How Can I Issue a Formal Warning Letter?

Have you ever found yourself in a situation where an employee’s performance or conduct at work is not meeting your workplace expectations? It is a reality that many employers face at some point. As a result, it is important to know how to tackle this situation compliantly to ensure that you facilitate solutions and prevent any disputes from emerging. An effective strategy is using a formal warning letter to communicate your concerns to an underperforming employee and outline a clear path towards improvement. This article will explain when a formal warning might be issued, what it entails, and how it can ultimately benefit both parties involved.

Considering Options Before a Formal Warning Letter

Before issuing a formal warning, you should review any relevant company policies and procedures. Many companies may have internal guidelines outlined in staff handbooks or policies stored in a shared space for staff members to familiarise themselves with, and these policies will often outline the appropriate steps and actions that you need to take during a formal process. 

Ultimately, irrespective of any policies you may have, the process you follow needs to be compliant with the ACAS code of conduct on disciplinary and grievances. Should a matter lead to the employment tribunal, the tribunal will consider compliance under ACAS’ code of conduct. If you fail to adhere to the code of conduct, a compensatory award of up to 25% may be granted against you. 

Drafting a Formal Warning Letter 

1. Establish the Facts of Each Case

The first key step you must take when issuing a formal warning letter is establishing the facts of the case. You should conduct an investigation into the circumstances to gather all the relevant facts. This may include: 

• inviting witnesses; 
• reviewing documentation; and 
• considering previous conduct. 

The goal here is to ensure that the circumstances justify the need for further action based on solid evidence present.

Once you have done this, you should invite the employee to an informal meeting. The purpose of this meeting is to establish what happened. For this meeting, you do not need to provide any prior notice to the employee unless you:

• have a contractual policy which states otherwise; or 
• issue invitation letters as custom and practice. 

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2. Inform the Employee of the Issue(s)

Following on from the above, if you have built up a case to support disciplinary action, the next stage would be to invite the employee to a formal disciplinary meeting. Prior to doing this, you must write an invitation letter to the employee consisting of:

• the allegations and any evidence against the employee; 
• a confirmation of whether you intend to call any witnesses;
• the possible consequences that could arise from the disciplinary meeting; 
• the procedure that you will follow, including a different person to lead each stage of the process; and 
• their legal right to be accompanied by a trade union representative or a colleague. 

You may also wish to invite another member of staff to help with the process and take notes during the meeting so that the meeting’s contents can be documented. Furthermore, you may choose to host the meeting virtually using Zoom, Google Meet, or another platform.

3. After the Meeting

Once the disciplinary meeting has concluded, you must decide whether it merits disciplinary action. Once you have decided the outcome of the investigation, you must write to the employee. In this letter, you must provide:

• a summary of the process and the evidence considered (you should include any previous conduct, the nature of the allegation and the company’s internal policies); 
• the outcome of the disciplinary hearing;
• the action being taken with a detailed explanation, such as a written warning or termination; 
• any expected improvements or consequences of further action, where applicable; and 
• the employee’s right to appeal and the process that they must follow. 

Once you have concluded this process, a copy of the outcome should be kept in the employee’s personal file. This documentation can be beneficial for tracking the employee’s progress, any further action that may need to be taken, and if you need to protect the company from a legal perspective in the event of a dispute in the employment tribunal.

Key Takeaways 

Issuing a formal warning letter is an effective strategy for handling workplace misconduct and ensuring that your employees are aware of your expectations. By following the process above, you will be able to protect your business from any legal challenges or disputes. It is essential to establish the facts of the case and gather evidence to support your claims against your employee. However, you should also give them an opportunity to respond and approach the matter in a fair and just manner. Finally, after holding a disciplinary meeting, you should decide the outcome of the investigation and inform the employee of this conclusion. 

If you are considering disciplinary action against an employee, our experienced employment lawyers can assist as part of our LegalVision membership. For a low monthly fee, you will have unlimited access to lawyers to answer your questions and draft and review your documents. Call us today on 0808 196 8584 or visit our membership page.

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