What is an employment disciplinary action form?
An employment disciplinary action form is an official letter issued to an employee whose actions don’t comply with company policy or expectations. It’s a formal document that informs the employee of any rules they have violated and the consequences that can occur if their behaviour doesn’t improve. These forms allow employers to document issues related to an employee’s conduct and open a dialogue with them about their behaviour. If you intend to dismiss an employee from their position, it’s important to have thorough documentation of their violations and your responses.
When to use an employment disciplinary action form
When and how you choose to issue a disciplinary action form may depend on your company’s established policies and rules. Typically, companies administer these forms after several less formal, verbal warnings. If you give a form to an employee, be sure to reference specific rules from your employee handbook or new employee resources.
You might issue a form if an employee:
- Violates company policy
- Repeatedly arrives to work late or submits work after deadlines, despite warnings
- Consistently produces poor quality work or operates at a low performance level
- Exhibits inappropriate conduct in the workplace towards fellow employees, management, or clients
What should you include in an employment disciplinary action form?
Include all the relevant details you can on the employment disciplinary action form. Being thorough in your descriptions can help you later if the employee is let go from a company and tries to take legal action.
Here is some information it’s helpful to include:
- Full name of the employee, their job title, and their department
- The date or dates on which the incident or incidents occurred
- A description of the employee’s actions leading to the notice, including testimonials from witnesses, time of day, and any other pertinent information
- The consequences of the employee’s actions
- Suggestions for improvement and additional consequences for if the behaviour continues
- Name and signature of the employee’s direct supervisor
- Details of the HR representative issuing the notice
- Acknowledgement by the employee that they’ve received the notice and a statement of their intent to make improvements or correct the behaviour
How to fill out an employment disciplinary action form
Filling out an employment disciplinary action form is typically straightforward, but there are several things it’s helpful to know. It’s essential to include comprehensive details of the incident that prompted the disciplinary action. This might require some investigation by you or members of your management team. When filling out the form, keep these tips in mind:
- Gather evidence wherever possible: To describe the employee’s issues as accurately as possible, gather as much evidence as you can before filling out the form. This might include statements from other employees, CCTV footage, or any other type of evidence that can strengthen your case.
- Be specific and concise: Keep your form direct and concise. Detail exactly what the employee did and how it goes against your company policy. Ensure they understand the severity of their actions and the consequences they can expect to receive if their behaviour continues.
- End on a positive note: Part of the form’s purpose is to inform the employee of their poor conduct and allow them to improve it. With this in mind, always try to conclude the notice on a positive note by offering to help the employee improve their performance and establishing a reasonable timeframe for improvement.
Disciplinary form template
Employee warning notice
Name of employee: [first and last name]
Date of notice: [month/day/year]
Job title: [employee’s position]
Supervisor: [first and last name]
Violation
[A detailed description of their misconduct, including date and time]
Employer’s summary of events
[A summary of your concerns and corresponding evidence]
Employee statement
[Employees comments]
Action taken
[Consequences outlined in company policy]
Warning history
[warning number, date, and resulting action]
Acknowledgement of receipt and understanding
Employer
“I have explained the details of the violation and its severity to the employee. They have been given a copy of this form for their own records and understand that further corrective action will be taken if this behaviour continues.”
[Employer signature, title, and date]
[Witness signature, title, and date]
Employee
“I understand the contents of this document and the consequent disciplinary action. I have received a copy of this notice and understand a copy is going in my employee file.”
[Employee signature, printed name, and date]
Example of a completed employment disciplinary action form
Employee warning notice
Name of employee: Jacques Teal
Date of notice: 07/14/21
Job title: Sales Associate
Supervisor: Chase Harrison
Violation
Jacques arrived one hour late for his 8am shift today with no prior warning or notice given to his supervisor.
Employer’s summary of events
This is Jacques’ second tardiness within the same month. His attitude upon arrival was dismissive and unprofessional.
An employee statement
My alarm didn’t go off this morning, and I overslept. In the future, I will take steps to make sure I arrive at work on time.
Action taken
This is our first formal warning. Further tardiness or misconduct in the next 90 days will result in an employee evaluation.
Warning history
Verbal warning given 7/2/2021
Acknowledgement of receipt and understanding
I have explained the details of the violation and its severity to the employee. They have been given a copy of this form for their own records and understand that further corrective action will be taken if this behaviour continues.
Chase Harrison, store manager, 7/14/2021
Amy Limperis, HR supervisor, 7/14/2021
I understand the contents of this document and the consequent disciplinary action. I have received a copy of this notice and understand a copy is going in my employee file.
Jaques Teal, 7/14/2021
Disciplinary action form FAQs
Here are some answers to commonly asked questions regarding formal disciplinary forms:
Which disciplinary actions can be taken?
Including company policy and corresponding consequences in your company’s code of conduct can ensure every employee receives the same treatment in the event of a violation. Your HR department may have established disciplinary actions. Consequences might include:
- Verbal warnings
- Written warnings
- Employee reviews
- Paid suspensions
- Unpaid suspensions
- Terminations of employment
What if an employee refuses to acknowledge that they have received the form?
An employee might refuse to sign the form because they do not agree with the description of their actions. If this occurs, ask the employee to acknowledge that they have received the notice and formally state that they disagree with it. They can then prepare a counterargument and attach it to the notice, which can go in their employee file along with the disciplinary action form.
How do I create a form for my company?
The easiest way to create an employment disciplinary action form for your company is to use a pre-existing form or a template. There are many templates available online, which you can customize to meet your specific requirements. Regardless of the form you choose, ensure it contains all the relevant information and an acknowledgement from the employee. Keeping forms organized in employee files can help you later if you ever need to reference them.
Employment Disciplinary Action Form Templates for PDF & Word
Use these employment disciplinary action form templates to document employee conduct issues and open up a dialogue to help them improve.
*Indeed provides these examples as a courtesy to users of this site. Please note that we are not your HR or legal adviser, and none of these documents reflect current labor or employment regulations.