Sop On Cap - Dap - Edp Policy2
Sop On Cap - Dap - Edp Policy2
Sop On Cap - Dap - Edp Policy2
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.
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.
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 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.
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.
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.
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.
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.
Incase of any clarification please contact your Business HR/ Corporate HR representative.
OFFENCES INSTANCES
Occasi Severi 1st 2nd 3rd 4th
ons ty
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.)
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
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.
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
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
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
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
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
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 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.
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.
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.
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:
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.
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.
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.
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.
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.
Prashant Bhandarkar | 9820945944 10/14
For internal circulation only
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.
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.
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.
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:
2. Event Based
–For all staff
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.
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
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.
EDP Template