Create, manage, and track disciplinary records

Before managers or other non-Admin/Owner users can access Disciplinary Records, complete the following steps in the Settings module:

1. Log in to Employment Hero. 
2. Navigate to Settings > Security Roles
3. Select the Security Role you want to update, or create a new one.
4. Locate the Disciplinary Records permissions section and enable the relevant permission(s):
   VIEW: allows the user to read disciplinary records.
   MODIFY: allows the user to create and edit disciplinary records.
5. Assign the Security Role to the relevant manager(s) or users.
6. Once a Security Role containing a disciplinary permission has been assigned, that user can access records according to the permission level granted.

Once a Security Role containing a disciplinary permission has been assigned, that user can access records according to the permission level granted. See this process and more information here.

Admins, Owners, and Managers can view all disciplinary matters for an employee in one place under the Performance tab group.

1. Log in to Employment Hero.
2. Click on People on the left-hand side menu navigation.
3. Click on People list.
4. Select the employee with whom you want to begin disciplinary action.
5. On the Employee File, scroll down to Performance.
6. Click on the Disciplinary Record tab.
7. Click on Create Disciplinary.
8. Add the following details:
   • Incident
   • Date of incident
   • Description
   • What steps were taken?
   • Outcome
   • Case Type: optional by default. If your admin has made this field mandatory, you must select a case type before you can save.
   • Actions: mandatory by default. Select one or more actions. If your admin has turned off the mandatory setting, you can save without selecting an action.
   • Any additional fields your admin has added on the Disciplinary Cases settings page. These may be mandatory or optional.
   • Disciplinary attachments (optional).  
9. Click on Save as Draft or Publish.

Employees can view their own published disciplinary records, including all detail fields. Draft records are not visible to employees.

1. The employee navigates to their own Employee File and opens the Performance tab group.
2. They then select the Disciplinary record tab.
3. Only published records are displayed. Drafts remain hidden until an admin or owner publishes them.

The Disciplinary Cases settings page lets admins and owners manage the fields that appear on a disciplinary record. Admins and Owners, and users with the Disciplinary Settings general permission, can access this page.

1. Log in to Employment Hero.
2. Navigate to Settings on the left-hand side navigation menu.
3. Open the Performance & Engagement section.
4. Select Disciplinary Cases from the list.

Users without access to the settings page are redirected away and cannot view or change the settings.

The Disciplinary Cases settings page comes ready to use, with two default fields:

• Actions: pre-populated with your organisation's existing, country-specific disciplinary actions. Actions is mandatory by default.
• Case Type: pre-populated with a starter list of case types, such as Misconduct, Performance, and Attendance. Case Type is optional by default.

You can use these lists as they are or customise them, as described below.

Admins and Owners can add, rename, or remove options in the Actions and Case Type lists so they match how your organisation handles disciplinary matters.

1. Open the Disciplinary Cases settings page.
2. Select the Actions or Case Type field.
3. To add an option, enter the new option and save. It can then be selected on future disciplinary records.
4. To rename an option, edit it and save. The updated name appears everywhere that option is shown.
5. To remove an option, remove it from the list. The option will no longer appear as a choice for new records.

Note: An option can only be removed if it has not been selected on any disciplinary record. If it has been selected on at least one record, you will see a message explaining that it can't be removed because it is in use.

Admins and Owners can choose whether Case Type and Actions must be completed before a disciplinary record can be saved.

1. Open the Disciplinary Cases settings page.
2. Turn the mandatory setting on or off for Case Type or Actions, then save.

When Case Type is mandatory, anyone logging a new record must choose a case type before saving. When Actions is optional, a record can be saved without selecting an action.

Admins and Owners can add up to three additional fields beyond Case Type and Actions. Case Type and Actions count towards this limit of five configurable fields.

1. Open the Disciplinary Cases settings page.
2. Choose to add a new field and enter a name for it.
3. Select the field type: Text field, Dropdown, or Multi-select.
4. Set the field as mandatory or optional.

New fields appear on the disciplinary record form for anyone logging a new record. If you have already added three additional fields, you will see a message that the maximum of five fields has been reached. To add another field, remove one first.

• Case Type, Actions, and any additional fields appear as their own column in the Disciplinary Cases report, showing what was selected on each record.
• These fields are also included as their own columns when you export the Disciplinary Cases report to CSV.
• If a field is later removed from the settings page, answers recorded while it existed still appear in the report, labelled as coming from a removed field.
• Records logged before case types existed show no case type, without any error.

Admins and Managers can edit open disciplinary records to update details and record the outcome of the matter.

1. Open the disciplinary record from the Disciplinary record tab.
2. Update any fields as needed. In the Outcome dropdown, select the appropriate result: No action taken, Verbal warning, Written warning, Final warning, First and final written warning, Demotion, Summary dismissal, or Termination of employment.
3. To close the matter, change the status to Resolved and save. A confirmation prompt will appear before the change is applied.

Note: Records marked as Resolved or Expired are locked and cannot be edited further.

Employees can submit written feedback and file attachments on any open disciplinary record.

1. The employee opens the published disciplinary record from their file.
2. They click Add feedback.
3. In the Add feedback panel, they upload one or more files using the Attach your feedback field and click Save.
4. The employer receives a notification, and the uploaded files appear in the Employee Feedback attachments section of the record.

Note: Employees cannot submit feedback on records that have been marked as Resolved or Expired.

Automatic email notifications are sent to both the employee and the employer when key actions occur. All notifications use AU/NZ terminology (e.g. "disciplinary record" and "feedback" rather than UK-specific terms).

• Record shared with employee: Employee receives "A new disciplinary record has been shared with you"
• Feedback submitted: Employee receives confirmation; employer is notified
• Feedback updated: Employee receives confirmation; employer is notified
• Feedback removed: Employee receives confirmation; employer is notified

Published, resolved, or expired records can only be archived, not permanently deleted. Archiving hides the record but allows it to be restored if needed.

Once a draft is deleted, it cannot be restored through the user interface.

1. Log in to Employment Hero.
2. Click on People on the left-hand side menu navigation. 
3. Click on People list.
4. Select the employee you need.
5. On the Employee File, scroll down to Performance. 
6. Click on the Disciplinary Record tab.
7. Find the draft disciplinary record you want to delete.
8. Click the three dots button (...) for the record you need.
9. Click Delete.
10. In the confirmation dialogue, click Confirm to proceed.
11. The draft record will be removed from the list, and a success message will appear.

Archiving hides the record from the default list but keeps it available for future reference or restoration.

1. Log in to Employment Hero.
2. Click on People on the left-hand side menu navigation. 
3. Click on People list.
4. Select the employee you need.
5. On the Employee File, scroll down to Performance. 
6. Click on the Disciplinary Record tab.
7. Find the published, resolved, or expired disciplinary record you want to archive.
8. Click the three dots button (...) for the record you need.
9. Click Archive.
10. Review the confirmation message explaining that the record will be hidden but can be restored later.
11. Click Confirm to archive the record. The record will be removed from the default list, and a success message will appear.

1. Log in to Employment Hero.
2. Click on People on the left-hand side menu navigation. 
3. Click on People list.
4. Select the employee you need.
5. On the Employee File, scroll down to Performance. 
6. Click on the Disciplinary Record tab.
7. Use the status filter at the top of the record list and select Archived to view archived records.
8. To restore a record (if you have MODIFY access or are an Admin/Owner), click the three dots button (...) next to the archived record.
9. Click Restore and confirm your choice. The record will return to its previous status and reappear in the default list.

• Admins and Owners can delete any draft and archive any published record.
• Employees with DELETE access can delete any draft within their scope.
• Employees with MODIFY access can delete their own drafts and archive published records within their scope.
• Employees with VIEW access can only view records, including archived ones.

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