Disciplinary decision scoring matrix form template
Supporting information
Employment law compliance
Documentation sequence
Practical implementation example
Our Disciplinary Decision Scoring Matrix Form template helps assess disciplinary actions objectively, ensuring consistency and fairness in handling employee misconduct.
Disciplinary decision scoring matrix form
Introduction
This matrix serves as a guide to assist in making informed decisions regarding employee disciplinary matters. It outlines key criteria to consider when evaluating an employee's conduct and determining appropriate actions in line with company policies.
However, it is essential to recognise that every situation is unique, and this framework should be used as a tool to support, rather than dictate, decision-making. Ultimately, the goal is to ensure fairness, consistency, and professionalism in addressing misconduct within the workplace.
Previous Disciplinary Record
Assesses the employee's past behaviour and any prior infractions.
| Criteria | Score | Description |
| No prior infractions | 0 | No previous record of misconduct. |
| One verbal warning (last 6 months) | 10 | One 'unspent' verbal warning (usually issued in the last 6 months). |
| One written warning (last 12 months) | 10 | One 'unspent' written warning (usually issued in the last 12 months). |
| Two warnings | 20 | Combination of 'unspent' verbal and/or written warnings within the specified timeframes. |
| Three or more warnings | 30 | Multiple 'unspent' warnings, indicating a pattern of repeated infractions. |
| Final written warning (last 12 months) | 30 | An 'unspent' final written warning. |
| Total |
Type of Misconduct
Evaluates the severity and nature of the current misconduct, in accordance with your Disciplinary Policy (examples at the end of this form).
| Criteria | Score | Description |
| Misconduct | 15 | Minor breaches of policy, e.g., frequent lateness, unauthorised absence. |
| Gross Misconduct | 60 | Serious breaches warranting summary dismissal, e.g., theft, physical violence. |
| Total |
Impact on Workplace
Assesses the impact of the misconduct on the workplace environment and colleagues.
| Criteria | Score | Description |
| No impact | 0 | Misconduct has no impact on the workplace. |
| Minor impact | 5 | Misconduct has a minor, manageable impact. |
| Major impact | 10 | Misconduct significantly disrupts the workplace. |
| Total |
Mitigating or Aggravating Factors
Considers any mitigating circumstances (e.g., personal issues) or aggravating factors (e.g., intent).
| Criteria | Score | Description |
| Strong mitigating factors | -10 |
Significant mitigating circumstances that lessen the severity of the misconduct. Examples include: - Employee facing personal hardship such as bereavement or illness - Evidence of extenuating circumstances beyond the employee's control - Immediate admission of guilt and remorse - Lack of evidence that employee is aware of disciplinary policy |
| No mitigating or aggravating factors | 0 | No additional factors. |
| Strong aggravating factors | +10 |
Significant aggravating circumstances that increase the severity of the misconduct. Examples of strong aggravating factors: - Deliberate deception or dishonesty - History of similar infractions or warnings - Lack of remorse or attempts to shift blame - Intentional harm or malicious intent |
| Total |
Final Scoring
| Category | Score |
| Previous Disciplinary Record | |
| Type of Misconduct | |
| Impact on Workplace | |
| Mitigating or Aggravating Factors | |
| Total |
Final Scoring Outcome Guide
-
0: No action
-
5-15: Verbal warning
-
16-40: Written warning
-
41-59: Serious Misconduct - Typically results in termination with notice.
-
60+: Gross Misconduct - Typically results in summary dismissal.
Examples of Misconduct Levels
-
Misconduct (15 points):
-
Frequent lateness
-
Unauthorised absence from the workplace
-
Making unauthorised private phone calls
-
Sending personal mail at the company's expense
-
Refusal to obey a lawful and reasonable instruction of a manager or supervisor
-
Failure to carry out the normal duties of the post
-
Unauthorised copying of copyright or licensed material
-
Abusive language or behaviour
-
Misuse of company property or equipment through negligence or carelessness
-
Breach of company regulations (e.g., financial regulations, health and safety)
-
-
Gross Misconduct (60 points):
-
Theft or misappropriation of company property
-
Physical violence towards colleagues, customers, or suppliers
-
Serious incapability due to being under the influence of alcohol or illegal drugs at work
-
Discriminatory behaviour related to sexual orientation, race, gender, disability, religion, or belief
-
Fraudulent or false claims of harassment or victimisation
-
Serious breach of company regulations
-
Serious negligence causing substantial loss, damage, or injury
-
Unauthorised use of company resources for personal gain
-
Unauthorised disclosure of confidential information
-
Downloading inappropriate information from the internet (e.g., pornography)
-
Victimisation or bullying
-
Protected before purchase.
Protected before purchase.
Version: [1.0]
Issue date: [date]
What is this for?
This Disciplinary Decision Scoring Matrix Form can be used to objectively evaluate disciplinary actions and determine appropriate consequences for employee misconduct.
It allows for consistent decision-making by assigning scores to various factors such as severity of the offense, previous disciplinary history, and mitigating circumstances.
This form helps ensure fairness and transparency in the disciplinary process by providing a structured framework for assessing disciplinary situations. By considering specific criteria and assigning corresponding scores, it enables decision-makers to arrive at well-informed and consistent disciplinary outcomes tailored to each individual case.
Employment law compliance
- Employment Rights Act 1996: Outlines legal requirements for disciplinary procedures, ensuring fairness and transparency in decision-making.
-
Acas Code of Practice on Disciplinary and Grievance Procedures: Provides guidance on conducting fair and consistent disciplinary processes, including the use of objective criteria for decision-making.
-
Equality Act 2010: Ensures that disciplinary decisions are not discriminatory and do not unfairly disadvantage employees based on protected characteristics.
-
Data Protection Act 2018 (incorporating GDPR): Mandates the handling of personal data within disciplinary processes in compliance with data protection principles.
-
Best Practice: Consistency and Documentation: Ensure that the scoring matrix form is applied consistently across cases and accurately documents the factors considered in disciplinary decisions to support transparency and fairness.
Documentation sequence
Disciplinary hearing script
Our Disciplinary Hearing Script Template ensures structured proceedings, promoting fairness and adherence to disciplinary policies during hearings.
Disciplinary hearing result letter template
Our Disciplinary Hearing Result Letter Template ensures clear communication of outcomes, promoting transparency and fair resolution.
Practical example
Scenario
John, a valued member of the team, has been consistently late for work over the past six months. As a result, John recently received a verbal warning from his manager to try to address the problem. Despite this, John has again recently breached the Company threshold for poor timekeeping, namely 3 occasions of lateness within a 10 working day period.
Accordingly, a Disciplinary Hearing has been held with him, and it has been adjourned so that a decision on the most appropriate outcome can be made.
Evaluation
-
Previous Disciplinary Record: John has received one verbal warning in the last 6 months due to his lateness, scoring 10 points in this category. While this is his first formal disciplinary action, it indicates a recent pattern of behaviour that needs addressing.
-
Type of Misconduct: John's behaviour falls under the category of misconduct as frequent lateness is considered a minor breach of policy, scoring 15 points. While lateness may seem like a minor issue, it can disrupt team productivity and morale if left unaddressed.
-
Impact on Workplace: John's frequent lateness may have a minor impact on the workplace, scoring 5 points. While his lateness may not directly affect his colleagues' ability to perform their tasks, it sets a precedent for lax behaviour and can create resentment among team members who arrive on time.
-
Mitigating or Aggravating Factors: There are no strong mitigating or aggravating factors present in this scenario. John has previously recieved the disciplinary policy as part of his onboardig, and has signed as such. He has not provided any extenuating circumstances for his lateness, nor has he shown deliberate deception or dishonesty. Therefore, this category scores 0 points.
Final Scoring
-
Previous Disciplinary Record: 10 points
-
Type of Misconduct: 15 points
-
Impact on Workplace: 5 points
-
Mitigating or Aggravating Factors: 0 points
Total score: 30 points
Outcome
With a total score of 30 points, John's behaviour falls within the range of 16-40 points, indicating a Written Warning as per the Final Scoring Outcome Guide. Therefore, the appropriate action would be to issue John a First Written Warning for his frequent lateness, emphasising the importance of punctuality and adherence to company policies.
This written warning serves as a formal reminder of expectations and provides John with an opportunity to rectify his behaviour before further disciplinary action is taken.
Protected before purchase.
Protected before purchase.
