Employee Warnings SOP

A verbal warning is used as a disciplinary action and is typically the first step toward correcting performance or behavioral issues.  Verbal warnings should be documented and filed.

Purpose

1.  Identifies any performance or behavioral issues.

2.  Communicate performance expectations

3.  Demonstrates the consequences for failure to improve or meet expectations

Employee Warning Form 

Giving a Verbal Warning

General steps and basic guidelines to follow:

1. Fill out the Warning Form
2. Identify and discuss the performance or behavior concern in private.
3. Focus on the behavior or infraction and not the employee.  Communicate what has been observed.
4. Discuss and request improvement, within an agreed upon time constraint.  For Example, state that immediate and sustained improvement must be acheived over the next 30 days.  
5. Discuss the consequences and next actions taken if the expectations and plan for improvement are not met.  

Meeting with the employee

Sample Talking Points and Guidelines 

• "Thank you for meeting with me.."
• "I have asked you to meet with me because..."
• "We/I have observed the following...."
• Ask the employee for their comments on the matter
• Never argue or negotiate

Plan for Improvement

1.  Document and discuss the plan for improvement and the expectations that must be met.

2.  Options can include training, constructive feedback, and additional mentoring and development.

3.  Offer ways to improve work habits and behaviors

4.  Verbal Warnings should be documented and filed.  A oopy may be made and given to the employee at their request.  

A Written Warning is documented disciplinary action that observes performance issues and employee misconduct

Employee Warning Form

Purpose

• Provide notice to an employee that they are not meeting company or department expectations
•  Doucment possible disciplinary consequences or actions for failure to improve

Giving a Written Warning

• Has a Verbal Warning been given for a prior infraction and was this a repeat of that?  If yes, then a written warning is needed.  
• Identify and discuss the performance or behavior concern in private.
• Focus on the behavior or infraction and not the employee.  Communicate what has been observed.
• Discuss and request improvement, within an agreed upon time constraint.  For Example, immediate and sustained improvement must attained over the next 30 days.  
• Discuss the consequences and next actions taken if the expectations and plan for improvement are not met

Meeting with the employee

• A supervisor or manager conducting the meeting should have a 3rd person present as a witness.  This person would ideally be from HR.  The primary purpose of the 3rd person is to observe and take notes
• Discuss the warning, point by point
• Explain company/department expectations
• Discuss a plan for improvement (this should also be documented in the Written Warning form.  

• Discuss the consequences or actions that will be taken if the employee fails to meet the expectations.

• The Written Warning should be stored in the Employee's personnel file

Talking Points

• "Thank you for meeting with me.."

• "I have asked you to meet with me because..."

• "We/I have observed the following...."

• Ask the employee for their comments on the matter

• Never argue or negotiate

Signing the Written Warning Document

• The Supervisor, employee, and 3rd party should sign the document
• The Supervisor should explain that signing the document does not mean the employee is necessarily in agreement.  The signature acknowledges that the employee attended the meeting and understands the infraction, plan for improvement, and the potential consequences if there is no improvement.
• Give the employee a signed copy of the warning, whether they agree with the warning or not

If the Employee Refuses to Sign

• Supervisor should note that the "Employee Declined to Sign", using the signature space on the Warning Document
• Document the employees reason for not signing (if applicable)