CORRECTIVE ACTION PROTOCOLS

Maintaining service integrity is a vital part of the day-to-day business & therefore the behavior of each employee
reflects and impacts the success of the organization. ORG_NAME’s Corrective (CAP) and Disciplinary Action Policy
(DAP) as well as the Employee Development Policy (EDP) facilitate effective & consistent dealing with issues in a
fair and just manner. Based on various exceptional circumstances prevailing, the management reserves the right to
corrective action up to and including termination of employment.

The policy is intended to be a guideline and is not all-inclusive as circumstances and incidents may vary. This
guideline is not intended to limit the rights of ORG_NAME to discipline or terminate employees at any time at its
sole discretion.

ORG_NAME reserves the right to change or modify the policy set forth below at its discretion and without prior
notice to employees. This policy is not intended to and does not constitute a contract of employment. ORG_NAME
may terminate the employee’s services with or without cause at any time.

ORG_NAME has designed its corrective-action protocols to identify and correct problems or behaviors that affect the
work performance of staff. The proper steps for corrective action must be handled consistently within and across each
entity/department/unit and for each problem.

ORG_NAME "corrective action" processes include the following actions:

1. DAP: Disciplinary Action Policy

DAP arises in situations where there is any form of disciplinary/code of conduct/breach of values by an employee
while on duty or in the premises or in nexus to employment. Conduct similar to but not limited to the
following may result in disciplinary proceedings up to and including termination.
Integrity Unauthorized Absenteeism
Dress Code violation Use of abusive language
Insubordination / Instigation Misbehavior
Sexual Harassment Late Coming
Misappropriation and fraud Theft
Misrepresentation/Suppression of facts Assault
Drunk at work Breach of company information security

2. CAP - Corrective Action Policy:

There may be times when, based on the Critical errors/procedural lapses, which impact our Customers,
Process/Operation determines an employee to be subjected to corrective action. CAP arises in situations where there
are Operational performance issues on SLAs. Some such situations are as mentioned below:
o Quality and Accuracy CAP
o CAP issued for Fatal and Non-Fatal Errors
o Legal compliance violation i.e. FDCPA, State Laws etc.
o ID & V compliance etc.

3. Employee Development Plan:

EDP is applicable when the overall performance of an employee – performance/ behaviors is below expectation and
needs to be improved to meet performance standards of the role.

This will invoked for:

1. Poor Rating in H1 and H2 across all levels and Functions (including BDE) and
2. Event Based for
- TL and above in Operations and
- All levels in Operations Support and Support Functions

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This would be for a minimum period of 3 months (EDP1) extendable by another 3 months through (EDP2)

This is for a fixed term of 3 months and no employee can be terminated before the completion of 3 months unless the
Management deems it necessary to do so, in interest of the organization.

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 Disciplinary Action Policy (DAP)
As mentioned earlier, DAP applies in cases where there are disciplinary/ code of conduct violations or breach of
values by the employee. The following Progressive levels will apply to DAP.

Progressive Disciplinary Steps

ORG_NAME Global Services Pvt. Limited may, at the discretion and judgment of management in appropriate
circumstances, pursue the following steps for disciplinary action. If an employee fails to respond to coaching and/or
informal counseling, the following action would provide the framework for corrective measures.

Issue of DAP letters will follow the Progressive Disciplinary Steps as described below however, in determining
the proper course of corrective action, the supervisor may repeat, modify, or omit a level of disciplinary action
based upon the facts of the specific case.  For example, in the case of serious misconduct, immediate
termination of employment may be warranted. "Serious misconduct" is defined as any action committed by a
staff member (while engaged in ORG_NAME business or on ORG_NAME premises or in nexus with
employment) that includes – but is not limited to – the violation of laws, and/or ORG_NAME policies,
procedures, and practices; theft; assault; fighting; disorderly behaviour, unethical conduct; safety violations;
harassment; possession/concealment of weapons; possession, use, sale, or purchase of illegal drugs or illegal
intoxicants; falsification or improper alteration of records (including time cards/records); and/or disclosure or
misuse of confidential information.

Preliminary Step:
Supervisory counseling with staff is an expected preliminary step prior to formal disciplinary action and should be
conducted when a staff member has not adhered to the expected Standards of Conduct or when a supervisor deems it
necessary in order to bring a staff member's conduct to an expected level.

This is basically a problem solving session wherein the Supervisor conducts a “verbal discussion” related to the
behavioral problem, the employee is reminded of the need to adhere to and be committed to the work rules and the
organizational standards.

The discussion should be documented as a file note and filed in the employee’s file; this will serve as a base when
progressive action has to be taken.

Even though this is a Verbal counseling, it will chalk the path for moving to the next warning Stage, if the
circumstances so warrant.
1.First level Warning:

Post the Verbal counseling, if the problem persists the immediate supervisor along with the BHR representative will
conduct a formal discussion with the employee and describe the incident and/or action that may have resulted in the
First Written Warning.

The Manager must set the expectation that the employee should show significant improvement in his/her conduct /
behaviour. Also reconfirm the employees understanding of his/her responsibility to change.

A Written-Memo needs to be prepared by the BHR representative to meet the commitment for bringing the
employee’s conduct / behavior to the required standard. A copy of the Memo against acknowledgement should be
handed over to the employee who should also be communicated that any further infractions might result in severe
action from the management.

This letter needs to be signed by the employee, immediate supervisor, BHR Leader and the Skip Supervisor, one copy
given to the Employee and another filed in Employee’s file.

2. Second Level Warning

Persistence of the problem post the First Level Warning will warrant a Second Level Warning. The immediate
supervisor along with the BHR representative will conduct a formal discussion with the employee and describe the
incident and/or action that may have resulted in the Second Warning.

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The Manager must set the expectation that the employee show significant improvement in his/her conduct /
behaviour. Also reconfirm the employees understanding of his/her responsibility to change.

A Written-Memo needs to be prepared by the BHR representative to meet the commitment for bringing the
employee’s conduct / behaviour to the required standard. A copy of the Memo against acknowledgement should be
handed over to the employee who should also be communicated that any further infractions might result in severe
action from the management.

This letter needs to be signed by the employee, immediate supervisor, BHR Leader and the Process Owner, one copy
given to the Employee and another filed in Employee’s file.

3. Final Warning

In case the particular conduct/behavior continues to persist even after the 2nd warning letter is issued then after a
formal discussion with the immediate supervisor and the BHR representative will issue a Final Warning letter to the
effect.

The Final warning should comprise of structured documentation highlighting the previous feedback provided to the
employee and the improvements, if any.

The seriousness of the offense, history of the past disciplinary action and the totality of circumstances surrounding the
employees conduct / behaviour may contribute to this decision.

The issuing of the Final written warning letter will be initiated by BHR but will be signed by the Employee, Process
Owner and the Chief Human Resources Officer. Copy of the letter will be given to the employee and one copy filed in
his / her personal file.

4. Termination/Dismissal

The next step after Final warning would be Dismissal/ termination depending on the severity of the case. Termination
normally occurs only when the disciplinary action process has failed to bring about a positive change in the
employees behaviour or in case of gross misconduct.

The Supervisor in a joint review will present the case to the Functional Head/Process Owner and BHR Leader prior to
termination.

Prior to termination, the Supervisor must consult the BHR representative to help determine if the previous
documentation is sufficient to initiate this step. All Terminations needs to be approved and authorized by the CHRO
(Chief Human Resource Officer) and the respective CXO.

HR will reserve the right to approve/disapprove the Termination based on the relevant facts and severity of the
case. This will be done in consultation with the Senior Management and will be executed as per the standard
process followed by a formal communication to the employee through HR.

Termination decisions will be made in consideration of all the facts in consultation with BHR and all such incidents
will be documented and a copy of the same will be placed in the employee’s personal file. No other authority than HR
will issue any intimation of termination.

Code of discipline grid:

Mentioned below is a list of disciplinary issues with the recommended guideline/framework for addressing it. The
recommended courses of action for various offenses are indicative and are provided to assist supervisors and staff in
understanding expected conduct and performance, and provide for typical (not required) corrective actions.

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 ORG_NAME reserves the right to effect immediate termination, if such action is deemed necessary.

Incase of any clarification please contact your Business HR/ Corporate HR representative.

Code of Discipline Grid

OFFENCES INSTANCES
Occasi Severi 1st 2nd 3rd 4th
ons ty

A. Offenses against Company Property

1. Damaging Company property and equipment

a. Willfully (depending on extent of damage and Single V. Dismissal

ramifications on the Organization) High

b. Through negligence (failure to exercise the Single V. Second Written Final Dismissal
required diligence in the performance of the High Warning
assigned responsibility (depending on extent of
damage of property and likely impact on the Co.)

c. Unauthorized or indiscriminate use, operation, Single V. Dismissal

possession or lending of Company property, High
equipment or materials for personal gain or profit
or for any purpose other than for the purpose for
which said property, materials or equipment are
officially intended.

d. Misappropriation, malversation of company funds Single V. Dismissal

or assets/property or any form of theft, actual or High
attempted.

e. Substituting or attempting to substitute company Single V. Dismissal

material or Equipment with another of inferior High
quality or lesser value.

2. Fraudulent acts/Offenses against Company:

a. Unauthorized use of company material or Single V. Dismissal

equipment High

b. Falsifying company record or submitting Single V. Dismissal

fraudulent reports or disclosure of classified High
information

c. Permitting and assisting any person to enter or Single V. Dismissal

have access to restricted areas, files, etc. High

d. Failure to report damage or loss of company Single V. Final

property, spoilage or undue wastage of company High Warning/Dismi
products which are under the employees immediate ssal
responsibility and/ or accountability within 24
hours from time of discovery by employee of such
damage, loss, spoilage or wastage (depending on
the minor/major damage and ramifications on the
company)

e. Making false and malicious statement against the Single V. Dismissal

company. High

3. Offenses Against Customer

a. Unprovoked insolence or disrespect toward the Single V. Final Warning /

company or its customer or acquaintance High Dismissal

b. Offering or receiving bribes, commissions or Single V. Dismissal

anything of value to or from subordinates, High
company clients, contractors and suppliers and
such other persona or firms with whom the
company does business for employees personal

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 OFFENCES INSTANCES
Occasi Severi 1st 2nd 3rd 4th
ons ty
benefit.

c. Call Drop Single V.Hig Final W /

h Dismissal
d. Fraudulent Sales Single V.high Final W /
Dismissal
4. Offenses Against Persons
Single V. Final W/
a. Inflicting and/or attempting bodily injury or High Dismissal
assaulting any other person

b. Threatening, intimidating, coercing or harassing a Single V. Final warning /

fellow employee or anybody in the company High Dismissal
premises at anytime.

5. Other Disciplinary Violations

a. Disorderly/Obscene / Unruly behavior or conduct Single High Final W /
inside company premises. Dismissal

b. Dress Code Violation Habitu Mediu First W 2nd level Final

al m Warning W Warning
c. Reporting for work under the influence of alcohol Single V. Final Warning/
or drugs/substance abuse. High Dismissal

d. Sleeping on Job during Working Hours (depending Single/ High First W 2nd level Final
on the reason) Habitu Warning W Warning
al
e. Disparaging Remarks against any Single V. Final Warning /
person/gender/race/religion etc High Dismissal

Single High Final

f. Using profane language or showing willful Warning
contempt of authority. /Dismissal

g. Insubordination including willful and intentional Single V. Second Level Final Dismissal
refusal of an employee to carry out any reasonable High Warning Warning
order or instruction given by his superior to
perform work designated.

h. Smoking in restricted area (subject to the Single V. Final Warning/

seriousness / likely ramifications due to his action) High Dismissal

i. Using Cell Phone on the Floor /Camera Cell Phone Single/ Mediu First Written Second Final Dismissal
in Unauthorized areas Habitu m Warning Level Warning
al Warning
j. Absconding Return Single V. Final Warning Dismissal
High
k. Accessing Un-authorized / Objectionable / Single V. Dismissal
Offensive Sites on the Internet High

l. Misrepresentation/Suppression of Facts Single V. Final Warning /

High Dismissal
m. Stealing or attempting to steal from the company or Single V. Dismissal
from co-workers while @ work High

n. Engaging, participating or involving oneself Single V. Dismissal

directly or indirectly in any transaction, High
undertaking or business enterprises where such
engagement, participation or involvement is in
conflict with or detrimental to the interest of the
company.

o. Posting or writing unauthorized notices/posters in Single V. First Written Second Final Dismissal
the company’s bulletin boards/ other areas High Warning Written Warning
(depending on the contents) Warning

6. Offenses Against Health/Safety/Security

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 OFFENCES INSTANCES
Occasi Severi 1st 2nd 3rd 4th
ons ty
a. Concealment of contagious and deadly diseases Single High Dismissal
that will unduly expose and endanger The life of
the other employees (depending on the infectious
nature of the disease)
Single V. Dismissal
b. Possession of any weapons/objects or explosives as High
defined by law within company premises or in
Company Transport or official engagements

c. Refusal to submit to company authorized Security Single High First Written Second Final Dismissal
Personnel while in the performance of their warning Written Warning
assigned duties. (Depending on seriousness of Warning
matter)
Single V. First Written Second Final Dismissal
d. Breach of any Company Security Policy High warning Written Warning
* Ref to Co. Security Policy Warning
7. Offenses Against Timekeeping
Single High First Warning
a. Unauthorized and/or unexcused absence for four Letter
(4) separate working days rolling 3 months

b. Unauthorized and/ or unexcused absence for up to Single High 2nd Level

five (5) working days rolling 6 months Warning

c. Repeated/ Excessive unauthorized absences in 19 Habitu High Final Warning Dismissal

& 20 above al

d. 4 instances of Tardiness in a month (more than the Single High First Written
grace period as provided by the process Warning

e. Repeated/excessive Tardiness i.e. more than 4 Habitu High Second Written Final W Dismissal
instances in a month al

f. Punching the timecard of another employee, have Single High Final Warning / Dismissal
one’s ID card by another employee or Dismissal
unauthorized altering of the ID card.

* All employees accused of any act are innocent until proven guilty

** Habitual is more than 3 occurrences in a month

Some Definitions:

Un-authorized Absenteeism:
It is when an employee abstains from duty without the required prior permission of his/her immediate supervisor
(reported/unreported) and/or without proper justification. This is constituted habitual when there are 3 or more
occurrences in a month.

Abusive language:
It amounts to the use of profanity towards colleagues, superiors, customers or any other employee of ORG_NAME.
This extends to the company premises in its transport, and during functions/events organized by the Company either
in its premises or elsewhere.

In-subordination / Instigation:
It amounts to disobedience and rebellious attitude towards the direct and reasonable instructions of the superior.
Acting in contradiction to the company laid down rules and regulations, policies and values.
Instigation is enforcing your views on others or creating an agitation among all with an aim to create a disturbance
that is not in line with the smooth and normal functioning of the company.

Mis-appropriation / Fraud

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Involves misuse, cheating, blatant disregard to company information and property. Fraud amounts to swindling and
deceit to the organization or its employees with a view to ones own malicious gains.

Late Coming/Tardiness:
Reporting late for duty from the scheduled duty timings.

Mis-representation of Facts:
Amounts to willful distortions, concealing and falsification of information provided to superiors or other employees
of the company. It also includes providing wrong information at the time of recruitment.

DAP and IJPs/Career Progression:

DAP will be active for the entire tenure of the Employee till further recurrence of the issue/ Offense. However, It will
be de-linked for application for IJPs/ Career progression as per the table provided below.

Level of Warning Timeframe applicable to DAPs for purposes of IJP

First Written Warning 3 months from date of Issue
Second Level Warning 6 months from date of Issue
Final Written Warning 9 months from date of Issue

Communication to the employee on the lapse of the validity of the DAP for career progression as documented in the
table above will be done by the BHR representative.

Disciplinary Suspension:

In the case of a serious misconduct, it may be necessary to protect the safety and the security of the workplace by
suspending the involved staff members and removing them from the workplace. The decision to suspend an employee
will be jointly taken by the Process Owner and the BHR Leader.

The investigation may have one of the following results:

a. If the employee is not found guilty post investigation then full salary for the period of suspension will
be paid.
b. If the circumstances do not justify termination but are serious enough to justify disciplinary action;
the staff member (S) may not be paid full salary for the period of suspension; or other corrective
actions may be issued. In all such cases the Management will provide for a minimum of 50% of his
salary excluding allowances or
c. If the circumstances justify termination, the staff member(s) will be dismissed and a final settlement
will be processed.

Documentation

All corrective actions, counseling discussions, and related facts must be documented – with one copy of all
documents provided to the staff member and one filed in the staff member’s personnel file. The Human Resources
representative will ensure appropriate documentation for counseling discussions, written warnings, and terminations.

An “Employee Grievance Investigation Report” will be precede DAPs for all warnings given to the Employee. The
report will capture details of the case and the investigation conducted along with the recommended warning level.

EGIRs for First written warnings will be signed off by the BHR Leader and for all Warnings 2 nd level and above, the
EGIRs will be signed off by the BHR Leader, the HOD / Process Owner and the CHRO.

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 Corrective Action Policy (CAP)
Operations’ processes have various procedural guidelines that the customer handling staff must follow. These
guidelines are defined by the Process in line with the terms and conditions of the service agreement between
ORG_NAME Global Services and the Client. Staff in customer handling roles are trained with respect to these
guidelines and are made aware of the consequences of not complying with the same.

Hence, based on the Critical errors/procedural lapses, which impact our Customers, Process/Operation may determine
an employee to be subjected to corrective action. CAP arises in situations where there are Operational performance
issues on SLAs. Some such situations are as mentioned below:

o Quality and Accuracy CAP

o CAP issued for Fatal and Non-Fatal Errors
o Legal compliance violation i.e. FDCPA, State Laws etc.
o ID & V compliance etc.

The scope will cover staff in E1 / E2 grade and Officer / Sr. Officer grade (where ever appropriate) in the Operations
Function.

Guidelines:
1. Every Process will define its own procedural guidelines depending on the nature of the business,
complexities of the process etc. through a clearly defined policy. The CAP policy will detail the following…
o Areas / parameters / instances which will attract a CAP
o The validity period of each of the progressive levels of CAP
o The action plan that is to accompany each level of CAP
o Exemption from incentives as appropriate.
o Process of communicating to the staff on completion of the period under CAP
2. The CAP policy will be signed off by VP-Operations and CHRO. It will be responsibility of the VP-
Operations to ensure that the consistent CAP policies are followed for similar verticals.
3. Copies of CAP policies for all processes will be made available to Business HR. Any changes with respect to
CAP must be shared with BHR post approvals from VP Operations and CHRO.
4. Every process will ensure that their respective CAP policies are communicated to all employees in the
process.

Issue of CAP letters will follow the Progressive Corrective steps as described below however, in determining the
proper course of corrective action, the supervisor may repeat, modify, or omit a level of disciplinary action based
upon the facts of the specific case. 

1.First level Warning:

First level Warnings will be issued based on the CAP policy of the process, where such errors or lapses could affect
Customer SLAs .

In all such instances, the immediate supervisor will conduct a formal discussion with the employee and describe the
incident and/or action that may have resulted in the First Written Warning. The Manager must set the expectation that
the employee should show significant improvement in his/her performance. Also reconfirm the employees
understanding of his/her responsibility to change.

A Written-Memo will be prepared by the supervisor to meet the commitment for bringing the employee’s
performance to the required standard. A copy of the Memo against acknowledgement will be handed over to the
employee who will also be communicated that any further infractions will result in the next progressive action being
initiated.

This letter needs to be signed by the employee, the immediate supervisor and the team manager. One copy given to
the Employee and another filed in Employee’s Personal file.

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2. Second Level Warning

Persistence of the problem post the First Level Warning will warrant a Second Level Warning. The immediate
supervisor along with the skip supervisor will conduct a formal discussion with the employee and describe the
incident and/or action that may have resulted in the Second Warning.

The Manager must set the expectation that the employee show significant improvement in his/her performance. Also
reconfirm the employees understanding of his/her responsibility to change.

A Written-Memo along with an action plan needs to be prepared by the supervisor for bringing the employee’s
performance to the required standard. A copy of the Memo against acknowledgement should be handed over to the
employee who should also be communicated that any further infractions might result in severe action from the
management.

This letter needs to be signed by the employee, supervisor and the team manager. One copy given to the Employee
and another filed in Employee’s file.

3. Final Warning

In case the particular problem continues to persist even after the 2nd warning letter is issued then after a formal
discussion with the immediate supervisor and the operations manager, the immediate supervisor will issue a Final
Warning letter to the effect.

The Final warning should comprise of structured documentation highlighting the previous feedback provided to the
employee and the improvements, if any.

BHR must be involved prior to issuing a Final Warning to an Employee.

The Final written warning letter will be signed by the Employee, supervisor and the operations manager. Copy of the
letter will be given to the employee and one copy filed in his / her personal file.

4. Termination/Dismissal

The next step after Final warning would be Dismissal/ termination depending on the severity of the case. Termination
normally occurs only when the corrective action process has failed to bring about a positive change in the employees
performance in an acceptable time frame.

The Supervisor along with the Operations Manager in a joint review will present the case to the Process Owner and
BHR Leader prior to termination.

The Supervisor must consult the BHR representative prior to termination to help determine if the previous
documentation is sufficient to initiate this step. All Terminations needs to be approved and authorized by the CHRO
(Chief Human Resource Officer) and the respective CXO.

Termination decisions will be made in consideration of all the facts in consultation with BHR and all such incidents
will be documented and a copy of the same will be placed in the employee’s personal file.

Important:

No other authority than HR will issue any intimation of termination; HR will reserve the right to approve/disapprove
the Termination based on the relevant facts and severity of the case. This will be done in consultation with the Senior
Management and will be executed as per the standard process followed by a formal communication to the employee
through HR.

Application for IJPs/Career Progression during the active CAP

All employees during the active period of CAP for Levels Second level warning and above will be
disqualified from all IJPs. This will be valid for all Processes across ORG_NAME.
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 Documentation Required:

1. A designated operations’ staff will have to inform their respective BHR of all such warnings
(except termination) issued to staff in their process.

2. These documented warnings will have to be sent to the respective BHR of the process, who will in
turn file it in the personal file of the erring staff.

3. The BHR representative will have to maintain the details of CAP letters issued in an excel tracker.

4. This tracker will be a reference point to check for expiry and active status of CAP letters issued.

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 Employee Development Plan (EDP)
Philosophy:

The "Employee Development Plan" aims to fulfill the following goals:

 To deal with work performance problems in a fair and systematic way, and help and encourage
improvements so that standards are met.
 To address performance discrepancies identified through the performance management process.

 To initiate support an employee might need to correct performance – including identification of training and
other resources available.

 To provide a time- line outlining the dates by which improvement will be necessary. To provide a statement
of consequences that will occur if required improvement is not achieved. This statement will be written in
SMART (Specific, Measurable, Action, Results, Time Bound) format and will include appropriate time
lines.

 To ensure co-operation /Support and on-going communication between supervisor and staff member.

Scope:

This process applies to all employees, whether on probation or on permanent rolls of the Company who receive a
“Poor rating” in a formal performance review cycle or any employee who is not meeting the overall Performance
Standards (Performance/Competency Requirements) even after repeated counseling from the Supervisor and the
Supervisor is of the opinion that the issues are serious enough based on the nature, severity and the frequency with
which the problem has occurred or any aggravating circumstances, then the matter can escalate to a Formal
Performance Review Procedure.

This process is not intended to replace “CAP Policy” and both policies will supplement one another.

ORG_NAME intends its corrective-action policies and procedures to be progressive. However, depending on the
situation, the Company can repeat, omit, or employ any corrective action plan out of the progressive sequence.

ORG_NAME also reserves the right to effect immediate termination, if such action is deemed necessary.

Counseling to support Effective Performance and Behavior:

Supervisory counseling with staff is an expected preliminary step prior to corrective action and should be conducted
when a staff member has not adhered to the expected Standards of Conduct or when a supervisor deems it necessary
in order to bring a staff member's performance to an expected level.

Each supervisor has the responsibility of counseling his or her staff to try to modify behavior and to administer
corrective action when appropriate. All corrective actions must be documented. The following principles apply to
supervisory counseling actions at ORG_NAME:

 The standards of conduct and performance should be communicated to each staff member in a variety of
ways (i.e. regular discussions between the supervisor and the staff member, Formal Performance
reviews/Appraisals etc).
 Supervisors should schedule timely and regular follow up meetings for constructive feedback.
 A timely, fair, and objective review should always be completed before the decision to take corrective action
is made.

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If a staff member's work performance or behavior continues to need improvement or if a ORG_NAME policy has
been violated, corrective steps should be taken to modify and improve behavior based on the nature and severity of
the issue, the frequency with which the problem has occurred, and any extenuating circumstances.

Corrective Action - EDP Process:

The EDP can be issued to Employee on both Performance/Competency grounds where such performance is a matter
of record and several verbal warnings have ceased to make any change/improvement in performance.

Invoking of EDP:
EDP can be invoked:

1. For Poor Ratings

–For “Poor” ratings in H1 / H2 appraisals for all Levels/ Functions (Incl. BDE).

2. Event Based
–For all staff

EDP process will include the following actions:

 EDP (1) – This protocol is initiated to discuss/set expectations between a supervisor and the employee who
fails to meet performance expectations. This would be for a period of 3 months.
 EDP (2) – This plan of corrective action is initiated after the EDP 1 when the employee has shown some
improvement but not to the complete extent as required; the Supervisor can give an employee another
opportunity to improve through this EDP; this would be for a period of 3 months.

Termination– Terminations occur after EDP has failed to bring about a desired improvement in the performance
standards of an Employee. The CHRO and the HOD of the department/ Process must review termination prior to a
final dismissal.

Expectation Setting at EDP discussion:

The involvement of BHR is mandatory for invoking an EDP for any staff whether confirmed or on probation.

The Supervisor and BHR should review the following items with the employee during the EDP meeting.

1. State the current performance issue(s), and clarify what needs to be improved. Be specific and cite examples.
(E.g. quality or quantity issues)
2. Clarify employee goals and actions required to improve performance including targeted dates.
3. Identify skills, knowledge or attributes needing development and agree on a learning and development
plan with targeted dates.
4. Specify the support and resources you will provide to assist the employee. (e.g. clarifying role expectations,
training , coaching etc.).
5. Clarify expected results – identify the measures (quantity, quality, time) that will be used to evaluate
progress.
6. Communicate plan for providing feedback to the employee. Specify meeting times, with whom and how
often. Specify the measurements you will consider in evaluating progress. Set up the ‘check in’ dates.

Following the meeting, the employee will be provided with the Employee Development plan to confirm and
clarify /sign-off what had been discussed.

Note:
 Consultation with the Human Resources representative is required before implementing/putting an Employee
on the EDP.

 No employee will be terminated before the completion of the EDP term (EDP 1 and EDP 2)

 Employees’ will not be eligible for IJPs during active period of EDP

Prashant Bhandarkar | 9820945944 13/14

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  Employees’ eligibility for bonus payments and/or pay rises may be affected whilst subject to the formal
procedure.

 All terminations will be routed through HR

 All EDPs will be signed off by the Employee, BHR leader and the Functional Head/HOD.

Documentation Required:

All corrective actions, counseling discussions, and related facts must be documented – with one copy of all
documents provided to the employee and one filed in the Employees’ personnel file.

Sample EDP Form:

EDP Template

Prashant Bhandarkar | 9820945944 14/14

For internal circulation only