Checklist Progressive Discipline Documentation

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Phone: {{company_phone}}

Email: {{company_email}}

Website: {{company_website}}

CHECKLIST: PROGRESSIVE DISCIPLINE DOCUMENTATION

**Employee Name:** {{employee_name}}

**Employee ID:** {{employee_id}}

**Job Title:** {{job_title}}

**Department:** {{department}}

**Manager/Supervisor:** {{manager_name}}

**Date of Incident/Observation:** {{date_of_incident}}

**Date of Documentation:** {{date_of_documentation}}

STAGE 1: INFORMAL COUNSELLING

**Date of Counselling:** {{date_counselling}}

**Nature of Issue:** Describe the specific performance or conduct issue. (e.g., {{nature_of_issue_informal}})

**Discussion Points:** Summarize the conversation, including expectations clarified and resources offered. (e.g., {{discussion_points_informal}})

**Agreed Actions/Improvements:** What specific steps will the employee take? (e.g., {{agreed_actions_informal}})

**Manager Signature:** _________________________ **Date:** _______________

**Employee Acknowledgment (Optional):** _________________________ **Date:** _______________

STAGE 2: VERBAL WARNING (FORMAL)

**Date of Verbal Warning:** {{date_verbal_warning}}

**Prior Informal Action:** Reference any previous counselling (date and issue). (e.g., {{prior_informal_action}})

**Specific Violation/Deficiency:** Clearly state the policy violation or performance deficiency. (e.g., {{specific_violation_verbal}})

**Impact on Business/Team:** Explain the consequences of the issue. (e.g., {{impact_verbal}})

**Expected Improvement/Corrective Actions:** What must change and by when? (e.g., {{expected_improvement_verbal}})

**Consequence of No Improvement:** State that further disciplinary action may follow. (e.g., {{consequence_verbal}})

**Manager Signature:** _________________________ **Date:** _______________

**Employee Signature (Acknowledging Receipt):** _________________________ **Date:** _______________

STAGE 3: WRITTEN WARNING

**Date of Written Warning:** {{date_written_warning}}

**Reference to Previous Warnings:** Dates and details of prior informal counselling and verbal warnings. (e.g., {{reference_to_previous_warnings}})

**Detailed Description of Incident/Issue:** Provide specific dates, times, and actions. (e.g., {{detailed_description_written}})

**Relevant Company Policy/Procedure Violated:** Cite the specific policy. (e.g., {{policy_violated}})

**Expected Corrective Actions:** Specific, measurable, achievable, relevant, time-bound (SMART) goals. (e.g., {{expected_corrective_actions_written}})

**Timeline for Improvement:** {{timeline_for_improvement}}

**Support/Training Offered:** Detail any support provided. (e.g., {{support_offered_written}})

**Consequences of Failure to Improve:** Clearly state potential next steps (e.g., final written warning, suspension, termination). (e.g., {{consequences_written}})

**Employee Rights:** Notification of right to respond/appeal. (e.g., {{employee_rights_written}})

**Manager Signature:** _________________________ **Date:** _______________

**Employee Signature (Acknowledging Receipt and Understanding):** _________________________ **Date:** _______________

STAGE 4: FINAL WRITTEN WARNING / SUSPENSION

**Date of Action:** {{date_final_action}}

**Type of Action:** (e.g., Final Written Warning / Suspension Without Pay for {{number_of_days}} days)

**Reference to All Previous Warnings:** (e.g., {{reference_all_previous_warnings}})

**Detailed Account of Latest Incident/Issue:** (e.g., {{latest_incident_final}})

**Reasons for Escalation:** Explanation of why previous warnings were insufficient. (e.g., {{reasons_for_escalation}})

**Final Expected Corrective Actions/Conditions for Continued Employment:** (e.g., {{final_expected_actions}})

**Review Period:** {{review_period_final}}

**Consequence of Failure to Meet Conditions:** Explicit statement of potential termination of employment. (e.g., {{consequence_final}})

**Employee Rights:** Notification of right to respond/appeal, representation at hearings. (e.g., {{employee_rights_final}})

**Manager Signature:** _________________________ **Date:** _______________

**Employee Signature (Acknowledging Receipt and Understanding):** _________________________ **Date:** _______________

DOCUMENTATION CHECKLIST FOR EACH STAGE

**Prior to Meeting:**

- Review employee's personnel file, job description, and relevant policies. ☐

- Gather all factual evidence (e.g., witness statements, policy documents, performance reports). ☐

- Prepare points for discussion and desired outcomes. ☐

- Arrange for an impartial witness to be present (if appropriate/required). ☐

**During Meeting:**

- State the purpose of the meeting clearly. ☐

- Present facts objectively; avoid emotional language. ☐

- Allow employee to present their side/explanation. ☐

- Discuss impact of behaviour/performance. ☐

- Clearly state expectations for improvement and timeframe. ☐

- Explain consequences of failure to improve. ☐

- Offer support or training. ☐

- Confirm understanding from the employee. ☐

**After Meeting:**

- Document the meeting comprehensively and accurately. ☐

- Ensure all necessary signatures are obtained. ☐

- Place original documentation in employee's confidential file. ☐

- Follow up as agreed in the documented action plan. ☐

REVIEW AND FOLLOW-UP

**Next Review Date:** {{next_review_date}}

**Outcome of Review:** (e.g., Improvement noted, further action required, resolved)

**Action Taken Post-Review:** (e.g., {{action_post_review}})

**Manager Signature:** _________________________ **Date:** _______________

AUTHORISATION

**Prepared By:** _________________________ **Date:** _______________

**HR/Management Approval:** _________________________ **Date:** _______________

**Employee Acknowledgment of Final Outcome (if applicable):** _________________________ **Date:** _______________