Disciplinary Action for Accounting & Finance
Handles employee conduct or performance issues through a progressive discipline process from verbal warning to potential termination.
Built with ASIC regulatory requirements, AML/CTF compliance, Tax Practitioners Board obligations, and APES standards in mind.
Workflow Stages
Issue Documentation
The manager documents the specific issue, including dates, facts, policy violations, and prior informal discussions.
Inputs
- Incident details
- Relevant policy working paper
- Previous informal conversation notes
Outputs
- Documented incident report
- Supporting evidence gathered
- HR consultation request submitted
HR Consultation
HR reviews the documentation to advise on the appropriate level of disciplinary action and legal compliance.
Inputs
- Incident report
- Employee personnel file
- Disciplinary policy and precedents
Outputs
- Recommended disciplinary action level
- Legal risk assessment
- Client meeting plan and talking points
Decision Points
- • What level of discipline is appropriate?
- • Is legal counsel involvement needed?
Disciplinary Client meeting
Conduct a formal client meeting with the employee to discuss the issue, hear their perspective, and communicate the action.
Inputs
- Client meeting plan and talking points
- Disciplinary action letter
- Witness or HR representative presence
Outputs
- Client meeting notes
- Employee response documented
- Disciplinary action letter delivered
Improvement Plan
Create a performance improvement plan with clear expectations, support, and a review timeline.
Inputs
- Disciplinary action details
- Improvement plan template
- Success criteria
Outputs
- Signed improvement plan
- Check-in schedule established
- Support resources identified
Monitoring and Follow-Up
Monitor the employee progress against the improvement plan through regular check-ins.
Inputs
- Improvement plan
- Check-in schedule
- Performance observations
Outputs
- Progress reports
- Check-in client meeting notes
- Final determination recommendation
Decision Points
- • Has the employee met improvement targets?
- • Is further disciplinary action needed?
Final Determination
Make the final decision on the employee status based on their improvement plan results.
Inputs
- Progress reports
- Manager recommendation
- Employee response and history
Outputs
- Final decision documented
- Employee notified of outcome
- Personnel file updated
Decision Points
- • Is the issue resolved?
- • Is escalation to the next disciplinary level required?
Frequently Asked Questions
Can an employee bring a representative to a disciplinary client meeting?
Yes, employees may bring a colleague or union representative to disciplinary meetings, as outlined in the company employee handbook.
How long does a disciplinary record stay on file?
Disciplinary records remain in the employee personnel file for 12 months for verbal warnings and 24 months for written warnings, after which they can be reviewed for removal.
What if the employee disagrees with the disciplinary action?
Employees can submit a written appeal to HR within 10 business days. The appeal is reviewed by a senior HR leader and the manager skip-level.
Ready to implement this workflow in your business?
Our team can implement this workflow into your business operations with custom tools and training.