Background Check Policy-Version 10.0

BACKGROUND CHECK
VERIFICATION
PROCEDURE
Version 10.0
.
Background Check Verification Procedure
Revision Record
Version Date Change Description Reviewer Approved by
1.0 1-April-2005 Creation of Detailed BGC Policy Vijay Gopal KS Ananthanarayanan,
Narendra Puppala
1.1 1-Sept-2005 Inclusion of Pre-BGC process Vijay Gopal, Shweta KS Ananthanarayanan,

Arora Narendra Puppala
1.2 1-Jan-2006 Campus hire process is added Vijay Gopal KS Ananthanarayanan,
Narendra Puppala
2.0 01-Oct-2008 Added break in service and Sapna Sharma / KS Ananthanarayanan,
movement from NGE to GE and Rajendra Gupta Poonam Bharti
Onsite to Offshore and vice versa
Revised exception handling and
process defined for handling of
process for non-verifiable areas
2.1 01-June-2009 Applicability of BGC coverage for Siby Joseph KS Ananthanarayanan,

grades A8 & A9 Poonam Bharti
3.0 01-July-2010 Inclusion of Identity Check and Srinivas Sastri / Ajit Abraham /
Criminal Check
4.0 01-Apr-2012 Review of Policy Srinivas Sastri / Suresh Raman
Siby Joseph
5.0 01-Mar-2013 Annual Review of Policy Srinivas Sastri / Suresh Raman
Hitender Singh,
Astuti Jaiswal
6.0 27-Oct-2014 Review of Policy- Deepak Dobriyal / Subrat Chakravarty
Change in type of Background Siby Joseph
checks for contractual employees.
Re-BGC conditions (clause 4)
amended.
7.0 01-Apr-2016 Annual Review – modification to Deepak Dobriyal / Samit Deb

clause 8. Siby Joseph / John
Bahadur
7.1 20-Oct-2016 Modification to include Siby Joseph, Amit Samit Deb
sustainability clause Dhingra
8.0 22-oct-2016 Modification to include Siby Joseph, Amit Samit Deb
Performance Measurement, Dhingra
management reporting & Program
sustainability clauses
9.0 01-May-2017 Modification of Clause No. 9 Siby Joseph Samit Deb
10.0 01-Oct-2017 Modification of clause No. 04, 09, Vivek Chitravanshi Samit Deb
10 & 12
This document is the exclusive property of Birlasoft Limited. Copying, Distribution, Electronic mail is
strictly prohibited unless written permission is obtained from the authorized Birlasoft personnel Page 1 of 11
Classification: Internal
.
Table of Contents
1.0 Objective ........................................................................................................................................................ 3
2.0 Applicability .................................................................................................................................................... 3
3.0 Definition ........................................................................................................................................................ 3
4.0 Category of verifications: ............................................................................................................................... 3
4.1 Business Specific Checks .............................................................................................................................. 4
5.0 Ownership ...................................................................................................................................................... 4
6.0 Background Check for Freshers recruited through Fresher Hiring Program ................................................. 4
7.0 Background Check of Contractors/Sub-Contractors/ Others ........................................................................ 5
8.0 BGC Vendor Selection and approval .............................................................................................................. 6
9.0 Joining, On-boarding and verification ............................................................................................................ 6
10.0 Re-BGC for employees rejoining after break in service (Sabbatical / long leave / Separation)..................... 7
11.0 Sustainability and Performance Management............................................................................................... 7
11.1Performance Measurement:....................................................................................................................... 7
11.2 Management Reporting: ............................................................................................................................ 8
12.0 Exception Handling......................................................................................................................................... 9
Annexure A .......................................................................................................................................................... 10
.
1.0 Objective
Every Associate, who joins Birlasoft or engaged with Birlasoft in any project, is required to undergo background
check process. This process is essential to ensure that the credentials of each and every person joining
Birlasoft are bona fide in nature and the company does not employ/deploy any person with criminal background,
fake certification, experience, etc. This process protects the company and its customers from being associated
with undesirable persons or persons with dubious credentials.
2.0 Applicability
 All the employees of Birlasoft
 All full time professional service providers / contractual staff
 All full-time vendor / contract employees
 All full time trainees, except summer trainees whose duration of internship is upto three months.
3.0 Definition
The term “Background Verification” refers to the verification/screening, whether by the Company or any agency
(internal or external) that it may employ/assign for that purpose, of data and/or information provided by the
Associate/Consultant during the process of recruitment/hiring, on the following, in part or whole:
 Educational Qualifications (only for permanent full-time employees/full-time trainees

 Residence verification
 Information with regards to past employments: Organizations worked, roles / responsibilities,
conditions of exit, salary & benefits etc.
 Compliance with other policies around conditions of Employment with the Company such as
conditions of sole and whole-time employment; citizenship status; that said employee is not a
proclaimed/convicted criminal or not facing criminal charges, etc.
 Identify Proof through State provided identity document
4.0 Category of verifications:

As part of the background check process of the Company, the following category of information furnished
by employees / candidates / contractual staff will be verified, the process of background check is divided
in to 2 phases (a) Phase 1 – Standard Check (b) Phase 2 : Post Joining checks. The total checks covered
under the SOP are as follows :
 Education: Highest educational and professional qualifications, including Diploma (if applicable
and on which employment/assignment is offered). If highest qualification is done through
correspondence/part-time courses, Graduation + highest qualification to be done (wherever
applicable).
 Employment: Past three employments (starting from the latest) or maximum seven years of
previous employment
 Address: Permanent address or the current address if duration of stay is more than three years.
.
 Criminal: Verification of criminal records through Court of the place of permanent residence AND
also verification of criminal records through Police Station or through law firms under whose
jurisdiction the current place of stay comes.
 Database: Database records through net/court records for India / International
 Reference : Any two professional references from Supervisors/HR (from any of the latest two
previous employers, preferably from the last previous employer or reference letters)
 Identify Proof: Any valid Identity issued by the Government Agencies (SSN, Resident Card, PAN
Card, Voter ID Card, Passport, Driving License, Ration Card or UID.)
 For subcontractors,
 Employment check is done for last three employments (starting from the latest or maximum 5
years of previous employment unless there is any specific requirement from the client as per
MSA)
4.1 Business Specific Checks

In addition to above mentioned standard checks for all employees, there may be business-specific or customer-
specific additional background check needs (e.g. drug test, passport verification). The following is the process to
be followed for business/customer specific additional checks:
 In case the additional check is mentioned in the customer contract / SOP / purchase order or any other
communication, the additional check would be done on that basis.
 The Business Relationship Manager / Account Manager / Business PMO / Program Governance Lead of
Birlasoft communicates the need of additional verification to the BGC SPOC of the site / Corporate as soon as
the communication is received from the customer / business.
 BGC SPOC initiates the additional checks with the approved agency(ies) and a report is obtained from the
vendor.
5.0 Ownership
The ownership of conducting background verification check (BGC) of Birlasoft employees lies with the Human
Resource function, in collaboration with the Talent Planning Group (TPG) and Talent Acquisition Group (TAG).
The BGC is conducted via external agencies which are empanelled by the Company. Whenever the services of an
external agency is engaged for conducting BGC, Birlasoft will enter into a formal service agreement with the
agency and also non-disclosure cum confidentiality agreement, before commencement of utilizing services of
the agency.
6.0 Background Check for Freshers recruited through

Fresher Hiring Program
When a student is selected from any of the campuses through the campus recruitment program of the
organization, he/she is given an offer for Training and/or Employment with Birlasoft. The offer is accompanied
with an Employment/Training Application Form (EAF) and an attachment detailing list of documents to be
submitted (as mentioned below) along with it. In case the EAF or list is not given to the students at the time of
recruitment in the campus, it will be sent by the BGC SPOC to the candidates separately. The following
documents have to be provided by the students:
.
 Copy of all degrees from Graduation onwards

 Copy of all mark sheets and certificates (from 10th onwards)
 Two reference letters from candidate’s institute/ college
 Copy of permanent address proof
 Copy of present address proof
 3 Passport size photographs
 Copy of Identity Proof
The students who do not posses all the above documents may be given 15 days grace time to collect and submit
the above documents.
For campus recruitments, the following verifications will be done:
o Education: (any additional qualification other than the qualification on which campus hiring is done).
o Employment: In case any campus hire possesses any prior experience, which needs to be considered as
prior experience, such prior employment will also be verified.
o Address : Permanent address or the current address if duration of stay is more than three years.
o Reference: Any two references from institutes or personal references of persons of repute (e.g.
Government servants, Public Sector undertaking employees). A reference letter signed and stamped by
the Placement Co-ordinator of the institute or a Professor of the institute will be valid proof in lieu of a
reference check.
o Criminal: Criminal records watchlist check through Court records of the place of permanent stay
o Criminal record verification through Police records of the current place of residence
o Database : Database verification through internet based search
o Identity Verification
The process of verification and closure will be the same as for all other employees.
7.0 Background Check of Contractors/Sub-Contractors/

Others
Background check of direct contractors and sub-contractors will be conducted as per the following:
7.1 All contractors/sub-contractors who will have access to intranet applications / Birlasoft applications or
database or client applications / network will undergo background checks (as mentioned at clause 4),
unless otherwise mentioned in the MSA between Birlasoft and sub-contractors basis business need
analysis.
7.2 Background checks of sub-contractual staff or service providers will be conducted by the sub-contracting
organization. Conditions / obligations on deploying background check cleared staff will be part of the
MSA between Birlasoft and service provider. The functions dealing with sub-contractors will be
responsible in ensuring that BGC clause is mentioned in the MSA and BGC confirmation / proof is
obtained from their organizations, as required. For sub-contractual staff and service providers, the
following checks will be applicable:
 Criminal records
 Identity
.
 Address
7.3 In case access to Birlasoft premises or network is to be given to other third parties such as clients or
vendors, confirmation of BGC completion from the parent organization of resource would be obtained.
8.0 BGC Vendor Selection and approval

The background check screening agencies will be selected as per the Procurement Process / Vendor
Selection process of the Company and comes into effect after signing a formal agreement. If there are
any agencies specifically defined by any customer as part of the customer agreement / understanding,
the services of the same agency will be used for that particular customer.
9.0 Joining, On-boarding and verification

9.1 BGC of all the candidate(s) is conducted in 2 phases. Checks included under Phase-1 are Standard Checks
i.e.. Education, Address, identity, Criminal, Police, Database & Employment (other than Current
employment). Checks included under Phase-2 are Post Joining checks i.e.. Current Employment /
immediate previous employment, Reference check, Client Specific Checks (Drug test , MVR Check).
9.2 Joining and onboarding of all candidates in Delivery will be initiated only after confirmation from the
BGC team that BGC is initiated or all relevant documents for initiating BGC is provided before joining.
However, employee will be on-boarded on to the project only post completion of all the checks as
specified in the client MSA. For SGNA hires BGC shall be conducted post their joining.
9.3 Submission of all documents supporting credentials and initiation of BGC, except current employment
checks, are mandatory for all for joining the company. In case background initiation is not done on or
before joining date due to some specific reasons, he/she may be allowed to join in rare cases and only
with strong justification to join after filling up the Joining Requirement Deviation Request Form
(Annexure A) and obtaining approval from the approving authorities.
9.4 Current Employment: Current employment (employment just prior to joining Birlasoft) is initiated on
the date of candidate’s joining Birlasoft, unless communicated otherwise. The BGC Incharge collects the
relieving document or resignation acceptance document of the previous employer and gives the
approval to the agency to initiate current employment on joining date. The agency sends an additional
report for the current employment verification within the agreed TAT, if report is already sent for other
components.
9.5 A background check is treated as complete only after completion of all checks, including current
employment and reference checks.
9.6 In case any report is not Green (i.e. if all verification components are not cleared) due to any reason,
such a reports will be analyzed by the BGC Owner and HR Leader and further action, as defined in the
BGC Exception Handling Process, will be taken based on the severity of discrepancy reported.
9.7 Reports: All background check reports will be kept and saved in the personal file of the employee and/or
any database maintained by the organization under the custody of Central HR team .
.
9.8 Onboarding: Onboarding of resources into project will be done after completion of joining process and
fulfillment of pre-onboarding conditions of customers, as specified in the MSA/SO/PO or any such
agreement between the Company and the client. TAG team shall refer to the pre-onboarding conditions
applicable to the customer or follow the pre-onboarding workflow before onboarding into projects. For
SG&A and resources joining into the resource pool, background check will be completed within 30 days
of their joining
10.0 Re-BGC for employees rejoining after break in service

Whenever an employee rejoins Birlasoft after break in service due to any reason, the following checks
will be done:
 In case break in service is due to separation and rejoining:

 Verification of current address (if there is change in address), database check and criminal records
is done through the approved BGC agency.
 Where the break in service is >6 months, database check, criminal records, additional
qualification(if any), employment during the break (if any), id proof, address (if there is any change
in the permanent address) will be done.
 Where the break in service is <6 months, database check, criminal records, address (if there is any
change in the permanent address) will be done.
11.0 Sustainability and Performance Management

In order to maintain sustainability of the BGC policy / process we ensure all the candidate who would
be eligible for becoming employees OR future employees has to go through the BGC process without
fail and also the BGC is done as per the SLA’s. There are responsibilities and authorities fixed at all the
levels to ensure the adherence of the policy.
To measure the performance of the process we track the status of the same via performance
dashboards which gets shared with the respective stakeholders on a monthly basis.
11.1 Performance Measurement:

Responsibi
Measurement Success Criteria /
Parameters lity of Reporting to Frequency
Criteria Threshold (KPI)
Reporting
Background Check < 85% = Red
BGC SLA completion with 85% - 90% = Amber BGC Lead HR / TPG / TA Monthly
Status SLA met > 90% = Green
>15 days = Red
BGC Ageing BGC Ageing 13 – 15 days = BGC Lead HR / TPG / TA Monthly
Amber
< 13 days = Green
< 85% = Red
SLA Trend BGC SLA trend of 6 85% - 90% = Amber BGC Lead HR / TPG / TA Monthly
.
Analysis months > 90% = Green

Onboarding
exception reports < 85% = Green Monthly
Onboarding (i.e. before pre- 85% - 90% = Amber Onboardin Functional (based of
Exception onboarding > 90% = Red g Lead Head of exceptions)
Check requirements HR/TA
completion / client
exception
approvals ) for
onboarding before
BGC completion
< 90% = Red
BGC Report BGC Green Vs. Non 60% - 90% = Amber BGC Lead HR / TPG / TA Monthly
Status Green report status > 60% = Green
Status of BGC non < 4 days = Green
Exception Green closure and 5 – 7 days = Amber BGC Lead Functional Monthly
Closure status action taken > 7 days = Red Head of
HR/TA
BGC Status of Nos. of employees < 85% = Red BGC Lead HR / TPG / TA Monthly
new hires joined the 85% - 90% = Amber
company YTD and > 90% = Green
BGC Completed
11.2 Management Reporting:
Success Criteria
Measurement Responsibility
Parameters / Threshold Reporting to Frequency
Criteria of Reporting
(KPI)
Background Check < 85% = Red
BGC SLA Status completion with 85% - 90% = BGC Lead HR / TPG / TA Monthly
SLA met Amber
> 90% = Green
>15 days = Red
BGC Ageing BGC Ageing 13 – 15 days = BGC Lead HR / TPG / TA Monthly
Amber
< 13 days =
Green
< 85% = Red
SLA Trend BGC SLA trend of 6 85% - 90% = BGC Lead HR / TPG / TA Monthly
Analysis months Amber
> 90% = Green
Onboarding
exception reports < 85% = Green Monthly
Onboarding (i.e. before pre- 85% - 90% = Onboarding Functional (based of
Exception onboarding Amber Lead Head of exceptions)
Check requirements > 90% = Red HR/TA
.
completion / client
exception
approvals ) for
onboarding before
BGC completion
< 90% = Red
BGC Report BGC Green Vs. Non 60% - 90% = BGC Lead HR / TPG / TA Monthly
Status Green report status Amber
> 60% = Green
Status of BGC non < 4 days = Green
Exception Green closure and 5 – 7 days = BGC Lead Functional Monthly
Closure status action taken Amber Head of
> 7 days = Red HR/TA
Nos. of employees
BGC Status of joined the < 85% = Red HR / TPG / TA Monthly
new hires company YTD and 85% - 90% = BGC Lead
BGC Completed Amber
> 90% = Green
12.0 Exception Handling

In case any exceptions happening during the course of verifications, please refer to the Background Check
Exception Handling Process and the exception handling process as defined under Section 15 of On-boarding and
off-boarding SOP – 9.0 (available with BGC and HR Team) to address it.
*****
.
Annexure A
Joining Requirement Deviation Request (BGC)
Name Date of Joining Employee
ID (if any)
Hire Type
(Please √ the correct type) Lateral Hire Campus Recruitment
Document(s) not submitted
Date by which
Reasons for not submitting Document(s) would
Document(s) missing (Please √ against the list)
the document(s) be given (Max 7
days)
Copy of standard 10th and 12th certificate
and mark sheets
Copy of mark sheets and Degree certificate(s)-
graduate and Post Graduate.
Copy of any other Certifications/Course(s)
attended.
Copies of all previous Appointment Letters (ALL
previous employers).
Copies of all previous Release AND Experience
Letters (ALL previous employers)
Current address Proof.
3 passport size Photographs.
Recruitment Process
Name of Recruiter(s)
Did the Recruiter inform you for the documents required at
time of joining Yes/No
Any comments
Recruiter’s comments
Recruiter’s Signature
Authorization by TPG
Reasons for
Action Recommended
Deviation
Signature of site Hiring Manager Signature of site HR/BGC Leader
I understand that if I do not produce the missing documents as stated above, within 3 days, I can be de-allocated
from my project and the management has the right to take appropriate action against me.
* Campus Recruits don’t need the Authorization by TAG Signature of Joinees


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BACKGROUND CHECK

1.1 1-Sept-2005 Inclusion of Pre-BGC process Vijay Gopal, Shweta KS Ananthanarayanan,

2.1 01-June-2009 Applicability of BGC coverage for Siby Joseph KS Ananthanarayanan,

7.0 01-Apr-2016 Annual Review – modification to Deepak Dobriyal / Samit Deb

 Educational Qualifications (only for permanent full-time employees/full-time trainees

4.0 Category of verifications:

4.1 Business Specific Checks

6.0 Background Check for Freshers recruited through

 Copy of all degrees from Graduation onwards

For campus recruitments, the following verifications will be done:

7.0 Background Check of Contractors/Sub-Contractors/

8.0 BGC Vendor Selection and approval

9.0 Joining, On-boarding and verification

10.0 Re-BGC for employees rejoining after break in service

 In case break in service is due to separation and rejoining:

11.0 Sustainability and Performance Management

11.1 Performance Measurement:

Analysis months > 90% = Green

11.2 Management Reporting:

12.0 Exception Handling

Document(s) not submitted

Signature of site Hiring Manager Signature of site HR/BGC Leader

* Campus Recruits don’t need the Authorization by TAG Signature of Joinees

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