Keeping effective HR records
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What to record when issuing a warning:
If you issue any form of warning, even a verbal one, you should confirm the details in writing to the employee and put a copy on file. This ensures that the employee is aware that they have received the warning, what it is for, and what improvements are required. You should also tell them how long it will remain on file and what the next steps may be if there is no improvement.
If you do not fully explain these details to the employee, you have not followed the minimum statutory procedures. As a result, any subsequent dismissal could be found to be unfair by an Employment Tribunal.
Warning letter should contain:
· Name and address of employee
· Date of the meeting
· What level of warning you issued and on what grounds (reference the company handbook if relevant)
· The required improvements and the timeframe for those improvements
· Any training or support you will give
· How long the warning will remain on file
· The consequences if the individual fails to improve their conduct or performance, or repeats the same issues
What to record at performance discussions:
When an employee’s performance is unacceptable, many employers immediately start at the level of disciplinary action. However, this does not comply with statutory procedures which require an informal conversation as a first step before you can take any formal disciplinary action.
This conversation should set out exactly what the employee’s deficiencies are and what support or training you will provide to help them reach the required standard. You should also give the employee a date when you will review the situation.
Make a note of the conversation in a diary (it does not have to be verbatim) or in the employee’s file. Follow up with an informal letter to the employee confirming the discussion and what was agreed.
The note on file and letter should contain:
· Date and time of the discussion
· What the performance issues are
· What was agreed at the meeting
· Any training or support that was agreed and when that will happen
· When you will review the employee’s performance
