Fill online: Letter of caution and final warning, performance or conduct

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Name of the Company

Fills 4 places in the document.

Date of the letter of caution

Reference number of the letter of caution

Name of the employee

Fills 6 places in the document.

Designation of the employee

Employee code

Department of the employee

The standard expected, with its source, e.g. goal 2 of the appraisal record or the job description

Date or period of the shortfall

Describe the shortfall specifically: what was expected, what was done, and the effect

Date of the incident

Place of the incident

Describe the act or omission specifically

Clause of the code of conduct, standing orders or policy concerned

Quote or summarise the requirement

Date of the discussion with the employee

Name and designation of the person who held the discussion

Summary of what the employee said

The improvement or conduct expected

Date from which the improvement is expected

Support offered, if any, e.g. refresher training on the expense policy

The certified standing orders / the Model Standing Orders 2026 / the code of conduct

Five

Name of the issuing manager

Designation of the issuing manager

Date of the notice calling for explanation

Reference number of the notice calling for explanation

Short description of the lapse

Each lapse stated separately: when and where, what was done or omitted, and the provision of the code of conduct, standing orders or policy concerned

Nature of the earlier lapse

Date of the earlier letter of caution

List of documents relied on, e.g. attendance extract for the period and the e-mails concerned

Place and time for inspection of documents

Seven (1)

Date of the final warning

Reference number of the final warning

Your written explanation was received / No explanation was received in time

You were also heard in person / You did not ask to be heard in person

Address each point the employee raised, and say why it is accepted or not accepted

The evidence relied on

The lapse found established

Twelve (1)

Twelve (2)

Appellate authority

Seven (2)

Name and designation of the authority issuing the warning

Letter of caution / notice calling for explanation / final warning

Date of the letter received

Reference number of the letter received

Date of receipt by the employee

I accept the letter / I do not accept the letter / I accept part of the letter

Employee's explanation or reply

Documents relied on by the employee

Request / do not request

Wish / do not wish

Name of the accompanying colleague, if any

Date of the employee's reply

Place where the letter was tendered

Date and time when the letter was tendered

Name and designation of the person tendering the letter

Refused to accept it / accepted it but refused to sign the acknowledgement

What the employee said, if anything

Date of dispatch

Speed post with proof of delivery / registered post with acknowledgement due

Employee's e-mail address on record

Name and designation of the witness

Date, row 1

Ref., row 1

Employee code, row 1

Caution / Final warning (1)

Performance / Conduct (1)

Explanation called for on, row 1

Reply received on, row 1

Current until, row 1

Issued by, row 1

Appeal and outcome, row 1

Date, row 2

Ref., row 2

Employee code, row 2

Caution / Final warning (2)

Performance / Conduct (2)

Explanation called for on, row 2

Reply received on, row 2

Current until, row 2

Issued by, row 2

Appeal and outcome, row 2

Date, row 3

Ref., row 3

Employee code, row 3

Caution / Final warning (3)

Performance / Conduct (3)

Explanation called for on, row 3

Reply received on, row 3

Current until, row 3

Issued by, row 3

Appeal and outcome, row 3

Date, row 4

Ref., row 4

Employee code, row 4

Caution / Final warning (4)

Performance / Conduct (4)

Explanation called for on, row 4

Reply received on, row 4

Current until, row 4

Issued by, row 4

Appeal and outcome, row 4

Choose the right instrument before drafting. A letter of caution records advice and needs no explanation to be called for first. A final warning places a finding on the employee's record, so the employee's explanation must be called for and considered before it issues (Part 2 and Part 3). Check the certified standing orders of the establishment, or the Model Standing Orders 2026 where they apply, or the service rules: if "warning" or "censure" is listed there as a punishment, Part 2 is mandatory and any further procedure the instrument prescribes for minor punishments must also be followed. A warning that was not properly imposed cannot later be relied on to justify a heavier penalty.

Situation	Use
First or minor lapse in performance or conduct; no penalty intended	Part 1, letter of caution
Repeated lapse after a caution, or a lapse of moderate seriousness to be placed on record	Part 2, notice calling for explanation, then Part 3, final warning
Shortfall in capability that needs targets, support and reviews	The performance improvement plan in this pack
Serious misconduct: theft, fraud, violence, wilful insubordination, serious breach of data security, prolonged unauthorised absence; or any penalty beyond a warning (fine, withholding of increment, suspension, reduction in rank, dismissal)	The charge sheet, notice of inquiry and order of punishment in the Exit and IR formats, not this format
Allegation of sexual harassment	The Internal Committee under the POSH Act 2013 (POSH formats), not this format
A fine for an act or omission in the notice approved under s.19 of the Code on Wages 2019	The notice of intended deduction and the order imposing a fine in the Wage formats

Part 1 · Letter of caution

On the letterhead of [Name of the Company] · Private and confidential

Date: [Date of the letter of caution] · Ref.: [Reference number of the letter of caution]

To
[Name of the employee]
[Designation of the employee], Employee code [Employee code]
[Department of the employee]

Dear [Name of the employee],

Sub: Letter of caution

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