Employment Rights Act 1996, section 3

Note about disciplinary procedures and pensions

Part I Employment particulars

(1)A statement under section 1 shall include a note—

(a)specifying any disciplinary rules applicable to [F34the workerF34] or referring [F34the workerF34] to the provisions of a document specifying such rules which is reasonably accessible to [F34the workerF34] ,

[F35 (aa)specifying any procedure applicable to the taking of disciplinary decisions relating to [F36 the workerF36] , or to a decision to dismiss [F36 the workerF36] , or referring [F36 the workerF36] to the provisions of a document specifying such a procedure which is reasonably accessible to [F36 the workerF36] ,F35]

(b)specifying (by description or otherwise)—

(i)a person to whom [F37the workerF37] can apply if dissatisfied with any disciplinary decision relating to him [F38or any decision to dismiss himF38] , and

(ii)a person to whom [F39the workerF39] can apply for the purpose of seeking redress of any grievance relating to his employment,

and the manner in which any such application should be made, and

(c)where there are further steps consequent on any such application, explaining those steps or referring to the provisions of a document explaining them which is reasonably accessible to [F40the workerF40] .

(2)Subsection (1) does not apply to rules, disciplinary decisions, [F41decisions to dismissF41] grievances or procedures relating to health or safety at work.

F42 (3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F42 (4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F43 (5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Definitions used in section 3 2

worker

(3) In this Act “worker” (except in the phrases “shop worker” and “betting worker”) means an individual who has entered into or works under (or, where the employment has ceased, worked under)—

(a)a contract of employment, or

(b)any other contract, whether express or implied and (if it is express) whether oral or in writing, whereby the individual undertakes to do or perform personally any work or services for another party to the contract whose status is not by virtue of the contract that of a client or customer of any profession or business undertaking carried on by the individual;

Defined in s.230(3) · see it in the full Act

(6) This section has effect subject to sections 43K , 47B(3) and 49B(10) ; and for the purposes of Part XIII so far as relating to Part IVA or section 47B, “worker”, “worker’s contract” and, in relation to a worker, “employer”, “employment” and “employed” have the extended meaning given by section 43K.

Defined in s.230(6) · see it in the full Act
employment

(5) In this Act “employment”—

(a)in relation to an employee, means (except for the purposes of section 171) employment under a contract of employment, and

(b)in relation to a worker, means employment under his contract;

Defined in s.230(5) · see it in the full Act

(6) This section has effect subject to sections 43K , 47B(3) and 49B(10) ; and for the purposes of Part XIII so far as relating to Part IVA or section 47B, “worker”, “worker’s contract” and, in relation to a worker, “employer”, “employment” and “employed” have the extended meaning given by section 43K.

Defined in s.230(6) · see it in the full Act

Cases considering section 3 5

Edwards v Chesterfield Royal Hospital NHS Foundation Trust

[2011] UKSC 58 · 14 December 2011Interprets

The written statement must identify applicable disciplinary rules and procedures. This supported the conclusion that such procedures operate within the statutory law of unfair dismissal and do not ordinarily create an independent damages remedy (see paras [27]–[29]; [37]–[40]).

Johnson (AP) v. Unisys Limited

[2001] UKHL 13 · 22 March 2001Interprets

The statutory requirement concerning information about grievance procedures was considered as context for the earlier development of an implied contractual grievance obligation (see para [36]). The statutory statement must note applicable disciplinary rules or identify an accessible document containing them. The majority considered that compliance did not make such rules independently actionable at common law so as to evade unfair dismissal restrictions (see paras [61]-[66]).

Botham v The Ministry of Defence

[2010] EWHC 646 (QB) · 26 March 2010Limits

The judgment treated the statutory employment particulars regime and disciplinary rules as part of the background to the unfair-dismissal scheme. It confirmed that contractual disciplinary provisions were not intended to create an independently actionable common-law route circumventing statutory compensation limits (see paras [46]-[48]).

What each judgment says about section 3 is in the case-law panel in the full Act.

Amendments and notes

10 notes from legislation.gov.uk

Amendments

  1. F34Words in s. 3(1)(a) substituted (6.4.2020) by The Employment Rights (Miscellaneous Amendments) Regulations 2019 (S.I. 2019/731), regs. 1(2), 7 (with reg. 15)
  2. F35S. 3(1)(aa) inserted (1.10.2004) by Employment Act 2002 (c. 22), ss. 35(2), 55(2); S.I. 2004/1717, art. 2(2) (subject to art. 3)
  3. F36Words in s. 3(1)(aa) substituted (6.4.2020) by The Employment Rights (Miscellaneous Amendments) Regulations 2019 (S.I. 2019/731), regs. 1(2), 7 (with reg. 15)
  4. F37Words in s. 3(1)(b)(i) substituted (6.4.2020) by The Employment Rights (Miscellaneous Amendments) Regulations 2019 (S.I. 2019/731), regs. 1(2), 7 (with reg. 15)
  5. F38Words in s. 3(1)(b)(i) inserted (1.10.2004) by Employment Act 2002 (c. 22), ss. 35(3), 55(2); S.I. 2004/1717, art. 2(2) (subject to art. 3)
  6. F39Words in s. 3(1)(b)(ii) substituted (6.4.2020) by The Employment Rights (Miscellaneous Amendments) Regulations 2019 (S.I. 2019/731), regs. 1(2), 7 (with reg. 15)
  7. F40Words in s. 3(1)(c) substituted (6.4.2020) by The Employment Rights (Miscellaneous Amendments) Regulations 2019 (S.I. 2019/731), regs. 1(2), 7 (with reg. 15)
  8. F41Words in s. 3(2) inserted (1.10.2004) by Employment Act 2002 (c. 22), ss. 35(4), 55(2); S.I. 2004/1717, art. 2(2) (subject to art. 3)
  9. F42S. 3(3)(4) repealed (1.11.2004) by Employment Act 2002 (c. 22), ss. 36, 54, 55(2), Sch. 8; S.I. 2004/1717, art. 2(2) (subject to art. 3); S.I. 2004/2822, art. 2(b)
  10. F43S. 3(5) omitted (6.4.2016 unless brought into force earlier by an order under s. 56(1) of the amending Act) by virtue of Pensions Act 2014 (c. 19), s. 56(4), Sch. 13 para. 67