Employee Disciplinary Action Form | Template & Guidelines

An employee disciplinary action form serves as a formal record of incidents that show an employee’s behavior or performance falls short of expected standards. Its purpose goes beyond mere documentation. It plays a vital role in protecting both the employer and the employees by providing a clear, written account of workplace issues and the steps taken to address them.

Here’s a downloadable employee disciplinary action template you can customize according to your organization’s policies and culture.

What to Include in an Employee Disciplinary Form Template

An employee disciplinary action form should have the following:

• Employee information: This section captures basic details about the employee, helping to identify them within the organization. The information includes:
  • Employee name
  • Employee ID
  • Position
  • Department
  • Manager
  • Date of hire
• Incident details: Here, you document when and where the incident occurred, along with a description of what happened. This provides context for the disciplinary action.
• Type of violation: This categorizes the nature of the violation, helping to track patterns and ensure consistent treatment of similar issues.
• Disciplinary action taken: This section specifies the action being taken in response to the violation, ranging from verbal warnings to termination.
• Improvement plan: This outlines specific steps the employee should take to address the issue, along with a timeline and follow-up date. It helps set clear expectations for improvement.
• Signatures: This includes spaces for the employee, supervisor, HR representative, and a witness (if applicable) to sign, acknowledging the discussion and agreement on the disciplinary action.
• Refusal acknowledgment: This section is used if an employee refuses to sign the main form. It allows documentation of the refusal while still validating the disciplinary action.

How to Fill Out a Disciplinary Action Form

Be as detailed as possible when describing the incident, avoiding emotional language or personal opinions. Stick to the facts: what happened, when it happened, and how it violated company policy or performance standards.

Don’t forget to include any previous incidents or warnings related to the incident. Also, clearly outline the expectations for improvement and the consequences if the behavior continues.

Here’s an example of a filled-out employee disciplinary action form by section:

Guide to Using the Form

Understanding when and how to use a disciplinary action form is crucial for maintaining fairness and consistency in the workplace. Here’s a simple guide on how to navigate the process effectively:

When to Use

Disciplinary action forms should be used whenever an employee’s behavior or performance requires formal corrective action. This could range from minor infractions, like repeated tardiness, to serious violations of company policy, such as harassment or theft. Use the form when verbal warnings have been ineffective or when the severity of the incident warrants immediate formal documentation.

When Not to Use

Disciplining an employee is part of employee management. However, disciplinary action is not warranted for one-time minor mistakes, especially if the employee is new or the error was due to lack of training. Additionally, an employee’s personal issues (i.e. short-term health problems, death in the family) that affect their work temporarily do not qualify for disciplinary action. Disciplining for these could lead to several serious legal and ethical issues, such as violation of labor laws or discrimination.

Similarly, conflicts arising from miscommunication or differing work styles do not warrant disciplinary action. Rather, it should be addressed through mediation or team-building exercises. On the other hand, you might skip disciplinary action and proceed directly to termination when an employee commits a severe offense that breaches the employment relationship, such as a disclosure of confidential client information to competitors or the public.

Documentation Best Practices

Proper documentation is key to the effectiveness of disciplinary actions. Always keep copies of all disciplinary forms in the employee’s personnel file. Ensure that all information is accurate, up-to-date, and legible.

Also, document conversations related to the disciplinary action, including the date, time, and key points discussed. If there are witnesses to the incident, obtain written statements if appropriate.

Equally important are the follow-up actions you have taken. Document everything you have done, including monitoring the employee’s progress, noting any improvements or continued issues, and recording any additional support or training provided.

Confidentiality

Treat disciplinary action forms with strict confidentiality. Access should be limited to those who have a legitimate need to know, typically the employee, their direct supervisor, and HR personnel.

Review and Update

Regularly review disciplinary action forms to ensure that they are relevant and effective. Update the form template if company policies change or if you identify areas for improvement in the documentation process.

Types of Disciplinary Action

Effective disciplinary action is a crucial aspect of people management skills, guiding employees towards improvement and creating a fair, transparent process.

Here’s a concise overview of the common types of disciplinary action:

• Verbal Warning

An informal discussion with the employee about the problem, usually for first-time or minor offenses. Here, you don’t just talk about the offense but also provide guidance to help the employee improve. Ensure that you have a record that shows you talked to the employee.

• Written Warning

The situation could’ve gotten a bit more serious at this point, so a written reprimand is sent to the employee. Before your conversation with the employee, prepare a write-up form detailing the infraction, outlining what needs to change and what might happen if it doesn’t.

• Performance Improvement Plan [PIP]

The employee is given a structured program outlining specific goals, timelines, and support mechanisms for their improvement. Here is a detailed guide to help you create a performance improvement plan.

• Suspension

Employee suspension is temporary removal from work duties—like the equivalent of a time-out to give the employee a chance to reflect. It is usually reserved for more serious situations, such as sexual harassment or repeated critical errors despite previous warnings and corrective measures.

• Demotion

When all the above methods fail, demotion is the next level of disciplinary action. It is sometimes used as an alternative to termination. It is a reduction in rank and also a change in responsibilities or pay.

• Last Chance Agreements

Also called last chance contracts, last chance agreements are common in unionized environments, but they can also be used in non-union settings. They typically fall just short of termination. They are used when an employee commits a serious infraction or has a repeated violation that would normally warrant termination.

These agreements represent a final opportunity for the employee to correct their behavior or performance before being dismissed. Last chance agreements are often used when the organization sees potential value in retaining the employee despite their misconduct.

• Termination

This is the final step and is used for severe violations or when other disciplinary measures have failed to correct the issue. While it’s never easy to terminate an employee, it is ultimately for the best interest of everyone.

Legal Considerations

Employee disciplinary action comes with potential legal risks that organizations must navigate carefully. Understanding the legal consequences is crucial not only to protect your business from potential lawsuits but also to ensure a fair work environment.

1. Apply disciplinary action consistently across all employees

Consistency in applying disciplinary action is crucial to avoid legal issues related to discrimination or unfair treatment. The legal consequences of inconsistent application include:

• • Discrimination claims: If disciplinary actions are not applied uniformly, employees may file discrimination lawsuits based on protected characteristics (e.g., race, gender, age, religion) outlined in Title VII of the Civil Rights Act.
  • Wrongful termination suits: Inconsistent discipline can be used as evidence in wrongful termination cases, especially if an employee claims they were treated more harshly than others for similar offenses.
  • Hostile work environment claims: Perceived favoritism or unequal treatment can contribute to a hostile work environment, leading to legal action.

2. Maintain thorough records

Proper documentation of disciplinary actions is essential for legal protection. The consequences of poor record-keeping include:

• • Inability to defend against claims: Without detailed records, employers may struggle to justify their actions in court or during investigations.
  • Credibility issues: Lack of documentation can damage an employer’s credibility in legal proceedings.
  • Difficulty in proving compliance: Inadequate records make it challenging to demonstrate adherence to company policies and procedures.

3. Ensure compliance with labor laws

Adherence to applicable federal and state laws is critical when implementing disciplinary actions. Failure to comply can result in:

• • Statutory violations: Non-compliance with federal, state, or local employment laws can lead to fines, penalties, and legal action.
  • Breach of contract claims: Disciplinary actions that violate terms of employment contracts or collective bargaining agreements may result in breach of contract lawsuits.
  • Due process violations: Failure to follow proper procedures, especially in public sector employment, can lead to claims of due process violations.

Federal Laws To Watch Out For

Here is a list of federal laws that provide protection for employees:

• Americans with Disabilities Act (ADA): Protects individuals with disabilities from discrimination. It requires employers to provide reasonable accommodations and consider disabilities when implementing disciplinary measures.
• Fair Labor Standards Act (FLSA): Establishes minimum wage, overtime pay, recordkeeping, and youth employment standards. Disciplinary actions cannot violate wage and hour laws, such as improper pay deductions for disciplinary reasons.
• Family and Medical Leave Act (FMLA): Provides eligible employees with unpaid, job-protected leave for specified family and medical reasons. It prohibits disciplinary action against employees for taking qualified FMLA leave and protects their right to return to work.

Employee Disciplinary Action Form Frequently Asked Questions (FAQs)

What are grounds for disciplinary action?

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How do you document unprofessional behavior in the workplace?

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Can an employee refuse to sign a disciplinary action form?

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How can I ensure fairness in the disciplinary action process?

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