unfair_dismissal by doocter

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									Employment: Unfair Dismissal                                                                                                 Issue 3: April 2000




Employment:
Unfair Dismissal
This set of criteria applies to unfair dismissal cases and will cover all unfair dismissal case,
including those based on discrimination.

Wrongful dismissal and unauthorised deductions from wages are covered by separate sets of
criteria.

I     GETTING INFORMATION                                                                                           Yes        No          N/a
i)    General information

1. Does the file show the following details:

      1.1       The client’s name?                                                                                  [ ]        [ ]

      1.2       The client’s address?                                                                               [ ]        [ ]

      1.3       The client’s telephone number?                                                                      [ ]        [ ]

      1.4       The client’s date of birth?NFG                                                                      [ ]        [ ]

      1.5       The client’s National Insurance number?NFG                                                          [ ]        [ ]         [ ]

      1.6       Whether the client is married/cohabiting?                                                           [ ]         [ ]

      1.7       Whether the client has dependants and if so their age(s) and
                relationship to the client?NFG                                                                      [ ]        [ ]

      1.8       The amount of income since dismissal and its source?NFG                                             [ ]        [ ]

      1.9       The amount of capital owned by the client?                                                          [ ]         [ ]

      1.10      Whether the adviser has addressed the issue of need
                for welfare benefits advice?NFG                                                                     [ ]        [ ]




NFG
     1.4 - The client’s actual date of birth is required for compliance
NFG
     1.5 - Establishing that the client has none will give compliance. Only where the client is under 16 is ‘n/a’ an option
NFG
     1.7 - A dependant is anyone under the age of 18, or anyone who receives Attendance Allowance, or anyone who receives high or middle
rate Disability Living Allowance care premium. Where dependants are identified, the age and relationship of each is required for compliance.
NFG
     1.8 - This may be the client’s wages from a second job, or a job obtained since their dismissal, benefits or a combination of the two. As a
minimum the client’s total income and the source of that income must be given. The file must confirm that there is no other source of income.
A signed Application for Advice and Assistance (e.g. Green Form) or a signed means form on file and where the amount of income is also
noted will give compliance.
NFG
     1.10 - As a minimum there must be evidence on the file that a referral to a specialist welfare benefits adviser has been considered. This
includes specialist advisers within the same firm. Compliance will also be given where an adviser has been able to give appropriate advice
themselves. This must be specific advice regarding the client’s individual entitlement to a benefits/s; or a benefits calculation.
                                                                                                                                  Page 1 of 22
Employment: Unfair Dismissal                                                                                                   Issue 3: April 2000


                                                                                                                     Yes        No         N/a

ii) Information about the client’s contract of employment

2. Does the file show the following details:

      2.1       The name and address of the employer?                                                                 [ ]         [ ]

      2.2       The nature of the business?NFG                                                                        [ ]         [ ]

      2.3       The size of the firm?NFG                                                                              [ ]         [ ]

3. Where it is not clear at the initial interview whether the client was an
   employee or worked under a contract of services, does the file show
   the following details:NFG                                                                                                      N/a        [ ]

      3.1       Who bears responsibility for tax/N.I.?                                                                [ ]         [ ]

      3.2       How the employer has referred to the employment relationship,
                verbally or in writing?NFG                                                                            [ ]         [ ]

      3.3       Whether any benefits were provided by the ‘employer’?NFG                                              [ ]         [ ]

      3.4       Whether working for other companies or individuals was prohibited?                                    [ ]         [ ]

      3.5       Whether the client was subject to control by the employer’s
                disciplinary code?                                                                                    [ ]         [ ]

      3.6       Whether or not the client did anything as part of their work which
                would suggest they are an independent contractor?NFG                                                  [ ]         [ ]

      3.7       Whether the client was given paid holiday leave?                                                      [ ]         [ ]

4. Does the file show the following details of the clients’ terms of employment

      4.1       The date employment began?NFG                                                                         [ ]         [ ]

      4.2       Whether there have been any gaps in the employment?                                                   [ ]         [ ]

                if so:                                                                                                            N/a        [ ]

                4.2.1       Whether the contract of employment continued
                            during these gaps?NFG                                                                     [ ]         [ ]




NFG
     2.2 - The name and address of the employer is not sufficient, unless the employer is a well known organisation such as Debenhams, Eagle
Star, Laing Builders, etc. Otherwise the file must show what field the employer operates in i.e. retailing, insurance, construction etc.
NFG
     2.3 - The number of employees is not essential, but as a minimum an indication of the scale of operations is, i.e. local small business, sole
trader, multinational company etc. If the organisation is well known (see note to 2.2 above), answer “yes”.
NFG
    3 - It is for the adviser to identify that this issue is relevant, not for the auditor to decide. It is important for the adviser to establish
whether the client was an employee or a contractor as a claim for unfair dismissal can only be brought if the client is an employee.
NFG
     3.2 - This can be at any point and may include, for example the label given to the client’s position by the employer or details of the job as
described in a job advertisement.
NFG
    3.3 - E.g. company car, health care, loans, shares, luncheon vouchers, pensions.
NFG
    3.6 - E.g.: provided their own equipment, hired their own helpers, took a degree of financial risk.
NFG
     4.1 - The month and year will be sufficient for compliance where it is clear that the client has been an employee for over 1 year, or where
1 years continuous service is not required (for examples see NFG 5.3). If 1 years continuous service is not clear from the file, and is relevant,
the exact date is required. (For example, where the client began employment in July 1995 and was dismissed in July 1996.)
NFG
     4.2.1 - In some cases, even though the contract is terminated because the worker leaves, when s/he subsequently returns to the job
continuity is preserved and the weeks of absence will count towards his/her continuity of employment. E.g. where the worker is absent from
work due to pregnancy or confinement, sickness or injury, or when the employer lays off workers through lack of work.
                                                                                                                                    Page 2 of 22
Employment: Unfair Dismissal                                                                                                       Issue 3: April 2000


                                                                                                                          Yes        No          N/a

      4.3        Where the client was previously employed on the
                 same premises by different employers,                                                                                 N/a        [ ]

                 4.3.1       The commencement date of this previous employment?NFG                                         [ ]         [ ]

      4.4        Scale or rate of remuneration and intervals of pay?                                                       [ ]         [ ]

      4.5        The usual hours of work/overtime?                                                                         [ ]         [ ]

      4.6        The minimum statutory notice period that the client is entitled to?NFG                                    [ ]         [ ]

      4.7        The contractual notice period for termination?                                                            [ ]         [ ]        [ ]

      4.8        The client’s job title and duties?                                                                        [ ]         [ ]

      4.9        Disciplinary rules and grievance procedures?                                                              [ ]         [ ]

      4.10       Where the contract is for a fixed term:                                                                               N/a        [ ]

                 4.10.1 The date when the contract expires?                                                                [ ]         [ ]

                 4.10.2 Whether it excludes the right to claim unfair dismissal on
                        expiration?NFG                                                                                     [ ]         [ ]

      4.11       Where the contract of employment is for a specific purpose?NFG                                            [ ]         [ ]        [ ]

                 4.11.1 Whether that particular purpose has been fulfilled/completed?                                      [ ]         [ ]

      4.12       Terms relating to holidays and pension schemes?                                                           [ ]         [ ]

      4.13       Whether the client has received itemised pay statements?                                                  [ ]         [ ]


ii) Information about the dismissal and issues arising since
    termination of employment

5. Does the file show that the adviser has collected the necessary information
   to establish that the client satisfies the eligibility requirements? In particular,

      5.1        Whether the client is an employee?                                                                        [ ]         [ ]

      5.2        Whether the client is below the normal retiring age for employees
                 in their particular employment?NFG                                                                        [ ]         [ ]



NFG
     4.3.1 - The month and year will be sufficient for compliance.
NFG
    4.6 - The file must show the specified period relevant to the client. If the client has been continuously employed for less than 2 years but
more than one month then they are entitled to one week’s notice. If the client has been employed for 2 years or more then the client is entitled
to one week’s notice for each year worked up to a maximum of 12 weeks.
NFG
     4.10.2 - A worker employed on a fixed-term contract of one year or more will be unable to claim unfair dismissal if he/she agreed in
writing before the expiry of the term to exclude the right to claim unfair dismissal. The exclusion clause may be either in the contract itself or
in a separate document. The right to claim unfair dismissal will only be excluded if the reason for dismissal consists of the expiry and non-
renewal of the fixed term.
NFG
    4.11 - It is important to determine whether the contract was limited to completion of a particular purpose(e.g.: to introduce a new
computer system, to design and implement a new training policy) as this may mean that the contract of employment has been terminated
legitimately.
NFG
     5.2 - If the file shows that the client is under 60, answer ‘yes’ unless the client works for the police, fire brigade or is a pilot, train driver
or serviceman. In such cases the normal retiring age must be specifically addressed. The normal retiring age may be found in the contract of
employment.
                                                                                                                                         Page 3 of 22
Employment: Unfair Dismissal                                                                                                    Issue 3: April 2000


                                                                                                                      Yes        No          N/a

      5.3        Whether the client has been in 1 years continuous employment?NFG                                      [ ]         [ ]        [ ]

      5.4        Whether the client has been dismissed?NFG                                                             [ ]         [ ]        [ ]

      5.5        Whether the client does not ordinarily work outside Great Britain?NFG                                 [ ]         [ ]

      5.6        Whether the client is not a member of an excluded class of
                 employee?NFG                                                                                          [ ]         [ ]

      5.7        How and when the contract was terminated?                                                             [ ]         [ ]

      5.8        The Effective Date of Termination (EDT)?NFG                                                           [ ]         [ ]

6. Does the file show whether the client is a member of a trade union?                                                 [ ]         [ ]

      and if so,                                                                                                                   N/a        [ ]

      6.1        Whether there is any evidence to suggest the dismissal may
                 be union related?                                                                                     [ ]         [ ]

7. Where the adviser has noted that the dismissal appears to be the result
   of industrial action, does the file show the following:                                                                         N/a        [ ]

      7.1        Whether the industrial action was official or unofficial?                                             [ ]         [ ]

      7.2        Whether any employees engaged in the dispute were dismissed?                                          [ ]         [ ]

                 and if so,                                                                                                        N/a        [ ]

                 7.2.1      Whether any employees were later offered re-engagement?                                    [ ]         [ ]

8. Where the adviser has noted that the client has at any stage been absent
   because of strikes/lockouts:                                                                                                    N/a        [ ]

      8.1        For how long were they absent? NFG                                                                    [ ]         [ ]




NFG
      5.3 - If the dismissal was due to any form of discrimination (e.g. sex, race, disability) pregnancy, trade union membership/activities,
through helping someone else to bring a claim for unfair dismissal, disability, asserting statutory rights, refusal to work on health and safety
grounds, carrying our duties as a Health & Safety Officer, refusing to work on a Sunday, performing functions as a person trustee or
employee representative, this requirement does not apply and the question should be answered ‘n/a’.
NFG
      5.4 - ‘N/a’ is only an option if the client’s claim is based on constructive dismissal.
NFG
      5.5 - A worker who ordinarily works outside Great Britain is not entitled to claim unfair dismissal. The place of employment will be the
place stated in the contract of employment or, if there is no written contract or no specific place of work, the location of head office or the
base from which the worker operates. Where the address of the place of employment or head office is known and the file shows that the clients
duties do not include substantial periods of work, or payment of salary from, outside Great Britain answer ‘yes’.
NFG
      5.6 - Excluded classes of employees are: police, workers involved in national security, workers employed by a foreign mission, personnel
in the Services (except for health & safety dismissals), share fishermen. If the job title or employer is known and the client does not fall within
one of the above categories, answer ‘yes’.
NFG
      5.8 - The file must specifically state the E.D.T.
NFG
     8.1 - The duration of any one period will give compliance.
                                                                                                                                     Page 4 of 22
Employment: Unfair Dismissal                                                                                                 Issue 3: April 2000


                                                                                                                   Yes        No         N/a

9. Has the adviser raised with the client whether there are any elements of
   discrimination related to the dismissal?NFG                                                                      [ ]         [ ]

      and if so,                                                                                                                N/a        [ ]

      9.1       What the incidents of discrimination were?                                                          [ ]         [ ]

10. Where the adviser has noted that the client may have a claim for discrimination,
    does the file show:                                                                                                         N/a        [ ]

      10.1      The dates of all incidents?NFG                                                                      [ ]         [ ]

      10.2      The identity of all persons alleged to have discriminated against the
                client?NFG                                                                                          [ ]         [ ]

      10.3      Where the alleged discrimination is on the grounds of disability:                                               N/a        [ ]

                10.3.1 Whether the employer has more than 20 employees?                                             [ ]         [ ]

                10.3.2 Whether the client has a mental or physical impairment?NFG                                   [ ]         [ ]

                10.3.3 Whether the disability affects normal day-to-day activities?NFG                              [ ]         [ ]

                10.3.4 Whether the disability has ‘substantial’ and long-term
                       effects?NFG                                                                                  [ ]         [ ]

                10.3.5 Whether reasonable adjustments were made to working
                       practices?NFG                                                                                [ ]         [ ]

      10.4      Whether the adviser discussed with the client whether there are or
                have been comparable incidents involving other members of staff?                                    [ ]         [ ]

                and if any have been identified, does the file show:                                                            N/a        [ ]

                10.4.1 The name/s of those other staff?                                                             [ ]         [ ]

                10.4.2 What the comparable incidents were?NFG                                                       [ ]         [ ]




NFG
    9 - This issue must be addressed in all cases. This could include consideration of whether there may be a claim for disability
discrimination in cases involving dismissal due to long-term sickness.
NFG
    10.1 - Where only one incident has been recorded the file must show that the adviser has asked the client for information of all incidents.
Where more than one incident is noted on the file, the dates are required for each one.
NFG
    10.2 - This information should include names and status in the company. Where only one person is identified, the file must show that the
adviser has asked the client for information on all incidents.
NFG
    10.3.2 - ‘Mental impairment’ includes mental illness provided the illness is clinically recognised, e.g. schizophrenia or manic depression,
but not specified disorders such as a tendency to physical or sexual abuse. It also includes learning disabilities. ‘Physical impairment’
includes sensory impairment and severe disfigurement.
NFG
    10.3.3 - The impairment must affect one of the following normal day-to-day activities: mobility, manual dexterity, physical co-ordination,
continence, ability to lift, carry or move everyday objects, speech, hearing or eyesight, memory or ability to concentrate, learn or understand,
or perception of the risk of physical danger.
NFG
    10.3.4 - What amounts to ‘substantial’ adverse effect will be a matter for the IT and courts by reference to guidance in regulations,
however, the adviser needs to know the degree of the disability in order to progress the claim. Compliance will be given were the adviser notes
the long term effects or it is in the record of the tribunal hearing.
NFG
    10.3.5 - An employer has a duty to make reasonable adjustments to avoid placing a disabled worker at a disadvantage due to any
arrangements made by the employer or any physical feature of the premises. E.g., adjusting premises, acquiring equipment, adjusting hours
and allowing time-off for care, reallocating duties.
NFG
    10.4.2 - E.g.: long-term sickness, verbal arguments with supervisors. Where only one incident is recorded, the file must show that the
adviser has asked the client for information of all incidents.
                                                                                                                                  Page 5 of 22
Employment: Unfair Dismissal                                                                                                 Issue 3: April 2000


                                                                                                                   Yes        No         N/a

                10.4.3 What action the employer took? NFG                                                            [ ]        [ ]

      10.5      Where the alleged discrimination is based on race:                                                              N/a        [ ]

                10.5.1 To which racial group does each comparable person
                       belong?NFG                                                                                    [ ]        [ ]

      10.6      Where the alleged discrimination is based on sex:                                                               N/a        [ ]

                10.6.1 What sex is each comparable person?NFG                                                        [ ]        [ ]

      10.7      Whether the employer has an equal opportunities policy?                                              [ ]        [ ]

                and if so,                                                                                                      N/a        [ ]

                10.7.1 What the equal opportunities policy is?                                                       [ ]        [ ]


iii) Where the client has been dismissed for misconduct                                                                         N/a        [ ]
     Questions 11-12 should only be audited where the employers reason for
     dismissal is misconduct.

11. Does the file show the following details,

      11.1      The nature of the alleged misconduct?                                                                [ ]        [ ]

      11.2      Whether this was an isolated incident?                                                               [ ]        [ ]

                and if not,                                                                                                     N/a        [ ]

                11.2.1 Whether disciplinary measures have been taken against
                       the client in the past?                                                                       [ ]        [ ]

                           and if so,                                                                                           N/a        [ ]

                           11.2.1.1 What the disciplinary action was?NFG                                             [ ]        [ ]

                           11.2.1.2 When the action was taken?                                                       [ ]        [ ]

                           11.2.1.3 Whether the client received written confirmation
                                    of the action including the reasons and the time
                                    for which any warnings remain in force?                                          [ ]        [ ]

      11.3      Whether other employees were involved in the incident or have
                committed a similar offence in the past?                                                             [ ]        [ ]

                and if so                                                                                                       N/a        [ ]

                11.3.1 The name/s of those employees?                                                                [ ]        [ ]




NFG
    10.4.3 - This must be addressed for each incident established in 10.4.2.
NFG
    10.5.1 - The adviser must establish the racial group of all persons identified on the file as a comparable person.
NFG
    10.6.1 - The adviser must establish the sex of all persons identified on the file as a comparable person. The auditor must not assume this
information but it must be addressed directly on the file.
NFG
    11.2.1.1 - E.g.: verbal warning.
                                                                                                                                  Page 6 of 22
Employment: Unfair Dismissal                                                                                                 Issue 3: April 2000


                                                                                                                    Yes        No         N/a

                11.3.2 Whether disciplinary measures were taken against them?                                        [ ]        [ ]

                           and if so,                                                                                           N/a        [ ]

                           11.3.2.1 What the disciplinary measure was?NFG                                            [ ]        [ ]

12. Where the client has been dismissed following a disciplinary hearing,
    has the lawyer collected the following information:                                                                         N/a        [ ]

      12.1      When the disciplinary hearing took place?NFG                                                         [ ]        [ ]

      12.2      Whether the client was given notice of the hearing and informed of the
                allegations/evidence against them?                                     [ ]                                      [ ]

      12.3      Whether the client was given the opportunity to take a witness/
                representative?                                                                                      [ ]        [ ]

      12.4      Whether the employer informed the client before the hearing
                of the possible outcomes of the hearing?                                                             [ ]        [ ]


iv) Where the client has been dismissed on the grounds of capability
    or qualifications                                                                                                           N/a        [ ]
    Questions 13-15 should only be audited where the employers reason for
    dismissal is lack of capability or qualifications.

13. Where the dismissal is due to capability or qualification, does the file show,NFG                                           N/a        [ ]

      13.1      The nature of the ‘incapability’?NFG                                                                 [ ]        [ ]

      13.2      Whether the client has been warned previously or offered
                constructive support, guidance or training?NFG                                                       [ ]        [ ]

                and if so,                                                                                                      N/a        [ ]

                13.2.1 Whether any agreed support or training was given?                                             [ ]        [ ]

      13.3      Whether any other employee has committed the same
                offence or has a similar employment record to the client?NFG                                         [ ]        [ ]

                and if so,                                                                                                      N/a        [ ]

                13.3.1 The name/s of those employees?                                                                [ ]        [ ]




NFG
     11.3.2.1 - E.g.: verbal warning, dismissal.
NFG
      12.1 - The adviser should seek to establish whether a disciplinary hearing took place before the decision was taken to dismiss. An exact
date is not necessary.
NFG
     13 - Answer ‘n/a’ where the dismissal is due to a long-term sickness.
NFG
      13.1- This may include skill, aptitude, mental quality or intermittent absences due to sickness, injury or other physical quality. A common
example of a qualification dismissal is where the employee is disqualified from driving when having a licence is a necessary requirement of the
job.
NFG
      13.2 - This refers to previous warnings where the client has been dismissed because of his/her sick record, aptitude (e.g. inflexibility at
work, disruptive behaviour, or unwillingness to adapt), mental quality (e.g. lack of drive or a personality which has a detrimental effect on
colleagues’ work or customers). Where the client has been dismissed because of his/her inability to perform the job to the required standard,
an IT usually expects the employer to have taken steps to remedy the worker’s shortcoming before dismissal.
NFG
      13.3 - Where the dismissal is due to incompetence this applies to other employees who have committed similar acts. In the case of
sickness dismissals this applies to other employees who have had more time off than the client. This might be evidenced by the SSP records.
                                                                                                                                  Page 7 of 22
Employment: Unfair Dismissal                                                                                                 Issue 3: April 2000


                                                                                                                   Yes        No         N/a

                13.3.2 Whether disciplinary measures were taken against them?                                        [ ]        [ ]

                           and if so,                                                                                           N/a        [ ]

                           13.3.2.1 What the disciplinary measure was?NFG                                            [ ]        [ ]

14. Where the dismissal is due to a single period of prolonged absence due to
    sickness or a series of absences due to sickness, does the file show the
    following details:                                                                                                          N/a        [ ]

      14.1      The nature of the sickness?                                                                          [ ]        [ ]

      14.2      The length of time the client has been absent from work?NFG                                          [ ]        [ ]

      14.3      The date on which the client is likely to be able to return
                to work?NFG                                                                                          [ ]        [ ]

      14.4      Whether the employer has obtained a medical report prior to the
                dismissal and discussed this with the client?                                                        [ ]        [ ]

      14.5      Whether the client has been given an opportunity to obtain their
                own medical report?NFG                                                                               [ ]        [ ]        [ ]

      14.6      When the employer announced their decision to dismiss the
                client?NFG                                                                                           [ ]        [ ]

      14.7      Whether the client was warned that continued absence could result
                in dismissal?                                                                                        [ ]        [ ]

15. Where the client has been dismissed following a disciplinary hearing,
    has the lawyer collected the following information:                                                                         N/a        [ ]

      15.1      When the disciplinary hearing took place?NFG                                                         [ ]        [ ]

      15.2      Whether the client was given notice of the hearing
                and informed of the allegations and evidence against them?                                           [ ]        [ ]

      15.3      Whether the client was given the opportunity to take a witness/
                representative?                                                                                      [ ]        [ ]

      15.4      Whether the employer informed the client before the hearing
                of the possible outcomes of the hearing?                                                             [ ]        [ ]




NFG
    13.3.2.1 - E.g.: verbal warning, dismissal.
NFG
    14.2 - This could be specific dates or the period, e.g.: 7 months.
NFG
     14.3 - This information is likely to be found in the medical report and may refer to the work from which the client has been dismissed or
work of any kind.
NFG
    14.5 - This question must be applied in all cases except when the employer’s report has been obtained from the client’s own GP or
consultant.
NFG
    14.6 - An approximate date, e.g.: May 1997, will give compliance.
NFG
     15.1 - The adviser should seek to establish whether a disciplinary hearing took place before the decision was taken to dismiss. An exact
date is not necessary.
                                                                                                                                  Page 8 of 22
Employment: Unfair Dismissal                                                                                                   Issue 3: April 2000


                                                                                                                      Yes        No         N/a

v) Where the client has been dismissed because of ‘redundancy’                                                                    N/a           [ ]
   Question 16 should only be audited where the client has been made
   redundant and wishes to challenge the fairness of the redundancy dismissal.

16. Does the file show the following information:

      16.1       The reasons given by the employer for the redundancy?                                                 [ ]        [ ]

      16.2       Whether a new employee has replaced the client in the same job?                                       [ ]        [ ]

      16.3       The selection criteria applied by the employer?                                                       [ ]        [ ]

      16.4       Whether the employer warned the workforce about any impending
                 redundancies?NFG                                                                                      [ ]        [ ]

      16.5       Whether the employer consulted the client individually about
                 impending redundancy?                                                                                 [ ]        [ ]

      16.6       Whether any union was consulted regarding the selection
                 criteria?NFG                                                                                          [ ]        [ ]           [ ]

      16.7       Whether the entire workforce (or a representative elected by the
                 entire workforce specifically for this purpose of consultation
                 on redundancies) was consulted?                                                                       [ ]        [ ]

      16.8       Whether the employer has sought and/or made an offer of
                 alternative employment within the firm?                                                               [ ]        [ ]

      16.9       Where the employers reason for redundancy is a reduction of the
                 workforce,                                                                                                       N/a           [ ]

                 16.9.1 The financial position of the employer?                                                        [ ]        [ ]

      16.10      Whether the client has been allowed time off work
                 to look for alternative employment?NFG                                                                [ ]        [ ]           [ ]

      16.11      Whether the employer has offered to renew the contract or to
                 re-engage the client?                                                                                 [ ]        [ ]

                 and, if so                                                                                                       N/a           [ ]

                 16.11.1 The terms of any proposed re-engagement, and whether
                         those terms will involve any additional burdens for the
                         employee?NFG                                                                                  [ ]        [ ]




NFG
     16.4 - An approximate date is sufficient for compliance.
NFG
     16.6 - ‘N/a’ is only an option where it is clear from the file that no union organises workers at the workplace. In all other cases this
question is applicable. If the file is silent as to a union, answer ‘no’.
NFG
    16.10 - ‘N/a’ is only an option where the client is dismissed with immediate effect.
NFG
    16.11.1 - E.g. commuting distance, costs.
                                                                                                                                     Page 9 of 22
Employment: Unfair Dismissal                                                                                                  Issue 3: April 2000


                                                                                                                    Yes        No         N/a

vi) Where the client has been dismissed because of pregnancy                                                                     N/a        [ ]
    Question 17 should only be audited where the adviser has noted that
    the client has been dismissed because of pregnancy.

17. Does the file show the following information:

      17.1      The employer’s reason for dismissal?NFG                                                              [ ]         [ ]

      17.2      Whether the employer’s attitude to the client changed after
                being informed about the pregnancy?                                                                  [ ]         [ ]

                and if so,                                                                                                       N/a        [ ]

                17.2.1 The evidence to support this?NFG                                                              [ ]         [ ]

      17.3      When the employer was notified of the pregnancy?NFG                                                  [ ]         [ ]

      17.4      Whether the client was incapable of doing the work she was employed
                to do because of pregnancy, or would have become so by the EDT?                                      [ ]         [ ]

      17.5      Whether there would be any breaches of statutory legislation
                (i.e. Health and Safety regulations) if the client were to continue
                with the employment?                                                                                 [ ]         [ ]

      17.6      Whether there was a suitable alternative vacancy within the workplace? [ ]                                       [ ]

                and if so,                                                                                                       N/a        [ ]

                17.6.1 Was this vacancy offered to her?                                                              [ ]         [ ]


vii) Where the client has been dismissed on the transfer of the business                                                         N/a        [ ]
     Question 18 should only be audited where the client has been dismissed
     because of a reason connected with a transfer of the employer’s undertaking.

18. Does the file show the following information:

      18.1      The name and address of the original employer?NFG                                                    [ ]         [ ]

      18.2      Date of transfer?                                                                                    [ ]         [ ]

      18.3      What is the reason given by the employer for the dismissal?NFG                                       [ ]         [ ]

      18.4      Whether the new employer has changed the client’s terms and
                conditions of employment?                                                                            [ ]         [ ]




NFG
    17.1 - E.g.: capability because of a series of absences due to morning sickness.
NFG
     17.2.1 - This refers to any alteration in the employer’s attitude to the client over their work generally, any remarks made about
maternity/pregnancy/child care, time off for ante-natal care?
NFG
    17.3 - An approximate date will give compliance, e.g.: ‘4 weeks ago’ or ‘end of April’.
NFG
     18.1 - Dismissals at the time of a transfer are assumed to be connected with it, but a dismissal may also be connected with it if it takes
place in advance or some time afterwards. A claim for unfair dismissal may therefore be made against the previous or new employer.
NFG
    18.3 - It is automatically unfair to dismiss a worker for a reason connected with the transfer, unless the reason is an economic, technical
or organisational reasons entailed changes in the workforce.
                                                                                                                                  Page 10 of 22
Employment: Unfair Dismissal                                                                                                 Issue 3: April 2000


                                                                                                                    Yes        No         N/a

viii) Where the client has been dismissed for the reason of statutory
      restriction                                                                                                               N/a        [ ]
      Question 19 should only be audited where the employer relies on a
      statutory restriction as the reason for dismissal.

19. Does the file show the following information:

      19.1      The nature of the statutory restriction on which the
                employer relies?NFG                                                                                  [ ]        [ ]

      19.2      How the employer claims the statutory restriction affected
                the work the client was employed to perform?                                                         [ ]        [ ]

      19.3      Whether any alternative employment was available?                                                    [ ]        [ ]

      19.4      Whether the employer consulted with the client on the
                consequences of the ban?NFG                                                                          [ ]        [ ]


ix) Where the client has been dismissed due to reorganisation of
    business                                                                                                                    N/a        [ ]
    Question 20 should only be audited where the client has been dismissed
    after reorganisation of the business.

20. Does the file show the following information:

      20.1      The nature of the reorganisation and the change in terms and
                conditions?                                                                                          [ ]        [ ]

      20.2      How the employer justifies the reorganisation and the change in terms
                and conditions?NFG                                                                                   [ ]        [ ]

      20.3      Whether the employer consulted with the client on the change in the
                client’s terms and conditions?                                                                       [ ]        [ ]


II    ADVISING THE CLIENT
i)    General advice

21. Did the adviser explain the tribunal procedure to the client, including the
    range of possible orders an Industrial Tribunal may make
    (i.e. re-engagement, reinstatement, compensation)?NFG                                                            [ ]        [ ]

22. Did the adviser ask the client what they want to achieve?NFG                                                     [ ]        [ ]




NFG
     19.1 - The most common example is the loss of a necessary qualification for a job, e.g., a van driver losing his/her driving licence or a
doctor who has been struck off the medical register.
NFG
    19.4 - Where a restriction does not prevent the worker from doing his/her job but makes it difficult, e.g., a salesperson losing a driving
licence, the employer should consult on what assistance may be possible. Even where continued employment may be unlawful, e.g., where a
GP has been struck off the medical register, the employer should still consult on the likelihood of the decision being reversed.
NFG
     20.2 - An employer is entitled to reorganise the workforce and terms and conditions of employment so as to improve efficiency and to
dismiss a worker who does not co-operate with the changes. It is sufficient for the employer to show that the reorganisation is for sound
business reasons requiring a change in the worker’s terms and conditions. The reorganisation need not be essential.
NFG
    21 - The minimum requirement for compliance is either general advice on at least two orders which are within the jurisdiction of a
tribunal or specific advice on any one order which will be most likely/appropriate in the client’s case.
NFG
    22 - E.g.: return to job, good reference, compensation. A tick on the IT1 is not sufficient for compliance.
                                                                                                                                 Page 11 of 22
Employment: Unfair Dismissal                                                                                                  Issue 3: April 2000


                                                                                                                     Yes        No         N/a

23. Did the adviser explain to the client the role of ACAS?                                                           [ ]         [ ]

24. Did the adviser explain to the client the relevant time limit for
    complaint to the Industrial Tribunal?NFG                                                                          [ ]         [ ]        [ ]

25. Has the client been advised whether they have a case for unfair dismissal?NFG                                     [ ]         [ ]

26. Where the adviser has indicated that the client may have a claim based on
    discrimination:                                                                                                               N/a        [ ]

      26.1      Has the client been advised of the kind of unlawful discrimination
                on which the claim may be based?NFG                                                                   [ ]         [ ]


                                                                                                  NFG
ii) Where the client has been advised that they have a case                                                                       N/a        [ ]
    Questions 27-32 should only be audited where the adviser has indicated
    that the client has a case for unfair dismissal

27. Has the client been advised on how the basic award is calculated
    in unfair dismissal claims?                                                                                       [ ]         [ ]

28. Has the client been advised on how a further compensatory award
    is calculated, in particular:

      28.1      Immediate loss of earnings from the date of dismissal to
                the date of the hearing?                                                                              [ ]         [ ]

      28.2      Future loss of earnings?NFG                                                                           [ ]         [ ]        [ ]

      28.3      Injury to feelings?NFG                                                                                [ ]         [ ]        [ ]

      28.4      Interest on loss of earnings?NFG                                                                      [ ]         [ ]        [ ]

      28.5      Interest on injury to feelings?NFG                                                                    [ ]         [ ]        [ ]

      28.6      Loss of other fringe benefits?NFG                                                                     [ ]         [ ]        [ ]

      28.7      Loss of statutory protection?NFG                                                                      [ ]         [ ]

      28.8      Expenses involved in looking for work?NFG                                                             [ ]         [ ]



NFG
     24 - ‘Not applicable’ is only an option where the client has already made a complaint to the IT.
NFG
     25 - As a minimum, the client must be advised that the dismissal was unfair and that the tribunal has jurisdiction, or that it is appropriate
to take the case to an I.T. For E.A.T. only cases, compliance will be given where the client is advised that the dismissal is unfair. However,
where the appeal to the E.A.T. relates to a preliminary issue of jurisdiction, they must also be advised on whether the tribunal has jurisdiction.
NFG
     26.1 - There are 3 kinds of unlawful discrimination each has a precise legal meaning: direct discrimination, indirect discrimination and
victimisation. The client must be advised of the type in their case .
NFG
      ii - If the adviser has made some initial investigations and has then decided that the client does not have a claim, answer ‘n/a’. If an IT1
has been issued before this decision has been made, these questions must still be answered. The advice may be given at any time before the IT
hearing.
NFG
      28.2 - If the file shows that the client has found alternative employment at an equal or greater salary, answer ‘n/a’. Otherwise the issue
must be addressed.
NFG
     28.3 - This will only be relevant to claims based on discrimination. In all other cases, answer ‘n/a’.
NFG
     28.4 - Answer ’n/a’ where 28.2 is ‘n/a’.
NFG
     28.5 - This will only be relevant to claims based on discrimination. In all other cases, answer ‘n/a’.
NFG
      28.6 - If it is clear from the file that there are no fringe benefits, answer ‘n/a’. Otherwise the issue must be addressed.
NFG
      28.7 - This relates to having to start a new period of continuous employment with a new employer before having the right to an unfair
dismissal claim, the right to a longer notice period, maternity rights, etc.
NFG
      28.8 - This issue must be addressed, even if the client has found alternative employment.
                                                                                                                                  Page 12 of 22
Employment: Unfair Dismissal                                                                                                  Issue 3: April 2000


                                                                                                                    Yes        No         N/a

29. Did the adviser inform the client of the likely impact of an award or
    settlement on the receipt of benefits?                                                                            [ ]        [ ]

30. Did the adviser explain to the client that there is a duty to
    mitigate their loss?                                                                                              [ ]        [ ]

31. Where the file shows that the following is an issue has the adviser
    explained to the client the possibility of deductions being made from
    their award:NFG

      31.1      Contributory fault?                                                                                   [ ]        [ ]        [ ]

      31.2      Payments made at the time of dismissal?                                                               [ ]        [ ]        [ ]

      31.3      Unreasonable refusal of reinstatement?                                                                [ ]        [ ]        [ ]

      31.4      Deduction where the EDT falls after the client’s 64th birthday?                                       [ ]        [ ]        [ ]

      31.5      Failure to mitigate?                                                                                  [ ]        [ ]        [ ]

32. Where the client had already received some payments from the former
    employer, or the client received welfare benefits post-dismissal,                                                            N/a        [ ]

      32.1      Did the adviser explain the relative advantage of a negotiated
                settlement?NFG                                                                                        [ ]        [ ]


iii) Advice on costs and funding of the case

33. Where the case is funded by Legal Help/ Advice and Assistance does the file
    show that the client has been given advice about:                                                                            N/a        [ ]

      33.1      What the relevant form of public funding will cover?NFG                                               [ ]        [ ]

34. Where an application is made for emergency legal representation/ emergency
    civil legal aid (regardless of whether it was granted or refused) does the file
    show that the client has been given advice about:                                                                            N/a        [ ]

      34.1      The need to co-operate with any enquiries about financial eligibility?                                [ ]        [ ]

      34.2      The requirement to pay full costs of any steps taken under the
                emergency certificate if found to be ineligible or if an offer of
                a full certificate is refused?                                                                        [ ]        [ ]




NFG
      31 - The issue may be identified by the adviser or by the other side. Where the issue has not been identified then answer the relevant
subquestion ‘n/a’.
NFG
     32.1 - There are many advantages in settling a claim, as it avoids the risk of losing, the unpleasantness of the hearing, the recoupment
provisions and may be the only way to negotiate a good reference as a term of the settlement.
NFG
      33.1 - The client must be given an explanation at the outset of the case regarding the level(s) of the service to be used to fund the case.
For Legal Help (or advice and assistance) this must cover the fact that work is limited (in duration/cost), the limitations on representation and
if appropriate, the possible application of the charge.Compliance should be given where the client is advised of the 2/3 hour limit, the hourly
rate and/ or that the work anticipated is to be undertaken within any applicable limit.


                                                                                                                                  Page 13 of 22
Employment: Unfair Dismissal                                                                                                    Issue 3: April 2000


                                                                                                                       Yes        No         N/a

35. Where a certificate is issued for any form of public funding does the file
    show that the client was given advice about                                                                                    N/a         [ ]

      35.1       What that form of funding will cover in the client’s case?NFG                                          [ ]        [ ]

      35.2       Whether or not the client will have to make any contribution
                 to the case?NFG                                                                                        [ ]        [ ]

                 and if there is a contribution?                                                                                   N/a         [ ]

                 35.2.1 The duration of payments?NFG                                                                    [ ]        [ ]

      35.3       The duty to report all changes of circumstance and that any
                 changes may affect eligibility and/or contribution status?                                                        [ ]         [ ]

      35.4       The nature and consequence of discharge and revocation?NFG                                             [ ]        [ ]

36. Where a certificate is issued and the option of taking proceedings is discussed
    with the client, does the file show that the client has been given advice about                                                N/a         [ ]

      36.1       How they may be ordered to contribute to their opponents
                 costs should the case be lost?NFG                                                                      [ ]        [ ]


iv) Advice on Progressing the Case

37. Does the file show that the client has been given advice about
    the progress of the case? In particular:

      37.1       Advice about how long the case is likely to take?NFG                                                   [ ]        [ ]

      37.2       An explanation of the steps that the adviser is going to
                 take on the client’s behalf?                                                                           [ ]        [ ]

      37.3       Written confirmation of the advice given (or justification for
                 not providing confirmation in writing in exceptional
                 circumstances)?                                                                                        [ ]        [ ]

      37.4       Advice about the strength of the client’s case?NFG                                                     [ ]        [ ]




NFG
     35.1 - The client must be advised on the level of service, the description of cover and on the procedural steps this will cover (i.e. scope
limitations and costs on the original certificate and any amendment(s)).
NFG
     35.2 - This advice must be given by the time the offer is accepted. If there is no contribution they should be advised of this.
NFG
     35.2.1 - This advice must be given by the time the offer is accepted. Where a contribution is due from income, the client must be advised
that the payments will last for the length of the case. Where a contribution is due from capital, the client must be advised that this is a one off
payment.
NFG
     35.4 - As a minimum the advice must cover what is meant by both the terms ‘discharge’ and ‘revocation’ and how they would affect the
client should they occur. It is not necessary to use the actual words ‘discharge’ and ‘revocation’ in that explanation.
NFG
     36.1 - This advice does not need to be given at the outset of the case but must have been given before proceedings are issued, and in all
cases where the possibility of taking proceedings is discussed with the client at any time.
NFG
     37.1 - A broad indication of the time estimated to resolve from start to finish will be sufficient.
NFG
     37.4 - This may be an indication of the prospects of success, or of whether the client is likely to be satisfied with the outcome of the case.
                                                                                                                                    Page 14 of 22
Employment: Unfair Dismissal                                                                                                   Issue 3: April 2000


                                                                                                                     Yes        No         N/a

      37.5      Information about when and in what form the next
                contact will take place?NFG                                                                           [ ]         [ ]

      37.6      Advice about what to do if contacted directly by the
                ‘other side’?NFG                                                                                      [ ]         [ ]

      37.7      In circumstances where the adviser is unable to represent the
                client at hearings, information about alternative sources of
                representation and/or assistance?NFG                                                                  [ ]         [ ]        [ ]


III PROCEDURAL AND PRACTICAL STEPS (PRE-PROCEEDINGS)                                                                              N/a        [ ]
    These questions should be applied in all cases that extend beyond initial
    advice. If Section III is not audited, go to Section V.
i) General procedural & practical steps
    Questions 38-43 must be audited in all cases which extend beyond initial
    advice.

38. Did the adviser obtain:NFG

      38.1      Evidence of the client’s contract of employment?NFG                                                   [ ]         [ ]

      38.2      Copies of other relevant notices and correspondence?NFG                                               [ ]         [ ]

39. Did the adviser take a full statement from the client of all the relevant facts?NFG [ ]                                       [ ]

      and if so,                                                                                                                  N/a        [ ]

      39.1      Was the statement signed and dated?                                                                   [ ]         [ ]

40. Where there are witnesses who could support the client’s claim,                                                               N/a        [ ]

      40.1      Were they contacted?                                                                                  [ ]         [ ]

41. Did the adviser contact the employer informing them of:

      41.1       The basis of the client’s claim?                                                                     [ ]         [ ]

      41.2       The damages and/or remedies sought?NFG                                                               [ ]         [ ]




NFG
      37.5 - It is important from the client’s perspective to know when they should expect further contact, and whether they should anticipate a
letter, telephone call, or need to attend an appointment.
NFG
     37.6 - E.g. the employer or ACAS.
NFG
      37.7 - Alternative sources could include: Law Centre, CAB, Advice Centre, Free Representation Unit, MacKenzie friend, Solicitor (if the
audit is of a non-solicitor agency). Where the adviser represents the client on a pro bono basis, answer ‘n/a’.
NFG
     38 - If there are no examples of written evidence of the clients’ contract or of other relevant notices, then the adviser should have made a
note to that effect and this will be sufficient for compliance. If the file is silent answer “no”
NFG
     38.1 - E.g.: copy of the client’s contract, written terms & conditions.
NFG
     38.2 - E.g.: written warnings, redundancy notices.
NFG
     39 -This could be a formal statement or a record of the initial interview.
NFG
     41.2 - The adviser need not mention values.
                                                                                                                                   Page 15 of 22
Employment: Unfair Dismissal                                                                                                    Issue 3: April 2000


                                                                                                                      Yes        No          N/a

42. Where the client did not have a written statement of reasons at the
    initial interview:                                                                                                             N/a        [ ]

      42.1       Did the adviser request a written statement of reasons from
                 the employer?NFG                                                                                      [ ]         [ ]


                                                                              NFG
ii) Discrimination procedural & practical steps                                                                                    N/a        [ ]
    Questions 43-48 should only be audited where the adviser has indicated
    that the client has a potential claim for discrimination

43. Did the adviser submit a questionnaire to the employer within the
    relevant time limit?NFG                                                                                            [ ]         [ ]

44. Did the questionnaire request the following points in relation to the client’s
    dismissal?NFG

      44.1       Who made the decision to dismiss?                                                                     [ ]         [ ]

      44.2       When the decision to dismiss was made?                                                                [ ]         [ ]

      44.3       What are the employers purported reasons for dismissal?                                               [ ]         [ ]

45. Did the questionnaire request the following points in relation to the
    dismissals made by the employer within a stated period of time?NFG

      45.1       The date of the dismissals?                                                                           [ ]         [ ]

      45.2       The reason for the dismissals?                                                                        [ ]         [ ]

      45.3       The job title of the employees dismissed?                                                             [ ]         [ ]

      45.4       Where the alleged discrimination is based on race?                                                                N/a        [ ]

                 45.4.1 The race of the employees dismissed?                                                           [ ]         [ ]

      45.5       Where the alleged discrimination is based on sex?                                                                 N/a        [ ]

                 45.5.1 The sex of the employees dismissed?                                                            [ ]         [ ]

      45.6       Where the alleged discrimination is based on disability                                                           N/a        [ ]

                 45.6.1 Details of disabilities suffered by any of the employees
                        dismissed?                                                                                     [ ]         [ ]




NFG
     42.1 - This may be direct from the employer or by instructing the client to do so.
NFG
     ii - If the adviser has agreed with the client to take steps to pursue a claim of discrimination then this subsection must be audited. It is
always best practice in discrimination cases to submit a questionnaire in a standard form. Only answer this section ‘n/a’ in a discrimination
claim where the adviser has indicated on the file a specific tactical reason for not submitting a questionnaire.
NFG
    43 - A questionnaire must be served on the employer within 3 months after the dismissal, unless an IT1 has already been presented, in
which case the questionnaire must be served within 21 days of the date of presentation. The questionnaire is submitted to the employer
seeking information to identify facts about the dismissal and the employer’s reasons for their actions.
NFG
    44 - Where there is no questionnaire, answer all subquestions ‘no’.
NFG
    45 - Where there is no questionnaire, apply questions 45.1 to 45.3 and either 45.4, 45.5 or 45.6 ( as appropriate in the specific
circumstances of this case). All applicable questions should be answered ‘no’.
                                                                                                                                    Page 16 of 22
Employment: Unfair Dismissal                                                                                                  Issue 3: April 2000


                                                                                                                    Yes        No         N/a

46. Did the questionnaire request the following points in relation to the staff
    employed by the employer within a stated period or on a given date?NFG

      46.1      The job title of the employees?                                                                       [ ]        [ ]

      46.2      The start date for the employees?                                                                     [ ]        [ ]

      46.3      Where the alleged discrimination is based on race:                                                               N/a       [ ]

                46.3.1 The race of the employees?                                                                     [ ]        [ ]

      46.4      Where the alleged discrimination is based on sex:                                                                N/a       [ ]

                46.4.1 The sex of the employees?                                                                      [ ]        [ ]

      46.5      Where the alleged discrimination is based on disability,                                                         N/a       [ ]

                46.5.1 Details of disabilities suffered by any employees?                                             [ ]        [ ]

47. Did the questionnaire request details of the employer’s equal
    opportunities policy?NFG                                                                                          [ ]        [ ]

48. Where a response to the questionnaire is received does the file show,                                                        N/a       [ ]

      48.1      Whether there are any questions to which the employer has
                not responded?                                                                                        [ ]        [ ]

                and if so,                                                                                                       N/a       [ ]

                48.1.1 Did the adviser discuss these points with the client?                                          [ ]        [ ]


IV PROCEEDINGS                                                                 N/a     [ ]
   This section should be audited where taking proceedings is discussed
   with the client.
   Note: This section should still be applied where:
   • The matter is settled / concluded prior to any court hearing.
   • The client is referred to another organisation for representation at the hearing (or
       where they represent themselves).
   In such cases, it is for the auditor to decide which questions will apply.
   If Section IV is not audited, go to Section V.

i)    Where an unfair dismissal claim is to be made to the Industrial
      Tribunal (I.T.)                                                                                                            N/a       [ ]
      Questions 49-62 should only be audited where an action for Unfair
      Dismissal is brought by the client.

49. Did the adviser lodge the originating application (IT1) with the local
    Industrial Tribunals office within 3 months from the EDT?                                                         [ ]        [ ]




NFG
    46 - Where there is no questionnaire, apply questions 46.1 to 46.2 and either 46.3, 46.4 or 46.5 ( as appropriate in the specific
circumstances of this case). All applicable questions should be answered ‘no’.
NFG
    47 - Where there is no questionnaire, answer this question ‘no’.
                                                                                                                                  Page 17 of 22
Employment: Unfair Dismissal                                                                                                   Issue 3: April 2000


                                                                                                                    Yes         No         N/a


50. Where the adviser has noted that there is a potential discrimination claim:                                                  N/a        [ ]

       50.1       Has the claim been included on the IT1?                                                                [ ]     [ ]

51. Where the employers response (IT3) is received,                                                                              N/a        [ ]

       51.1       Did the adviser check the contents with the client and discuss any
                  points which are not accepted?                                                                         [ ]     [ ]

52. Where the adviser decides that further and better particulars are required,                                                             N/a [ ]

       52.1       Has the adviser written to the employer requesting further and
                  better particulars within a specified time limit?                                                      [ ]     [ ]

53. Where the adviser has identified that they need to obtain documents
    which are in the employer’s possession,                                                                                      N/a        [ ]

       53.1       Has the adviser written to the employer requesting copies of the
                  relevant documents or ‘discovery’ within a specified time limit?                                       [ ]     [ ]

54. If the employer fails to respond to a request for further and better
    particulars and/or discovery within the specified time limit:                                                                N/a        [ ]

       54.1       Has the adviser written to the I.T. requesting an order?                                               [ ]     [ ]

       54.2       Where the employer fails to respond to an order:                                                               N/a        [ ]

                  54.2.1 Has the adviser written to the I.T. asking that the employer
                         be requested to show cause why it should not be struck out?                                     [ ]     [ ]

55. Where the employer has requested further and better particulars:                                                             N/a        [ ]

       55.1       Has the adviser responded within the specified time limit?                                             [ ]     [ ]

56. Where a response is received from the employer to the request for further
    and better particulars, has the adviser:                                                                                     N/a        [ ]

       56.1       Given the client an opportunity to comment on the response?                                            [ ]     [ ]

57. Where there are witnesses to the dismissal or to relevant events leading
    up to dismissal, has the adviser:                                                                                            N/a        [ ]

       57.1       Contacted them and taken statements?                                                                   [ ]     [ ]

58. Where there is to be a preliminary hearing, but before the preliminary hearing,
    has the adviser,NFG                                                                                                          N/a        [ ]

       58.1       Confirmed to the client the date and time of the hearing?                                              [ ]     [ ]

       58.2       Explained the preliminary issue?NFG                                                                    [ ]     [ ]

       58.3       Explained the protocol and procedure at the hearing?                                                   [ ]     [ ]


NFG
      58 - A preliminary hearing may be held where there is a dispute over whether the I.T. has jurisdiction.
NFG
      58.2 - E.g.: The client was not an employee, the client’s period of continuous employment was less than 2 years.
                                                                                                                                  Page 18 of 22
Employment: Unfair Dismissal                                                                                                  Issue 3: April 2000


                                                                                                                    Yes        No         N/a

59. Where the client was not to be represented at the preliminary hearing:                                                       N/a        [ ]

      59.1      Were written submissions prepared for the client, or was
                the client advised in writing of the main points to pursue
                at the hearing?                                                                                       [ ]        [ ]

60. Where the preliminary hearing is unsuccessful:                                                                               N/a        [ ]

      60.1      Has the adviser explained any further steps available to
                to the client, e.g.: making an appeal to the E.A.T.?                                                  [ ]        [ ]

61. Where there is to be a full hearing but before the full hearing, has the adviser:                                            N/a        [ ]

      61.1      Made a calculation of the likely claim before the hearing?                                            [ ]        [ ]

      61.2      Advised the client on quantum?                                                                        [ ]        [ ]

      61.3      Collected from the client evidence of the following:

                61.3.1 Attempts to obtain new employment?                                                             [ ]        [ ]

                61.3.2 Difficulty in securing further employment?NFG                                                  [ ]        [ ]        [ ]

      61.4      Prepared a bundle of documents and attempted to agree
                these with the employer?                                                                              [ ]        [ ]

      61.5      Confirmed to the client the date and time of the hearing?                                             [ ]        [ ]

      61.6      Where there are witnesses for the client,                                                                        N/a        [ ]

                61.6.1 Confirmed to the witnesses the date and time of the hearing?                                   [ ]        [ ]

      61.7      Explained to the client the protocol and procedure at I.T. hearings?                                  [ ]        [ ]

      61.8      Advised the client about the possible outcomes of the hearing?
                In particular:

                61.8.1 The options available to the tribunal if the claim is
                       successful?                                                                                    [ ]        [ ]

                61.8.2 The options available to the client if the claim is
                       unsuccessful?                                                                                  [ ]        [ ]

      61.9      Where the client was not to be represented at the full hearing:                                                  N/a        [ ]

                61.9.1 Were written submissions prepared for the client, or was
                       the client advised in writing of the main points to pursue
                       at the hearing?                                                                                [ ]        [ ]




NFG
    61.3.2 - This would usually take the form of a letter from the job centre. Answer ‘n/a’ where the file shows that the client does not foresee
any difficulty in securing further employment. Otherwise the issue must be addressed.
                                                                                                                                  Page 19 of 22
Employment: Unfair Dismissal                                                                                                Issue 3: April 2000


                                                                                                                  Yes        No          N/a

62. Where the IT decides that the dismissal was fair:                                                                          N/a       [ ]

      62.1      Has the adviser explained any further steps available to
                to the client?                                                                                      [ ]        [ ]


ii) Where a request to review the decision is made to the IT                                                                   N/a       [ ]
    Questions 63-64 should only be audited where a request to review the
    decision of the IT is discussed.

63. Where the client is advised to consider requesting the IT to review its decision
    but before a request is made, has the adviser explained the following:                                                     N/a       [ ]

      63.1      The procedure for requesting the IT to review its decision?                                         [ ]        [ ]

      63.2      The grounds on which the review has been requested?NFG                                              [ ]        [ ]

      63.3      The time limit for making the request?                                                              [ ]        [ ]

64. Where it is agreed to request a review, has the adviser:                                                                   N/a       [ ]

      64.1      Requested a review within 14 days of receiving the
                IT’s decision?                                                                                      [ ]        [ ]


iii) Where an appeal is to be made to the Employment Appeal
     Tribunal (EAT)                                                                                                            N/a       [ ]
     Questions 65-69 should only be audited where an appeal to the EAT
     is discussed with the client.

65. Where the client is advised to consider an appeal to the EAT, but
    before an appeal is made, has the adviser explained the following,                                                         N/a       [ ]

      65.1      The procedure for appealing to the EAT?                                                             [ ]        [ ]

      65.2      The basis of the appeal?                                                                            [ ]        [ ]

      65.3      The time limit for appealing to the EAT?                                                            [ ]        [ ]

66. Where it is agreed to pursue the possibility of making an Appeal, but
    before the Appeal is made, has the adviser gathered information to
    support the claim? In particular,                                                                                          N/a       [ ]

      66.1      Where the IT has provided summary reasons only,                                                                N/a       [ ]

                66.1.1 Has the adviser requested full written reasons within 21 days
                       of receiving the IT’s decision?                                                              [ ]        [ ]

      66.2      Has the adviser drafted and lodged the notice of appeal within
                42 days of receiving the IT’s decision?                                                             [ ]        [ ]




NFG
   63.2 - The I.T. may be asked to review the decision on specified grounds, e.g. where the I.T. have made an error in calculating the
compensation, or the interest of justice requires it.
                                                                                                                               Page 20 of 22
Employment: Unfair Dismissal                                                                                                  Issue 3: April 2000


                                                                                                                       Yes     No         N/a

       66.3       Requested the IT’s notes of the oral evidence, or noted on the file
                  that this is not necessary?                                                                           [ ]     [ ]

67. Where counsel’s opinion has been received, has the adviser:                                                                 N/a        [ ]

       67.1       Given the client an opportunity to comment on or agree to the
                  contents of the opinion?                                                                              [ ]     [ ]

       67.2       Explained to the client what the opinion means in terms of
                  progressing the case?                                                                                 [ ]     [ ]

68. Before the appeal hearing, has the adviser:                                                                                 N/a        [ ]

       68.1       Confirmed to the client the date and time of the appeal?                                              [ ]     [ ]

       68.2       Explained the protocol and procedure at E.A.T. hearings?                                              [ ]     [ ]

       68.3       Prepared a bundle of documents and agreed these with
                  the EAT?                                                                                              [ ]     [ ]

       68.4       Advised the client about the possible outcomes of the hearing?
                  In particular:

                  68.4.1 The options available to the EAT if the appeal is
                         successful?                                                                                    [ ]     [ ]

                  68.4.2 The options available to the client if the appeal is
                         unsuccessful?                                                                                  [ ]     [ ]

69. After the hearing, has the adviser:                                                                                         N/a        [ ]

       69.1       Advised the client about the implications of the decision
                  including any further steps which need to be, or can be, taken?                                       [ ]     [ ]


V CLOSING THE CASE
  This section must be audited for all files

70. Before closing the file, has the adviser written to the client:NFG                                                          N/a        [ ]

       70.1       Confirming the status/outcome?                                                                        [ ]     [ ]

       70.2       Explaining the effect of the outcome in terms of any further
                  action that can or ought to be taken by or on behalf of the
                  client or confirming that no further action is necessary?NFG                                          [ ]     [ ]




NFG
       70- Answer ‘n/a’, only where the adviser has noted on the file that there is no forwarding address for the client.
NFG
      70.2 - If 69.1 was answered ‘no’ then this question must also be answered ‘no’.
                                                                                                                                 Page 21 of 22
Employment: Unfair Dismissal                                                                                                     Issue 3: April 2000


                                                                                                                       Yes        No          N/a

V TRANSFER OF FILES AND REFERRALS
  This section must be audited in all cases where a file is transferred or
  a referral is made

71. Where the file is transferred to another office, department or fee-earner
    within the same firm, does the file showNFG                                                                                     N/a        [ ]

      71.1       The client has been given an explanation of the reasons for
                 the transfer?                                                                                          [ ]         [ ]

      71.2       That the client has been given the name of the person taking
                 over the case?                                                                                         [ ]         [ ]

      71.3       That the client has been given an opportunity to comment or
                 raise any issues?                                                                                      [ ]         [ ]

72. Where the client is referred to another organisation for advice,
    assistance or representation in the same matter, does the file showNFG                                                          N/a        [ ]

      72.1       That the adviser has given the client reasons for the referral
                 and the name of the adviser or organisation to whom they are
                 being referred?                                                                                        [ ]         [ ]

      72.2       That the client has been given an opportunity to comment or
                 raise any issues?                                                                                      [ ]         [ ]

      72.3       That the adviser has contacted the other organisation on behalf
                 of the client to make an appointment?                                                                  [ ]         [ ]

      72.4       That the adviser has confirmed to the other organisation that
                 the client has received public funding and provided details
                 of the advice given and action taken to date?NFG                                                       [ ]         [ ]        [ ]

      72.5       That the adviser has asked the other organisation to provide
                 feedback (at various intervals or on conclusion of the case)?                                          [ ]         [ ]

      72.6       Where that referral is from a non-solicitor agency to a solicitors’
                 practice, for advice on any stage covered by public funding,
                 does the file show that the adviser:NFG                                                                            N/a        [ ]

                 72.6.1 Assessed and advised the client about whether or not they
                        would have to pay a contribution?                                                               [ ]         [ ]




NFG
     71 - This question must be audited in all cases where the file is transferred within the firm.
NFG
     72 - This question must be audited in all cases where the case has been referred to another organisation from the organisation being
audited. e.g. cases initially dealt with by a non-profit sector agency then referred to a solicitor for further advice and assistance and/or
representation; and to cases that are referred to another agency, another solicitor, or from a solicitor to an agency (to obtain specialist
advice). Note, a change of solicitor where the client is unhappy with the services of a firm is not a referral.
NFG
    72.4 - This is only relevant where the client is referred to a solicitor for further advice, assistance or representation which will be publicly
funded in the same matter.
NFG
    72.6 - This advice must be given prior to the referral.
                                                                                                                                     Page 22 of 22

								
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