Disciplinary Policy

Disciplinary Policy

Last Reviewed : 06/02/2024

Review Date : 06/02/2027

1. Introduction

This policy outlines the steps HDS will take in dealing with matters of a disciplinary nature and provides employees with details of the structured process for addressing possible issues of misconduct and the mechanism for appeal.

HDS aims to ensure a fair and consistent approach to enforcing standards of conduct across the organisation. The purpose of this policy is to help and encourage employees to achieve and maintain acceptable standards of behaviour and capability. It also provides a fair process to address any shortcomings and encourage improvement.

This policy applies to all employees, regardless of their role or grade. Managers have an important role in setting a positive example, addressing issues promptly, and supporting employees to meet the required standards.

 2. Principles

• Policy Intent:
  This policy serves as a statement of the Company’s position on disciplinary matters. It does not form part of any employee’s contractual terms and may be amended by the Company with reasonable notice to employees.

• Informal Resolution:
  Wherever possible, issues will be dealt with informally to promote early resolution and learning rather than punitive action.

• Investigations and Hearings:
  No disciplinary action will be taken until a full investigation and disciplinary hearing have been carried out.

• Opportunity to State Case:
  Employees will have the opportunity to explain their version of events before any decision is made.

• Right to be Accompanied:
  Employees may be accompanied at any formal disciplinary or appeal meeting by a colleague or trade union representative.

• First Offence and Gross Misconduct:
  The policy distinguishes between ordinary misconduct and gross misconduct, applying proportionate responses in each case.

• Flexibility in Implementation:
  The Company retains flexibility to adapt procedures to the circumstances of individual cases while maintaining fairness.

• Right to Appeal:
  Employees have the right to appeal any disciplinary sanction.

• Documentation:
  All disciplinary actions and decisions will be documented and placed on the employee’s record.

• Variation of Time Limits:
  Time limits may be varied by agreement or in accordance with statutory provisions.

• Appeal Handling:
  Where possible, appeals will be heard by a manager who has not been involved in the previous stages and who is more senior.

• Service Length Consideration:
  The Company reserves the right not to follow the full disciplinary procedure for employees with less than two years’ service, in line with employment law.

3. Disciplinary Procedure

3.1 Investigation

3.1.1 HDS will conduct prompt and impartial investigations into potential breaches of Company policy or rules. This may include interviewing the employee, witnesses, or reviewing written evidence.
Searches of Company property or digital systems may also be carried out where relevant.

3.1.2 An Investigating Officer, normally a senior manager, will be appointed. In some circumstances, the Company may appoint an independent investigator.

3.1.3 Employees may be asked to attend investigatory meetings. These meetings are fact-finding in nature, not disciplinary hearings. There is no statutory right to be accompanied, but employees will be treated fairly and with respect.

3.1.4 Where there are reasonable grounds to believe that an employee may be guilty of serious misconduct, or where relationships or safety may be at risk, the Company may suspend the employee on full pay. Suspension is a neutral act and not a disciplinary sanction.

3.1.5 During suspension, employees must not attend Company premises or contact colleagues, clients, or suppliers without prior approval.

 3.2 Disciplinary Hearing

3.2.1 The employee will be notified in writing of the allegations, the supporting evidence, and the time and place of the hearing. The right to be accompanied will be confirmed in the invitation.
If either party cannot attend, an alternative date within five working days will normally be offered. Unjustified non-attendance may result in the hearing proceeding in the employee’s absence.

3.2.2 Employees may be accompanied by a colleague or trade union representative. The companion may address the hearing and confer with the employee but cannot answer questions on their behalf.

3.2.3 The companion will be given reasonable paid time off to attend.

3.2.4 The hearing will take place as soon as possible following the investigation, allowing the employee adequate time to prepare. No decision will be made before the hearing.

 3.2.5 During the hearing, HDS will outline the case and evidence, and the employee will be given full opportunity to respond and present their own evidence.

3.2.6 If new matters arise, the hearing may be adjourned for further investigation.

3.2.7 Following consideration of all evidence, HDS will confirm the outcome and reasons in writing as soon as reasonably practicable, including the right of appeal.

3.3 Disciplinary Outcomes

3.3.1 Minor Issues
Handled informally through discussion, guidance, or training. If repeated or unresolved, formal action may follow.

3.3.2 Written Warning
Issued for misconduct or continued unsatisfactory behaviour. The warning will explain the issue, required improvement, timescale, and right to appeal.
A first written warning normally remains active for 12 months but will remain on record thereafter.

3.3.3 Final Written Warning
Issued for repeated misconduct or where the matter is more serious but not warranting dismissal. It will explain that further misconduct may result in dismissal.
Normally active for 12 months but may be extended depending on severity.

3.3.4 Dismissal
May occur if:

• Behaviour fails to improve following previous warnings; or

• A single act of gross misconduct occurs.

Except for gross misconduct, dismissal will be with notice or payment in lieu.
The outcome will be confirmed in writing, including reasons, termination date, notice, and appeal rights.

3.3.5 Demotion
In some cases, demotion may be considered as an alternative to dismissal. This may involve reduced pay or benefits.

 4. Gross Misconduct

4.1 Definition
Gross misconduct is behaviour so serious that it justifies summary dismissal without notice or payment in lieu.

4.2 Process
Dismissal for gross misconduct will normally follow an investigation and disciplinary hearing.

4.3 Suspension
Where gross misconduct is alleged, the employee may be suspended on full pay during the investigation.

4.4 Conditions of Suspension
The employee must remain available for communication and not attend work without permission.

4.5 Examples (not exhaustive):

• Theft, fraud, or bribery

• Violence, threats, or aggression

• Serious breach of health and safety rules

• Bullying, harassment, or discrimination

• Damage to Company property

• Misuse of confidential information or IT systems

• Unauthorised access to Company data

• Being under the influence of drugs or alcohol at work

• Conduct bringing the Company into disrepute

4.6 Outcome
If proven, gross misconduct will normally result in summary dismissal.

 5. Appeals

5.1 Employees have the right to appeal any disciplinary sanction.
The appeal must be submitted in writing within five working days of receiving the decision, stating the grounds and providing any supporting evidence.

5.2 Appeals will be arranged as soon as reasonably practicable.

5.3 Wherever possible, the appeal will be heard by a manager who was not involved in the earlier stages and who is senior to the original decision-maker.

5.4 Employees have the right to be accompanied at the appeal hearing under the same terms as the original hearing.

5.5 The decision of the appeal will be confirmed in writing and will be final.

6. Support and External Advice

Employees should direct any questions about this policy to their Line Manager.
Where appropriate, HDS may seek advice from an external HR advisor to ensure fairness and compliance with current employment law.

7. Review

This policy will be reviewed every three years or sooner if required by changes in legislation or Company practice.

Joe Charlesworth

Director - Highway Data Systems Ltd