hr policy and procedure manual

8/8/2019 Hr Policy and Procedure Manual

http://slidepdf.com/reader/full/hr-policy-and-procedure-manual 1/21

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HR POLICY AND PROCEDURE MANUALC o n t e n t s

INTRODUCTION................................................................................................................................23

NATURE OF EMPLOYMENT.........................................................................................................23

EMPLOYEE RELATIONS.................................................................................................................23

EQUAL EMPLOYMENT OPPORTUNITIES...............................................................................23

BUSINESS ETHICS AND CONDUCT...........................................................................................34

PERSONAL RELATIONSHIPS IN THE WORKPLACE..........................................................34

CONFLICT OF INTEREST...............................................................................................................34

NON DISCLOSURE............................................................................................................................4

ACCESS TO PERSONNEL FILES..................................................................................................56

PERSONAL DATA CHANGES.......................................................................................................56

EMPLOYMENT APPLICATIONS..................................................................................................56

PERFORMANCE EVALUATION...................................................................................................56

JOB DESCRIPTION............................................................................................................................56

EMPLOYEE BENEFITS....................................................................................................................78

RESPONSIBILITIES..........................................................................................................................9

TERMS OF SERVICE.........................................................................................................................13





I n t r o d u c t i o n

G.C. Garg & Associates (the ´Firmµ) Human Resources Policy and Procedure Manual providesthe policies and procedures for managing and developing staff. It also provides guidelines whichthe Firm will use to administer these policies.

The Firm will keep endeavour to keep the HR policies current and relevant. Therefore, fromtime to time it will be necessary to modify and amend some sections of the policies andprocedures, or to add new procedures.

Any suggestions, recommendations or feedback on the policies and procedures specified in thismanual are welcome.

These policies and procedures apply to all employees.

1 - 0 1 N a t u r e o f E m p l o y m e n t

Employment with G.C. Garg & Associates is voluntarily entered into and is ´at-will,µ whichmeans that the employee is free to resign at will at any time, serving a notice of atleast twomonths. Similarly, the Firm may terminate the employment relationship at any time,with a twomonths· notice , so long as there is no violation of applicable federal or state law. No one hasthe authority to make verbal statements that change the at-will nature of employment, and the at-

will relationship cannot be changed or modified for any employee except in a written agreementsigned by that employee and the Management of the Firm.

1 - 0 2 E m p l o y e e R e l a t i o n s

G.C. Garg & Associates believes that the work conditions, wages, and benefits it offers to itsemployees are competitive with those offered by other employers in this area and in thisindustry. If employees have concerns about work conditions or compensation, they are strongly encouraged to voice these concerns openly and directly to their supervisors. Our experience hasshown that when employees deal openly and directly with supervisors, the work environmentcan be excellent, communications can be clear, and attitudes can be positive. Webelieve that theFirm amply demonstrates its commitment to employees by responding effectively to employeeconcerns.

1 - 0 3 E q u a l E m p l o y m e n t O p p o r t u n i t y

In order to provide equal employment and advancement opportunities to all individuals,employment decisions at G.C. Garg & Associates will be based on merit, qualifications, and theneeds of the companyFirm. The Firm does not unlawfully discriminate in employmentopportunities or practices on the basis of race, color, religion, sex, national origin, age, disability,





general direction so that employees can seek further clarification on issues related to the subjectof acceptable standards of operation. Contact the Management for more information or

questions about conflicts of interest.

1 - 0 7 1 2 N o n - D i s c l o s u r e

The protection of confidential business information and trade secrets is vital to the interests andthe success of G.C. Garg & Associates. Such confidential information includes, but is not limitedto, the following examples:

y acquisitions

y compensation datay computer processes

y computer programs and codes

y clients lists

y clients preferences

y financial information

y investments

y marketing strategies

y partnerships

y pending projects and proposals

y technical data

All employees may be required to sign a non-disclosure agreement as a condition of employment. Employees who improperly use or disclose trade secrets or confidential businessinformation will be subject to disciplinary action, up to and including termination of employmentand legal action, even if they do not actually benefit from the disclosed information.





2 - 0 1 A c c e s s t o P e r s o n n e l F i l e s

G.C. Garg & Associates maintains a personnel file on each employee. The personnel file includessuch information as the employee·s job application, résumé, records of training, documentationof performance appraisals and salary increases, and other employment records.

Personnel files are the property of the Firm and access to the information they contain isrestricted.

Employees who wish to review their own file should contact the Management. With reasonableadvance notice, employees may review their own personnel files in the Firm·s office and in the

presence of an individual appointed by the Firm to maintain the files.

2 - 0 2 P e r s o n a l D a t a C h a n g e s

It is the responsibility of each employee to promptly notify G.C. Garg & Associates of any changes in personal data. Personal mailing addresses, telephone numbers, number and names of





dependents, individuals to be contacted in the event of an emergency, educationalaccomplishment, and other such status reports should be accurate and current at all times. If any

personal data has changed, notify the Management.

2 - 0 3 E m p l o y m e n t A p p l i c a t i o n s

G.C. Garg & Associates relies upon the accuracy of information contained in the employmentapplication, as well as the accuracy of other data presented throughout the hiring process andemployment. Any misrepresentations, falsifications, or material omissions in any of thisinformation or data may result in the exclusion of the individual from further consideration foremployment or, if the person has been hired, termination of employment.

In processing employment applications, the Firm may obtain a background check foremployment. If the Firm takes an adverse employment action based in whole or in part on any report caused by the Fair Credit Reporting Act, a copy of the report and a summary of yourrights under the Fair Credit Reporting Act will be provided as well as any other documentsrequired by law.

2 - 0 4 P e r f o r m a n c e E v a l u a t i o n

Supervisors and employees are strongly encouraged to discuss job performance and goals on aninformal, day-to-day basis. A formal written performance evaluation will be conducted following an employee·s introductory period. Additional formal performance evaluations are conducted toprovide both management and employees the opportunity to discuss job tasks, identify andcorrect weaknesses, encourage and recognize strengths, and discuss positive, purposefulapproaches for meeting goals.

2 - 0 5 J o b D e s c r i p t i o n s

G.C. Garg & Associates maintains job descriptions to aid in orienting new employees to theirjobs, identifying the requirements of each position, establishing hiring criteria, setting standardsfor employee performance evaluations, and establishing a basis for making reasonableaccommodations for individuals with disabilities.

The management prepares job descriptions when new positions are created. Existing jobdescriptions are also reviewed and revised in order to ensure that they are up to date. Jobdescriptions may also be rewritten periodically to reflect any changes in position duties andresponsibilities. All employees will be expected to help ensure that their job descriptions areaccurate and current, reflecting the work being done.

Employees should remember that job descriptions do not necessarily cover every task or duty that might be assigned, and that additional responsibilities may be assigned as necessary. Contactthe management if you have any questions or concerns about your job description.





3 - 0 1 E m p l o y e e B e n e f i t s Eligible employees at G.C. Garg & Associates are provided a wide range of benefits. A numberof the programs (such as Social Security, workers· compensation, state disability, andunemployment insurance) cover all employees in the manner prescribed by law.





The following benefits are available to eligible employees:

y

Casual Annual Leavey Holidays

y Compensatory Off

y Family Leave

y Entertainment Allowance

3 - 0 1 - 0 1 A n n u a l C a s u a l L e a v e B e n e f i t s

Vacation Casual leavetime off with pay is available to all the employees to provide opportunitiesfor rest, relaxation, and personal pursuits. The Firm expects absolute dedication and sincerity of its employees and casual leave will be granted depending on work priorities and volume of work.Under all circumstances employees will be required to get the leave approved by their supervisorin advance and non-compliance may lead to disciplinary action. OEmployees will be entitled toone working day off each month will be provided. The employees may utilise this day off by taking a vacationleave. In case they don·t take an off, then it will be paid off in the same month·ssalary as extra pay for one day. employees will be paid for unused vacation time that has beenearned through the last day of work.Any leave beyond the regular entitlement of one1 working day each month will be granted at Management·s discretion.

3 - 0 1 - 0 2 H o l i d a y s B e n e f i t sG.C. Garg & Associates will also follows a policy of compulsory holidays to grant holiday timeoff to all employees on major festivals and national holidays. A total of [ ] compulsory holidays shall be granted to all employees and the office shall be closed on these days. The list of holidays shall be released by the management at the beginning of each year and shall becirculated to all the employees. the holidays listed below:

y New Year·s Day (January 1)

y Republic Day (January 26)

y Labor Day (May 1)

y Christmas (December 25)

y New Year·s Eve (December 31)-----more to be included

G.C. Garg & Associates will grant paid holiday time off to all eligible employees for the daysprescribed as aboveas compulsory holidays including all national holidays.If due to emergency or urgent work assignment any employee is required to work on any of these holidays, they shallbe paid separately for such day worked and will also compensated by another compensatory day off on a working day after approval by the management.

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3 - 0 1 - 0 3 C o m p e n s a t o r y O f f

If any employee works on a holiday, he shall be given additional pay for the day work along witha compensatory off.

3 - 0 1 - 0 4 F a m i l y O f f

Employees will be paid for up to three days to in case of event of death of a close relative, suchas a spouse, children, parents, grandparents, siblings and corresponding in-laws. If additionaltime off is required, employees should talk to the management.

If a recognized holiday falls during an eligible employee·s paid absence (e.g., vacation, sick leave),the employee will be ineligible for holiday pay.

3 - 0 1 - 0 5 E n t e r t a i n m e n t A l l o w a n c e

The Firm shall earmark a separate entertainment allowance every month for each employee to be

maintained by the management for the benefit of its employees. All employees shall be paid aprescribed sum of amount per month as entertainment allowance.Such sum shall be accrued and

will be utilised for employees entertainment including outings, dinners, lunch parties, birthdaysand festival celebrations.

The amount shall be decided be the management and maybe changed from time to time.

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4 - 0 1 R e s p o n s i b i l i t i e s P a y d a y s

4 - 0 1 - 0 1 Wo r k S c h e d u l e s Work schedules for employees in G.C. Garg & Associates is 9:00 a.m. to 8:00 p.m. as a standard workday. The standard working days would be from Monday to Saturday. The standard lunchbreak across the firm is from 1:00 p.m. to 2:00 p.m. Staffing needs and operational demands may necessitate variations in starting and ending times, as well as variations in the total hours thatmay be scheduled each day and week. All employees are required to fill the timesheets regularly and sincerely on a daily basis with accurate in-time and out-time. Management may take strictaction against those employees who are found violating this rule in any manner.

4 - 0 1 - 0 2 U s e o f P h o n e

G.C. Garg & Associates provides all its employees with a mobile phone and cug connectionstrictly for official usage. Personal use of the telephone for long-distance and toll calls is notpermitted. Employees should practice discretion when making local personal calls and may berequired to reimburse G.C. Garg & Associates for any charges resulting from their personal useof the telephone and the mobile phone. To ensure effective telephone communications,employees should always use the approved greeting (´Good morning/ good afternoon/ goodevening, G.C.Garg & Associates, this is [ Employee Name], how may I help youµ) and speak in acourteous and professional manner. Please confirm information received from the caller andhang up only after the caller has done so.

4 - 0 1 - 0 3 E m a i l p o l i c y

All the employees would be given separate mail ids on the firm·s domain to start official and

business communication. Please keep in mind the following while using the official mail ids:1. Email facilities are provided for formal business correspondence.

2. Take care to maintain the confidentiality of sensitive information. If emails need to bepreserved, they should be backed up and stored offsite.





3. Limited private use of email is allowed if it doesn·t interfere with or distract from anemployee·s work. However, management has the right to access incoming and outgoing

email messages to check if an employee·s usage or involvement is excessive orinappropriate.

4. Non-essential email, including personal messages, should be deleted regularly from the¶Sent Items·, ¶Inbox· and ¶Deleted Items· folders to avoid congestion.

5. All emails sent must include the approved business disclaimer.

To protect the firm from the potential effects of the misuse and abuse of email, the following instructions are for all users.

1. No material is to be sent as email that is defamatory, in breach of copyright or businessconfidentiality, or prejudicial to the good standing of the firm in the community or to itsrelationship with staff, clients, suppliers and any other person or business with whom ithas a relationship.

2. Email must not contain material that amounts to gossip about colleagues or that could beoffensive, demeaning, persistently irritating, threatening, discriminatory, involves theharassment of others or concerns personal relationships.

3. The email records of other persons are not to be accessed except by management (orpersons authorised by management) ensuring compliance with this policy, or by authorised staff who have been requested to attend to a fault, upgrade or similarsituation. Access in each case will be limited to the minimum needed for the task.

4. When using email a person must not pretend to be another person or use anotherperson·s computer without permission.

5. Excessive private use, including mass mailing, ´reply to allµ etc. that are not part of theperson·s duties, is not permitted.

6. Failure to comply with these instructions is a performance improvement offence and willbe investigated. In serious cases, the penalty for breach of policy, or repetition of anoffence, may include dismissal.

4 - 0 1 - 0 4 I n t e r n e t U s a g e

Internet access to global electronic information resources on the World Wide Web is providedby G.C. Garg & Associates to assist employees in obtaining work-related data and technology.

The following guidelines have been established to help ensure responsible and productiveInternet usage. While Internet usage is intended for job-related activities, incidental andoccasional brief personal use of e-mail and the Internet is permitted within reasonable limits.

Data that is composed, transmitted, accessed, or received via the Internet must not containcontent that could be considered discriminatory, offensive, obscene, threatening, harassing,intimidating, or disruptive to any employee or other person. Examples of unacceptable contentmay include, but are not limited to, sexual comments or images, racial slurs, gender-specificcomments, or any other comments or images that could reasonably offend someone on the basis





of race, age, sex, religious or political beliefs, national origin, disability, sexual orientation, or any other characteristic protected by law.

The unauthorized use, installation, copying, or distribution of copyrighted, trademarked, orpatented material on the Internet is expressly prohibited. As a general rule, if an employee didnot create material, does not own the rights to it, or has not gotten authorization for its use, itshould not be put on the Internet. Employees are also responsible for ensuring that the personsending any material over the Internet has the appropriate distribution rights. Any questionsregarding the use of such information should be brought to our General Counsel.

Internet users should take the necessary anti-virus precautions before downloading or copying any file from the Internet. All downloaded files are to be checked for viruses; all compressed filesare to be checked before and after decompression.

Abuse of the Internet access provided by the firm in violation of the law or the firm·s policies will result in disciplinary action, up to and including termination of employment. Employees may also be held personally liable for any violations of this policy. The following behaviors areexamples of actions and activities that are prohibited and can result in disciplinary action:y Sending or posting discriminatory, harassing, or threatening messages or imagesy Using the firm·s time and resources for personal gainy Stealing, using, or disclosing someone else·s code or password without authorizationy Copying, pirating, or downloading software and electronic files without permissiony Sending or posting confidential material, trade secrets, or proprietary information outside of

the organizationy Violating copyright law y Failing to observe licensing agreementsy Engaging in unauthorized transactions that may incur a cost to the organization or initiate

unwanted Internet services and transmissionsy Sending or posting messages or material that could damage the organization·s image or

reputationy Participating in the viewing or exchange of pornography or obscene materialsy Sending or posting messages that defame or slander other individualsy Attempting to break into the computer system of another organization or persony Refusing to cooperate with a security investigationy Sending or posting chain letters, solicitations, or advertisements not related to business

purposes or activitiesy Using the Internet for political causes or activities, religious activities, or any sort of gambling y Jeopardizing the security of the organization·s electronic communications systemsy Sending or posting messages that disparage another organization·s products or servicesy Passing off personal views as representing those of the organizationy Sending anonymous e-mail messages





y Engaging in any other illegal activities

4 - 0 1 - 0 5 S m o k i n g p o l i c yG.C. Garg & Associates has a non-smoking policy. Smoking is not permitted in offices at any time.

Smokers who need to take breaks should do so in their allotted breaks (no more thana total of [ 20 minutes per day in addition to their lunch break). Each break must be limited to 5 minutesfrom leaving the workplace to recommencing work. These breaks must not be taken at theentrance to the firm·s office . Excessive smoking breaks will be regarded as absenteeism andperformance improvement action may be taken.

4 - 0 1 - 0 6 A l c o h o l & d r u g s p o l i c y

G.C. Garg & Associates is concerned by factors affecting an employee·s ability to safely andeffectively do their work to a satisfactory standard. The business recognises alcohol or other drug abuse can impair short-term or long-term work performance and is an occupational health andsafety risk.

The firm will do its utmost to create and maintain a safe, healthy and productive workplace forall employees. The firm has a zero tolerance policy in regards to the use of illicit drugs on theirpremises or the attending of other business related premises (e.g. clients) while under theinfluence of illicit drugs. Contravening either of these points may lead to instant dismissal.

The firm does not tolerate attending work under the influence of alcohol. This may result inperformance improvement action or dismissal.

4 - 0 1 - 0 7 R e s t a n d M e a l P e r i o d s All employees are provided with one one-hour meal period each workday. Management willschedule meal periods to accommodate operating requirements. Employees will be relieved of allactive responsibilities and restrictions during meal periods. Brief rest periods will be allowed, asdecided by the management.

4 - 0 1 - 0 8 Wo r k p l a c e Vi o l e n c e P r e v e n t i o n

G.C. Garg & Associates is committed to preventing workplace violence and to maintaining asafe work environment.

All employees, including supervisors and temporary employees, should be treated with courtesy and respect at all times. Employees are expected to refrain from fighting, ´horseplay,µ or otherconduct that may be dangerous to others. Firearms, weapons, and other dangerous or hazardousdevices or substances are prohibited from the premises of the firm. without properauthorization.

All suspicious individuals or activities should also be reported as soon as possible to a supervisor.Do not place yourself in peril. If you see or hear a commotion or disturbance near your

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workstation, do not try to intercede or see what is happening. The firm will promptly andthoroughly investigate all reports of threats of (or actual) violence and of suspicious individuals

or activities. The identity of the individual making a report will be protected as much as ispractical.

5 - 0 1 Te r m s o f S e r v i c e

5 - 0 1 - 0 1 P a y d a y s

All employees are paid monthly on the first day of the month. Each paycheck will includeearnings for all work performed through the endof the previous payroll period plus pay amountfor the un-availed leaves for the month.

In the event that a regularly scheduled payday falls on a day off, such as a weekend or holiday,employees will receive pay on the last next day of work before after the regularly scheduledpayday.

If a regular payday falls during an employee·s vacation, the employee may receive his or herearned wages before departing after returning f orom vacation if a written request is submitted atleast one week prior to departing for vacation.

5 - 0 1 4 - 0 1 2 E m p l o y m e n t Te r m i n a t i o n

Termination of employment is an inevitable part of personnel activity within any organizationand many of the reasons for termination are routine. Below are examples of some of the mostcommon circumstances under which employment is terminated:

resignation³voluntary employment termination initiated by an employee.

discharge³involuntary employment termination initiated by the firm.

layoff³involuntary employment termination initiated by the firm because of changes in thefirm.

retirement³voluntary employment termination initiated by the employee meeting age, lengthof service, and any other criteria for retirement from the firm.

G.C. Garg & Associates will generally schedule exit interviews at the time of employmenttermination. The exit interview will afford an opportunity to discuss such issues as employee





benefits, conversion privileges, repayment of outstanding debts to the firm, or return of firm-owned property. Suggestions, complaints, and questions can also be voiced.

Nothing in this policy is intended to change the company·s at-will employment policy. Sinceemployment with the firm is based on mutual consent, both the employee and the firm have theright to terminate employment at will, with a two month·s notice, at any time. Employees willreceive their final pay in accordance with applicable state law.

5 - 0 1 4 - 0 2 3 A d m i n i s t r a t iv e P a y C o r r e c t i o n s G.C. Garg & Associates takes all reasonable steps to ensure that employees receive the correctamount of pay in each paycheck and that employees are paid promptly on the scheduled payday.

In the unlikely event that there is an error in the amount of pay, the employee should promptly bring the discrepancy to the attention of the management so that corrections can be made asquickly as possible.

5 - 0 1 Wo r k S c h e d u l e s (Working days Monday to Saturday) Work schedules for employees in G.C. Garg & Associates is9:00 a.m. to 8:00 p.m. as a standard workday. The standard lunch break across the firm is from1:00 p.m. to 2:00 p.m. Staffing needs and operational demands may necessitate variations instarting and ending times, as well as variations in the total hours that may be scheduled each day and week. All employees are required to fill the timesheets regularly and sincerely on a daily basis

with accurate in-time and out-time. Management may take strict action against those employees who are found violating this rule in any manner.

5 - 0 2 U s e o f P h o n e

(Mobile phone usage and CUG) Personal use of the telephone for long- distance and toll calls isnot permitted. Employees should practice discretion when making local personal calls and may be required to reimburse G.C. Garg & Associates for any charges resulting from their personaluse of the telephone. To ensure effective telephone communications, employees should alwaysuse the approved greeting (´Good Morningmorning/ good afternoon/ good evening, G.C.Garg

& Associates, this is [ Employee Name], how may I help youµ or ´Good Afternoon, G.C.Garg & Associates,µ as applicable) and speak in a courteous and professional manner. Please confirminformation received from the caller and hang up only after the caller has done so.

5 - 0 3 E m a i l p o l i c y

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All the employees would be given separate mail ids on the firm·s domain to start official andbusiness communication. Please keep in mind the following while using the official mail ids:

1. Email facilities are provided for formal business correspondence.

2. Take care to maintain the confidentiality of sensitive information. If emails need to bepreserved, they should be backed up and stored offsite.

3. Limited private use of email is allowed if it doesn·t interfere with or distract from anemployee·s work. However, management has the right to access incoming and outgoing email messages to check if an employee·s usage or involvement is excessive orinappropriate.

4. Non- essential email, including personal messages, should be deleted regularly from the¶Sent Items·, ¶Inbox· and ¶Deleted Items· folders to avoid congestion.

5. All emails sent must include the approved business disclaimer.

To protect the firm from the potential effects of the misuse and abuse of email, the following instructions are for all users.

1. No material is to be sent as email that is defamatory, in breach of copyright or businessconfidentiality, or prejudicial to the good standing of the firm in the community or to itsrelationship with staff, clients, suppliers and any other person or business with whom ithas a relationship.

2. Email must not contain material that amounts to gossip about colleagues or that could beoffensive, demeaning, persistently irritating, threatening, discriminatory, involves theharassment of others or concerns personal relationships.

3. The email records of other persons are not to be accessed except by management (orpersons authorised by management) ensuring compliance with this policy, or by authorised staff who have been requested to attend to a fault, upgrade or similarsituation. Access in each case will be limited to the minimum needed for the task.

4. When using email a person must not pretend to be another person or use anotherperson·s computer without permission.

5. Excessive private use, including mass mailing, ´reply to allµ etc. that are not part of theperson·s duties, is not permitted.

6. Failure to comply with these instructions is a performance improvement offence and willbe investigated. In serious cases, the penalty for breach of policy, or repetition of anoffence, may include dismissal.

5 - 0 4 I n t e r n e t U s a g e

Internet access to global electronic information resources on the World Wide Web is providedby G.C. Garg & Associates to assist employees in obtaining work-related data and technology.

The following guidelines have been established to help ensure responsible and productive





Internet usage. While Internet usage is intended for job-related activities, incidental andoccasional brief personal use of e-mail and the Internet is permitted within reasonable limits.

All Internet data that is composed, transmitted, or received via our computer communicationssystems is considered to be part of the offici al records of the firm and, as such, is subject todisclosure to law enforcement or other third parties. Employees should expect only the level of privacy that is warranted by existing law and no more. Consequently, employees should alwaysensure that the business information contained in Internet e-mail messages and othertransmissions is accurate, appropriate, ethical, and lawful. Any questions regarding the legaleffect of a message or transmission should be brought to our General Counsel.

Data that is composed, transmitted, accessed, or received via the Internet must not containcontent that could be considered discriminatory, offensive, obscene, threatening, harassing,intimidating, or disruptive to any employee or other person. Examples of unacceptable contentmay include, but are not limited to, sexual comments or images, racial slurs, gender-specificcomments, or any other comments or images that could reasonably offend someone on the basisof race, age, sex, religious or political beliefs, national origin, disability, sexual orientation, or any other characteristic protected by law.

The unauthorized use, installation, copying, or distribution of copyrighted, trademarked, orpatented material on the Internet is expressly prohibited. As a general rule, if an employee didnot create material, does not own the rights to it, or has not gotten authorization for its use, itshould not be put on the Internet. Employees are also responsible for ensuring that the personsending any material over the Internet has the appropriate distribution rights. Any questionsregarding the use of such information should be brought to our General Counsel.

Internet users should take the necessary anti-virus precautions before downloading or copying any file from the Internet. All downloaded files are to be checked for viruses; all compressed filesare to be checked before and after decompression.

Abuse of the Internet access provided by the firm in violation of the law or the firm·s policies

will result in disciplinary action, up to and including termination of employment. Employees may also be held personally liable for any violations of this policy. The following behaviors areexamples of actions and activities that are prohibited and can result in disciplinary action:y Sending or posting discriminatory, harassing, or threatening messages or imagesy Using the firm·s time and resources for personal gainy Stealing, using, or disclosing someone else·s code or password without authorizationy Copying, pirating, or downloading software and electronic files without permissiony Sending or posting confidential material, trade secrets, or proprietary information outside of

the organizationy Violating copyright law y Failing to observe licensing agreementsy Engaging in unauthorized transactions that may incur a cost to the organization or initiate

unwanted Internet services and transmissionsy Sending or posting messages or material that could damage the organization·s image or

reputation





y Participating in the viewing or exchange of pornography or obscene materialsy Sending or posting messages that defame or slander other individualsy Attempting to break into the computer system of another organization or persony Refusing to cooperate with a security investigationy Sending or posting chain letters, solicitations, or advertisements not related to business

purposes or activitiesy Using the Internet for political causes or activities, religious activities, or any sort of gambling y Jeopardizing the security of the organization·s electronic communications systemsy Sending or posting messages that disparage another organization·s products or servicesy Passing off personal views as representing those of the organizationy Sending anonymous e-mail messagesy Engaging in any other illegal activities

5 - 0 5 S m o k i n g p o l i c y

G.C. Garg & Associates has a non-smoking policy. Smoking is not permitted in offices at any time.

Smokers who need to take breaks should do so in their allotted breaks (no more than a total of [ X 20 minutes per day in addition to their lunch break). These breaksEach break must be limitedto X 5 minutes from leaving the workplace to recommencing work. These breaks must not betaken at the entrance to the firm·s office . Excessive smoking breaks will be regarded asabsenteeism and performance improvement action may be taken.

5 - 0 6 A l c o h o l & d r u g s p o l i c y

G.C. Garg & Associates is concerned by factors affecting an employee·s ability to safely andeffectively do their work to a satisfactory standard. The business recognises alcohol or other drug abuse can impair short-term or long-term work performance and is an occupational health andsafety risk.

The firm will do its utmost to create and maintain a safe, healthy and productive workplace forall employees. The firm has a zero tolerance policy in regards to the use of illicit drugs on theirpremises or the attending of other busin ess related premises (e.g. clients) while under theinfluence of illicit drugs. Contravening either of these points may lead to instant dismissal.

The firm does not tolerate attending work under the influence of alcohol. This may result inperformance improvement action or dismissal.

5 - 0 7 R e s t a n d M e a l P e r i o d s





All employees are provided with one one-hour meal period each workday. Management willschedule meal periods to accommodate operating requirements. Employees will be relieved of all

active responsibilities and restrictions during meal periods. Brief rest periods will be allowed, asdecided by the management.

5 - 0 8 Wo r k p l a c e Vi o l e n c e P r e v e n t i o n

__________ Company is committed to preventing workplace violence and to maintaining a safe work environment. Given the increasing violence in society in general, __________ Company has adopted the following guidelines to deal with intimidation, harassment, or other threats of (or actual) violence that may occur during business hours or on its premises.

All employees, including supervisors and temporary employees, should be treated with courtesy and respect at all times. Employ ees are expected to refrain from fighting, ´horseplay,µ or otherconduct that may be dangerous to others. Firearms, weapons, and other dangerous or hazardousdevices or substances are prohibited from the premises of __________ Company withoutproper authorization.

Conduct that threatens, intimidates, or coerces another employee, a customer, or a member of the public at any time, including off-duty periods, will not be tolerated. This prohibition includesall acts of harassment, including harassment that is based on an individual·s sex, race, age, or any characteristic protected by federal, state, or local law.

All threats of (or actual) violence, both direct and indirect, should be reported as soon aspossible to your immediate supervisor or any other member of management. This includesthreats by employees, as well as threats by customers, vendors, solicitors, or other members of the public. When reporting a threat of violence, you should be as specific and detailed aspossible.

All suspicious individuals oractivities should also be reported as soon as possible to a supervisor.Do not place yourself in peril. If you see or hear a commotion or disturbance near your

workstation, do not try to intercede or see what is happening. __________ Company willpromptly and thoroughly investigate all reports of threats of (or actual) violence and of suspicious individuals or activities. The identity of the individual making a report will beprotected as much as is practical.

Anyone determined to be responsible for threat s of (or actual) violence or other conduct that isin violation of these guidelines will be subject to prompt disciplinary action, up to and including termination of employment.

__________ Company encourages employees to bring their disputes or differenceswith otheremployees to the attention of their supervisors or the Human Resources Department before the

situation escalates into potential violence. __________ Company is eager to assist in theresolution of employee disputes and will not discipline employees for raising such concerns.





5 6 - 0 1 - 0 3 E m p l o y e e C o n d u c t a n d Wo r k R u l e s

To ensure orderly operations and provide the best possible work environment, G.C. Garg & Associates expects employees to follow rules of conduct that will protect the interests and safety of all employees and the firm.

It is not possible to list all the forms of behavior that are considered unacceptable in the workplace. The following are examples of infractions of rules of conduct that may result indisciplinary action, up to and including termination of employment:

y Theft or inappropriate removal or possession of property

y Falsification of timekeeping records

y Working under the influence of alcohol or illegal drugs

y Possession, distribution, sale, transfer, or use of alcohol or illegal drugs in the workplace, while on duty or while operating employer-owned vehicles or equipment

y Fighting or threatening violence in the workplace

y Boisterous or disruptive activity in the workplace





y Negligence or improper conduct leading to damage of employer-owned or client-ownedproperty

y Insubordination or other disrespectful conduct

y Violation of safety or health rules

y Smoking in the workplace

y Sexual or other unlawful or unwelcome harassment

y Possession of dangerous or unauthorized materials, such as explosives or firearms, in the workplace

y Excessive absenteeism or any absence without notice

y Unauthorized disclosure of business ́ secretsµ or confidential information

y Violation of personnel policies

y Unsatisfactory performance or conduct

5 6 - 0 1 - 0 4 2 A t t e n d a n c e a n d P u n c t u a l i t y

To maintain a safe and productive work environment, G.C.Garg & Associates expectsemployees to be reliable and to be punctual in reporting for scheduled work. Absenteeism andtardiness place a burden on other employees and on the firm. Employees are expected tosincerely fill the timesheets daily and submit to the supervisor. In the rare instances whenemployees cannot avoid being late to work or are unable to work as scheduled, they shouldnotify their supervisor as soon as possible in advance of the anticipated tardiness or absence.

Poor attendance and excessive tardiness are disruptive. Either may lead to disciplinary action, upto and including termination of employment.

5 - 0 1 6 - 0 5 3 P e r s o n a l A p p e a r a n c e

Dress, grooming, and personal cleanliness standards contribute to the morale of all employeesand affect the business image that G.C. Garg & Associates presents to the community.

During business hours or when representing the firm , you are expected to present a clean, neat,and tasteful appearance. You should dress and groom yourself according to the requirements of your position and accepted social standards. Please refer to the separate dress code policy of theFirm for further details.

hr policy and procedure manual

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