As an employer, dealing with employee conduct is part of running a business. However, you must follow the correct process when handing out warnings to your employees.
There are rules when issuing warnings for conduct, performance, or attitude. Failure to adhere to the rules could lead to claims being raised against you for unfair dismissal. You may be hit with orders to pay financial compensation, as well as reputational damages.
In this guide, we'll discuss what warnings at work are, the different warnings you can give, and the disciplinary procedure you must follow.
What are warnings at work?
Warnings at work are used by employers to raise any concerns they have surrounding an employee's work, conduct, or attitude.
Both formal and informal warnings are used by employers as a way to hopefully curb the pattern of misconduct.
Why would you give an employee a warning?
No employer wants to discipline their employees, however sometimes it's needed to run a successful business. There are many reasons why you may be required to issue a warning to an employee.
Such as but not limited to:
- Poor relationships with other employees.
- Poor performance or constantly making mistakes.
- Serious insubordination.
- Company equipment has been used for personal purposes.
- Unauthorized employee absences.
- Not being able to handle their workload.
- Failing to cooperate with work colleagues.
- Unacceptable personal appearance.
You must always fully establish the facts before starting the disciplinary and warning procedure. Don't act on a whim and hand out a verbal warning after an employee is late once, ensure there's a pattern of misconduct before starting the process.
It's important you understand how to carry out the process of disciplining and issuing warnings at work.
How to carry out a formal disciplinary procedure
As an employer, there will be times when you need to discipline employees. As much as this isn't an enjoyable process, sometimes it's unavoidable. So, you need to be aware of how to carry out disciplinary procedures and issue warnings to your employees.
You should include your disciplinary procedure within your employee's contract, with both parties signing the document before employment starts.
Let's discuss the different stages of the procedure in more detail.
First stage - verbal warning
A verbal warning is usually informal and used to make an employee aware that their conduct or performance must improve. They are typically used if an employer is concerned about an employee's conduct before starting formal disciplinary action.
It's advisable to follow a verbal warning procedure:
- Arrange a private meeting between the employee and their line manager.
- Discuss your concerns with their ongoing performance or conduct.
- Make them aware of your policies and procedures.
- Ask the employee if there's a reason why their conduct has dropped (they may have issues in their personal life which is affecting their work).
If the employee fails to change their behaviour or performance, you may choose to give them a formal verbal warning.
It's advisable to issue a verbal warning letter, the letter should explain that a verbal warning has been given, how long it's for, and what required improvement must be made.
How long do verbal warnings last?
There is no time limit for how long verbal warnings last. However, three months is a reasonable time for the first one.
Remember, an informal verbal warning doesn't carry the same importance as other disciplinary sanctions.
Second stage - first written warning
A written warning is a formal warning that follows from a verbal warning if there's been no improvement in performance or conduct.
To issue a first written warning the employee should be invited to another meeting, made aware of the transgression, and have the chance to respond. Just like a verbal warning, a written warning should last for another three months.
The employee should receive a formal written warning letter from their employer.
What to include in a formal written warning letter
When issuing a formal written warning letter to an employee, you should include the following:
- The date of the disciplinary meeting.
- Who was involved.
- Acknowledgment of the written warning being given.
- The duration of the warning and what training will be carried out.
- The possible outcome if there's further misconduct.
Third stage - second written warning
If both a verbal and written warning doesn't show any improvement from the employee, you may have to issue a second written warning.
These warnings should be given in the same way as the first written warning, a meeting with a full explanation. The main difference is, you should give the employee six months to show improvement before moving on to the next stage.
Fourth stage - final written warning
If after all the previous warnings the employee doesn't improve performance or conduct, you may be left with no choice but to issue a final written warning letter.
Like previous warnings, you should hold a meeting with the employee to explain your decision and issue the letter. The letter should advise that if no improvement is shown then you'll be left with no choice but to end their employment.
The employee should be given 12 months to show an improvement in their performance or conduct. The warning should only refer to the original concern, don't include newer conduct.
Fifth stage - dismissal
If the above steps haven't led to an improvement in the employee's conduct, performance, or attitude - then dismissal is unavoidable.
To dismiss the employee, you must call a meeting with both them and their representative. In the meeting, you should remind them of the conduct or behaviour that's led to this point and the failure to improve.
It must be made clear that dismissal is in line with your disciplinary procedure as explained in their contract.
Do you always need to start with a verbal warning?
No, there's no obligation to start disciplinary proceedings with a verbal warning. For example, if an employee's actions have caused serious harm to your business, you may start with a final written warning.
You must take each case of misconduct on a case-by-case basis.
What stage of disciplinary procedures deals with gross misconduct?
Gross or serious misconduct will normally be dealt with in stages four or five of the formal warnings process. Gross misconduct generally includes but is not limited to:
- Criminal acts such as theft, assault, or intentional damage to company property.
- Serious health & safety breaches.
- Falsification of records.
- Abuse of trust or company policies.
- Serious sexual harassment or bullying.
- Serious breaches of internet or data protection policies.
You must always follow a fair procedure when dealing with any form of misconduct. Failure to do so can lead to claims of unfair dismissal or discrimination being raised against you in the future.
So, let's discuss how to successfully deal with gross misconduct:
Notify the employee of the allegation
You must notify the employee in question about the allegation they face. The notification letter should clearly explain the nature of any alleged misconduct, as well as the list of potential outcomes and hearing details.
Carry out an investigation
A thorough investigation should be carried out before the hearing can take place. This stage is used to gather any evidence, necessary information, and facts to do with the misconduct.
You should speak with any witnesses to the misconduct and gather statements in preparation for the hearing.
Following the completion of the investigation, the employee must be invited in writing to a formal meeting (also known as a disciplinary hearing). It's reasonable to suspend the employee whilst the investigation is being undertaken.
Carry out a disciplinary hearing
The hearing aims to decide which disciplinary sanction is most appropriate for the misconduct. This is a chance for both parties to put their side of the story and evidence forward.
You should follow the below process:
- The employer puts their case forward, presenting any evidence, such as witness statements.
- The employee puts their case forward, using their evidence and any witnesses.
- Both parties can ask questions and raise any objections.
Employees are entitled to be accompanied by a work colleague, a trade union representative, or a trade union official. They can assist employees with any questions they have.
It's vital you follow your disciplinary procedure correctly and fairly. Failure to do so is against employment law and could lead to claims being raised against you in the future.
Can employees appeal the outcome of a formal disciplinary process?
Yes, if the employee has been dismissed, they should be given the opportunity to appeal within 14 days.
This should be included within the dismissal letter, the time they have to appeal, and who to appeal to.
Do you need to keep a record of formal disciplinary proceedings?
Yes, you should always keep a record of verbal and written warnings on an employee's record indefinitely.
Although not a legal requirement, it's good practice to keep a written record of any informal or formal warnings given to employees. This could be vital evidence if the employee chooses to appeal your decision.
What happens if you don't follow fair procedures when disciplining employees?
You should always follow a fair disciplinary procedure. If an employee feels you've been unfair during the warning and disciplinary process, legal action may be taken against you for unfair dismissal.
Following the conclusion of the procedure, you should be able to clearly explain how you acted fairly throughout. This is why keeping a record during each step is vitally important.
As an employer, you should never over-discipline someone or act unfairly because they hold a protected characteristic - such as a disability. Doing so may lead to claims of discrimination being made.
Get expert advice on warnings at work with Peninsula
When running a business, employee conduct and performance are vitally important. So, sometimes you'll need to act on it when it drops to an unacceptable level.
There are certain rules that must be followed when issuing warnings to employees. Not sticking to these rules can lead to claims being raised against you in the future. You must remember to follow the correct process.
Peninsula offers expert advice on how to discipline employees correctly. Our HR services can help you understand the different types of reviews you can carry out.
We also offer 24/7 HR advice that’s available 365 days a year. Want to find out more? Book a free consultation with one of our HR consultants. Contact 0844 891 0353
