Disciplinary hearing record template for Word (free download)
Disciplinary hearing record template for Word (free download)
A disciplinary hearing record is the document that captures, in writing, an employee's account of the facts the company attributes to them in an internal disciplinary procedure. It is neither a penalty nor a ruling: it is the record of a hearing in which a person is heard before the company decides. It is completed on the same day as the meeting, and from that moment everything discussed has an orderly back-up, with a date, a name and a signature.
In practice, three types of people use this form. First, the line manager who spots the issue and needs to document it without turning it into a corridor argument. Second, the Human Resources or People team, who run the procedure and keep the case file. And third, the internal control or internal audit officer, who checks that the paperwork is complete before anyone needs it. In a small company, one manager plays all three roles and needs a form that leaves no loose ends.
The template you can download on this page gathers the points such a hearing usually puts in writing: who was summoned and why, which facts are alleged and with what evidence, who took part, what the employee said, which statements were recorded and who signs. It is an editable Word file, designed to be filled in by hand or on a computer during the meeting and filed afterwards in the employee's personnel file.
⬇ Download disciplinary hearing record (.docx)What a disciplinary hearing is
A disciplinary hearing is a formal meeting, called in writing, in which the employee learns the facts alleged against them and gives their explanation. The record is its memory: the account of what happened in that meeting, in the order it happened and in the words that were used. That account is what later makes it possible to reconstruct the conversation without relying on anyone's recollection.
Its value is twofold. As an organisational tool, it makes clear what was asked, what was answered and what remains open, so that the later decision does not rest on vague memories or second-hand versions. And as a record of defence it protects both sides. It protects the employee, because their account is registered instead of being summarised later to suit someone else. And it protects the company, because it shows that there was a real opportunity to be heard and that the decision was taken with the information on the table. A file with a signed record sends one simple message: here, someone was heard before deciding.
It is just as important to be clear about what it is not. It is not the decision, it does not replace the report of whoever raised the issue, it is not a sanction letter and it does not contain the final assessment of the case. The record captures facts and accounts; the decision is communicated separately, in writing, with a copy of the record in the file. Mixing the two is one of the most frequent and most costly mistakes, because it turns an orderly hearing into a confusing document that nobody can defend comfortably later.
What it is for
- Recording that the employee was informed of the reason for the summons and of the facts alleged against them.
- Capturing their full account, in their own words and in the order in which they gave it, without later summaries.
- Noting the evidence and witnesses they offer, and how each one can be verified.
- Documenting who was present and in what role, including anyone the employee chooses to bring along.
- Providing a single supporting record against later complaints, internal or external, when someone questions what happened.
- Feeding the case file, together with the summons, the evidence of the facts and the communication of the decision.
What the template includes
The file opens with a document control table in the header, with the code, version, date and the person in charge of the hearing, followed by seven sections. This is the actual structure of the form:
| Section | What goes there |
|---|---|
| 1. Employee summoned | ID number, full name, position and the area or process the person belongs to. |
| 2. Reason for the summons | Internal case number, minutes number, who issued the summons and the date and form in which it was issued. |
| 3. Facts alleged | One row per fact: a concrete description, the date of the fact and the evidence supporting it. |
| 4. People present | Name, position and role of everyone taking part: who leads the hearing, who takes notes and anyone accompanying the employee. |
| 5. Employee's response | A question-and-answer table with four topics: acknowledgement of the facts, what the employee states in their defence, evidence or witnesses and anything else they wish to add. |
| 6. Record of the hearing | Four statements already drafted: the information given, whether the employee attended with someone, how the decision will be communicated and what the signature does and does not mean. |
| 7. Signatures | Space for the signatures of everyone who took part in the hearing and of the employee. |
The footer shows the company name. Before printing, replace that sample text with your own organisation's and adjust the document code so that it matches the series you already use. The statements in section 6 come drafted and you only need to fill in the blanks; if your company adds a statement of its own, write it in the same short, verifiable style.
How to use it, step by step
- Check that a written summons was issued beforehand and have the evidence for the facts you are going to describe within reach.
- Open the file and replace the company name in the footer with your own organisation's name.
- Replace the document code in the control table following your internal series, and record the version and the date of the hearing.
- Complete the employee's details and the reason for the summons, including the date and the form in which the person was summoned.
- Write the facts one by one, in short, verifiable sentences: what happened, when, and with what evidence. Avoid adjectives and value judgements, because the record does not evaluate: it records.
- Register everyone present with name, position and role, and state whether the employee attended with someone or on their own.
- During the meeting, take the answers down in the order they are given, without correcting or completing what the employee meant to say. If something is unclear, ask them to repeat it and write what they confirm.
- Read the record aloud before closing the meeting, make any necessary corrections with the employee present and collect the signatures. Keep one copy in the case file and hand another to the employee if your internal procedure provides for it.
The four questions of the employee's account
The fifth section of the form is built as a two-column table: the question on the left and the employee's answer on the right. The four questions are deliberately open, so that the account does not end up boxed into a yes or a no.
| Question or matter | What it sets out to record |
|---|---|
| Do you acknowledge the alleged facts? | The starting point: whether they accept them, accept them in part or deny them, in their own words. |
| What do you state in your defence? | Their reasons, the context and the circumstances they want in writing before the decision is taken. |
| Do you submit evidence or witnesses? Which ones? | Documents, emails, records, names of people and the way each can be verified. |
| Is there anything else you wish to add? | Whatever the employee considers important and the earlier questions did not cover. |
Take the answers down in the order they are given and do not summarise them from memory after the meeting. If the employee brings someone with them, record that person's name and role: it is one of the statements most often consulted when the file is reviewed months later. If the employee refuses to sign, record the refusal in writing, with the time and the names of those present.
Common mistakes before signing
- Drafting the conclusion as if it were the decision. The statements section is not the place to announce a sanction.
- Describing the facts with adjectives or value judgements instead of dates, actions and verifiable evidence.
- Leaving the record without the employee's signature and without a note explaining why it is missing.
- Correcting the document after it was signed without leaving a trace of the correction, the date and who made it.
- Failing to hand over or file a copy, so that the case file ends up incomplete exactly when it is needed most.
- Asking loaded questions or letting the tone rise: a record that reads like an interrogation loses credibility in any later review.
When to move to a system
For a company with only a few hearings a year, a well-completed Word file is enough: it is filled in, signed, scanned and filed in the personnel record. The problem appears when the volume grows and each case file ends up spread across folders, inboxes and drawers, and nobody can say with certainty whether a document is missing or a deadline has passed. That is when it is worth moving to a system that centralises cases, stores the attachments, tracks due dates and flags a missing document. Kardex Tauro was built precisely to keep that kind of control over internal records and movements, instead of depending on the memory of whoever handles the case. If your company holds one or two hearings a month, the template gets you through the day; if there are several a week across several sites, it is worth evaluating the move to a system.
⬇ Download disciplinary hearing record (.docx)Internal use and scope of this form
This template is a form for internal company use: it serves to record a hearing and the employee's account, and nothing more. It is not legal advice and it does not replace the review that each case requires. Before using it, check with your company's employment adviser the internal procedure that applies to your organisation and to the place where it operates: who may issue the summons, with how much notice, who may accompany the employee, how the decision is communicated and for how long documents are kept. The same form is not used the same way in every company or in every place, and adapting it to your own reality is part of the job, not an optional step.
