Can a Chief Data Officer Warn an Employee for Policy Violations in India? Seeking Legal Advice

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.

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 untrammeled 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 a 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 rather than the person. Write clearly what happened, when it happened, which clause of the SOP or policy was violated, when it was violated, what were the consequences of the violation, etc.

Thanks,

Dinesh Divekar

A warning in many organizations serves as a caution against repeating a wrongful act and, in many cases, is not considered part of the formal disciplinary process unless explicitly mentioned as a punishment in the relevant rules. In situations where it is not a disciplinary action, it can be issued by any higher authority to the concerned employee and must be routed through the employee's Controlling Officer, with the acknowledged copy kept in HR records.

Hello, 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. All complaints must be submitted through the department head. However, they can't do so directly; they have to inform the HR Department regarding the same. The HR department will investigate and resolve accordingly based on the provided evidence. If the warning letter has been issued by your department head, it implies that there's a lack of reputation and control by the HR department in your company.

Role of the HR Department

The HR Department is known for being the backbone of the company, leading the way for the company's success. The human resource department is not solely responsible for recruitment and payroll.

I think the HR Department will not consider storing this warning letter copy. Please communicate with the HR department regarding the same.

You can also show my reply.

Disciplinary action can be initiated by the Disciplinary Authority as per applicable Service Rules/Standing Orders.

Hi, It's important to consult with a legal professional or HR expert in your jurisdiction for advice specific to your situation.

Authority to Issue Official Warnings

In many companies and jurisdictions, the authority to issue official warnings may be defined by company policy, employment contracts, and local labor laws. In India, labor laws may dictate certain procedures for issuing warnings and taking disciplinary action.

If your HR head is stating that only HR can issue warning emails, it's important to respect the established procedures within your company. In some cases, the HR department may be responsible for managing employee relations and enforcing policies.

Responsibilities of a Chief Data Officer

However, as a Chief Data Officer or a CXO, you have a responsibility to address data-related violations within your purview. You should communicate your concerns to HR and work together to ensure the appropriate action is taken.

If you believe there is a serious breach of data policies that requires immediate attention, you should discuss this with your HR department and, if necessary, involve legal counsel. It's crucial to follow the established protocols to protect both the company and the rights of the employee involved.

Always consult with your company's legal and HR departments to ensure you are following the correct procedures and complying with local laws and regulations.

Thanks,