Disciplinary Definition

GLOSSARY

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What does Disciplinary mean?

A disciplinary situation is a situation where breaches of rules or codes of behaviour or discipline are corrected or punished. Equally, where an employer's expectations about the way in which a job is to be performed, or its minimum standards, are not met, that may also give rise to a disciplinary situation in respect of the poor or inadequate performance that arises. Disciplinary situations therefore include misconduct or poor performance.

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Considerations and next steps for victims of fraud—checklist

Considerations and next steps for victims of fraud—checklist This Checklist is designed to assist individuals and companies who suspect they have been a victim of fraud. It considers the immediate steps they should take to gather and preserve evidence, obtain legal advice, mitigate and reduce risk and obtain emergency or urgent relief (such as freezing orders and insurance cover), including whether it is necessary to report a suspected fraud to the police and how to do so using the Action Fraud service. It also addresses the choice between issuing civil and criminal proceedings for fraud and explains the possibility of running a civil fraud claim in parallel with a criminal prosecution (private or public). This Checklist should be read in conjunction with the Practice Notes: • Starting a civil fraud claim—a practical guide • Civil fraud—heads of claim • Civil fraud—frequently asked questions (FAQ) • Commencing criminal proceedings—applying for the issue of a summons • Fraud—civil claim and private criminal prosecution compared For full guidance on fraud offence under criminal...

Misconduct investigation and disciplinary hearing—flowchart

Misconduct investigation and disciplinary hearing—flowchart This Flowchart sets out the stages of a disciplinary procedure to deal with an issue of employee misconduct, from investigating the allegation(s), to conducting a disciplinary hearing and deciding on appropriate disciplinary action, and managing an appeal process. Click below to view or print the full-size PDF version: Note 1—dealing with an allegation of misconduct When considering whether the issue is one involving potential misconduct, it may be necessary also to review the employee’s contract, the employer’s staff handbook and any other policies or procedures that may be relevant in addition to the disciplinary/dismissal procedure, eg equality/equal opportunities policy or expenses policy. It is also worth remembering that a situation that might, at first glance, appear to be a case of misconduct, could turn out to be a performance or capability problem. See Practice Note: Managing conduct—Dealing with conduct issues. Where a conduct issue arises, the first stage in managing that issue is to investigate the problem, promptly and without unreasonable delay, to...

The Pre-Action Protocol for the Resolution of Clinical Disputes—pre-6 April 2015 [Archived]

The Pre-Action Protocol for the Resolution of Clinical Disputes—pre-6 April 2015 [Archived] ARCHIVED: This Practice Note has been archived and is not maintained. Note: A new version of the protocol applies from 6 April 2015. For the post-6 April 2015 pre-action protocol, see Practice Note: The Pre-Action Protocol for the Resolution of Clinical Disputes—6 April 2015 onwards. The Clinical Disputes Protocol came into force on 26 April 1999. It arose from the Clinical Disputes Forum, a multi-disciplinary body formed in 1997 as a result of Lord Woolf’s Access to Justice inquiry. It is designed to encourage a climate of openness when something has gone wrong with a patient’s treatment or the patient is dissatisfied with medical treatment. It sets out a timed sequence of steps for patients and health care providers to follow when a dispute arises. It is designed to speed up the exchange of relevant information and increase the prospects of dispute resolution without resorting to legal action. The Clinical Disputes Protocol created a...

General Optical Council—fitness to practise proceedings

General Optical Council—fitness to practise proceedings Who is the General Optical Council (GOC) The General Optical Council (GOC) is a body corporate created by the Opticians Act 1989 (OA 1989) to have the general function of promoting high standards of professional education, conduct and performance with an over-arching objective of the protection of the public. The GOC role is to protect, promote and maintain: • the health, safety and well-being of the public • public confidence in the professions they regulate • professional standards and conduct for Registrants and prospective Registrants, and • proper standards and conduct for business Registrants This Practice Note provides a guide to GOC fitness to practise proceedings, investigations, and applications to be restored to the Register. The GOC regulates registered Optometrists as well as Dispensing Opticians. In this Practice Note a ‘Registrant’ is: • a registered Optometrist • dispensing Optician • student Optometrists, or • a Registered Business This Practice Note should be read in conjunction with Practice Notes: Common principles in fitness to practise...

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Tax evasion facilitation—post-training assessment questions

Tax evasion facilitation—post-training assessment questions How to use this test These questions are designed to test your understanding after your attendance at our training on avoiding tax evasion facilitation. After you have completed this test, please return it to [insert name]. General Name of person completing test [Insert name] Role [Insert role] Date [Insert date] Multiple choice questions Circle the correct answer. Question Multiple choice answers 1. Under which Act would [insert organisation name] commit an offence if it fails to prevent the facilitation of tax evasion? (a) Criminal Finances Act 2017(b) Serious Crime Act 2015(c) Proceeds of Crime Act 2002 2. What is not an element of the tax evasion facilitation offence? (a) Criminal tax evasion by a tax payer(b) Failure by [insert organisation name] to prevent our employee/agent from criminally facilitating tax evasion(c) Offering a bribe 3. Who is liable if the offence of failing to prevent tax evasion facilitation is committed? (a) an individual (ie an employee or agent of [insert organisation name](b) [insert...

Accounts procedures for fee earners and support staff 2011 [Archived]

Accounts procedures for fee earners and support staff 2011 [Archived] 1 This document sets out our [accounting OR finance] systems and controls for fee earners and support staff. 2 Basic principles 2.1 We have an overriding duty to protect client money and assets. 2.2 To ensure compliance with this duty and with the SRA Accounts Rules 2011 (the rules), all fee earners and support staff must comply with the systems and procedures set out in this document. 3 Accounts department 3.1 The [Accounts OR Finance] department is located at [insert location, eg office if you have more than one office or location within your office] and is led by [insert name and/or title], [who is also the firm’s Compliance Officer for Finance and Administration (COFA)]. 3.2 [insert any other information regarding the structure of your accounts departments, eg if you have different teams for different functions]. 4 Accounts system 4.1 We have a central accounting [and time recording] system called [insert name...

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If a lorry driver delivering goods is persuaded not to cross a picket line by employees engaged in lawful, peaceful picketing, and the lorry driver faces disciplinary sanction or dismissal from their own employer (who is not a party to the trade dispute) for refusing to cross the picket line to deliver the goods, are there any protections available to the lorry driver?

If a lorry driver delivering goods is persuaded not to cross a picket line by employees engaged in lawful, peaceful picketing, and the lorry driver faces disciplinary sanction or dismissal from their own employer (who is not a party to the trade dispute) for refusing to cross the picket line to deliver the goods, are there any protections available to the lorry driver? When it comes to statutory protections available to those engaged in industrial action or picketing: • statutory immunity is provided against liability in relation to economic or industrial torts for those involved in industrial action with their employer, which is done in contemplation or furtherance of a trade dispute (as defined), and which complies with specific balloting and notification conditions (see Practice Notes: The right to take industrial action and Balloting for and employer notification of industrial action) • protection against dismissal is potentially available for those participating in such industrial action (see Practice Note: Entitlement to claim unfair dismissal, particular the main section dealing...

Can a worker make a claim if he does not make a request to be accompanied to a disciplinary or grievance hearing because his employer has already told him he is not allowed to bring a companion?

Can a worker make a claim if he does not make a request to be accompanied to a disciplinary or grievance hearing because his employer has already told him he is not allowed to bring a companion? Any worker who is required or invited by his employer to attend a disciplinary or grievance hearing, and makes a reasonable request to be accompanied, has the right to be accompanied at that hearing. A worker may present a complaint to an employment tribunal that his employer has failed, or threatened to fail, to comply with provisions relating to: • the right to be accompanied • the companion's role, or • the right to postpone Therefore, a worker whose employer has told him that he is not allowed to bring a companion

See the 168 Q&As about Disciplinary

Exclusions reconsideration case confirms courts focus on ‘substance over form’ (RWU v A Governing Body of A Academy)

Local Government analysis: This case challenged a Governing body's Disciplinary Panel’s (GDP) reconsideration decision not to reinstate an excluded pupil. This followed an Independent Review Panel’s (IRP) decision to quash the GDP’s initial non-reinstatement decision and direct a reconsideration. Judge Fordham dismissed all four grounds of the claimant’s application for judicial review and set out some useful findings on how the courts will approach criticisms of a school’s exclusions process. Central to the dispute were issues around Child Criminal Exploitation (CCE), the adequacy and timing of support interventions, and the legal standards for reconsideration of exclusion decisions. Schools should take comfort that the case confirms courts remain concerned with substance over form and that minor procedural and administrative errors will not lead to a GDP’s decision being quashed by the High Court. Written by Hayley O’Sullivan, senior associate at Browne Jacobson LLP.

FCA publishes Handbook Notice No 124

The Financial Conduct Authority (FCA) has published Handbook Notice No 124, which includes changes to the FCA Handbook made by the FCA board on 31 October 2024 and 28 November 2024.

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