Who has the main responsibility of developing a formal discipline process for the workplace?

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Posted by: Lucid Content Team

Disciplinary actions or reprimands are unfortunately a part of working in corporate America.

Like it or not, there will be times when it’s necessary to discipline an employee, whether for performance issues or behavioral issues.

We’re here to make the process as painless as possible. Continue reading to learn when it’s appropriate to write up an employee and what steps you can take to discipline an employee in a sensitive way.

What are the steps to discipline an employee?

In some cases, verbal and written warnings aren’t enough to create the change you desire from your employee(s). Your organization, specifically the Human Resources (HR) department and involved managers, should have a discipline process in place to address performance and behavioral issues and use these steps to discipline an employee.

If you haven’t created a disciplinary process yet, you can create a flowchart in Lucidchart that matches the level of offense with the appropriate disciplinary action. Get started with the template below.

Disciplinary Process Template (Click on image to modify online)

Most companies use these four types of discipline in the workplace:

1. Verbal warning

When an issue arises, a serious conversation should take place between the manager and the employee. This conversation can take up to an hour in order to ensure the employee understands the severity of the situation.

Reiterate the expected behavior or performance, and explain how the employee’s current behavior or performance isn’t measuring up to that expectation. Lay out the facts in a straightforward way, so the employee doesn’t feel that they have been subject to bias, and give the employee the opportunity to explain things from their perspective.

Explain to the employee that you have taken note of the conversation and, if the employee doesn’t show improvement, an official written warning will be submitted to HR. The conversation should be documented with the date, time, and location, as well as the topic of conversation and any agreed-upon terms.

2. Written warning

If the problem persists, conduct a second conversation and fully document the interaction. The employee should be presented with reasons why their behavior is problematic and how and why it is expected to change.

Include what the issue is (or what occurred) and ways to fix it. Additionally, you’ll want to include all expectations moving forward and possible consequences for inaction—as well as a clear timeline for meeting the expectations. Provide the employee with a copy of this written warning and provide another copy of the documentation to HR.

3. Suspension and improvement plan

The third step in an employee discipline process involves asking the employee to leave the office and develop an action improvement plan (AIP) or progress improvement plan (PIP). Give the employee a final chance to step away and reflect on what happened, as well as to decide if they want to make the effort to improve. Review the improvement plan and make changes where needed. If the employee in question fails or refuses to create an improvement plan, take steps to terminate employment.

As part of your action improvement plan, you and your employee may want to map out milestones that the employee is expected to achieve. In Lucidchart, you can use a timeline to clarify dates and goals.

Employee Improvement Timeline (Click on image to modify online)

If you have followed the steps above, and if the employee still hasn’t show progress or continues to repeat unacceptable behavior, this final step in the employee discipline process should not be a surprise to any of the involved parties. The preceding three steps require detailed documentation which, in and of itself, should make the case for a successful termination. Additionally, after an employee is terminated, take steps to make sure that you and your co-workers don’t face similar issues in the future.

Learn more about the termination process.

How to write up an employee

Figuring out when and how to write up an employee can be tricky. Different issues require different levels of discipline:

Minor offenses warrant conversations, restating of expectations and standards, and informal discussions on how to work towards improvement.
Moderate offenses should result in a verbal warning, followed up by a written warning if improvements have not been made.
Serious transgressions can trigger a suspension, and the company’s HR department should conduct an investigation into the action (or actions) that caused the suspension. Depending on what’s uncovered during the investigation, the offending employee may be terminated.

Addressing behavior concerns and doling out discipline is never fun, but you can follow these guidelines to keep things as cordial as possible:

Keep consistent

No one is exempt from the rules. Behavior that isn’t tolerated from one employee should not be tolerated from another. Apply the same process to every situation, regardless of the position of the employee in question.

Be specific

Back up complaints and issues with specific examples, such as “Marnie clocked out early on August 4, August 18, and August 20.” Without concrete examples of when the alleged behavior occurred, your organization may have a hard time defending their disciplinary decisions.

Document clearly

Note the specific policy or company procedure that was violated and include the date and time of the infraction.

Remain unemotional

Do not engage on a personal or emotional level with the employee involved and refrain from drawing conclusions or making assumptions.

Present consequences

Establish firm, fair consequences of what will happen going forward if the behavior or performance doesn’t change. “Without improvement in communication, employee will be put on an improvement plan.”

Get a signature

When possible or as needed, ask the employee to sign the write-up so there is evidence that they were involved in the process. If the employee refuses to sign, make a note of it and get HR involved.

Allow time for a response

Give your employee the opportunity to respond to the actions taken, whether in writing or in a verbal conversation. Document the response.

Documentation is key when it comes to disciplining an employee. Use a fact-based approach that focuses on the behavior, not the employee as a person, and record specific examples and instances of inappropriate conduct. The same standard and approach should be deployed across the company.

Reprimanding an employee is never an easy feat, but you can require improvement from employees without damaging your working relationships when you set clear expectations for appropriate behavior. Depend on Lucidchart as you develop a consistent process for disciplinary action and employee improvement.

Get started with our customizable flowchart.

Published May 27, 2021 (last updated June 7, 2022) Erin Gaffney - F2F Manager, ANZ

Sometimes an employer may need to raise and address concerns with an employee through a formal disciplinary process, for example in the case of misconduct, which is improper behaviour in the workplace.

General misconduct is behaviour that is considered unacceptable; inconsistent with employee obligations or duties; or a breach of company policy or procedure. Examples include unauthorised absences, lateness and bad language.

Serious Misconduct is defined in the Fair Work Regulations 2009 as wilful and deliberate behaviour that is inconsistent with the continuation of the employment contract or causes serious and imminent risk to the reputation, viability or profitability of the business, or health and safety of a person. It includes theft, fraud, assault, intoxication at work or failure to follow a lawful and reasonable instruction that is in keeping with the employee’s contract of employment.

The Importance Of A Disciplinary Policy

It is recommended that businesses implement policies to avoid confusion or misunderstanding in respect of disciplinary processes, and to set employee expectations with regards to standards of behaviour.

It is important to make these policies available to all employees (generally in an employee handbook) and be consistent in applying and enforcing them.

BrightHR allows you to store employee profiles and key documents such as polices and procedures and handbooks securely in the cloud and you determine what employees can access. You can upload updated policies and handbooks, set reminders and notifications of key dates, and get read receipts once your employees have accessed the latest version.

Find out how BrightHR can help you manage your people and your business.

Conducting A Fair Disciplinary Process

Where there is cause to take disciplinary action against an employee, there is generally a requirement to conduct a procedurally fair process. This may include:

An investigation to determine whether disciplinary action is appropriate; and if so
Giving the employee an invitation to a meeting which outlines the allegations and possible consequences if the allegations are substantiated;
Holding a meeting with the employee to discuss the issues allegedly involved (to which the employee may bring a support person);
Providing the employee with the opportunity to respond to the allegations;
Considering the employee’s responses and any extenuating circumstances before deciding whether the allegations are substantiated and an appropriate outcome.

Step 1: Investigate

Prior to commencing a disciplinary process, it is useful to conduct an investigation in an effort to establish the facts surrounding a particular matter. This can assist an employer to determine whether the commencement of a disciplinary process is necessary or appropriate in the circumstances.

Suspension of the employee on full pay may be appropriate if the alleged conduct is serious or in circumstances whereby the employee might hinder the investigation.

Step 2: Invite Them To A Disciplinary Meeting

If you proceed to go down a disciplinary path, you may wish to convene a formal meeting. Although this is not required, a disciplinary meeting is an effective way to extract information that will assist in reaching a conclusion. It is usually recommended the employer write to the employee outlining the allegations, the possible ramifications if the misconduct is proven and the date and time for the disciplinary meeting and that they may bring someone with them for support.

The employee may be provided with a reasonable opportunity to prepare for the meeting. The minimum standard should be at least 24-48 hours’ notice.

Step 3: Present The Facts

The meeting is usually opened by welcoming those present and identifying all persons present by name and role. The chair of the meeting will generally confirm that no decision will be made until after the conclusion of the meeting and any subsequent investigation is completed.

The chair then usually outlines the meeting process and reads out the allegations of misconduct one at a time and invites the employee to respond to each one in turn. It is recommended you appoint a third person other than the chairman or the employee to take notes and document everything.

Step 4: Listen To Employee Responses

The meeting is the employee’s opportunity to present extenuating circumstances (if any) and the employer should consider the employee’s responses with an open mind.

The chair and any other management representatives are entitled throughout to ask any questions considered necessary to confirm the employees understanding of the allegations or to test the response of the employee.

Step 5: Respond

Once all allegations have been explored, and the employee has been provided with an opportunity to respond to each allegation, ask the employee if there are any other matters which they wish to raise and what they would consider a reasonable outcome to the proceedings.

The next steps (ie further investigation or deliberation and response) may be explained to the employee, and advise they will be notified of the outcome of this process in a timely manner before closing the meeting.

Step 6: Follow-Up Meeting To Deliver Outcome

The employer should take time to consider or further investigate the employee’s responses before deciding on the balance of probabilities if the allegations are substantiated and considering what outcome is appropriate in the circumstances. The employee may be invited to a further meeting so the outcome can be delivered.

Step 7: Outcome

Where an employer believes on reasonable grounds that misconduct has occurred after following the above process, this process may result in disciplinary action against the employee. A warning may be appropriate in the circumstances, or other outcomes, such as a letter of concern, reprimand, no action, final written warning, verbal warning, or even termination may be justified.

The employee should be verbally advised of the outcome of the disciplinary process, with a letter of confirmation provided. Where appropriate, the employee should also be provided with a copy of the minutes of the disciplinary meeting with the outcome letter.

Call our team to receive free initial advice on any workplace relations topic.

Employsure is one of Australia’s largest workplace relations advisers to small- and medium-businesses, with over 29,000 clients. We take the complexity out of workplace legislation to help small business employers protect their business and their people.

The purpose of a disciplinary policy is to set employee expectations as to standards of behaviour in the workplace, and to outline the process and the possible consequences if these standards are not met.
There are no specific requirements other than that it is fair and reasonable, and there is reasonable justification for the outcome in the circumstances. Ideally, it will consist of a step-by-step process, conducted in a fair and reasonable manner, aimed at establishing whether allegations of misconduct against the employee can be substantiated by taking into account their responses and any mitigating factors, and if so, determining an appropriate outcome in the circumstances.
There are usually at least five stages in a fair disciplinary process:
- Investigate and establish the facts and if disciplinary action is appropriate.
- Give the employee a written invitation to a meeting, outlining the allegations and possible ramifications, and advising them they can bring a support person.
- Provide the employee with a reasonable opportunity to prepare for the meeting (at least 24 hours).
- At the meeting read the allegations and allow the employee to respond (ask questions for further clarification if necessary), set expectations as to when you will deliver an outcome, and close the meeting.
- Consider the employee’s responses, and whether the allegations are substantiated in the light of any mitigating circumstances.
- Decide on an appropriate outcome. Invite the employee to a further meeting to deliver the outcome and follow up in writing.
There are no specific requirements or process for a disciplinary meeting other than that it is conducted in a fair and reasonable manner. A disciplinary meeting may include the following:
- The meeting should be opened by welcoming those present and identifying all persons present by name and role, including a third party note-taker to document the meeting
- The chair of the meeting should confirm that they will have sole decision-making responsibilities and that no decision will be made until after the conclusion of the meeting and any subsequent investigation
- The chair should outline the process to be adopted in the meeting
- The chair should then read out the allegations of misconduct one at a time with the employee being invited to respond to each one
- The chair and any other management representatives are entitled throughout to ask any questions considered necessary to confirm the employees understanding of the allegations or to test the response of the employee
- Once all allegations have been explored, and the employee has been provided an opportunity to respond to each, the employee should be asked if there is any other matters which they wish to raise and what they would consider a reasonable outcome to the proceedings
- The next steps (ie further investigation or deliberation and response) should be explained to the employee, with the employee advised they will be notified of the outcome of this process in a timely manner
- The meeting should then be ended.
Yes – There is no need to conduct an investigation prior to the commencement of a disciplinary process. However, failing to investigate may detrimentally impact upon the investigation and relationship with the impacted employee(s).
The outcome is the last stage of the process. Where an allegation of misconduct has not been substantiated, generally no action will be taken. However, where an employer believes on reasonable grounds that misconduct has occurred after following the disciplinary process, this process may result in disciplinary action against the employee, including a written warning, a final written warning, or possibly even termination of employment.
It will depend on the circumstances. After conducting a fair process, you may be able to dismiss an employee on the basis of an escalation of warnings ie. for repeated warnings for the same or similar behaviour over a certain timeframe. In the case of serious misconduct, dismissal after just one incident (again after conducting a fair process) may be justified.
It may be appropriate for a number of people to attend the disciplinary meeting, including the employee, their support person or representative, the employee’s direct manager, the human resources manager and a note-taker to document everything.
Generally, it is considered unreasonable to take warnings issued more than 12 months prior into account when considering escalating warnings for the same or similar misconduct.

If dismissal is the outcome of the disciplinary process, a record of how the employment ended should be kept on file as part of the employee’s employment records. Time and wages records of (ex)employees need to kept for seven years. it is best practice to keep other records as well to provide a full employment history.

With BrightHR, you can generate and print reports, and then store wage and time records and related documents securely in the cloud to comply with your record-keeping requirements.

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