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The term to describe an act of misconduct by the employee.
An act of misconduct is normally dealt with by the employer through its Disciplinary Procedures. In most cases this results in a warning to the employee, which if repeated after additional warnings, may result in dismissal. More serious acts of misconduct can result in dismissal after just one meeting. Quite often the employer sets out the types of act that constitute misconduct, such as lateness or poor performance, in its disciplinary procedures.
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DPA suitability checklist Court's oversight of the interests of justice and fairness, reasonableness and proportionality The UK deferred prosecution agreement (DPA) regime provides for judicial oversight of DPAs. After negotiations as to the terms of a DPA have commenced and before it has been concluded, the court must determine: • whether it is likely to be in the interests of justice, and • that its proposed terms are fair, reasonable and proportionate Therefore, each factor must be supported by clear and persuasive proof in order to seek to persuade the court to approve the DPA. The declarations given under Schedule 17 Part 1, para 8 to the Crime and Courts Act 2013 (CCA 2013) to date provide insight into the court's approach as to when a DPA is suitable and this has, in turn, fed into the prosecutor's approach (see Practice Note: The SFO's approach to Deferred Prosecution Agreements (DPAs) [Archived]). For detailed information on DPAs in general, the process followed by the court when considering whether to...
Commercial contract review and execution (business personnel)—checklist This is a Checklist for in-house lawyers to provide to those of its employees (eg procurement or sales professionals) who are engaged in negotiating commercial contracts. It sets out the primary issues to consider when negotiating or reviewing a business-to-business commercial contract, and includes practical guidance. This Checklist may be suitable for use in low risk contracts where employees who are not legally qualified are authorised to conduct negotiations and contract review. It may be customised as required to work with a company playbook on contract negotiation and review, to include suggested fall-back drafting positions and escalation points for recourse to a legal team as appropriate. As it is intended to be used by non-legal professionals, it does not include links to further detailed legal commentary in each case. For a Checklist intended for use by legal professionals with links to further information, see: Commercial contract drafting and review—checklist. In-house lawyers should check that business personnel engaged in negotiating and concluding commercial contracts...
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ARCHIVED: This archived Checklist provides a high-level overview of the issues that an employer should consider before proceeding to dismiss an employee on grounds of misconduct, and signposts other relevant materials.For guidance on managing conduct generally, see Practice Notes: Managing conduct and Dismissing fairly for conduct reasons.•Investigation and procedure◦Have all internal disciplinary procedures been followed? See Practice Notes: Hhow to conduct a disciplinary investigation and How to conduct a disciplinary hearing◦If there are no internal procedures, have the provisions of the Acas Code of Practice on disciplinary and grievance procedures (Acas Code) been followed? For details of these, see Practice Notes: Dismissing fairly for conduct reasons and Acas disciplinary and grievance code—procedural requirements for details. See also Practice Note: General requirements for discipline and grievance procedures◦Check that, as an absolute minimum:‣interviews of relevant witnesses and the employee have been carried out to try and establish the facts surrounding the complaint‣the employee has been given the opportunity to state their case, and to be accompanied at the disciplinary hearing should they...
Conduct is a potentially fair reason for dismissal. Dismissals for misconduct are probably the most frequent category of unfair dismissal claim brought before the employment tribunal.The conduct does not have to be of any particular character. It does not have to be 'reprehensible' or even 'culpable' for it to constitute a potentially fair reason, although the extent to which the claimant is blameworthy may be relevant when considering whether or not dismissal was a fair sanction in all the circumstances and also when assessing compensation, see: Appropriateness of dismissal: general below and Practice Note: The unfair dismissal compensatory award—Contributory fault.Dismissal for an isolated incident of misconduct will rarely be fair although, in some circumstances, the incident will be sufficiently serious to justify dismissal for a first offence. Generally, dismissal for misconduct will only be a reasonable sanction if the employee had committed earlier acts of misconduct and been warned that further incidents may lead to dismissal.Refusal to comply with instructionsAn employee is under a general obligation to follow lawful and...
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Policy—regulatory references 1 Introduction 1.1 The Financial Conduct Authority (FCA) and the Prudential Regulation authority (PRA) (together the Regulators) require firms that are authorised by the Regulators (and subject to the Senior Managers and Certification Regime (SM&CR)) to request regulatory references if they are considering:. 1.1.1 permitting or appointing someone to perform a senior management function; 1.1.2 issuing a certificate under the certification regime; and/or 1.1.3 appointing a non-executive board director. 1.2 These regulatory references are designed to assist prospective employers to assess whether an individual applying for an applicable regulated function is fit and proper to hold that role. 1.3 To enable a prospective employer to assess the fitness and propriety of a candidate for a regulated function, organisations that fall within the SM&CR must provide upon request a regulatory reference that covers the individual for the preceding six years (and, in certain circumstances, longer). It is essential that we comply with our regulatory obligations in obtaining and in responding to such requests, as the failure to...
Letter recommending insurance—demands and needs—law firms  We have reached a stage in your matter where we believe it would be in your best interests to buy [insert type of insurance]. We have suggested you buy the insurance from [state name of insurance provider to whom you have introduced the client for insurance or who has given you delegated authority to issue a policy]. This is something we have already discussed and you have agreed that we will [state what you will do to arrange the insurance, eg complete and submit a proposal form on your behalf or issue the policy under delegated authority]. You have consented to us disclosing relevant personal data and information to [state name of insurance provider] for this purpose. Fees, charges and commission Insurance premium The [insert type of insurance] insurance policy costs £[insert amount or where it is not possible to give a specific amount, the basis for the calculation of the premium]. This is called the 'insurance premium'. [Explain what you...
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As an employer, how should I handle staff absences due to travel disruption? This Q&A examines the legal and practical issues an employer should consider when dealing with employees who are absent due to travel disruption caused by adverse weather conditions and/or industrial action or major incidents. Practical issues When adverse weather and the resultant travel chaos, or travel disruption caused by industrial action or major incidents affect employees’ ability to get to work on time or, in some cases, at all, there are a number of practical steps an employer can consider taking in order to reduce business disruption, avoid any confusion and minimise potential employment law claims: • implement an adverse weather and travel disruption policy or include appropriate provisions within an existing absence management policy and ensure all employees are aware of the policy and its contents—see main section: Policy below • develop a business continuity plan to cover, for example, unforeseen critical staff absence or widespread staff absence, temporary closure of the business and alternative ...
In an application for sale under the Trusts of Land and Appointment of Trustees Act 1996 , what happens if a party does not comply with an order of the court to produce a medical report? TOLATA proceedings The Trusts of Land and Appointment of Trustees Act 1996 (TOLATA 1996) deals with property where multiple parties have an interest. An application under TOLATA 1996, s 14 may be made by a trustee of land or a beneficiary with an interest in property subject to a trust of land. The court has a broad discretionary range of powers to make orders regarding the exercise of the trustees’ functions or to the nature and extent of beneficiaries’ interests, including a sale or postponement of sale. For further information, see: • Cohabitant property rights—overview (this provides general information on TOLATA 1996) • Practice Note: Eligibility to apply under TOLATA 1996 (sets out who is considered to have an interest in property) As part of an application for sale, TOLATA...
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Law360, London: The new 'failure to prevent' fraud offence that comes into force in September 2025 will indirectly boost the Financial Conduct Authority's (FCA’s) opportunities for enforcement against corporate senior managers, countering its recent retreat from plans to 'name and shame' companies it is investigating, lawyers say.
This week's edition of Dispute Resolution weekly highlights includes analysis of a number of key DR developments and key judicial decisions including the 11th edition of the King’s Bench Guide and the Court of Appeal decision in Freeman v Home Farm Ellingham Ltd (specific performance); dates for your diary; details of our most recently published content; and other information of general interest to dispute resolution practitioners.
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