Disciplinary Process Checklist

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Disciplinary Process Checklist

Disciplinary Process is an HR Department or manager’s action to deal with employees’ violation of workplace rules and regulations. But sometimes, you might feel like you need a clear and detailed checklist and guidance on how to carry out this process effectively. 

An employee must be given a fair and just process outlined in the company’s disciplinary policy.

A checklist can help you manage ongoing issues in the workplace, avoid legal pitfalls, and help you get on top of your responsibilities! That is why we’ve made the Disciplinary Process Checklist

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What is a formal disciplinary process?

A formal disciplinary procedure is a way employers determine whether or not an employee should be fired. It includes an investigation process, interviews with the employee and witnesses, gathering statements, and a hearing for the employee.

Potential reasons for Disciplinary Action

There are a number of reasons why disciplinary action may be started. Here are a few examples:

  • Misconduct / Behaviour at work
  • Unauthorised Absence from work
  • Poor timekeeping
  • Standard of work
  • Number of Warnings
  • Misuse of email, internet or social media
  • misconduct outside work
  • Stolen company goods
  • Damaged employer’s property
  • Breached Health & Safety 

What are the steps in the disciplinary process?

Disciplinary Process Checklist


Understand and Identify the violation.


Investigate thoroughly and determine the severity of the violation and if it is a first offense.If not first violation gather previous disciplinary measures information. Verbal warning, written warning, suspension and performance improvement plan.


Invite Employee for a Meeting – Giving notice of the meeting and supplying evidence and clear allegations in advance. Make them aware that they have a right to be accompanied in the disciplinary meeting.


Conduct the disciplinary meeting following the disciplinary procedure set out in your employment policies.


Identify the appropriate disciplinary action.

Written Decision

Confirm the outcome in writing

Explain Rights

Right to appeal – Make the person aware of their right to appeal your decision


Implement disciplinary action and follow up to ensure compliance with those actions

How many stages are in a disciplinary procedure?

How many stages are there in the disciplinary procedure? There are several stages process:

Stage 1: No action Required – Believe no disciplinary action is required
Stage 2: Verbal Warning – Even though it is verbal, a letter should document the outcome in writing, detailing requiring improvement or what is expected going forward.
Stage 3: Written Warning – 
Stage 4: Final Written Warning
Stage 5: Demotion  
Stage 6: Disciplinary Hearing – Accumulated warnings
Stage 7: Dismissal

Frequently asked questions
Looking for more info? Here are some things we're commonly asked
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  • Comply with Laws HR Compliance

    Businesses must adhere to various rules and regulations that govern employment relationships. HR compliance is a company’s commitment to ensuring these standards are followed. HR is responsible for ensuring the business meets its legal obligations.

    The human resources department is responsible for tracking compliance to prevent costly fines, loss of reputation, lawsuits and other penalties. For this reason, HR professionals must be aware of the different laws a business should abide by.

    Read More: HR Compliance: Comply with Laws, Rules and Regulations

  • HR Policies and Procedures

    HR Policies are also known as Human Resource Policies. These policies and procedures are used to safeguard both employer and employee, regulate ways things are done and make sure conform with the law and clarify the rights and obligations of both parties within the employment relationship.

    Read More: HR Policies and Procedures

  • Why Automate HR Process?

    HR Process automation is a way to standardise manual and repetitive tasks, thus enhancing efficiency. Freeing up time for more complex tasks and more employee engagement.

    Give you the data to analyse your processes to make changes and improve all human resources tasks, which can then reduce cost and increase productivity.

    Read More: Why Automate HR Process

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