Dear Legal Expert

My question is: As a Chief Data Officer of a company, can I issue a warning email to an employee of my company? The employee in question is not in my team and is found to be in violation of certain policies.

My HR head says that only HR can issue such emails in India and I told them that I have not sent a termination email but have cautioned the employee for being in violation of the policies. As a CXO of the company, it is my responsibility to caution employees, if necessary.

Kindly advise.

From India, Gurgaon
Dinesh Divekar
Business Mentor, Consultant And Trainer
Labour Laws & Ir
Management Consultancy
Srinath Sai Ram
Hr Manager
Data Sciences

Dinesh Divekar

Dear member,

Your HR Head is correct. Matters regarding discipline or indiscipline are to be handled by the HR Department only. In the administration of the company, this independent check is introduced. If the power of discipline is also delegated to the functional heads, then they may start enjoying untrammelled powers.

The HR Department is a central repository of employee records. While HODs may change their job, the central records of the HR department remain intact.

Nevertheless, in many companies, the functional heads keep a warning register. The first fault or a non-compliance of minor nature is recorded in the register. However, if the employee commits more defaults or if it is a major non-compliance, the matter is referred to the HR Department.

You may send a letter to the HR Head enumerating the nature of non-compliance by the employee. Please focus on the incident than a person. Write clearly what happened, when happened, which clause of the SOP or policy was violated, when it was violated, what were the consequences of the violation etc.


Dinesh Divekar

From India, Bangalore

A warning, at many organisations, is a caution against repeating a wrong act and in many cases is not seen as a part of the formal disciplinary process unless it is mentioned as a punishment in the relevant rules. In such cases where it is not a disciplinary action, it could be issued by any higher authority to the concerned employee and it has to be routed through the Controlling Officer of the employee and the acknowledged copy of it is kept in HR records.
From India, Mumbai

We can say Yes!! But...
A warning letter to an employee is a formal HR process to record misconduct, a disciplinary issue, capability or poor performance. And all complaints must be submitted through department head but they can't do directly they have to inform HR Department regarding same and HR department will investigate and resolve accordingly on behalf of evidences. If the warning letter has been released by your Dept. head it means there's no reputation and Control of HR department in your company.
HR Department is known for being the backbone of company that leads the way for a company's success. The human resource department is not just responsible for recruitment and payroll only.

I think HR Dept. will not consider and store this warning copy. please communicate with HR department regarding same.

You can also Show my Reply.

Srinath Sai Ram

Disciplinary action can be initiated by the Disciplinary Authority as per applicable Service Rules/Standing Orders.
From India, New Delhi

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