Written Warning
Written Warning
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Written Warning
Written Warning
What is a Written Warning?
Written warnings are official notices issued to an employee when they have failed to adhere to their employer's policies or procedures. These documents often outline the specific issues that led to the warning, any improvement required from the employee, and potential consequences if the employee does not improve.
These formal warnings are usually part of a disciplinary process which may eventually lead to dismissal for serious misconduct or underperformance.
What is the difference between verbal and written warnings ?
A key distinction in the realm of employee discipline is the difference between verbal and written warnings.
A verbal warning is an informal and non-document event typically delivered in a one-on-one meeting between a manager or supervisor and the employee. This interaction provides an opportunity to discuss concerns regarding the employee's performance or behavior and to outline the changes necessary for improvement. It serves as a first step in addressing issues and aims to rectify the problem in a timely manner. However, it is vital to note that a verbal warning is not recorded in the employee's official disciplinary records.
On the other hand, a written warning is a more formal disciplinary action that entails documenting the performance or behavioral concerns in writing. This written record includes details about the problem, specific instances or incidents supporting the concerns, and any expectations for improvement. Unlike verbal warnings, written warnings become a permanent part of the employee's disciplinary records, serving as evidence of the employer's efforts to address the issues.
A key distinction in the realm of employee discipline is the difference between verbal and written warnings.
A verbal warning is an informal and non-document event typically delivered in a one-on-one meeting between a manager or supervisor and the employee. This interaction provides an opportunity to discuss concerns regarding the employee's performance or behavior and to outline the changes necessary for improvement. It serves as a first step in addressing issues and aims to rectify the problem in a timely manner. However, it is vital to note that a verbal warning is not recorded in the employee's official disciplinary records.
On the other hand, a written warning is a more formal disciplinary action that entails documenting the performance or behavioral concerns in writing. This written record includes details about the problem, specific instances or incidents supporting the concerns, and any expectations for improvement. Unlike verbal warnings, written warnings become a permanent part of the employee's disciplinary records, serving as evidence of the employer's efforts to address the issues.
The main steps to take when issuing a written warning
In this section, we outline the main steps that should be followed in the framework of a written warning issued.
1. Identify the Issue
Clearly specify the performance or conduct issue that is causing concern. This should be based on observable behavior, documented incidents, or performance data that falls short of the company’s standards. Begin by referring to the established standards and expectations for performance and behavior as outlined in company policies, job descriptions, or employee handbooks. It is crucial that employees have been made aware of these standards beforehand, usually through training or during their initial orientation and ongoing performance management processes.
2. Investigation and Evidence Gathering
Conduct a fair and impartial investigation into the alleged misconduct or performance issue. This may involve interviewing witnesses, reviewing performance records, and gathering any relevant documents or evidence. Document the specific instances where the employee has not met these expectations. Use clear, objective evidence such as date-stamped records of tardiness, documented errors or missed targets, or direct observations of conduct that violates company policy. Avoid generalizations or subjective judgments; instead, provide a factual description of the issue, focusing on the behavior or results rather than personal characteristics. For example, rather than noting that an employee is "frequently late," provide the exact dates and times of late arrivals and describe the impact this has had on operations.
Lastly, ensure the evidence reflects a pattern of behavior or performance that justifies a written warning, rather than a one-off incident (unless the incident is severe enough to warrant such action). The intention is to make the employee aware of the specific areas where improvement is required, with the understanding that these issues have been consistently observed and are not isolated events. This approach helps in maintaining fairness and transparency in the disciplinary process.
3. Disciplinary Meeting
When preparing to issue a written warning, it's important to first provide the employee with a written notification of a disciplinary meeting. This notice should clearly state the specific reasons for the meeting, focusing on the particular aspects of their performance or behavior that are under review. It should also detail the date, time, and location of the meeting, giving the employee reasonable time to prepare their case. The notification must articulate that they have the right to be accompanied by a colleague or a trade union representative—a right that is enshrined in employment law. Additionally, the notice should include copies of any evidence or documentation that will be discussed, such as performance reports, customer complaints, or records of misconduct, so the employee has a fair opportunity to review this information in advance.
During the disciplinary meeting itself, it's crucial to foster an open dialogue. Begin by outlining the issues as stated in the notification, providing concrete examples and explaining how these issues affect the team or company. Then, actively listen and give the employee a full opportunity to explain their perspective, share any mitigating factors, or clarify any misunderstandings. This meeting isn't just a formality; it's a platform for genuine communication, aiming to resolve the issues if possible. It's essential for the employer to approach this meeting without bias and with a willingness to consider the employee's viewpoint. Ensuring the employee feels heard can prevent misunderstandings and can often lead to a more positive outcome, where steps for improvement are agreed upon collaboratively.
4. Decision and Written Warning
Following the disciplinary meeting, it is essential to take adequate time to review and reflect on all the information presented before coming to a decision. This includes considering the employee's explanations and any mitigating circumstances they may have provided, alongside the documented evidence of their performance or conduct issues. It's crucial to assess this information impartially and within the context of the company’s policies and any legal obligations. This period of deliberation is not only key to making an informed decision but also demonstrates to the employee and any third parties, should the matter escalate, that the employer has acted fairly and not rushed to judgment.
If the decision is to issue a written warning, this document should be clear and concise, leaving no ambiguity about what is expected from the employee moving forward. It must specify the exact nature of the problem, pinpointing the behavior or performance that needs to change, with a detailed action plan or performance goals. The warning should set a reasonable and explicit timescale for the required improvements to be made, allowing the employee to understand the urgency and the importance of these changes. Additionally, it should be explicit about the potential consequences of failing to meet these expectations, including the possibility of further disciplinary actions, which could lead to dismissal. This step is not just about penalizing the employee, but also about setting out a clear pathway for them to follow in order to retain their position and succeed within the company.
5. Communication and Support
When delivering a written warning, it is critical to ensure that the message is communicated as clearly as possible. The written document should be handed over in person whenever feasible, allowing for a conversation in which the manager or HR representative can walk through the contents with the employee. This direct discussion can help clarify any points of confusion and ensure the employee fully understands the expectations and the seriousness of the situation. It is also an opportunity to reiterate the specific areas needing improvement, providing concrete examples of what meeting the standards would look like. This dual approach of written and verbal communication serves to reinforce the message and reduce misunderstandings.
Alongside the warning, it's important to provide the employee with information about the resources and support available to them. This might include offering additional training to develop necessary skills, access to counseling services if behavioral issues are personal in nature, or scheduling regular progress meetings to provide ongoing feedback. By outlining the support mechanisms, the employer shows a commitment to assisting the employee in their improvement efforts.
Furthermore, employees should be informed about their right to appeal the warning, with clear instructions on how the appeal process works, whom to contact, and the timeframe within which they must act. This information ensures the employee is aware of their rights and understands that there is a fair and transparent process in place.
6. Documentation and Review
After issuing the written warning, it is equally important to establish a clear timeline for reviewing the employee’s performance or behavior improvements. This period should be reasonable, giving the employee sufficient time to make the necessary changes, but also reflecting the urgency of the situation. Regular monitoring of the employee's progress is vital, and this should be carried out through scheduled follow-up meetings.
These meetings provide opportunities to give constructive feedback, make adjustments to improvement plans if needed, and reinforce the employer's commitment to supporting the employee's development. Keeping track of these sessions and their outcomes is essential, as it creates an ongoing record that can illustrate the employee's progress or highlight a continued lack of improvement, informing any future actions that may need to be taken.
In this section, we outline the main steps that should be followed in the framework of a written warning issued.
1. Identify the Issue
Clearly specify the performance or conduct issue that is causing concern. This should be based on observable behavior, documented incidents, or performance data that falls short of the company’s standards. Begin by referring to the established standards and expectations for performance and behavior as outlined in company policies, job descriptions, or employee handbooks. It is crucial that employees have been made aware of these standards beforehand, usually through training or during their initial orientation and ongoing performance management processes.
2. Investigation and Evidence Gathering
Conduct a fair and impartial investigation into the alleged misconduct or performance issue. This may involve interviewing witnesses, reviewing performance records, and gathering any relevant documents or evidence. Document the specific instances where the employee has not met these expectations. Use clear, objective evidence such as date-stamped records of tardiness, documented errors or missed targets, or direct observations of conduct that violates company policy. Avoid generalizations or subjective judgments; instead, provide a factual description of the issue, focusing on the behavior or results rather than personal characteristics. For example, rather than noting that an employee is "frequently late," provide the exact dates and times of late arrivals and describe the impact this has had on operations.
Lastly, ensure the evidence reflects a pattern of behavior or performance that justifies a written warning, rather than a one-off incident (unless the incident is severe enough to warrant such action). The intention is to make the employee aware of the specific areas where improvement is required, with the understanding that these issues have been consistently observed and are not isolated events. This approach helps in maintaining fairness and transparency in the disciplinary process.
3. Disciplinary Meeting
When preparing to issue a written warning, it's important to first provide the employee with a written notification of a disciplinary meeting. This notice should clearly state the specific reasons for the meeting, focusing on the particular aspects of their performance or behavior that are under review. It should also detail the date, time, and location of the meeting, giving the employee reasonable time to prepare their case. The notification must articulate that they have the right to be accompanied by a colleague or a trade union representative—a right that is enshrined in employment law. Additionally, the notice should include copies of any evidence or documentation that will be discussed, such as performance reports, customer complaints, or records of misconduct, so the employee has a fair opportunity to review this information in advance.
During the disciplinary meeting itself, it's crucial to foster an open dialogue. Begin by outlining the issues as stated in the notification, providing concrete examples and explaining how these issues affect the team or company. Then, actively listen and give the employee a full opportunity to explain their perspective, share any mitigating factors, or clarify any misunderstandings. This meeting isn't just a formality; it's a platform for genuine communication, aiming to resolve the issues if possible. It's essential for the employer to approach this meeting without bias and with a willingness to consider the employee's viewpoint. Ensuring the employee feels heard can prevent misunderstandings and can often lead to a more positive outcome, where steps for improvement are agreed upon collaboratively.
4. Decision and Written Warning
Following the disciplinary meeting, it is essential to take adequate time to review and reflect on all the information presented before coming to a decision. This includes considering the employee's explanations and any mitigating circumstances they may have provided, alongside the documented evidence of their performance or conduct issues. It's crucial to assess this information impartially and within the context of the company’s policies and any legal obligations. This period of deliberation is not only key to making an informed decision but also demonstrates to the employee and any third parties, should the matter escalate, that the employer has acted fairly and not rushed to judgment.
If the decision is to issue a written warning, this document should be clear and concise, leaving no ambiguity about what is expected from the employee moving forward. It must specify the exact nature of the problem, pinpointing the behavior or performance that needs to change, with a detailed action plan or performance goals. The warning should set a reasonable and explicit timescale for the required improvements to be made, allowing the employee to understand the urgency and the importance of these changes. Additionally, it should be explicit about the potential consequences of failing to meet these expectations, including the possibility of further disciplinary actions, which could lead to dismissal. This step is not just about penalizing the employee, but also about setting out a clear pathway for them to follow in order to retain their position and succeed within the company.
5. Communication and Support
When delivering a written warning, it is critical to ensure that the message is communicated as clearly as possible. The written document should be handed over in person whenever feasible, allowing for a conversation in which the manager or HR representative can walk through the contents with the employee. This direct discussion can help clarify any points of confusion and ensure the employee fully understands the expectations and the seriousness of the situation. It is also an opportunity to reiterate the specific areas needing improvement, providing concrete examples of what meeting the standards would look like. This dual approach of written and verbal communication serves to reinforce the message and reduce misunderstandings.
Alongside the warning, it's important to provide the employee with information about the resources and support available to them. This might include offering additional training to develop necessary skills, access to counseling services if behavioral issues are personal in nature, or scheduling regular progress meetings to provide ongoing feedback. By outlining the support mechanisms, the employer shows a commitment to assisting the employee in their improvement efforts.
Furthermore, employees should be informed about their right to appeal the warning, with clear instructions on how the appeal process works, whom to contact, and the timeframe within which they must act. This information ensures the employee is aware of their rights and understands that there is a fair and transparent process in place.
6. Documentation and Review
After issuing the written warning, it is equally important to establish a clear timeline for reviewing the employee’s performance or behavior improvements. This period should be reasonable, giving the employee sufficient time to make the necessary changes, but also reflecting the urgency of the situation. Regular monitoring of the employee's progress is vital, and this should be carried out through scheduled follow-up meetings.
These meetings provide opportunities to give constructive feedback, make adjustments to improvement plans if needed, and reinforce the employer's commitment to supporting the employee's development. Keeping track of these sessions and their outcomes is essential, as it creates an ongoing record that can illustrate the employee's progress or highlight a continued lack of improvement, informing any future actions that may need to be taken.
Best practices for issuing a written warning at work
In this section, we list some of the main best practices that employers can follow to ensure that they are acting fairly and legally, and that their employees are being treated with respect throughout the disciplinary process. It’s always a good idea to seek legal advice when in doubt, especially for complex cases or where there is potential for legal repercussions.
Follow company policy and ACAS code of practice : Make sure that any action taken aligns with your organization’s disciplinary policy. The ACAS (Advisory, Conciliation and Arbitration Service) Code of Practice on disciplinary and grievance procedures provides a framework that employers should follow. Stay informed about updates in employment legislation to ensure ongoing compliance with legal standards.
Ensure there is a valid reason: Only issue a written warning when there are legitimate grounds for doing so, such as misconduct or poor performance that has been documented or witnessed.
Conduct a thorough investigation: Before issuing a warning, conduct a full and fair investigation to gather all the facts. Approach the investigation without preconceptions and ensure it is conducted by someone not directly involved in the incident.
Hold a disciplinary meeting: Notify the employee of the problem in writing, including the possible consequences, and invite them to a meeting to discuss the issue. The employee has the right to be accompanied by a colleague or a trade union representative.
Provide clear examples and expectations: Detail specific examples of the behavior or performance that has led to the warning. Outline clear expectations for improvement, with achievable goals and time frames.
Allow the Employee to Respond: Give the employee the opportunity to present their side of the story. There may be mitigating circumstances you are unaware of.
Issue the warning in writing: After the meeting, provide a written warning that outlines the issues discussed, the expected changes, and the timeline for improvement. Clearly state what will happen if the employee fails to improve, including potential for further disciplinary action up to and including dismissal. Keep the matter confidential to respect the privacy of the employee and to maintain workplace harmony.
Offer support: Offer help to the employee to improve their performance or conduct, which could include additional training or mentoring.
Set a review period: Set a reasonable period for reviewing the employee's performance or conduct following the warning.
Keep accurate records: Keep detailed records of all steps taken, including the investigation, the disciplinary meeting, and any follow-up actions.
Provide a right to appeal: Inform the employee of their right to appeal the decision, and provide details on how to do this.
Apply consistently: Apply disciplinary actions consistently to all employees to avoid allegations of discrimination or unfair treatment.
In this section, we list some of the main best practices that employers can follow to ensure that they are acting fairly and legally, and that their employees are being treated with respect throughout the disciplinary process. It’s always a good idea to seek legal advice when in doubt, especially for complex cases or where there is potential for legal repercussions.
Follow company policy and ACAS code of practice : Make sure that any action taken aligns with your organization’s disciplinary policy. The ACAS (Advisory, Conciliation and Arbitration Service) Code of Practice on disciplinary and grievance procedures provides a framework that employers should follow. Stay informed about updates in employment legislation to ensure ongoing compliance with legal standards.
Ensure there is a valid reason: Only issue a written warning when there are legitimate grounds for doing so, such as misconduct or poor performance that has been documented or witnessed.
Conduct a thorough investigation: Before issuing a warning, conduct a full and fair investigation to gather all the facts. Approach the investigation without preconceptions and ensure it is conducted by someone not directly involved in the incident.
Hold a disciplinary meeting: Notify the employee of the problem in writing, including the possible consequences, and invite them to a meeting to discuss the issue. The employee has the right to be accompanied by a colleague or a trade union representative.
Provide clear examples and expectations: Detail specific examples of the behavior or performance that has led to the warning. Outline clear expectations for improvement, with achievable goals and time frames.
Allow the Employee to Respond: Give the employee the opportunity to present their side of the story. There may be mitigating circumstances you are unaware of.
Issue the warning in writing: After the meeting, provide a written warning that outlines the issues discussed, the expected changes, and the timeline for improvement. Clearly state what will happen if the employee fails to improve, including potential for further disciplinary action up to and including dismissal. Keep the matter confidential to respect the privacy of the employee and to maintain workplace harmony.
Offer support: Offer help to the employee to improve their performance or conduct, which could include additional training or mentoring.
Set a review period: Set a reasonable period for reviewing the employee's performance or conduct following the warning.
Keep accurate records: Keep detailed records of all steps taken, including the investigation, the disciplinary meeting, and any follow-up actions.
Provide a right to appeal: Inform the employee of their right to appeal the decision, and provide details on how to do this.
Apply consistently: Apply disciplinary actions consistently to all employees to avoid allegations of discrimination or unfair treatment.
Create a better place of work today
Create a better place of work today
Simplify your people workflows and bring value to everyone in the organisation. Experience Humaans today.
Simplify your people workflows and bring value to everyone in the organisation. Experience Humaans today.
Best resources about Written Warning
Do you want to learn more about Written Warnings? Check these 4 books about Employment and HR.
Employment Law Handbook by Henry Scrope : This book is often updated to reflect current practices and could contain detailed sections on the disciplinary process, including written warnings.
Human Resource Practice by Malcolm Martin, Fiona Whiting : This book provides practical guidance on HR procedures in the UK, including issuing warnings.
Employment Law in Context: An Introduction for HR Professionals by Brian Willey : This book Offers context on legal principles and their application in HR, including discipline and grievance handling.
Employment Law for Human Resource Practice by David J. Walsh: This book covers the essentials of employment law and how they relate to HR practices, including the process of giving written warnings.
Do you want to learn more about Written Warnings? Check these 4 books about Employment and HR.
Employment Law Handbook by Henry Scrope : This book is often updated to reflect current practices and could contain detailed sections on the disciplinary process, including written warnings.
Human Resource Practice by Malcolm Martin, Fiona Whiting : This book provides practical guidance on HR procedures in the UK, including issuing warnings.
Employment Law in Context: An Introduction for HR Professionals by Brian Willey : This book Offers context on legal principles and their application in HR, including discipline and grievance handling.
Employment Law for Human Resource Practice by David J. Walsh: This book covers the essentials of employment law and how they relate to HR practices, including the process of giving written warnings.
Frequently Asked Questions (FAQs) about Written Warnings
What is a written warning in the context of UK employment?
A written warning is a formal notice given by an employer to an employee to signal a breach of company policies or unsatisfactory performance. It is part of the disciplinary process and is typically preceded by a verbal warning.
How many types of written warnings are there?
There are generally two main types of written warnings in the UK: a first written warning (sometimes called an initial written warning) and a final written warning. However, the exact terminology and process may vary by company policy.
What should a written warning include?
A written warning should include the specific issue(s) that have led to the warning, evidence or examples of the misconduct or underperformance, the improvement required, the timescale for this improvement, the consequences of not improving, and information about the employee's right to appeal.
How long does a written warning stay on an employee’s record?
The duration a written warning stays on an employee's record varies by company policy but is typically around six to twelve months for a first written warning. Final written warnings may remain on the employee's record for a longer period, such as twelve months, but this can vary depending on the severity of the situation.
Can an employee be dismissed after a written warning?
Yes, if an employee fails to improve their performance or conduct after a final written warning, they can be dismissed. However, employers must follow a fair process and act reasonably in line with Employment Law and their own disciplinary procedures.
What is a written warning in the context of UK employment?
A written warning is a formal notice given by an employer to an employee to signal a breach of company policies or unsatisfactory performance. It is part of the disciplinary process and is typically preceded by a verbal warning.
How many types of written warnings are there?
There are generally two main types of written warnings in the UK: a first written warning (sometimes called an initial written warning) and a final written warning. However, the exact terminology and process may vary by company policy.
What should a written warning include?
A written warning should include the specific issue(s) that have led to the warning, evidence or examples of the misconduct or underperformance, the improvement required, the timescale for this improvement, the consequences of not improving, and information about the employee's right to appeal.
How long does a written warning stay on an employee’s record?
The duration a written warning stays on an employee's record varies by company policy but is typically around six to twelve months for a first written warning. Final written warnings may remain on the employee's record for a longer period, such as twelve months, but this can vary depending on the severity of the situation.
Can an employee be dismissed after a written warning?
Yes, if an employee fails to improve their performance or conduct after a final written warning, they can be dismissed. However, employers must follow a fair process and act reasonably in line with Employment Law and their own disciplinary procedures.
Trusted by global organisations
Trusted by global organisations
Create a better place of work today
Create a better place of work today
Simplify your people workflows and bring value to everyone in the organisation. Experience Humaans today.
Simplify your people workflows and bring value to everyone in the organisation. Experience Humaans today.
