Practice Pointer: Clear. Concise. Compliant: The FACTS Behind an Effective Written Warning

April 24, 2025

For realtors, it is Location, Location, Location. For Human Resources, it is Documentation, Documentation, Documentation. Employee discipline and ongoing feedback are critical components of effective employee performance. Whether addressing misconduct or chronic underperformance, having a documented process is not just recommended—it’s essential. Employee discipline, especially when it leads to termination, should never be a surprise to the employee. Documentation, like written warnings, ensures a consistent process is followed and that employees are aware of their work performance or behavior issues before taking more serious corrective action.

Written Warnings vs. Performance Improvement Plans (PIPs)

First, to clarify, note that there is a difference between a written performance improvement plan, often referred to as a PIP, and an employee warning notice. A PIP is a structured tool that focuses on helping an employee improve performance by identifying areas of opportunity to reach specific goals within specified timelines. PIPs are used to provide support and guidance with the hope of improving work performance and long-term success. For example, an employee struggling with completing tasks on time might be placed on a 30-day PIP with specific goals and weekly check-ins.

An employee warning notice, more commonly referred to as a written warning, is a disciplinary action for unacceptable behavior or violations of company policy. Common workplace issues include inconsistent attendance, poor performance that has been addressed and is not improving, violation of company policies and procedures, or unprofessional and disruptive behavior. A written warning serves as a formal written warning and is more disciplinary than a PIP, which provides an opportunity for improvement through written performance metrics.

Stick to the FACTS

Written warnings are essential for addressing employee violations or poor performance. They serve as a tool for corrective action, document employer expectations, and are a key component of an effective performance management system. For a written warning to be clear, concise, and compliant, it should follow the FACTS method – Fair, Appropriate, Communicated, Timely, and Specific. This method provides a solid framework for creating effective written warnings:

1. Fair: Does the discipline align with company policies and practices?
2. Appropriate: Is the response (i.e., written warning letter) proportionate to the violation? Have similar issues been handled consistently?
3. Communicated: Is the disciplinary discussion documented in writing, and has the employee acknowledged receipt?
4. Timely: Is the written warning issued promptly after the incident to ensure relevance? Any delay could undermine its effectiveness.
5. Specific: Does the written warning clearly outline the behavior, events, and expected outcomes?

Using the FACTS method in your employee performance management process, specifically with written warnings, helps build a fair and transparent workplace. Most companies and managers find disciplinary conversations to be challenging, but with proper procedures in place, employee warnings don’t have to be so difficult.

Effective Written Warning Letters

A well-constructed written warning begins with the following key elements:

• Date of the written warning and the employee’s name
• Name and job title of the person issuing the written warning (often the direct supervisor of the employee)
• Type of discipline (e.g., first written warning, second written warning, final written warning), as well as a summary of any prior verbal warnings, written warnings, or PIPs that are related
• A detailed description of the incident(s) or employee’s actions, including specific dates, and reference to relevant company policies violated. It’s crucial to outline the expected employee performance improvements and deadlines for these changes. For example, “improved attendance is expected immediately.”
• The specific policy or procedure the employee violated

Avoid vague language and use specific facts. For example, “Over the past three weeks, John has missed multiple scheduled shifts without prior notice. This was addressed as a verbal warning on [date], when John was informed that attendance improvement was expected. John agreed to report to work for all scheduled shifts moving forward. Attached is a detailed list of dates missed, totaling [X] days over the last six months since [insert date].” The written warning letter must clearly communicate feedback so that the employee understands the consequences or potential consequences of their poor performance or actions.

If additional documentation, such as emails or client complaints, supports the performance deficiency outlined in the written warning letter, attach these documents for future reference. Include only relevant information that pertains to the current disciplinary issue. Ensure that your HR representative is involved in all communications and is provided with all relevant materials and the written warning for inclusion in the employee’s file. It is important that either the HR department or the employee’s manager delivering the written warning keep state-required employee file notification laws top of mind and inform the employee that these documents will be added to their record.

To underscore the seriousness of an employee written warning letter, employers should include a statement about potential future disciplinary action if the issue persists. For example, “If John continues to miss scheduled shifts without proper documentation in the next 30 days, further disciplinary action may be taken, up to and including termination.”

Where relevant, a brief explanation of how this behavior impacts the team, clients, or company as a whole can reinforce the need for improvement and increase the effectiveness of the written warning. Formal written warnings are crucial to effective performance management and are key to any performance management strategy.

What Not to Include in a Written Warning

While it is essential to ensure written warnings stick to the FACTS, employers should be cautious about what should not be included. Employers should avoid disciplinary action for employees who are exercising their employee rights. Examples of areas where caution and guidance from an employment or HR professional are needed before issuing a written warning include:

• Sick Leave: Avoid disciplining employees for taking sick leave protected under federal or state laws or for reasons covered by the Americans with Disabilities Act (ADA).
• Unionized Employees: If the employee in question is unionized, be aware of the collective bargaining requirements, such as strict timelines for issuing discipline and the right to have a union representative present during investigatory meetings if requested.

In the case of John’s absenteeism, it’s crucial to differentiate between protected sick leave and absenteeism that becomes excessive or violates company policies. While the company recognizes that John may need to take sick leave for legitimate reasons, excessive absenteeism may still warrant disciplinary action. Specifically, if John repeatedly fails to follow company policies for notifying supervisors of his absence or if a pattern of absenteeism is noticed, such as frequent absences on the day before or after a holiday, or every other Friday, disciplinary action may still be warranted.

Importance of Consistency in Employee Discipline

Let’s be clear: no one enjoys these difficult conversations. However, written warnings are essential for managing employee performance and ensuring consistency in disciplinary actions. Still, they won’t be effective if the organization does not have clear and consistent employee discipline procedures. By following the FACTS method—Fair, Appropriate, Communicated, Timely, and Specific—employers can ensure their written warnings are both effective and legally sound. When properly executed, written warning letters serve as an opportunity for corrective action and improvement, contributing to a more productive and compliant workforce and overall organizational success.

Effective goal setting, career development and planning, and annual reviews are essential components of a well-rounded performance management program. These elements foster improved communication and enhanced employee engagement. These measures set the tone to minimize the need for employee written warnings. However, understanding the purpose of written warnings and having a transparent disciplinary process is crucial for managing performance issues. Consistent, regular feedback and a clear company policy outlined in an employee handbook are the stepping stones of a successful performance management system.

If you have any questions about this Practice Pointer or want to learn more about our Virtual HR services and resources, including our written warning template, please email us.