Who Issues Employee Warning Letters: Is It HR or Operations, and What Role Does HR Play?

I would like to know who issues the warning letter to an employee—is it the Operations team or the HR personnel? Also, what is the role of HR in the same?

Thank you.

The answer to the question depends entirely on the HR policies and management style of the company. If an employee has caused problems or inconveniences in the plant's operations, the Operations department will communicate this to the HR department. I'm pretty sure HR will not be aware of the operations part, so an investigation has to be conducted through the HR department. The guilty party must be given a chance to speak. Upon conclusion from the external agency (HR), the employee shall be issued a warning letter if found guilty.

If the employee has behavioral problems or requires disciplinary action, it can be directly handled through the HR department, provided that the HR department also informs the Operations department. This is because HR manages appraisals.

Regards,
Yashwanth R

It all depends upon the company's policies. Assuming it is not a disciplinary issue and merely an administrative warning to an employee regarding his normal conduct at the workplace, the general rule is that the controlling or reporting authority under whose administrative control the employee functions is competent to issue the warning letter.

Regards,
B. Saikumar
HR & Labour Law Advisor
Mumbai

Normally, the HR Head is the signatory for all compliances and communications regarding the organization's employees. As others have mentioned, you need to be very clear and specific in your communication. We can't assume things and provide advice that may lead to misunderstandings.

Issuance of Letters

The HR head issues letters through the Unit Head of the employee's department, following the standard procedure in the corporate world. However, without knowing the reporting structure or organizational setup of your company, it would not be wise for us to speculate and offer suggestions on vague matters.

Best wishes

I agree with the replies received in this thread. One important thing is that the appointing authorities of the company have to sign the warning letter if there are no specific policies regarding signing authority.

If it is a functional issue, the operations department may take action and issue a warning letter; otherwise, the HR department should handle it. In either case, the records must be updated to the HR department for inclusion in the employee's personal file. This is necessary in case there is a need to prove that the employee has been a regular or repeat offender, as there should be evidence.