Disciplinary Procedures Template

Introduction

Organisations should be committed to fostering a healthy, safe, and supportive workplace grounded in fairness, equity, and respect. It aims to maintain high productivity levels, safeguard its resources and governance, and uphold its reputation for excellence. In instances where an employee's actions or behaviour threaten the effective and harmonious functioning of the organisation, this policy will be enacted to ensure that the disciplinary process is carried out in a fair, unbiased, and transparent. This policy in COSO framework helps addressing and managing disciplinary actions related to misconduct and serious misconduct.

Policy Statement Of Disciplinary Procedures Template 

This procedure is intended to offer a clear, transparent, and fair approach for both managers and employees to address and discuss instances of misconduct, including its seriousness. When necessary, it provides a framework for developing a mutually agreed-upon strategy to prevent the recurrence of such behaviour.

The goal of this procedure is to ensure that the employee fully understands the reasons behind any disciplinary actions, the corrective measures and strategies being put in place for improvement, and the potential consequences of misconduct or serious misconduct.

Disciplinary Procedures In Disciplinary Procedures Template 

1. Verbal Warning

The manager will:

• Gather all pertinent facts and review any relevant documentation.

• Conduct interviews with individuals who may have witnessed the incident or have relevant knowledge of the employee’s behavior.

• Review applicable policies and procedures while also considering the employee’s past performance and disciplinary record.

• Develop a detailed timeline of events and carefully analyze the situation to determine an appropriate course of action.

Once sufficient information has been collected, the manager will arrange a meeting with the employee. During this meeting, the manager will issue a verbal warning, clearly explaining the misconduct, its impact on the organization, and the potential consequences if the behavior continues. Corrective actions and expectations for future behavior will be outlined, along with an agreed-upon timeframe for monitoring and review.

The objective of this step is to address and resolve the issue without escalating the situation further. The employee will be given an opportunity to share their perspective and respond to the concerns raised.

After the meeting, the manager will complete an Employee Discipline Record of Meeting form, ensuring all details are documented objectively and accurately. Copies of the record will be provided to the employee and stored in their personnel file. This entire process should be completed within 20 working days from the date the misconduct was observed or reported.

2. First Written Warning

In the meeting, the manager will:

• Clearly outline the unacceptable behavior in question.

• Reinforce the standards of acceptable conduct expected from the employee.

• Reference prior meetings or verbal warnings and any support offered to help address the issue.

• Establish a timeframe for monitoring and reviewing the employee’s progress.

• Schedule a follow-up meeting to evaluate the employee’s ongoing performance.

• Warn the employee that failure to address the concerns may lead to further disciplinary action, including termination.

After the meeting, the manager will complete a Discipline Record of Meeting form. If the concerns are validated, Human Resources will be informed and will issue a First Written Warning, summarizing the key points discussed during the meeting.

The written warning will include a section for the employee to acknowledge receipt. If the employee refuses to sign, the manager will document their refusal on the form. A copy of the completed warning will be provided to the employee and filed in their personnel records.

3. Final Written Warning

During this meeting, the manager will:

• Detail the specific instances of unacceptable behavior.

• Reaffirm the organization’s expectations regarding acceptable conduct.

• Refer to previous disciplinary meetings and any support or guidance provided.

• Define a timeframe for additional monitoring and review.

• Schedule a follow-up meeting to assess the employee’s progress and employment status.

• Notify the employee that failure to resolve the issue may result in termination of employment.

The employee will have the opportunity to respond to the concerns during the meeting. Following the meeting, the manager will complete a Discipline Record of Meeting form. If the concerns are substantiated, Human Resources will issue a Final Written Warning that includes a comprehensive summary of the discussion.

As with prior warnings, the document will include a section for the employee’s acknowledgment. If the employee declines to sign, the manager will note this on the form. Copies will be given to the employee and retained in their employment file.

During the meeting, the manager will:

• Inform the employee that their continued unacceptable behavior has necessitated this step.

• Reinforce the expectations for conduct previously outlined.

• Review prior warnings, counseling sessions, and disciplinary actions taken.

• Provide the employee with an opportunity to explain their actions or present any mitigating circumstances that could influence the decision.

After carefully considering the employee’s response, if termination is deemed appropriate, the employee will be formally notified in accordance with Company's termination policies and relevant legislation, such as the XXX Act.

Following the meeting, the manager will finalize the Discipline Record of Meeting form, and a copy will be retained in the employee’s personnel file. The termination notice will be issued in line with organizational policies or the standards set forth by the XXX Act, ensuring that the most favorable terms and conditions are extended to the employee.

Conclusion

Disciplinary procedures outlined in this policy are designed to promote fairness, consistency, and transparency in addressing instances of employee misconduct. By following these procedures, the organisation seeks to maintain a professional and respectful workplace while providing employees with a clear understanding of expectations and the consequences of failing to meet them.