Grievance outcome letter
Dismissal letter
A A concern, problem or complaint which a member of staff raises with his employer. is any concern, problem or complaint raised by a member of your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer..
Concerns, problems or complaints raised by a member of staff with his employer. will vary in severity from minor complaints to serious allegations and may involve anything from issues with working conditions to problems with colleagues, management, clients or customers.
You should treat all Concerns, problems or complaints raised by a member of staff with his employer. promptly and seriously, and must always try to achieve a A formal decision made by the directors or members of a company, which binds the company once it is passed. . If you do not, aside from potentially damaging relations in your workforce, you run the risk of the aggrieved Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member bringing a legal claim against you.
As a first step, you must assess whether the matter can be handled informally or whether a formal process is necessary. In most cases, Concerns, problems or complaints raised by a member of staff with his employer. brought by non-Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. should be dealt with informally; see Q&A 3 for more information.
For Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work., many Concerns, problems or complaints raised by a member of staff with his employer. can be resolved informally, where the matter is minor; see Q&A 4 for further information about steps to take. A more formal process can be necessary if the complaint involves a serious issue such as Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. or Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation., or the An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. does not feel that an informal process can adequately resolve their concerns; see Q&A 5 for further information about steps to take.
Note that there is no legal requirement to follow a formal procedure in relation to Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. who are not Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. (including People hired to work on an as required basis, sometimes known as seasonal workers., Staff supplied by a recruitment agency to work for a business under a contract made between the agency and the business. and self-employed People, in business for themselves, who provide services to others. They may be individuals simply working under their own names, or may offer services through companies or partnerships. Sometimes known as consultants or independent contractors. ). You may need to do so in very serious situations (eg where an allegation of Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. has been made). However, bear in mind that the extent of your control over the individual (including subjecting them to your A concern, problem or complaint which a member of staff raises with his employer. process) can be a (In finance) A financier who provides finance to a business by buying the business's debts under the terms of a factoring agreement. that is relevant to their employment status. It is therefore generally appropriate to deal with People hired to work on an as required basis, sometimes known as seasonal workers.' Concerns, problems or complaints raised by a member of staff with his employer. informally; see Q&A 4 for more information about the process.
If you do need to follow a formal process, bear in mind that People hired to work on an as required basis, sometimes known as seasonal workers. (like Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work.) have the right to be accompanied at a A concern, problem or complaint which a member of staff raises with his employer. meeting by a fellow Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member or trade union representative; see Q&A 23 for more information.
Note that you are legally required to provide People hired to work on an as required basis, sometimes known as seasonal workers. with information about how they can make a A concern, problem or complaint which a member of staff raises with his employer., and our template Contract - casual worker contains appropriate wording to cover an informal process.
Dealing with a A concern, problem or complaint which a member of staff raises with his employer. informally will simply involve the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's line manager discussing their concerns with them with the intention of coming to a mutually acceptable A formal decision made by the directors or members of a company, which binds the company once it is passed. . If you need to involve others in any solution, make sure that the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member raising the A concern, problem or complaint which a member of staff raises with his employer. is happy for you to talk informally to other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. about it. If you have an open and supportive working culture, you are more likely to be able to resolve Concerns, problems or complaints raised by a member of staff with his employer. this way and prevent them escalating.
It is good practice to record what you agree with the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. in writing (email is fine). You should also make a note of any conversations you have about the issue or follow up action you take to deal with it. Always bear in mind your The area of law which deals with the way in which data can be handled. obligations when keeping records about Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer., particularly if they include sensitive personal details; see Records and staff data for further information about this.
When carrying out a formal A concern, problem or complaint which a member of staff raises with his employer. process, it is vital that you follow your A concern, problem or complaint which a member of staff raises with his employer. procedure, which you are legally required to communicate to your Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. (see HR policies for information about setting an appropriate procedure and Staff handbook and policies for a template you can use).
Your process should involve the following steps:
Ask for the A concern, problem or complaint which a member of staff raises with his employer. to be detailed in writing
Your A concern, problem or complaint which a member of staff raises with his employer. procedure should set out who the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member should submit their A concern, problem or complaint which a member of staff raises with his employer. to (usually their line manager). That individual should ask them to set out their A concern, problem or complaint which a member of staff raises with his employer. in writing, if they have not done this already.
Appoint a person to deal with the A concern, problem or complaint which a member of staff raises with his employer.
If the line manager will not be dealing with the A concern, problem or complaint which a member of staff raises with his employer. themselves, another appropriate person must be appointed to investigate the A concern, problem or complaint which a member of staff raises with his employer.; see Q&A 6.
Hold an initial meeting to discuss the A concern, problem or complaint which a member of staff raises with his employer.
Usually, a A concern, problem or complaint which a member of staff raises with his employer. meeting with the appointed investigator and the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. who has raised the A concern, problem or complaint which a member of staff raises with his employer. should be arranged promptly (within five working days if possible); see Q&A 12 and following.
Conduct any necessary investigations to establish the facts
Unless the matter is very simple, it may be appropriate to adjourn the A concern, problem or complaint which a member of staff raises with his employer. meeting to carry out an investigation into the facts and reconvene it afterwards; see Q&A 17.
Hold a meeting to discuss the findings of the investigation
If you have carried out an investigation, you should hold a follow up meeting to discuss the outcome and next steps; see Q&A 13 and following.
Decide whether the A concern, problem or complaint which a member of staff raises with his employer. is upheld or not, make a decision on what (if any) action to take and inform the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member
Following the meeting, you must inform the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member of the outcome of their A concern, problem or complaint which a member of staff raises with his employer. in writing as soon as possible; see Q&A 15.
Deal with any appeal against your decision
If the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member appeals, the appeal should be dealt with promptly and the process should be handled by someone who was not involved in the initial handling of the A concern, problem or complaint which a member of staff raises with his employer., if possible; see Q&A 26 and following.
For a how-to guide along with all the relevant documents you need to formally handle a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. A concern, problem or complaint which a member of staff raises with his employer., you can use Grievance toolkit.
As a general rule, you must ensure that the person who handles a A concern, problem or complaint which a member of staff raises with his employer. process is independent, impartial and sufficiently senior to be able to deal with it. The Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's line manager is often the most appropriate person, but if the complaint is about them then another manager should step in, if possible.
You should ensure that any managers whose responsibility it is to handle Concerns, problems or complaints raised by a member of staff with his employer. are familiar with your A concern, problem or complaint which a member of staff raises with his employer. process and know how to run a A concern, problem or complaint which a member of staff raises with his employer. meeting (see Q&A 14) and investigate a A concern, problem or complaint which a member of staff raises with his employer. properly (see Q&A 17). It is a good idea to offer them some training about this .
Note that if a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. appeals a A concern, problem or complaint which a member of staff raises with his employer. outcome, the appeal process should be handled by a person who was not involved in the initial handling of the A concern, problem or complaint which a member of staff raises with his employer., where possible; see Q&A 26 for further information about this.
In a very small business it may be that a manager will have no alternative but to deal with any Concerns, problems or complaints raised by a member of staff with his employer. that involve them personally. However, you should bear in mind that if circumstances make the manager appear biased or the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member raising the A concern, problem or complaint which a member of staff raises with his employer. thinks they are biased, it could result in the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member claiming that you did not follow a fair process and potentially bringing legal action against the business.
You should therefore commit to handling all Concerns, problems or complaints raised by a member of staff with his employer. fairly and objectively. In some cases using an independent An independent, impartial person who helps two or more individuals or groups reach a mutually acceptable solution to a legal dispute in a process called mediation. may be appropriate, for example if the A concern, problem or complaint which a member of staff raises with his employer. is about conflict between Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. members; see Q&A 21 for further information about this.
Your obligations depend on the type of request:
the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member requests information about themself (see Q&A 9);
the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member requests confidential information about your business or information about someone else (see Q&A 10); or
the information which has been requested does not contain personal information about anybody and is not confidential information (see Q&A 11).
You have a legal obligation to provide individuals with access to and details of the personal information you hold about them, if they request it (this is known as a Or SAR. A request from an individual for a copy of any personal data held about him and/or asking for details regarding eg the source and use of that data.). The request need not be made in a specific form or with any specific wording. It may even appear to be something else at first glance, such as a general inquiry into how the A concern, problem or complaint which a member of staff raises with his employer. investigation is proceeding. The Information Commissioner's Office. An independent body which upholds information rights in the public interest, promoting and policing data privacy for individuals. says that regardless of the wording of the request, if it is for access to the requester's Any information about an identifiable, living person. Information which cannot be used to identify someone on its own will still be personal data if it can be used in combination with other information to identify that individual. you must treat it as a Or SAR. A request from an individual for a copy of any personal data held about him and/or asking for details regarding eg the source and use of that data..
There are a few limited exceptions which allow you to hold back some types of personal information, including exemptions for information relating to confidential management planning and information that may prejudice any negotiations with the individual making the request. For an explanation of how to deal with a Or SAR. A request from an individual for a copy of any personal data held about him and/or asking for details regarding eg the source and use of that data., including what information you can hold back and how to provide the information see Subject access requests and Checklist for responding to a subject access request.
Find out why the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member wants the information, as it may be that you can provide what they want in a less specific form. For example, if an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. asks to see all of the sales figures for all Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. because they feel they were underpaid a bonus you could instead provide them the average or highest and lowest figures in anonymised form. Alternatively, if the information is commercially sensitive and you do not want the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member to have a copy, if you are comfortable with doing so, you could simply allow the An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. to see the information at the A concern, problem or complaint which a member of staff raises with his employer. meeting, rather than taking a copy away. In any case, if you do not provide the information the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member has requested you should explain why.
Often the information requested will also contain personal information about another individual, eg emails will include the names of recipient(s) and sender. In this case redacting or amending a document is often the most appropriate way to avoid disclosing confidential information or A person who is not directly involved in an existing relationship, transaction or dispute; for example, someone who is not a named party in a contract. Any information about an identifiable, living person. Information which cannot be used to identify someone on its own will still be personal data if it can be used in combination with other information to identify that individual., whilst ensuring you meet your own obligations to the individual making the request. See Subject access requests for other less common methods of dealing with this issue.
You should ordinarily provide such information to the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member, unless you have a good reason not to.
Not doing so may lead the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member to believe that you have something to hide, which could make them more likely to bring an A tribunal that deals solely with employment disputes. claim against you eg if they resign as a result of dissatisfaction with your handling of their A concern, problem or complaint which a member of staff raises with his employer. and claim unfair Where an employee has resigned because his employment contract has been seriously breached, he can regard himself as having been dismissed.. If Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. is alleged, the Tribunal can look at whether or not you have replied to questions the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member asked as part of an overall assessment of your behaviour.
Your first A concern, problem or complaint which a member of staff raises with his employer. meeting should take place as soon as possible after the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. has raised their A concern, problem or complaint which a member of staff raises with his employer., ideally within five working days.
If the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. or A person hired to work on an as required basis, sometimes known as a seasonal worker., they have the right to be accompanied at the A concern, problem or complaint which a member of staff raises with his employer. meeting by a fellow Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member or trade union representative (see Q&A 23 for further information about this person's role); you should inform them about this right in your invitation.
For a template letter invitation, see Invitation to an initial grievance meeting. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. A concern, problem or complaint which a member of staff raises with his employer..
Note that there are special considerations if the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities.; see Q&A 16 for information.
See Q&A 14 for how to run the meeting.
You should ensure you arrange your meeting promptly eg shortly after the conclusion of your investigations.
If the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. or A person hired to work on an as required basis, sometimes known as a seasonal worker., they have the right to be accompanied at the A concern, problem or complaint which a member of staff raises with his employer. meeting by a fellow Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member or trade union representative (see Q&A 23 for further information about this person's role); you should inform them about this right in your invitation.
For a template letter invitation, see Invitation to a grievance meeting following investigation. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. A concern, problem or complaint which a member of staff raises with his employer..
Note that there are special considerations if the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities.; see Q&A 16 for information.
See Q&A 14 for how to run the meeting.
The meeting should be run in accordance with your Concerns, problems or complaints raised by a member of staff with his employer. procedure (see Staff handbook and policies for a template you can use) and chaired by the person who has been appointed to investigate the A concern, problem or complaint which a member of staff raises with his employer. (see Q&A 6 for information about who should be appointed). Ideally, you will have somebody else present who is uninvolved with the issues and can take a note of the meeting; somebody in your HR team, if you have one, is most common.
At the meeting, as far as possible, Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. recommends that you proceed as follows:
introduce everyone present and explain their roles;
explain the purpose of the meeting and how it will be conducted;
ask the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. to explain their A concern, problem or complaint which a member of staff raises with his employer. for the benefit of the meeting and what they would like done to resolve it;
ensure any evidence that is being used in support of the A concern, problem or complaint which a member of staff raises with his employer. is clear; it may well be appropriate to adjourn the meeting whilst investigations into the matter are carried out, such as speaking to other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. involved (see Q&A 17 for information about carrying out an investigation as part of the A concern, problem or complaint which a member of staff raises with his employer. process);
summarise the main points of discussion; and
tell the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. when they can expect a response (see Q&A 15).
It is good practice to keep a written record of the meeting in case there is ever a debate about what was said, and to provide the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member with a copy of this. Given the sensitivity of these reports, you must ensure that these records are kept securely and that only those who need them have access. See Records and staff data for more information on how you must deal with these and other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. records in order to comply with The area of law which deals with the way in which data can be handled. law (including what to do if the records contain personal information about other individuals).
Even if you resolve matters satisfactorily during the meeting, you should write to the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. afterwards to confirm your findings and the result so that there is a proper record of the outcome.
You should include information about the steps that were taken to investigate their A concern, problem or complaint which a member of staff raises with his employer., the decisions that have been made, the reasons for those decisions and the fact that they have the right to appeal if they are dissatisfied with the outcome (see Q&A 26 and following for guidance on appeals).
For a template letter you can use, see Grievance outcome letter. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. A concern, problem or complaint which a member of staff raises with his employer..
You are required by law to make reasonable adjustments for A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. members if there is a risk that they would otherwise be put at a disadvantage in relation to their ability to participate in the A concern, problem or complaint which a member of staff raises with his employer. process. This could include holding the meeting at a location which a physically A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is able to get to or allowing a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member with a learning A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. to bring a friend to the meeting (as well as the trade union representative or colleague who you are legally obliged to allow in attendance; see Q&A 23) to assist them and conducting it in a way that does not disadvantage them. If you do not make reasonable adjustments where possible, then you risk discriminating against the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member based on their A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities..
See List of common disabilities for conditions that commonly count as disabilities.
Depending on the nature of the A concern, problem or complaint which a member of staff raises with his employer., it may not always be necessary to carry out a full investigation into the matter; for example, if the A concern, problem or complaint which a member of staff raises with his employer. relates to a known working practice.
However, many Concerns, problems or complaints raised by a member of staff with his employer. will need to be investigated, especially where they involve an issue with another member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer.. Bear in mind that failure to carry out a formal investigation may, in some circumstances, amount to Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. (eg if you failed to follow your normal A concern, problem or complaint which a member of staff raises with his employer. policy in relation to a A concern, problem or complaint which a member of staff raises with his employer. raised by a female An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. when you carried out a proper investigation into a similar A concern, problem or complaint which a member of staff raises with his employer. raised by a male An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work.). See Staff handbook and policies for a template policy you can use.
There is no set way to investigate a A concern, problem or complaint which a member of staff raises with his employer., but there are points to bear in mind in relation to:
Depending on what the A concern, problem or complaint which a member of staff raises with his employer. relates to and how much information the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member has given you about it, it may be appropriate to carry out an investigation into the matter before the A concern, problem or complaint which a member of staff raises with his employer. meeting takes place; alternatively, it may be better to do so afterwards or to adjourn and reconvene the A concern, problem or complaint which a member of staff raises with his employer. meeting to allow for an investigation to take place following initial representations by the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member. See Q&A 14 for further information about how to run a A concern, problem or complaint which a member of staff raises with his employer. meeting.
If the A concern, problem or complaint which a member of staff raises with his employer. necessitates a lengthy investigation and delays the outcome for longer than expected (eg for longer than is set out in your A concern, problem or complaint which a member of staff raises with his employer. policy), you should ensure that you keep the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. bringing the A concern, problem or complaint which a member of staff raises with his employer. informed of progress.
The investigation should usually be run by the person who has been appointed to handle the A concern, problem or complaint which a member of staff raises with his employer. (see Q&A 6 for information about who should be appointed). The investigator must look at the matter impartially, taking into account any particular points the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member wants to be investigated and carrying out interviews as necessary. They can use their discretion in deciding on the scope of the investigation and they may limit the lines of enquiry pursued as they see fit.
If the A concern, problem or complaint which a member of staff raises with his employer. is particularly complex or serious, it may be appropriate to appoint a separate person to carry out the investigation and report back to the decision maker. For example, you may consider using a law firm to conduct the investigation if there is a serious allegation involving senior management or a significant When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. complaint (see Q&A 30 for further information about this). If you appoint a separate investigator, they should produce an investigation report for the decision maker including an explanation of their investigation, a summary of the evidence gathered and their conclusions and recommendations to take the matter forward.
Note that it is good practice to have a separate When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. policy to work alongside your general A concern, problem or complaint which a member of staff raises with his employer. procedure; see Q&A 29 for further guidance about When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. and Staff handbook and policies for a template policy you can use.
A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. is simply a process by which an independent A person who is not directly involved in an existing relationship, transaction or dispute; for example, someone who is not a named party in a contract. helps two parties in dispute resolve their differences. It is not compulsory at any stage in A concern, problem or complaint which a member of staff raises with his employer. proceedings (unless you have specifically stated that it will be used in certain circumstances in your A concern, problem or complaint which a member of staff raises with his employer. procedure) and it will not be appropriate in every situation.
Most obviously, A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. can be a useful way of addressing Concerns, problems or complaints raised by a member of staff with his employer. relating to workplace relations, eg resolving matters where there have been personal conflicts. It is likely to be less useful where a A concern, problem or complaint which a member of staff raises with his employer. relates to matters like organisational change (eg if a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member complains about a reduced amount of overtime) because often these are permanent measures in the workplace which cannot be solved by way of personal reconciliation. A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. will not be appropriate in circumstances where an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. is alleging that their statutory employment rights have been Violation of a legal or moral obligation. (eg their right to equal pay). In such circumstances, as a complaint could be made to an A tribunal that deals solely with employment disputes., you could consider using Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. free A process whereby ACAS try to resolve a dispute between a staff member and the employer by finding a compromise early, before the dispute is brought to the Employment Tribunal. service instead (see Resolving legal disputes with staff for further guidance).
A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. is an entirely voluntary process, so the parties to the A concern, problem or complaint which a member of staff raises with his employer. will need to agree to it first; it is likely only to be effective if both the business and the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member come to it with an open mind and willingness to compromise.
Whilst it is possible to train certain Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. as mediators, for most small businesses it will be more practical to use an external An independent, impartial person who helps two or more individuals or groups reach a mutually acceptable solution to a legal dispute in a process called mediation.. You can use various external organisations to help find one; for example, ACAS, the Ministry of Justice search engine or CEDR. The cost of a An independent, impartial person who helps two or more individuals or groups reach a mutually acceptable solution to a legal dispute in a process called mediation. will vary depending on the length and complexity of the matter, but a small dispute should not cost more than a few hundred pounds.
If the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. or A person hired to work on an as required basis, sometimes known as a seasonal worker., they have the right to be accompanied at the A concern, problem or complaint which a member of staff raises with his employer. meeting by a fellow Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member or trade union representative.
During the meeting, the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's companion (if they have one) is allowed to confer with them and explain or sum up the issues on their behalf, or respond on their behalf to views expressed at the meeting. However, they cannot directly answer questions on their behalf or otherwise address the meeting if the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. indicates that they do not want them to, or prevent you from explaining your position.
It is up to the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. which colleague or trade union representative they choose to accompany them, and they may not want a companion at all (they do not have to bring one). If their chosen companion is unable to make the meeting at the time you have proposed, the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. may propose a reasonable alternative time within five working days of the day originally proposed and you must postpone the meeting to then. Note that if the companion is a fellow Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member, you must allow them paid time off during working hours to attend the meeting.
As a general rule, no. You can only record A concern, problem or complaint which a member of staff raises with his employer. meetings conducted remotely (eg by video conference) if it is necessary to do so and you have a clear purpose, and as part of this you will need to consider less intrusive alternatives. In most cases, keeping contemporaneous notes and/or having an independent A person who is not directly involved in an existing relationship, transaction or dispute; for example, someone who is not a named party in a contract. present is likely to be more appropriate. For further guidance, see Recording staff telephone conversations and meetings.
Yes; their right to do so should be set out in your A concern, problem or complaint which a member of staff raises with his employer. policy and the letter you send them setting out the outcome of the A concern, problem or complaint which a member of staff raises with his employer.; see Grievance outcome letter for a suitable template letter and Staff handbook and policies for a template A concern, problem or complaint which a member of staff raises with his employer. policy.
If possible, the person who handles the appeal should be different to the person who ran the original A concern, problem or complaint which a member of staff raises with his employer. process, although in smaller businesses it may not be possible for the person hearing the appeal to be totally removed from the initial A concern, problem or complaint which a member of staff raises with his employer. procedure.
You should ask the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member to let you know the grounds of their appeal in writing. If new evidence has come to light, this must be considered.
You should hold a meeting to hear the appeal promptly, and notify the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. in advance as to the details of it. For a template letter, see Invitation to grievance appeal hearing. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. A concern, problem or complaint which a member of staff raises with his employer..
The appeal meeting should be run in a similar way to the initial A concern, problem or complaint which a member of staff raises with his employer. meeting; as before, if the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. or A person hired to work on an as required basis, sometimes known as a seasonal worker. they have the right to be accompanied at the meeting by a fellow Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member or trade union representative of their choosing. For information about how to run a A concern, problem or complaint which a member of staff raises with his employer. appeal meeting, see Q&A 14.
You should inform the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member of the outcome of the appeal meeting as soon as possible and in line with your A concern, problem or complaint which a member of staff raises with his employer. procedure. You should also explain that this decision is final and there is no further right of appeal. For a template letter, see Grievance appeal outcome letter. You can also find this letter as part of the Grievance toolkit which contains a how-to guide and all the relevant documents you need to formally handle a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. A concern, problem or complaint which a member of staff raises with his employer..
When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. is a complaint that there has been a serious failure in your business, which the complainant reasonably thinks is in the public interest to A share in the capital of a company (sometimes also referred to as stock, for example in relation to US companies). Shares in a company give to the holders, known as shareholders, rights in relation to that company such as to vote, to receive dividends and to a return of capital. Holders of shares in a company own that company and the company, not its shareholders, owns the company's assets. .
The following types of complaint are When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. complaints:
the commission or likely commission or a crime;
the A violation of a legal or moral obligation. or likely A violation of a legal or moral obligation. of any legal obligation;
danger to anyone's health and safety;
damage to the environment;
a miscarriage of justice; or
deliberately hiding information about any of these matters.
The Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member does not have to make the complaint in any particular form, (eg it can be verbal, written or even a video recording ) so long as it conveys facts rather than allegations or opinions and is more than just a throwaway comment or something discussed in confidence. The complaint may relate to a failure on your part or on the part of another member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer., client or anyone else.
To deal properly with whistleblowers, you should:
Establish whether a complaint amounts to When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. or not
Only specific types of complaints are classed as When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered.; see Q&A 29 for information about what these are.
Follow a proper procedure to deal with the When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered.
See Q&A 31 for information about the procedure you should follow.
Bear in mind that the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member concerned can potentially blow the whistle to an outside body as well as (or instead of) complaining internally. If a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is dissatisfied with your response to their When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered., they are much more likely to do this than if they think it has been handled properly internally.
Take care not to subject the An individual who discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. to any disadvantage as a result of their complaint
If you dismiss an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. solely or mainly because they made a When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. complaint, you could face a claim for When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878.. You could also face a legal claim if a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member suffers some sort of disadvantage because they have made a When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. complaint. See Q&A 32 for further information.
For a template When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. policy you can use, see Staff handbook and policies.
Although it is not a legal requirement, the government recommends that you have a When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. policy in place and bring this to the attention of your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer.. See Staff handbook and policies for a template When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. policy. If you have such a policy you should follow it.
It is important to deal with When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. complaints promptly. You can use the formal A concern, problem or complaint which a member of staff raises with his employer. procedure at Q&A 5 and following, taking particular care to:
avoid the suggestion that the issue is to be dealt with to the An individual who discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered.'s satisfaction (unlike with personal Concerns, problems or complaints raised by a member of staff with his employer.) – it is for you to be sure that the matter has been dealt with properly;
provide support to the An individual who discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. throughout (eg mentoring or advice) as it can be a stressful experience; reassure them that their complaint will not affect their position at work;
keep the An individual who discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. up to date as to what action has been taken and whether/when they will hear back;
protect the An individual who discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered.'s identity if they wish to remain confidential, unless you are legally required to disclose it; and
keep relevant records about the When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. complaints you receive including records of the feedback you gave to whistleblowers (see Records and staff data for information about things to be aware of when keeping Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. records).
If you dismiss an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. solely or mainly because they made a When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. complaint, you could face a claim for When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878.. You could also face a legal claim if a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member suffers some sort of disadvantage because they have made a When an individual discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered. complaint. Everything will depend on the circumstances but examples of detriment could include disciplining a An individual who discloses information, usually about wrongdoing within a business, that he reasonably believes is in the public interest. For example if a crime has been committed or someone's health and safety has been endangered., moving them to a different or inferior role, not giving them work or telling their colleagues that they were the complainant eg if they raised an issue that led to some unpopular changes in the workplace.
If a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member complains that they have been bullied or harassed by another member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer., you should take the matter very seriously and respond promptly. You can be held responsible for any Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. or bullying that takes place at work, and potentially (albeit rarely) some which takes place away from work, if it is sufficiently connected (eg at a work social—see Staff behaviour at work socials for further information).
If you do receive a complaint from a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member that they have been bullied or harassed, you can use the general formal A concern, problem or complaint which a member of staff raises with his employer. procedure laid out in Q&A 5 and following, remembering that:
Bullying or Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. can take many forms
See Q&A 34 for examples.
It can take a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member a long time to make a complaint about bullying or Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended.
The fact that the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member put up with the behaviour in question for a long time without raising a complaint does not mean that they accepted it, or that you should take the situation less seriously.
An informal approach can be all that is required in cases where the accused did not realise their behaviour was unwelcome
Counselling can be of great assistance. Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. recommends it as particularly useful in situations when the A concern, problem or complaint which a member of staff raises with his employer. does not lead to a need for disciplinary proceedings, or if the complaint is likely not valid.
Consider how to protect your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member from further Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. during your investigations
In some circumstances, you may need to consider how you can protect your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member from enduring further Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. or bullying while you are investigating the matter. For example, if the alleged Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. is being carried out by another member of your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer., it may be appropriate for you to move that individual into another team or to another location. Equally, if the Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. in question amounts to a criminal offence, you should discuss with your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member whether they would like to report the matter to the police.
If you uncover a disciplinary offence, you must use your disciplinary procedure
Concerns, problems or complaints raised by a member of staff with his employer. can often be caused by other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. members committing disciplinary offences. It is important not to confuse your A concern, problem or complaint which a member of staff raises with his employer. and disciplinary processes as they are in place to achieve different objectives. See Q&A 40 and following for information about taking disciplinary action.
Consider whether you can improve your systems, procedures or policies to better protect your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. from bullying or Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. in future
A A concern, problem or complaint which a member of staff raises with his employer. about Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. or bullying can be a red flag that your existing prevention methods are not enough. Use it as a prompt to review your processes and policies, draw them to the attention of your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. and ensure that they are all aware of what is and is not acceptable behaviour. It is important because, in some circumstances, you can escape legal liability for bullying or Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. by your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. against a colleague provided you have taken all reasonable steps to prevent it. In any event, it is good practice to minimise bullying or Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. in your business.
Bear in mind that you can be held responsible for Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. committed by your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. unless you can show that you took reasonable steps to prevent it. It is therefore good practice to have a separate anti-bullying and Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. policy to work alongside your general A concern, problem or complaint which a member of staff raises with his employer. procedure; see Staff handbook and policies for a template you can use.
Bullying or Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. can take many forms. It can be a course of conduct or a single event. Letters, emails, pictures, video, or automatic supervision methods can all constitute Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. (or form part of a wider pattern of Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended.). Even conversations or behaviour not directly aimed at the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member raising the A concern, problem or complaint which a member of staff raises with his employer. can be considered Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. if they help create a hostile environment for that person. For example, two coworkers using racial slurs when talking about another Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member can constitute Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. against that Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member even though they are not part of the conversation, although they do have to be aware of it.
Behaviour can amount to Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. even if it was not intended to create a hostile environment, for example when the perpetrators claim to be joking, and even if the affected person joins in or seems to participate (not uncommon where the person affected is in a junior position and is afraid of the consequences if they protest).
Sexual Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. is unwanted conduct of a sexual nature which has the purpose or effect of:
violating a A staff member who has an obligation to do their work personally for someone who is not their client or customer. ’s dignity; or
creating an intimidating, hostile, degrading, humiliating or offensive environment for that A staff member who has an obligation to do their work personally for someone who is not their client or customer. .
A people or businesses hiring one or more staff members. have a positive duty to take reasonable steps to prevent sexual Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. of Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. in the course of their employment. Failing to do so could incur penalties for the A person or business hiring one or more staff members. and enforcement action could be taken.
You should not wait until there is an incident of sexual Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. before taking action – A people or businesses hiring one or more staff members. must anticipate potential scenarios where a A staff member who has an obligation to do their work personally for someone who is not their client or customer. may be at risk of sexual Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. and take steps to prevent such Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. taking place. This duty requires A people or businesses hiring one or more staff members. to take reasonable steps to prevent sexual Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. by not only their own Staff members who have an obligation to do their work personally for someone who is not their client or customer. , but also by third parties such as clients, agents of the A person or business hiring one or more staff members. and customers.
To comply with the duty, you should:
undertake The process of looking at what hazards may be present when doing a certain activity, or in a certain area, and the steps which can be taken to eliminate or reduce those dangers. and take action to reduce identified risks (See our Sexual harassment risk assessment for a template you can use);
produce and distribute effective Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. policies and procedures;
proactively seek to be aware of any workplace Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended.; and
deliver Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. and victimisation training.
Some examples of reasonable steps to take include:
giving Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. opportunities to raise issues with them regularly (eg through one-to-ones or open-door policies);
considering the introduction of an online or externally run telephone reporting system to allow Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. to make complaints; and
checking that where Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. are put on secondment, the other A person or business hiring one or more staff members. has appropriate procedures in place to prevent sexual Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended..
See the the Great Britain’s independent national body providing guidance on equality issues. It has legal powers to challenge discrimination, promote equality of opportunity and protect human rights.'s Technical guidance on sexual Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. and Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended. at work and Checklist and action plan for employers for further information .
Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. is a very serious allegation, and you should treat the complaint with an appropriate degree of respect and caution (see Q&A 39). It occurs when a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is treated less favourably because of a Age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex or sexual orientation. .
If the Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member has suffered is direct and obvious, they are likely to complain of Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. expressly. However, note that Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. can also occur indirectly, if one of your business's practices or policies puts a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member at a disadvantage because of any of their Age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex or sexual orientation. and you cannot justify it properly, eg a rule against hats in the workplace will To treat someone differently directly or indirectly becasue of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation.against a Sikh member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer., unless there is a good enough reason for it. In this type of situation, the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member in question may use other language to describe the Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. they feel they have suffered.
You have a specific legal duty to ensure that your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. are not discriminated against at work, and a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member who feels you are responsible for Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. against them has the right to bring a claim for compensation against you in an A tribunal that deals solely with employment disputes.. A fair and rigorously applied A concern, problem or complaint which a member of staff raises with his employer. procedure can reduce the likelihood of these sorts of claims.
The process for dealing with a complaint about Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. is the same as for any other A concern, problem or complaint which a member of staff raises with his employer.; see Q&A 5 and following for details of a formal process you can use.
When dealing with a complaint about Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation., remember that:
You may need to make reasonable adjustments to allow A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. to participate
See Q&A 16 for information about this.
A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. can be useful in dealing with perceived Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. issues
A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. may be particularly useful when dealing with perceived Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. issues. However, bear in mind you must use your discretion to assess whether A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. will be appropriate on a case by case basis; Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. advises that it will not be appropriate where the individual bringing a Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. claim wants it investigated, or where there is clear cut Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. and more formal procedures should be followed.
Even if the result of your A concern, problem or complaint which a member of staff raises with his employer. procedure is that there was no Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation., it may help to A voluntary and confidential form of dispute resolution. It involves an independent, impartial person helping two or more individuals or groups reach a solution that is acceptable to everyone. between the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. members involved to clear up any misunderstanding and to ensure that they can work together effectively in the future.
Monitor the outcome after the A concern, problem or complaint which a member of staff raises with his employer. has been dealt with
The Great Britain’s independent national body providing guidance on equality issues. It has legal powers to challenge discrimination, promote equality of opportunity and protect human rights. recommends that you continue to monitor the situation after you have dealt with the A concern, problem or complaint which a member of staff raises with his employer., even if you did not find that there had been Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. within your business. You must take care, both to ensure that any discriminatory behaviour that you have uncovered does not continue, and that the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member who brought the complaint is not treated badly for having done so. For example, transferring them to another office or part of your organisation to deal with any fallout can be victimisation. If you find there is a need to do this, it can indicate that you have not resolved the A concern, problem or complaint which a member of staff raises with his employer. properly.
Consider whether you can improve your systems, procedures or policies to avoid Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. in future
A complaint about Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. may be an indication that you need to improve your Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. prevention measures. It is important that you have suitable policies, procedures and systems in place, and that they are understood and used properly by your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer.. You can be held responsible for the discriminatory actions of your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. in the course of their work for you if you have not done everything that you reasonably can to prevent those actions. This can even include acts outside of work which are connected to their work – eg at a A private company limited by shares incorporated and registered in England and Wales. social event.
For information on what policies and procedures you should have in place to ensure that you have done everything in your power to prevent Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation., see HR policies and for a template A staff handbook is a manual provided to employees by an employer which usually contains information about company policies and procedures. containing key HR policies, see Staff handbook and policies.
Many minor behavioural and conduct issues can be resolved informally between a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. and their line manager (or other appropriate individual), in the course of the ordinary working relationship. This might be the case if, for example, the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. has suddenly started behaving in a way that was previously out of character, such as being late for work or making mistakes. A discussion between the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member and their manager can help establish whether there are personal reasons for this and if so, how the business might be able to help the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member resolve the issue. It is good practice to keep a written record of what you agree with the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. and a note of any conversations or follow up action you take. You should always bear in mind your The area of law which deals with the way in which data can be handled. obligations when keeping records about Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer., particularly if they include sensitive personal details; see Records and staff data for further information about this.
Clearly, there are some issues which it will not be possible to resolve informally, especially if they involve serious allegations or behavioural issues. Alternatively, it may be that your attempts to resolve an issue informally have not been successful and more formal action is needed. If so, you will need to treat the matter as a disciplinary issue and follow a formal process; see Q&A 42 for further information about this and Staff handbook and policies for a template disciplinary policy.
NOTE: Following the introduction of the Employment Rights Bill to Parliament on 10 October 2024, this area of law is being considered for reform (see our blog explaining the Bill here). Any reforms are unlikely to take effect before 2026. The Bill proposes further rights from day one of employment, including protection from When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. (currently available only after two years of service).
It is particularly important to carry out a formal disciplinary process when dealing with Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. and you are legally required to provide them with details of your disciplinary procedures. See Staff handbook and policies for a template disciplinary policy you can use. Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. who have been How long a person has been employed without a break lasting at least a week. Time off work whilst still employed (eg annual leave, sick leave etc) does not count as a break. by you for two years or more attract the highest level of protection and your disciplinary process for them must be procedurally fair. If the disciplinary process results in a dismissal and the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. who has been in your service for two or more years, they can claim When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. against you if you failed to follow a fair procedure.
You are also legally required to provide People hired to work on an as required basis, sometimes known as seasonal workers. with information about any disciplinary rules that apply to them, and they have a legal right to be accompanied by a co-A staff member who has an obligation to do their work personally for someone who is not their client or customer. or trade union official at any disciplinary meeting that could lead to a warning or other disciplinary action being brought against them. However, as a general rule you should avoid subjecting your People hired to work on an as required basis, sometimes known as seasonal workers. to formal disciplinary procedures, as the extent of your control over the individual can be relevant to their employment status. Subjecting a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member to your disciplinary process is one (In finance) A financier who provides finance to a business by buying the business's debts under the terms of a factoring agreement. in favour of them being an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. – with all the rights that this entails – although it will not be conclusive by itself. It may therefore be more appropriate to treat disciplinary matters relating to these Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. members more informally. Our template Contract - casual worker contains wording setting out an informal procedure to this effect.
It will generally not be appropriate to subject a A person, in business for himself, who provides services to others. He may be an individual simply working under his own name, or may offer services through a company or partnership. Sometimes known as a consultant or independent contractor. to any sort of disciplinary process.
You are legally required to provide your Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. with details of your disciplinary procedure which you must follow (see Staff handbook and HR policies for information about setting an appropriate procedure and Staff handbook and policies for a template policy you can use).
Your disciplinary process should include the following steps:
Appoint a person to deal with the matter
Once a potential disciplinary matter has been identified, you must decide who will be appointed to handle the issue; often this will be the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's line manager but this may not be appropriate. See Q&A 43 for further information about this.
Investigate and establish the facts
You will usually need to carry out an investigation into the matter to ascertain whether it does indeed require action, and this must be done as soon as possible. See Q&A 44 and following for further information about carrying out an investigation.
Explain the issue and invite the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member to a disciplinary meeting
If it is decided that the matter does warrant disciplinary action, you will need to inform the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. of this in writing and arrange a disciplinary meeting to discuss it, (In finance) A financier, also known as a factor, provides money to a business by buying the business's outstanding invoices. The amount made available by the factor will equal most of the amount owed under the invoices, the balance being made available when the invoices have been paid. Unlike with invoice discounting, the factor will manage the invoices and collect the debts directly from the business's customers. in enough time to allow the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. to properly prepare; see Q&A 51.
Hold a disciplinary meeting
See Q&A 53 for information about how to run a disciplinary meeting.
Take disciplinary action if appropriate
Following the meeting, you will need to decide what action to take; written warnings will often be appropriate in the first instance. See Q&A 65 for information about how to decide on what action to take and Q&A 66 and following for how to give written warnings.
Give a right to appeal your decision
Your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member must be allowed to appeal your decision if they wish; any appeal should be heard as soon as possible and ideally by somebody who was not involved in the initial handling of the matter. See Q&A 70 and following for information about appeals.
You should keep a written record of disciplinary cases you deal with, including notes and minutes from any hearings and copies of written warnings or correspondence with the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member. However, you must make sure you comply with your The area of law which deals with the way in which data can be handled. obligations when storing such personal information. See Records and staff data for further information on the legal requirements.
You can find a how-to guide, along with all the relevant documents you are likely to need for disciplinary processes, at Disciplinary toolkit.
As a general rule, you must ensure that the person who handles a disciplinary process is independent, impartial and sufficiently senior to be able to deal with it.
The Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's line manager is often the most appropriate person, but this will not always be the case. It is important that there is no question of the person being biased, so if the line manager was closely involved in the incident in question or if they have a close personal relationship with the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member and would struggle to act impartially, you should use somebody else to deal with the matter if possible.
Ensure that any managers whose responsibility it is to handle disciplinary matters are familiar with your procedures and know how to investigate a disciplinary matter (see Q&A 44) and run a disciplinary meeting (see Q&A 53). It is a good idea to offer them some training about this .
Note that if a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. appeals a disciplinary outcome, the appeal process should be dealt with by a person who was not involved in the initial handling of the matter if possible; see Q&A 70 and following for how to deal with an appeal.
This depends on the circumstances; it is not always necessary to carry out a full investigation into a disciplinary issue. For example, if the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. has already admitted the Unacceptable or improper behaviour, or if you can resolve the issue informally, then an investigation may not be required.
You must act reasonably and fairly towards the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member you are investigating. Make sure that your investigation is proportionate to how serious the matter is. However, if in doubt, you should err on the side of caution and conduct a full investigation. It is particularly important that the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member gets a chance to explain matters and challenge any allegations. If you fail to conduct a full investigation when you ought to have done so, you could face an When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. or Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. claim.
See Q&A 45 for information about how to conduct a disciplinary investigation and Disciplinary investigation template for a template form you can use to structure and record the results of your investigation.
There is no set way to investigate a disciplinary matter; the steps you take will depend on the circumstances.
See Disciplinary investigation template for a template form you can use to structure and record the results of your investigation.
The ACAS Code of Practice makes a number of recommendations.
In some cases (eg where there is a serious risk to your business or it is necessary to protect your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer.), you may need to suspend the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. with pay while you are conducting your investigation. You should only do this after careful consideration and make clear that the suspension is not a form of disciplinary action; see Q&A 61 for further information and Suspension letter pending investigation for a template letter you can use.
You can gather facts by holding an investigatory meeting with the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member in question or simply by collecting evidence (eg from other members of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. or employment records). If you do hold an investigatory meeting, you should give the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member time to prepare for it. Do not discuss disciplinary action at an investigatory meeting; this should only be dealt with at a formal meeting conducted as part of your disciplinary procedure.
When asking questions to fellow members of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. you should be neutral in your attempt to establish the facts; see Q&A 46 for further information.
You can use relevant CCTV footage or other surveillance information as evidence, provided that you obtained the footage properly, in compliance with The area of law which deals with the way in which data can be handled. law. For example, you must have a lawful basis for the use of CCTV and you must have informed Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. that monitoring was taking place (eg by displaying signs beside cameras). See Data protection issues when monitoring staff for more information on your obligations when monitoring your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. through the use of CCTV, opening emails or voicemails or tracking social media use and browsing history.
You must also ensure that you retain all relevant documents such as notes of the investigation, meeting notes and documents submitted by other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer.. This will help you show that you carried out a fair and thorough procedure as well as allowing you to properly respond if you are later faced with a legal claim over disciplinary action you have taken. For information on how to comply with your The area of law which deals with the way in which data can be handled. obligations when keeping records of disciplinary action see Records and staff data.
If it is necessary to interview your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. to properly investigate a disciplinary matter, bear in mind the following points:
A prompt investigation is particularly important when taking Signed written statements of a witness's evidence, including a statement from the witness that he believes that the facts in the statement are true. because of the effect a time delay can have on memory.
When asking questions to fellow members of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. you should be neutral in your attempt to establish the facts. This means you should not ask leading questions. For example, you should ask the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. about a colleague's behaviour rather than asking for confirmation that the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. under investigation was intoxicated.
You should produce a statement setting out a record of the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's evidence. Allow the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. to review their statement carefully and to sign it to confirm it accurately reflects what was discussed.
You will need to consider whether the identity of the witness should remain hidden (eg due to the risk of reprisals from the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. under investigation). Be particularly careful if dealing with anonymous informants; for example, look for other evidence that can back up their accounts wherever possible and consider whether it is appropriate to check their character and background.
See Disciplinary investigation template for a template form you can use to structure and record the results of your investigation.
A Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member who is subject to disciplinary proceedings might ask you for information. For example, they may want details of any discussions management have had about their performance.
Your obligations depend on what is in the information that the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member requests:
the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member requests information about themself (see Q&A 48);
the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member requests confidential information about your business or information about someone else (see Q&A 49); or
the information which has been requested does not contain personal information about anybody and is not confidential information (see Q&A 50).
You have a legal obligation to provide your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. with access to and details of the personal information you hold about them, if they request it (this is known as a Or SAR. A request from an individual for a copy of any personal data held about him and/or asking for details regarding eg the source and use of that data.). The request need not be made in a specific form or with any specific wording. It may even appear to be something else at first glance, such as a general inquiry into how the disciplinary investigation is proceeding. The Information Commissioner's Office. An independent body which upholds information rights in the public interest, promoting and policing data privacy for individuals. says that regardless of the wording of the request, if it is for access to the requester's Any information about an identifiable, living person. Information which cannot be used to identify someone on its own will still be personal data if it can be used in combination with other information to identify that individual., you must treat it as a Or SAR. A request from an individual for a copy of any personal data held about him and/or asking for details regarding eg the source and use of that data..
There are a few limited exceptions which allow you to hold back some types of personal information, including an exemption for information relating to confidential management planning and information that may prejudice any negotiations with the individual making the request. For an explanation of how to deal with a Or SAR. A request from an individual for a copy of any personal data held about him and/or asking for details regarding eg the source and use of that data., including what information you can hold back and how to provide the information see Subject access requests and Checklist for responding to a subject access request.
Find out why the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member wants the information, as it may be that you can provide what they want in a less specific form (eg if statistics are requested, you could provide average figures or the highest and lowest figures in anonymised form). Alternatively, if the information is commercially sensitive and you do not want the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member to have a copy, if you are comfortable with doing so, you could simply allow the An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. to see the information at a meeting, rather than taking a copy away. In any case, if you do not provide the information the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member has requested you should explain why.
Often the information requested will also contain personal information about another individual, eg emails will include the names of recipient(s) and sender. In this case redacting or amending a document is often the most appropriate way to avoid disclosing confidential information or A person who is not directly involved in an existing relationship, transaction or dispute; for example, someone who is not a named party in a contract. Any information about an identifiable, living person. Information which cannot be used to identify someone on its own will still be personal data if it can be used in combination with other information to identify that individual., whilst ensuring you meet your own obligations to the individual making the request. See Subject access requests for other methods of dealing with this issue.
You should ordinarily provide such information to the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member, unless you have a good reason not to.
Not doing so may lead the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member to believe that you have something to hide, which could make them more likely to bring an A tribunal that deals solely with employment disputes. claim against you eg for Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. or When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. (if you end up dismissing them at the end of the disciplinary process). If Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. is alleged, the Tribunal can look at whether or not you have replied to questions the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member asked as part of an overall assessment of your behaviour. Depending on the circumstances, be aware that An sum of money ordered by a court to be paid to a person as compensation for loss or injury. can be very high for Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. claims. For example, if your disciplinary procedure results in a dismissal causing an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. to lose their full pension rights, you may have to compensate them for their entire loss.
If, following your investigations, you decide that a disciplinary hearing is required, you should schedule the meeting promptly, while still giving the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member enough time to prepare. There are no set rules about how much notice you must give; see Q&A 52 for further information.
Include any evidence you have uncovered to support your position and explain the possible consequences of the situation, so that the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member can properly prepare for the meeting. Note that if the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. or A person hired to work on an as required basis, sometimes known as a seasonal worker., they have the right to be accompanied at the meeting by a colleague or trade union representative and the letter should inform them of this right; see Q&A 55 and following for further information.
For a template letter inviting the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. to attend a disciplinary meeting see Invitation to attend a disciplinary hearing . If the matter relates to the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member having taken an unacceptable amount of sick leave, you can use Invitation to attend meeting to discuss sickness absence (see Q&A 79 and following for information about what to do in this situation).
There are no legal requirements as to the amount of notice you should give a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member before the disciplinary hearing; it depends on the nature of the allegations and the circumstances of each case. Three days is a good rule of thumb, but a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. will need more time to prepare a case where the allegations against them are very serious or if you are aware that they are ill you should give them extra time to recover before the hearing takes place. For a template letter inviting the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. to attend a disciplinary meeting see Invitation to attend a disciplinary hearing.
You should be flexible in changing a hearing time if it falls on a religious festival for that member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. and they intended not to work that day, or eg where a pregnant member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. needs to attend an antenatal appointment at the proposed time. If you fail to arrange another time, you may be discriminating against your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer..
Note that if a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. persistently refuses to attend a hearing, you may hold the hearing in their absence and make a decision on the available evidence.
The disciplinary hearing will normally be heard by the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's direct manager. You should also arrange for someone who is not involved in the case to take a note of the hearing, and make sure that you have copies of all the documentary evidence such as Signed written statements of a witness's evidence, including a statement from the witness that he believes that the facts in the statement are true., time sheets, disciplinary records available at the meeting.
The meeting should be held somewhere private where you will not be interrupted.
Make sure that you maintain a formal and professional approach throughout the hearing and do not make personal remarks or get involved in arguments. As far as possible, Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. recommends that the meeting proceeds as follows:
introduce everyone present and explain their roles;
explain the purpose of the hearing and how it will be conducted;
set out the allegations against the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. and discuss the evidence gathered;
allow the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member to respond to the allegations, ask questions, provide evidence and call witnesses;
ask the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member any further questions to clarify the detail of their position;
summarise the main points of discussion;
ask the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member whether there is anything else they would like to add; and
adjourn the meeting before you reach a decision, to allow you to properly consider the matter and check any matters raised in the meeting if required.
For a script which you can use to help you conduct a disciplinary meeting, see Basic script for conducting a disciplinary hearing and see Note taking template for disciplinary proceedings for a document to use to take notes during the hearing.
Following the meeting you will need to decide on an outcome and communicate this to the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member. You might decide that there is no case to answer or it may be that disciplinary action is appropriate. For help deciding on the appropriate action, see Q&A 65.
You are required by law to make reasonable adjustments for A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. members if there is a risk that they would otherwise be put at a disadvantage in relation to their ability to participate in the disciplinary process. This could include holding the meeting at a location which a physically A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is able to get to or allowing a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member with a learning A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. to bring a friend to the meeting (as well as the trade union representative or colleague who you are legally obliged to allow in attendance) to assist them and conducting it in a way that does not disadvantage them. If you do not make reasonable adjustments where possible, then you risk discriminating against the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member based on their A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities..
See List of common disabilities for a list of conditions that commonly count as disabilities.
Where a disciplinary hearing could lead to a warning or other disciplinary action, an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. or A person hired to work on an as required basis, sometimes known as a seasonal worker. has the right to be accompanied by a colleague or trade union official. You must agree to a reasonable request to be accompanied, otherwise the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member may bring a claim for compensation of up to two weeks' pay against you in an A tribunal that deals solely with employment disputes..
It is completely up to the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. who they choose to accompany them, provided the person is a colleague or trade union official. Where the companion is a fellow member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer., you must give them paid time off during working hours to accompany their colleague to disciplinary proceedings. If the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's chosen companion cannot attend the hearing on the date you have arranged, the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is entitled to choose an alternative date. The alternative date must be reasonable and within five working days of the date on which the hearing was originally to take place.
The role of the companion is limited to making the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's case during the disciplinary hearing, responding on the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's behalf to views expressed at the meeting and conferring with the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member during the hearing. They may not answer questions on the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's behalf or prevent you from explaining your case.
There is no legal requirement to use A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. as part of your disciplinary process, but it can be appropriate in some circumstances. For example, A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. may be helpful as a way to resolve conflict between Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. members or to improve relationships after a dispute has been dealt with. It will be particularly appropriate where there have been personal conflicts, Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended., bullying or a breakdown in communication.
If you want to use A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement., you can do so at any stage you think appropriate during the disciplinary process. Your disciplinary policy may already include a separate A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. stage, but if it does not you should suspend your disciplinary proceedings while A voluntary process by which an independent third party (a mediator) helps two or more parties in dispute come to a mutually acceptable agreement or arrangement. is ongoing.
Whilst it is possible to train certain Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. as mediators, for most small businesses it will be more practical to use an external An independent, impartial person who helps two or more individuals or groups reach a mutually acceptable solution to a legal dispute in a process called mediation.. You can use various external organisations to help find one; for example, ACAS, the Ministry of Justice search engine or CEDR. The cost of a An independent, impartial person who helps two or more individuals or groups reach a mutually acceptable solution to a legal dispute in a process called mediation. will vary depending on the length and complexity of the matter, but a small dispute should not cost more than a few hundred pounds.
In some circumstances you may be able to monitor a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. as part of your investigation into a disciplinary issue. However, if you plan to do so you must make sure you comply with your The area of law which deals with the way in which data can be handled. obligations. For example, you must have a lawful basis for carrying out the monitoring, should usually inform Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. of any monitoring and limit it to the minimum amount necessary to achieve your purpose. The extent of the monitoring you are able to carry out will vary depending on your circumstances. For example, covert monitoring is usually only likely to be acceptable in very serious circumstances, such as the detection and prevention of criminal offences. You should assess whether it is necessary to monitor your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. and balance this against the impact the monitoring will have on the individual.
For detailed information on your obligations and duties as an A person or business hiring one or more staff members. before implementing any type of monitoring of your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer.; see Data protection issues when monitoring staff.
As a general rule, no. You can only record disciplinary meetings conducted remotely (eg by video conference) if it is necessary to do so and you have a clear purpose, and as part of this you will need to consider less intrusive alternatives. In most cases, keeping contemporaneous notes and/or having an independent A person who is not directly involved in an existing relationship, transaction or dispute; for example, someone who is not a named party in a contract. present is likely to be more appropriate. For further guidance, see Recording staff telephone conversations and meetings.
You can suspend a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member with pay while you are investigating a disciplinary issue, but only if you believe it is necessary having considered all the facts of the case, and then only for the minimum amount of time needed in the circumstances. You must not suspend a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member as a knee jerk reaction to a disciplinary issue; to do so would be a A violation of a legal or moral obligation. of your duty of trust and confidence towards the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member which may entitle them to leave and claim unfair Where an employee has resigned because his employment contract has been seriously breached, he can regard himself as having been dismissed. against you.
The ACAS Code of Practice recommends that, if you do suspend a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer., you should make clear that this is not a form of disciplinary action or an implication of guilt. Your compliance with the Code can later be taken into account by the courts in deciding if you have followed a fair process as part of your disciplinary procedure. Failure to do so will harm your prospects if eg you dismiss an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. and they bring a claim for When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878..
Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. also gives guidance on the circumstances in which suspension with pay may be appropriate if it is necessary to protect:
an investigation (eg you have concerns about interference with witnesses or evidence);
your business (eg if your business interests are genuinely at risk);
other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer.; or
the person you are considering suspending.
See Suspension letter pending investigation for a template letter informing a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member that they are being suspended for the duration of the disciplinary investigation.
You should review the suspension regularly to make sure it is not continuing for longer than necessary.
Not usually. You can normally only withhold pay from a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member on suspension if their contract expressly says that you can, no matter how serious the matter leading to their suspension. Even if the contract allows it, you are best getting legal advice before you withhold pay as it can very easily lead to costly legal action being taken against you.
It is not uncommon for Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. members who are the subject of a disciplinary process to raise a A concern, problem or complaint which a member of staff raises with his employer. at the same time. Sometimes this will be related to the way in which the disciplinary process is being conducted, it may relate to the circumstances that gave rise to the disciplinary process, or it may be completely unrelated.
It is important not to confuse the two processes as they are in place to achieve different objectives. You should therefore ensure when an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. who is the subject of a disciplinary process raises a A concern, problem or complaint which a member of staff raises with his employer. that you engage your A concern, problem or complaint which a member of staff raises with his employer. procedure and hear it separately to the disciplinary process.
In any event, where a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member raises a A concern, problem or complaint which a member of staff raises with his employer. whilst a disciplinary process is ongoing, you should consider suspending the disciplinary process until such time as the A concern, problem or complaint which a member of staff raises with his employer. can be dealt with. In practice, this will demonstrate that you have followed a fair process by hearing the A concern, problem or complaint which a member of staff raises with his employer. out before reaching any conclusion in relation to the disciplinary process. However, where the disciplinary process and A concern, problem or complaint which a member of staff raises with his employer. are related, it may be more appropriate to deal with both matters at the same time. Both approaches are permissible and it will depend on the individual circumstances of each case as to whether it is or is not more appropriate to suspend the disciplinary process to hear the A concern, problem or complaint which a member of staff raises with his employer. or to continue with both.
For further information on how to deal with Concerns, problems or complaints raised by a member of staff with his employer., see Q&A 1 and following.
NOTE: Following the introduction of the Employment Rights Bill to Parliament on 10 October 2024, this area of law is being considered for reform (see our blog explaining the Bill here). Any reforms are unlikely to take effect before 2026. The Bill proposes further rights from day one of employment, including protection from When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. (currently available only after two years of service).
If a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. is subject to a disciplinary investigation, they may choose to resign rather than face the stress of awaiting the outcome of the process and the possibility of a dismissal on their disciplinary record. As long as this is a genuine choice, not one reached after they have been threatened with dismissal, there should be no problem with them doing this.
However, if you tell a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. that they have no future with the business and give them a choice between resigning or being dismissed, and they resign as a result, this can in fact count as a dismissal. If the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. and has two years' How long a person has been employed without a break lasting at least a week. Time off work whilst still employed (eg annual leave, sick leave etc) does not count as a break. they could claim When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. and A violation of a legal or moral obligation. of their employment contract as a result.
To avoid this situation, you should ensure that the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. is aware that no decision has or will be taken until the disciplinary process is complete, the outcome of which may or may not be dismissal. You must avoid placing them under pressure to resign as a way of circumventing the need to go through with the disciplinary process or dismissal itself.
For information about what to do when a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member resigns, see What to do if a staff member resigns.
Once you have held the disciplinary meeting you should adjourn it to carefully consider whether any disciplinary action is justified; do not make any decision on the spot at the end of the meeting. When making your decision, Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. advises that you take the following general factors into consideration, but remember that each case must be decided on its own facts:
any rules in the A private company limited by shares incorporated and registered in England and Wales. handbook setting out what action is appropriate in this particular circumstance (eg a policy that bullying a colleague is taken very seriously and usually warrants dismissal). For template policies you can use, see Staff handbook and policies;
what disciplinary action has been taken in similar cases in the past;
the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's previous disciplinary record, job position and length of service;
any special circumstances (eg if the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member has been struggling with difficult personal circumstances that have partially caused the problem, this might justify a more lenient penalty);
whether the disciplinary action is reasonable overall;
whether any further training or support is required to help the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member.
If the allegations against the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member are found to be true, you should issue appropriate warnings; see Q&A 66 for information.
In most cases, you should issue a written warning in the first instance. You can use First written warning for capability or First written warning for misconduct to issue a formal first written warning for capability and Unacceptable or improper behaviour respectively. If the matter relates to the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member having taken an unacceptable level of sick leave, you can use Sickness absence meeting - outcome letter (see Q&A 80 for information about particular points to consider in this situation).
If the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member commits further Unacceptable or improper behaviour or fails to improve their performance within the period set out in the first written warning (see Q&A 67) you should then issue a final written warning.
In more serious cases, a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's first instance of Unacceptable or improper behaviour or poor performance may be enough to warrant a final warning. For example, if the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's Unacceptable or improper behaviour or poor performance leads to the loss of key clients, this may be sufficiently serious to lead to a final warning.
For templates to use for a final written warning see Final written warning for capability and Final written warning for misconduct.
Only think about dismissing a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member after having having given an appropriate series of warnings; see Q&A 69 for information.
You are free to choose how long a warning should remain in effect and should include this in your disciplinary policy; Staff handbook and policies contains a template policy (you can choose to generate the policy either on its own or as part of a full A staff handbook is a manual provided to employees by an employer which usually contains information about company policies and procedures.).
The appropriate period will depend on the type of warning given, for example, Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. suggests that a first warning may be valid for only six months but a final written warning might be valid for 12 months.
Expired warnings can be a consideration in future disciplinary actions, but you should not base your decision solely on them as you might if they were still current.
Dismissal should only be used as a last resort and is unlikely to be appropriate in response to a single act of Unacceptable or improper behaviour (although it may be where the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member has committed gross Unacceptable or improper behaviour). Your disciplinary policy should provide for an escalating series of warnings (Staff handbook and policies contains a template policy, which you can choose to generate either on its own or as part of a full A staff handbook is a manual provided to employees by an employer which usually contains information about company policies and procedures.).
If you dismiss the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. before going through an appropriate system of warnings, you may open yourself up to a Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. or A legal claim brought by an employee who has been dismissed without good reason or without following the proper procedure.. See Dismissal letter.
Depending on the circumstances, be aware that An sum of money ordered by a court to be paid to a person as compensation for loss or injury. can be very high for Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. claims. For example, if your disciplinary procedure results in a dismissal causing an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. to lose their full pension rights, you may have to compensate them for their entire loss.
Yes, and you should inform them of their right to do so in your letter setting out the outcome of the disciplinary process (see Q&A 65 for information about making a decision and informing the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member and First written warning for capability or First written warning for misconduct for template outcome letters).
If possible, the person who handles the appeal should be different to the person who ran the original disciplinary process, although in smaller businesses it may not be possible for the person hearing the appeal to be totally removed from the initial disciplinary procedure.
It is important to run your appeals process properly as, if you have made any procedural mistakes in your disciplinary process, you can correct them during the appeal and perhaps avoid a claim of When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. or Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. from the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member.
You should:
Ask the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member to explain the grounds of their appeal in writing. If new evidence has come to light, this must be considered.
Hold a meeting to hear the appeal promptly, and notify the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. in advance as to the details of it. For a template letter, see Invitation to attend a disciplinary appeal hearing.
Run the appeal meeting in a similar way to the initial disciplinary hearing; as before, if the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. or A person hired to work on an as required basis, sometimes known as a seasonal worker. they have the right to be accompanied at the meeting by a fellow Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member or trade union representative of their choosing. You can use Basic script for conducting a disciplinary appeal hearing as a guide for the general process of running an appeal hearing, and Note taking template for disciplinary proceedings for a document to use for taking notes during the hearing.
Inform the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member of the outcome of the appeal meeting as soon as possible. You should also explain that this decision is final and there is no further right of appeal. For a template letter, see Letter to confirm outcome of a disciplinary appeal.
It is sensible to have systems in place to identify performance issues promptly, including holding regular performance reviews, the provision of adequate support and training and ensuring good communication between Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. and management. If a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is under-performing, you must address the issue directly so that you can resolve it before the situation worsens.
For many performance issues, an informal discussion will be enough to make the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member aware of the need to improve. Remember that you should always make a brief record of any informal action that has been taken for reference later (but you should not record it as part of the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's formal disciplinary record). For more information on your legal obligations when keeping records see Records and staff data.
If an informal approach is not appropriate (eg in more serious cases of under-performance, such as where it has resulted in the loss of an important client) or does not resolve the issue, you should follow your standard disciplinary procedures. This will involve investigating the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's performance to determine in what areas and to what extent they have not met the required standard, and holding one or more meetings to discuss the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's poor performance. See Q&A 42 and following for further information.
Some particular points to bear in mind are:
collect evidence of the performance issues and take a fair and consistent approach (see Q&A 74); and
take particular care if the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. is pregnant (see Pregnant staff) or if you think their under-performance may be linked to a health issue or A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. (see Q&A 75).
You must have objective reasons for and evidence of your performance concerns in relation to a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer.; you cannot base your concerns on assumptions. For example, if you are concerned that a sales manager is not performing as they should, you must be able to show why that is the case by looking not just at their sales figures, but at how far they are from meeting their targets.
You must also treat the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member fairly in comparison to other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer.. For example, if you want to discipline them because they are not meeting their targets, you should also discipline other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. who are failing to do so. Failure to do so could lead to a claim for Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. or, if you end up dismissing the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member, a claim for When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. (usually provided that the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. who has been How long a person has been employed without a break lasting at least a week. Time off work whilst still employed (eg annual leave, sick leave etc) does not count as a break. by you for at least two years).
If you think there may be a health issue underlying the poor performance, you should consider whether the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. has a A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities.. A A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. is a condition which has a substantial and long-term effect on the individual’s ability to carry out their day to day activities. Some illnesses, including cancer, HIV and MS are disabilities, and mental health issues such as depression can also count as disabilities in some circumstances as can symptoms related to menopause. See List of common disabilities for conditions that usually count as disabilities.
If a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member does have a A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. you have a duty to consider making adjustments to their working conditions in order to allow them to do their job. This might include altering their duties. If you simply discipline or even dismiss a A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. person without having considered what adjustments you could put in place, you could face a legal claim for A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation..
NOTE: Following the introduction of the Employment Rights Bill to Parliament on 10 October 2024, this area of law is being considered for reform (see our blog explaining the Bill here). Any reforms are unlikely to take effect before 2026. The Bill proposes further rights from day one of employment, including protection from When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. (currently available only after two years of service).
As with any disciplinary matter, if the Unacceptable or improper behaviour is minor, you should first try to resolve the issue informally by discussing it with the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member. An informal discussion will often be enough to resolve minor instances of Unacceptable or improper behaviour. Remember that you should always make a brief record of any informal action that has been taken for reference later (but this should not be recorded in the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's disciplinary record).
In some cases an informal approach will not be appropriate (eg where there are allegations of gross Unacceptable or improper behaviour) or will fail to resolve the issue. In this case you should follow your standard formal disciplinary procedures as explained in Q&A 42. This will involve investigating the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's conduct and holding disciplinary meetings. See Q&A 77 for information about what may count as gross Unacceptable or improper behaviour.
You must be very careful to follow a fair and transparent procedure when dealing with Unacceptable or improper behaviour as a formal disciplinary matter, even if the allegation is of very serious gross Unacceptable or improper behaviour. Failing to do so could lead to a claim of When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. (usually provided the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. who has been How long a person has been employed without a break lasting at least a week. Time off work whilst still employed (eg annual leave, sick leave etc) does not count as a break. by you for at least two years), or Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation.. Ensuring that you retain all relevant documents from each stage of the disciplinary procedure will help you demonstrate that you have followed a fair procedure, as well as allowing you to properly respond if you are later faced with a legal claim over disciplinary action you have taken. For information on how to comply with your The area of law which deals with the way in which data can be handled. obligations when keeping records of disciplinary action see Records and staff data.
Misconduct committed by a member of staff that is so serious it allows the business to dismiss him immediately without any notice or payment in lieu of notice. is any Unacceptable or improper behaviour which is serious enough to justify dismissing the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member without notice. Given the gravity of an allegation of gross Unacceptable or improper behaviour, you may consider suspending the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member in question on full pay until the facts of the matter can be investigated (see Q&A 61). You will have to decide, based on the circumstances of your business, what sort of Unacceptable or improper behaviour will be considered serious enough to warrant this.
There is no definitive list, but Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. suggests that the following might commonly be considered gross Unacceptable or improper behaviour:
stealing;
committing fraud;
physical violence or bullying;
Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. or Unwanted behaviour that makes someone feel intimidated, degraded, humiliated or offended.;
serious misuse of the business's name or property;
serious insubordination;
deliberately accessing pornographic, offensive or obscene content on the internet while at work;
causing serious damage to the business's reputation;
serious incapability for work because of intoxication from alcohol or illegal drugs;
serious Failure to exercise the care that a reasonable person would in the circumstances. Intention is irrelevant. resulting in loss, damage or injury;
any A violation of a legal or moral obligation. of health and safety rules which is serious enough to cause injury or put others at substantial risk;
a serious The disclosure or use of confidential information; or the improper obtaining of confidential material; or in some circumstances, the retention of information obtained in confidence. If there is a breach of confidence, the person who breached (broke) confidence may be sued. (eg divulging confidential business information to a competitor).
A Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member guilty of Unacceptable or improper behaviour may also be guilty of a criminal offence. For more information on dealing with Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. who are convicted of a criminal offence see Q&A 78.
Although being charged with or convicted of a criminal offence is very serious for the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member in question, it may not necessarily be a disciplinary matter at all (assuming the offence did not take place at work). A crime committed outside of work will only be a disciplinary matter if it could in some way affect the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's work.
Whether you should carry out a disciplinary procedure for a member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. charged with or convicted of a criminal offence will depend on the circumstances of each case. One important (In finance) A financier who provides finance to a business by buying the business's debts under the terms of a factoring agreement. is the nature of the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's role and whether the particular offence with which they are charged or convicted of has any bearing on their work. For example, it will not be a disciplinary issue if a member of your sales team is charged with a driving offence (unless driving is a necessary part of their job). However, it will almost certainly be a disciplinary issue if one of your shop assistants is convicted of stealing from a nearby shop.
Before deciding to take any disciplinary action, you should ensure that you have carried out an investigation to establish the facts. If you come to the conclusion that a disciplinary procedure is required, you do not have to wait until the end of any criminal case (if the member of Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. has not yet been convicted). Advisory, Conciliation and Arbitration Service. A free service providing information and advice on workplace relations and employment law to both employers and employees. advises that you should not ask the police for assistance in your investigation and they should not be present at any disciplinary meeting. Whether the individual is found guilty of committing the offence should not necessarily influence your decision – you are still entitled to take disciplinary action even if they are not found guilty by the court so long as you follow a fair procedure. Any disciplinary action taken should be reasonable in all the circumstances and based on the evidence you have gathered.
See Q&A 45 for more information on how to carry out a disciplinary investigation, and see Q&A 65 for information on how to come to a decision about the appropriate action.
You are entitled to take into account the impact of frequent absence on the rest of your Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. and on your business as a whole. It is usually best to start addressing the issue with an informal conversation which may help you to deal with the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's absence. For example, frequent sickness absence can be a sign that a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is struggling with their work. Remember that you should always make a brief record of any informal action that has been taken (but this should not be recorded in the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's disciplinary record).
If you have attempted informal action but the absences continue and are disruptive, you may decide that there is a disciplinary issue. For example, this might be the case if there are no acceptable reasons for the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's absences. In this situation, you should conduct a formal disciplinary procedure; see Q&A 80.
NOTE: Following the introduction of the Employment Rights Bill to Parliament on 10 October 2024, this area of law is being considered for reform (see our blog explaining the Bill here). Any reforms are unlikely to take effect before 2026. The Bill proposes further rights from day one of employment, including protection from When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. (currently available only after two years of service).
Before carrying out a formal disciplinary procedure because of sickness absence, you should first try to resolve the matter informally; see Q&A 79.
If this is not possible, you should follow your normal disciplinary procedure. See Q&A 42 for how to do this. For a template letter inviting an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. to a meeting to discuss sickness absence, see Invitation to attend meeting to discuss sickness absence and for a template letter to send following the meeting, see Sickness absence meeting - outcome letter.
Some particular points to bear in mind are as follows:
You must treat the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member fairly in comparison to other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. when deciding when your disciplinary procedure will bite. For example, if you want to discipline them after 15 sickness absences in a calendar year, you should discipline any other Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. who have the same record. Failure to do so could lead to claim for Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. or, if you end up dismissing the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member, a claim for When an employee is dismissed without good reason or without following the proper procedure. Tribunal awards for unfair dismissal are up to one year's gross pay, currently capped at £93,878. (usually provided that the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is an An individual hired personally to work under a contract of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. who has been How long a person has been employed without a break lasting at least a week. Time off work whilst still employed (eg annual leave, sick leave etc) does not count as a break. by you for at least two years).
In the case of multiple short-term absences which the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member has self-certified, ask them to see a doctor in case the matters are linked or there is an underlying problem that can be treated. For example, if the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is stressed or run down and prone to catch infections and colds as a result, you may be able to help them by making short-term adjustments to their role.
If the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member is pregnant you must be careful to establish whether her absences are due to a pregnancy-related illness. If they are, you must not subject her to any disadvantage (such as disciplining her), as this is likely to amount to Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation. for reasons related to pregnancy. For more information on disciplining pregnant Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. see Pregnant staff.
If you think there is a health issue underlying a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's absences, you should consider whether they have a A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities.. A A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. is a condition which has a substantial and long-term effect on the individual’s ability to carry out their day to day activities. Some illnesses, including cancer, HIV and MS are disabilities, and mental health issues such as depression can also count as disabilities in some circumstances. See List of common disabilities for more information.
If a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member does have a A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. you have a duty to consider making adjustments to their working conditions in order to allow them to do their job. This might include altering their duties. If you simply discipline or even dismiss a A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. person without having considered what adjustments you could put in place, you could face a legal claim for A physical or mental impairment which has a substantial or long-term effect on a person’s ability to carry out normal day to day activities. Treating someone differently directly or indirectly because of their age, disability, gender reassignment, marriage or civil partnership status, being pregnant and/or being on maternity leave, race, religion or belief, sex or sexual orientation..
Consider whether A working arrangement which is different to the normal working pattern. For example, it might involve working fewer or different hours, or working from home on certain days. might address the absences. For example, if a Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member's health is delicate and they have a particularly arduous commute, you could consider allowing them to work from home one or two days a week.
Note that Individuals hired personally to work under contracts of employment, usually in exchange for payment. Employees are normally fully integrated into the business and the employer exercises a large degree of control over their work. (or apprentices) with at least 26 weeks' How long a person has been employed without a break lasting at least a week. Time off work whilst still employed (eg annual leave, sick leave etc) does not count as a break. are entitled to make a A working arrangement which is different to the normal working pattern. For example, it might involve working fewer or different hours, or working from home on certain days. request. You must consider any such request carefully and can only reject it for one or more of eight specific reasons. See Flexible working requests for details of these reasons and how to deal with such a request.
It is likely to be appropriate to give the Anybody who works for a business, whether as an employee, casual worker, apprentice, agency worker or freelancer. member the opportunity to improve their attendance. This is best done by setting clear and specific targets to achieve within a specific period (eg 95% attendance over the next 3 months), which may be extended if an improvement is seen but the targets are still not met. See Sickness absence meeting - outcome letter for a template setting targets.