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Little Shop of HRs™

Complimentary Disciplinary Checklist

Preparing for the Disciplinary Interview

1. Make sure that you are familiar with your Company’s formal disciplinary procedure.

2. Ensure that the employee has been given written details of the aspects of his conduct or performance which will be the subject of discussion and that he/she has had adequate time to consider them.


3. Make suitable arrangements for the employee to be accompanied by a work colleague or trade union representative, if this has been requested.


4. Arrange for another member of the management team to be present and to take notes.


5. Have all documents related to the case to hand and in order. Read any papers again immediately before the interview, so that they are fresh in your mind. 


6. Ensure that you will not be disturbed and make sure the seating arrangements are adequate.

8. Start on time and take breaks as and when required.

Conducting the Disciplinary Interview

1. When the employee enters, ask whether he/she understands that the interview about to be conducted is of a disciplinary nature. Note the answer.


2. If the employee has not brought a work colleague or trade union representative along, ask specifically whether the employee wishes to have a colleague or union representative of his/her choice present. Note the answer. If the employee brings a colleague or union representative with him/her, then simply note that person’s name and proceed with the interview.


3. Start the interview by introducing yourself and the person who is accompanying you.

4. Review the nature of the complaint against the employee.


5. Give the employee precise details of the complaint against him/her that has led to this particular interview. Note what is said.


6. When you have finished speaking, ask the employee if he/she has anything to say in response to the matters raised.

7. When the employee finishes, answer the points made systematically, clearly and unemotionally. Note any mitigating circumstances which the employee has raised.


8. If necessary, adjourn to consider what the employee has told you. If you do adjourn, tell the employee why you are doing so.

Closing the Disciplinary Interview

1. Make your decision and inform the employee of the action which is to be taken.


2.Make sure that the employee understands what he is required to do or refrain from doing in the future. If his/her conduct is to be reviewed, confirm when this will take place. Explain the consequences if he/she repeats the misconduct or fails to make the required improvement i.e. what the next stage of the discipline procedure will be.


3. Tell the employee that he/she has the right to appeal against the decision, to whom he/she should address the appeal and any time limit to be imposed.

4. Confirm everything to the employee in writing, including a summary of the interview, the decision a right to appeal. If the employee makes a request, let him/her have a copy of the interview notes.

All data and information provided is for informational purposes only. Catherine Kane Associates makes no representations as to accuracy, completeness, currentness, suitability, or validity of any information and will not be liable for any errors, omissions, or delays in this information or any losses, injuries, or damages arising from its display or use. All information is provided on an as-is basis.

Photo courtesy of Alamy

Copyright © 2017 Catherine Kane Associates


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