Dinesh Divekar
Business Mentor, Consultant And Trainer
Umakanthan53
Labour Law & Hr Consultant
Saswatabanerjee
Partner - Risk Management
Rdsyadav
Educator, Management Consultant & Trainer
Korgaonkar K A
Ba,llb,mpm,dir&pm,dll&lw,d.cyber
+3 Others

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observation letters on the below following points,

1- Often ask for rest or sick leave because he has (diabetes), but this has negative effect on business.

2- Sometimes he shows aggressiveness and nervous reactions against his colleagues and management when we give him tasks.

3- He has been warned not to close his mobile because the emergency cases but he continues to do so.

4- He do not like to respond in emergency situations.

5- Always complain about the work in holidays and Fridays.

The management would like to draw your attention that it has been recorded a massive negligence to work your duties during the working hours.

Accordingly, this letter serves as Final Observation Letter Regarding the following points:

1) Often ask for rest or sick leaves (Considering the last Incident of obtaining (2) days off promising to present a sick leave report which never happened).

2) Your aggressiveness and nervous reactions against your colleagues and management.

3) You have been warned not to switch off your mobile due any to any Emergency cases.

However, you continue to do so.

4) You do not respond during Emergency situations.

5) Always complains about the wok during holidays.

6) Frequent traffic violations.

Accordingly, the Management decided to penalize you with (2 days)’ salary deduction and reserves the right for the further Disciplinary Action (including, Transfers to another Department or Termination), in the case of the above notes are not being improved within One Month Notice.

You are hereby warned to develop your performance and failure to do so shall invoke appropriate action.

Dear Aasia,

You have given list of the points on which you would like to issue warning letter to the employee. Nevertheless, question comes as to why these points were accumulated? Why he was not given warning letter earlier?

The second thing is about feedback to the employee in question. How many times he has been given one-on-one feedback? If feedback is given, then has written feedback been given as a follow-up?

If the one-on-one feedback is not given them I recommend doing so. While giving feedback in private, quote specific instances. In the written letter, the above points are acceptable.

Our objective is to correct the behaviour of the employee. Issue of negative discipline is fine but we have to maintain motivation level of the employee. If you issue warning letter directly, it could destroy the motivation level of the employee. Warning letters do not necessarily correct behaviour of the delinquent employee. As such warning letters just given satisfaction to the management. It is a part of the progressive discipline. It makes ground for the employers to take further tough action.

Earlier, I have given my reply on how to give feedback to the employee. Click the following link to refer it. My reply will come handy to you:

https://www.citehr.com/459788-how-in...-employee.html

Thanks,

Dinesh Divekar

Dear sir,

From your narration , it is understood that the person is habitual in adding one or other objectionable activity in his routine matters and he is a problem creator and management is not observing any improvement in his behaviour neither in performance.

The letter of punishment awarding salary deduction is not of any significance to such problem shooters. Firstly , your letter is not specifically charging the nature of incidences 1,2,3,,4...............as, occsionwise. Please narrate every incidence very specifically and finally with that what is impact noted by HODs / management.Your action should have aim of correction, letter of punishing authority to improve or be ready for termination from services making him to note that this is last chance to save job .He will straightway refuse the contents of your letter and all charges that all you wrote is baseless and he does all his routine assigned jobs as per his Boss's instruction and nothing has been hinted ever if that is true if at all there were any such things.

The communication language is also not that forceful. The letter awarding punishment/ warning should be very very precise and skillfully drafted so that delinquent employee is clear about management intention.

Last but not the least , before any such disciplinary action is taken, counseling is to be done and that should also be mentioned in any written communication with the employee.

Regards,

RDS Yadav

Director,

Future Instt. of Engg and Management Technology

and

Labour Law Advisor


Let's be legally correct. If warning letter is without conducting domestic enquiry, the same will be treated as void by court of law.
If words 'strict disciplinary action will be taken' should be avoided. It means that you have already decided about action before the incident has happened.

Dear Shrikant,

You have specified legal position. However, how far it is correct that I do not know. Legal experts will give their opinion on your post.

Warning letter is defined as a formal warning letter informs an employee of the reasons why his or her behaviour is unacceptable and, if it continues, may lead to the termination of the employee’s employment. Before an employee is given a warning letter, the employer should give the employee an opportunity to respond to the allegations of unacceptable conduct against him or her.

The definition says about giving opportunity to respond to the allegations of the unacceptable behaviour. However, this opportunity need not be Domestic Enquiry. Workers or supervisors make minor or major mistakes at their workplace. It could be intentional or unintentional. However, in such cases Managers call them and give them verbal warning. If there is no change in behaviour, the employee is sent to the HR department and issued with warning letter. In my previous post, I have written about the feedback.

Many misconducts are minor in nature and do not merit conducting domestic enquiry. Warning letters are issued for such misconduct and matter closed. However, for every misconduct how it is possible to conduct domestic enquiry? In that case, we need to have one enquiry department that is adjacent to production department or shop floor.

You have further written that words 'strict disciplinary action will be taken' should be avoided. It means that you have already decided about action before the incident has happened. But then I have seen usage of phrase like "strict disciplinary action" in discipline related correspondence of central and state governments.

As stated earlier, I request other seniors to give their opinions.

Thanks,

Dinesh Divekar

The normal practice in Disciplinary Process is either the HOD of the concerned Dept. sends a Complaint letter to HR Head recommending to initiate disciplinary action against his Dept.employee; based on which; the HRDept first issue a Show Cause Notice to him directing him to submit his written explanation within 48 hours. After receipt of his explanation by HRD, the same is referred to concerned HOD for his consideration & recommendation and based on HOD's recommendation; in case of Minor infraction, a Warning Memo is issued/served cautioning the employee not to repeat such Misconduct in future. & close the file. However; where the explanation is not satisfactory and merit higher punishment like cutting salary / Suspension, etc., an Enquiry tobe conducted & based on the outcome; & report of Enqiry Officer, the punishment will be decided, awarded.
30.x.16.

The intent and purpose of any disciplinary action is disciplining misconduct in such a manner that such misconduct does not recur in future. However, it is not necessary that every disciplinary action should end up in punishment of some kind or other so as to warrant all procedural formalities such as calling for explanation, framing of charges, institution of domestic enquiry, issuance of second show-cause notice to the delinquent employee and awarding of proportionate punishment.One should not forget the fact that at times charges of grave misconducts have to be simply dropped with mere warning for lack of evidence based on the idiom of no smoke without fire. But, " warning " per se is not a punishment but a firm intimation of the employer's disapproval of the particular action or inaction of the employee for which his explanation was called for and considered.Therefore, in my opinion, a letter of warning need not be issued after following all the procedures of a full-fledged disciplinary action. Besides, since " warning " is issued only after considering the reply of the delinquent and the mitigating circumstances, there is no harm in using strong phrases of caution and advice to the warned.
Dear Dinesh ji,

Thank you very much for inviting my comments in this thread.

What SHRIKANT_PRA said in his post #4 that If warning letter is issued without conducting domestic enquiry, the same will be treated as void by court of law, has no base and hence wrong. If he has any case law on it, he is requested to provide it here.

In fact, certain misconduct of non-conforming behavior in nature can be tackled in many ways such as counseling, warning, etc. In extreme cases such as, criminal breach of trust, theft, fraud, etc. the employer has to initiate action against the delinquent employee by conducting domestic enquiry. It is totally wrong to say that no warning letter be issued without domestic enquiry.

In your post # 2 you have rightly said that issue of warning letter makes ground for the employers to take further tough action. In your post # 4 you once again made it clear rightly that misconducts of minor in nature do not merit conducting domestic enquiry. Warning letters are issued for such misconduct and matter is closed. Cent percent you are correct in it.

If I am not mistaken and having remembering, IE(SO) Act states that no enquiry shall be necessary to administrator a warning or fine (I am not sure).

Warning per se is not a punishment but a firm intimation of the employer's disapproval of the particular action or inaction of the employee as stated by Umakanthan ji. Warning may also be out of punishment on the out come of domestic enquiry. Generally warning letter is not challenged in court of law.

I agree with the learned Sr.Members Shri M Umakanthan & Also Shri Korgaonkar on the issue of issuing Warning Memo without first serving Show Cause Notice.
There were instances where HR Managers were rebuked when the delinquent refused to receive Warning Memo before first serving Show Cause Notice and thereby giving the delinquent an opportunity to know the charges & appropriately submit his explanation.
To avoid such refusal and consequent situation; safer to issue Show Cause Notice first & direct him to submit his explanation. However, it is not a must in all cases; as rightly pointed out by Senior Members but on a case to case depending upon the merit of each case.
Since IR is a sensitive issue; care tobe taken to maintain harmonious relation for all Disciplinary action. The HR Manager has to tactfully deal with such situation.
Thanks to Sr.Members for enlightening on the issue.
c.neyimkhan 31.x.16

While the original poster has not responded, i noticed that post says the employee protests against working on friday, which indicates that the employee is in the gulf region.
Therefore, the ID act and other laws related to domestic enquiry does not apply to this incident.

This discussion thread is closed. If you want to continue this discussion or have a follow up question, please post it on the network.
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