When workplace investigations conclude with findings that highlight an employee’s need for corrective action, a formal warning can be an effective way to address the issue without resorting to termination. Issuing a formal warning involves careful preparation, clear communication, and proper documentation to ensure fairness and compliance.

In this 10-step guide, we’ll discuss how to issue a formal warning after a workplace investigation, along with best practices for HR pros to handle this sensitive process.

What is a formal warning?

A formal warning is a documented notice given to an employee by their employer or manager to address performance or behavior issues that don’t meet the company’s standards. It serves as a structured way to communicate that the employee’s actions, conduct, or performance must improve to avoid further disciplinary actions, which could lead to more severe consequences like suspension or termination.

Formal warnings are typically part of a progressive discipline process, which may start with informal coaching or verbal warnings before escalating to formal written warnings if the issue persists.

How to issue a formal warning for employee misconduct

1. Understand the purpose of a formal warning.

A formal warning serves as a documented notice to an employee about their actions, behavior, or performance that were found to be problematic during an investigation. The goal is to provide a structured opportunity for the employee to improve or correct their actions, helping them align with company expectations while maintaining their position.

Formal warnings are most effective when they’re specific, measurable, and followed by actionable steps for improvement.

2. Gather and review evidence.

Before issuing a formal warning, make sure all relevant documentation from the investigation is organized and reviewed. This includes incident reports, witness statements, relevant policies, and any previous warnings or feedback given to the employee. Reviewing this information will allow you to clearly communicate why the formal warning is being issued and tie it back to documented findings, which is crucial for ensuring objectivity and fairness.

3. Prep the warning document.

A formal warning should be a written document that includes specific details to avoid ambiguity and provide a clear path for the employee. A well-crafted warning document should include:

  • Details of the incident or behavior: Describe the actions or behaviors that were problematic, citing specific examples from the investigation.
  • Relevant policy violations: Reference any policies that were violated, providing a foundation for the warning based on established company rules.
  • Expected improvements: Outline the specific changes or improvements expected from the employee, setting clear and realistic standards.
  • Consequences of non-compliance: Explain the potential consequences if the employee fails to improve, which could include additional warnings, suspension, or termination.
  • Resources for support: Offer information on support resources, such as training programs, mentorship, or counseling services, which can help the employee meet expectations.

4. Schedule a private meeting with the employee.

Issuing a formal warning should always be done in a private, one-on-one meeting with the employee. This setting allows the employee to absorb the information without feeling judged by peers and creates a safe environment for an open discussion.

For transparency and legal compliance, it may be helpful to have a third-party HR representative or supervisor present during the meeting as well.

5. Communicate the warning clearly, with compassion.

During the meeting, you should state the reason for the warning, referring to the document prepared and using straightforward language. It’s essential to maintain a balanced tone — firm but understanding — showing that the company values the employee’s contribution and is invested in their success.

Encourage the employee to ask questions and express any concerns they may have. Listening to their side can help you understand any additional context or factors that may have influenced their behavior, showing that the company is both fair and empathetic.

6. Outline next steps.

Once the warning has been issued, outline the next steps for the employee to take in order to improve. This can include attending specific training, checking in with their manager regularly, or completing a performance improvement plan (PIP). Setting a timeline for follow-up meetings or progress reviews is helpful to monitor their improvement.

For instance, you might schedule a 30-day check-in to discuss their progress, addressing any challenges they face and offering further guidance as needed.

7. Document, document, document.

Accurate and thorough documentation is critical. After the meeting, record the details of the discussion, including any questions the employee raised, and have the employee sign the formal warning to acknowledge they received it (even if they do not agree with the content).

Documenting this process protects the organization if further disciplinary actions become necessary and demonstrates that HR followed a fair, systematic approach.

8. Maintain confidentiality.

Treat the formal warning and any investigation details with strict confidentiality. Only those who are directly involved or need to know, such as relevant managers or HR personnel, should be informed. This respect for privacy fosters trust and helps to protect the employee’s reputation within the company.

9. Monitor progress and give feedback.

After issuing a formal warning, HR should check in regularly with the employee’s supervisor or directly with the employee if appropriate. By monitoring their progress and providing constructive feedback, HR reinforces that the warning is an opportunity for growth, not simply a disciplinary action. Consistent follow-up can also reveal whether additional support or guidance is needed to help the employee meet expectations.

10. Evaluate for future action, if necessary.

If the employee shows consistent improvement, acknowledge and reward their efforts to reinforce positive behavior. However, if they continue to struggle or fail to meet expectations, further disciplinary actions — such as another warning, suspension, or even termination — may be necessary. Clear documentation and follow-up throughout this process provide a strong basis for any future decisions.

The bottom line

Issuing a formal warning is a step that balances accountability with opportunity. By following a structured approach, HR professionals can handle this process professionally and compassionately, reinforcing company standards while supporting the employee’s chance to improve. A fair, transparent, and well-documented warning process not only ensures compliance but also helps to maintain a positive workplace culture focused on growth and responsibility.