Employee Refuses to Accept Warning Letter: How Should We Handle This?

Dear All,

Please suggest the way how to issue a warning letter to the employee while he is denying to accept the same.

Thank you.

Dear Anubhav,

It is mandatory for each employee to receive the official communication that is issued to him/her. Refusing to accept the official communication is "misconduct." However, for refusal to accept the warning letter, you cannot issue a second warning letter. What if the employee refuses to accept this warning letter also? Will you issue a third warning letter? This cycle of issuing a warning letter and refusal has to be nipped in the bud right away.

I recommend suspending the employee immediately and issuing a show cause notice for refusal to accept the warning letter. If he refuses to accept the show cause notice also, then let the suspension continue and order a domestic inquiry. Based on the findings of the Inquiry Report, you may take the appropriate action, possibly termination.

However, before following these steps of progressive discipline, I need to ask whether you have approved and certified Standing Orders? If the Standing Orders are not well in place, have you communicated to the employees that refusal to accept the official communication is also misconduct? Even if the certified Standing Orders are well in place, do the employees know that these are binding to them?

Above all, do you have sufficient evidence based on which the employee was issued the warning letter? Is it because HR received the call from the HOD and HR jumped the guns? Have you investigated the matter thoroughly? When an employee refuses to accept the warning letter, this shows that his perceptions about the alleged misconduct are different. Why is this so? Are you consistent in handling the indiscipline of the employees? Did you let off a few defaulters earlier but suddenly started invoking the rule of discipline?

There are so many questions associated with your post, gentleman. Therefore, please give complete information.

Thanks,

Dinesh Divekar

If he is not accepting any letter by hand, you can send it through registered post with an acknowledgment card and take action. This is the alternate solution for these types of issues.

Thanks,

Legal Framework for Employee Conduct

Every organization needs to have its legal framework in relation to employees in place. Standing orders and a code of conduct for employees should be framed and made known to all employees.

Issuing Warning Letters

Warning letters are normally the end product of an investigation or inquiry where the employee would have been given a chance to present their side. Once this process has been completed and the authority has decided to issue a warning letter to document the conduct of the employee, refusal to receive the same becomes further misconduct.

Sending the warning letter by speed post or registered post is an option that can be considered, as even if it is refused upon delivery, it is legally sufficient to document the fact that the employee has been warned.

Dear Mr. Anubhav,

If your standing orders permit, please display the warning letter with an endorsement stating that the workman had refused to receive it. Therefore, the same is being displayed on the notice board as per the standing orders.

Regards,
N. Nataraajhan,
Sakthi Management Services
HP: +91 94835 17402
Email: natraj@sakthimanagement.com

Dear Mr. Anubhav, as rightly pointed out by Shri Dineshji, in the case of disciplinary action, every issue has to be thoroughly checked before making a decision. A preliminary enquiry will reveal some truth to decide regarding issuing a Show Cause Notice (SCN) and why X is not receiving it.

Normally, employees follow all company rules, including taking SCN, unless there is a strong reason for not doing so. The company must educate employees through serving a Standing Order (S.O.) copy and other service rules. The S.O. should be issued to each employee, and acknowledgment should be taken to avoid employees claiming they are not aware or that management has not informed them. The court will side with the employee if mandatory rules are not followed.

In the case of SCN, suspension, etc., it will vitiate the plant atmosphere and disturb work. The gravity of misconduct needs to be investigated. Your post shows that X is still working but refusing to take the SCN, which will weaken management's power.

As pointed out by other members, please reveal the full facts to suggest possible actions.

Regards

If a delinquent employee has the audacity to refuse accepting a letter issued by management, then why confine oneself to a warning? I believe HR can suggest a better solution.

Thanks,

Sushil

I do not recommend suspending an employee for refusing to accept a written warning letter. Suspension pending an inquiry cannot be applied in every case. I will leave this topic for others to discuss.

Steps to Handle Refusal of a Written Warning Letter

In this situation, I suggest the following steps:

1. Offer him this letter once again in the presence of two witnesses.
2. Advise him that no communication can be refused by any party.
3. Inform him that refusal to accept any official communication from the company is considered misconduct and can lead to separate charges.
4. Read the letter to him and explain it in a language he understands or in Hindi.
5. You can also explain that this is a written warning letter providing an opportunity for self-improvement.
6. If he still does not accept the letter after the above efforts, document all the actions taken on the written warning letter and state that the employee refused to accept it.
7. Obtain signatures from both witnesses on the record.
8. Display one copy of the written warning letter with the recording on the notice board and send another copy to his address by registered post.
9. Issue him a Charge Sheet and conduct an inquiry into the charges filed.
10. Follow the same procedure as mentioned above if he once again refuses to accept the Charge Sheet.
11. Take appropriate action against him, ensuring it is proportionate to his misconduct.

Thank you.

You can issue the warning letter in front of two witnesses (out of two witnesses - preferably one should be from the employee). When he refuses, write the remark as "Refused to accept" and take the signature of the witnesses. This is treated as good as issued to him.

You can also take disciplinary action for the refusal to accept legal communication from the employer clause under Model Standing Order by issuing a Charge Sheet, which can further proceed with a Domestic Enquiry.

Dear Mr. Anubhav Sir,

I totally agree with Mr. Dinesh Divekar, Sir. Have you investigated the matter thoroughly? If an employee refuses the warning letter, it may indicate a different point of view from the employee. Therefore, please conduct a comprehensive investigation, especially in the presence of both the employee and the Head of Department (HOD).

Thank you.

Recording all the processes of an investigation and maintaining evidence photocopies for further processing is essential.

Please let me know if you need any further assistance.

Procedure We Have Successfully Adopted and Legally Sound

1. Offer the letter to the employee by way of personal service in the presence of two witnesses. If the employee refuses, inform the employee orally that the letter is being sent by registered post AD to his last known residential address. Also, inform him that the communication of the letter's contents will be complete from our side, whether he receives the letter or even if he refuses it. (This is known as constructive notice or presumed notice to the employee).

2. Write an endorsement on the original letter in hand: "Offered to Mr......., on ......(date), in the presence of ........................ (names of two witnesses). Mr ............ refused to accept the letter. Hence, the letter is being sent by registered post AD to his residence. Mr ........ was informed of the same." Put signatures of the person issuing and the two witnesses below the endorsement.

3. After the letter has been delivered (or refused, as the case may be), proceed with your next step. Keep the letter with proof of posting in the personal record of the employee.

Dear Anubhav,

This is a peculiar situation that requires a different approach with a firm stance to address the wrongdoer. Based on the facts provided, I suggest handling the employee not by merely increasing paperwork, although necessary, but by strategically bringing him to a zero level. Of course, this may not happen with just one attempt or formula. You need to observe such behaviors and analyze them from an Industrial Relations (IR) perspective, ensuring that mandated service rules gain full acceptance by every employee.

Not accepting a warning letter by a delinquent employee is certainly another serious offense. HR cannot afford a delinquent employee who cannot even be warned for indulging in objectionable behavior or any acts that are subversive of discipline. Issue a charge sheet now, combining previous incidents with this non-acceptance of any lawful order, highlighting that all his acts and behaviors have made him liable for disciplinary actions. If you do not have your own certified orders, then the Model Standing Orders and the company's service rules, which apply to all employees, are applicable. Wait for a written explanation and quickly institute a domestic inquiry. Two witnesses from the Time Office and the concerned department can be presented, and the employee can be suspended for at least four days as punishment with another office order. This should be displayed on the notice board, sent by registered letter, and a copy given to the general manager.

This way, you need to restore discipline and maintain the firm and fair image of your department. Employees must display discipline and comply with the prevailing practices across the organization, as disobedience and insubordination cannot be tolerated. This message should also be communicated to the shop floor.

You can contact me for any help to act as above.

Regards,

RDS Yadav
Management Adviser and Trainer
Director - Future Institute of Management and Technology
[Phone Number Removed For Privacy Reasons]
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