Unified Code of Discipline and Ethics

Document ID: CNX-HR-05-pl-021

Version: 10.00
Classification: Concentrix Confidential
Type: Policy
Language: English
Media: Paper; Electronic
HRD
2023.9.1

The contents of this document remain the property of, and may not be reproduced or distributed in whole or in part,
without the written consent of Concentrix Services Corporation.
Contents
Contents ................................................................................................................................................ 2
Approval Sheet ...................................................................................................................................... 3
Change History ...................................................................................................................................... 4
Distribution List ...................................................................................................................................... 6
Related Documentation ......................................................................................................................... 7
1.0 Guiding Principles and Purpose ............................................................................................... 8
2.0 Scope and Coverage ................................................................................................................ 8
3.0 Roles and Responsibilities ....................................................................................................... 8
3.1 Employees ................................................................................................................................ 8
3.2 Immediate Supervisor / Manager ............................................................................................. 8
3.3 People Solutions....................................................................................................................... 9
4.0 Disciplinary Action .................................................................................................................... 8
4.1 Preparation of the NTE / SCN .................................................................................................. 8
4.2 Disciplinary Conference / Administrative Hearing .................................................................... 9
4.3 Preparation and Service of the Notice of Decision/Resolution ................................................ 9
5.0 Schedule of Penalties ............................................................................................................. 13
6.0 Cleaning and Prescriptive Period ........................................................................................... 13
7.0 Impact on Regularization, Promotion and Incentives ............................................................. 14
8.0 Processing Turn-Around Time (TAT) ..................................................................................... 14
9.0 Date of Effectivity and Non-Exclusivity ................................................................................... 14
10.0 Offenses and Penalties .......................................................................................................... 14
10.1 Office Protocol & Decorum ..................................................................................................... 14
10.2 Confidentiality of Work & Information ..................................................................................... 17
10.3 Company Facilities & Property ............................................................................................... 19
10.4 Health & Sanitation ................................................................................................................. 20
10.5 Neglect of Duty ....................................................................................................................... 22
10.6 Fraud, Dishonesty and Similar Acts Prejudicial to Company Interest .................................... 23
10.7 Upholding Social Norms ......................................................................................................... 26
10.8 People Management .............................................................................................................. 27
10.9 Insubordination ....................................................................................................................... 28
10.10 Use of Workstations, Computer Programs, E-mail, Internet and other Devices .................... 29
10.11 Prohibited Drugs and Paraphernalia ...................................................................................... 32
10.12 Policy on Transaction Handling for Voice, Email, Chat and all other CUSTOMER …………33
10.13 SecureCX Violations………………………………………………………………………………..36
11.0 Definition of Terms ................................................................................................................. 37
Acknowledgement and Undertaking....................................................................................... 37

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Approval Sheet
Document Title: Unified Code of Discipline and Ethics
Document ID: CNX-HR-05-pl-021
Version Number: 10.00
Document Owner: HRD
Effective Date: 9/1/2023
This document and any changes were prepared, reviewed, and approved by the following:

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Change History
Date Version Prepared by Reviewed by Approved by Change Description
Feb 2006 Feb Benito C. Junar D. Vincent Fan Baseline
2006 Castillo, Jr. Amador General
HRD Head Senior Manager
Director
July 2009 July Jose Oliver S. Jhayner V. Junar D. Amador Updating of the provisions.
2009 Bagares Bufi Senior Director
OD Supervisor HR Director Vincent Fan
General
Manager
2014.7.16 1.00 Norwena I. Mary Anne Joseph C. Cruz Updating of the provisions
Acharon Meneses HR Director and keep it in synch with
HR Senior HR Senior Roma Villarama latest labor legislation.
Manager Manager Sr. Director Change name from Code of
Junar D. Amador Discipline to Code of
VP-General Conduct.
Manager
2015.7.16 2.00 Gerardo H. Luisa Campos Marissa Rosales Integration/harmonization of
Santos Catalina Human the current code of both
HR Policy and Facundo Resources CNX Philippines and CNX
Compliance HR Case Director Daksh Philippines into one
Lead Management David Brooks unified policy.
Lead Country Leader
2015.7.16 2.10 Gerardo H. Luisa Campos Marissa Rosales Included the penalty
Santos Catalina Human schedule in section 7.0.
HR Policy and Facundo Resources
Compliance HR Case Director Change document ID to PO-
Lead Management David Brooks ISMS-HRD-012.
Lead Country Leader
2016.10.16 3.00 Emil Mark C. Gerardo H. Marissa Rosales - Included the TAT to close
Cayanan Santos Senior Director, and file a case in Section
Case Case Human 4.1.7
Management Management Resources - Change of class violation
Manager, Leader, for Rule 1 Sec 10 from
Human Human Elek Toth Level 1 to Level 2.
Resources Resources PH Country - Updated 10.0 to cover only
Leader Cleansing period in relation
to Progression of sanction
2017.08.01 4.00 Emil Mark Gerardo Tim Cook - Added Habitual
Cayanan Santos Country HR Delinquency, Section 4.1
Manager II, Manager II, Leader - Added Incentives and
Employee Employee Digvijay Ankoti Benefits, Section 7.2
Relations Relations Senior Director,
Darlene Operations
Bonggon Amit Jagga
Manager I, Shared Services
Employee / Delivery
Relations Governance
Marianne Leader
Bernardo Elek Toth
Manager I, Country Leader
Employee
Relations
2018.4.16 5.00 Darlene Mark Mariano Hazel Bañas - Added 3.3 – Roles and
Bonggon Senior Country HR responsibilities of the Case
Manager I, Manager, HR Leader Management Team
Case Amit Jagga - Updated 7.3 – Prescribed
Management Shared Services sanctions, suspension
/ Delivery guidelines.
Governance - Updated 8.0 – Definition of
Leader AWOL (from 2 days of

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 Elek Toth NCNS/Unauthorized to 3
Country Leader days)
2018.6.4 6.00 Darlene Mark Mariano Hazel Bañas 4.0 The management
Bonggon Senior Country HR reserves its right to impose a
Manager I, Manager, HR Leader higher or lower sanction
Case Amit Jagga depending on the presence
Management Shared Services of aggravating and mitigating
/ Delivery circumstances.
Governance
Leader 8.29 Medical certificate may
Elek Toth only be required for 3
Country Leader or more consecutive
days of Absence.
2018.12.12 7.00 Darlene Mark Mariano Hazel Bañas 4.0 Disciplinary Action –
Bonggon Senior Country HR Added Table of Penalties for
Manager I, Manager, HR Leader Attendance Cases
Case Amit Jagga 4.2. Cleansing Period
Management Shared Services - Added the Prescriptive
/ Delivery Period of Attendance Case
Governance - Updated Cleansing Period
Leader of Attendance Case
Elek Toth 6.2.7 Moved from
Country Leader Attendance to Work
Standards
6.1. Attendance
-Updated Table of Offenses
8.16. No Call No Show
-updated the notification
requirement to one (1) hour
8.28. Unauthorized Absence
- removed the notification
requirement
2019.6.1 8.00 Almira Cuevas Mena Michael Harmonized CNX Policy
Director, Pulumbarit Montero Document
Human Group Human Vice President &
Resources Resources Regional
Business General Counsel
Darlene Partner
Bonggon Rain Tan
Manager I, Lexie Chan Vice President,
Case Group Human Human
Management Resources Resources
Business
Lei Tan Partner Elek Toth
Human PH Country
Resources Atty Krissel Leader
Business Alfonso
Partner Counsel

Maribelle Atty
Flores Marianne
Human Bernardo
Resources Employee
Business Relations
Partner Partner II

Alvira Galido Lizbeth

Human Reyes
Resources Group Human
Business Resources
Partner Business
Partner
Mark Mariano

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 Senior Sheila
Manager, HR Maninang
Director,
Human
Resources

Atty Bryan
Lee
Counsel
2022.5.9 9.00 Elvie Phee Sheila Hazel Banas Updates: Disciplinary
Senior Manager Maninang Vice President, Committee changed to
, People Senior People Solutions Disciplinary Committee
Solutions Director, 4.3.2 –Period to Explain - the
People Amit Jagga need for administrative
Solutions Senior Vice hearing shall be decided
President upon by the Investigating
Philippine Officer and HR on a case to
Delivery & case basis.
Operations - Conduct the admin hearing
only upon employee’s
request
10.4 - Added Health &
Sanitation Disciplinary Grid
10.10– Use or Workstations
- Inclusion of Social Media
10.13 – Added SecureCX
Disciplinary Grid
 Updated Fraud related
offenses based on Global
Fraud Policy
2023.9.1 10.00 Sheryl Anne Sheila Hazel Banas  5.0 Schedule of
Yao Maninang VP, People Penalties-added a penalty
Senior Senior Solutions 5.11 Suspension
Manager, Director,  Added 10.1.6 Loitering
People People Michael beyond authorized work
Solutions Solutions Montero period.
VP & Regional  Updated sanction for
Elizabeth Mena General Counsel 10.8.4 (level 2) to 10.8.7
Canave Pulumbarit (Level 3).
Senior Director, Amit Jagga  Updated sanction for 10.
Manager, People SVP 12. 2 Transaction
Human Solutions Philippine Handling to WW up to
Resources Delivery & Dismissal depending on
Krissel Operations the program's zero
Alfonso tolerance policy
Director, Legal  Added new infractions
Counsel 10.6.34-37 (Level 3)

Distribution List
The document owner shall maintain a distribution list for controlled copies of this document. All identified
employees on the distribution list must have access to the latest controlled copy of this document.
Name Role/Department/Account
All employees

Related Documentation
All related documents below shall be updated accordingly with respect to the changes in this document.
Document ID Document Title Document Owner / Department

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Unified Code of Discipline and Ethics
1.0 Guiding Principles and Purpose

CONCENTRIX sets its vision and mission to make this company a great place to work where
teamwork, mutual respect, trust and fun are instilled among its employees. The Company believes
that a healthy state of discipline is essential in the achievement of the Company’s goals as well as
employees’ professional development and well-being, which also encourages optimum employee
productivity that is essential to achieving Company goals.

We recognize that issues and conflicts can arise in the workplace and when such issues arise,
Concentrix encourages dialogue, coaching and mentoring to resolve such issues. However, we
also recognize that in some situations informal coaching and resolution may not be possible and
more significant corrective action and discipline may be required to address more serious
infractions or acts of misconduct in the workplace. The purpose of this Code is to give more details
of our expectations around employee conduct and behavior and to explain the process for corrective
action and the possible disciplinary consequences should expectations not be met. The goal is not
punishment so much as it is to correct situations and ensure that certain conduct is not repeated.
Our corrective action process shall focus on rectifying the problem rather than punishing the erring
employee. We will fully discipline yet shall preserve the dignity and self-respect of the employee,
even as we aim to achieve positive change in the erring employee’s behavior and performance.
Our corrective action process shall be carried out in accordance with due process, even when the
offense is so grave that it merits outright dismissal.

Our Code is not intended to be restrictive or all-encompassing. Other necessary policies,

procedures, supplemental rules and regulations relative to the employees’ conduct which may be
promulgated by the company from time to time, and will form an integral part of our company’s
policies. Similarly, the specific offense/s against established policies, systems, and procedures may
be amended/revised or supplemented from time to time, as the need arises.

It is the duty of the employee to familiarize him or herself with this Code and to understand all
applicable rules and policies associated with this Code. It is also important to note that while this
Code is specifically directed at employee discipline within the Philippines, all employees are also
bound by the Concentrix Code of Ethical Business Conduct which broadly covers professionalism,
ethics and conduct globally.

2.0 Scope and Coverage

The Unified Code of Discipline and Ethics was put in place to help us navigate our way
through ethical situations we may encounter on the job.

It defines what Concentrix expects of its people, and provides the information necessary to
help each of us act with integrity and in compliance with guidelines applicable to our business.

The Code covers all Concentrix employees at all levels, regardless of position and rank.

It will apply in all company premises, sites, workplace and other authorized company events
and functions. Significantly, the Code will likewise apply even to locations outside of company
premises where the acts of the employees committed, will tend to affect the integrity of and
prejudice the reputation of the Company.

3.0 Roles and Responsibilities

3.1 Employees
Upon onboarding/joining, each employee shall be oriented with the Code and
deemed to have understood the contents therein. It is his/her responsibility to know and
understand the Code in full. Ignorance of the Code and its implementing guidelines shall
not excuse the employee from the application of the Code’s provisions and shall not
constitute a waiver of responsibility or accountability of the employee.

3.2 Immediate Supervisor / Manager

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 It is the responsibility of the Immediate Supervisor or Manager to ensure the fair and
impartial implementation of the Code in relation to employee’s conduct and discipline and
scope of his/her duties.

People managers are responsible for disciplining their teams and ensuring that the purpose
of the Code is achieved. Such task includes but not limited to:

 Conduct preliminary investigation and preserve/provide complete and accurate

Evidence/s
 Draft/Issue Notice to Explain (NTE) / Show Cause Notice (SCN) within 24 to 48 hours
upon validation of the incident report.
 Issue Notice of Inquiry / Administrative Hearing within 24 to 48 hours
 Draft/ Issue Notice of Resolution / Notice of Decision / Disciplinary Action Notice within
Turnaround time.
 Partner with People Solutions to ensure fair and uniform imposition of penalties.
 Draft/ Issue Notice of Resolution / Notice of Decision / Disciplinary Action Notice within
Turnaround time.

3.3. People Solutions

The primary responsibility of People Solutions is to assist People Managers in the fair
and equal implementation of the Code and ensure execution of due process and all
requirements of the Labor Law to avoid legal risk.

4.0 Disciplinary Action Process

The disciplinary process includes the following steps:

4.1 Preparation and Service of the NTE/SCN – If there are reasonable grounds to believe an
infraction has occurred which necessitates discipline, an NTE/SCN will be issued and the
employee will be given the opportunity to respond to the notice.
4.1.1 The Immediate supervisor of an erring employee acts as the investigating officer.
4.1.2 When an employee commits an alleged infraction or a report is filed against an
employee, the immediate supervisor must conduct a conduct a pre-investigation
by gathering pertinent documents and evidence within forty-eight (48) hours after
the supervisor has knowledge of the offense.
4.1.3 If upon completion of pertinent documents, there is reasonable ground to believe
that the Employee might have committed an offense, the immediate supervisor
must serve the employee a Show Cause Notice/Notice to Explain preferably within
48 hours from the time the employee commits an alleged infraction or from receipt
of a written complaint or date of discovery of the infraction. The Show Cause
Notice must be reviewed by People Solutions prior to issuance to ensure correct
application of the policies.
4.1.4 Show Cause Notice/Notice to Explain must be signed off by the following:
4.1.4.1 Immediate Supervisor
4.1.4.2 Manager
4.1.4.3 People Solutions
4.1.5 If the employee is transferred to a new immediate supervisor after the commission
or the discovery of the offense, either former or new supervisor may sign off the Show
Cause Notice/Notice to Explain.

4.1.6 The Show Cause Notice should contain the specific causes or grounds for
termination against the Employee as well as a detailed narration of the facts and
circumstances that will serve as basis for the charges. The notice should also specifically
mention which company rules are violated and/or which among the grounds under Article
297 (formerly numbered as Article 282) of the Labor Code is being charged against the
Employee. Finally, the notice should also require the employee to submit a written
explanation. The period within which to provide such written explanation, which may vary
depending on circumstances and violation, will be indicated in the notice.

4.1.7 If at any time after the service of the Show Cause Notice/Notice to Explain and
before the service of the Notice of Decision or Notice of Resolution is given to the employee,
there is a need to change the ground/s for termination, a new Show Cause Notice shall be

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 served and the Employee shall be given all the chances to explain as with the original Show
Cause Notice.

4.1.8 The immediate supervisor is required to discuss the Show Cause Notice/Notice to
explain personally. The immediate supervisor shall ensure that the Employee
acknowledges receipt of the Show Cause Notice. If the Employee refuses to sign, the
immediate supervisor should get two (2) witnesses to sign and confirm serving of the Show
Cause Notice to the Employee.

If the employee does not report to work and personal service is not possible, the Show
Cause Notice/Notice to Explain is sent via registered mail or courier service to his/her last
known address or based on HR’s records. In such cases HR shall retain a copy of the
registry return card and/or other proof of service. In exceptional circumstances (such as but
not limited to when personal service or mailing is not practicable or impossible), the Show
Cause Notice/Notice to Explain may also be sent to the personal email address of the
employee based on HR’s records.

* Just Causes under Article 297 (formerly numbered as Article 282) of the Labor Code:
4.1.6.1 Serious Misconduct and Willful disobedience by the employee of the lawful
orders of his employer or representative in connection with his work;
4.1.6.2 Gross and Habitual Neglect by the employee of his duties;
4.1.6.3 Fraud or willful breach by the employee of the trust reposed in him by his
employer or duly authorized representative;
4.1.6.4 Commission of a Crime or offense by the employee against the person of
his employer or any of immediate member of his family or his duly
authorized representative; and
4.1.6.5 Other analogous causes to the foregoing.

4.2 The Disciplinary Committee – HR will be responsible for convening a disciplinary

committee composed of the HR Manager or his representative, the program/department
Manager and the investigating officer/immediate supervisor (the “Disciplinary Committee”).
Other officers from different functional units, such as Network Services, Admin and
Finance, may be asked to join the committee, if necessary. The Site Director, Program
Director or Competency Leader has the option to be a part of the Disciplinary Committee
and/or designate a representative to act on his behalf. The Company reserves the right to
change the composition of the Disciplinary Committee, as it may deem fit and necessary.

The Disciplinary Committee shall exert its best efforts to resolve the case within a period of
thirty (30) calendar days including serving the Notice of Decision, unless the attendant
circumstances or complexities of the case require a longer period to do so.

4.3 Disciplinary Conference / Administrative Hearing

4.3.1 For offenses classified as Level 3, administrative hearing will be conducted only
when requested by the employee or when determined by the Company (through
the Investigation Officer and HR) as necessary given the circumstances.
4.3.2 For offenses classified as Level 1 and Level 2, the need for administrative
hearing shall be decided upon by the Investigating Officer and HR on a case-to-
case basis.
4.3.3 In case an administrative hearing shall be conducted, the following guidelines
shall apply:
4.3.3.1 Rescheduling of the administrative hearing initiated by the Employee
shall be subject to the approval of the Disciplinary Committee. Any
request for rescheduling that is unreasonable or delays the
proceedings will be rejected.
4.3.3.2 The administrative hearing is a fact-finding process intended to gather
relevant case information.
4.3.3.3 The members of the Disciplinary Committee may ask any question that
they deem relevant to the case.
4.3.3.4 The Employee should be informed that he or she has the right to bring
one representative to act as counsel during the investigation. Counsel’s
role is to advise the Employee of his or her statutory rights and duties.

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 The disciplinary conference is merely factual and non-technical in
character, thus rules of court shall not apply during the investigation.
4.3.3.5 Exception: To ensure neutrality, no immediate supervisor/manager
may act as investigating officer in instances where there exists a
conflict of interest for the immediate supervisor/manager, including but
not limited to, direct involvement in the case, close relation to the
Employee under investigation which shall mean, among others, being
related up to the 4th degree of consanguinity and/or affinity, or romantic
involvement with the employee, etc.. In such circumstances, the next
level supervisor shall act as investigating officer.
4.3.3.6 The Disciplinary Committee may allow the Employee to present
witnesses and pertinent artifacts. After the testimony of each witness,
the Disciplinary Committee may ask further questions.
4.3.3.7 Failure or refusal to submit a written explanation, and/or to answer
questions during investigation and present witnesses, if any, shall be
deemed a waiver of the employee’s right to submit evidence on his
behalf.
4.3.4 Preventive Suspension - An employee whose alleged violation is the subject of
an investigation may be placed under preventive suspension the moment that
his/her continued presence is determined to pose a serious and imminent threat
or danger to the life and/or property of the Company or of his co-employees.
4.3.4.1 The alleged violations which may be considered as grounds for
preventive suspension include but are not limited to the following:
4.3.4.1.1 Theft
4.3.4.1.2 Fraud or falsification
4.3.4.1.3 Insubordination
4.3.4.1.4 Sexual harassment or other forms of harassment;
4.3.4.1.5 Meaningful or real disruption in the productive or orderly
operations of the company;
4.3.4.1.6 Significant or real loss and damage to company resources
and property arising from gross neglect of one’s duty;
4.3.4.1.7 Imminent threat to the life or property of the company or
co-employees;
4.3.4.1.8 Call Handling cases classified as grave offenses; and/or
Other offenses determined directly by the Company or
through coordination with clients/ customers and wherein
an impartial and complete investigation can only be done
without the employee being in the workplace to potentially
influence or alter the investigation e.g. conceal/destroy
evidence, intimidate/threaten witnesses.
4.3.4.2 Preventive suspension may only be facilitated upon consultation with
and concurrence of HR.
4.3.4.3 During this time the ID, access pass and codes of the Employee will be
disabled, and the Employee cannot enter the Company premises
without the consent and approval of the Site Director and/or People
Solutions.
4.3.4.4 The preventive suspension shall be without pay for a maximum period
of thirty (30) calendar days. However, the Disciplinary Committee
should exert all means necessary to expedite the case in less than
thirty (30) days and come up with an appropriate decision for the
benefit of all parties concerned. If the employee is found innocent of
the offense, the salary and other monetary benefits, (i.e. allowances
and bonuses, etc.) during the period of preventive suspension shall be
paid in full to the Employee. The 30-day preventive suspension may be
extended provided that the Employee’s salary and benefits are paid
during such extended period. Should the employee be found guilty of
the charge/s, even though he or she is given a penalty lower than
dismissal, the unpaid days as a result of the preventive suspension
shall not be reimbursed provided that the Disciplinary Committee
specifically states in the Notice of Decision that the preventive
suspension was justified and was with sufficient basis regardless of the
final penalty meted out to the Employee

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 4.4 Preparation and Service of the Notice of Decision/Resolution – Upon evaluating
the facts of the case and other relevant information, a decision will be issued and the
decision will be shared with the employee. Depending on the facts and circumstances,
an appropriate level of discipline will be issued. These levels of discipline include
written warning, final written warning and dismissal. While Concentrix favors
progressive discipline where appropriate, it also recognizes that in some cases
progressive discipline may not be appropriate and it may be necessary to move directly
to a specific level of discipline in light of the nature of the offense and the facts and
circumstances surrounding the matter. All decisions are treated as sensitive personal
information under privacy rules and shall not be processed (i.e., shared, used, etc.)
unless the processing is compliant with the aforesaid privacy rules.

4.3.1 Imposition of Appropriate Disciplinary Action - To determine the appropriate

disciplinary sanction, the supervisor/manager and/or Disciplinary Committee
shall, in consultation with People Solutions, do the following:
4.2.1.1 Evaluate facts of the case and other relevant information to establish
mitigating and aggravating circumstances;
4.2.1.2 Apply disciplinary action according to the table of violations and
disciplinary actions. The disciplinary actions in the table are the maximum
prescribed. The application or consideration of any mitigating and
aggravating circumstances in any particular case shall be upon
consultation and coordination with People Solutions. Aggravating/
Mitigating circumstances shall be applied on exceptional instances only.
4.2.1.3 If the disciplinary action is Dismissal, refer the case to HR for evaluation
prior to implementation. Decision must also be discussed with the
Program or Unit Head, depending on employee level or position. If the
decision is for Disciplinary Action other than dismissal, discussion with the
next level of management prior to implementation will suffice.

4.3.2 Procedure and Guidelines in Implementing Disciplinary Action

4.3.2.1 Upon receipt of the Employee’s written explanation or the lapse of time
given to the Employee to explain, and the termination of the administrative
hearing, if any, and final determination of the disciplinary case by the
investigating officer or the Disciplinary Committee, the immediate
supervisor or HR (in case of Dismissal) shall prepare and issue the Notice
of Decision, indicating charge against the Employee, the facts and
circumstances, disciplinary action and the basis of the decision after
considering the written explanation, disciplinary conference, records of
the case and the evidence available, if any.
4.3.2.2 For dismissal, after due deliberation by the Disciplinary Committee, HR
Operations, shall prepare the written Notice of Decision, indicating the
penalty of dismissal, to the employee and secure the signoff of the
committee members.
4.3.2.3 The immediate supervisor or HR, as the case may be, is required to issue
the Notice of Decision personally to the Employee. The immediate
supervisor or HR shall ensure that the Employee acknowledges receipt of
the Notice of Decision by signing the same. If the employee refuses to
sign, the immediate supervisor should get two (2) witnesses to witness the
serving of the form. The copy of the signed Notice of Decision should be
retained by HR Operations and filed in the employee’s 201 File
4.3.2.4 If the Employee does not report to work and personal service is not
possible, the Notice of Decision is sent via registered mail or courier
service to his/her last known address based on HR’s records. In such
cases, HR shall retain a copy of the registry return card and/or other proofs
of service. In exceptional circumstances (such as but not limited to when
personal service or mailing is not practicable or impossible), the Notice of
Decision may also be sent to the personal email address of the employee
based on HR’s records.
4.3.2.5 For cases that involve damage or loss of company property, the decision
to implement restitution or reparation for damage caused shall be included
in the decision notice. Restitution and/or reparation cannot be
implemented after the case has been closed. In addition to the appropriate

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 penalties and consistent with the other policies and procedures of
Concentrix and its clients, any damage to, or penalty imposed on
Concentrix, resulting from the acts of the erring employee, may be charged
to the aforementioned.
4.3.2.6 The Notice of Decision shall be signed off by the following:
4.3.2.6.1.1 Immediate Supervisor
4.3.2.6.1.2 Manager/Next Level Manager
4.3.2.6.1.3 Site HR
4.3.2.6.1.4 Director (Optional)
4.3.2.7 In implementing the disciplinary action, the employee’s 201 file must at all
times be furnished with a copy of the decision as well as all documents
related to the employee’s case.
4.3.2.8 To ensure that the objective of the disciplinary action is met, program
heads should implement the disciplinary action immediately after the
decision has been reached.
4.3.2.9 In all cases involving disciplinary action, the dignity of the employee must
be upheld, and the employee must be accorded fair and humane
treatment.

4.3.3 Consequence Management Governance

Any discipline inconsistent with the Consequence Management Grid outlined for
offenses against Fraud (10.6) and SecureCX (10.13) must be approved in
advance by members of the following Governance Committee (“Committee”):
a. Sr. Director Business Leader (not directly associated with the applicable client
account);
b. Director, People Solutions;
c. Case Manager Representative (where applicable);
d. Director, Global Security (“Coordinator”); and
e. People Solutions Compliance Representative.

If a supervisor wishes to impose disciplinary action that conflicts with the

schedule of penalties then the following governance process will be followed:
a. To request an exception to the Consequence Management Grid, the Local
Director of People Solutions (or their designee) must write to the Coordinator
proposing discipline that varies from the Consequence Management Grid.

b. The Coordinator then must call a meeting of the Committee to approve or deny
the disciplinary variance requested. Only if all members of the Committee
approve the variance shall the discipline differ from the Consequence
Management Grid.

4.3.4 Finality of Decision and Appeal

4.3.4.1 The Decision of the committee is final and immediately executory.
However, in cases of Dismissal, the employee may seek reconsideration
on the decision within three (3) days from receipt thereof, through a formal
written letter addressed to the HR Director or HR Cluster Head.
4.3.4.2 Requests to file a reconsideration or an appeal to defer the implementation
of a decision or to move its reconsideration may be filed within three (3)
days from the receipt of the decision. Appeals, reconsiderations or
deferment of implementation of the decision may be entertained based on
any of the following conditions:
4.3.4.2.1 to present new evidence;
4.3.4.2.2 abuse of discretion in rendering the decision/ absence of due
process; or
4.3.4.2.3 questions on the interpretation of the provision of the CODE
or of provisions of the Labor Code
4.3.4.3 The review of the case will be discretionary and shall take into
consideration all relevant and pertinent documents submitted.
4.3.4.4 Unless otherwise suspended by the HR Director, as the case may be, the
decision of the Disciplinary Committee shall be valid and executory
pending the appeal. The Director concerned should decide the case, in
writing, within five (5) days upon submission of the written appeal.

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5.0 Schedule of Penalties
5.1 Written Warning - A notice in writing to the employee that a violation of the CODE has
been established, with the admonition that a repetition of the same offense within the
prescriptive period will lead to a higher penalty.
5.2 Final Written Warning - A Final Notice in writing to the employee that a violation of the
CODE has been established, with the admonition that a repetition of the same offense
within the prescriptive period will lead to dismissal.
5.3 Dismissal - A dismissal results to termination of employment for a just cause. A dismissed
employee forfeits his benefits and privileges without prejudice to any appropriate legal
action the company may take against him.
5.4 Restitution or Reparation of Damages - In addition to the appropriate penalty in cases
involving loss of, or damage to company property, or in any other cases resulting to a
damage and/or penalty being imposed on Concentrix, the erring employee may be.
required to replace or pay for the property lost or damaged, pay the damage or penalty
imposed on Concentrix, as the case maybe. The damage, loss or penalty must be made
part of the decision.
5.5 Civil and/or Criminal Liability - Imposition of any of the above-mentioned penalties
shall be without prejudice to any civil or criminal action that the aggrieved party or the
company may take against the erring employee either prior to, simultaneous with, or
subsequent to the administrative investigation.
5.6 Unreturned money, asset, other money claims and litigation cost - Should an
employee, upon his/her separation from employment, fail to return any money or any
property/asset belonging to the Company, despite the latter’s demand, the Company will
deduct the full amount or its equivalent from the remaining salary and benefits due the
employee. In case there is a need to initiate a legal action against the subject employee,
the Company shall charge him/her the full legal costs incurred in the suit.
5.7 Supplemental application of the Labor Code of the Philippines - Insofar as offenses
or violations committed by employees which are not expressly provided in the policy, the
provisions of the Labor Code of the Philippines, its implementing rules and regulation
and other applicable laws of the Philippines shall have supplemental application.

5.8 Progression of Penalties – Table of Penalty for all violations except Attendance
offenses.
PROGRESSION in the NEW UNIFIED CODE OF DISCIPLINE &
NEW Table of ETHICS (ver. 8)
Penalties
1st Offense 2nd Offense 3rd Offense
Level 1 Written Warning Final Written Warning Termination
Level 2 Final Written Warning Termination
Level 3 Termination
A. Table of Penalties for the NEW UNIFIED CODE OF DISCIPLINE & ETHICS (ver.8)

5.9 Counselling – In case of a Level 1 offense committed for the first time by an employee,
a Counselling may be implemented by the immediate supervisor or manager instead of
the penalty of a Witten Warning when determined by the immediate supervisor or
manager that: i) Counselling is more appropriate given the circumstances of the violation,
and ii) Counselling will similarly achieve the purpose of correcting the behavior. The
imposition of Counselling (instead of a Written Warning) cannot be demanded by the
employee.
5.10 In case of conflict between the applicable penalties in offenses identified in this CODE
and global company policies, the penalties identified in this CODE shall prevail in
application.
5.11 Suspension- Instead of a Dismissal, the Company reserves the right to impose
Suspension of three (3) days as the penalty when necessary to correct the conduct and
violation of the employee. This shall apply only to Level 3 offenses or escalated offenses
where Dismissal is the proper penalty. This is a mitigated penalty from a Dismissal (which
could have been imposed), and will be solely determined by the Company through the
Disciplinary Committee. The Disciplinary Committee may consider the following factors
in the imposition of mitigated penalty of Suspension of three (3) days in lieu of Dismissal:
5.11.1 There was no pattern of behavior upon investigation.
5.11.2 Impact to the business is only minimal.
5.11.3 No threat of client loss.
5.11.4 There is no monetary penalty against the Company.

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 5.11.5 Other analogous factors as determined by the Disciplinary Committee.

For avoidance of doubt, the penalty of Suspension is separate and distinct from the
Preventive Suspension measures that the company may impose. The former comes after
the completion of administrative hearing and when the Notice of Resolution/Decision
while the former is issued before the hearing.

6.0 Cleansing and Prescriptive Period.

Penalties of Written Warning will have a prescriptive period of six (6) months. Final Written
Warning shall be active for one (1) year from when the Notice of Decision / Resolution was
acknowledged and received by the employee.

Any repetition of the same offense within the indicated prescriptive period shall merit the next
level of penalty as prescribed in the Schedule of Penalties per infraction. Offenses are
considered cleansed if there are no similar offenses committed within the indicated prescriptive
period. However, any other offense committed within the period shall give rise to a fresh
clearing period.

However, the past infractions will still form part of the employee’s records and may be
considered in all other disciplinary action cases of the said employee as the Company shall
be guided by the totality of the employee’s infractions in issuing a disciplinary action.

7.0 Impact on Regularization, Promotion and Incentives

Reckoning period is from the date when the employee received the Notice of Decision.
7.1 Employees who have been given a Final Written Warning shall not be eligible for
regularization for failing to meet the standards for regularization.
7.2 Employees who have been given a Written Warning shall not be eligible for promotion for
a period of six (6) months from the date the disciplinary action (DA) was served.
7.3 Employees who have been given a final written warning shall not be eligible for promotion
for a period of twelve (12) months from the date the DA was served.
7.4 Employees who have been served a Final Written Warning will be disqualified from getting
any incentive for the month that the DA was issued.

8.0 Processing Turn-Around Time (TAT)

All cases shall be closed within thirty (30) days from the date of the issuance of the Note to
Explain / Show Cause Notice.

9.0 Date of Effectivity & Non-Exclusivity

The Unified Code of Discipline and Ethics will take effect on September 1, 2023. The foregoing
notwithstanding, all offenses committed before Sept 1, 2023, including cases that remain
pending and unresolved as of said date, shall be proceeded in accordance with the existing
applicable CODE or the Code of Disciplinary Conduct.

Penalties imposed under the existing code shall be commuted to the corresponding penalty of
the New Unified Code of Discipline and Ethics (version 8). Refer to 5.8 Progression of Penalties
Table B and Table C.

10.0 Offenses and Penalties

10.1 Office Protocol and Decorum

Observing proper conduct and adhering to Concentrix protocol will ensure smooth
operation of the company business. By behaving according to the desired conduct as promoted
by the company, employees themselves may find that the work processes will be more efficient.
Violations of our standards of conduct, applicable policies concerning conduct and
professionalism, and any actions which include, but are not limited to, a lack of professionalism,
inappropriate, harassing or offensive behavior, criminal behavior or conviction, or threats or
acts of violence, will result in disciplinary action up to dismissal of employment, depending on
the severity of the act or conduct and the underlying facts.

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 PENALTY
OFFICE PROTOCOL & DECORUM 1st 2nd 3rd
Offense Offense Offense
LEVEL 1
Not wearing your Company ID where Company
1 WW FWW D
business is conducted
Following another individual through security check
2 points without being screened (also known as WW FWW D
"tailgating" or "piggybacking")
Possessing prohibited personal belongings (e.g.
3 WW FWW D
handbags, grooming kits) in restricted areas.
Bringing in and/or eating food or bringing drinks not
4 WW FWW D
using spill proof containers in non-designated areas
Unnecessary noise or any disturbance that disrupts
5 WW FWW D
another employee in the performance of their jobs
6 Loitering beyond authorized work period. WW FWW D
Failure to observe the company Dress Code
7 WW FWW D
Guidelines
Conducting personal business, e.g. Selling, Soliciting,
Networking, Lending money with interest, etc. which
8 WW FWW D
utilizes company time, property or done within
company premises.
Unjustified refusal to participate in a scheduled
Company Safety and Security Drill and other security
9 WW FWW D
and safety-related activities such as Fire Drill,
Earthquake Drill, etc.
10 Repeated inappropriate public displays of affection WW FWW D
Refusal to submit to reasonable inspection of
employee’s locker, drawer, computer and all other
company property and equipment assigned to the
employee concerned, and shall likewise include
inspection of recordable devices that are subject of
11 WW FWW D
the violation of the Mobile Phones and Other
Recordable Device Policy. If the refusal pertains to
the inspection of recordable devices brought in the
production and/or training rooms, the penalty shall be
dismissal.
Refusal to submit to reasonable inspection of person
12 or personal property where Company conducts WW FWW D
business, unless prohibited by law.
Failure to disclose a romantic/intimate/family
13 relationship with any employee of the company’s WW FWW D
clients.
Level 2
Smoking in prohibited areas. (Dismissal if violation
results in fire, damaging company property or
14 FWW D
operation.) For Work at Home, smoking is prohibited
during video conference calls.
Reporting to work under the influence of alcohol, or
consumption of alcoholic beverages within company
15 FWW D
premises – regardless of whether this is done during
work time or not
Unauthorized possession of and/or use of master key
16 which can open lockers, drawers, disks, cabinets, FWW D
rooms or offices.
Level 3
Providing access to non-CNX employee without
17 D
approval or authority

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 Unauthorized and/or forcible entry into the office or
18 Company premises, or restricted company D
events/activities
Maligning, making discriminatory remarks, uttering
obscene and offensive remarks, whether written or
verbal, displaying disrespectful/inappropriate
19 D
behavior, fomenting distrust and discontent, rumor
mongering and/or intriguing against the company,
another employee, clients, vendors and visitors.
Fighting or quarreling, displaying threatening acts,
provoking or instigating (to rouse to anger) a fight,
intimidation, violence, or coercion, during official
20 company time or on company premises which are D
directed at other employees, clients, customers or
vendors which may or may not result to physical
injury.
Gambling, betting, or participating in any form of
game of chance within Company premises or facilities
21 D
and other Company authorized/ sponsored events,
including such bets on sports events or games
All employees are prohibited to bring into any
Concentrix facility and/or official functions such as
Year-end party, official R&Rs, etc. any weapon which
is defined as any item that can inflict any degree of
physical harm to another person. The weapons that
are contemplated include but shall by no means be
limited to the following: explosives; firearms including
those that do not fire lethal projectiles which include
but not limited to the following: air guns, airsoft guns,
paintball guns, dart guns, air riffles and/or any
handheld or portable weapon that is powered by
spring air; stun gun and/or any taser device; bladed
22 weapons or instruments which include but not limited D
to daggers, knives, butterfly knives (commonly known
as “balisong”); Swiss-army knives, katanas, and/or
other similar types of bladed instrument that is
capable of being used as a weapon; blunt or cleaving
instruments such as but not limited to ice picks, dart
pins, clubs, eskrima sticks, sai, bo staff, nunchakus,
fighting fan; and other similar instruments such as
brass/wood knuckles, shuriken, chains, whips, etc. In
case of doubt, all employees must declare that he/she
is bringing in a specific item that may be
characterized as a weapon so that the Security
Officer can assess the same.
Restraining, coercing, with threat or intimidation,
23 another employee from testifying during D
administrative hearings.
Commission of acts which constitute a crime as
defined in the Revised Penal Code and other laws,
within the company premises. This shall be subject to
disciplinary action without prejudice to any criminal
24 prosecution and/or civil liability.

If employee is convicted, disciplinary action will be

applied even if it was not committed within company
premises.
Commission of acts which constitutes a crime, fraud,
25 D
theft, dishonesty, violence, or threats of violence.
Commission of any act, whether inside the company
26 premises or not, that tends to cause damage or D
prejudice to the company.

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 Performing any act pertaining to any person in
27 authority in the company or any of its departments D
thereof, without being officially entitled to.
Cheating customers or clients including but not limited
28 D
to charging of excessive fees.
Partiality in favor of a certain supplier, regardless of
29 D
absence of damage to the company.
Failure to exercise fairness and ethical business
30 D
relationships with clients, customers and suppliers.
Any form of discrimination or any form of prejudice or
unjust words or treatment against another employee,
31 client, vendor or visitor based on his/her gender, race, D
complexity, sexual orientation, ethnicity, age, physical
or mental disability, etc.
Any acts of retaliation against somebody who
32 D
reported a violation of the company policy.
Possessing, transferring, selling or using weapons,
dangerous instruments, or related paraphernalia
where the Company conducts business (even for
33 those licensed to carry a weapon). This restriction, D
unless were permitted by applicable local law,
includes, but is not limited to, parking lots, personal
vehicles, and Company-sponsored events.

Violation of the Policy on Gifts and Entertainment or

Global Entertainment Policy, including but not limited (Up to Dismissal depending
34 to the unauthorized solicitation of any items of value on the severity of the
from company suppliers, clients, customers, visitors offense)
for any purpose

Violation of the Procurement Policy and Procurement (Up to Dismissal depending

35 Process or Procurement of Goods and Services on the severity of the
Policy. offense)

All other acts of misconduct that cause or tend to cause damage or prejudice to the
Company shall be subject to disciplinary action depending upon the gravity of the offense
committed.
*Due to the differences in the severity that each act may present based on evidence and
merit, the Disciplinary Committee shall exercise due diligence and discretion in assigning
the nature of sanction that would be proportionate to the acts that were committed.
IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND
CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX,
AND ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON THE COMPANY,
RESULTING FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO
THE AFOREMENTIONED.

10.2 Confidentiality of Work and Information

Concentrix requires strict adherence to its policies and practices around confidentiality, data
privacy, information security and protection of company, client and customer confidential
information. Additionally, Concentrix requires its employees to agree to and abide by non-
disclosure agreements. Confidential and proprietary information includes, but is not limited
to: information related to our clients, potential clients, customers, information not accessible to
by the general public, financial information, contractual information, software code, client
documents, employment records, business strategies, pricing, internal processes or business
practices, personal or private information about customers and employees, etc.

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 Restricted Information – information for which disclosure is prohibited except to specifically
named individuals or groups within Concentrix. Restricted information is a subset of
Confidential and Proprietary Information and can be any form of information/data, including but
not limited to compensation information, passwords, personnel files, software source codes,
etc. These types of information are classified as restricted because these are strictly limited to
certain persons within Concentrix.

PENALTY
CONFIDENTIALITY OF WORK & INFORMATION 1st 2nd 3rd
Offense Offense Offense
Level 2
Unauthorized use of the Company/Client name and/or
1 logo during events, exercises, activities not sanctioned FWW D
by the company.
Level 3
Unauthorized opening/reading/reproducing of
2 D
company proprietary and confidential documents.
Utilizing the company system to review/access
confidential information of customers, clients,
3 employees, vendors and other data subject, without a D
valid business reason or in violation of data privacy
laws or rules.
Mishandling/Inappropriate or Malicious use of
4 Company/Client documents by employees entrusted D
with the care and custody of said documents.
Spying or maliciously obtaining information from
company/client confidential records, or inducing,
pressuring, influencing or bribing others to spy or
5 obtain information, for the purpose of discrediting the D
Company and/or its clients, and/or transmitting the
same to others to the prejudice of the company and/or
its clients.
Unauthorized obtainment of (or influencing/bribing
6 others to obtain) Company or client confidential D
information with or without disclosure of the same.
Making false or malicious statements concerning the
7 good name of the company and/or its clients and its D
products and services.
Unauthorized disclosure, revealing or issuing without
authority, confidential information, data reports or
similar documentation, or trade secrets of the company
8 D
and/or its clients and the latter's customers, and/or
suppliers and vendors of the company or to persons
not authorized to receive the same.
Posting or uploading, including of photos, videos, and
the like, of confidential information in any social
9 D
networking/online site, including but not limited to
production facilities, client names, and company tools.
Revealing of procurement bids, offers and data of
suppliers to other suppliers or persons not authorized
10 D
to receive the same, regardless of the intention and
the absence of damage to the company.
Disclosing procurement bids or related data to others
11 D
not authorized to receive the same.
Any violation of confidentiality agreements or data
security agreements to which the Company is a party.
(Up to Dismissal depending
For violation of the confidentiality of any personal
12 on the severity of the
information, regardless of any damage to the
offense)
Company, the penalty for 1st offense should be
dismissal.al.

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 Inappropriate or malicious use of Company or client
13 proprietary or confidential information when entrusted D
with the care of custody of the same.
Any violation of the provisions and rules under the
Data Privacy Act of the Philippines as well as any
privacy obligations, policies, requirement, notices, etc.
14 that have been communicated in relation to the D
handling of personal information and sensitive
personal information as the same is defined under the
law.
All other acts that violate the confidential nature of his
employment and which cause or tend to cause
15 damage or prejudice to the Company shall be subject D
to disciplinary action depending upon the gravity of the
offense committed.
*Due to the differences in the severity that each act may present based on evidence and
merit, the investigative committee shall exercise due diligence and discretion in assigning he
nature of sanction that would be proportionate to the acts that were committed.
IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND
CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON THE COMPANY
RESULTING FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO
THE AFOREMENTIONED.

10.3 Company Facilities and Property

Concentrix gives each member of staff full support by providing facilities and supplies for the
efficient delivery and accomplishment of individual work. Use of company property,
workstations, systems, and company email and internet should be for official business use only.
Employees must abide by all applicable policies concerning company property, facilities,
workstations and email and internet use.
PENALTY
COMPANY FACILITIES AND PROPERTY 1st 2nd 3rd
Offense Offense Offense
LEVEL 1
Unauthorized use of the internet, Company’s email
1 WW FWW D
and assets, equipment, facilities, or properties.
Failure to observe cost efficiency measures adapted
2 WW FWW D
by the company
Failure to sign-in and accompany guests/visitors at
3 WW FWW D
locations where the Company does business.
Failure to return temporary badges within the period
4 WW FWW D
required by the ID Badge Policy.
5 Failure to observe CLEAN DESK POLICY WW FWW D
Possessing of unnecessary (e.g. handbags, grooming
6 WW FWW D
kits ) in prohibited/restricted areas
Improper use and care of company property including
company facilities, including the failure to immediately
7 WW FWW D
report to any person in authority any damage or
defects to company property within his or her shift.
Contributing to causing poor sanitary conditions/poor
8 WW FWW D
housekeeping/littering within Company Premises
(Written Warning or Up to
Failure to comply with policies relating to safety,
9 Dismissal depending on the
security, and use of Company properties
severity of the offense)
LEVEL 2
Failure to immediately notify Security for loss of
10 FWW D
access card
Tampering or unauthorized removal of company
11 FWW D
and/or building’s equipment

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 Unauthorized removal or failure to return any company
12 FWW D
property/equipment assigned to the employee.
LEVEL 3
Deliberate alteration or mutilation of Company ID,
13 D
proximity card, badge or logo
Unauthorized possession, use or lending of company
14 D
property or equipment or materials.
Use of company premises and equipment for illegal
15 D
and unlawful transactions.
Intentionally obstructing pathways and hallways, fire
16 D
exits or fire cabinets, thus posing hazard to employees
All other acts amounting to unauthorized, illegal, improper, and negligent use of company
property that cause or tend to cause damage or prejudice to the Company shall be subject
to disciplinary action depending upon the gravity of the offense committed.
IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND
CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX,
RESULTING FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO
THE AFOREMENTIONED.

10.4 Health and Sanitation

One of the primary concerns of Concentrix is to ensure the well-being of both its employees
and clients. Concentrix expects its employees to abide by all health and safety related policies
to ensure a safe and healthy working environment for all of its employees.
PENALTY
HEALTH AND SANITATION 1st 2nd 3rd
Offense Offense Offense
Level 1
Failure and/or Refusal to submit to an annual physical
examination or treatment that may be prescribed by
the company physician as follow-up to the results of
the annual medical check-up or secure medical
clearance.
1 WW FWW D
If after failure to submit to an annual physical
examination or treatment required on a specific
schedule, the employee is given a new period to
comply, the failure of such employee to follow such
directives within the prescribed new period shall merit
the next level penalty.
Non-wearing of Face Masks and/or Face Shields in
Common Areas and when not on a Call (Pantry,
2 WW FWW D
Hallways, Gameroom, etc.) whenever health protocols
require
Failure to observe social distancing and other
guidelines set by the company to prevent the spread of
3 WW FWW D
the virus (e.g., CLAYGO, not talking without a mask
on) whenever health protocols require.
Not following capacity limits for closed areas - huddle
4 WW FWW D
rooms, conference rooms, elevators, locker areas
Non-compliance to Daily Health Assessment Checklist
5 WW FWW D
whenever health protocols require
Attempting to enter company premises or reporting for
work even if unwell, or have been exposed to a known
suspected or confirmed case (not applicable to those
6 WW FWW D
on self-quarantine, who are subject to stricter
guidelines) during a pandemic or whenever health
protocols prevent such reporting to work

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 Supervisor is not able to act on a reported COVID and
7 any health-related case with valid Incident Report WW FWW D
within 48 hours, regardless of nature of the case.
People Manager is not acting upon the failure of
8 his/her subordinate to act upon an infraction under the WW FWW D
Site Safety Protocols Policy or health protocols.
LEVEL 3
Failure to report any communicable disease afflicting
9 oneself or any employee, especially when the same is D
classified as highly contagious and/or life threatening
Refusal to undergo random drug test without a valid
10 D
reason when required by the company.
Refusal to receive treatment/medication prescribed by
the company physician for an illness or disease that is
contagious and which treatment/medication is to the
best interest of the employee or operations of the
company.
11 D
The employee will be asked to go on sick leave for the
treatment needed. If the disease will need prolonged
treatment, the provision of the law will apply. Should
the employee refuse to comply with the instructions,
the penalty provided in this code will be applied.
Inaccurate/dishonest response in daily Health
12 Declaration Form and any subsequent health D
verification exercise
Inaccurate/dishonest response in contact tracing
13 D
efforts
14 Violation of the self-quarantine guidelines D
Organizing activities that enables the spread of
15 diseases or results to prohibited group or mass D
gathering during pandemic or health emergency.
All other acts that cause or tend to cause damage or prejudice to the Company shall be
subject to disciplinary action depending upon the gravity of the offense committed.
IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND
CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX,
RESULTING FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO
THE AFOREMENTIONED.

10.5 Neglect of Duty

Employees are expected to perform their job functions and to follow the work instructions of
their management. Acts of Negligence and/or Gross Neglect of Duty shall include but not
limited to the following: Omission to carry out or perform the duties, functions or assignment
inherent to his position or specifically given to the employee including any conduct of the
employee not conforming to the applicable standards of care committed during working time or
on company premises tending to cause or resulting in personal injury, or damage to property
belonging to the Company or third parties or otherwise causing expenses to be incurred by the
Company. If warranted, the erring employee may be meted with either disciplinary action or
restitution of damage caused or both.

PENALTY
NEGLECT OF DUTY 1st 2nd 3rd
Offense Offense Offense
LEVEL 1
Failure to log in to the required production work tool
1 (e.g., AVAYA) during work hours without valid WW FWW D
justification.
2 Coming in late after a scheduled break WW FWW D

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 Simple neglect of duty which means the failure to give
3 proper attention to a task expected from an employee WW FWW D
resulting from either carelessness or indifference.
Failure of a salaried employee to report for work on
4 WW FWW D
designated time.
Failure to observe prescribed standards of work, or to
fulfill reasonable work assignments due to inefficiency
or pass training while on regular employee status or
failure to attain work goals or standards, either by
5 failing to complete the same within the allotted WW FWW D
reasonable period, or by producing unsatisfactory
results. This shall be without prejudice to the
provisions of the applicable performance improvement
plan.
Failure to submit on time necessary documents and
update information pertaining to the employee, i.e.
address, telephone number, civil status during
6 WW FWW D
employment, such as submission of clearances,
undergoing medical and drug tests, and other related
requirements
Sleeping while in the work area whether during work
7 hours or not. For Work at Home, sleeping during WW FWW D
working hours.
LEVEL 2
Neglect of duty which means the failure to observe the
degree of diligence demanded by the situation or
standard operating procedures (SOP), taking into
8 FWW D
consideration the time, place, environment, among
others thereby exposing the company to unnecessary
risk or expenses.
Failure to liquidate cash advances within the required
period from the fulfillment of the activity or event for
9 FWW D
which the cash advance was made. The penalty shall
depend, among others, on the amount involved.
Failure to undergo/complete/comply with the required
10 Security, Education, Training and Awareness (SETA) FWW D
module, including all mandatory trainings.
LEVEL 3
Unauthorized logging out of PC/terminal/ system,
leaving workstation and/or company premises without
11 D
any valid reason, and outside of specified break
schedule to avoid work
Gross and habitual neglect of duty, or the repeated
failure to exercise the standard of care that a
reasonably prudent person would have exercised in a
similar situation or acting or omitting to act in a
situation where there is a duty to act, not inadvertently
but willfully and intentionally with a conscious
indifference to consequences insofar as other persons
may be affected thereby, causing or tending to cause
loss or damage to the Company or injury to others. In
12 D
the event of considerable resultant damage to the
company or to others, the gross neglect need not be
habitual to be accordingly sanctioned.
For employees who are measured against specific
performance targets and/or metrics, this provision
includes but not limited to habitual failure to meet the
monthly scorecards and/or any critical metric provided
these are discussed and documented in accordance
with the performance improvement policy.
Habitual failure in training standards in cases wherein
13 D
an employee has been transferred in multiple

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 programs within a 1-year period (for regular
employees)
Furnishing false, misleading or inaccurate data or
information to persons duly authorized to receive the
same, arising out of the employee's negligence or
14 D
failure to discharge his duty to make personal
research, investigation or verification, which acts
causes prejudice to the Company.
Hiding, losing or misplacing records, instruments,
15 papers, and documents of the company, which causes D
prejudice to the Company.
IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND
CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX,
RESULTING FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO
THE AFOREMENTIONED.

10.6 Fraud, Dishonesty and Similar Acts Prejudicial to Company Interest

Concentrix places trust and confidence in its employees to act honestly and with integrity in all
their work and interactions with co-workers, clients and customers, in full compliance with its
Global Code of Ethical Business Conduct, applicable policies and its core company values.

PENALTY
FRAUD, DISHONESTY AND SIMILAR ACTS
PREJUDICIAL TO COMPANY INTEREST 1st 2nd 3rd
Offense Offense Offense
LEVEL 1
Rendering services for another employer or personal
1 WW FWW D
client, without the approval of the Program/RU Head.
LEVEL 2
Feigning Illness to justify an absence or avoid work
2 FWW D
and/or intentional acts of work avoidance.
Failure or refusal to cooperate or testify in Company
investigations unless the employee himself is under
3 investigation and his testimony will infringe or violate FWW D
his constitutional right against self-incrimination for a
criminal offense
LEVEL 3
Logging-in or logging-out for another employee or
allowing another employee to log-in or log-out for
4 D
him/her, regardless of the time, place and
circumstances.
Unauthorized reproduction or copying of company ID
or similar access passes (e.g. car pass), falsifying or
5 tampering time cards, timekeeping punches or any D
other time keeping records or drawing
salary/allowance by virtue of falsified time records.
Cheating in examination/s or evaluation/s/ or
6 D
assessments
Any intentional or deliberate act or omission resulting
to manipulation of scores or metrics. This includes but
7 D
not limited to being entitled to incentives, promotions,
and rewards and/or to avoid work assignments.
Making and submitting false claims for
reimbursements, false statements in employment
8 records or other documents, false testimony in D
Company investigations and/or any form of forgery or
falsification.

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 Conniving with or inducing employees, supervisors,
customers, competitors or third person to defraud or
otherwise prejudice the Company or deliberately
9 D
concealing such fraudulent act or any knowledge
thereof to commit an offense under the Company
rules and regulations.
Providing any false or inaccurate statement and/or
10 information to clients, customers or key D
vendors/suppliers
Maliciously and deliberately preparing and submitting
a substandard, inaccurate, inadequate, fraudulent
reports, information, and/or documents whenever
11 asked and/or assigned, which may mislead the D
company, supervisors, managers, or executives, or
when claiming benefits, or any work preference in the
Company.
Deliberate submission of any false and malicious
information or omitted any pertinent information that
consequently misled the Company to wrongfully
12 evaluate the employment application that led to D
employment or promotion; wherein such act is
discovered at any point in time of the employment
and found out not to be true, accurate and correct
Forging or falsifying personal or Company
13 D
information, documents, records, reports and papers
Forging the signature of another individual for
personal gain or for the advantage of another person,
14 D
whether or not a gain/advantage was indeed
obtained.
Inappropriately using any customer data or account
information including but not limited to billing
15 D
information, password, email information, or account
history.
Failure of employee to deliver lost property found by
16 such an employee to the guard on duty or immediate D
supervisor.
Attempting or committing theft of property owned by
the Company, Company Lessor, Client, Client
17 D
Customer or another located where Company
business is conducted.
Other forms of deceit, fraud, swindling and
misrepresentation committed by an employee against
18 D
the company, its employees or representatives or its
clients or customers.
Using another employee's login to access any
19 D
system.
Receiving bribes, "kickbacks" or clandestine profits in
20 the course of a transaction in which he/she D
represents the company.
Receiving bribes or "kickbacks" resulting from acts
21 D
prohibited by the Company.
Obtaining through fraudulent means materials, goods
22 or services from the Company or any of its other D
assigned workplaces.
Misappropriating, withholding, misusing goods or
property belonging to the company or meant for the
23 D
company or its employees, vendors, partners or
clients, whether for personal gain or not.
Intentionally misappropriating or failing to account for
24 D
funds of the Company

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 Receiving a loan, or guarantee of any obligation, from
25 any third party i.e. customer/client/vendor as a result D
of your position with the Company.
Concealing defective work, whether resulting in
26 D
prejudice to the company or not.
Identity Theft or the act of stealing someone else
27 D
personal information for personal gain
Engaging in the same business activities that are of
28 the same nature as the operations or business of the D
Company while still being employed with Concentrix.
Borrowing money or merchandise from the
29 D
customer/client.
Violation of any of the provisions of the Foreign
30 Corrupt Practices Act or FCPA and similar Philippine D
laws
Carrying out any fraudulent transaction using
31 company computer or systems data whether in or D
outside of the Company's network
Failure to disclose any real or potential conflict of
32 D
interest to appropriate management.
Using fictitious name or using another employee's
33 name for the purpose of concealing an offense or D
evading responsibility.
Violation or circumvention of the Concentrix Reward
Process, Procurement and/or Global Staff Expense
(Employee Expenses) Process . This includes but
not limited to:
34.1. Incorrect or improper use of Concentrix
Rewards platform as a purchasing/payment facility for
company goods, services and expenses (e.g. for
engagement activities). Company purchases and
expenses can only be coursed through the Coupa
Purchase Order (PO) or PO/PCARD process and/or
Account Payables Team payment process.
34.2. Disbursement of Concentrix Rewards points to
staff who are not entitled to a reward or incentive, or
who are not part of approved list of winners or
34 D
recipients.
34.3 Disbursement of Concentrix Rewards points to
any staff for further crediting or distribution (whether
in points or converted state such as goods, cash,
Gcash, etc.) to the real winners or recipients. The
disbursement of Concentrix Rewards points shall only
be to real winners or recipients.
34.4. Funneling of company funds or staff enjoyment
funds to Concentrix Rewards to use the platform as
an expense platform/petty cash to pay for team or
engagement expenses. Company purchases and
expenses can only be coursed through the Coupa
Purchase Order (PO) or PO/PCARD process and/or
Account Payables Team payment process.
Misappropriation or failure to account for the
funds/expenses of the Company or the client,
including but not limited to cash advances, employee
35 expenses, and Concentrix Rewards. This includes D
submitting false accounting of the funds/expenses,
making misrepresentations or submitting false and
incorrect supporting receipts and documents.
Creating, using or causing the use of false information
36 D
or incorrect Purchase Order or any budget/expense

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 approval document/reference, including any
connivance to commit the foregoing.
Circumvention of established Company’s Approval
Matrix budget approval process by splitting amounts
37 of the same request/Purchase Order/budget or D
disbursement request into lower denominations and
thereby not going through the correct approval matrix.
All other acts of dishonesty that are analogous to the foregoing and that cause or tend to
cause damage or prejudice to the Company shall be subject to disciplinary action depending
upon the gravity of the offense committed.

IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND

CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX,
RESULTING FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO
THE AFOREMENTIONED.

10.7 Upholding Social Norms

Morals and ethics are given high importance by Concentrix. What the employees do within
Concentrix premises, and even outside premises, reflects the image and reputation of the
company. Each employee can participate in the drive of Concentrix towards upholding good
morals and professional ethics by observing the regulations below.

PENALTY
UPHOLDING SOCIAL NORMS 1st 2nd 3rd
Offense Offense Offense
Level 3
Displaying, distributing, saving, viewing nudity or any
sexually offensive pictures or publications or any other
1 D
pornographic material within company premises or in
company events, be it in print or electronic format.
Any act or conduct which tends to sexually harass any
co-employee including but not limited to persistently
telling smutty jokes; taunting a co-employee with
constant talk of sex or sexual innuendoes; asking a co-
employee intimate questions on his/her sexual activities;
making offensive hand or body gestures, staring or
2 D
leering at a co-employee; making obscene phone calls,
text/online chat messages, emails to a co-employee;
requesting for dates or favors in exchange for a job,
favorable working conditions or assignments etc.;
unnecessary body contact in any sensitive part of the
body; and other analogous acts.
All acts violating the Anti-Sexual Harassment Act of
3 1995 (RA 7877), Safe Spaces Act (RA 11313) or the D
Company’s Anti-Sexual Harassment Policy.
Being a conduit, and/or directing or inducing another
4 employee, to commit sexual activities regardless of D
intention.
IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND
CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX RESULTING
FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO THE
AFOREMENTIONED.

10.8 People Management

Managers must exemplify the company’s desired values, behaviors and ethics. Managers are
expected to be role models and stewards of their team at all times and must carry themselves
in a respectable manner whether inside or outside the office premises.

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 PENALTY
PEOPLE MANAGEMENT 1st 2nd 3rd
Offense Offense Offense
LEVEL 1
Failure to disclose a romantic/intimate/family relationship
with any employee reporting under the supervisor’s
hierarchy particularly those wherein one party may be
1 able to influence the performance, performance WW FWW D
appraisal and/or salary increase of the other party and
those relationships that may potentially put the company
at a serious business risk.
Requesting for a date and/or personal relationship with
2 WW FWW D
any employee of the company’s clients.
LEVEL 2
Failure of a Manager to address critical performance,
quality compliance and metric- related behavioral issues,
3 or Quality / Zero Tolerance compliance and other Clients’ FWW D
quality commitments, of direct reports. The penalty shall
depend, among others, on the unaddressed issue.
Failure of the Supervisor / Manager to act on an infraction
4 of this code and/or the Global Code of Conduct, by an FWW D
employee under him/her.
Failure of the Manager to process Access deactivation;
and/or Workday termination within 24 hours from the
cause of deactivation. Including instances when an
5 FWW D
employee is on either NCNS, LOA, or Preventive
Suspension or has been terminated as provided in the
relevant Company guidelines.
Utterance of invectives, obscene, offensive and insulting
6 words or willful disrespect by the supervisor on his FWW D
subordinate.
LEVEL 3

Failure of a supervisor or manager to act on an infraction

7 of this Code and/or the Global Code of Conduct, by an D
employee under him/her in order to protect the employee.

Maligning and/or intriguing by any employee against any

other employee or performing or attempting to perform
8 an act by any employee to a co-employee (including but D
not limited to any form of physical attack), which tends to
cast dishonor, discredit or contempt, upon the latter.
Giving illicit, unlawful and immoral orders by a supervisor
to his/her subordinate or coercing or compelling a
9 D
subordinate to do illicit, unlawful and immoral acts that
may cause or tend to cause damage to the company.
10 Forcing an employee to resign. D
11 Abuse of authority or position in any form D
All other analogous acts, which may cause or tend to cause prejudice to the Company shall
be subject to disciplinary action depending upon the gravity and severity of the offense
committed.

IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND

CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX,
RESULTING FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO THE
AFOREMENTIONED.

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 10.9 Insubordination
All company rules and regulations should be followed by employees. Any direct and lawful order
given by a supervisor relating to work assignment must be promptly obeyed. The following acts,
though not exclusive, are deemed to be acts of insubordination:
PENALTY
INSUBORDINATION 1st 2nd 3rd
Offense Offense Offense
LEVEL 2
Unjustified refusal to follow work shift/schedule and work
location prejudicial to the interest of the
1 FWW D
department/Company whether the company operations
is affected or not.
Using profane, obscene, abusive, defamatory,
derogatory or disrespectful language/ action towards a
2 FWW D
superior, including insults or verbal threats to any
manager/leader
LEVEL 3
Willful disobedience without justifiable reason by the
employee of the lawful order/s of the supervisor or by the
Management in connection with the employee's roles and
3 D
responsibilities of the supervisor. This will include failure
to abide by company policies and processes related to
redeployment and/or reassignment of job responsibilities.
Gross Insubordination and/or physical threat or assault
4 by the employee against his supervisor or any company D
executive.
Encouraging, assisting, coercing, inciting, bribing or
5 otherwise inducing any employee to engage in any D
practice in violation of the Company’s work rules.
Serious misconduct or the willful transgression of some
6 established and definite rule of conduct, a forbidden act, D
a dereliction of duty, which is willful in character.
Willful holding back, slowing down, hindering or limiting
7 D
work output.
IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND
CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX
RESULTING FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO
THE AFOREMENTIONED.

10.10 Use of Workstations, Computer Programs, E-mail, Internet and other Devices
Use of company property, work stations, systems, and company email and internet should be
for official business use only. Employees must abide by all applicable policies concerning
company property, facilities, work stations and email and internet use.

PENALTY
USE OF WORKSTATIONS, COMPUTER PROGRAMS, E-MAIL,
INTERNET and other DEVICES 1st 2nd 3rd
Offense Offense Offense
LEVEL 1
Repetitive attempts to bring recordable devices regardless of
intent. This applies to intercepted devices while entering
1 production, training and prohibited areas. 10.10.19 and/or WW FWW D
10.10.20 shall apply when recordable device was successfully
brought into the prohibited areas
2 Surfing on unrelated and/or prohibited sites. WW FWW D
3 Leaving a Company-owned computer unattended or unlocked WW FWW D
LEVEL 3
Knowingly uploading, transmitting or clicking on links in
4 computer systems / emails that contain Trojan Horses, D
worms, or any other harmful programs

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 Hacking or cracking which refers to unauthorized access into
or interference in, or attempt to access, a computer
system/server or information and communication system or
security system; or any access to corrupt, alter, steal, or
5 destroy using a computer or other similar D
information/communication devices, including the introduction
of computer viruses and the like, resulting in the corruption,
destruction, alteration, theft or loss of electronic data
messages or electronic document.
Piracy or unauthorized copying or disclosing of Company
intellectual property or client information externally (including
6 D
copying from client tool) without a need to know without
having appropriate approvals and legal documents in place.
Producing, using, possessing, or trafficking one or more
7 counterfeit access devices with the use of Company D
computers, electronic devices, equipment, or tools.
Trafficking inside Company premises one or more
8 D
unauthorized access devices.
Inducing, enticing, permitting, or in any manner allowing
another employee, for a consideration or otherwise, to
9 D
produce, use, or traffic any counterfeit or unauthorized access
devices, or access devices fraudulently applied.
Using, possessing, or trafficking any access codes or
numbers or account information given by or obtained from the
client/customer, whether or not for personal benefit or gain,
including but not limited to any kind of possession, retention,
10 D
or use of credit card information or bank or financial account
information, may the retention, possession, or use be in print
or electronic media and regardless of any reason given for the
possession, retention, or use thereof.
Obtaining money or anything of value from the Company or
its clients and customers through the use of an access device
11 or account information obtained in the course of employment, D
with intent to defraud or with intent to gain with or without the
intention of fleeing thereafter.
Knowingly or intentionally initiating or downloading
12 unauthorized applications on property owned by the D
Company.
Consenting to, tolerating, sharing or allowing another
employee to use his/her password / login code / User ID to
13 gain access to a computer application, production tool, server, D
directory, files under any circumstance and/or physical entry
to which the accessing employee has not been authorized.
Unauthorized duplication and/or possession of corporate
14 D
confidential files or data, including client’s files or data.
Tampering with server/network configurations, changing
server/network rights of users, creating unauthorized user
15 D
accounts on the server/network, or any related acts of breach
of confidentiality.
Conspiracy to commit any of the foregoing offenses (offenses
16 D
#4-15).
Online discussion, posting, downloading or transmitting
sexually explicit and other offensive, bigoted, hateful or
17 racially offensive images using company owned computers, D
email systems, computer programs and other Company
owned devices.

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 Violation of the Company’s Social Medial Policy, including but
not limited to, mentioning client’s name in social media posts,
making your personal opinion to be that of the Company, and
disclosing confidential and proprietary information. This
18 violation shall include other similar infractions which clearly D
show employees failure to use his best judgment when
deciding whether the content is appropriate to publish and
was clearly not mindful that the published/posted statements
can be a reflection of the Company as a whole.
Possessing smart/cell phones and other personal electronic
devices including, but not limited to, smart watches, tablets
19 and all other video, audio, storage, communication or other FWW D
data recording device on the production floor, during training
or any other prohibited areas unless management approved.
Using smart/cell phones and other personal electronic
devices including, but not limited to, smart watches, tablets
and all other video, audio, storage, communication or other
20 data recording device similar storage devices inside the D
production floor, training rooms or other unauthorized areas
at any time to capture any photo or any confidential
information, within the prohibited area.
Storing non-business related files such as MP3, video files,
pictures and program installers in network drives and/or
21 D
unauthorized installation and/or use of external hardware,
paraphernalia, computer accessories, and the likes.
Unofficial use of IDD and NDD facilities. (Erring employee
22 may be required to pay the expenses incurred by the company D
for the call charges).
Posting or uploading, including of photos, videos, and the
like in any social media/online site/public platform, of any
23 D
confidential information including but not limited to
production facilities, client names, and company tools.
Posting or uploading in social media/online site/ public
platform or any online platform such as social media feed,
marketplaces, search engines, creative content outlets, any
24 messaging apps, online groups/communities of a photo or D
video or audio of account, client or company tools, or
detailing how they work, or any derogatory remarks, except
when expressly authorized by Company.
Posting or uploading in social media/online site/ public
platform or any online platform such as social media feed,
Final Written Warning to
marketplaces, search engines, creative content outlets, any
25 Dismissal depending on the
messaging apps, online groups/communities of any
gravity of the offense.
name/logo of the company or the client, except when
expressly authorized by Company.
Posting or uploading in social media/online site/ public
platform any account name/logo on any items/ gifts/ rewards/
awards that are given and approved by client for use (e.g. Final Written Warning to
26 pens, mugs, lanyard, tumblers, jackets, shirt, bags, etc.) that Dismissal depending on the
is visible or displayed on the employee’s Social Media gravity of the offense.
(feed/profile picture/cover photo/homepage) and other online
platforms
Posting, publishing, causing or making visible or audible any
Confidential Information on Social Media and other online
platforms. This includes any Personal Information held or
accessed by the Company (e.g. personal information of
27 D
customers, employees, candidates, vendors, visitors, etc.).
This is without prejudice to a separate proceeding being
commenced as regards data privacy violation and/or
applicable criminal charges.

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 Posting, publishing, causing or making visible or audible the
name, address, phone number, email address, or any other
28 personal information of the customer, client, employee, D
candidate, vendor, visitor or any individual whose
information is held or accessible to the Company.
Posting, publishing, causing or making visible or audible any
29 customer account information (e.g. membership, type of D
account, subscription, status of transaction, etc.).
Posting, publishing, causing or making visible or audible
30 D
customer credit card information.
Posting, publishing, causing or making visible or audible any
31 process transaction or any of doing of business of the D
Company (or its clients),
Any report or escalation (internal/external/client) pertaining
to workplace security violation and any social media photos/
32 posts. This includes photos or videos being taken inside the D
production floor or training rooms, whether posted or not in
social media and other public platforms.
Any posting or uploading that uses the name or trademark of
the Company to the prejudice of the Company, or any
33 D
malicious online use of the same, or grace disparagement of
the Company.
Any other acts of improper, unauthorized use of workstations, computer programs, e-mail,
internet and other devices, which may cause or tend to cause prejudice to the Company shall be
subject to disciplinary action depending upon the gravity and severity of the offense committed.

Access Device is any card (including but not limited to credit cards), plate, code, account
number, electronic serial number, personal identification number or other telecommunications
service, equipment, or instrumental identifier, or other means of account access that can be used
to obtain money, goods, services or other things or value or to initiate a transfer funds (other than
a transfer originated solely by paper instrument).

Unauthorized Access Devices is any access device that is stolen, lost, expired, revoked,
canceled, suspended, or obtained with intent to defraud.

IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND CONSISTENT

WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND ITS CLIENTS,
ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX RESULTING FROM THE
ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO THE AFOREMENTIONED.

10.11 Prohibited Drugs and Paraphernalia

Possession, sale, use and/or being under the influence of dangerous drugs, and use of
regulated drugs beyond medically prescribed limits are prohibited in the workplace. It is
detrimental to the health, safety and work-performance of the employee and is harmful to the
welfare of families, the company and surrounding community.

PENALTY
PROHIBITED DRUGS and PARAPHERNALIA 1st 2nd 3rd
Offense Offense Offense
LEVEL 3
Possession or causing to be brought into the company
premises or company events dangerous drugs, whether
during working time or not, except when such are
medicines duly prescribed to the employee by a
1 physician. The company reserves the right to verify the D
authenticity and veracity of the prescription and/or the
physician who issued the same. Company premises
extend to all company vehicles, rooms, hotel rooms and
sites used by the employee while on an out-of-base duty.

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 Possession or custody of equipment, instrument,
2 apparatus and other paraphernalia used in the D
administration of dangerous drugs.
Possessing, selling, trading, transferring, using, or
3 administering dangerous drugs within Company D
premises.
Inserting, placing, adding, or attaching directly or
indirectly, through any overt or covert act, whatever
quantity or quality of any dangerous drugs in the person,
4 D
office, effects or in the immediate vicinity of an individual
for the purpose of implicating, incriminating or imputing
him to a crime.
Consenting to the unlawful acts provided for in this policy
and uses his/her influence, power or position in shielding,
5 harboring, screening or facilitating the escape of any D
employee who has violated the provisions of this policy in
order to prevent the arrest, prosecution and conviction.
Repeated drug use and/or yielding positive results for
6 drug use even after ample opportunity for treatment and D
rehabilitation.
Addiction on dangerous drugs that will require
7 rehabilitation or confinement of more than 6 months, as D
certified by the Rehabilitation Center.
8 Refusal to undergo drug rehabilitation and treatment D
9 Other acts analogous to the foregoing. D
All other acts in violation of the Comprehensive
10 Dangerous Drugs Act of 2002, and other laws related D
thereto.
IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND
CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX, RESULTING
FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO THE
AFOREMENTIONED

10.12 Policy on Transaction Handling for Voice, Email, Chat and all other CUSTOMER
TRANSACTION METHODOLOGIES

In representing the company, excellent customer service is our business and should be
everyone’s priority.
POLICY TRANSACTION HANDLING for VOICE, EMAIL, PENALTY
CHAT and all other CUSTOMER TRANSACTION 1st 2nd 3rd
METHODOLOGIES Offense Offense Offense
LEVEL 1
Incorrect Tagging/Documentation of a transaction -
Written Warning on 1st instance.
1 WW FWW D
However, if there are multiple instances and there is
a substantial impact to the business, the penalty is
Dismissal.

Written Warning up to Dismissal

Failing to verify/obtain any security information prior to
depending on
2 discussing account specific/critical account
the program’s Zero Tolerance
information with a customer.
policy
D
LEVEL 2
Failure to call back a customer in instances wherein a
3 FWW D
call back is deemed necessary.
LEVEL 3
Negligent handling of customer credit card information
4 D
or other account information

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 Unauthorized use of customer’s credit card
5 information or other bank or financial information as a D
payment mechanism
Cheating customers or clients including but not limited
6 D
to charging of excessive fees.
Making any alteration, without the access device
7 holder's authority, of any amount or other information D
stated in the customer’s account data.
Failure to erase or delete immediately before logging
off any notes, data, numbers, records or other
information that were placed, pasted, or stored in
8 D
Windows Notepad. Google notebook, or other similar
systems on-line links or otherwise, excluding offenses
related to Credit Card Information
Shouting at the customer or utterance of invectives,
obscene, offensive, rude, sarcastic remarks,
disrespectful, abrasive comments or consistently
9 interrupting the customer in a rude manner or uttering D
any abusive, offensive language and/or any profanity
while handling a customer transaction but not directed
at anyone including the customer.
Utterances of obscene, offensive and insulting words
or discriminatory languages in reference to race,
10 D
religion, gender, ethnicity, sexual preference/
orientation or lifestyle.
Call/Chat/Email avoidance or dropping of
call/transaction, including but not limited to:
11.1. Failure to answer calls, chats, and/or
transactions within the threshold period.
11.2. Failure to answer at the start of the call/chats/
transactions until the customer hangs up or
disconnects.
11.3. Intentional disconnection by the agent of the
call/chat/transaction by the customer.
11.4. Transferring a call/transaction back into the
queue without valid reason.
11.5. Prematurely transferring a call/transaction to
another department/agent or back to the queue.
11.6. Intentionally giving inaccurate information in
order to release a call/transaction.
11.7. Refusing to take a call/transaction.
11.8. Placing a customer on hold in excess of the
11 D
threshold period.
11.9. Inappropriate ending/passing of a
call/transaction.
11.10. Aux Jumping: manipulating aux states to avoid
calls/transaction in the queue or going back to the
bottom of the queue without authorization
11.11. Staying on the line upon transfer of the
call/transaction to the next level of support beyond
the threshold period.
11.12. Intentionally dialing an invalid number that
results to talk time or Aux out or ACD in, or other
similar or analogous to the foregoing.
11.13. Opening multiple lines
11.14. Going on unavailable status without following
operational procedure
11.15. Any other act analogous to the foregoing or
that can result or is intended not to respond to
customer calls/chats/transaction.

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 Placing inappropriate/sarcastic/offensive notations in
12 D
the account of the customer.
Failure to review the customer’s account notes
13 D
resulting to a fraudulent transaction.
Misrepresenting the Company or oneself to the
customer and/or using fictitious name or using another
14 employee’s name or access for the purpose of D
concealing an offense or evading responsibility
therefore.
Utilizing the system to look at an employee or
customer account or celebrity/famous name account,
15 with or without using it, where he/she has no D
acceptable business reason/purpose as part of job
responsibilities/procedures for viewing the account.
16 Burning of leads D
Utilizing the system to process any transactions
17 (financial or non-financial) on an employee’s own D
account, a customer’s account or another account.
Being the subject of an Executive, customer or Client
18 Complaint of an act which likewise constitutes a D
violation of this Code.
Commission of any Program Zero Tolerance Offense.
19 D
*
Handling calls on behalf of another agent without
20 D
authorization
*Program Zero Tolerance Offenses are grave offenses that stem from behavioral issues that
have a serious effect on the relationship between a client of the company and any of its
members. Commission of these offenses may result to penalties imposed on the company by
its clients and/or client pullout. These offenses include but are not limited to:
-Rude, offensive, vulgar behavior
-Violations of security procedures
-Gross and Habitual negligence of transaction related processes

IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND

CONSISTENT WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND
ITS CLIENTS, ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX,
RESULTING FROM THE ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO THE
AFOREMENTIONED.

10.13 SECURECX VIOLATIONS

The use of the tools of the Company shall always be in accordance with company policy and
consistent with its purpose. SecureCX is a tool intended to safeguard and protect confidential
data of the Company, its clients, and their customers. The following are policy violations
which may be captured by SecureCX and/or related to its use or improper use.

PENALTY
SECURE CX VIOLATIONS 1st 2nd 3rd
Offense Offense Offense
LEVEL 1
Permitting or failing to prevent another person from
viewing or accessing any Concentrix-owned or
1 WW FWW D
approved computer including, but not limited to,
shoulder surfing and bystanders / passersby

Blocking or adjusting the camera so that it does not

2 WW FWW D
show the employee while working.

Failing to turn on, or disabling, the camera while logged

3 WW FWW D
into the Concentrix system.

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 LEVEL 2
An employee may not use a photo in place of their own
4 FWW D
physical face to authenticate access to the system.
Keeping a mobile device, digital camera, tablet, smart
5 watch or other similar device within the workstation area FWW D
unless management approved.
LEVEL 3
Directing any mobile device, digital camera, tablet,
smart watch or other similar device toward the
6 D
computer including, but not limited to, taking a photo or
video while logged into the Concentrix system
IN ADDITION TO THE APPROPRIATE PENALTY UNDER THIS SECTION AND CONSISTENT
WITH THE OTHER POLICIES AND PROCEDURES OF CONCENTRIX AND ITS CLIENTS,
ANY DAMAGE TO, OR PENALTY IMPOSED ON CONCENTRIX, RESULTING FROM THE
ACTS OF THE ERRING EMPLOYEE, MAY BE CHARGED TO THE AFOREMENTIONED.

11.0 Definition of Terms

11.1 CODE – Unified Code of Discipline and Ethics

11.2 Employee – person of any rank, whether regular, casual, probationary, project,
seasonal or contractual, who receives wages/salaries and benefits from Concentrix.
An employee remains to be one even after having submitted his/her resignation but
prior to the same being effective as provided for in the employment contract and/or
existing policies.

11.3 Client – the program or entity that outsourced its business requirements to Concentrix

11.4 Customer – Clients’ customers

11.5 Company Premises – Concentrix owned and/or leased offices or grounds, call
centers, including service vehicles. It also includes venues rented for official company
conferences, meetings, seminars, outings, parties or gatherings attended by
employees for the duration of the activity. Buildings that house Concentrix offices, for
the purpose of this Code, shall be considered part of company premises.

11.6 Company Property – Concentrix leased and/or owned equipment, furniture, supplies,
documents, intellectual property and money.

11.7 Company Time – period of time the employee is required or is deemed to be rendering
work for the company, including the period or time allocated for Company events.

11.8 Notice to Explain or Show Cause Notice – a written statement informing an employee
of alleged violations he is being charged with. This is the first notice of the twin notice
rule required by law and may come in the form of Disciplinary Action Form (DAF)

11.9 Notice of Decision or Notice of Resolution – a written notice informing the employee of
the result of the investigation of the allegation/s that was/were charged against him.
This may also come in the form of a Resolution.

11.10 Prescription Period – the period in which a Disciplinary Action (DA) has been served
up to the time it is considered cleansed. Reckoning date for the prescription period
begins on the date the DA was served. Any repetition of the same before the end of
the prescription period shall progress to the next level of DA.

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 ACKNOWLEDGEMENT RECEIPT WITH UNDERTAKING

I acknowledge the receipt of this Concentrix Unified Code of Discipline and Ethics, which I have
had the opportunity to review and which was thoroughly and extensively discussed with me.

I undertake to abide by the rules, policies and standards of work set forth in this Policy at all
times and to cooperate in any company investigations of cases involving violations of the Code and
other related policies. Any violation of its provisions may result in civil, criminal and/or administrative
liabilities.

I am fully aware that Concentrix, can modify, rescind and/or amend this Code or any part
thereof, as business exigencies may require.

___________________________________
Signature of Employee above printed name

Date _______________________________

_________________________________________________________________________________

This Unified Code of Discipline and Ethics is the property of Concentrix Philippines. No portion of this
Code may be used for any purpose without the prior written consent of the Legal Department of
Concentrix. This copy must be returned together with other company property and facilities upon
separation from the company.

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