Free policy template · Word

Disciplinary Action Policy

A disciplinary action policy sets out how the company handles misconduct and rule breaches, from informal counselling and warnings to show cause notices, charge sheets, domestic enquiries, suspension, penalties and appeals. It ensures every case is dealt with consistently and in line with natural justice and the standing orders.

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[Company Logo][Company Name]

DISCIPLINARY ACTION POLICY

Policy No.:: [Reference Number]
Effective Date:: [DD/MM/YYYY]
Version:: [Version]
Approved by:: [Authorised Signatory]

1. Purpose

This policy sets out a fair and consistent procedure for dealing with misconduct and breaches of company rules at [Company Name], in accordance with the company's Standing Orders, applicable labour laws and the principles of natural justice.

2. Scope

It applies to all employees of the company. For workmen covered by the Standing Orders, the Standing Orders will prevail in case of any inconsistency. POSH complaints are handled separately by the Internal Committee.

3. Principles

No action will be taken without informing the employee of the specific allegations.
Every employee will be given a reasonable opportunity to respond in writing and be heard.
Decisions will be based on evidence and recorded with reasons.
Penalties will be proportionate and consistent with similar cases.
Confidentiality will be maintained and no one will be victimised for raising a concern.

4. Classification of Misconduct

Minor misconduct includes [e.g. occasional late attendance, minor breach of dress code, careless errors]. Major misconduct includes acts listed in Clause [Clause Number] of the Standing Orders, such as theft, fraud, wilful insubordination, violence, falsification of records, serious breach of confidentiality and habitual absence.

5. Progressive Discipline (Minor Misconduct)

Stage	Issued by	Employee Reply	Validity
Counselling / verbal warning	Reporting Manager	Recorded in form	[Number] months
First written warning	Manager with HR	[Number] days	[Number] months
Second written warning	HR	[Number] days	[Number] months
Final warning	HR Head	[Number] days	[Number] months

6. Formal Procedure (Major Misconduct)

Preliminary inquiry by an independent investigator to establish facts.
Show cause notice, with [Number] days to reply.
Charge sheet with articles of charge, documents and witnesses, if the reply is unsatisfactory.
Domestic enquiry by an impartial Enquiry Officer, with the right to a co-worker defence representative, to cross-examine and to lead evidence.
Enquiry report shared with the employee for comments.
Reasoned decision by the disciplinary authority.

7. Suspension

An employee may be suspended pending enquiry where continued presence may affect the investigation or safety. Suspension is not a penalty. Subsistence allowance will be paid as per the Standing Orders and applicable law, and the enquiry will be completed as quickly as possible.

8. Penalties

Penalties will be imposed only as permitted by the Standing Orders, such as warning, censure, withholding of increment, suspension, reduction in grade, discharge or dismissal. Any deduction from wages will follow applicable wage law.

9. Appeals

An employee may appeal against a penalty to [Appellate Authority] within [Number] days of receiving the decision. The appeal will be decided by a person not involved in the original decision.

10. Responsibilities and Records

Managers will report issues promptly and factually. HR will advise on procedure, maintain the disciplinary case register and keep records confidentially for [Retention Period].

11. Review

This policy will be reviewed every [Number] months or when the Standing Orders or applicable labour laws change.

Approved by
[Authorised Signatory]
[Designation]
Date: [Date]

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What this template includes

Principles of fairness and natural justice
Classification of minor and major misconduct
Progressive discipline stages with validity periods
Formal procedure: show cause, charge sheet, enquiry, decision
Suspension pending enquiry and subsistence allowance
Penalties, appeals and record keeping

When to use it

You need a written, step-by-step disciplinary procedure for managers
Different departments handle discipline inconsistently
Your company is growing beyond the founder handling every issue personally
You want a policy to sit alongside the workplace conduct policy and standing orders

How to customise this template

1Align misconduct lists and penalties with your certified or model standing orders
2Fill in the delegation of authority for each penalty level
3Set validity periods for each warning stage
4Name the appellate authority for each level of decision

HR tips

Train managers on the procedure before rollout
Keep a central HR case register to ensure consistency
Never skip the employee's right to be heard
Review the policy whenever standing orders or labour rules change

This policy must not conflict with your certified or model standing orders, the Labour Codes in force from 21 November 2025, or state rules. Use it as a starting template and have it reviewed by a legal adviser.

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Frequently asked questions

What is progressive discipline?+

It is an approach where responses escalate step by step, from counselling to verbal, written and final warnings, before formal proceedings, except for serious misconduct that justifies direct formal action.

Is a domestic enquiry mandatory before dismissal?+

For misconduct, Indian practice and most standing orders require a fair enquiry before a major penalty such as dismissal. Follow your standing orders and seek advice.

Who can impose penalties under the policy?+

The policy should define the disciplinary authority for each penalty, usually linked to the employee's grade, with an appellate authority above it.

All 50 warning, disciplinary & misconduct →

[Company Logo][Company Name]

DISCIPLINARY ACTION FORM

Form No.:: [Reference Number]
Date:: [Date]

Section A – Employee Details

Employee Name
Employee ID
Designation
Department
Work Location
Date of Joining
Reporting Manager

Section B – Incident Details

Date and time of incident
Place
Category: Attendance / Conduct / Performance / Policy / Safety / Other
Description of facts
Witnesses
Evidence attached (Yes / No, list)
Policy or standing order clause concerned

Section C – Previous Actions

Form · Word

Disciplinary Action Form

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[Company Logo][Company Name]
CLOSURE OF DISCIPLINARY MATTER
Ref. No.:
[Reference Number]
Date:
[Date]
Original Ref.:
[Original Notice Number] dated [DD/MM/YYYY]
To,
[Employee Name]
[Designation], [Department]
Employee ID: [Employee ID]
Subject: Closure of Disciplinary Matter
Dear [Employee Name],
This refers to the [warning letter / show cause notice / charge sheet] cited above concerning [brief description of the issue].
We are pleased to inform you that the matter is now closed for the following reason:
Letter · Word
Disciplinary Action Closure
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[Company Logo][Company Name]
WARNING – VIOLATION OF COMPANY POLICY
Ref. No.:
[Reference Number]
Date:
[Date]
Policy:
[Policy Name], Version [Version], effective [DD/MM/YYYY]
To,
[Employee Name]
[Designation], [Department]
Employee ID: [Employee ID]
Subject: Breach of [Policy Name]
Dear [Employee Name],
The [Policy Name] of [Company Name] was shared with you on [DD/MM/YYYY], and our records show that you acknowledged reading and understanding it on [DD/MM/YYYY] through [HRMS / signed copy / training module].
Clause [Clause Number] of the policy states: '[short quote of the relevant rule]'.
Letter · Word
Policy Violation Warning
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[Company Logo][Company Name]
NOTICE OF DISCIPLINARY PROCEEDINGS
Ref. No.:
[Reference Number]
Date:
[Date]
To,
[Employee Name]
[Designation], [Department]
Employee ID: [Employee ID]
Subject: Initiation of Disciplinary Proceedings
Dear [Employee Name],
Please refer to the show cause notice Ref. [Reference Number] dated [DD/MM/YYYY] concerning the alleged [brief description of allegations], and your reply dated [DD/MM/YYYY]. After careful consideration, the management has found your reply not satisfactory and has decided to initiate disciplinary proceedings under Clause [Clause Number] of the company's Standing Orders.
The proceedings will be conducted as follows:
Notice · Word
Disciplinary Notice
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[Company Logo][Company Name]

DISCIPLINARY INVESTIGATION REPORT

Case No.:: [Reference Number]
Date opened:: [DD/MM/YYYY]
Classification:: Strictly Confidential

1. Case Details

Employee concerned (Name, ID, Designation, Department)
Complainant / source of information
Date of complaint
Nature of allegation
Investigating officer (Name, Designation)
Terms of reference given by
Target date for report

2. Evidence Collected

Exhibit No.	Description	Source	Date Collected	Held by
E-1	[CCTV clip / document / log]	[Source]	[DD/MM/YYYY]	[Name]
E-2	[Description]	[Source]	[DD/MM/YYYY]	[Name]
E-3	[Description]	[Source]	[DD/MM/YYYY]	[Name]

3. Witness Interviews

Report · Word

Disciplinary Investigation Form

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[Company Logo][Company Name]
NOTICE OF DISCIPLINARY HEARING
Ref. No.:
[Reference Number]
Date:
[Date]
To,
[Employee Name]
[Designation], [Department]
Employee ID: [Employee ID]
Subject: Invitation to Disciplinary Hearing
Dear [Employee Name],
You are invited to attend a disciplinary hearing to [respond to the allegations set out in our letter Ref. ___ dated DD/MM/YYYY / present your comments on the findings of the Enquiry Officer in the enclosed report dated DD/MM/YYYY].
The matters to be considered at the hearing are:
Notice · Word
Disciplinary Hearing Notice
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[Company Logo][Company Name]

MINUTES OF DISCIPLINARY HEARING / ENQUIRY PROCEEDINGS

Case Ref. No.:: [Reference Number]
Sitting No.:: [Number]
Date and Time:: [DD/MM/YYYY], [Start Time] to [End Time]
Venue:: [Venue]

1. Persons Present

Role	Name	Designation	Present / Absent
Enquiry Officer / Chairperson	[Name]	[Designation]	[Present / Absent]
Presenting Officer	[Name]	[Designation]	[Present / Absent]
Charge-sheeted employee	[Employee Name]	[Designation]	[Present / Absent]
Defence representative	[Name]	[Designation]	[Present / Absent]
Note-taker	[Name]	[Designation]	[Present / Absent]

2. Preliminary

The Enquiry Officer explained the purpose of the sitting and the charges in charge sheet Ref. [Charge Sheet Number] to the employee in [Language]. The employee confirmed that he/she [understood the charges / requested clarification on ___]. The employee [pleaded not guilty to all charges / admitted Charge ___ and denied Charge ___].

3. Proceedings

Report · Word

Disciplinary Hearing Minutes

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[Company Logo][Company Name]
DISCIPLINARY DECISION
Ref. No.:
[Reference Number]
Date:
[Date]
To,
[Employee Name]
[Designation], [Department]
Employee ID: [Employee ID]
Subject: Decision in Disciplinary Proceedings – Charge Sheet Ref. [Charge Sheet Number]
Dear [Employee Name],
1. Proceedings
You were issued charge sheet Ref. [Charge Sheet Number] dated [DD/MM/YYYY]. A domestic enquiry was conducted by [Enquiry Officer Name] over [Number] sittings between [DD/MM/YYYY] and [DD/MM/YYYY], in which you participated [with / without] a defence representative. The enquiry report dated [DD/MM/YYYY] was shared with you, and your comments dated [DD/MM/YYYY] were received. You were also heard in person on [DD/MM/YYYY].
Letter · Word
Disciplinary Decision Letter
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Disciplinary Action Policy

Preview of the policy

1. Purpose

2. Scope

3. Principles

4. Classification of Misconduct

5. Progressive Discipline (Minor Misconduct)

6. Formal Procedure (Major Misconduct)

7. Suspension

8. Penalties

9. Appeals

10. Responsibilities and Records

11. Review

What this template includes

When to use it

How to customise this template

HR tips

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Frequently asked questions

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