Disciplinary File Documentation Checklist

Objective: To provide a clear audit trail of all actions taken and leading up to a formal disciplinary action.
  1. Copies of notice of proposed action)
  2. Employee response (or notation that no written response made)
  3. Summary of response when made orally (including employee’s or representative’s signature as to accuracy of memorandum)
  4. Notice of decision and reasoning behind decision (specifically addressing Douglas factors)
  5. Supporting documentation such as:
    1. witness statements
    2. affidavits
    3. documents
    4. investigative reports or extracts of them
    5. pertinent regulations
    6. personnel actions
    7. reports on personal interviews/group meetings

  6. Evidence of delivery of notice letters
  7. Completed case sheets, with all items filled in (noting "N/A" if necessary)
Content last reviewed: 7/10/2009-RJL

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This page was last revised: 7/10/2009