A Memorandum and a Notice to Explain are not automatically the same thing. In labor discipline, the safer approach is to treat a Notice to Explain as the first written notice used when management is investigating an alleged violation that may lead to disciplinary action, especially termination.
What a Notice to Explain Is For
A Notice to Explain is used when management needs the employee’s written explanation regarding a reported incident, possible misconduct, policy violation, neglect, insubordination, attendance issue, or similar offense. It is the cleaner and safer document when the matter may later support a suspension or dismissal decision.
What a Memorandum Is Usually For
A Memorandum is a broader management document. It may be used for reminders, directives, policy communication, coaching notes, administrative instructions, clarifications, and documented reminders. While some workplaces use memoranda in disciplinary contexts, the safer practice is not to rely on a generic memorandum when the issue may escalate into formal disciplinary action.
Simple Rule
Use a Memorandum When
- management is issuing a reminder about attendance, reporting lines, deadlines, or office rules
- the document is communicating a directive or instruction
- the concern is minor and management is documenting coaching or reminding the employee of expectations
- the company is clarifying a process, policy, schedule, or operational requirement
- the purpose is not yet to require a formal written explanation on a specific charge
Use a Notice to Explain When
- there is an alleged violation of company policy or code of conduct
- there is a reported incident that may result in discipline
- management needs the employee’s written side before deciding what action to take
- the issue involves possible misconduct, gross neglect, insubordination, attendance offenses, or other chargeable acts
- the company needs to start formal disciplinary documentation properly
Why Using the Wrong Document Creates Risk
A common mistake is using a vague memorandum for a serious matter, then later trying to rely on it as if it were the first disciplinary notice. That creates risk because the document may be too generic, too unclear, or too soft to support proper due process documentation.
A Practical Comparison
Memorandum
Purpose: communicate, remind, direct, document, or coach
Tone: management instruction or documented reminder
Best used for: policy reminders, minor concerns, process compliance, administrative directions
Notice to Explain
Purpose: require the employee to answer a specific alleged offense
Tone: formal disciplinary due process
Best used for: documented incidents, policy violations, misconduct allegations, attendance offenses, matters that may lead to sanctions
What a Proper Notice to Explain Should Contain
- employee name
- date of issuance
- specific incident or charge
- relevant dates, time, place, and facts
- policy or rule allegedly violated, if applicable
- instruction to submit a written explanation
- deadline for response
- notice of conference or hearing, if management will hold one
Common Mistakes
- using a vague memorandum for a serious offense
- failing to state the actual acts or omissions complained of
- not identifying the dates or incidents clearly
- using emotional or accusatory wording instead of factual language
- skipping the opportunity to explain
- assuming that a warning memo is enough for a serious disciplinary first notice
Bottom Line
A Memorandum is a broad management document. A Notice to Explain is the safer disciplinary document when management is asking for the employee’s formal written explanation on a specific offense that may lead to sanctions. If the matter can escalate, use the NTE format and make the allegations specific, factual, and timely.
This guide is for general informational use only. Actual disciplinary documentation should be reviewed against company policy, the facts of the case, and applicable legal requirements.