Disciplinary Action Dilemma: Can You Skip the Show-Cause Notice and Go Straight to a Warning Letter?

Hi seniors, while initiating disciplinary action, can an employee be directly warned by a warning letter without issuing a show-cause notice and receiving a reply from him?

Dear Bala, the aim of awarding punishment is to correct behavior. Your query is on issuing a warning letter directly. Yes, it can be issued but only for minor offenses.

However, before issuing a warning letter, be clear that you have all the available facts or even material evidence of the misconduct at hand. There should be no room for assumption.

The benefit of issuing a show cause notice is that the company gives the accused employee a complete chance to defend his/her position. If any issues are overlooked, the recipient of the show cause notice may bring them to light, which helps in determining the appropriate punishment.

Thanks,
Dinesh Divekar

I presume the query to be, 'Is it correct to initiate disciplinary action and at the same time warn the employee?' Further, on the condition that a warning is not a listed punishment in the Certified Standing Orders/Service Rules, it can be said that both are possible. While a warning is a notice of caution against repeating the alleged acts in the future, disciplinary action is the retribution for the act already done.

Initiating Disciplinary Action

When you want to initiate disciplinary action against an employee, you need to issue a show cause notice to them. Therefore, you do not need to issue a warning letter.

Assessing the Charges

What are the charges leveled against the employee? If the charges are minor in nature, and if the employee commits such omissions and commissions for the first time, you can issue a warning letter clearly stating that "any repetition of such or similar acts shall render you liable for strict disciplinary action" and close the case.

"Warning" is an act of punishment for alleged misconduct committed by a workman as contained in the applicable Model/Certified Standing Orders. The well-established principles of natural justice require an opportunity to be given to the delinquent to be heard before awarding any punishment.

Therefore, it would be a prudent approach to issue a letter, if not a show-cause notice, for minor offenses demanding an explanation in writing within a stipulated period.

For minor offenses, some employers prefer to issue a "caution" letter in place of a warning, especially for the first-time offender, which is also in order if done after giving an opportunity to be heard.

Regards,
Vinayak Nagarkar
HR and Employee Relations Consultant