Employee Disciplinary Action Form

If an employees behavior or performance isn’t meeting expectations then you can use an Employee Disciplinary Action Form.

Published July 6, 2023
Written by Josh Sainsbury | Reviewed by Brooke Davis

An employee disciplinary action form is a formal document acknowledging situations where employees fall short of their employer’s expectations. These instances may involve quality concerns, performance issues, behavioral misconduct, or safety-related incidents deemed necessary for resolution by organizational leaders.

• When to Use an Employee Disciplinary Action Form
• What to Include in an Employee Disciplinary Action Form
• How to Discipline an Employee: Key Steps and Considerations
• Writing an Employee Disciplinary Action Form: Step-By-Step
• Employee Disciplinary Action Form Sample
• Frequently Asked Questions

When to Use an Employee Disciplinary Action Form

An employee disciplinary action form should be used when addressing immediate improvement needs related to behavior or performance issues.

It serves two purposes: documenting the specific issue at hand and providing a basis for monitoring the employee’s progress in rectifying the concern in the future.

Disciplinary action in the workplace encompasses various behaviors and situations that many businesses address. Examples of disciplinary actions may include, but are not limited to, the following categories:

• Safety Violations: Instances where employees disregard safety protocols or engage in actions that jeopardize their safety or the safety of others.
• Inappropriate Conduct: Behaviors deemed unprofessional, disruptive, or violating company policies, such as harassment, insubordination, or offensive language.
• Poor Performance: Cases where employees consistently fail to meet job requirements, achieve expected goals, or fulfill assigned duties.
• Absenteeism: Frequent or unexcused absences from work without valid reasons or proper notification.
• Late Arrivals: Repeatedly late to work, meetings, or scheduled shifts without valid justification.
• Procedural Violations: Breaching established procedures, guidelines, or protocols, which can result in inefficiencies, errors, or non-compliance.

What to Include in an Employee Disciplinary Action Form

When developing an employee disciplinary action form for your own business, you’ll want to include elements like the following:

• The full name and title of the employee.
• The date that the incident took place.
• The date upon which any disciplinary action will be taken (if applicable).
• Any comments the employee made that may have been in an attempt to explain themselves.
• The name of that employee’s supervisor or another leader they report to directly.
• The employee and supervisor’s signature acknowledges the disciplinary action form itself.

How to Discipline an Employee: Key Steps and Considerations

Disciplining an employee requires careful handling. Follow these key steps to ensure an effective disciplinary process:

1. Start with a Verbal Warning

Provide a verbal warning unless the situation involves highly inappropriate behavior or severe safety concerns. Communicate the issue to the employee, explaining why it is problematic and emphasizing the importance of avoiding future occurrences.

2. Progress to a Written Notice

If the issues persist, such as ongoing productivity or quality problems, issue a written notice for the second violation. Include detailed information outlining expectations and potential consequences or corrective actions if improvement does not take place.

This document serves as formal documentation for the employer’s expectations and the consequences of non-compliance.

3. Consider a Formal Employee Review

A formal employee review may be necessary in cases of repeated violations. Involving the human resources department may be appropriate at this stage.

Depending on the severity of the situation, more significant corrective actions such as suspension or termination may be considered.

Writing an Employee Disciplinary Action Form: Step-By-Step

When creating an employee disciplinary action form, follow these crucial steps to provide clarity and safeguard your organization’s interests:

Step 1 – Cover Identifying Information

Include a section to capture essential details such as the employee’s name, title, direct supervisor’s name, and the date of the incident. This information will be vital for future reference.

Step 2 – Clearly State the Violation

Provide a detailed account of the disciplinary action involved. Specify whether it is a verbal or written warning, suspension, or any other long-term action. Include start and end dates for any suspensions, and provide checkboxes for supervisors to indicate the type of violation.

Step 3 – Be Specific

Allocate sections for additional context to help others understand the incident. Allow space to describe the violation in the reporter’s own words. Provide room to outline the corrective plan, consequences for failure to improve, and an employee statement.

Establish a timeline for potential follow-ups on disciplinary action.

Step 4 – Signatures and Dates

Designate a space for the employee receiving the disciplinary action and their supervisor to sign and date the form.

Employee Disciplinary Action Form Sample

Use the following employee disciplinary action form sample as a guide when creating your document: