Prevention of Harassment, Prohibition and Redressal Guideline

Objective:

Finastra India (“Finastra” or the “Company”) believes in ensuring an environment that champions an individual’s status and respect. The Company will not tolerate any action that is injurious to an individual’s dignity and is committed to providing an environment free from attitudes and behavior that could undermine this commitment. Finastra expects similar sentiments from all employees and expects to receive full co-operation and commitment in this regard.

Harassment interferes with an individual’s personal right to work and can lower morale, cause stress, anxiety, fear, ill-health and/or interfere with the effectiveness of employees. Finastra strictly prohibits all forms of sexual harassment whether verbal, physical or environmental and whether based on gender, gender identity or sexual orientation.

The Company recognizes that its employees have the right to a working environment which is free of the discrimination and intimidation created by harassment and undertakes to promote such an environment.

Finastra is committed to providing a workplace that is free of harassment and bullying irrespective of their gender, race, caste, creed, religion, place of origin, sexual orientation, disability, or economic status. The Company’s employees have the right to work in an environment free from any form of discrimination and conduct which can be considered harassing, coercive, or disruptive particularly behaviours that are tantamount to sexual harassment as defined in this policy. This policy (“Policy”) will assist individuals who believe they have been subjected to sexual harassment to seek support and remedial action.

Scope:

This policy covers all employees of Finastra, irrespective of gender, including permanent employees, contract workers, probationers, trainees, interns, consultants, employees at client’s site (“Employees”) and all applicants, suppliers, customers, vendors or contractors, visitors or any person working for/with Finastra but not necessarily on Finastra’s payroll (collectively referred to as “Other(s)” for the limited purpose of this policy). This policy shall apply to all incidents of sexual harassment which occur between Employees and Others; arising or related to the workplace whether on or off Finastra premises and may also include a complaint by a third party against a Finastra employee or Others where such third party and Finastra employee or Others’ were involved in an activity pertaining to Finastra. Any Employee or Others found to violate this policy will be subject to appropriate disciplinary proceedings and action, up to and including termination of employment or engagement.

Definition:

“Sexual Harassment” means and includes any unwelcome act or behavior, whether direct or indirect, including physical contact and advances, or unwelcome sexual advances, requests for sexual favors and all other verbal, visual or physical conduct of a sexual nature.

“Unwelcome sexual conduct” means and includes any unwelcome advances, unwelcome texts, graphic representations, verbal comments, or electronic media or messages of a sexual nature to a person, in a person’s presence or about another person.

CONSTITUENTS OF SEXUAL HARASSMENT:

Conduct that is unwelcome, unwanted, uninvited, unreasonable, and/or offensive to the Complainant which the Complainant considers to adversely affects their own dignity.
Physical contact is not an essential factor for Sexual Harassment.
A person’s rejection of or submission to such conduct is used explicitly or implicitly as a basis for a decision which affects that person’s job.
Conduct that creates an intimidating, hostile or humiliating working environment for the Complainant.
Sexual Harassment includes conduct related to or arising out of Finastra employment or the Finastra workplace. Hence, behaviour occurring outside the office, for example in the cafeteria, on business travel in a flight or hotel, place of visit for official purpose such as client premises, offices, official events, etc. are covered. Additionally, behaviour that occurs during Work From Home arrangements and which would fall within the ambit of Sexual Harassment at the workplace (as defined above) are also covered within the ambit of this Policy. “Work From Home” here refers to a situation wherein Employees are working from a remote location which is not the Organization’s physical premises, client/ vendor premises, or any other location within the ambit of Workplace as defined under this policy.. Sexual harassment may include behaviour which takes place outside of office hours or outside of the office if there is a connection arising out of Finastra employment or workplace. A few examples of Sexual Harassment in a Work From Home arrangement are given below.
The Respondent can be whomsoever, including but not limited to the victim’s direct or indirect manager, supervisor, sub-ordinate, trainer, colleague, mentor, co-worker, vendor, contractor or agent of the Employer.

Whether a particular act or conduct could amount to Sexual Harassment would depend on the specifics of the behaviour and the circumstances; examples of Sexual Harassment may include but are not limited to, the following:

Unwanted advances or propositions
Offering employment benefits in exchange for sexual favors
Leering
Making sexual gestures
Displaying sexually suggestive objects or pictures, cartoons, calendars or posters, either personally, physically or on a virtual platform used to interact with co-workers
Making or using derogatory comments, comments or innuendos about a person’s body or shape, dress, slurs, epithets, or sexually suggestive jokes
Written communications of a sexual nature distributed through any medium
Physical conduct such as unwanted touching, assault, impeding or blocking movements
Making or threatening retaliation after a negative response to sexual advances or for reporting or threatening to report sexual harassment
Eve-teasing
Sexually-charged remarks, whistling, staring, sexually slanted and obscene jokes, jokes causing or likely to cause awkwardness or embarrassment
Displaying pornographic or other sexually offensive or derogatory material
Unwelcomed invitations for dates
Forcible/ Unwelcomed physical touch or physical assault or molestation
Suggesting or implying that failure to accept a request for a date or sexual favors would adversely affect the individual in respect to performance evaluation or promotion or other treatment in the workplace
Explicitly or implicitly suggesting sexual favors in return for hiring, compensation, promotion, retention decision, relocation, or allocation of job/responsibility/work
Any act or conduct by a person in authority which denies or would deny equal opportunity in pursuit of career development or otherwise making the environment at the work place hostile or intimidating to a person, only on the ground of such individual providing or refusing sexual favor
Physical confinement against one’s will and any other act likely to violate one’s personal boundaries.
- Inappropriate sexual behavior sounds and/or background on official telephonic or virtual calls and/or meetings.

A further indicative list of behaviors that constitute Sexual Harassment is enclosed at Appendix A.

Please note that this section is not exhaustive, and the Company reserves the discretion to decide through its established Internal Committee or by addition to this policy, if certain acts or behavior constitute Sexual Harassment within the framework of applicable law and this Policy.

A person shall be in violation of this Policy if he/she indulges in conduct constituting any of the acts of Sexual Harassment set out above or he/she indulges in any conduct that may be reasonably perceived as unwelcome sexual conduct, sexual harassment or any of the acts mentioned above. Any violation of this policy will be treated as an act of grave misconduct.

Further, the following circumstances may amount to Sexual Harassment if it occurs or is present in relation to any other act of Sexual Harassment:

implied or explicit promise of preferential treatment in employment
implied or explicit threat of detrimental treatment in employment
implied or explicit threat about present or future employment status
interference with work or creating an intimidating or offensive or hostile work environment; or
humiliating treatment likely to affect health or safety.

“Workplace” means and includes the offices of the Organization as well as the premises of other third parties, vendors and associates of the Organization where the Employees of the Organization are required to perform work or that are visited by the Employees of the Organization arising out of or during the course of employment and includes transportation provided by the Organization for undertaking any journey, in connection with the business of the Organization.

PROHIBITION OF WORKPLACE SEXUAL HARASSMENT

The Company has a ‘zero-tolerance’ approach to any instance of Sexual Harassment. Sexual Harassment of any individual at the Company’s workplace, whether during or after office hours, is strictly prohibited under law and this Policy.

INTERNAL COMMITTEE

The Company has constituted an Internal Committee (“IC”) to investigate into allegations of Sexual Harassment at the Workplace. The Company reserves the right to add to, remove or replace the IC members and will update such details from time to time.

Refer to Appendix B for Internal Committee details.

Procedure:

If an Employee or Other believes that he/she has been subjected to Sexual Harassment or has observed a conduct which is or may be construed as sexual harassment, he/she should report the incident immediately in writing (email/letter) to the Internal Committee at FinastraIndia.POSH@Finastra.com) (“Internal Committee” or “IC”). The IC will be headed by a senior woman employee and shall consist of not less than two Members and one member from amongst non-governmental organizations or associations committed to the cause of women or a person familiar with the issues relating to sexual harassment (“External Member”). One half of the total Members so nominated shall be women. The quorum for any Committee meeting shall be a minimum of 3 members including the Presiding Officer and the External Member.

In the event the Complainant is unable to make a complaint on account of the Complainant’s physical or mental incapacity or death or any other reason which prevents the Complainant from making a complaint, then the Complainant’s legal heir or any other person eligible to make such complaint under applicable law, may make the complaint on the Complainant’s behalf under the Policy:

Filing a complaint: Ideally, any incident of Sexual Harassment must be reported immediately. However, in the event that the Employee or Other is unable to immediately report the incident, he or she may do so within three (3) months of the date of incident and where there have been a series of incidents within three (3) months from the date of the last incident. If the Employee or Other fails to report the incident within three (3) months of it taking place, the Internal Committee may extend this period for another three (3) months (at its discretion), if it is satisfied about the reasons for failing to report the incident within the stipulated time period.

RESOLUTION PROCESS

Inquiry: Any complaint received will be investigated by the Internal Committee promptly and discreetly in accordance with applicable law. The Internal Committee will send a copy of the complaint to the Respondent within seven (7) working days of its receipt. Further, the Respondent will be required to send his or her reply within ten (10) working days from the receipt of the complaint. Both the Complainant and the Respondent can each submit the names and addresses of their respective witnesses, which shall be kept confidential by the Internal Committee. The Internal Committee will review the list of witnesses so submitted and may request exclusion of such witnesses that the Committee deems to be solely character witness. The Complainant and the Respondent will have the right to present their cases in writing or verbally (which would be reduced to writing) and the Internal Committee may use audio/video recording or written record in order to prevent any misreporting or misunderstanding. The Internal Committee may seek validation and confirmation of the contents of submissions made by both the Complainant and the Respondent. Further, the Complainant and the Respondent will each be given an opportunity for cross-examination of the other’s statements and submissions and those of their respective witnesses. The mode of such cross-examination will be subject to the Internal Committee’s sole discretion to decide whether the cross examination will be in-person or only by way of review and written response to the respective statements of the Complainant and the Respondent and that of their witnesses. The IC shall follow the principles of natural justice during the course of the proceedings.

The IC may at its discretion conduct the inquiry ex-parte if the Complainant or the Respondent fails without sufficient cause to present themselves for 3 (three) consecutive hearings convened by IC. However, such ex-parte order may not be passed without giving a notice in writing at least 15 (fifteen) days in advance to the party remaining absent from the proceedings.

Neither the Complainant nor the Respondent is allowed to bring legal practitioners to represent them before the Internal Committee.

For the purpose of making an inquiry, the IC shall have the same powers as are vested in a civil court under the Code of Civil Procedure, 1908 when trying a suit in respect of the following matters, namely:

summoning and enforcing the attendance of any person and examining him on oath
requiring the discovery and production of documents; and
any other matter as may be prescribed.

The entire process of inquiry will be completed within ninety (90) days. The Internal Committee may seek the support of the People team for fact finding and assessment of the case as required.

During the pendency of the inquiry, the Complainant may seek the transfer of the Respondent or his/her own transfer to some other department or leave up to three (3) months or restrain the alleged offender from reporting on the work performance of the Complainant or writing his/her confidential reports. The Internal Committee will consider such requests before granting them and look at the necessity of the transfer/leave/restraint before granting such request.

Note: In the event that the Complainant is granted leave in accordance with this Policy, such leaves shall be in addition to the leave the Complainant is otherwise entitled to.

While the inquiry/ conciliation proceedings shall ordinarily be conducted face-to-face with the parties and witnesses physically appearing for meetings at the office premises or any other location specified by the IC, in certain circumstances, the IC may allow the parties or witnesses to appear before it through videoconference or telephonic means and adhere to such meeting protocols for such virtual appearances as may be communicated by the IC, from time to time.

Conciliation

The Internal Committee before initiating an inquiry may, at the request of the Complainant, recommend an initial conciliation process between the Complainant and the alleged offender/Respondent. However, no monetary settlement shall be made the basis of the conciliation. If the conciliation is successful, no further investigation would be conducted. However, if the complaint cannot be settled through conciliation or if the Respondent breaches the terms of the settlement, the Internal Committee will initiate an inquiry.

In the event that the Internal Committee, after due investigation finds that the complaint does not fall under the purview of Sexual Harassment, the Internal Committee will close the investigation after recording the reasons thereof.

Inquiry Report

The IC shall provide Report of the findings to the Employer (Head of People Team - India) and both the parties within a period of (10) ten days from the date of completion of inquiry.
The Employer shall act upon the recommendation within (60) sixty days of the receipt of the findings report.
If the IC arrives at the conclusion that the allegation against the Respondent has not been proved, it shall recommend to the Employer that no action is required to be taken.
If the IC arrives at the conclusion that the allegation against the Respondent has been proved, it shall recommend to the Employer appropriate action as per the POSH Act.

Penalties

Any person found guilty of violating this Policy as substantiated by data and facts, will be subject to any of the below-mentioned disciplinary action(s), leading up to and including termination of services, based on the severity of the case.

Written apology
Warning
Reprimand or censure
With-holding of promotion
With-holding of pay rise or increments
Terminating of service
Undergoing a counselling session
Carrying out community service
Monetary compensation

If necessary, Finastra may also initiate an action in accordance with the law by making a complaint with an appropriate authority where such conduct amounts to an offence under the Indian Penal Code.

The Complainant and the Respondent shall have the right to appeal in accordance with the appeal process laid down under applicable law.

For the purpose of this Policy, any investigation and inquiry conducted by the Internal Committee will be treated as an investigation and inquiry conducted by the disciplinary committee and all action taken by the Internal Committee or a body within Finastra, pursuant to such investigation/inquiry shall be treated as that taken by the disciplinary committee in the course of and pursuant to a disciplinary inquiry.

Employees should know that it is unlawful to retaliate against any Employee or Other for filing a complaint of sexual or other harassment or for cooperating in an investigation of such a complaint. Any incidents of retaliation or further harassment are in themselves violations of this Policy and should be reported to the People Team immediately.

In the event that the Internal Committee concludes that the complaint lodged is false or malicious or that misleading documents have been produced, disciplinary action shall be taken against the Complainant. However, mere inability to substantiate a complaint or provide evidence to corroborate the complaint will not attract any action against the Complainant.

CONFIDENTIALITY

All incidents/grievances reported will be treated seriously, sensitively and with utmost confidentiality as is practically possible. Contents of the complaint, the identity and addresses of the Complainant, respondent and witnesses, any information relating to conciliation and inquiry proceedings, recommendations of the IC and the action taken by the Company shall be treated as confidential.

If any person entrusted with the duty to handle the complaint, inquiry or any recommendations of the IC, contravenes his/her confidentiality obligation, he/she shall be liable to disciplinary action, in accordance with the provisions of the Company policies, as applicable.

Any information provided to the Internal Committee, Human Resources, or Management of Finastra, shall be treated in a confidential manner to the extent possible and appropriate. Additionally, anyone involved in the investigation of such complaints received under this policy will ensure complete confidentiality. Any breach of confidentiality by any employee will be considered grave misconduct and will be grounds for disciplinary action including and up to termination.

CONSENSUAL RELATIONSHIPS

The Company believes romantic or sexual relationships between a manager or other supervisory employee and his or her staff (reporting directly or indirectly), could create compromising conflicts of interest at work.

It is therefore in the best interest of all concerned, that if there is such a relationship, the involved parties inform management so the reporting chain can be changed to ensure that there is no direct or indirect reporting relationship.

GENERAL

All employees at Company have a responsibility in contributing to a mature and respectful work environment. All employees are personally responsible for their actions and must ensure that their behavior does not constitute Sexual Harassment whether it happens deliberately or inadvertently.

Finastra conducts periodic training for its Employees on this Policy and procedures through classroom or online training programs.

The Company reserves the right to modify and amend the provisions of this Policy, so as to comply with applicable legal requirements, internal policies, or with a view to fine tune or alter the provisions of this Policy to the extent deemed necessary by the Company from time to time. If any of the provisions contained herein are found to be invalid, illegal, or unenforceable in any respect, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired.

Questions

Visitors to this website who have questions on this Policy and who are not Finastra employees may contact FinastraIndia.POSH@Finastra.com. Finastra employees may contact the Finastra People Team or submit a case in Finastra’s People Portal.

APPENDIX A

Sexual harassment may include:

Using sexually abusive and offensive language or comments that demean or seek to put down people because of their sex or sexual orientation or appearance;
Phone calls or messages on electronic mail, social media or computer networks which are threatening, abusive or offensive to employees in a sexual manner;
Sexual messages, text, or images which may be perceived by the recipient as creating a hostile work environment;
Suggesting or insisting that someone wear revealing clothing;
Intrusive questions about sexual activity, Tales of sexual exploits, Comments about people’s (women/men) bodies or intruding on the privacy of an employee;
Repeated requests for sexual favors, sexual advances or repeated pressure for dates and social contact especially when person invited has refused/ignored similar invitations;
Sexually suggestive comments, sexually colored propositions, insults or threats;
Telling lewd jokes about sex or sexual orientation;
Offensive language that insults/demeans including using terms of endearment; and
Singing or humming vulgar songs, ballads or words.
Graphic descriptions of pornography including graffiti in the office premises;
Displaying of books, photographs, paintings, films, pamphlets, packages, etc. containing 'indecent representation of women/men',
Material that is sexual in nature, sexist, sexually explicit is displayed in the workplace, circulated, or put in someone’s workplace or belongings, or on a computer or fax machine or on the internet or any other public display system or public in the work premises;
Offensive gestures, staring, leering or whistling with the intention to insult or discomfort another;
Even if not directly done to a particular individual, uttering a word, making a gesture or exhibiting any object with the intention that such word, gesture, or object be heard or seen by an employee;
Sounds, gestures or display of offensive books, pictures, cartoons, magazines, calendars; or derogatory written materials at one’s desk or workplace;
Viewing, showing or mailing pornographic posters, Internet sites, cartoons, drawings; and
Suggestive letters, phone calls, electronic instant messaging or e-mail messages.
Intentional touching of the body, example- Unwelcome hugs, kisses, brushing, fondling, pinching, patting etc.
“Accidentally” brushing intimate parts of the body,
Any displays of affection which can make others uncomfortable or are inappropriate at the workplace even if the recipient welcomes it.
Indecent exposure or coerced sexual intercourse.
Use of technology to induce different remote sensations on the body including, but not limited to pain and sexual stimulation,
Sexual assault or using criminal force to any person, intending to outrage or knowing it to be likely that the person’s modesty would be compromised.

APPENDIX B

PoSH IC Poster

About Finastra

Finastra unlocks the potential of people and businesses in finance, creating a platform for open innovation. Formed in 2017 by the combination of Finastra and D+H, we provide the broadest portfolio of financial services software in the world today—spanning retail banking, transaction banking, lending, and treasury and capital markets. Our solutions enable customers to deploy mission critical technology on premises or in the cloud. Our scale and geographical reach means that we can serve customers effectively, regardless of their size or geographic location—from global financial institutions, to community banks and credit unions. Through our open, secure and reliable solutions, customers are empowered to accelerate growth, optimize cost, mitigate risk and continually evolve to meet the changing needs of their customers. 48 of the world’s top 50 banks use Finastra technology. Please visit finastra.com.