Writing a Formal Warning Letter (UK)

Note: Want to skip the guide and go straight to the free templates? No problem - scroll to the bottom.
Also note: This is not legal advice.

Introduction

Formal warning letters are a crucial part of managing employees, helping to ensure they comply with workplace regulations. Writing an effective and professional letter is essential in communicating expectations and providing clear direction that failure to meet these expectations will lead to disciplinary action. It also serves as a safeguard for employers in the event of potential legal disputes.

At Genie AI, we understand the importance of crafting meaningful formal warning letters and how this can help protect both employers and employees. To create an effective letter, there must be a clear statement of expectations outlined within it, as well as instructions on how the employee may appeal against the warning. The language must also be tailored to suit individual circumstances; for example when disciplining someone for misconduct, details of the misconduct should be included along with potential consequences and an opportunity for the employee to respond before any action is taken.

It is also vital that any disciplinary process adheres strictly to applicable laws and codes of behaviour, which formal warning letters can help achieve by informing all parties involved what is expected from them - laying out rights and responsibilities in plain language helps lessen potential risks associated with legal challenges.

By taking into account these tips when crafting your own formal warning letter you can ensure it meets both professional standards and protects your interests as an employer or manager. To make this process even easier Genie AI has created free templates available in our open source legal template library – you don’t need an account – just take a look today for step-by-step guidance on creating effective documents!

Definitions (feel free to skip)

Salutation: A greeting at the beginning of a letter.
Cite: To refer to a source of information.
Suspension: A temporary removal from an activity or position.
Terminate: To end something permanently.
Double-check: To check something again to make sure it is correct.
Certified mail: A mail delivery service that requires the recipient to sign a delivery receipt.
Secure: Protected from harm or interference.
Confidential: Private and not to be shared with others.

Contents

• Establish the purpose of the letter and ensure that it is clear and professional
• Identify the recipient of the letter
• Include a professional salutation
• Explain the reasons for the warning and provide any relevant evidence or documentation
• State clearly why the warning is being issued
• Cite any relevant evidence or documentation
• Explain the consequences of not following the warning and the action that will be taken if it is not followed
• Clearly state the potential consequences if the warning is not followed
• Explain the action that will be taken if the warning is not followed
• Describe the steps that can be taken to ensure that the warning is followed and any help that is available
• Outline the steps that the recipient can take to follow the warning
• Explain any help or resources that are available to aid in following the warning
• Use a clear and concise writing style
• Avoid complex or unfamiliar words
• Double-check for spelling and grammar errors
• Ensure that the letter is signed and dated, and a copy is kept
• Sign the letter with a signature and include the date
• Keep a copy of the letter for future reference
• Follow up the warning with a meeting or further communication to discuss the warning and any further steps that are necessary
• Set up a meeting or other form of communication to discuss the warning and any additional steps that may be necessary
• Provide the recipient with any relevant information or resources that may be helpful
• Maintain a positive and professional tone throughout
• Avoid aggressive or accusatory language
• Speak from a position of understanding and empathy
• End the letter with a formal closing
• Include a professional closing, such as “Sincerely,”
• Use a reliable method to send the letter, such as certified mail or email
• Ensure that the letter is sent to the correct address
• Use a secure and confidential method of delivery to protect the recipient’s privacy

Get started

Establish the purpose of the letter and ensure that it is clear and professional

• Read the company’s HR policy to ensure that the letter is in line with the rules
• Make sure the letter is clear and direct, and contains the facts related to the incident
• Outline the behaviour that is causing concern and the areas that need to be addressed
• Identify the consequences of not changing the behaviour
• Make sure the letter is polite and professional in its tone
• When you have established the purpose of the letter and ensured it is clear and professional, you can move on to the next step.

Identify the recipient of the letter

• Check the employee file to determine the full name of the employee and their current job title
• Identify the employee’s mailing address
• Ensure that the recipient’s name, job title, and address are included on the letter to avoid any confusion
• Check that the information is accurate and up-to-date
• Once you have the correct information, you can move on to the next step of including a professional salutation

Include a professional salutation

• Begin the letter with the recipient’s name, title, and address
• Include a polite and professional salutation such as ““Dear [Name]””
• Make sure the salutation is appropriate for the level of formality you’re going for
• Check that the salutation is correct and comes before the explanation of the purpose of the letter
• When you’re done, you’ll have a professional salutation that sets the tone for the rest of the letter.

Explain the reasons for the warning and provide any relevant evidence or documentation

• Clearly outline the reasons for issuing the warning, including any relevant evidence or documentation
• If a performance issue is the reason for the warning, provide examples of work or behavior that show the employee is not meeting expectations
• If the warning is being issued for a breach of company policy, explain which policy was breached and provide supporting documentation, such as a signed agreement or policy manual
• Explain the consequences for non-compliance of the warning
• Make sure the employee understands why the warning is being issued and the seriousness of the situation
• When you have completed this step, check that you have provided clear, detailed reasons for the warning and supporting evidence and documentation. If so, you can move on to the next step.

State clearly why the warning is being issued

• Make sure to state the reason for the warning in a clear and direct manner
• Explain exactly why the employee’s behavior or performance has not been satisfactory
• Include details about the policy or procedure which has been violated
• Provide evidence or documentation to support the reason for the warning
• When the reason for the warning has been clearly stated, you can move on to the next step.

Cite any relevant evidence or documentation

• Refer to any evidence or documentation that you have.
• This could include records of any previous warnings, disciplinary action, absenteeism, or performance reviews.
• Any relevant evidence should be attached to the formal warning letter.
• Make sure to cite any evidence accurately, including the date and time.
• Once you have cited any relevant evidence, you can move on to the next step.

Explain the consequences of not following the warning and the action that will be taken if it is not followed

• Clearly outline the consequences of not following the warning and the action that will be taken if it is not followed. This could include disciplinary action such as suspension or dismissal, or additional training or a warning.
• Explain the seriousness of the situation and why the warning is being issued.
• Let the employee know that this warning is being issued in order to protect the interests of the organization.
• Explain the timeline for any potential consequences.
• Clearly state that the employee has the right to appeal the warning.

You will know you can check this off your list and move on to the next step when you have clearly outlined the consequences of not following the warning and the action that will be taken if it is not followed.

Clearly state the potential consequences if the warning is not followed

• Clearly state the potential consequences of not following the warning in the letter
• This should be done in a straightforward manner and be as specific as possible
• This should include details on potential disciplinary action, such as suspension, dismissal or other sanctions
• Make sure to include a timeframe for when the impact of the disciplinary action will be felt
• Once you have clearly stated the potential consequences, the letter writing process for this step is complete

Explain the action that will be taken if the warning is not followed

• Clearly state what action will be taken if the warning is not followed, such as disciplinary action, suspension, or termination
• Explain that this is the final warning and that the employee is not allowed to repeat the same behaviour again
• Specify the timeline for when the warning should be followed
• Outline any further action that may be taken if the warning is not followed, such as suspension, termination, or legal action

Describe the steps that can be taken to ensure that the warning is followed and any help that is available

• Make sure the recipient understands the warning and their obligations by providing clear and detailed instructions.
• Monitor the recipient’s progress and continue to provide guidance and support when necessary.
• Set a timeline and expectations for when the recipient should have taken corrective action.
• Review the warning letter a few days after it has been issued to ensure it has been followed.
• Contact the recipient if there is no response or progress being made.
• Document any conversations and progress made.
• Offer any additional resources or support to help the recipient meet the expectations set out in the warning.
• Consider further disciplinary action, such as suspension or dismissal, if the warning is not followed.

How you’ll know when you can check this off your list and move on to the next step:

• You will know when you can move on to the next step when the recipient has taken corrective action or when the timeline for corrective action has passed without any progress, and further disciplinary action has been considered.

Outline the steps that the recipient can take to follow the warning

• Follow the rules or regulations outlined in the warning letter
• Take any corrective action that is requested in the letter
• Seek guidance from their supervisor or manager if needed
• Keep a record of all actions taken to comply with the warning
• Attend any meetings or training sessions that have been requested in the warning letter
• Monitor their performance to ensure that the same issue does not recur in the future
• Contact their employer if they have any questions or require further assistance
• Once all steps have been taken, the recipient can demonstrate that they have complied with the warning.

Explain any help or resources that are available to aid in following the warning

• Outline any relevant policies or documents that the recipient can refer to
• Offer any additional support, such as guidance from HR or additional training
• Make sure to state any available resources that could be used to resolve the issue, such as a coaching program or a mentor

Use a clear and concise writing style

• Use simple language that is easy to understand
• Keep sentences short and make sure they are linked logically
• Avoid using jargon or long technical terms
• When referencing documents or policies, include the relevant details
• Check for typos, spelling errors, and grammar mistakes
• When finished, read the letter aloud to make sure it is clear
• Once you are satisfied with the letter, you can move on to the next step.

Avoid complex or unfamiliar words

• Read through the entire letter to make sure all words are used correctly and are understood by the reader
• Make sure the language used is clear and direct, but not overly formal
• When possible, use simple, familiar words to make the letter easier to read and understand
• Check that the words used are appropriate for the intended reader
• When you are confident that the words used are appropriate and understandable, you can move on to the next step.

Double-check for spelling and grammar errors

• Read through the letter slowly, checking for any spelling or grammar errors
• Utilize a spellchecker to proofread the letter
• Have someone else review the letter for errors
• Once all errors are corrected, you can move on to ensuring that the letter is signed and dated, and a copy is kept.

Ensure that the letter is signed and dated, and a copy is kept

• Sign the letter with a signature
• Add the date to the bottom of the letter
• Make a copy of the letter for your records
• Once you have signed and dated the letter, and keep a copy of it, the step is complete.

Sign the letter with a signature and include the date

• Sign the letter in black ink at the bottom of the page
• Include the date next to the signature
• You will know you have completed this step when the letter is signed and dated

Keep a copy of the letter for future reference

• Make a copy of the letter before sending it out.
• Keep the copy for future reference, such as for record-keeping purposes.
• When you have the copy saved, you can move on to follow up the warning with a meeting or further communication.

Follow up the warning with a meeting or further communication to discuss the warning and any further steps that are necessary

• Schedule a meeting with the employee to discuss the warning and any additional steps that may be necessary
• Ensure that the meeting takes place in an appropriate setting and that there is an appropriate witness present
• Make sure that the employee is aware of the purpose of the meeting and the potential implications of the warning letter
• Explain the warning letter to the employee and the potential consequences of not following the terms of the warning
• Listen to the employee’s comments and take any relevant points into consideration
• Record the conversation and any action points that have been agreed upon
• Check that the employee has understood the implications of the warning letter, and have them sign a record of the meeting
• Make sure that the employee is aware of the next steps and any further support they can access
• When you have finished the meeting, you can check off this step and move on to the next step.

Set up a meeting or other form of communication to discuss the warning and any additional steps that may be necessary

• Schedule a meeting with the recipient either in person or via a video call, to discuss the warning and any further steps that are necessary
• Ask the recipient to confirm their availability for the meeting
• Send a reminder to the recipient prior to the meeting
• Ensure that the recipient is aware of the purpose of the meeting, and that they have the necessary information to prepare
• After the meeting, confirm that all necessary steps have been discussed and agreed upon
• Once the meeting has been completed, you can check this step off your list and move on to the next step.

Provide the recipient with any relevant information or resources that may be helpful

• Make sure the recipient has a copy of the company’s disciplinary procedures or policy.
• Provide the recipient with any relevant company documents that could be useful in understanding their situation.
• Offer any additional resources that could be helpful in addressing the issue, such as training or guidance.
• Make sure the recipient has a clear understanding of their role, the expectations, and any relevant deadlines.
• When the recipient has been provided with all necessary information and resources, you can check this step off your list and move on to the next step.

Maintain a positive and professional tone throughout

• Use a polite and respectful tone throughout the letter
• Use language that is both clear and concise
• Focus on the facts and avoid any personal opinions or judgments
• Refrain from using overly technical language or jargon
• Stick to the point and do not over-explain

Once you have written the letter, read it through and make sure it is professional and courteous. If you feel it is appropriate, you can check this off your list and move on to the next step.

Avoid aggressive or accusatory language

• Avoid using language that would be seen as aggressive, such as shouting, or making accusations.
• Use neutral and factual language, and avoid making any personal attacks.
• Keep the language professional and constructive.
• Avoid making any assumptions.
• Make sure that your language is clear and unambiguous.
• How you’ll know when you can check this off your list and move on to the next step: you will know when you have successfully avoided using aggressive or accusatory language by re-reading your letter for any language that could be seen as aggressive or accusatory. If you have not used any language that could be seen as aggressive or accusatory, then you can move on to the next step.

Speak from a position of understanding and empathy

• Use respectful language when expressing your concerns
• Acknowledge that the employee may not be aware of the situation or what they have done wrong
• Explain the consequences of not following the rules
• Remain professional and courteous throughout
• When you are done expressing your understanding and empathy, you can move on to the next step.

End the letter with a formal closing

• Sign your name at the end of the letter.
• Make sure that your signature is legible.
• Include a professional closing, such as “Sincerely,” directly above your signature.
• Re-read the letter to make sure that you have included all the relevant information.
• When you are sure the letter is complete, put it in an envelope and mail it.

You’ll know you can check this off your list and move on to the next step when you have signed your name and included a professional closing, such as “Sincerely,” directly above your signature.

Include a professional closing, such as “Sincerely,”

• Choose a suitable closing phrase such as “Sincerely”
• Sign off with your name, title and contact details
• Check over your letter to ensure that everything is correct
• Once you have completed this step, you can move on to the next step of using a reliable method to send the letter.

Use a reliable method to send the letter, such as certified mail or email

• Ensure that the letter is sent via a secure, reliable method such as certified mail or email
• Consider using a tracking service to make sure that your letter arrives, or to confirm that it has been read
• Make sure that you have a copy of the letter for your records
• When the letter is sent, you can check this step off your list and move on to the next step.

Ensure that the letter is sent to the correct address

• Check the employee’s contract to confirm their official address on record
• Make sure you have the correct spelling of their name and address
• Verify that the employee is still working at the same address
• If not, contact their HR department to obtain the correct address
• Once you have verified the address, you can move on to the next step.

Use a secure and confidential method of delivery to protect the recipient’s privacy

• Choose a delivery method that is confidential, such as registered mail or a courier service
• Ensure the package is clearly marked as confidential
• Check that the recipient’s address is correct and up to date
• Send the letter and retain proof of delivery
• Once you have proof of delivery, you can move on to the next step in the guide

FAQ:

Q: What is the main difference between writing a formal warning letter in the UK, US, and EU?

Asked by Tyler on April 5th, 2022
A: Writing a formal warning letter in the UK is a relatively straightforward process. The main difference between writing a formal warning letter in the UK and other jurisdictions is the legal framework in which it must be written. In the UK, a formal warning letter should be written under the Employment Rights Act 1996. In the US, most states have their own set of laws regarding the process of issuing a formal warning letter. Additionally, certain aspects of the warning letter’s content may vary between states. In the EU, there are several directives that regulate different aspects of writing formal warnings, such as the Directive on Working Conditions and Minimum Wage. It is important to note that each jurisdiction has its own rules and regulations when it comes to writing a formal warning letter, so it is important to research these rules before writing one.

Q: Is it legally required to issue a formal warning letter in all cases?

Asked by Emily on October 8th, 2022
A: No, it is not legally required to issue a formal warning letter in all cases. Generally speaking, issuing a formal warning letter is seen as an appropriate step for employers to take when addressing issues with employee behaviour or performance. However, depending on the situation and specific circumstances, other methods may be more appropriate. For example, if an employee has only made one minor mistake or breach of policy, then a verbal warning may be sufficient. Similarly, if an employee’s behaviour poses an immediate risk to themselves or others then taking disciplinary action may be necessary without issuing a formal warning letter first. As such, each case should be considered on its own merits and employers should use their judgement when deciding whether or not to issue a formal warning letter.

Q: How long should I keep records of issued formal warning letters?

Asked by Jacob on August 22nd, 2022
A: It is important to keep records of issued formal warning letters as they can help employers to track any progress that has been made following discipline action being taken. Generally speaking, records should be kept for at least one year from when the final written response was received from the employee who was issued with the formal warning letter. This is because if any further disciplinary action needs to be taken at a later date then having records from previous incidents can be beneficial in helping to assess whether or not further action is necessary. Additionally, some employers may have specific policies or legal requirements in place which require them to keep records for longer than one year and this should be taken into consideration when deciding how long records need to be kept for.

Q: What happens if an employee fails to respond to a written formal warning?

Asked by Noah on January 10th, 2022
A: If an employee fails to respond to a written formal warning then this can have serious implications for their employment status. Firstly, failing to respond suggests that they do not take the situation seriously and this can create serious issues with trust between employer and employee. Secondly, if they continue to fail to respond then it could result in them being dismissed from their job without notice due to gross misconduct; this would depend on the exact circumstances of their failure to respond as well as any other relevant factors such as past warnings and performance issues. In some cases employers may choose not to pursue disciplinary action and instead provide further support and guidance; however again this would depend on individual circumstances and employers need use their judgement when deciding how best to proceed in these situations.

Q: How do I ensure that I am following all relevant laws when writing a formal warning letter?

Asked by Emma on March 13th, 2022
A: One of the most important things you can do when writing a formal warning letter is ensure that you are following all relevant laws and regulations; this will help you ensure that your actions are legally valid and that you are protecting yourself against any potential legal disputes down the line. To do this you should firstly research any relevant laws or regulations that apply in your jurisdiction; for example in many countries there are specific employment laws which will need to be taken into account when drafting your letter. Additionally you should also consult with any relevant stakeholders such as HR advisors or legal professionals who can provide advice on how best to proceed; this will help you ensure that your actions comply with all relevant laws and regulations and prevent any potential issues arising at a later date.

Example dispute

Suing a Company for Issues Related to a Formal Warning Letter

• The plaintiff must be able to demonstrate that the company wrongfully issued the warning letter and that it caused the plaintiff harm.
• The plaintiff must show that the company failed to follow relevant laws and regulations, such as those related to labor law or discrimination.
• The plaintiff must provide evidence of the harm caused, such as lost wages or emotional distress.
• The plaintiff may be able to reach a settlement with the company before the lawsuit goes to court.
• If the court finds in favor of the plaintiff, they may be entitled to damages, such as lost wages, medical expenses, or punitive damages.
• The court may also require the company to take corrective action, such as reinstating the plaintiff or changing their policies.

Templates available (free to use)

Antitrust Warnings For Trade Association Meetings
Costs Warning Letter Employment Tribunal
Example Of An Upjohn Warning For Internal Investigations
Final Written Warning Misconduct
Final Written Warning Performance
First Written Warning Letter Misconduct
Letter Of Dismissal After Previous Warnings
Letter To Employee For A Final Written Warning For Poor Performance
Letter To Employee For A Formal Verbal Warning For Misconduct
Motion Sanctions Under Frcp 11 Safe Harbor Warning Letter
Possible Redundancy Letter Warning To Employees
Pre Interview Garrity Warning
Verbal Warning Confirmation Letter Capability
Warning Letter Tortious Interference
Warning Notice To Tenant Of Commercial Tenancy Surrender Agreement

‍