Understanding Warning Letters vs. Charge Sheets: How Should Misconduct Be Reported in HR?

Dear HR gurus,

Kindly clarify, what is the difference between a warning letter and a charge sheet. When an employee misconduct has to be reported, what is the usual way? Does an incident letter/report is required for both? Kindly help me in making the above concept clear. Is it fine to issue a charge sheet in the service industry? If yes, who and how many members must be there in the inquiry committee?

Sashmita

Hello,

A charge sheet is a letter that communicates the "charges" being placed against the employee for some of his acts of omission or commission. It requires an employee to explain "why disciplinary action may not be taken against him" for having committed the alleged acts of omission or commission - generally referred to as "misconducts."

A warning letter is a letter where the employer has come to a conclusion, having given an employee an opportunity to explain as discussed above or without it, that the misconducts have taken place and due cognizance must be taken. Depending on the seriousness of the misconduct, the response is decided. It may be a warning letter in this case. In that sense, you may say a warning is a punishment and closes the matter of misconduct for the time being.

Yes, it is very advisable to obtain a complaint, report of the incident (such as an FIR by the Police Stations.)

But notwithstanding the above reply, one must understand the basics of disciplinary actions. These are usually controlled or regulated by the Industrial Employment (Standing Orders) Act 1946, which is applicable to industries and under certain conditions, to establishments covered by the Shops & Commercial Establishment Act of the region.

It is the employer's decision to decide how to treat misconducts! It is said that the service industry being a sensitive industry, one does not rush with routine disciplinary actions. Also, employment in the service industry is more of the educated class where verbal admonishing will give mileage for a long time, and therefore rushing with disciplinary actions could mean being trigger happy.

If you would like to raise more questions, you are welcome!

Regards,

Samvedan

October 20, 2007

Thanks a lot, Samvedan, the difference has been explained very well by you. :) :)

As per this, a chargesheet is where an employee is given a chance to put his perspective or opinion. If we discuss the service industry, does issuing three warning letters mean termination or not? And if employees are reluctant towards verbal warnings, what's the best way to avoid further misconduct or indiscipline? If a chargesheet has to be issued, what's the procedure? It involves a committee, and within 48 hours, it has to decide. If not satisfactory, the proceedings will continue. Please correct me and give me a clear picture of the same. Will appreciate your quick response.

Regards,
Sashmita

Hello,

Kindly accept the in-line response as the reply!!

[quote="SASHMITA"]Thanks a lot Samvedan, the difference has been explained very well by you. :) :)

You are welcome. I like to help.

As per this, a chargesheet is where an employee is given a chance to put his perspective or opinion.

Yes, please!

If we discuss the service industry, does issuing three warning letters mean termination or not??

In matters of discipline management, the service industry is no different from the manufacturing industry. Processes and steps are the same legally speaking. The applicable legislations would also be the same. The approach may differ from one management to another, but the principles and rules of law will have to be followed. And most importantly, "three warnings" do NOT mean termination UNLESS the terms and conditions so stipulate. But even that would be, in my considered opinion, against the law.

And if employees are reluctant towards verbal warnings, what's the best way out to avoid further misconduct or indiscipline?

Sounds odd, but there are "Verbal Warnings" in writing. Not specifically provided in law but entirely permissible. The mechanism is that you warn someone verbally first and then write down the fact with necessary details on a standard form, sign it, and put it in the concerned employee's personal file.

And if a chargesheet has to be issued, then what's the procedure... as it involves a committee and within 48 hours it has to decide. If not satisfactory, then the proceedings will continue... please correct me and give me a clear picture for the same.

No, a chargesheet does NOT involve any committee at all. The process is:

1) An incident that demands cognizance to be taken by the management takes place somewhere on the premises.

2) It needs to be reported by a complainant - the aggrieved employee or any other employee who is an observer of the same.

3) The HR, after making a preliminary investigation that such an incident has indeed occurred and needs to be taken cognizance of, will, if applicable, prepare the Chargesheet against the errant employee, get it signed by an authorized person, and have it issued to the concerned employee.

4) Depending upon the reply, further course of action will be decided.

Actually, the subject is vast. The above material is just to give you an idea. If you can provide more details or raise more specific incidents, I may be able to offer better advice!

Will appreciate your quick response.

Cheers!

Samvedan
October 23, 2007

Regards,

Sashmita