Infringement disciplinary matrix - Two Roads Ltd

1 Infringement disciplinary matrix This document aims to set out some advice for dealing with correcting various drivers infringements and is intended as a guideline to decide upon appropriate action; advice, training or disciplinary action. It has been effectively used as such in many situations. A summary matrix is given below and an example spreadsheet for recording incidents is available for download, but consideration should be given to all of the explanatory notes herein.

2 Interview & disregard Interview then note as a strike disciplinary Escalation Drive time / break / rest <15 mins 1 per 5 shifts 2 5 per 5 shifts 6 or more per 5 shifts Drive time / break / rest 16 - 60 mins Not Applicable 1 per 5 shifts 2 or more per 5 shifts Drive time / break / rest > 60 mins Not Applicable Not Applicable Any one incident Incorrect use of Mode Switch Not Applicable Any one incident Optional to start with disciplinary Failure to evidence Daily Walk Around 10 mins Not Applicable Any one incident Optional to start with disciplinary Other daily walk around issues Depends upon type, severity and circumstances of offence anything from training and disregard to gross misconduct!

3 Driver Downloading Over 7 days Over 14 days Over 28 days Late handing in, analogue charts Not Applicable Any one incident Optional to start with disciplinary Failure to hand in Analogue chart Not Applicable Not Applicable Any one incident Defacement Not Applicable Any one incident Optional to start with disciplinary Driving without card or chart / Falsification Depends upon type, severity and circumstances of offence anything from training and one strike to gross misconduct! Over loading, weight distribution, Not Applicable Not Applicable Any one incident Driving skills Assessment reports and other information should inform decisions very subjective!

4 Each operator has an obligation to ensure that arrangements are made to ensure compliance with the various regulations. Whilst some driver infringements will not automatically result in action against the operator, such action could be taken if the operator has either failed to make correct arrangements ( designed a run in such a way as will require or cause infringements) or failed to correct such infringements ( allowed a driver to repeat offences month after month with no corrective action taken).

5 It is intended that this document should assist the operator in designing an appropriate and fair method to fulfil at least the latter of those obligations, and to be informed if the former is the case. There are various matters to consider before looking at the below guidance and it has to be said that it is not possible to formularise disciplinary action in any situation, thus this document is not meant to set hard and fast rules and using it as such could easily land the employer before an employment tribunal.

6 It is not the intention of this document to offer advice on employment law, but some information is given below. Such information as is given herein, including the matrix itself, is given as is and without any acceptance of liability for any loss by the user howsoever that loss occurs. It is the responsibility of the user to ensure that all relevant and current legal requirements are fulfilled, including employment law and undertakings in connection with the operating licence.

7 This document is meant to provide assistance in the form of food for thought, but it is the user s own responsibility to ensure that any action taken is fit for purpose in their own organisation. Every employee has a right to be treated fairly. This means not only being consistent (which is where formularising is beneficial), but also properly considering the employee s account and explanation of events (which is where formularising is not beneficial).

8 Thus it is beneficial to formularise when to consider disciplinary action but NOT when to take such action. Where the disciplinary escalator is indicated herein, an investigatory hearing should take place. The employer considering disciplinary action MUST take steps to investigate and offer the employee chance to explain. Proper consideration of the employee s account and explanation should be given prior to a decision on such action. The employer must act in accordance with the disciplinary and grievance procedure issued to the employee as part of the employment contract.

9 Some assumptions are made herein. It is assumed that: 1. the driver will perform 260 HGV shifts in year and / or keep good records etc on domestic runs (van driving) 2. a strike referred to below (where an Infringement needs to be considered in future for repetition) is held valid for six months unless otherwise detailed (as is a warning of any kind). 3. Where a strike is referred to, three strikes in the repetition period given requires moving to the disciplinary escalation procedure (start with formal discussion, escalate to your own disciplinary procedure thereafter).

10 4. Data will be obtained regularly and drivers seen quickly and regularly following obtaining the data. If the driver does not drive HGV every day then adjustments should be made as necessary. For example, a driver performing HGV duties every day will usually incur many more infringements than a driver performing a mixture of HGV and domestic (van driving) shifts so the two should not be compared as like for like. A driver only driving HGV one day per week, for example, should be allowed only one fifth of the repetitions on HGV infringements, since a week should refer to five HGV shifts, (noting that domestic infringements are much less likely to occur and / or be detected since detection relies on driver report or examination of other evidence (trackers, covert surveillance etc).)