also touches on practical aspects of retiring, including flexible routes, workplace conversations, underperformance, illness, health and safety, insured benefits, pensions and employee share schemes. From October 2006, the Employment Equality Act ( Age) Regulations 2006: made age-based discrimination against workers, employees and others unlawful introduced a default retirement age ( DRA) of 65 for employees treated retirement as a potentially fair reason for dismissing an employee The DRA was later removed and the related statutory retirement procedures repealed from 6 April 2011. The government explained this change was to ensure no one lost the chance to work merely because they had reached a certain age. Consequently, the ‘retirement age’ is now typically set by the...

This ‘ How to’ guide explains the practical management of under-performance within the workplace. It looks, in particular, at potential causes of poor performance, a manager’s duties, approaches to encouraging those who are falling short and key traps to avoid, and it summarises a formal performance procedure. Why an employer should tackle under-performance At common law, there is an implied term that an employee will be capable of carrying out the role for which they were hired. For additional detail, refer to Practice Note: Types of contractual term in employment— Employee’s implied obligations, under ‘ Competence’. The core difficulty with under-performance is that the individual is either failing to do the work the employer requires, or is doing it without adequate competence......

This ‘ How to’ guide clearly explains how to run an informal performance management meeting. It helpfully outlines the meeting structure, in particular delivering appropriate feedback, basic coaching skills, and agreeing an action plan to be followed thereafter. An informal performance management meeting can very usefully be divided into two clear stages: explain in discussion with the employee clearly the difference between their current performance and the level expected, and then also establish the reasons for any under-performance where appropriate agree ideas on how to close that gap For further information and context on the management of under-performance generally, see Practice Note: How to manage under-performing employees. Establishing the nature of the under-performance and the reasons behind it Although the manager will need to provide some feedback during the conversation (see Feedback, below), the most valuable approach in the meeting is asking effective...

This Practice Note explores the legal and practical considerations for an employer to take into account in relation to menopause. What menopause is Menopause forms part of the natural ageing process in a woman’s life, typically occurring between ages 45 and 55, and is clinically recognised when a woman’s menstrual cycle has stopped for 12 consecutive months. In the UK, the average age at which a woman reaches menopause is 51. In this Practice Note, the terms ‘menopause’ and ‘menopausal’ are intended to include: perimenopause, ie the phase before menopause when a woman’s hormone levels begin to change, which usually starts from around the age of 45 menopause the post-menopause period, ie the time after menopause has occurred, beginning when a woman has not had a period for a year On average, menopause symptoms last between four and eight years, but for around 10% of women they can...

How to advise on drafting an appraisal form This ‘ How to’ guide outlines how to advise on preparing an appraisal form. Performance management sits at the heart of the relationship between manager and employee. Both parties should be clear about what must be achieved to meet their own objectives and to support the organisation’s overall aims and success together. The appraisal process represents a vital component of performance management. The guidance below details good practice in drafting and designing a competency‑based appraisal form. It includes links throughout to Acas advice on managing performance, which is archived on The National Archives website. For additional detail on appraisal procedures, see Practice Notes: How to manage personal development and appraisals and How to advise on managing an appraisal meeting......

‘ How to’ guide This guide explains how to plan and deliver an effective personal development and appraisal framework, from preparation through to implementation. At the heart of all performance management sits the partnership between the employee and their manager. Each should be clear on the actions required to achieve individual objectives while supporting the aims of the organisation as a whole. This Practice Note reflects Acas guidance on managing performance, as archived on The National Archives website......

How to This ‘ How to’ guide outlines how to advise a manager in relation to managing or carrying out an appraisal meeting. Performance management lies at the heart of the manager–employee relationship. Both parties should be clear about what must be done to reach their own objectives and to add to the business as a whole. Appraisal meetings are a key part of performance management processes. The guidance on these meetings provided here takes into account Acas guidance on managing performance, which has been archived on The National Archives website......

This Practice Note explores the steps an employer should take to handle the fair dismissal of an employee on performance grounds and to reduce the risk of an unfair dismissal finding. Employees with adequate length of service and who otherwise satisfy the qualifying conditions have statutory protection from unfair dismissal (see Practice Notes: Entitlement to claim unfair dismissal and Qualifying period for unfair dismissal). To prevent a determination of unfair dismissal, employers must have a fair reason to dismiss. Capability or performance is one of the potentially fair reasons for termination (see Practice Note: Reason for dismissal—general— Potentially fair reasons). Nevertheless, to dismiss an employee fairly for performance, the employer must also follow a fair process that provides the employee with sufficient opportunity to improve. Ultimately, it must be demonstrated that dismissal is a fair sanction to...

This Practice Note sets out guidance on the legal position for employers and employees, and summarises the practical steps a business may adopt where severe or adverse weather, transport disruption or other major incidents stop employees from getting to work. For information, in particular, on employers’ obligations in relation to managing temperature in the workplace, see Practice Note: Employers’ obligations to manage temperature in the workplace. Although it is ordinarily an employee’s responsibility to travel to and from work, there are occasions when factors outside the employee’s control will hinder their ability to attend, eg travel disruption and disruption to childcare arrangements. Extreme temperatures can also make it hard for employees to work comfortably both at the workplace or from home. For more information on managing workplace temperature generally, see Practice Note: Employers’ obligations to manage temperature in the...

An employee may claim a statutory redundancy payment without being dismissed in one of two situations: where the employee is laid off, i.e. the employer temporarily closes operations due to no, or insufficient, work for staff where the employee is on short-time working—this is when the employer reduces contractual hours and, as a result, pay is reduced In summary, a statutory redundancy payment is payable where: there is a period of lay-off (see: Lay-off generally and The definition of a statutory lay-off below) or short-time working that period lasts for the prescribed period (see: Claiming a redundancy payment below) the employee gives written notice of intention to claim within the required timeframe (see: Employee’s notice of intention to claim) the employee ends the contract by giving the requisite notice (see: Employee must terminate the contract below) the...