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Disciplinary Process Checklist

A formal disciplinary process is a way employers determine whether or not an employee should be fired.

Disciplinary Process is an HR Department or manager’s action to deal with employees’ violation of workplace rules and regulations. But there are some times when 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 that is outlined in the company’s disciplinary policy.

A checklist can help you manage on-going 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

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, gather statements, and a hearing for the employee.

Potential reasons for Disciplinary Action

There are a number of reasons why the disciplinary action maybe 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 a number of stages process:

Stage 1: No action Required – Believe no disciplanary action is required
Stage 2: Verbal Warning – Even though it is verbal a letter should document 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

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Still have questions? We’ve got answers.

The UK Government have a webpage that explains how disciplinary procedures work in the UK

Read More: Disciplinary procedures and action against you at work

UK - The Acas Code of Practice on disciplinary and grievance procedures is the minimum an employer should follow for handling these issues in the workplace.

Read More: Acas Code of Practice on disciplinary and grievance procedures

What does HR do? Human resources are responsible for employees recruitment, training and administering employee benefits. Employees are a considerable part of an organisation; hence protecting them should be a priority. 

Read More: What does HR do and what are they responsible for?

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 its employment relationship.

Read More: HR Policies and Procedures