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Improving relations with trade union representatives
The role of trade unions and their representatives
How employers can work with trade unions on collective bargaining, information and consultation, and attendance at disciplinary and grievance hearings.
Although trade unions look after the interests of their members, they also recognise the advantages of working in partnership with employers. This is because a successful, profitable business is good for workers and, therefore, good for the union and its members.
An employer and a recognised trade union interact with the workplace in a number of ways, as set out below.
Trade unions: negotiating collective agreements
If you recognise a trade union in your workplace, you will probably have agreed with the union to bargain with it about the terms and conditions of employment of those workers who fall within a defined bargaining unit.
Sometimes, that bargaining unit will include all workers, but it is common for the unit to include just certain categories of workers, eg, production line operatives or technicians.
The objective of such collective bargaining is to conclude a collective agreement with the trade union. Where an independent trade union is recognised, the employer is obliged to disclose information to the trade union to facilitate the bargaining process.
Read the Labour Relations Agency guidance on disclosure of information to trade unions for collective bargaining purposes.
A collective agreement is between a recognised trade union (or group of unions) and an employer (or group of employers). Most typically, they set out the terms and conditions - eg, pay, benefits, and working time - to be included in the employment contracts of the workers in the bargaining unit. Other collective agreements are purely procedural and regulate the working relationship between the union(s) and the employer(s).
A collective agreement isn't legally enforceable unless it:
- is in writing
- states that it's meant to be legally enforceable
In the UK, most collective agreements are not legally enforceable.
For more information on collective bargaining and collective agreements, see recognising and derecognising a trade union.
Trade unions: Informing and consulting
Under certain circumstances, you must inform and consult with representatives of a recognised trade union about:
- collective redundancies - see redundancy: the options
- transfers of business ownership - see responsibilities to employees if you buy or sell a business
- occupational and personal pension schemes - see know your legal obligations on pensions
- health and safety - see consult your employees on health and safety
However, you could enter a voluntary agreement with a trade union to inform and consult the union about broader business and workplace issues on a regular, ongoing basis. The union may want to set up a joint consultative committee specifically for this purpose.
For further information, see how to inform and consult your employees.
Trade unions: representing workers at disciplinary and grievance hearings
Employees and other workers have the right to be accompanied at a disciplinary or grievance hearing. They can choose to be accompanied by a co-worker or a union representative. Often, the union representative will be a workplace representative who is also a co-worker.
Non and partly unionised workplaces
You may have to inform and consult other workplace representatives - known as employee representatives - where you:
- Don't recognise any trade union in your workplace.
- Do recognise a union (or unions) in your workplace, but not all your workers are represented by that union (or those unions). This may be because they do not belong to the bargaining unit for which the trade union is recognised.
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Advantages of trade union recognition
How a recognised union can advise employers and workers on key issues.
Some employers prefer to deal directly with their workers, or their elected representatives, without trade union involvement.
However, recognising and working closely with a trade union has a number of advantages.
Single point of contact
Having a single body for negotiating terms and conditions for workers is simpler than dealing with workers individually.
However, once you have agreed to this collective style of negotiating, you'll be obliged to disclose certain information to the union for collective bargaining purposes - see recognising and derecognising a trade union.
Worker involvement
If you negotiate terms and conditions and consult on workplace issues with a recognised union:
- your workers are likely to feel more involved in the way the business is run
- you can encourage trust and commitment among the workforce
In turn, these may help your business by improving retention rates.
Experience in employment relations
Trade unions represent not only the workers in your business but many others in similar, related organisations. Therefore, they're likely to have a broad perspective on many issues affecting your organisation.
Union representatives with experience in employment relations, in particular, are a useful source of legal and good-practice advice on HR and employment law issues. This experience may be especially useful during difficult times, eg during proposed collective redundancies or business transfers - see the role of trade unions and their representatives.
If you can show the union representatives that you are interested in hearing about your workers' concerns, they, in turn, may help get your message across to their members. Even unpopular decisions may be more acceptable to your workers if you can persuade them and their union that a change is necessary for the continued health of the business. For more information, see how to inform and consult your employees.
Informing and consulting with experienced union representatives - together with input from workers - can also help you make better-informed business decisions in general, eg in relation to shift patterns or the kind of equipment you should invest in.
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Source URL
/content/advantages-trade-union-recognition
Links
Improving relations with trade union representatives
How to ensure that relations with trade union officials run as smoothly as possible.
As an employer you have certain responsibilities towards union representatives who are your employees. However, you can improve relations with representatives and their union members by offering them help to carry out their administrative duties.
Time off work for trade union duties
If you recognise a trade union, it is normal for that trade union to appoint or elect one or more local workplace representative(s).
Employees who are such representatives of an independent, recognised trade union are entitled to reasonable time off work with pay for union duties and to undergo union training at an appropriate time.
In addition, such workplace representatives, in common with other members of the recognised trade union, are entitled to reasonable time off without pay to engage in union activities, eg, to attend the annual conference of the trade union.
When arranging time off, union representatives and the employer are expected to consider the effect of their absence in terms of health and safety, inconvenience for the employer, and the safety of the public. See trade union membership rights.
Read the Labour Relations Agency (LRA) guidance on time off for trade union duties and activities.
Information and consultation
It is a good idea to:
- inform representatives of recognised trade unions about important developments in the business that may affect their working conditions
- consult them before implementing such changes
You have specific legal obligations to inform and consult union representatives on certain matters - see the role of trade unions and their representatives.
Use of company facilities
To help union representatives carry out their duties, you could:
- allow them to use company facilities, eg, office space, telephone, and email access
- help with union administration, eg, by deducting subscriptions from employees' wages, something known as 'check-off'
If relations with trade unions break down
If relations between you and your employees and/or their unions deteriorate and you can't find a solution, outside help may be needed, eg, from the Labour Relations Agency (LRA), to improve relations or settle any dispute. See our guide on industrial disputes.
The LRA offers voluntary collective conciliation services to employees and employers experiencing collective disputes.
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Source URL
/content/improving-relations-trade-union-representatives
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Paying trade union subscriptions
How you can help your workers make payments to their union via your payroll system.
Some trade union members pay their union subscriptions by deduction from their wages. The employer passes these payments directly to their union. These arrangements are commonly known as the 'check-off'.
Administering the check-off
Where check-off arrangements exist, you may lawfully make deductions only where the worker has given you their written consent and has not subsequently withdrawn that consent.
The consent must be signed and dated and contain their authorisation to check-off deductions being made from their wages. The authorisation document is effective from the date on which the worker signs it and remains valid until it is withdrawn.
You can pre-print consent forms as long as the worker signs and dates the form personally.
A union can obtain the written authorisation and then forward it to you. However, you remain responsible for ensuring that deductions are not made unlawfully.
A worker who has union subscriptions deducted from their wages by their employer may make a complaint to an industrial tribunal against the employer if the deduction was made without proper authorisation.
The duration of check-off arrangements
You are not obliged to keep making check-off deductions indefinitely. Check-off is a voluntary arrangement, and you have no statutory duty either to operate it at all or to continue to do so having started.
However, if you have entered into a contractual agreement with workers to operate check-off, you could be in breach of contract if you stopped the arrangement.
Worker's withdrawal of consent to the check-off
If a worker wants to withdraw their consent to the check-off, they must write to you notifying you that they no longer wish to have check-off deductions made. They must allow you reasonable time to stop the deductions.
The role of the union
The union has no statutory role in administering the check-off.
However, you can involve the union in carrying out your statutory duties with regard to check-off.
You could, for example, ask the union to help you get initial consent from its members. You may also choose to charge the union for the administration involved in providing the service of collecting its members' subscriptions.
However, it remains your responsibility to ensure that you act lawfully when you make check-off deductions.
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/content/paying-trade-union-subscriptions
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Payment into trade union political funds
How you can help your workers make payments to their trade union’s political funds.
Some trade unions have established 'political funds', which they use to finance their political activities. Where individual union members pay subscriptions into a political fund, via the so-called political levy, the employer often collects it at the same time as the member's other union subscriptions.
Northern Ireland trade union members are legally exempt from contributing to a trade union's political fund. Any member who wishes to pay the political levy must 'contract in' to the political fund. This requirement applies to all Northern Ireland union members, regardless of where their union is headquartered.
A member who does not contract in, or having contracted in subsequently contracts out, is exempt from contributing to the political fund. Any deduction by a trade union of an amount to be paid to a political fund, without a written 'contracting in' notice, is unlawful.
A member who initially contracts in and then subsequently decides to contract out must do so in writing.
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Source URL
/content/payment-trade-union-political-funds
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Advantages of trade union recognition
The role of trade unions and their representatives
How employers can work with trade unions on collective bargaining, information and consultation, and attendance at disciplinary and grievance hearings.
Although trade unions look after the interests of their members, they also recognise the advantages of working in partnership with employers. This is because a successful, profitable business is good for workers and, therefore, good for the union and its members.
An employer and a recognised trade union interact with the workplace in a number of ways, as set out below.
Trade unions: negotiating collective agreements
If you recognise a trade union in your workplace, you will probably have agreed with the union to bargain with it about the terms and conditions of employment of those workers who fall within a defined bargaining unit.
Sometimes, that bargaining unit will include all workers, but it is common for the unit to include just certain categories of workers, eg, production line operatives or technicians.
The objective of such collective bargaining is to conclude a collective agreement with the trade union. Where an independent trade union is recognised, the employer is obliged to disclose information to the trade union to facilitate the bargaining process.
Read the Labour Relations Agency guidance on disclosure of information to trade unions for collective bargaining purposes.
A collective agreement is between a recognised trade union (or group of unions) and an employer (or group of employers). Most typically, they set out the terms and conditions - eg, pay, benefits, and working time - to be included in the employment contracts of the workers in the bargaining unit. Other collective agreements are purely procedural and regulate the working relationship between the union(s) and the employer(s).
A collective agreement isn't legally enforceable unless it:
- is in writing
- states that it's meant to be legally enforceable
In the UK, most collective agreements are not legally enforceable.
For more information on collective bargaining and collective agreements, see recognising and derecognising a trade union.
Trade unions: Informing and consulting
Under certain circumstances, you must inform and consult with representatives of a recognised trade union about:
- collective redundancies - see redundancy: the options
- transfers of business ownership - see responsibilities to employees if you buy or sell a business
- occupational and personal pension schemes - see know your legal obligations on pensions
- health and safety - see consult your employees on health and safety
However, you could enter a voluntary agreement with a trade union to inform and consult the union about broader business and workplace issues on a regular, ongoing basis. The union may want to set up a joint consultative committee specifically for this purpose.
For further information, see how to inform and consult your employees.
Trade unions: representing workers at disciplinary and grievance hearings
Employees and other workers have the right to be accompanied at a disciplinary or grievance hearing. They can choose to be accompanied by a co-worker or a union representative. Often, the union representative will be a workplace representative who is also a co-worker.
Non and partly unionised workplaces
You may have to inform and consult other workplace representatives - known as employee representatives - where you:
- Don't recognise any trade union in your workplace.
- Do recognise a union (or unions) in your workplace, but not all your workers are represented by that union (or those unions). This may be because they do not belong to the bargaining unit for which the trade union is recognised.
Developed withAlso on this siteContent category
Source URL
/content/role-trade-unions-and-their-representatives
Links
Advantages of trade union recognition
How a recognised union can advise employers and workers on key issues.
Some employers prefer to deal directly with their workers, or their elected representatives, without trade union involvement.
However, recognising and working closely with a trade union has a number of advantages.
Single point of contact
Having a single body for negotiating terms and conditions for workers is simpler than dealing with workers individually.
However, once you have agreed to this collective style of negotiating, you'll be obliged to disclose certain information to the union for collective bargaining purposes - see recognising and derecognising a trade union.
Worker involvement
If you negotiate terms and conditions and consult on workplace issues with a recognised union:
- your workers are likely to feel more involved in the way the business is run
- you can encourage trust and commitment among the workforce
In turn, these may help your business by improving retention rates.
Experience in employment relations
Trade unions represent not only the workers in your business but many others in similar, related organisations. Therefore, they're likely to have a broad perspective on many issues affecting your organisation.
Union representatives with experience in employment relations, in particular, are a useful source of legal and good-practice advice on HR and employment law issues. This experience may be especially useful during difficult times, eg during proposed collective redundancies or business transfers - see the role of trade unions and their representatives.
If you can show the union representatives that you are interested in hearing about your workers' concerns, they, in turn, may help get your message across to their members. Even unpopular decisions may be more acceptable to your workers if you can persuade them and their union that a change is necessary for the continued health of the business. For more information, see how to inform and consult your employees.
Informing and consulting with experienced union representatives - together with input from workers - can also help you make better-informed business decisions in general, eg in relation to shift patterns or the kind of equipment you should invest in.
Developed withActionsAlso on this siteContent category
Source URL
/content/advantages-trade-union-recognition
Links
Improving relations with trade union representatives
How to ensure that relations with trade union officials run as smoothly as possible.
As an employer you have certain responsibilities towards union representatives who are your employees. However, you can improve relations with representatives and their union members by offering them help to carry out their administrative duties.
Time off work for trade union duties
If you recognise a trade union, it is normal for that trade union to appoint or elect one or more local workplace representative(s).
Employees who are such representatives of an independent, recognised trade union are entitled to reasonable time off work with pay for union duties and to undergo union training at an appropriate time.
In addition, such workplace representatives, in common with other members of the recognised trade union, are entitled to reasonable time off without pay to engage in union activities, eg, to attend the annual conference of the trade union.
When arranging time off, union representatives and the employer are expected to consider the effect of their absence in terms of health and safety, inconvenience for the employer, and the safety of the public. See trade union membership rights.
Read the Labour Relations Agency (LRA) guidance on time off for trade union duties and activities.
Information and consultation
It is a good idea to:
- inform representatives of recognised trade unions about important developments in the business that may affect their working conditions
- consult them before implementing such changes
You have specific legal obligations to inform and consult union representatives on certain matters - see the role of trade unions and their representatives.
Use of company facilities
To help union representatives carry out their duties, you could:
- allow them to use company facilities, eg, office space, telephone, and email access
- help with union administration, eg, by deducting subscriptions from employees' wages, something known as 'check-off'
If relations with trade unions break down
If relations between you and your employees and/or their unions deteriorate and you can't find a solution, outside help may be needed, eg, from the Labour Relations Agency (LRA), to improve relations or settle any dispute. See our guide on industrial disputes.
The LRA offers voluntary collective conciliation services to employees and employers experiencing collective disputes.
Developed withHelpAlso on this siteContent category
Source URL
/content/improving-relations-trade-union-representatives
Links
Paying trade union subscriptions
How you can help your workers make payments to their union via your payroll system.
Some trade union members pay their union subscriptions by deduction from their wages. The employer passes these payments directly to their union. These arrangements are commonly known as the 'check-off'.
Administering the check-off
Where check-off arrangements exist, you may lawfully make deductions only where the worker has given you their written consent and has not subsequently withdrawn that consent.
The consent must be signed and dated and contain their authorisation to check-off deductions being made from their wages. The authorisation document is effective from the date on which the worker signs it and remains valid until it is withdrawn.
You can pre-print consent forms as long as the worker signs and dates the form personally.
A union can obtain the written authorisation and then forward it to you. However, you remain responsible for ensuring that deductions are not made unlawfully.
A worker who has union subscriptions deducted from their wages by their employer may make a complaint to an industrial tribunal against the employer if the deduction was made without proper authorisation.
The duration of check-off arrangements
You are not obliged to keep making check-off deductions indefinitely. Check-off is a voluntary arrangement, and you have no statutory duty either to operate it at all or to continue to do so having started.
However, if you have entered into a contractual agreement with workers to operate check-off, you could be in breach of contract if you stopped the arrangement.
Worker's withdrawal of consent to the check-off
If a worker wants to withdraw their consent to the check-off, they must write to you notifying you that they no longer wish to have check-off deductions made. They must allow you reasonable time to stop the deductions.
The role of the union
The union has no statutory role in administering the check-off.
However, you can involve the union in carrying out your statutory duties with regard to check-off.
You could, for example, ask the union to help you get initial consent from its members. You may also choose to charge the union for the administration involved in providing the service of collecting its members' subscriptions.
However, it remains your responsibility to ensure that you act lawfully when you make check-off deductions.
Developed withAlso on this siteContent category
Source URL
/content/paying-trade-union-subscriptions
Links
Payment into trade union political funds
How you can help your workers make payments to their trade union’s political funds.
Some trade unions have established 'political funds', which they use to finance their political activities. Where individual union members pay subscriptions into a political fund, via the so-called political levy, the employer often collects it at the same time as the member's other union subscriptions.
Northern Ireland trade union members are legally exempt from contributing to a trade union's political fund. Any member who wishes to pay the political levy must 'contract in' to the political fund. This requirement applies to all Northern Ireland union members, regardless of where their union is headquartered.
A member who does not contract in, or having contracted in subsequently contracts out, is exempt from contributing to the political fund. Any deduction by a trade union of an amount to be paid to a political fund, without a written 'contracting in' notice, is unlawful.
A member who initially contracts in and then subsequently decides to contract out must do so in writing.
Developed withAlso on this siteContent category
Source URL
/content/payment-trade-union-political-funds
Links
The role of trade unions and their representatives
The role of trade unions and their representatives
How employers can work with trade unions on collective bargaining, information and consultation, and attendance at disciplinary and grievance hearings.
Although trade unions look after the interests of their members, they also recognise the advantages of working in partnership with employers. This is because a successful, profitable business is good for workers and, therefore, good for the union and its members.
An employer and a recognised trade union interact with the workplace in a number of ways, as set out below.
Trade unions: negotiating collective agreements
If you recognise a trade union in your workplace, you will probably have agreed with the union to bargain with it about the terms and conditions of employment of those workers who fall within a defined bargaining unit.
Sometimes, that bargaining unit will include all workers, but it is common for the unit to include just certain categories of workers, eg, production line operatives or technicians.
The objective of such collective bargaining is to conclude a collective agreement with the trade union. Where an independent trade union is recognised, the employer is obliged to disclose information to the trade union to facilitate the bargaining process.
Read the Labour Relations Agency guidance on disclosure of information to trade unions for collective bargaining purposes.
A collective agreement is between a recognised trade union (or group of unions) and an employer (or group of employers). Most typically, they set out the terms and conditions - eg, pay, benefits, and working time - to be included in the employment contracts of the workers in the bargaining unit. Other collective agreements are purely procedural and regulate the working relationship between the union(s) and the employer(s).
A collective agreement isn't legally enforceable unless it:
- is in writing
- states that it's meant to be legally enforceable
In the UK, most collective agreements are not legally enforceable.
For more information on collective bargaining and collective agreements, see recognising and derecognising a trade union.
Trade unions: Informing and consulting
Under certain circumstances, you must inform and consult with representatives of a recognised trade union about:
- collective redundancies - see redundancy: the options
- transfers of business ownership - see responsibilities to employees if you buy or sell a business
- occupational and personal pension schemes - see know your legal obligations on pensions
- health and safety - see consult your employees on health and safety
However, you could enter a voluntary agreement with a trade union to inform and consult the union about broader business and workplace issues on a regular, ongoing basis. The union may want to set up a joint consultative committee specifically for this purpose.
For further information, see how to inform and consult your employees.
Trade unions: representing workers at disciplinary and grievance hearings
Employees and other workers have the right to be accompanied at a disciplinary or grievance hearing. They can choose to be accompanied by a co-worker or a union representative. Often, the union representative will be a workplace representative who is also a co-worker.
Non and partly unionised workplaces
You may have to inform and consult other workplace representatives - known as employee representatives - where you:
- Don't recognise any trade union in your workplace.
- Do recognise a union (or unions) in your workplace, but not all your workers are represented by that union (or those unions). This may be because they do not belong to the bargaining unit for which the trade union is recognised.
Developed withAlso on this siteContent category
Source URL
/content/role-trade-unions-and-their-representatives
Links
Advantages of trade union recognition
How a recognised union can advise employers and workers on key issues.
Some employers prefer to deal directly with their workers, or their elected representatives, without trade union involvement.
However, recognising and working closely with a trade union has a number of advantages.
Single point of contact
Having a single body for negotiating terms and conditions for workers is simpler than dealing with workers individually.
However, once you have agreed to this collective style of negotiating, you'll be obliged to disclose certain information to the union for collective bargaining purposes - see recognising and derecognising a trade union.
Worker involvement
If you negotiate terms and conditions and consult on workplace issues with a recognised union:
- your workers are likely to feel more involved in the way the business is run
- you can encourage trust and commitment among the workforce
In turn, these may help your business by improving retention rates.
Experience in employment relations
Trade unions represent not only the workers in your business but many others in similar, related organisations. Therefore, they're likely to have a broad perspective on many issues affecting your organisation.
Union representatives with experience in employment relations, in particular, are a useful source of legal and good-practice advice on HR and employment law issues. This experience may be especially useful during difficult times, eg during proposed collective redundancies or business transfers - see the role of trade unions and their representatives.
If you can show the union representatives that you are interested in hearing about your workers' concerns, they, in turn, may help get your message across to their members. Even unpopular decisions may be more acceptable to your workers if you can persuade them and their union that a change is necessary for the continued health of the business. For more information, see how to inform and consult your employees.
Informing and consulting with experienced union representatives - together with input from workers - can also help you make better-informed business decisions in general, eg in relation to shift patterns or the kind of equipment you should invest in.
Developed withActionsAlso on this siteContent category
Source URL
/content/advantages-trade-union-recognition
Links
Improving relations with trade union representatives
How to ensure that relations with trade union officials run as smoothly as possible.
As an employer you have certain responsibilities towards union representatives who are your employees. However, you can improve relations with representatives and their union members by offering them help to carry out their administrative duties.
Time off work for trade union duties
If you recognise a trade union, it is normal for that trade union to appoint or elect one or more local workplace representative(s).
Employees who are such representatives of an independent, recognised trade union are entitled to reasonable time off work with pay for union duties and to undergo union training at an appropriate time.
In addition, such workplace representatives, in common with other members of the recognised trade union, are entitled to reasonable time off without pay to engage in union activities, eg, to attend the annual conference of the trade union.
When arranging time off, union representatives and the employer are expected to consider the effect of their absence in terms of health and safety, inconvenience for the employer, and the safety of the public. See trade union membership rights.
Read the Labour Relations Agency (LRA) guidance on time off for trade union duties and activities.
Information and consultation
It is a good idea to:
- inform representatives of recognised trade unions about important developments in the business that may affect their working conditions
- consult them before implementing such changes
You have specific legal obligations to inform and consult union representatives on certain matters - see the role of trade unions and their representatives.
Use of company facilities
To help union representatives carry out their duties, you could:
- allow them to use company facilities, eg, office space, telephone, and email access
- help with union administration, eg, by deducting subscriptions from employees' wages, something known as 'check-off'
If relations with trade unions break down
If relations between you and your employees and/or their unions deteriorate and you can't find a solution, outside help may be needed, eg, from the Labour Relations Agency (LRA), to improve relations or settle any dispute. See our guide on industrial disputes.
The LRA offers voluntary collective conciliation services to employees and employers experiencing collective disputes.
Developed withHelpAlso on this siteContent category
Source URL
/content/improving-relations-trade-union-representatives
Links
Paying trade union subscriptions
How you can help your workers make payments to their union via your payroll system.
Some trade union members pay their union subscriptions by deduction from their wages. The employer passes these payments directly to their union. These arrangements are commonly known as the 'check-off'.
Administering the check-off
Where check-off arrangements exist, you may lawfully make deductions only where the worker has given you their written consent and has not subsequently withdrawn that consent.
The consent must be signed and dated and contain their authorisation to check-off deductions being made from their wages. The authorisation document is effective from the date on which the worker signs it and remains valid until it is withdrawn.
You can pre-print consent forms as long as the worker signs and dates the form personally.
A union can obtain the written authorisation and then forward it to you. However, you remain responsible for ensuring that deductions are not made unlawfully.
A worker who has union subscriptions deducted from their wages by their employer may make a complaint to an industrial tribunal against the employer if the deduction was made without proper authorisation.
The duration of check-off arrangements
You are not obliged to keep making check-off deductions indefinitely. Check-off is a voluntary arrangement, and you have no statutory duty either to operate it at all or to continue to do so having started.
However, if you have entered into a contractual agreement with workers to operate check-off, you could be in breach of contract if you stopped the arrangement.
Worker's withdrawal of consent to the check-off
If a worker wants to withdraw their consent to the check-off, they must write to you notifying you that they no longer wish to have check-off deductions made. They must allow you reasonable time to stop the deductions.
The role of the union
The union has no statutory role in administering the check-off.
However, you can involve the union in carrying out your statutory duties with regard to check-off.
You could, for example, ask the union to help you get initial consent from its members. You may also choose to charge the union for the administration involved in providing the service of collecting its members' subscriptions.
However, it remains your responsibility to ensure that you act lawfully when you make check-off deductions.
Developed withAlso on this siteContent category
Source URL
/content/paying-trade-union-subscriptions
Links
Payment into trade union political funds
How you can help your workers make payments to their trade union’s political funds.
Some trade unions have established 'political funds', which they use to finance their political activities. Where individual union members pay subscriptions into a political fund, via the so-called political levy, the employer often collects it at the same time as the member's other union subscriptions.
Northern Ireland trade union members are legally exempt from contributing to a trade union's political fund. Any member who wishes to pay the political levy must 'contract in' to the political fund. This requirement applies to all Northern Ireland union members, regardless of where their union is headquartered.
A member who does not contract in, or having contracted in subsequently contracts out, is exempt from contributing to the political fund. Any deduction by a trade union of an amount to be paid to a political fund, without a written 'contracting in' notice, is unlawful.
A member who initially contracts in and then subsequently decides to contract out must do so in writing.
Developed withAlso on this siteContent category
Source URL
/content/payment-trade-union-political-funds
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Checklist: changing an employee's terms of employment
In this guide:
- Change an employee's terms of employment
- Checking the existing employment contract before making changes
- Consulting employees about changes to their terms of employment
- Failure to agree to employment contract changes
- Checklist: changing an employee's terms of employment
- Advantages and disadvantages of harmonising terms of employment
Checking the existing employment contract before making changes
How to check the details of an existing employment contract.
Before you think about altering any staff contracts, make sure you know exactly what is in the original. Every employee has a contract as soon as they start working for you, even if it has never been written down.
In addition, employees who work for you for a month or more must be given a written statement of main employment particulars within two months of joining. It is not itself a contract, but it can provide evidence of the contract's terms if there is a dispute. Read more on the written statement.
An employment contract typically includes various types of terms:
Express terms
These are terms explicitly agreed upon by both the employer and employee. They can be found in writing or verbally agreed upon. Examples include:
- Job title and description
- Pay rate
- Hours of work
- Holiday entitlement
- Notice periods
Implied terms
These are not written in the contract but are assumed to be part of it due to:
- Statutory rights (like minimum wage, working time regulations)
- Custom and practice within the workplace or industry
- Mutual trust and confidence between the employer and the employee
- The duty to provide a safe working environment
Incorporated terms
These might be included by reference from:
- Company handbooks or policies
- Terms that might be incorporated from collective bargaining agreements between recognised trade unions and employers
The Labour Relations Agency (LRA) provides guidance on these matters, including a webinar recording on Variation of Contract. This webinar focuses on what the terms of an employment contract are and the law around how and when an employer can vary these terms, emphasising the importance of consultation and agreement with employees to avoid breaches of contract or claims of constructive dismissal.
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Consulting employees about changes to their terms of employment
When and how to consult employees and their representatives.
Some contracts may contain terms that allow employers to make changes in working conditions. These should be reasonable, for example, performing additional tasks to reflect seasonal fluctuations in demand. Do not rely on such terms to make more fundamental changes because your employee may then claim the contract has been breached and may make various legal claims against you.
If you impose changes without an agreement, there will be a breach of contract. If the breach is a fundamental one eg a significant change in pay, an employee could resign and regard themselves as having been given no other choice but to do so. If they have more than one year of continuous employment with you, they can claim unfair constructive dismissal in an industrial tribunal. Damages for financial loss, for example, may also be sought in the civil courts if they have under a year of continuous service with you.
If you want to change terms or conditions in a collective agreement with a trade union that you formally recognise, you should always consult with the Trade Union to reach an agreement.
Consultation should be detailed and undertaken with a view to reaching an agreement, and you should fully explain the reasons for any changes.
ICE Regulations
The Information and Consultation of Employees (ICE) Regulations give employees in companies with 50 or more employees the right to request to be informed and consulted about significant developments in the workplace. If 10% or more of employees (subject to a minimum of 15 and a maximum of 2,500) make a valid request, businesses are required to negotiate a procedure for informing and consulting with employees.
TICE Regulations
The Transnational Information and Consultation of Employees (TICE) Regulations give employees in multinational companies the right to be represented on a European Works Council (EWC).
EWCs are designed to allow employees in different European Economic Area (EEA) states to be informed and consulted on transnational issues affecting the company. If your business has 1,000 or more employees and at least 150 employees in each of two or more EEA states, you may be subject to the legislation on transnational information and consultation.
Following the UK's withdrawal from the EU, the government has amended the TICE Regulations so that:
- No new requests to set up an EWC or Information and Consultation procedure can be made by people employed in the UK.
- Provisions relevant to the ongoing operation of existing EWCs will remain in force.
- Requests for information or to establish EWCs or Information and Consultation procedures made but not completed before the UK's withdrawal from the EU will be allowed to be completed.
See how to inform and consult your employees.
Consultation can take place on a one-to-one basis or in the form of group briefings. Whichever method you choose, you should provide an opportunity for employees to ask questions. Be prepared to answer these questions and ensure employees have the relevant information they need to prepare for the meeting. Always consider an individual's particular circumstances.
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Failure to agree to employment contract changes
What to do if you can't agree changes to employment contracts with employees.
Sometimes, despite negotiation, you may not be able to reach an agreement with an employee over changes to a contract.
But if you impose changes without agreement, there will be a breach of contract.
As noted in the previous page, if the breach of contract is a fundamental one - for instance, if it involves a significant change in pay or working hours - an employee could resign and regard themselves as having been given no other choice than to do so ('constructively dismissed'). If they have one year or more of continuous employment with you, they will be able to claim unfair constructive dismissal in an industrial tribunal.
If the breach of contract has caused them a measurable financial loss, employees can also sue for damages, either in industrial tribunals or in the ordinary courts.
Claims and awards
Industrial tribunal claims of unfair constructive dismissal must normally be made within three months of the employment ending, but civil court claims of breach of contract may be made up to six years from the date of the alleged incident.
Awards for damages in industrial tribunals are limited to £25,000 for breach of contract claims and, for unfair constructive dismissal, a compensatory award of £118,455 alongside a separate basic award (calculated on length of service, age, and weekly gross pay) capped at £22,470. These maximum amounts are reviewed annually. However, if the dismissal involves discrimination or whistleblowing, the compensation at an industrial tribunal can be unlimited, with no statutory cap.
There is no monetary limit for awards in the ordinary courts.
If employees are unable to seek damages because they have not suffered financial loss, the court may require the employer to abide by the original contract.
Contracts
You can consider terminating the original contract (dismissing the employee), provided you give the required notice. You should provide the minimum statutory notice period, or the notice specified in the employment contract, whichever is longer. See how to issue the correct periods of notice.
You can offer a new, revised contract to the dismissed employee. If the employee believes the dismissal was unfair, and they have one year or more of continuous employment with you, they may complain to an industrial tribunal. It would be up to the tribunal to decide whether the dismissal was fair or unfair.
The offer of a new contract could reduce the amount of a tribunal award because the employee's financial loss has been lessened by accepting the revised terms, or potentially, by rejecting the offer, they have not complied with their duty to lessen the loss. You should consider all other options and seek legal advice before deciding to impose a change without agreement or attempting to dismiss and re-engage. Changing a contract in this way can carry significant legal risks and can affect morale, productivity and employment relations in your organisation.
You may have to follow collective redundancy consultation procedures, even when no reduction of the workforce is planned, if you intend to impose new terms and conditions on 20 or more employees by terminating their existing contracts. Read more on the redundancy consultation process.
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Checklist: changing an employee's terms of employment
Find out the key steps to take and pitfalls to avoid when making changes to employment contracts.
You may want to change an employee's contract of employment for a number of reasons. Often, the nature of your business has changed, perhaps through expansion, a change in economic circumstances, or a reorganisation.
Things to consider when making changes to an employment contract
Make sure you:
- Familiarise yourself thoroughly with the details of any existing contracts before considering what alterations you want to make.
- Consult your staff about any changes you wish to introduce and include their trade union or other elected representatives. Simply imposing changes could mean a claim by employees for damages in a civil court, an industrial tribunal, or a constructive dismissal claim before an industrial tribunal.
- Discuss any changes with your staff in a thorough and detailed way, fully explaining the reasons for any planned alteration and taking into consideration the impact of the proposed changes in individual circumstances. Agreed changes should be confirmed in writing to the employee within one month.
- Try to negotiate a new contract if an agreement cannot be reached with an employee on changes.
- Document as much in writing as possible.
- Do not assume an employee's acceptance of changes imposed without agreement. An employee may accept the breach of contract, treat the breach as a termination of the contract, and bring a claim for constructive dismissal or continue working under protest, making it clear that the change is being treated as a breach of contract. An employee may complain to an industrial tribunal within three months of the change being imposed. The employee would have to resign and not wait too long before doing so; otherwise, it could be taken as an acceptance of the change.
Breach of contract cases can only be taken to the industrial tribunal if the employment has been terminated and the claim arises on termination of employment.
If the employee continues to work under protest, they may have to sue in a civil court unless the breach results in loss, which can be pursued through the Employment Rights (Northern Ireland) Order 1996 part 4 Protection of Wages as an unlawful deduction from wages claim. Such claims would be made to the Industrial Tribunal.
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Source URL
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Advantages and disadvantages of harmonising terms of employment
How reducing differences in pay and other terms and conditions of employment can benefit your business.
In order to reduce or eliminate differences between categories of employees, such as manual and non-manual workers, you should consider harmonising terms and conditions of employment across your business.
Harmonisation is more likely to lead to an improvement in terms and conditions rather than reducing them.
This will not only make your pay and benefits seem fairer to your staff but also help to ensure your pay and benefits system is not unlawfully discriminatory.
If you intend to use harmonisation to reduce any benefit or entitlement, it is important that this change is agreed before implementation and that the previous guidance on varying a contract of employment is followed.
What terms and conditions of employment can be harmonised?
There are different terms and conditions of employment where harmonisation can be used to benefit your business, such as:
- pensions
- overtime
- notice periods
- hours of work
- shift premiums
- canteen facilities
- sick pay schemes
- redundancy terms
- layoffs and short-time working
- holiday entitlements and holiday pay
- payment systems and methods of payment
- time-recording procedures, eg, clocking on and off
- fringe benefits, eg, health insurance, and company cars
Advantages of harmonisation
The benefits of harmonisation will vary from business to business, but may include:
- improved productivity
- more efficient administration
- improved recruitment and retention of employees
- better relationships between different grades of staff
Disadvantages of harmonisation
You may encounter certain problems when introducing harmonisation to your business, such as:
- increased wages bill and pension scheme contributions
- manager and employee resistance to changes to their status or working conditions, especially if they feel they won't personally benefit
- employee management problems if traditional controls are removed, such as clocking on and off
Harmonisation following the transfer of employees into your business
If you buy another business, the rights of any employees who transfer as part of the purchase are protected under the Transfer of Undertakings (Protection of Employment) Regulations (TUPE). Employees who transfer to your business do so with their pre-existing terms and conditions intact.
You must not change transferred employees' terms and conditions simply to harmonise them with those of your existing staff.
For more information, see responsibilities to employees if you buy or sell a business.
Introducing harmonisation
For harmonisation to succeed in your business, senior managers must be committed. Involve managers, employees, and - if applicable - workplace representatives both before you finalise any harmonisation programme and during its introduction.
Work out the costs and possible benefits of harmonisation and consider whether any of the costs will be offset by changes in working practices.
You will also need to:
- set a realistic timescale for the introduction of harmonisation
- carry out any necessary training
- monitor and maintain the changes
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Source URL
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Consulting employees about changes to their terms of employment
In this guide:
- Change an employee's terms of employment
- Checking the existing employment contract before making changes
- Consulting employees about changes to their terms of employment
- Failure to agree to employment contract changes
- Checklist: changing an employee's terms of employment
- Advantages and disadvantages of harmonising terms of employment
Checking the existing employment contract before making changes
How to check the details of an existing employment contract.
Before you think about altering any staff contracts, make sure you know exactly what is in the original. Every employee has a contract as soon as they start working for you, even if it has never been written down.
In addition, employees who work for you for a month or more must be given a written statement of main employment particulars within two months of joining. It is not itself a contract, but it can provide evidence of the contract's terms if there is a dispute. Read more on the written statement.
An employment contract typically includes various types of terms:
Express terms
These are terms explicitly agreed upon by both the employer and employee. They can be found in writing or verbally agreed upon. Examples include:
- Job title and description
- Pay rate
- Hours of work
- Holiday entitlement
- Notice periods
Implied terms
These are not written in the contract but are assumed to be part of it due to:
- Statutory rights (like minimum wage, working time regulations)
- Custom and practice within the workplace or industry
- Mutual trust and confidence between the employer and the employee
- The duty to provide a safe working environment
Incorporated terms
These might be included by reference from:
- Company handbooks or policies
- Terms that might be incorporated from collective bargaining agreements between recognised trade unions and employers
The Labour Relations Agency (LRA) provides guidance on these matters, including a webinar recording on Variation of Contract. This webinar focuses on what the terms of an employment contract are and the law around how and when an employer can vary these terms, emphasising the importance of consultation and agreement with employees to avoid breaches of contract or claims of constructive dismissal.
Developed withAlso on this siteContent category
Source URL
/content/checking-existing-employment-contract-making-changes
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Consulting employees about changes to their terms of employment
When and how to consult employees and their representatives.
Some contracts may contain terms that allow employers to make changes in working conditions. These should be reasonable, for example, performing additional tasks to reflect seasonal fluctuations in demand. Do not rely on such terms to make more fundamental changes because your employee may then claim the contract has been breached and may make various legal claims against you.
If you impose changes without an agreement, there will be a breach of contract. If the breach is a fundamental one eg a significant change in pay, an employee could resign and regard themselves as having been given no other choice but to do so. If they have more than one year of continuous employment with you, they can claim unfair constructive dismissal in an industrial tribunal. Damages for financial loss, for example, may also be sought in the civil courts if they have under a year of continuous service with you.
If you want to change terms or conditions in a collective agreement with a trade union that you formally recognise, you should always consult with the Trade Union to reach an agreement.
Consultation should be detailed and undertaken with a view to reaching an agreement, and you should fully explain the reasons for any changes.
ICE Regulations
The Information and Consultation of Employees (ICE) Regulations give employees in companies with 50 or more employees the right to request to be informed and consulted about significant developments in the workplace. If 10% or more of employees (subject to a minimum of 15 and a maximum of 2,500) make a valid request, businesses are required to negotiate a procedure for informing and consulting with employees.
TICE Regulations
The Transnational Information and Consultation of Employees (TICE) Regulations give employees in multinational companies the right to be represented on a European Works Council (EWC).
EWCs are designed to allow employees in different European Economic Area (EEA) states to be informed and consulted on transnational issues affecting the company. If your business has 1,000 or more employees and at least 150 employees in each of two or more EEA states, you may be subject to the legislation on transnational information and consultation.
Following the UK's withdrawal from the EU, the government has amended the TICE Regulations so that:
- No new requests to set up an EWC or Information and Consultation procedure can be made by people employed in the UK.
- Provisions relevant to the ongoing operation of existing EWCs will remain in force.
- Requests for information or to establish EWCs or Information and Consultation procedures made but not completed before the UK's withdrawal from the EU will be allowed to be completed.
See how to inform and consult your employees.
Consultation can take place on a one-to-one basis or in the form of group briefings. Whichever method you choose, you should provide an opportunity for employees to ask questions. Be prepared to answer these questions and ensure employees have the relevant information they need to prepare for the meeting. Always consider an individual's particular circumstances.
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Source URL
/content/consulting-employees-about-changes-their-terms-employment
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Failure to agree to employment contract changes
What to do if you can't agree changes to employment contracts with employees.
Sometimes, despite negotiation, you may not be able to reach an agreement with an employee over changes to a contract.
But if you impose changes without agreement, there will be a breach of contract.
As noted in the previous page, if the breach of contract is a fundamental one - for instance, if it involves a significant change in pay or working hours - an employee could resign and regard themselves as having been given no other choice than to do so ('constructively dismissed'). If they have one year or more of continuous employment with you, they will be able to claim unfair constructive dismissal in an industrial tribunal.
If the breach of contract has caused them a measurable financial loss, employees can also sue for damages, either in industrial tribunals or in the ordinary courts.
Claims and awards
Industrial tribunal claims of unfair constructive dismissal must normally be made within three months of the employment ending, but civil court claims of breach of contract may be made up to six years from the date of the alleged incident.
Awards for damages in industrial tribunals are limited to £25,000 for breach of contract claims and, for unfair constructive dismissal, a compensatory award of £118,455 alongside a separate basic award (calculated on length of service, age, and weekly gross pay) capped at £22,470. These maximum amounts are reviewed annually. However, if the dismissal involves discrimination or whistleblowing, the compensation at an industrial tribunal can be unlimited, with no statutory cap.
There is no monetary limit for awards in the ordinary courts.
If employees are unable to seek damages because they have not suffered financial loss, the court may require the employer to abide by the original contract.
Contracts
You can consider terminating the original contract (dismissing the employee), provided you give the required notice. You should provide the minimum statutory notice period, or the notice specified in the employment contract, whichever is longer. See how to issue the correct periods of notice.
You can offer a new, revised contract to the dismissed employee. If the employee believes the dismissal was unfair, and they have one year or more of continuous employment with you, they may complain to an industrial tribunal. It would be up to the tribunal to decide whether the dismissal was fair or unfair.
The offer of a new contract could reduce the amount of a tribunal award because the employee's financial loss has been lessened by accepting the revised terms, or potentially, by rejecting the offer, they have not complied with their duty to lessen the loss. You should consider all other options and seek legal advice before deciding to impose a change without agreement or attempting to dismiss and re-engage. Changing a contract in this way can carry significant legal risks and can affect morale, productivity and employment relations in your organisation.
You may have to follow collective redundancy consultation procedures, even when no reduction of the workforce is planned, if you intend to impose new terms and conditions on 20 or more employees by terminating their existing contracts. Read more on the redundancy consultation process.
Developed withActionsAlso on this siteContent category
Source URL
/content/failure-agree-employment-contract-changes
Links
Checklist: changing an employee's terms of employment
Find out the key steps to take and pitfalls to avoid when making changes to employment contracts.
You may want to change an employee's contract of employment for a number of reasons. Often, the nature of your business has changed, perhaps through expansion, a change in economic circumstances, or a reorganisation.
Things to consider when making changes to an employment contract
Make sure you:
- Familiarise yourself thoroughly with the details of any existing contracts before considering what alterations you want to make.
- Consult your staff about any changes you wish to introduce and include their trade union or other elected representatives. Simply imposing changes could mean a claim by employees for damages in a civil court, an industrial tribunal, or a constructive dismissal claim before an industrial tribunal.
- Discuss any changes with your staff in a thorough and detailed way, fully explaining the reasons for any planned alteration and taking into consideration the impact of the proposed changes in individual circumstances. Agreed changes should be confirmed in writing to the employee within one month.
- Try to negotiate a new contract if an agreement cannot be reached with an employee on changes.
- Document as much in writing as possible.
- Do not assume an employee's acceptance of changes imposed without agreement. An employee may accept the breach of contract, treat the breach as a termination of the contract, and bring a claim for constructive dismissal or continue working under protest, making it clear that the change is being treated as a breach of contract. An employee may complain to an industrial tribunal within three months of the change being imposed. The employee would have to resign and not wait too long before doing so; otherwise, it could be taken as an acceptance of the change.
Breach of contract cases can only be taken to the industrial tribunal if the employment has been terminated and the claim arises on termination of employment.
If the employee continues to work under protest, they may have to sue in a civil court unless the breach results in loss, which can be pursued through the Employment Rights (Northern Ireland) Order 1996 part 4 Protection of Wages as an unlawful deduction from wages claim. Such claims would be made to the Industrial Tribunal.
Developed withActionsAlso on this siteContent category
Source URL
/content/checklist-changing-employees-terms-employment
Links
Advantages and disadvantages of harmonising terms of employment
How reducing differences in pay and other terms and conditions of employment can benefit your business.
In order to reduce or eliminate differences between categories of employees, such as manual and non-manual workers, you should consider harmonising terms and conditions of employment across your business.
Harmonisation is more likely to lead to an improvement in terms and conditions rather than reducing them.
This will not only make your pay and benefits seem fairer to your staff but also help to ensure your pay and benefits system is not unlawfully discriminatory.
If you intend to use harmonisation to reduce any benefit or entitlement, it is important that this change is agreed before implementation and that the previous guidance on varying a contract of employment is followed.
What terms and conditions of employment can be harmonised?
There are different terms and conditions of employment where harmonisation can be used to benefit your business, such as:
- pensions
- overtime
- notice periods
- hours of work
- shift premiums
- canteen facilities
- sick pay schemes
- redundancy terms
- layoffs and short-time working
- holiday entitlements and holiday pay
- payment systems and methods of payment
- time-recording procedures, eg, clocking on and off
- fringe benefits, eg, health insurance, and company cars
Advantages of harmonisation
The benefits of harmonisation will vary from business to business, but may include:
- improved productivity
- more efficient administration
- improved recruitment and retention of employees
- better relationships between different grades of staff
Disadvantages of harmonisation
You may encounter certain problems when introducing harmonisation to your business, such as:
- increased wages bill and pension scheme contributions
- manager and employee resistance to changes to their status or working conditions, especially if they feel they won't personally benefit
- employee management problems if traditional controls are removed, such as clocking on and off
Harmonisation following the transfer of employees into your business
If you buy another business, the rights of any employees who transfer as part of the purchase are protected under the Transfer of Undertakings (Protection of Employment) Regulations (TUPE). Employees who transfer to your business do so with their pre-existing terms and conditions intact.
You must not change transferred employees' terms and conditions simply to harmonise them with those of your existing staff.
For more information, see responsibilities to employees if you buy or sell a business.
Introducing harmonisation
For harmonisation to succeed in your business, senior managers must be committed. Involve managers, employees, and - if applicable - workplace representatives both before you finalise any harmonisation programme and during its introduction.
Work out the costs and possible benefits of harmonisation and consider whether any of the costs will be offset by changes in working practices.
You will also need to:
- set a realistic timescale for the introduction of harmonisation
- carry out any necessary training
- monitor and maintain the changes
Developed withActionsAlso on this siteContent category
Source URL
/content/advantages-and-disadvantages-harmonising-terms-employment
Links
Failure to agree to employment contract changes
In this guide:
- Change an employee's terms of employment
- Checking the existing employment contract before making changes
- Consulting employees about changes to their terms of employment
- Failure to agree to employment contract changes
- Checklist: changing an employee's terms of employment
- Advantages and disadvantages of harmonising terms of employment
Checking the existing employment contract before making changes
How to check the details of an existing employment contract.
Before you think about altering any staff contracts, make sure you know exactly what is in the original. Every employee has a contract as soon as they start working for you, even if it has never been written down.
In addition, employees who work for you for a month or more must be given a written statement of main employment particulars within two months of joining. It is not itself a contract, but it can provide evidence of the contract's terms if there is a dispute. Read more on the written statement.
An employment contract typically includes various types of terms:
Express terms
These are terms explicitly agreed upon by both the employer and employee. They can be found in writing or verbally agreed upon. Examples include:
- Job title and description
- Pay rate
- Hours of work
- Holiday entitlement
- Notice periods
Implied terms
These are not written in the contract but are assumed to be part of it due to:
- Statutory rights (like minimum wage, working time regulations)
- Custom and practice within the workplace or industry
- Mutual trust and confidence between the employer and the employee
- The duty to provide a safe working environment
Incorporated terms
These might be included by reference from:
- Company handbooks or policies
- Terms that might be incorporated from collective bargaining agreements between recognised trade unions and employers
The Labour Relations Agency (LRA) provides guidance on these matters, including a webinar recording on Variation of Contract. This webinar focuses on what the terms of an employment contract are and the law around how and when an employer can vary these terms, emphasising the importance of consultation and agreement with employees to avoid breaches of contract or claims of constructive dismissal.
Developed withAlso on this siteContent category
Source URL
/content/checking-existing-employment-contract-making-changes
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Consulting employees about changes to their terms of employment
When and how to consult employees and their representatives.
Some contracts may contain terms that allow employers to make changes in working conditions. These should be reasonable, for example, performing additional tasks to reflect seasonal fluctuations in demand. Do not rely on such terms to make more fundamental changes because your employee may then claim the contract has been breached and may make various legal claims against you.
If you impose changes without an agreement, there will be a breach of contract. If the breach is a fundamental one eg a significant change in pay, an employee could resign and regard themselves as having been given no other choice but to do so. If they have more than one year of continuous employment with you, they can claim unfair constructive dismissal in an industrial tribunal. Damages for financial loss, for example, may also be sought in the civil courts if they have under a year of continuous service with you.
If you want to change terms or conditions in a collective agreement with a trade union that you formally recognise, you should always consult with the Trade Union to reach an agreement.
Consultation should be detailed and undertaken with a view to reaching an agreement, and you should fully explain the reasons for any changes.
ICE Regulations
The Information and Consultation of Employees (ICE) Regulations give employees in companies with 50 or more employees the right to request to be informed and consulted about significant developments in the workplace. If 10% or more of employees (subject to a minimum of 15 and a maximum of 2,500) make a valid request, businesses are required to negotiate a procedure for informing and consulting with employees.
TICE Regulations
The Transnational Information and Consultation of Employees (TICE) Regulations give employees in multinational companies the right to be represented on a European Works Council (EWC).
EWCs are designed to allow employees in different European Economic Area (EEA) states to be informed and consulted on transnational issues affecting the company. If your business has 1,000 or more employees and at least 150 employees in each of two or more EEA states, you may be subject to the legislation on transnational information and consultation.
Following the UK's withdrawal from the EU, the government has amended the TICE Regulations so that:
- No new requests to set up an EWC or Information and Consultation procedure can be made by people employed in the UK.
- Provisions relevant to the ongoing operation of existing EWCs will remain in force.
- Requests for information or to establish EWCs or Information and Consultation procedures made but not completed before the UK's withdrawal from the EU will be allowed to be completed.
See how to inform and consult your employees.
Consultation can take place on a one-to-one basis or in the form of group briefings. Whichever method you choose, you should provide an opportunity for employees to ask questions. Be prepared to answer these questions and ensure employees have the relevant information they need to prepare for the meeting. Always consider an individual's particular circumstances.
Developed withAlso on this siteContent category
Source URL
/content/consulting-employees-about-changes-their-terms-employment
Links
Failure to agree to employment contract changes
What to do if you can't agree changes to employment contracts with employees.
Sometimes, despite negotiation, you may not be able to reach an agreement with an employee over changes to a contract.
But if you impose changes without agreement, there will be a breach of contract.
As noted in the previous page, if the breach of contract is a fundamental one - for instance, if it involves a significant change in pay or working hours - an employee could resign and regard themselves as having been given no other choice than to do so ('constructively dismissed'). If they have one year or more of continuous employment with you, they will be able to claim unfair constructive dismissal in an industrial tribunal.
If the breach of contract has caused them a measurable financial loss, employees can also sue for damages, either in industrial tribunals or in the ordinary courts.
Claims and awards
Industrial tribunal claims of unfair constructive dismissal must normally be made within three months of the employment ending, but civil court claims of breach of contract may be made up to six years from the date of the alleged incident.
Awards for damages in industrial tribunals are limited to £25,000 for breach of contract claims and, for unfair constructive dismissal, a compensatory award of £118,455 alongside a separate basic award (calculated on length of service, age, and weekly gross pay) capped at £22,470. These maximum amounts are reviewed annually. However, if the dismissal involves discrimination or whistleblowing, the compensation at an industrial tribunal can be unlimited, with no statutory cap.
There is no monetary limit for awards in the ordinary courts.
If employees are unable to seek damages because they have not suffered financial loss, the court may require the employer to abide by the original contract.
Contracts
You can consider terminating the original contract (dismissing the employee), provided you give the required notice. You should provide the minimum statutory notice period, or the notice specified in the employment contract, whichever is longer. See how to issue the correct periods of notice.
You can offer a new, revised contract to the dismissed employee. If the employee believes the dismissal was unfair, and they have one year or more of continuous employment with you, they may complain to an industrial tribunal. It would be up to the tribunal to decide whether the dismissal was fair or unfair.
The offer of a new contract could reduce the amount of a tribunal award because the employee's financial loss has been lessened by accepting the revised terms, or potentially, by rejecting the offer, they have not complied with their duty to lessen the loss. You should consider all other options and seek legal advice before deciding to impose a change without agreement or attempting to dismiss and re-engage. Changing a contract in this way can carry significant legal risks and can affect morale, productivity and employment relations in your organisation.
You may have to follow collective redundancy consultation procedures, even when no reduction of the workforce is planned, if you intend to impose new terms and conditions on 20 or more employees by terminating their existing contracts. Read more on the redundancy consultation process.
Developed withActionsAlso on this siteContent category
Source URL
/content/failure-agree-employment-contract-changes
Links
Checklist: changing an employee's terms of employment
Find out the key steps to take and pitfalls to avoid when making changes to employment contracts.
You may want to change an employee's contract of employment for a number of reasons. Often, the nature of your business has changed, perhaps through expansion, a change in economic circumstances, or a reorganisation.
Things to consider when making changes to an employment contract
Make sure you:
- Familiarise yourself thoroughly with the details of any existing contracts before considering what alterations you want to make.
- Consult your staff about any changes you wish to introduce and include their trade union or other elected representatives. Simply imposing changes could mean a claim by employees for damages in a civil court, an industrial tribunal, or a constructive dismissal claim before an industrial tribunal.
- Discuss any changes with your staff in a thorough and detailed way, fully explaining the reasons for any planned alteration and taking into consideration the impact of the proposed changes in individual circumstances. Agreed changes should be confirmed in writing to the employee within one month.
- Try to negotiate a new contract if an agreement cannot be reached with an employee on changes.
- Document as much in writing as possible.
- Do not assume an employee's acceptance of changes imposed without agreement. An employee may accept the breach of contract, treat the breach as a termination of the contract, and bring a claim for constructive dismissal or continue working under protest, making it clear that the change is being treated as a breach of contract. An employee may complain to an industrial tribunal within three months of the change being imposed. The employee would have to resign and not wait too long before doing so; otherwise, it could be taken as an acceptance of the change.
Breach of contract cases can only be taken to the industrial tribunal if the employment has been terminated and the claim arises on termination of employment.
If the employee continues to work under protest, they may have to sue in a civil court unless the breach results in loss, which can be pursued through the Employment Rights (Northern Ireland) Order 1996 part 4 Protection of Wages as an unlawful deduction from wages claim. Such claims would be made to the Industrial Tribunal.
Developed withActionsAlso on this siteContent category
Source URL
/content/checklist-changing-employees-terms-employment
Links
Advantages and disadvantages of harmonising terms of employment
How reducing differences in pay and other terms and conditions of employment can benefit your business.
In order to reduce or eliminate differences between categories of employees, such as manual and non-manual workers, you should consider harmonising terms and conditions of employment across your business.
Harmonisation is more likely to lead to an improvement in terms and conditions rather than reducing them.
This will not only make your pay and benefits seem fairer to your staff but also help to ensure your pay and benefits system is not unlawfully discriminatory.
If you intend to use harmonisation to reduce any benefit or entitlement, it is important that this change is agreed before implementation and that the previous guidance on varying a contract of employment is followed.
What terms and conditions of employment can be harmonised?
There are different terms and conditions of employment where harmonisation can be used to benefit your business, such as:
- pensions
- overtime
- notice periods
- hours of work
- shift premiums
- canteen facilities
- sick pay schemes
- redundancy terms
- layoffs and short-time working
- holiday entitlements and holiday pay
- payment systems and methods of payment
- time-recording procedures, eg, clocking on and off
- fringe benefits, eg, health insurance, and company cars
Advantages of harmonisation
The benefits of harmonisation will vary from business to business, but may include:
- improved productivity
- more efficient administration
- improved recruitment and retention of employees
- better relationships between different grades of staff
Disadvantages of harmonisation
You may encounter certain problems when introducing harmonisation to your business, such as:
- increased wages bill and pension scheme contributions
- manager and employee resistance to changes to their status or working conditions, especially if they feel they won't personally benefit
- employee management problems if traditional controls are removed, such as clocking on and off
Harmonisation following the transfer of employees into your business
If you buy another business, the rights of any employees who transfer as part of the purchase are protected under the Transfer of Undertakings (Protection of Employment) Regulations (TUPE). Employees who transfer to your business do so with their pre-existing terms and conditions intact.
You must not change transferred employees' terms and conditions simply to harmonise them with those of your existing staff.
For more information, see responsibilities to employees if you buy or sell a business.
Introducing harmonisation
For harmonisation to succeed in your business, senior managers must be committed. Involve managers, employees, and - if applicable - workplace representatives both before you finalise any harmonisation programme and during its introduction.
Work out the costs and possible benefits of harmonisation and consider whether any of the costs will be offset by changes in working practices.
You will also need to:
- set a realistic timescale for the introduction of harmonisation
- carry out any necessary training
- monitor and maintain the changes
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Checking the existing employment contract before making changes
In this guide:
- Change an employee's terms of employment
- Checking the existing employment contract before making changes
- Consulting employees about changes to their terms of employment
- Failure to agree to employment contract changes
- Checklist: changing an employee's terms of employment
- Advantages and disadvantages of harmonising terms of employment
Checking the existing employment contract before making changes
How to check the details of an existing employment contract.
Before you think about altering any staff contracts, make sure you know exactly what is in the original. Every employee has a contract as soon as they start working for you, even if it has never been written down.
In addition, employees who work for you for a month or more must be given a written statement of main employment particulars within two months of joining. It is not itself a contract, but it can provide evidence of the contract's terms if there is a dispute. Read more on the written statement.
An employment contract typically includes various types of terms:
Express terms
These are terms explicitly agreed upon by both the employer and employee. They can be found in writing or verbally agreed upon. Examples include:
- Job title and description
- Pay rate
- Hours of work
- Holiday entitlement
- Notice periods
Implied terms
These are not written in the contract but are assumed to be part of it due to:
- Statutory rights (like minimum wage, working time regulations)
- Custom and practice within the workplace or industry
- Mutual trust and confidence between the employer and the employee
- The duty to provide a safe working environment
Incorporated terms
These might be included by reference from:
- Company handbooks or policies
- Terms that might be incorporated from collective bargaining agreements between recognised trade unions and employers
The Labour Relations Agency (LRA) provides guidance on these matters, including a webinar recording on Variation of Contract. This webinar focuses on what the terms of an employment contract are and the law around how and when an employer can vary these terms, emphasising the importance of consultation and agreement with employees to avoid breaches of contract or claims of constructive dismissal.
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Consulting employees about changes to their terms of employment
When and how to consult employees and their representatives.
Some contracts may contain terms that allow employers to make changes in working conditions. These should be reasonable, for example, performing additional tasks to reflect seasonal fluctuations in demand. Do not rely on such terms to make more fundamental changes because your employee may then claim the contract has been breached and may make various legal claims against you.
If you impose changes without an agreement, there will be a breach of contract. If the breach is a fundamental one eg a significant change in pay, an employee could resign and regard themselves as having been given no other choice but to do so. If they have more than one year of continuous employment with you, they can claim unfair constructive dismissal in an industrial tribunal. Damages for financial loss, for example, may also be sought in the civil courts if they have under a year of continuous service with you.
If you want to change terms or conditions in a collective agreement with a trade union that you formally recognise, you should always consult with the Trade Union to reach an agreement.
Consultation should be detailed and undertaken with a view to reaching an agreement, and you should fully explain the reasons for any changes.
ICE Regulations
The Information and Consultation of Employees (ICE) Regulations give employees in companies with 50 or more employees the right to request to be informed and consulted about significant developments in the workplace. If 10% or more of employees (subject to a minimum of 15 and a maximum of 2,500) make a valid request, businesses are required to negotiate a procedure for informing and consulting with employees.
TICE Regulations
The Transnational Information and Consultation of Employees (TICE) Regulations give employees in multinational companies the right to be represented on a European Works Council (EWC).
EWCs are designed to allow employees in different European Economic Area (EEA) states to be informed and consulted on transnational issues affecting the company. If your business has 1,000 or more employees and at least 150 employees in each of two or more EEA states, you may be subject to the legislation on transnational information and consultation.
Following the UK's withdrawal from the EU, the government has amended the TICE Regulations so that:
- No new requests to set up an EWC or Information and Consultation procedure can be made by people employed in the UK.
- Provisions relevant to the ongoing operation of existing EWCs will remain in force.
- Requests for information or to establish EWCs or Information and Consultation procedures made but not completed before the UK's withdrawal from the EU will be allowed to be completed.
See how to inform and consult your employees.
Consultation can take place on a one-to-one basis or in the form of group briefings. Whichever method you choose, you should provide an opportunity for employees to ask questions. Be prepared to answer these questions and ensure employees have the relevant information they need to prepare for the meeting. Always consider an individual's particular circumstances.
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Failure to agree to employment contract changes
What to do if you can't agree changes to employment contracts with employees.
Sometimes, despite negotiation, you may not be able to reach an agreement with an employee over changes to a contract.
But if you impose changes without agreement, there will be a breach of contract.
As noted in the previous page, if the breach of contract is a fundamental one - for instance, if it involves a significant change in pay or working hours - an employee could resign and regard themselves as having been given no other choice than to do so ('constructively dismissed'). If they have one year or more of continuous employment with you, they will be able to claim unfair constructive dismissal in an industrial tribunal.
If the breach of contract has caused them a measurable financial loss, employees can also sue for damages, either in industrial tribunals or in the ordinary courts.
Claims and awards
Industrial tribunal claims of unfair constructive dismissal must normally be made within three months of the employment ending, but civil court claims of breach of contract may be made up to six years from the date of the alleged incident.
Awards for damages in industrial tribunals are limited to £25,000 for breach of contract claims and, for unfair constructive dismissal, a compensatory award of £118,455 alongside a separate basic award (calculated on length of service, age, and weekly gross pay) capped at £22,470. These maximum amounts are reviewed annually. However, if the dismissal involves discrimination or whistleblowing, the compensation at an industrial tribunal can be unlimited, with no statutory cap.
There is no monetary limit for awards in the ordinary courts.
If employees are unable to seek damages because they have not suffered financial loss, the court may require the employer to abide by the original contract.
Contracts
You can consider terminating the original contract (dismissing the employee), provided you give the required notice. You should provide the minimum statutory notice period, or the notice specified in the employment contract, whichever is longer. See how to issue the correct periods of notice.
You can offer a new, revised contract to the dismissed employee. If the employee believes the dismissal was unfair, and they have one year or more of continuous employment with you, they may complain to an industrial tribunal. It would be up to the tribunal to decide whether the dismissal was fair or unfair.
The offer of a new contract could reduce the amount of a tribunal award because the employee's financial loss has been lessened by accepting the revised terms, or potentially, by rejecting the offer, they have not complied with their duty to lessen the loss. You should consider all other options and seek legal advice before deciding to impose a change without agreement or attempting to dismiss and re-engage. Changing a contract in this way can carry significant legal risks and can affect morale, productivity and employment relations in your organisation.
You may have to follow collective redundancy consultation procedures, even when no reduction of the workforce is planned, if you intend to impose new terms and conditions on 20 or more employees by terminating their existing contracts. Read more on the redundancy consultation process.
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Checklist: changing an employee's terms of employment
Find out the key steps to take and pitfalls to avoid when making changes to employment contracts.
You may want to change an employee's contract of employment for a number of reasons. Often, the nature of your business has changed, perhaps through expansion, a change in economic circumstances, or a reorganisation.
Things to consider when making changes to an employment contract
Make sure you:
- Familiarise yourself thoroughly with the details of any existing contracts before considering what alterations you want to make.
- Consult your staff about any changes you wish to introduce and include their trade union or other elected representatives. Simply imposing changes could mean a claim by employees for damages in a civil court, an industrial tribunal, or a constructive dismissal claim before an industrial tribunal.
- Discuss any changes with your staff in a thorough and detailed way, fully explaining the reasons for any planned alteration and taking into consideration the impact of the proposed changes in individual circumstances. Agreed changes should be confirmed in writing to the employee within one month.
- Try to negotiate a new contract if an agreement cannot be reached with an employee on changes.
- Document as much in writing as possible.
- Do not assume an employee's acceptance of changes imposed without agreement. An employee may accept the breach of contract, treat the breach as a termination of the contract, and bring a claim for constructive dismissal or continue working under protest, making it clear that the change is being treated as a breach of contract. An employee may complain to an industrial tribunal within three months of the change being imposed. The employee would have to resign and not wait too long before doing so; otherwise, it could be taken as an acceptance of the change.
Breach of contract cases can only be taken to the industrial tribunal if the employment has been terminated and the claim arises on termination of employment.
If the employee continues to work under protest, they may have to sue in a civil court unless the breach results in loss, which can be pursued through the Employment Rights (Northern Ireland) Order 1996 part 4 Protection of Wages as an unlawful deduction from wages claim. Such claims would be made to the Industrial Tribunal.
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Advantages and disadvantages of harmonising terms of employment
How reducing differences in pay and other terms and conditions of employment can benefit your business.
In order to reduce or eliminate differences between categories of employees, such as manual and non-manual workers, you should consider harmonising terms and conditions of employment across your business.
Harmonisation is more likely to lead to an improvement in terms and conditions rather than reducing them.
This will not only make your pay and benefits seem fairer to your staff but also help to ensure your pay and benefits system is not unlawfully discriminatory.
If you intend to use harmonisation to reduce any benefit or entitlement, it is important that this change is agreed before implementation and that the previous guidance on varying a contract of employment is followed.
What terms and conditions of employment can be harmonised?
There are different terms and conditions of employment where harmonisation can be used to benefit your business, such as:
- pensions
- overtime
- notice periods
- hours of work
- shift premiums
- canteen facilities
- sick pay schemes
- redundancy terms
- layoffs and short-time working
- holiday entitlements and holiday pay
- payment systems and methods of payment
- time-recording procedures, eg, clocking on and off
- fringe benefits, eg, health insurance, and company cars
Advantages of harmonisation
The benefits of harmonisation will vary from business to business, but may include:
- improved productivity
- more efficient administration
- improved recruitment and retention of employees
- better relationships between different grades of staff
Disadvantages of harmonisation
You may encounter certain problems when introducing harmonisation to your business, such as:
- increased wages bill and pension scheme contributions
- manager and employee resistance to changes to their status or working conditions, especially if they feel they won't personally benefit
- employee management problems if traditional controls are removed, such as clocking on and off
Harmonisation following the transfer of employees into your business
If you buy another business, the rights of any employees who transfer as part of the purchase are protected under the Transfer of Undertakings (Protection of Employment) Regulations (TUPE). Employees who transfer to your business do so with their pre-existing terms and conditions intact.
You must not change transferred employees' terms and conditions simply to harmonise them with those of your existing staff.
For more information, see responsibilities to employees if you buy or sell a business.
Introducing harmonisation
For harmonisation to succeed in your business, senior managers must be committed. Involve managers, employees, and - if applicable - workplace representatives both before you finalise any harmonisation programme and during its introduction.
Work out the costs and possible benefits of harmonisation and consider whether any of the costs will be offset by changes in working practices.
You will also need to:
- set a realistic timescale for the introduction of harmonisation
- carry out any necessary training
- monitor and maintain the changes
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New starter pack for staff
In this guide:
- Job offers and staff inductions
- Deciding on your successful job candidate
- Making a job offer to the successful candidate
- Advantages of job inductions
- Preparing for an induction
- Induction programme: what to include
- New starter pack for staff
- Tailoring the induction to the worker
- Inducting new employees - Granville Ecopark Limited
Deciding on your successful job candidate
Selecting the most suitable candidate for a job and contacting unsuccessful applicants.
After you have completed the assessment stage, eg, the interviews and tests, you should make your final selection decision as soon as possible.
To help you reach that decision, you should take notes during the interview as questions are being answered. This will ensure that what is said is reflected as accurately as possible.
Immediately after the interview, you should then finalise your notes and other relevant details.
This is useful for both decision-making and providing feedback to the candidates if requested. Bear in mind that shortlisted candidates may request access to their interview notes or any other documentation related to the recruitment process as part of any legal process.
Making fair recruitment decisions
To make the decision-making process fair and avoid any potentially unlawful discrimination, you should choose the candidate who most closely meets your selection criteria.
To do this:
- Use a structured scoring system, rating candidates against your selection criteria. This allows you to compare a candidate's score with your ideal score.
- If you use a less formal system for comparing candidates, you must try to make your assessments on an equal basis.
- Try making an assessment sheet showing the reasons for making offers, putting candidates on hold, or rejecting them. Your reasons should relate to your selection criteria, interview questions, and, if applicable, the results of other tests or assessments.
Once you've made your choice, you need to make the successful candidate a job offer. See making a job offer to the successful candidate.
Decide on second and third choices, if possible, in case your first choice turns down the position.
In addition, a reserve list could be compiled, giving you greater flexibility to make further appointments in the event that similar future vacancies arise during a defined period (eg, six months). Reference to a reserve list being compiled would need to be made in the advertisement.
Dealing with unsuccessful applicants
You should let all unsuccessful applicants, whether shortlisted for assessment or not, know of your decision not to employ them as soon as possible.
If you are delayed in making your decision, eg, because you are waiting for your first choice to respond, let them know of the delay by phone, email, or letter.
Be prepared to give feedback to unsuccessful candidates. They might want to know their relative strengths and also where they might do better next time.
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Making a job offer to the successful candidate
Unconditional job offers and what to do if the offer is subject to the candidate meeting certain conditions.
Once you've chosen who you'd like to employ, you may wish to make them a job offer by telephone. This can help you quickly establish if the individual wants to accept the post.
If that is the case, you can go on to discuss any terms of employment that need to be agreed upon - eg their salary, wages, and benefits.
Job offer letters
If your chosen candidate accepts your offer of employment verbally, you should then send them a formal job offer letter including:
- their name
- their job title
- the terms on which the job is offered
- the date agreed that their employment will start
- whether they will have a probationary period
- any conditions, eg, checks on eligibility to work in the UK and take up the employment in question
- evidence of any qualifications required for the role
- details of any action required by the candidate to meet those conditions, eg, production of suitable evidence proving that they have the right to work in the UK
You should bear in mind that an offer letter can form part of an employee's employment contract. You must therefore ensure that the terms and conditions outlined in the offer letter are correct, as these can be contractually enforceable.
Sample letter of a job offer to the successful candidate (DOC, 12K).
Written statement of employment
You must also give new employees a written statement of their main terms and conditions of employment within two months of the starting date if they are going to be working with you for a period of one month or more.
For further information, see the employment contract.
Ask the candidate to send you a signed copy of the offer letter - this establishes the terms on which the offer was made, in case of any disputes.
Note that if the job offer is unconditional and the candidate accepts it, a contract of employment exists between you and them.
This means that they may benefit from certain employment-protection rights, eg, a claim of discrimination, even if they haven't actually started working for you.
However, you should note that the right to claim discrimination applies even if no job offer has been made.
Making conditional offers of employment
Offers can be subject to candidates meeting certain conditions based on your pre-employment checks, such as:
- a criminal records check (CRC) via AccessNI
- a medical examination - if relevant, this must apply to all prospective workers, not just those with a disability
- providing suitable references - you should be aware that the referees may refuse to provide a reference or may wrongly indicate an applicant's suitability
- providing proof that they have the right to be and work in the UK - read more on ensuring your workers are eligible to work in the UK
Employment offers can also be made subject to the successful completion of a probationary period.
You will need to carry out the necessary checks as soon as possible and before the employment starts - most prospective workers won't wish to hand in their notice until they have had an unconditional offer of employment from you.
Assuming your first choice candidate meets all the conditions, you should send them another - unconditional - offer letter. If they can't meet the conditions, you can withdraw your offer and turn to your second-choice candidate if you have one.
Avoiding unlawful discrimination when making offers of employment
You should ensure that no one is discouraged or excluded from accepting a job because of, for example, their gender, gender reassignment, marital or civil partnership status, religious belief or political opinion, disability, sexual orientation, race, pregnancy, ethnicity, or age.
If you are found to be operating discriminatory recruitment practices, an unsuccessful job applicant may be able to bring an unlawful discrimination claim to an industrial tribunal or fair employment tribunal - even if you were unaware of such practices.
If their claim is successful, there is no cap on the amount of compensation that the tribunal can award.
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Advantages of job inductions
Job induction training can help maximise motivation and understanding of the work for a new employee.
Once your chosen candidate has accepted an unconditional offer of employment, you need to start planning their job induction training.
What is a job induction?
Job induction is the formal process of welcoming an employee to an organisation. Job induction usually involves highlighting the purpose, goals, and values of the organisation. You might also explain the function of various teams or departments within your organisation through the job induction process. The induction offers a good opportunity to identify any training that the new candidate may need to help them perform their role.
Advantages of carrying out an induction
You should carry out induction training as it will help benefit new staff by helping them to:
- establish themselves quickly in their job and therefore maximise their productivity
- become motivated to do well and fit into the business early on
- understand any health and safety issues relating to their job - this will not only help to reduce accidents at work but also help you ensure that you are meeting your duty of care obligations under the health and safety legislation
- understand your business culture
Why is a job induction important?
Investing time in inducting new employees will give new workers a good grounding and help them make fewer mistakes in the long run. The highest level of staff turnover is among newer workers, so the early period spent with your business must leave a good impression on them.
You should also consider carrying out a basic induction for workers who are changing jobs within the business. For those workers returning after a long absence, eg, maternity leave or a period of illness, a welcome back meeting would be beneficial. See tailoring the induction to the worker and our induction templates:
For more information on job inductions, download the recruiting new employees section from the Employers' Handbook (PDF, 170K).
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Preparing for an induction
Prepare induction checklists, inform key workers, and ensure newcomers feel welcome.
Preparation is the key to a good staff induction.
Before the worker starts
- Tell other people that there's a new starter, prepare their working area, organise any equipment necessary, and have any documentation ready for them to read.
- Consider providing them with an information pack about the job before they begin work - see new starter pack for staff.
- Prepare an induction checklist including all the items that need to be covered, what needs to be done, and when. You can plan for the induction to be spread over a period of days or weeks, depending on the nature of the job.
- Make sure that the key people who will be involved in the induction process have been briefed.
- Arrange in advance any instruction or training courses needed, eg, on your IT systems.
Once the worker starts
- Ensure that when the new recruit arrives, they are made to feel welcome.
- Get one person, ideally, their line manager, to take care of a new starter throughout the first day.
- Make sure they know how any office machinery works, and the location of commonly used facilities, eg, the post room, stationery store, and lavatories.
- It is a good idea to get new workers to complete some kind of work on their first day. This can help them relate what they are learning to their job.
- Include informal aspects such as whether the tea, coffee, and biscuits are free or whether there is a kitty.
- Ask for feedback during and after the process to check that you haven't missed anything. You might want to give the new starter a checklist and ask them to sign it to show it has been completed.
- It could be beneficial to provide a mentor for the new employee - this would likely be another member of staff who works within their team and is familiar with the type of work they will be doing.
Once you have established a good induction procedure, it is useful to set it out in writing and use it whenever a new person starts.
Induction templates
To help you devise your staff induction activities, download and use our sample induction plans:
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Induction programme: what to include
Sort out bank details and health and safety information, confirm terms and conditions, and introduce staff.
You should provide information to a new worker at a rate that allows them to understand it properly. Explain what the business does and how they and their role fits in.
You may like to arrange an employee induction programme to include sessions with different members of staff so they can explain their role and their team's role in relation to the business activities. There are a number of business areas you could cover through your induction programme, which we have outlined below.
Employee induction on administration
You may need to provide the new worker with:
- details of any occupational pension scheme
- a copy of any procedures and employee handbooks
- any uniforms and standard equipment they will need to perform their job role
Induction: terms and conditions of employment
It is a legal requirement for employers to give their employees a written statement of terms and conditions of employment within two months of starting work, except for those employees who will be working for less than one month.
It is a good idea to go through this with the new worker during the induction programme and give them details of issues such as:
- hours of work - including breaks
- sickness and holiday procedures
- disciplinary and grievance procedures
Induction: health and safety
You are legally required to provide workers with any health and safety information they need to carry out their job safely. Provide them with a copy of the business's health and safety policy and get them to sign it once they have read it. What should be in your health and safety policy?
You must inform new workers, preferably on the first day, of fire safety procedures and what to do if the fire alarm sounds. If there are particular hazards, eg, in a factory or on a building site, you must ensure that new workers are made aware of them and what precautions need to be taken.
New to the job - staying safe at work.
It is a good idea to show the new workers where they:
- may smoke outside your premises - if at all
- can read your drugs and alcohol policy
For more information, see workplace policies on smoking, drugs and alcohol.
If their job involves the use or operation of machinery, you must ensure that they are properly trained, that they understand any associated risks, and that they have appropriate safety equipment. Make sure the worker knows how to operate any equipment they will be using and show them where spares, replacements, and other materials they may need are kept.
Tour of the business premises as part of the induction
Show new workers where they will be working and the location of any facilities they will need to access.
Introduction to colleagues during induction
Introduce new workers to their team colleagues in turn, and to:
- their line manager
- those responsible for human resources, training and/or IT support
- the health and safety officer
- trade union or employee representatives
Introduction to the job
You should take them through what their job entails and how this fits in with the rest of the business. It may be a good idea to buddy them with an established member of staff who can show them how to perform certain work-related tasks. You may also find that regular catch-up meetings with the new staff member in the early stages of their employment will help you maintain their progression and address any problems or concerns they may have before they become a major issue.
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New starter pack for staff
What a new starter pack should contain, including documents such as a staff handbook or organisational chart.
It may be useful to put together a new starter pack of information which can be given to new staff. New starter packs could be either sent when they have accepted the job or given to the worker on the day they begin work.
What should a new starter pack contain?
A new starter pack could contain information about the organisation, employment documents, and facilities such as:
- a letter welcoming them to the organisation
- the latest annual report
- introductory information about the business, including a brochure or other marketing materials, your strategic narrative, any sports or social clubs, or any other workplace benefits
- an organisational chart
- the latest staff newsletter
- health and safety arrangements
- their terms and conditions of employment
- a copy of the staff handbook
- specific information about their role, including their job description, an organisation chart, and any material about the team they will join
- any other policies, rules, or procedures that apply to your business
- a diagram setting out the location of photocopiers, meeting rooms, eating facilities, lavatories, and fire exits
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Tailoring the induction to the worker
Alter your induction programme to suit the needs of different sorts of workers.
The majority of new staff will need a similar type of induction. However, some starters may need a programme that is tailored to take into account their special circumstances.
For instance, if you employ young people who are new to the workplace, you must ensure that they receive adequate information regarding health and safety in the workplace, as they may be unaware of the risks it presents.
Returning employees
For people returning to your employment after a long period away, you should make them aware of major new developments in the workplace, eg, reorganisations. If you have introduced new ways of working since they last worked for you, they may need additional training. If staff need to acquire updated knowledge, identify it fully and agree to an updated training programme with them. This will maximise involvement and commitment. See develop a staff training plan.
Directors will need to know more about the finances, strategy, and development objectives of the business than other workers. Read more on recruiting directors.
Workers with disabilities may have special needs in terms of access, using equipment, and communicating with colleagues. As such, you may be legally obliged to make reasonable adjustments to your premises and/or the worker's job. Employers will need to ensure that any induction process has been adjusted in order to accommodate any new starters with a disability. Read more on support if you employ someone who is disabled.
When planning an induction, you may also wish to take into account those whose first language is not English.
You should also be sensitive to cultural or religious customs and make sure your induction process is not discriminatory.
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Job offers and staff inductions
Inducting new employees - Granville Ecopark Limited
How the Dungannon-based business welcomes new staff through induction and training programmes.
Granville EcoPark is an enhanced anaerobic digestion facility that processes food waste to create renewable energy. The business based in Dungannon, County Tyrone, employs 33 people.
Pauline McCrory, HR and Marketing Manager, explains how Granville EcoPark welcomes and supports new staff through a range of steps, including a two-week induction with job shadowing, bespoke training and an assessment programme.
Our challenge
"With a small workforce of 33 staff, the company employs individuals with a diverse range of skills that are essential to the operation of a successful anaerobic digestion business."
"Our business is unique, so it can be a challenge to hire employees with the specific skills and experience required for our type of business operation. When we find the right staff, we recognise the importance of retaining them by welcoming them into the organisation and quickly identifying any training that is needed to help them perform their role."
"The first two weeks in a job are a crucial time for all new employees. This is when there is traditionally the highest level of staff turnover. We work to ensure that this early period is spent helping employees feel established via a structured programme of training and support."
"In the past, we had a less formal emphasis on staff induction. This relaxed 'hit the ground running' approach resulted in low retention rates of 58% and poor organisational culture."
How did we meet these challenges?
"We took active steps to improve our retention rates and boost employee morale at the staff induction phase. We developed a tailored two-week induction timetable. This schedule uses a mix of training methods and aims to ensure that new employees establish themselves quickly and feel motivated to do well. During this induction period, the new recruit learns about company values, policies and procedures. We accompany this with job shadowing."
"Each new recruit is assigned an induction buddy, who will take the employee through the job role and shadow the experienced team member. Induction buddies aim to demonstrate our business values and help new staff understand what the company does and why we do it, as well as being a section within the induction. We have found this job shadowing system an excellent method of building a rapport between new staff and their future teammates."
"Every new operational employee will also receive ground-up training in the engineering and scientific process required for them to fulfil their job role. This bespoke training is followed by an assessment at the end of a six-month probationary period."
Bespoke training and assessment programme
"The bespoke training programmes and assessments have been designed in-house by management team members. Our approach is to confirm understanding at every stage. All new operators receive a workbook folder at their three-month progress review. They have a further three months to complete it while working on the job and during this time, they are encouraged to ask anyone in the team for help in finding the answers."
"At the end of the six-month probationary period, each new operator will have an assessment of their development. We evaluate whether they meet the necessary standards through their workbooks and verbal exams. The verbal exams assess the individual's confidence and knowledge in each area. If a new operator passes these steps, they will be promoted to a position as a plant operator and receive a pay rise to reflect this."
"If a recruit fails to qualify for the next stage, they receive a two-month extension to develop their skills and re-take the assessment. We have found that this approach leads to an 80% pass rate for new employees. Our assessments are designed so that only the most suitable individuals will progress, which reflects the demanding and challenging job role that they are undertaking."
The benefits
"Our revised approach to staff induction through job shadowing and formal training combined with assessment has delivered benefits to both new staff and Granville EcoPark. These improvements range from reducing employee turnover to increasing operational efficiency and boosting staff morale and organisational communication at all levels."
"Within eight months of implementing these changes alongside the creation of company committees and wellbeing programmes, the average staff retention rate has risen to 93%, an impressive increase of 60% in a short time."
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Dismissals relating to industrial action
In this guide:
- Dismissing employees
- Types of employee dismissal
- Fair dismissal
- Unfair dismissal
- Unfair dismissal: employee eligibility
- Dismissals on capability grounds
- Dismissal due to illness
- Dismissals relating to industrial action
- Dismissals on conduct grounds
- Whistleblowing and dismissal
- Whistleblowing: Qualifying disclosures
- Whistleblowing: Exceptionally serious failures
- Whistleblowing: Right of complaint to an industrial tribunal
Types of employee dismissal
The different types of staff dismissal and unfair dismissal claims.
There are several types of staff dismissal:
- fair dismissal
- unfair dismissal
- constructive dismissal
- wrongful dismissal
Fair and unfair dismissal
A dismissal is fair or unfair depending on your reason or reasons for dismissal and whether you act reasonably during the dismissal process. Industrial tribunals/arbitrators follow previous legal decisions in deciding what is reasonable. What is unfair dismissal and what is fair dismissal?
Constructive dismissal
Constructive dismissal occurs where an employee resigns because you have substantially breached their employment contract, for example:
- cutting wages without agreement
- unlawfully demoting them
- allowing colleagues to subject them to harassment, bullying, victimisation, humiliation or discrimination
- unfairly increasing their workload
- changing the location of their workplace without contractual authority
- making them work in dangerous conditions
The breach of contract can result from either a single serious event or the last in a series of less serious events.
An individual may claim constructive unfair dismissal. A constructive dismissal is not necessarily an unfair one but it's hard for an employer to show that an action in breach of the contract was, in fact, fair.
Wrongful dismissal
Wrongful dismissal is where a contractual term is broken in the dismissal process, for example, dismissing an employee without giving them proper notice.
For further information see the Employers' Handbook Section 18: Disciplinary issues and dismissal (PDF, 95K).
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Fair dismissal
You must have a valid reason for dismissing an employee - understand the reasons that constitute a fair dismissal.
To dismiss an employee fairly, you must first have a fair reason for doing so. Potential reasons for fair dismissal include:
- conduct
- capability
- redundancy
- a statutory requirement which could prevent the employment continuing, such as a driver losing their driving licence
- some other substantial reason - any other potentially fair reasons fall into this category
An example of 'some other substantial reason' would be the dismissal of an employee who was taken on as a temporary replacement for an employee on maternity leave. For such a dismissal to be fair, you must have told the replacement employee at the beginning of their employment that the job was only temporary.
In order for any dismissal to be fair, you must also act reasonably and fairly during the dismissal procedure.
Acting reasonably
There is no statutory definition of 'reasonableness'. Reasonableness will be judged taking into account the employer's size and resources and will also consider whether the employer:
- raised and dealt with the issue promptly and consistently throughout the process
- genuinely believed that the reason for dismissal was a potentially fair one
- had reasonable grounds for that belief
- carried out proper and reasonable investigations where appropriate
- followed statutory dismissal and disciplinary procedures
- informed the employee in writing why they were being considered for dismissal and listened to their views
- allowed the employee to be accompanied at disciplinary/dismissal hearings and appeals
- gave the employee the chance to appeal against the decision to dismiss
Reasonableness may also depend on whether the employee could be expected to understand the consequences of their behaviour.
Dismissal and disciplinary procedures
You must set out your dismissal and disciplinary rules and procedures in writing. Sample dismissal procedures (DOC, 14K).
There is a minimum statutory procedure that must be followed when you decide to dismiss an employee. Failure to follow this procedure may result in a finding of automatic unfair dismissal.
If you fail to follow the statutory procedure, where it applies, and the issue is subsequently heard by a tribunal, any compensation awarded to the employee could be increased by between 10% and 50%.
You should follow the good practice advice set out in the Labour Relations Agency (LRA) Code of Practice on Discipline and Grievance.
Additional advice, including sample procedures, can be found in the LRA guidance on advice on handling discipline and grievances at work.
Though tribunals/arbitrators do not have to take this booklet into account, it provides more detail and guidance which may be helpful.
Summary dismissals
Summary dismissal is the dismissal of an employee without notice or pay in lieu of notice - this occurs when they have committed an act of gross misconduct.
You should investigate the circumstances of the misconduct before dismissing the employee.
However, if you feel that you have no choice but to dismiss an employee, you must still follow statutory procedures.
Staff probationary periods
If you decide to dismiss an employee during their probationary period, you must follow at least the statutory dismissal and disciplinary procedure.
Third-party pressure to dismiss an employee
If a customer or client threatens to withdraw their business unless you dismiss one of your employees, only an industrial tribunal/arbitrator can determine whether or not such a dismissal is fair. Such dismissals are normally categorised as 'some other substantial reason'.
You cannot however take into account pressure exerted by a trade union by the calling or threatening of industrial action.
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Unfair dismissal
Reasons that automatically constitute the unfair dismissal of an employee.
Even if you think you have dismissed an employee fairly, they could decide to bring an unfair dismissal claim because they believe that:
- the reason you gave for the dismissal wasn't the real one
- you dismissed them for an unfair reason - see unfair dismissal
- you acted unreasonably, eg by failing to give the employee plenty of warning in the run-up to taking the decision to dismiss them
How to fairly dismiss an employee fairly
If you think you may have to dismiss an employee, make sure that you:
- Have a fair reason for dismissal.
- Follow - at the very least - the statutory dismissal procedure. If you unreasonably fail to follow the statutory dismissal procedure and the issue is heard at tribunal, any compensation awarded to the employee could be increased by between 10% and 50%.
- Follow any contractual disciplinary/dismissal procedure you may have, as well as the guidance outlined in the Labour Relations Agency (LRA) Code of Practice on Disciplinary and Grievance Procedures. Your contractual procedure should comply with the code.
See fair dismissal.
Penalties for unfair dismissals
If an employee has been unfairly dismissed, the employer may be ordered to reinstate or reengage the employee. This however is an exceptional outcome.
Invariably, a tribunal or arbitrator will award compensation, made up of a basic award that depends on the employee's age, gross weekly pay, length of service, and a compensatory award.
They can also make an additional award if you fail to follow an order to reinstate or re-engage the employee.
Apart from in health and safety and whistleblowing cases, there is a limit on the amount which can be awarded for unfair dismissal. For the latest limits on awards, see our table of current tribunal and arbitration compensation limits.
The Labour Relations Agency Arbitration Scheme
The Labour Relations Agency (LRA) Arbitration Scheme provides an alternative to having a case heard by a tribunal to resolve an employment-related dispute (for example, claims of unfair dismissal, breach of contract or discrimination, etc).
The scheme is quicker, confidential, non-legalistic, less formal, and more cost-effective than a tribunal hearing.
Under the scheme, an arbitrator's decision is binding as a matter of law and has the same effect as a tribunal.
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Unfair dismissal: employee eligibility
Employer consequences if you dismiss someone unfairly.
Employees can usually only claim unfair dismissal if they have worked for you for at least one year.
There are a number of reasons for dismissal that are automatically unfair. Most of these do not require the employee to have a minimum of one year's service, ie the employee will be able to claim unfair dismissal from day one of employment.
Who cannot complain to a tribunal about unfair dismissal?
The right to complain to a tribunal about unfair dismissal is also not available to:
- Self-employed people.
- Those who are not employees, eg, casual workers, independent contractors or freelance agents.
- Members of the armed forces.
- Employees who have reached a settlement with their employer via Labour Relations Agency (LRA) conciliation.
- Individuals working under an illegal contract, eg, a barman who is under the age of 18 years old or employees in receipt of untaxed monies.
- Employees covered by a dismissal procedure agreement that has been exempted from the unfair dismissal provisions by legislation. This is a rarely exercised legal provision.
- Employees taking part in unofficial industrial action (unless the dismissal is for certain specified reasons, eg, taking family leave or making a protected disclosure). For more information, see the page in this guide on dismissals relating to industrial action.
- The police (although police staff may make unfair dismissal claims where the dismissal relates to health and safety or the making of a protected disclosure).
- Those employed as a master - or as a member of the crew - of a fishing vessel where the individual is paid only by a share in the profits or gross earnings of the vessel.
- Employees who have reached a settlement with their employer via a 'compromise agreement'. This is an agreement reached, with the benefit of a relevant independent advisor who has professional indemnity insurance, in which the employee waives their right to make a complaint in relation to the dispute to which the settlement relates. This means that the agreement must specify the legal basis for the dispute - it cannot state that it covers all the possible employment-related claims.
Exemption from the unfair dismissal provisions
The parties to a dismissal-procedures agreement can apply jointly to the Department for the Economy to substitute provisions of the unfair dismissal legislation. Such substitution may be allowed if all the following points are satisfied:
- every trade union which is a party to the agreement is independent
- the agreement has a procedure to be followed if an employee claims to have been unfairly dismissed
- the procedure is non-discriminatory and available to all relevant employees
- the procedure gives employees a similar level of protection to that provided by the legislation
- the agreement includes provision either for arbitration in every case or allows arbitration in cases where a decision can't be reached or where a decision raises a question of law
- the agreement clearly defines which employees it applies to
Lay-offs and short-time working
You may temporarily lay off an employee or put them on short-time working, eg because of a downturn in work. This does not necessarily amount to a redundancy dismissal. You can only do this if the terms of their contract of employment allow it or by agreement with the employee. See Employers' Handbook Section 23: Lay-off and short time working (PDF, 33K).
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Dismissals on capability grounds
How to dismiss an employee fairly when they are incapable of doing their job properly or commit some form of misconduct.
Sometimes an employee is incapable of doing their job to the required standard. This may be because they don't have the right skills or aptitude for the job.
They may also be capable of doing their job, but unwilling or reluctant to do it properly. In these particular circumstances, you would deal with the issue as one of misconduct and follow your company disciplinary procedures and the statutory dismissal and disciplinary procedures (if they apply). Otherwise capability is a separate dismissal category to misconduct. See dismissals on conduct grounds.
In most cases involving capability, you can help an employee improve by taking informal action, eg by offering training/mentoring or another suitable job (you would only redeploy to another suitable job if this is something that they agree to at this stage).
Capability dismissals: lack of skills/aptitude
To ensure that any resulting capability dismissal is fair when formal action is taken - you should:
- Inform the employee in writing of the performance issues that exist and invite them to a meeting to discuss these issues.
- Following the meeting, give an employee who is found to be performing unsatisfactorily a written note, as a summary and explanation ideally, setting out the performance problems identified at the meeting, the improvement that is required, a reasonable timescale for achieving this improvement, a review date and any identified measures of support you will provide to assist them to meet the required standards.
- Inform your employee that the note represents the first stage of a formal procedure and that failure to improve could lead to a final written warning and, ultimately, dismissal. You should keep a copy of the note and use it as the basis for monitoring and reviewing performance over the specified timescale - see manage staff performance. You should also inform the employee that they may appeal at any stage of the formal process.
- If there is a failure to improve in the timescale outlined, repeat the above procedure and issue a final written warning.
- If again there is a failure to improve within the timescale set out in the final written warning, this may result in dismissal.
- Finally, you should note that some exceptional acts of incapability can merit summary dismissal.
- Throughout the formal process, employees have the right to be accompanied to all meetings and appeal meetings and to appeal to a more senior manager - ideally one not involved in the initial meetings. To read more on the right to be accompanied, read the LRA Code of Practice on Disciplinary and Grievance Procedures.
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Dismissal due to illness
How to handle dismissing an employee due to long-term ill health.
Dismissal due to capability may also include instances where the employer dismisses because the employee is no longer capable of doing the job they were employed to do, because of illness.
Occasionally, an employee may have to leave your employment because of long-term ill health. Sometimes the employee will simply choose to resign. However, you might eventually have to consider dismissing them.
In order for a dismissal to be potentially fair, you must ensure that you regularly communicate and consult with the employee, take appropriate medical advice, consider the effects of the absence on the business, consider alternatives to dismissal and, if appropriate, take account of any reasonable adjustments as required under disability discrimination legislation. See employ and support people with disabilities.
Finally, before dismissing an employee, you must also ensure you comply with the statutory dismissal procedures.
Prior to dismissal due to illness
Before dismissing an employee, you should consider as many ways as possible to help them back to work - dismissal is a last resort and could be unfair if not handled properly. It is also very important that you determine whether or not they are disabled under the Disability Discrimination Act 1995.
You can consider getting a medical report from their GP (with their written permission) or an occupational health assessment. Remember to ask the questions that are relevant to the job, as this will enable you to get the information you need to make an informed decision. The employee has the right to see the GP report before you and may choose not to disclose some information.
If their continued employment is no longer feasible because there are no reasonable adjustments that can be made, it may be fair for you to dismiss them.
During any dismissal procedure, you should treat all employees with sensitivity. You should also act fairly and reasonably. Your dismissal procedure must follow the statutory dismissal requirements.
If you unreasonably fail to follow the statutory dismissal procedures when dismissing and the employee is successful in unfair dismissal proceedings, any compensation awarded by the tribunal or arbitrator could be increased by between 10% and 50%.
If the employee who is subject to the procedure is disabled, you will also have to consider making any possible reasonable adjustments to allow for their needs; you have to address disability discrimination laws, so this is important.
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Dismissals relating to industrial action
How to ensure that you dismiss an employee fairly for reasons relating to industrial action.
It is automatically unfair to dismiss workers for taking part in official industrial action:
- In the 12-week period from the day the industrial action starts.
- That lasts longer than 12 weeks - but only if you haven't taken reasonable steps to resolve the dispute. Only an industrial tribunal/arbitrator can decide whether or not you've taken the necessary steps to resolve the dispute.
Subject to some exceptions (see below), an employee dismissed while taking part in unofficial industrial action can't generally claim unfair dismissal.
For the difference between official and unofficial industrial action, see our guide on industrial disputes.
If you 'lock-out' employees taking industrial action, the days of the lock-out are not included in the calculation of the 12-week protected period. A lock-out is where you prevent employees from getting to their workplace, eg, by locking the doors to the premises.
Apart from this, subject to some exceptions (see below), an industrial tribunal/arbitrator can't hear a complaint of unfair dismissal from an employee dismissed while taking part in official industrial action as long as you have:
- dismissed all those who were taking part in the action on the same date that you dismissed the person complaining of unfair dismissal
- not offered re-engagement to any dismissed employee within three months of the dismissal date, without making the person complaining of unfair dismissal a similar offer
Exceptions
The exceptions are that a tribunal/arbitrator can hear a complaint of unfair dismissal from an employee dismissed while taking part in industrial action - either official or unofficial - if the main reason:
- was that the employee took certain specified types of action on health and safety grounds
- related to maternity/paternity/adoption/parental/shared parental/parental bereavement leave, pregnancy, or time off for a dependant
- was that the employee exercised their rights under the Working Time Regulations (Northern Ireland) 2016
- related to the right to request flexible working arrangements
- was that the employee had been summoned or took time off work for jury service
- was that the employee took certain specified types of action as an employee representative or as a candidate to become one, or took part in the election of such a representative
An industrial tribunal/arbitrator can also hear a complaint of unfair dismissal from an employee dismissed while participating in unofficial industrial action if the reason or main reason for the dismissal was that the employee made a protected disclosure.
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Dismissals on conduct grounds
How to dismiss employees involved in incidents of misconduct.
If you find that an employee has been involved in an incident of misconduct, the action you take depends on how serious it is. For example:
- If the misconduct relates to a minor issue, the penalty for a first offence would normally be a verbal warning. This would be followed by a written warning if the offence is repeated within a specified timescale. Further occurrences would result in a final written warning and ultimately dismissal if repeated again.
- If the misconduct relates to a more serious issue, the employer may issue a final written warning for a first offence followed by dismissal for any further repeat of the offence within a specified time scale.
- The Labour Relations Agency (LRA) Code of Practice applies the statutory procedures to the issue of warnings as a matter of good practice.
- If the misconduct is of a very serious nature, the employer may dismiss for a first offence.
- No disciplinary action should be taken until there has been a thorough investigation into the alleged misconduct.
- Details of the alleged misconduct should be set out in writing and given to the employee prior to any hearing taking place.
- The employee must be offered the right to appeal against any decision taken within the formal procedure
- Throughout the formal process, employees have the right to be accompanied to all meetings and appeal meetings and to appeal to a more senior manager - ideally one not involved in the initial meetings
- The LRA Code of Practice on Disciplinary and Grievance Procedures recommends that verbal warnings remain on file for a six-month period and written warnings for a 12-month period.
Discipline and dismissal have a statutory procedure which must be followed and if it is not, where it applies, this may result in a finding of automatic unfair dismissal.
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Whistleblowing and dismissal
Protection from dismissal or detrimental treatment for workers who disclose a suspected relevant failure at work.
Workers who suspect wrongdoing and 'blow the whistle' to disclose these concerns to their employer are protected from dismissal or other negative consequences - as long as certain criteria are met. This law intends to help businesses quickly identify and resolve such problems.
The term 'workers' refers to those who work under:
- a contract of employment, eg, employees
- some other contract to perform work personally, eg, casual workers
It does not cover the genuinely self-employed.
The whistleblowing law also covers NHS practitioners, such as:
- GPs
- certain dentists
- pharmacists
- opticians
It also covers:
- agency workers
- certain categories of trainee
- those who contract to provide services to the Department of Health
- those who contract to provide services to a business via their own limited company - even if introduced via an employment agency or employment business
- student nurses and student midwives who undertake work experience as part of a course of education or training approved by, or under arrangements with, the Nursing and Midwifery Council (NMC)
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Whistleblowing: Qualifying disclosures
The types of disclosure that are eligible for protection from dismissal.
The types of disclosure that are eligible for protection are known as 'qualifying disclosures'.
These are where the worker reasonably believes that the disclosure is being made in the public interest and at least one 'relevant failure' is currently happening, took place in the past, or is likely to happen in the future.
Relevant failures can be:
- a criminal offence
- a miscarriage of justice
- damage to the environment
- the breach of a legal obligation
- a danger to the health or safety of any individual
- the deliberate covering up of information tending to show any of these matters
The same protection applies even if the qualifying disclosure concerns a relevant failure overseas or where the applicable law is not that of the UK.
Disclosures that can be characterised as being of a personal rather than public interest, will not be protected.
The belief does not need to be correct. The worker only needs to show that they held the belief and that it was a reasonable belief in the circumstances at the time they made the disclosure.
The disclosure is not a qualifying disclosure if:
- by making the disclosure, the worker has committed an offence, eg under the Official Secrets Act 1989
- the information should be protected from disclosure because of legal professional privilege, eg the disclosure has been made by a legal adviser (or their secretary) who has acquired the information in the course of providing legal advice
Qualifying disclosures made internally
A worker is protected if they make a qualifying disclosure to either:
- their employer - either directly or by using a procedure authorised by the employer for that purpose
- to another person who the worker reasonably believes to be solely or mainly responsible for the relevant failure
Ideally, you should have a whistleblowing policy that includes a procedure to follow if a worker wishes to make a qualifying disclosure.
Qualifying disclosures made externally
A worker is protected if they make a qualifying disclosure to an appropriate 'prescribed person'. These are certain statutory bodies - or people within them - who have the authority to receive disclosures relevant to the role of that particular body. Breaches in health and safety law, for example, can be brought to the attention of the Health and Safety Executive for Northern Ireland or the appropriate local council.
Public Interest Disclosure guidance.
For the disclosure to be protected, the worker must:
- reasonably believe the information and any allegation it contains are substantially true and are in the public interest to disclose
- reasonably believe they are making the disclosure to the relevant person or body
A qualifying disclosure is also a protected disclosure if it is made:
- to a government minister or a Northern Ireland Department Permanent Secretary by someone working in a government-appointed organisation - this could be directly or via departmental officials and in the public interest to disclose
- to a legal adviser in the course of obtaining legal advice - there are no further conditions attached
Other circumstances where an external disclosure is protected
A qualifying disclosure continues to be a protected disclosure if the conditions below are met.
Firstly, the worker must:
- not act for personal gain
- reasonably believe the information - and any allegation contained in it - is substantially true
In addition, one or more of the following conditions must be met:
- the worker must have previously disclosed the same information to their employer or to a prescribed person
- the worker reasonably believed they would be subjected to a detriment by their employer if the disclosure was made to the employer or a prescribed person
- in the absence of an appropriate prescribed person, the worker reasonably believed that disclosure to the employer would result in the destruction or concealment of information about the wrongdoing
Finally, it must be reasonable for the worker to make the disclosure. An industrial tribunal/arbitrator will decide whether the worker acted reasonably in all the circumstances, particularly taking into account:
- the seriousness of the relevant failure
- whether the relevant failure is continuing or likely to occur again
- whether the worker followed any internal procedures approved by the employer
- what action has, or might reasonably be expected to have, been taken where a previous disclosure was made to the employer or a prescribed person
- whether the disclosure breaches the employer's duty of confidentiality to others
- the identity of the person to whom the disclosure was made
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Whistleblowing: Exceptionally serious failures
How workers are protected when reporting an exceptionally serious failure in the workplace.
If the relevant failure is exceptionally serious, any qualifying disclosure made externally will be protected if the worker:
- does not act for personal gain
- reasonably believes the information disclosed, and any allegation contained in it, are substantially true
Also, it must be reasonable for the worker to make the disclosure in view of all the circumstances - with particular regard to the identity of the person to whom the disclosure is made.
Only an industrial tribunal/arbitrator can decide whether or not the relevant failure is exceptionally serious. This will be a matter of fact and not simply a matter of the worker reasonably believing it to be exceptionally serious.
Raising a grievance and making protected disclosures
Employees do not necessarily have to raise a grievance in order to make a protected disclosure.
For more information about grievance procedures, see our guide on handling grievances.
There may be good reasons why a worker wishes their identity to remain confidential. The law does not compel an organisation to protect the confidentiality of a whistleblower. However, it is considered best practice to maintain that confidentiality, unless required by law to disclose it.
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Whistleblowing: Right of complaint to an industrial tribunal
If an employee is dismissed for making a protected disclosure, they may bring a claim to an employment tribunal.
An employee may bring a claim for unfair dismissal if they are dismissed for making a protected disclosure. A tribunal/arbitrator will find any such dismissal to be automatically unfair.
An employee or other worker who believes they have been subjected to a detriment for making a protected disclosure can bring a complaint of detrimental treatment.
A worker subjected to a detriment by a co-worker in the course of that co-worker's employment with the employer, on the grounds that the worker made a protected disclosure, may be able to take a case to an Industrial Tribunal against both the co-worker and their employer.
A detriment can be either an act or a deliberate decision not to act by the employer. Whether an employee or other worker has suffered a detriment will be decided by the tribunal/arbitrator.
Examples of detrimental treatment include:
- threats of dismissal
- withholding a pay rise
- discrimination in promotion, transfer, or training opportunities
- failure to confer a benefit on a person who failed to accept an unlawful inducement that would have been conferred on them had they accepted the offer
Workers who are not employees cannot claim unfair dismissal. However, their dismissal could amount to a detriment and therefore they could still bring a detrimental treatment claim.
Remedies
Where a tribunal or arbitrator finds that an employee's complaint of unfair dismissal is justified, they will order either:
- reinstatement/re-employment
- the payment of compensation
Where an employee or other worker complains they have been subjected to a detriment and the tribunal or arbitrator finds the complaint well-founded, they will make a declaration to that effect and may order the payment of compensation.
An industrial tribunal will have the discretion to reduce a compensatory award by up to 25% in the event that it finds the disclosure has not been made in good faith.
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Dismissals on capability grounds
In this guide:
- Dismissing employees
- Types of employee dismissal
- Fair dismissal
- Unfair dismissal
- Unfair dismissal: employee eligibility
- Dismissals on capability grounds
- Dismissal due to illness
- Dismissals relating to industrial action
- Dismissals on conduct grounds
- Whistleblowing and dismissal
- Whistleblowing: Qualifying disclosures
- Whistleblowing: Exceptionally serious failures
- Whistleblowing: Right of complaint to an industrial tribunal
Types of employee dismissal
The different types of staff dismissal and unfair dismissal claims.
There are several types of staff dismissal:
- fair dismissal
- unfair dismissal
- constructive dismissal
- wrongful dismissal
Fair and unfair dismissal
A dismissal is fair or unfair depending on your reason or reasons for dismissal and whether you act reasonably during the dismissal process. Industrial tribunals/arbitrators follow previous legal decisions in deciding what is reasonable. What is unfair dismissal and what is fair dismissal?
Constructive dismissal
Constructive dismissal occurs where an employee resigns because you have substantially breached their employment contract, for example:
- cutting wages without agreement
- unlawfully demoting them
- allowing colleagues to subject them to harassment, bullying, victimisation, humiliation or discrimination
- unfairly increasing their workload
- changing the location of their workplace without contractual authority
- making them work in dangerous conditions
The breach of contract can result from either a single serious event or the last in a series of less serious events.
An individual may claim constructive unfair dismissal. A constructive dismissal is not necessarily an unfair one but it's hard for an employer to show that an action in breach of the contract was, in fact, fair.
Wrongful dismissal
Wrongful dismissal is where a contractual term is broken in the dismissal process, for example, dismissing an employee without giving them proper notice.
For further information see the Employers' Handbook Section 18: Disciplinary issues and dismissal (PDF, 95K).
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Fair dismissal
You must have a valid reason for dismissing an employee - understand the reasons that constitute a fair dismissal.
To dismiss an employee fairly, you must first have a fair reason for doing so. Potential reasons for fair dismissal include:
- conduct
- capability
- redundancy
- a statutory requirement which could prevent the employment continuing, such as a driver losing their driving licence
- some other substantial reason - any other potentially fair reasons fall into this category
An example of 'some other substantial reason' would be the dismissal of an employee who was taken on as a temporary replacement for an employee on maternity leave. For such a dismissal to be fair, you must have told the replacement employee at the beginning of their employment that the job was only temporary.
In order for any dismissal to be fair, you must also act reasonably and fairly during the dismissal procedure.
Acting reasonably
There is no statutory definition of 'reasonableness'. Reasonableness will be judged taking into account the employer's size and resources and will also consider whether the employer:
- raised and dealt with the issue promptly and consistently throughout the process
- genuinely believed that the reason for dismissal was a potentially fair one
- had reasonable grounds for that belief
- carried out proper and reasonable investigations where appropriate
- followed statutory dismissal and disciplinary procedures
- informed the employee in writing why they were being considered for dismissal and listened to their views
- allowed the employee to be accompanied at disciplinary/dismissal hearings and appeals
- gave the employee the chance to appeal against the decision to dismiss
Reasonableness may also depend on whether the employee could be expected to understand the consequences of their behaviour.
Dismissal and disciplinary procedures
You must set out your dismissal and disciplinary rules and procedures in writing. Sample dismissal procedures (DOC, 14K).
There is a minimum statutory procedure that must be followed when you decide to dismiss an employee. Failure to follow this procedure may result in a finding of automatic unfair dismissal.
If you fail to follow the statutory procedure, where it applies, and the issue is subsequently heard by a tribunal, any compensation awarded to the employee could be increased by between 10% and 50%.
You should follow the good practice advice set out in the Labour Relations Agency (LRA) Code of Practice on Discipline and Grievance.
Additional advice, including sample procedures, can be found in the LRA guidance on advice on handling discipline and grievances at work.
Though tribunals/arbitrators do not have to take this booklet into account, it provides more detail and guidance which may be helpful.
Summary dismissals
Summary dismissal is the dismissal of an employee without notice or pay in lieu of notice - this occurs when they have committed an act of gross misconduct.
You should investigate the circumstances of the misconduct before dismissing the employee.
However, if you feel that you have no choice but to dismiss an employee, you must still follow statutory procedures.
Staff probationary periods
If you decide to dismiss an employee during their probationary period, you must follow at least the statutory dismissal and disciplinary procedure.
Third-party pressure to dismiss an employee
If a customer or client threatens to withdraw their business unless you dismiss one of your employees, only an industrial tribunal/arbitrator can determine whether or not such a dismissal is fair. Such dismissals are normally categorised as 'some other substantial reason'.
You cannot however take into account pressure exerted by a trade union by the calling or threatening of industrial action.
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Unfair dismissal
Reasons that automatically constitute the unfair dismissal of an employee.
Even if you think you have dismissed an employee fairly, they could decide to bring an unfair dismissal claim because they believe that:
- the reason you gave for the dismissal wasn't the real one
- you dismissed them for an unfair reason - see unfair dismissal
- you acted unreasonably, eg by failing to give the employee plenty of warning in the run-up to taking the decision to dismiss them
How to fairly dismiss an employee fairly
If you think you may have to dismiss an employee, make sure that you:
- Have a fair reason for dismissal.
- Follow - at the very least - the statutory dismissal procedure. If you unreasonably fail to follow the statutory dismissal procedure and the issue is heard at tribunal, any compensation awarded to the employee could be increased by between 10% and 50%.
- Follow any contractual disciplinary/dismissal procedure you may have, as well as the guidance outlined in the Labour Relations Agency (LRA) Code of Practice on Disciplinary and Grievance Procedures. Your contractual procedure should comply with the code.
See fair dismissal.
Penalties for unfair dismissals
If an employee has been unfairly dismissed, the employer may be ordered to reinstate or reengage the employee. This however is an exceptional outcome.
Invariably, a tribunal or arbitrator will award compensation, made up of a basic award that depends on the employee's age, gross weekly pay, length of service, and a compensatory award.
They can also make an additional award if you fail to follow an order to reinstate or re-engage the employee.
Apart from in health and safety and whistleblowing cases, there is a limit on the amount which can be awarded for unfair dismissal. For the latest limits on awards, see our table of current tribunal and arbitration compensation limits.
The Labour Relations Agency Arbitration Scheme
The Labour Relations Agency (LRA) Arbitration Scheme provides an alternative to having a case heard by a tribunal to resolve an employment-related dispute (for example, claims of unfair dismissal, breach of contract or discrimination, etc).
The scheme is quicker, confidential, non-legalistic, less formal, and more cost-effective than a tribunal hearing.
Under the scheme, an arbitrator's decision is binding as a matter of law and has the same effect as a tribunal.
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Unfair dismissal: employee eligibility
Employer consequences if you dismiss someone unfairly.
Employees can usually only claim unfair dismissal if they have worked for you for at least one year.
There are a number of reasons for dismissal that are automatically unfair. Most of these do not require the employee to have a minimum of one year's service, ie the employee will be able to claim unfair dismissal from day one of employment.
Who cannot complain to a tribunal about unfair dismissal?
The right to complain to a tribunal about unfair dismissal is also not available to:
- Self-employed people.
- Those who are not employees, eg, casual workers, independent contractors or freelance agents.
- Members of the armed forces.
- Employees who have reached a settlement with their employer via Labour Relations Agency (LRA) conciliation.
- Individuals working under an illegal contract, eg, a barman who is under the age of 18 years old or employees in receipt of untaxed monies.
- Employees covered by a dismissal procedure agreement that has been exempted from the unfair dismissal provisions by legislation. This is a rarely exercised legal provision.
- Employees taking part in unofficial industrial action (unless the dismissal is for certain specified reasons, eg, taking family leave or making a protected disclosure). For more information, see the page in this guide on dismissals relating to industrial action.
- The police (although police staff may make unfair dismissal claims where the dismissal relates to health and safety or the making of a protected disclosure).
- Those employed as a master - or as a member of the crew - of a fishing vessel where the individual is paid only by a share in the profits or gross earnings of the vessel.
- Employees who have reached a settlement with their employer via a 'compromise agreement'. This is an agreement reached, with the benefit of a relevant independent advisor who has professional indemnity insurance, in which the employee waives their right to make a complaint in relation to the dispute to which the settlement relates. This means that the agreement must specify the legal basis for the dispute - it cannot state that it covers all the possible employment-related claims.
Exemption from the unfair dismissal provisions
The parties to a dismissal-procedures agreement can apply jointly to the Department for the Economy to substitute provisions of the unfair dismissal legislation. Such substitution may be allowed if all the following points are satisfied:
- every trade union which is a party to the agreement is independent
- the agreement has a procedure to be followed if an employee claims to have been unfairly dismissed
- the procedure is non-discriminatory and available to all relevant employees
- the procedure gives employees a similar level of protection to that provided by the legislation
- the agreement includes provision either for arbitration in every case or allows arbitration in cases where a decision can't be reached or where a decision raises a question of law
- the agreement clearly defines which employees it applies to
Lay-offs and short-time working
You may temporarily lay off an employee or put them on short-time working, eg because of a downturn in work. This does not necessarily amount to a redundancy dismissal. You can only do this if the terms of their contract of employment allow it or by agreement with the employee. See Employers' Handbook Section 23: Lay-off and short time working (PDF, 33K).
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Dismissals on capability grounds
How to dismiss an employee fairly when they are incapable of doing their job properly or commit some form of misconduct.
Sometimes an employee is incapable of doing their job to the required standard. This may be because they don't have the right skills or aptitude for the job.
They may also be capable of doing their job, but unwilling or reluctant to do it properly. In these particular circumstances, you would deal with the issue as one of misconduct and follow your company disciplinary procedures and the statutory dismissal and disciplinary procedures (if they apply). Otherwise capability is a separate dismissal category to misconduct. See dismissals on conduct grounds.
In most cases involving capability, you can help an employee improve by taking informal action, eg by offering training/mentoring or another suitable job (you would only redeploy to another suitable job if this is something that they agree to at this stage).
Capability dismissals: lack of skills/aptitude
To ensure that any resulting capability dismissal is fair when formal action is taken - you should:
- Inform the employee in writing of the performance issues that exist and invite them to a meeting to discuss these issues.
- Following the meeting, give an employee who is found to be performing unsatisfactorily a written note, as a summary and explanation ideally, setting out the performance problems identified at the meeting, the improvement that is required, a reasonable timescale for achieving this improvement, a review date and any identified measures of support you will provide to assist them to meet the required standards.
- Inform your employee that the note represents the first stage of a formal procedure and that failure to improve could lead to a final written warning and, ultimately, dismissal. You should keep a copy of the note and use it as the basis for monitoring and reviewing performance over the specified timescale - see manage staff performance. You should also inform the employee that they may appeal at any stage of the formal process.
- If there is a failure to improve in the timescale outlined, repeat the above procedure and issue a final written warning.
- If again there is a failure to improve within the timescale set out in the final written warning, this may result in dismissal.
- Finally, you should note that some exceptional acts of incapability can merit summary dismissal.
- Throughout the formal process, employees have the right to be accompanied to all meetings and appeal meetings and to appeal to a more senior manager - ideally one not involved in the initial meetings. To read more on the right to be accompanied, read the LRA Code of Practice on Disciplinary and Grievance Procedures.
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Dismissal due to illness
How to handle dismissing an employee due to long-term ill health.
Dismissal due to capability may also include instances where the employer dismisses because the employee is no longer capable of doing the job they were employed to do, because of illness.
Occasionally, an employee may have to leave your employment because of long-term ill health. Sometimes the employee will simply choose to resign. However, you might eventually have to consider dismissing them.
In order for a dismissal to be potentially fair, you must ensure that you regularly communicate and consult with the employee, take appropriate medical advice, consider the effects of the absence on the business, consider alternatives to dismissal and, if appropriate, take account of any reasonable adjustments as required under disability discrimination legislation. See employ and support people with disabilities.
Finally, before dismissing an employee, you must also ensure you comply with the statutory dismissal procedures.
Prior to dismissal due to illness
Before dismissing an employee, you should consider as many ways as possible to help them back to work - dismissal is a last resort and could be unfair if not handled properly. It is also very important that you determine whether or not they are disabled under the Disability Discrimination Act 1995.
You can consider getting a medical report from their GP (with their written permission) or an occupational health assessment. Remember to ask the questions that are relevant to the job, as this will enable you to get the information you need to make an informed decision. The employee has the right to see the GP report before you and may choose not to disclose some information.
If their continued employment is no longer feasible because there are no reasonable adjustments that can be made, it may be fair for you to dismiss them.
During any dismissal procedure, you should treat all employees with sensitivity. You should also act fairly and reasonably. Your dismissal procedure must follow the statutory dismissal requirements.
If you unreasonably fail to follow the statutory dismissal procedures when dismissing and the employee is successful in unfair dismissal proceedings, any compensation awarded by the tribunal or arbitrator could be increased by between 10% and 50%.
If the employee who is subject to the procedure is disabled, you will also have to consider making any possible reasonable adjustments to allow for their needs; you have to address disability discrimination laws, so this is important.
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Dismissals relating to industrial action
How to ensure that you dismiss an employee fairly for reasons relating to industrial action.
It is automatically unfair to dismiss workers for taking part in official industrial action:
- In the 12-week period from the day the industrial action starts.
- That lasts longer than 12 weeks - but only if you haven't taken reasonable steps to resolve the dispute. Only an industrial tribunal/arbitrator can decide whether or not you've taken the necessary steps to resolve the dispute.
Subject to some exceptions (see below), an employee dismissed while taking part in unofficial industrial action can't generally claim unfair dismissal.
For the difference between official and unofficial industrial action, see our guide on industrial disputes.
If you 'lock-out' employees taking industrial action, the days of the lock-out are not included in the calculation of the 12-week protected period. A lock-out is where you prevent employees from getting to their workplace, eg, by locking the doors to the premises.
Apart from this, subject to some exceptions (see below), an industrial tribunal/arbitrator can't hear a complaint of unfair dismissal from an employee dismissed while taking part in official industrial action as long as you have:
- dismissed all those who were taking part in the action on the same date that you dismissed the person complaining of unfair dismissal
- not offered re-engagement to any dismissed employee within three months of the dismissal date, without making the person complaining of unfair dismissal a similar offer
Exceptions
The exceptions are that a tribunal/arbitrator can hear a complaint of unfair dismissal from an employee dismissed while taking part in industrial action - either official or unofficial - if the main reason:
- was that the employee took certain specified types of action on health and safety grounds
- related to maternity/paternity/adoption/parental/shared parental/parental bereavement leave, pregnancy, or time off for a dependant
- was that the employee exercised their rights under the Working Time Regulations (Northern Ireland) 2016
- related to the right to request flexible working arrangements
- was that the employee had been summoned or took time off work for jury service
- was that the employee took certain specified types of action as an employee representative or as a candidate to become one, or took part in the election of such a representative
An industrial tribunal/arbitrator can also hear a complaint of unfair dismissal from an employee dismissed while participating in unofficial industrial action if the reason or main reason for the dismissal was that the employee made a protected disclosure.
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Dismissals on conduct grounds
How to dismiss employees involved in incidents of misconduct.
If you find that an employee has been involved in an incident of misconduct, the action you take depends on how serious it is. For example:
- If the misconduct relates to a minor issue, the penalty for a first offence would normally be a verbal warning. This would be followed by a written warning if the offence is repeated within a specified timescale. Further occurrences would result in a final written warning and ultimately dismissal if repeated again.
- If the misconduct relates to a more serious issue, the employer may issue a final written warning for a first offence followed by dismissal for any further repeat of the offence within a specified time scale.
- The Labour Relations Agency (LRA) Code of Practice applies the statutory procedures to the issue of warnings as a matter of good practice.
- If the misconduct is of a very serious nature, the employer may dismiss for a first offence.
- No disciplinary action should be taken until there has been a thorough investigation into the alleged misconduct.
- Details of the alleged misconduct should be set out in writing and given to the employee prior to any hearing taking place.
- The employee must be offered the right to appeal against any decision taken within the formal procedure
- Throughout the formal process, employees have the right to be accompanied to all meetings and appeal meetings and to appeal to a more senior manager - ideally one not involved in the initial meetings
- The LRA Code of Practice on Disciplinary and Grievance Procedures recommends that verbal warnings remain on file for a six-month period and written warnings for a 12-month period.
Discipline and dismissal have a statutory procedure which must be followed and if it is not, where it applies, this may result in a finding of automatic unfair dismissal.
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Whistleblowing and dismissal
Protection from dismissal or detrimental treatment for workers who disclose a suspected relevant failure at work.
Workers who suspect wrongdoing and 'blow the whistle' to disclose these concerns to their employer are protected from dismissal or other negative consequences - as long as certain criteria are met. This law intends to help businesses quickly identify and resolve such problems.
The term 'workers' refers to those who work under:
- a contract of employment, eg, employees
- some other contract to perform work personally, eg, casual workers
It does not cover the genuinely self-employed.
The whistleblowing law also covers NHS practitioners, such as:
- GPs
- certain dentists
- pharmacists
- opticians
It also covers:
- agency workers
- certain categories of trainee
- those who contract to provide services to the Department of Health
- those who contract to provide services to a business via their own limited company - even if introduced via an employment agency or employment business
- student nurses and student midwives who undertake work experience as part of a course of education or training approved by, or under arrangements with, the Nursing and Midwifery Council (NMC)
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Whistleblowing: Qualifying disclosures
The types of disclosure that are eligible for protection from dismissal.
The types of disclosure that are eligible for protection are known as 'qualifying disclosures'.
These are where the worker reasonably believes that the disclosure is being made in the public interest and at least one 'relevant failure' is currently happening, took place in the past, or is likely to happen in the future.
Relevant failures can be:
- a criminal offence
- a miscarriage of justice
- damage to the environment
- the breach of a legal obligation
- a danger to the health or safety of any individual
- the deliberate covering up of information tending to show any of these matters
The same protection applies even if the qualifying disclosure concerns a relevant failure overseas or where the applicable law is not that of the UK.
Disclosures that can be characterised as being of a personal rather than public interest, will not be protected.
The belief does not need to be correct. The worker only needs to show that they held the belief and that it was a reasonable belief in the circumstances at the time they made the disclosure.
The disclosure is not a qualifying disclosure if:
- by making the disclosure, the worker has committed an offence, eg under the Official Secrets Act 1989
- the information should be protected from disclosure because of legal professional privilege, eg the disclosure has been made by a legal adviser (or their secretary) who has acquired the information in the course of providing legal advice
Qualifying disclosures made internally
A worker is protected if they make a qualifying disclosure to either:
- their employer - either directly or by using a procedure authorised by the employer for that purpose
- to another person who the worker reasonably believes to be solely or mainly responsible for the relevant failure
Ideally, you should have a whistleblowing policy that includes a procedure to follow if a worker wishes to make a qualifying disclosure.
Qualifying disclosures made externally
A worker is protected if they make a qualifying disclosure to an appropriate 'prescribed person'. These are certain statutory bodies - or people within them - who have the authority to receive disclosures relevant to the role of that particular body. Breaches in health and safety law, for example, can be brought to the attention of the Health and Safety Executive for Northern Ireland or the appropriate local council.
Public Interest Disclosure guidance.
For the disclosure to be protected, the worker must:
- reasonably believe the information and any allegation it contains are substantially true and are in the public interest to disclose
- reasonably believe they are making the disclosure to the relevant person or body
A qualifying disclosure is also a protected disclosure if it is made:
- to a government minister or a Northern Ireland Department Permanent Secretary by someone working in a government-appointed organisation - this could be directly or via departmental officials and in the public interest to disclose
- to a legal adviser in the course of obtaining legal advice - there are no further conditions attached
Other circumstances where an external disclosure is protected
A qualifying disclosure continues to be a protected disclosure if the conditions below are met.
Firstly, the worker must:
- not act for personal gain
- reasonably believe the information - and any allegation contained in it - is substantially true
In addition, one or more of the following conditions must be met:
- the worker must have previously disclosed the same information to their employer or to a prescribed person
- the worker reasonably believed they would be subjected to a detriment by their employer if the disclosure was made to the employer or a prescribed person
- in the absence of an appropriate prescribed person, the worker reasonably believed that disclosure to the employer would result in the destruction or concealment of information about the wrongdoing
Finally, it must be reasonable for the worker to make the disclosure. An industrial tribunal/arbitrator will decide whether the worker acted reasonably in all the circumstances, particularly taking into account:
- the seriousness of the relevant failure
- whether the relevant failure is continuing or likely to occur again
- whether the worker followed any internal procedures approved by the employer
- what action has, or might reasonably be expected to have, been taken where a previous disclosure was made to the employer or a prescribed person
- whether the disclosure breaches the employer's duty of confidentiality to others
- the identity of the person to whom the disclosure was made
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Whistleblowing: Exceptionally serious failures
How workers are protected when reporting an exceptionally serious failure in the workplace.
If the relevant failure is exceptionally serious, any qualifying disclosure made externally will be protected if the worker:
- does not act for personal gain
- reasonably believes the information disclosed, and any allegation contained in it, are substantially true
Also, it must be reasonable for the worker to make the disclosure in view of all the circumstances - with particular regard to the identity of the person to whom the disclosure is made.
Only an industrial tribunal/arbitrator can decide whether or not the relevant failure is exceptionally serious. This will be a matter of fact and not simply a matter of the worker reasonably believing it to be exceptionally serious.
Raising a grievance and making protected disclosures
Employees do not necessarily have to raise a grievance in order to make a protected disclosure.
For more information about grievance procedures, see our guide on handling grievances.
There may be good reasons why a worker wishes their identity to remain confidential. The law does not compel an organisation to protect the confidentiality of a whistleblower. However, it is considered best practice to maintain that confidentiality, unless required by law to disclose it.
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Whistleblowing: Right of complaint to an industrial tribunal
If an employee is dismissed for making a protected disclosure, they may bring a claim to an employment tribunal.
An employee may bring a claim for unfair dismissal if they are dismissed for making a protected disclosure. A tribunal/arbitrator will find any such dismissal to be automatically unfair.
An employee or other worker who believes they have been subjected to a detriment for making a protected disclosure can bring a complaint of detrimental treatment.
A worker subjected to a detriment by a co-worker in the course of that co-worker's employment with the employer, on the grounds that the worker made a protected disclosure, may be able to take a case to an Industrial Tribunal against both the co-worker and their employer.
A detriment can be either an act or a deliberate decision not to act by the employer. Whether an employee or other worker has suffered a detriment will be decided by the tribunal/arbitrator.
Examples of detrimental treatment include:
- threats of dismissal
- withholding a pay rise
- discrimination in promotion, transfer, or training opportunities
- failure to confer a benefit on a person who failed to accept an unlawful inducement that would have been conferred on them had they accepted the offer
Workers who are not employees cannot claim unfair dismissal. However, their dismissal could amount to a detriment and therefore they could still bring a detrimental treatment claim.
Remedies
Where a tribunal or arbitrator finds that an employee's complaint of unfair dismissal is justified, they will order either:
- reinstatement/re-employment
- the payment of compensation
Where an employee or other worker complains they have been subjected to a detriment and the tribunal or arbitrator finds the complaint well-founded, they will make a declaration to that effect and may order the payment of compensation.
An industrial tribunal will have the discretion to reduce a compensatory award by up to 25% in the event that it finds the disclosure has not been made in good faith.
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