What is a disciplinary action form?
An employee disciplinary action form is a document that informs an individual of their inability to meet employment expectations and includes actions that will be taken as a result. Upon completion, these documents are typically stored in the employee’s file, providing the employer with a complete record of an individual’s past behavior.
Purpose of disciplinary action forms
Disciplinary action forms document violations and ensure professional interactions during disciplinary procedures. These forms can help create consistency in how you manage all employees. They can help you recognize patterns in employee behavior, and new supervisors can see an employee’s past violations if they switch departments. These warnings can reduce turnover because they clearly define steps a worker can take to improve their performance. When there is a termination, disciplinary action forms can serve as evidence if there is a dispute.
Related: Exit Interview Form
When to use a disciplinary action form
Company policies and expectations for professional behavior should be outlined in your company’s employee handbook. In most cases, disciplinary action forms are issued after a verbal warning for the same or similar behavior. Disciplinary action is commonly taken for:
- Violation of company policies or procedures
- Attendance issues
- Problems with work quality or performance
- Safety violations
- Inappropriate conduct
Including a policy on disciplinary action helps you clearly define the steps to take and the disciplinary action an employee might receive. This sets expectations for your employees so they can’t argue when you take disciplinary action.
What to include in a disciplinary action form
You can tailor your disciplinary action form to your business, but most of these forms contain similar fields. They should include all relevant details about the situation and validate the reason for completing the form. Information you should include on your disciplinary action form includes:
- First and last name of the employee
- Date of the incident
- Summary of the issue or event, including witnesses, location, times and dates
- Past events or behavior relating to current violation
- Employee comments
- Corrective actions and dates
- Additional comments or information provided by the person preparing the form
- Name of the employee’s direct supervisor
- Signature of the employee acknowledging the disciplinary action and suggested improvements
- Signature of the person preparing the disciplinary action form
How to fill out a disciplinary action form
Completing an employee disciplinary action form is fairly straightforward, but it’s important to fill out each section completely and to the best of your ability. Some sections are easier to complete than others. For example, information such as the date of the incident and employee name is relatively easy to determine. On the other hand, uncovering specific details surrounding the incident and determining appropriate corrective actions takes a little more detective work and thought.
Here are some tips for filling out an employee disciplinary action form:
- Be specific and detailed about the incident. For instance, instead of writing that an employee was disrespectful, provide details about their actions or words that showed disrespect.
- Document witness statements. If applicable, collect and include statements from witnesses, noting location, times and dates. Use discretion when gathering information to protect the privacy of the witnesses.
- Provide the employee with expected improvements and a deadline. Use your company handbook or policies as a guide to determine the appropriate forms of disciplinary action for the offense. Include corrective actions that will be taken if the employee fails to make necessary changes.
- Stick to the facts. Avoid emotions or assumptions about the situation. This keeps the document professional. You might also reference the company policies the employee violated as evidence or support for the disciplinary action.
- Wait until you’re calm. If the situation is highly emotional, holding off to complete the form can make it easier. When you’re angry, you might overlook details, make mistakes or include unprofessional statements on the form.
- Be consistent. Having clear disciplinary procedures and implementing them consistently helps avoid frustration or complaints from your employees. If one person receives a disciplinary action form but someone else gets away with the same behavior, your staff members won’t know what to expect.
Related: Cultivating Positive Workplace Behavior
Disciplinary form template
Having a template as an example can make it easier to customize the disciplinary forms for your organization. You can add fields or adjust what you include to meet your needs. This sample disciplinary action form template can get you started.
Employee warning notice
Employee: [First and last name]
Date notice was received: [Month/day/year]
Role: [Employee’s position]
Supervisor/manager: [First and last name]
Violation (Check one)
__ [List of behaviors that would require disciplinary action]
Violation details
Date: [Date of the incident]
Time: [If applicable]
Employer’s summary of events:
[Employer’s comments]
Employee’s statement:
[Employee’s comment]
Action taken:
[Repercussions as outlined by company policy]
[Relevant dates]
Prior warnings:
[Warning number, date and action taken]
Statement of receipt
Employer and witness:
“I have explained every detail regarding this violation of company policy and the resulting disciplinary action as well as any future actions that will be taken if this behavior continues. The employee has been given a copy for their records.”
Employer’s name:
Employer’s signature:
Title:
Date:
Witness’s name:
Witness’s signature:
Title:
Date:
Employee:
“I understand the contents of this documentation and the disciplinary actions that result. I have received a copy of this notice and understand that a copy will be kept in my employee file.”
Employee’s name:
Employee’s signature:
Date:
Example of a completed disciplinary form
Here is an example of a completed disciplinary action form:
Employee warning notice
Employee: Brent Kaiser
Date: 10/26/22
Role: Sales representative
Supervisor/manager: Alex Beaker
Violation:
Tardiness
Violation details
Date: 10/26/22
Time: 9:30 a.m.
Employer’s summary of events
Brent was late to work without providing an adequate reason or phone call to inform his supervisor.
Employee’s statement
My alarm didn’t go off this morning and so I overslept. I will take steps to ensure that this will not happen in the future.
Action taken
This is the first formal written notice. Future instances of tardiness within the next 90 days will warrant an employee review.
Valid until 01/26/2023
Prior warnings:
Verbal warning for tardiness – 9/15/22
Statement of receipt
Employer and witness
“I have explained every detail regarding this violation of company policy and the resulting disciplinary action as well as any future actions that will be taken if this behavior continues. The employee has been given a copy of their warning form.”
Employer’s name: Alex Beaker
Employer’s signature: Alex Beaker
Title: Sales manager
Date: 10/26/22
Witness’s name: Brenda Bates
Witness’s signature: Brenda Bates
Title: Sales supervisor
Date: 10/26/22
Employee
“I understand the contents of this documentation and the disciplinary actions that result. I have received a copy of this notice and understand that a copy will be kept in my employee file.”
Employee’s name: Brent Kaiser
Employee’s signature: Brent Kaiser
Date: 10/26/22
Disciplinary action FAQs
What constitutes disciplinary action?
Disciplinary action is necessary when an employee fails to satisfy established and communicated standards for performance or policies outlined in an employee handbook. The employee handbook also usually contains information about actions that will be taken when an expectation is violated. Common reasons for disciplinary action are:
- Tardiness
- Absenteeism
- Work performance
- Disrespect
- Dress code violation
- Inappropriate language
- Violent behavior or threats of violence
- Theft
- Discrimination or harassment
What are the different forms of disciplinary action?
Organizations usually establish levels of disciplinary action based on the number of times the incident has been repeated within a certain time frame, such as each quarter. Common forms of disciplinary action include:
- Verbal warning
- Written warning
- Employee review
- Performance improvement plan
- Suspension
- Termination
Can you skip steps in your disciplinary action policy?
Your established disciplinary action policy helps create consistency and ensures your staff has a chance to correct employee misconduct. However, you can skip steps if a violation is severe. For instance, you can go straight to a written warning without a verbal warning first if you feel the violation warrants it. Many positions are considered at-will employment, so you can terminate an employee for any reason, even without prior disciplinary action.
Is it considered insubordination if an employee refuses to sign a disciplinary action form?
An employee might refuse to sign disciplinary action forms because they don’t agree with the warning. Though employees aren’t required by law to sign, it’s a good idea to get proof they have received the warning. Include a line that states the employee has received the warning but doesn’t agree, and provide a field for them to sign as an acknowledgment of receipt. If they continue to resist, ask them to prepare a dated and signed rebuttal and attach it to the disciplinary action form.
Employee Disciplinary Action Form Templates for PDF & Word
Download these employee disciplinary action form templates to inform employees of their inability to meet employment expectations and outline any next steps.
*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.
