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How to Change/Correction Employee Name in ESIC Portal – ESIC Name Change Letter Format

Often we come through many queries seeking the proper way of changing the employee name in ESIC portal. However, these queries are always left unanswered due to lack of knowledge about the correct process. To help those people, here we are providing detailed descriptions about the proper process of changing or correcting the employee name in an ESIC portal. Some of the guidelines to remember before the process:

  • The ESIC name change process can only be done in offline mode. There is no online platform or process for changing employee name in ESIC portal. However, an employer can change the nominee details, details of family members and other additional details in ESIC employer portal.
  • Before knowing the process to change employee name in ESIC portal, one should sought out the reasons for wrong names in ESIC portal. Wrong names generally happen when the employer misspells an employee name during the registration process in the portal.

How To Edit Employee Name In ESIC Portal

In order to successfully change the IP name in ESIC portal, the employee needs to submit a proper request letter seeking correction of his/her name in the regional ESIC office. The request letter, however, should be attested effectively by the employer. Without any attestation, the Employee State Insurance Corporation would never change the name of the employee. Kindly refer the sample ESIC name correction letter format for application.

ESIC Name Change Letter Format

To                                                                                                                                                     Date: 05-03-2018

The Branch Manager,

ESIC Office Address.

Sub: Change Of IP name RAHUL CHAWLA bearing insurance number 7422xxx469

This to draw your attention to that the name of the above employee RAHUL CHAWLA, ESIC No: 7422xxx469 has been entered wrongly during the registration process. The correct name of the person is RAHUL CHAWLA, but in ESIC portal it has entered as RAHUL CHAWLA. As such, we kindly request you to please correct and enter the name properly to RAHUL CHAWLA.

Thanking you in advance.

For Maheshwari Tea Co. Pvt. Ltd.

Authorized Signatory

Establishment Code: 7422005xxx469748

Note: This letter and esic correction form should be taken a printout on company letter head. After preparing the letter, either the employee or employer needs to submit it in the nearest regional ESIC office. The ESCI would make the necessary corrections to employee name within a span of 15-30 days.

Click Here to Download ESIC Name Change Letter In Word and PDF Format.

How to get a UAN number through a PAN/ Aadhar/ PF Account number
Universal Account Number of EPF

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Posted by Hrformats - March 5, 2018 at 5:58 AM

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Sample Format Of Salary Increment Letter

Salary increment letter is written with a purpose to inform the employee about increment in his or her salary. While writing such a letter, you must congratulate the employee and also state the reason for this increment along with the components of this appreciation. You must include the name, designation and the date of increment for making this letter complete in every sense. It has to be a letter that acknowledges the hard work of the employee and also motivates them to work harder.

If you are the HR manager of the company or the employer and you want to inform your employee about the increment then here is a formal format to help you frame a complete letter with all necessary points that must be included without fail.

Salary Increment Letter Format for Employee

Date: 27th June, 2015

To,

Mr. Jacob Smith

Sales Executive

Dear Mr. Smith,

We are happy to congratulate you on impressive sales target achievements which have set new record. Your wonderful contribution to the company is acknowledged and appreciated by the management. We are sure that you will keep up with the good work and in times to come you will again deliver unmatched performances with utmost dedication and commitment.

After reviewing your performance from January 2015 to May 2015, we take immense pleasure in announcing appreciation in your salary package for the current year. From 1st July, 2015 your revised salary will be $75,000 per annum.

The terms and conditions other than your revised salary package remain unchanged as per your letter of appointment.

We are hopeful that you will keep making such valuable contributions to the organization which will be helpful in the growth of the company. We also wish you the best of your luck for the year ahead. Looking forward for much better performance from you.

Please sign the duplicate copy of this letter in order to express your acceptance of the salary appreciation.

With best wishes

Yours sincerely,

Adam Lincoln

HR Manager

ABC Corporation Pvt. Ltd.

Other Related Letter Formats

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Salary Negotiation Email in Response to Job Offer
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Salary Negotiation Letter after New Job Offer

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Posted by Hrformats - June 26, 2015 at 11:18 AM

Categories: Salary Format   Tags: ,

About ESI and EPF

Employee State Insurance

Coverage –  Act is applicable to non-seasonal factories using power and employing 10 or more persons and non-power using factories 20 or more persons.

Earning wages limit-  Gross Salary Rs. 10,000/- w. e. f. 01.04.2006.

Contribution :   By Employer         @ 4.75%

                          By Employee           @ 1.75%

Registration and number allotment–   Duly filled Form-01

For Employees Form 01 & Declaration Form no. 03 within 10 days of joining, kept one copy of Form-3 for record.

Identity Cards : Form 4 the ESI Office will issue the same.

Register for ESI Record : Every employer shall maintain a register in Form-6 which is prescribed in rule-32.

Contribution periods   1st  : 1st April to 30th September

                                      2nd  : 1st October to 31st March

Challans Deposit : Deposit in bank by 21st of every month.

Returns of contribution : On Form no. 5 in quadruplicate with Six Challans within or before  11 May & 12 Nov of every year mandatory certified by the Chartered Accountant if the member are 40 nos. or more w. e f. 01.04.2008.

Special Provision :

(i)     Within 42 days of the termination of the contribution period to which it related.

(ii)   Within 21 days of the date of permanent closure of the factory.

(iii) Within 7 days of the date f receipt of requisition in that behalf from the appropriate office.

Notice of Accident : As soon as practicable after the accident.

Maintenance of Accident Book : Form-15 any injury to an insured person.

Report to Accident :

  1. Immediately if the injury is serious. i.e. is likely to be cause to death or  permanent disablement or loss of a member.
  2. In any other case within 24 hours after the receipt of the notice or when the accident came to his notice or to his foremen or other official under whose supervision the insured person was employed at the time of accident.
  3. If the injury result in the death at the place of employment, the report to IMO and Local Office should be sent through a special messenger.

Every Employer shall send a report in Form-16 to the nearest Local Office and to the nearest Insurance Medical Officer in triplicate i.e.

(1)   One deposit to Local Office

(2)   Second deposit to IMO

(3)   Kept for their records.

Benefit Period : If the person joined insurable employment for the first time say 5th January, but his contribution period will be 5th Jan to 31st March and his corresponding first benefit will be from 5th October to 31st December.

Sr. No. To be deemed as a wages Not to be deemed as a wages

1

Basic Allowance Contribution paid by employer on any pension / PF or ESI

2

Dearness Allowance Daily Allowance paid for period spent on tour

3

House Rent Allowance Encashment of leaves

4

City Compensatory Allowance Washing Allowance

5

OT Wages Amount towards reimbursement for duty related journey

6

Production Incentive Gratuity payable on discharge

7

Payment for day of rest Benefit paid under ESI

8

Night Shift Allowance Payment of Inam which does not form part of the terms of employment

9

Meal / Food Allowance

10

Suspension Allowance

11

Conveyance Allowance

 

Damages or contribution  or any other amount due but not paid in time-

Sr. No. Period of delay Maximum rate of damages in % per annum of the amount due

1

Less than 2 months

5 %

2

Grater than 2 but less than 4 months

10 %

3

Grater than 4 but less than 6 months

15 %

4

Grater than 6 months

25 %

Penalties : Different punishment have been prescribed for different types of offences in terms of section 85 :

(i)     Six month imprisonment and fine Rs. 5000/-

(ii)   One year  imprisonment and fine

And under section 85-A

(i)     Five year imprisonment and not less than 2 years

And under section 85-C(2) of the ESI Act which are self explanatory

Besides these provisions, action also can be taken under section 406 of the IPC in case where an employer deduct contribution from the wages of his employees but does not pay the same to the corporation which amounts to criminal breach of trust

EPF


FREQUENTLY ASKED QUESTIONS

1) Who will be covered by the Pension Scheme?

Every member of the ceased Family Pension Scheme 1971 and anyone who joins any covered establishment on or after 16-11-95 is compulsorily to join this scheme, provided his/her salary/wage is less than Rs. 6500/- per month at the date of appointment.

2) What is a covered establishment?

Covered establishment is an establishment belonging to the class of industries / other establishments, which have been listed in the schedule appended to the Employees’ Provident Fund and Miscellaneous Provisions Act 1952 and where 20 or more persons are employed.

3) What are the eligibility criteria for taking the benefit of Employee Pension Scheme?

For getting the benefit of Employee Pension Scheme, an employee has completed to complete the age of 58 and have least 10 years of contribution in pension scheme.

4) Is employee the only beneficiary of Fund?

Benefit will be paid to him/her and in his/her absence to his/her family.

5) What is meant by Family?

Family means employees’ spouse and children below 25 years of age.

6) Suppose an employee does not have a Family and he/she dies before receiving benefit. Does his/her pension get lost?

No, if he/she does not have a family, benefits will be paid to his /her nominee, who will receive the benefit in his/her, absence.

11) Suppose member has not nominated anyone.

The pension / ROC will be paid to the dependent parents.

12) Can member change his/her nomination?

He/She can change his/her nomination whenever he/she decides within the framework of rules for such nomination. In other words if he/she has a family, nomination should be in favour of a member(s) of the family. If he/she has no family he/she can nominate anyone he/she wishes.

14) Employee is a member of Employees’ Pension Scheme. He/She has left employment at 48 yrs. of age and 8 yrs. of service. When shall he/she receive his/her pension?

He/She can take either withdrawal benefit or can take scheme certificate so that the 8 years service can be added to any future service that he / she may put in, in any other covered establishment. By virtue of being a holder of a scheme certificate, if the member dies before 58 years widow / widower and children shall be entitled for pension.

16) When does an employee become eligible to become a member of Employees’ Provident Fund Scheme, 1952 and Employees’ Deposit Linked Insurance Scheme, 1976?
An employee becomes a member of Employees Provident Fund (Employees’ Provident Fund) Scheme, 1952 / Employees Deposit Linked Insurance (Employees’ Deposit Linked Insurance) Scheme, 1976 immediately on joining an establishment covered under the Employees Provident Funds & Miscellaneous Provision Act, 1952.

17) What is nomination?

Every member has to give the details of himself & details of the nominee for Employees’ Provident Fund & Employees’ Deposit Linked Insurance Schemes and details of family for Employees Pension Scheme, 1995 in form no. 2.

A member if, is having a family can nominate any one or more persons to receive the Provident Fund on his death. In case of him having no family he can nominate any other person.

Family for the purpose of Employee Provident Fund Scheme’52 means wife/husband, children, whether married or unmarried, including adopted children, if adoption is recognized and dependant parents of member.

Employees Deposit Linked Insurance Scheme benefit will be paid to the nominee under Employees Provident Fund Scheme, 1952.

For the purpose of Employees Pension Scheme,1995 the member has to furnish the details, such as name, relationship & age of all the family members in the form no. 2. Family for the purpose of Employees Pension Scheme, 1995 means wife/husband & children. Whenever member wants to make a change in the nomination already made for Provident Fund, or to update the details of family for Employees Pension Scheme,1995, he has to send a revised form no. 2. The form no.2 is routed through the employer.

18) What are the periodical returns to be sent by an employer to the Provident Fund Office?

The employer of an un-exempted establishment has to forward the following returns. These returns will include details required under the three schemes namely, Employees Provident Fund Scheme, 1952, Employee Deposit Linked Insurance Scheme,1976 and Employee Pension Scheme, 1995.

a) Form-9(Revised):

The details of employees enrolled as members of Employees’ Provident FundS’52, Employees’ Deposit Linked Insurance’76 & Employees’ Pension Scheme’95 on coverage of the establishment- This is to be submitted immediately after coverage, within 15 days of coverage.

b) Form-12A:

The details of the contributions recovered form the members & paid along with details of employers’ contribution & administrative charges- This is to be submitted monthly by 25th of following month.

c) Form-5:

The details of the employees enrolled newly to the Provident Fund- To be submitted along with Form-12A every month within 15 days of the following month.

d) Form-10:

The details of the employees leaving service during the month- To be submitted along with form-12A.

e) Challans:

The triplicate copy of challans in token of having remitted the Provident Fund dues in the bank- to be submitted along with form-12A every month.

f) Form-2(Revised):

Nomination form- To be submitted along with form-5/9.

g) Form-3A:

The details of wages & contributions in respect of each member, to be prepared financial year wise- To be submitted to the Provident Fund office by 30th of April every year.

h) Form-6A:

Yearly consolidated statement of contributions- To be forwarded yearly along with form-3A. It should be ensured that all the form-3A are entered in form-6A, irrespective of whether the form-3A was forwarded for the broken period and the total dues as per the form-12A for the whole year agrees with the total of form-6A within 30th April.

i) Form-5A:

Return of ownership of the establishment- To be forwarded immediately after coverage & whenever there is a change in the ownership, it has to be intimated with in 15 days of change.

j) Specimen signature:

Specimen signature of the officer/officers who are authorized to sign the returns/documents relating to Provident Fund forwarded immediately after coverage & whenever there is a change in
authorized officer.

19) What is the procedure to be followed by the member if the employer is not attesting his claim forms?

It is the duty of the employer under the Act & Scheme to help Employees’ Provident Fund organisation to settle the Provident Fund dues of his employees. He has to complete the prescribed application within 5 days of receipt [para72(5)] forms & hand over it to the member when he leaves the service. When a member finds difficult to get the form attested by the employer, he can get the attestation of any of the following officer & send to the Provident Fund office

  1. Manager of a bank.
  2. By any gazetted officer.
  3. Member of the Central Board of Trustees./ committee/ Regional Committee (Employees’
    Provident Fund Organization).

Magistrate/ Post/ Sub Post Master/ President of Village Panchayat/ Notary Public.

20) What is the mode of payment of Provident Fund and Employees’ Deposit Linked Insurance dues?

Provident Fund & Employees’ Deposit Linked Insurance dues is paid by money order/ by deposit in payees’ bank a/c/ through employer/ by depositing the cheque in payees’ name or part of amount in annuity scheme in any nationalised bank. Payment by money order is allowed where the amount is not more than Rs. 2000/-

21) What are the modalities to be followed for payment through cheque?

The member has to open an account in the nationalised bank, scheduled bank, urban bank or post office savings bank. He has to furnish the details of bank a/c no. with the full address of the bank in application form. An advance stamped receipt has also to be annexed in the form.

For receipt of pension member/claimant has to open an account only in State Bank of India or Punjab National Bank.

22) In case of returning of cheque what is the procedure to be followed?

Generally the cheques are returned by the bankers when the a/c number is furnished incorrect or a/c has been closed. On receipt of the cheque from the bankers the Provident Fund office will write to the member & employer about the fact & request them to intimate the bank, a/c number & detailed address. In case, the member comes to know about returning of the cheque before this, he can write to the Provident Fund office through his former employer regarding his present address & bank a/c number.

23) What is the time taken for disposal of the application in the Provident Fund office?

The claims received complete in all respects are disposed off within a maximum period of 30 days from the date of receipt of claims in the office. In case the member is not hearing anything about his application within 30 days, he can approach the Public Relation Officer.

24) What is the voluntary rate of Provident Fund contribution by the member?

As per the Act, the member has to contribute at the rate of 10% or 12% of his basic pay, D.A. & retaining allowance if any. In case the member wants to contribute more than this, voluntarily he can do so at any rate he desires. i.e. upto 100% of basic and D.A. But the employer is not bound to contribute at the enhanced rate.

Instructions for a member while sending application to Employees’ Provident Fund.

Instructions for a member while sending application to Employees’ Provident Fund Organization:

General:

  1. Use the appropriate form for claiming Provident Fund Pension, withdrawal benefit/scheme certificate, Employees’ Deposit Linked Insurance benefit, etc. as given below :-
  • Form-19 : To claim final settlement of Provident Fund by a member.
  • Form-20 : To claim Provident Fund by nominee/legal heir on death of the member.
  • Form-10-D : To claim pension. (In duplicate : If within state, In triplicate : If outside  state.)
  • Form-10-C : To claim withdrawal benefit/scheme certificate under Employees’ Pension Scheme ’95.
  • Form-5IF : To claim assurance benefit under Employees’ Deposit Linked Insurance ’76 by nominee/legal heir of a member.
  • Form-31 : To claim temporary withdrawal/advance under Employees’ Provident Fund scheme
    ’52.
  • Form-13 : To effect transfer of Provident Fund/Pension from one A/C to another.
  1. Ensure that all columns of the application are filled completely.
  2. Information in the application form relating to name, a/c no. should agree with the details
    available with Employees’ Provident Fund Organization; which were furnished by the employer at the time of enrolling to Provident Fund.
  3. Application should be signed by the member/claimant.
  4. It should be attested by the former employer. In case attestation by the former employer is not possible, it should be got attested by any other authorized official specified with application form.
  5. Application for final settlement can be sent by a member on completion of 2 months from the date of leaving service, if the reason for leaving service is other than superannuation, medical ground, retrenchment and V.R.S./ Female members getting married etc.
  6. Desired mode of payment can be given legibly, if the amount involved is more than Rs. 2000/-. The amount will sent by deposit in payees’ bank a/c. To facilitate this, Bank a/c no., name and address of the bank should be furnished. An advance stamped receipt should also accompany this application.
  7. Application may be supported by the return Form-10, showing the details of leaving service and details of contribution for the year in Form-3A, if not sent earlier by the employer.Specific additional requirements:A) Death cases:
  • Nominee/legal heir should apply in Form-20 /Form-10-D /Form-5IF.
  • If the member has not executed any nomination, application should be supported by certificate of family members issued by employer/revenue official/sworn in an affidavit by the family/ member/legal certificate from a court of law.
  • Death certificate of the member.

Certificate of the employer stating whether the death was while in service of the member or not.

B) Pension cases:

  • Joint photograph of member/spouse or the claimant should accompany the application.
  • Option for return of capital/commutation should be specified clearly.
  • Details of non-contributory period during the service, wages/salary for last 12 months should also accompany, if not already sent.
  • Details of the branch of the specified bank may be given legibly.
  • Date of birth certificates of children

In case of death away from service, an undertaking by the claimant to the effect that the member was not working / had not worked in any other covered establishment after exit from the establishment on the basis of which pension is being claimed.

 

How to Change/Correction Employee Name in ESIC Portal – ESIC Name Change Letter Format

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Posted by Hrformats - December 11, 2012 at 4:34 PM

Categories: HR   Tags:

Appointment Letter Format For Consultant

I have attached the format for Consultancy Agreement. You can make the necessary changes as required all fields in bold need to be updated.

CONSULTANCY AGREEMENT

 

 

This agreement is made on the <date> day of <month year>, between Mr. /Ms. <Name> aged about <age> residing at <Address, City, Pin> [herein after referred to as Consultant] of the one part and <Name of company> having its registered office at <office address in full> [herein after referred to as the Company] of the second part.

 

This agreement has been entered into between the Consultant and the Company and will be effective from <effective date> for a period of ELEVEN MONTHS i.e. up to <end date>. This agreement supersedes all previous agreements.

 

Now this agreement witnesses the following terms and conditions agreed between the parties and are binding on both.

 

  1. The consultant shall be engaged under the designation of <”Designation- Department”> based at <Location>.

 

  1. The consultant will work on all working days during the tenure of the agreement, and in no circumstances may the consultant engage himself in any other business whatsoever whilst so engaged.

 

  1. The consultant shall not indulge in any act or omission, which is likely to harm the reputation of the company. The consultant will be signing the Non Disclosure Agreement of the company.

 

  1. The consultant shall be paid remuneration of Rs. <salary/-> < (salary in words)> per month excluding service tax on consultation on the succeeding <payroll date> of the calendar month during the agreement period.

 

  1. The consultant shall be paid remuneration as under during the agreement period:

 

Mention all details of compensation to be paid; for e.g.:

 

  • Medical coverage will be provided to the consultant and his family to the extent of Rs…../- p.a. for hospitalization expenses only, apart from Group personal accident & workmen’s compensation coverage.

 

 

  • The variable salary component, termed as Performance Linked Pay (PLP) will be pegged at 20% of your annual remuneration, and will be based on metrics, covering the business, financial and performance parameters and will be based on a combination of-

a)     The performance of the company as a whole (7%)

b)     The performance of the Business vertical and the Region concerned (7%)

c)     The performance of the Consultant (6%)

 

 

  • Mobile expenses will be reimbursed as per company policy.

 

  • Conveyance expenses will be reimbursed as per company policy.

 

 

  1. The consultant shall be provided a company vehicle which is to be maintained as per company policy (if vehicle will be provided)

 

  1.  The consultant shall serve the company loyally, faithfully and diligently and shall at all times safeguard and protect the interest of the company.

 

  1. The consultant shall not have any financial transaction with other consultants or customer/suppliers of the company.

 

  1. The consultant shall not be entitled for benefits like gratuity, PF, and any other fringe benefits except mentioned in this agreement.

 

10. The consultant shall be entitled for <no. of leave days> days of leave per annum. Unavailed leave shall lapse at the end of the period of the contract.

 

11. Either party will be at liberty to terminate the agreement by giving one month’s notice in writing with or without assigning any reasons.

 

12. In the event of this agreement being terminated, the consultant shall repay the lump sum amount outstanding against him on any account whatsoever.

 

 

This agreement shall be enforceable by suit or otherwise at <location> only.

 

Witness:

 

 

 

Authorised signatory

Signature of the Consultant

Click Here To Download Format – Letter of Appointment As a Consultant

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Posted by Hrformats - September 25, 2012 at 10:28 AM

Categories: HR   Tags: , , ,

ESI General PF Rules 1995

I have Attached ESI  General PF  Rules 1995

EMPLOYEES’ STATE INSURANCE CORPORATION (GENERAL
PROVIDENT FUND) RULES, 1995
[GSR 431 (E), DATED 6-9-1995]

In exercise of the powers conferred by section 95 of the Employees’ State Insurance Act, 1948 (34 of 1948), and in supersession of the Employees’ State Insurance Corporation (General Provident Fund) Rules, 1973, except as respects things done or omitted to be done before such supersession, the Central Government, after consultation with the Employees’ State Insurance Corporation hereby makes the following rules, namely:—
Short title and commencement.
1. (1) These rules may be called the Employees’ State Insurance Corporation (General Provident Fund) Rules, 1995.
(2) They shall come into force on the date of their publication in the Official Gazette.

Definitions.
2. (1) In these rules unless the context otherwise requires—
(a) “Accounts Officer” means the Financial Commissioner of the Employees’ State Insurance Corporation or such other officer as may be specified in this behalf;
(b) “Act” means the Employees’ State Insurance Act, 1948 (43 of 1948);
(c) “Corporation” means Employees’ State Insurance Corporation;
(d) “emoluments” means pay, leave salary or subsistence grant if admissible and any remuneration of the nature of pay received in respect of deputation;
(e) “employee” means a person appointed to or borne on the cadre of the staff of the Corporation, other than persons on deputation;
(f) “Family” means—
(i) In the case of a male-subscriber the wife or wives, parents, children, minor brothers, unmarried sisters, deceased son’s widow and children and where no parent of the subscriber is alive, a paternal grandparent:
Provided that if a subscriber proves that his wife has been judicially separated from him or has ceased under the customary law of the community to which she belongs to be entitled to maintenance, she shall henceforth by deemed to be no longer a member of the subscriber’s family in matters to which these rules relate, unless the subscriber subsequently intimates in writing to the Accounts Officer that he shall continue to be
so regarded;
(ii) In the case of a female subscriber, the husband, parents, children, minor brothers, unmarried sisters, deceased son’s widow and children and where no parent of the subscriber is alive, a paternal grandparent:
Provided that if a subscriber by notice is writing to the Accounts Officer expresses her desire to exclude her husband from her family, the husband shall henceforth be deemed to be no longer a member of the subscriber’s family in matters to which these rules relate unless the subscriber subsequently cancels such notice in writing. Explanation.—In this clause, child means legitimate child and includes an adopted child, where adoption is recognised by the personal law governing the subscriber;
(g) ‘Fund’ means the Employees’ State Insurance Corporation General Provident Fund;
(h) ‘Leave’ means any kind of leave recognised by the Employees’ State Insurance Corporation (Staff and Conditions of Service) Regulations, 1959;
(i) ‘Service’ means service under the Corporation;
(j) ‘Year’ means a financial year
(2) Any other expression used in these rules which is defined either in the Provident Funds Act, 1925 (19 of 1925) or Employees’ State Insurance Act, 1948 or in the Fundamental Rules, is used in the sense thereon defined but not defined herein shall have the meaning respectively assigned to them in the Provident Funds Act, 1925 (19 of 1925), the Employees’ State Insurance
Corporation (Central) Rules, 1950, Employees’ State Insurance Corporation (Staff and Conditions of Service) Regulations, 1959 or the Fundamental Rules, as the case may be.
(3) Nothing in these rules shall be deemed to have the effect of terminating the existence of the General Provident Funds as heretofore existing or of constituting any new fund.
Constitution of the Fund.
3. (1) The Fund shall be maintained in Rupees.
(2) All sums paid into the Fund under these rules shall be credited to a Fund called ‘The Employees’ State Insurance Corporation General Provident Fund’. Sums of which payment has not been taken within six months after they become payable under these rules shall be transferred to the Deposit Account at the end of the year and treated under the ordinary rules
relating to deposits.
Operation of Fund by the Accounts Officer.
4. The Fund shall be operated upon by the Accounts Officer who is hereby authorised to arrange for all payments required to be made under these rules.

Investments.
5. All monies belonging to the Fund shall be invested in the manner specified in the Employees’ State Insurance (Central) Rules, 1950, for investment of monies belonging to the Employees’ State Insurance Fund.
Conditions of eligibility.
6. All temporary employees after a continuous service of one year, all re-employed pensioners (other than those eligible for admission to CPF) and all permanent employees shall subscribe to the Fund:
Provided that no such employee as has been required or permitted to subscribe to a Contributory Provident Fund shall be eligible to join or continue as a subscriber to the Fund while he retains his right to subscribe to such a Fund:
Provided further that such of the temporary employees who have completed continuous service of one year before the 31st March, 1960 shall not subscribe to the Fund from a date earlier than the 1st April, 1960.
Explanation.—A temporary employee who completes one year of continuous service on any day of
a month shall subscribe to the fund with effect from the subsequent month.
Note 1. – Apprentices and Probationers shall be treated as temporary employees for the purpose of this rule.
Note 2. – A temporary employee who completes one year of continuous service during the middle of a month shall subscribe to the Fund from the subsequent month.
Note 3. – Temporary employee (including Apprentices and Probationers) who have been appointed against regular vacancies and are likely to continue for more than a year may subscribe to the General Provident Fund any time before completion of one year’s service.
Nominations.
7. (1) A subscriber shall, at the time of joining the Fund, send to the Accounts Officer a nomination conferring on one or more persons the right to receive the amount that may stand to his credit in the Fund in the event of his death before that amount has become payable or having become payable has not been paid:
Provided that where a subscriber is a minor he shall be required to make the nomination only on his attaining the age of majority:
Provided further that a subscriber who has a family at the time of making the nomination shall make nomination only in favour of a member or members of his family:
Provided also that the nomination made by the subscriber in respect of any other provident fund to which he was subscribing before joining the Fund shall if the amount to his credit in such other fund has been transferred to his credit in the Fund, be deemed to be a nomination in accordance with this rule.
(2) If a subscriber nominates more than one person under sub-rule (1) he shall specify in the nomination the amount or share payable to each of the nominees, in such manner as to cover the whole of the amount that may stand to his credit in the Fund at any time.
(3) Every nomination shall be made in the Forms set forth in the Schedule I appended to these rules.
(4) A subscriber may at any time cancel a nomination made by him by sending a notice in writing to the Accounts Officer. The subscriber shall, along with such notice or separately, send a fresh nomination made in accordance with the provision of this rule.
(5) A subscriber may provide in a nomination—
(a) That in the event of his predeceasing the subscriber, the right conferred upon the specified nominee shall pass to such other person or persons as may be specified in the nominations:
Provided that such other person or persons shall, if the subscriber has any other members in his family, be such member or members of the family:
Provided further that where the subscriber confers the right under this clause on more than one person, he shall specify the amount or share payable to each of such persons in such a manner as to cover the whole of the amount payable to the nominee.
(b) that the nomination shall become invalid in the event of the happening of a contingency specified therein:
Provided that if at the time of making the nomination the subscriber has only one member of his family he shall provide in the nomination that the right conferred upon the alternate nominee under clause (a) shall become invalid in the event of his subsequently acquiring other member or members in his family.
(6) Immediately on the death of a nominee in respect of whom no special provision has been made in the nomination under clause (a) of sub-rule (5) or on the occurrence of any event by reason of which the nomination becomes invalid in pursuance of clause (b) of sub-rule (5) or the proviso
there to the subscriber send a notice in writing to the Accounts Officer cancelling the nomination, together with the fresh nomination made in accordance with the provisions of this rule.
(7) Every nomination made, and every notice of cancellation given by a subscriber shall, to the extent that it is valid, take effect on the date on which it is received by the Accounts Officer.
Note.—In this rule, unless the context otherwise requires, ‘person’ or ‘persons’ shall include a company or association or body of individuals, whether incorporated or not. It shall also include a Fund such as the Prime Minister’s National Relief Fund or any Charitable or other Trust or Fund,
to which nomination may be made through the Secretary or other executive of the said Funds or Trust authorised to receive payments.
Subscriber’s Account.
8. An account shall be opened in the name of each subscriber to show—
(i) his subscriptions;
(ii) interest, as provided in Rule 13 on subscriptions;
(iii) advances and withdrawals from the Fund.
Conditions and rates of subscriptions.
9. (1) A subscriber shall subscribe to the Fund every month except during the period when he is under suspension:
Provided that a subscriber on reinstatement after a period of suspension shall be allowed the option of paying in one lump sum or in instalments any sum not exceeding the maximum amount of arrear of subscription payable in respect of the said period:
Provided further that a subscriber may, at his option not subscribe during any period of leave which either does not carry any leave salary or caries leave salary equal to or less than half pay or half average pay.
Note 1. – The holder of a seasonal post in a establishment need not subscribe to the Fund, during the period of his employment.
Note 2. – A subscribe need not subscribe during a period treated as dies non.
(2) The subscriber shall intimate his option not to subscribe during leave referred to in the second proviso to sub-rule (1) in the following manner:—
(a) If he is an officer who draws his own pay bills, by making no deduction on account of subscription in his first pay bill drawn after proceeding on leave.
(b) If he is not an officer who draws his own pay bills, by written communication to the head of office before he proceeds on leave. On failure to make due and timely intimation shall be deemed to constitute an option to subscribe.
Note. – The option of a subscriber once intimated under this sub-rule shall be final.
(3) A subscriber who has under Rule 17 withdrawn the amount standing to his credit in the Fund shall not subscribe to the Fund after such withdrawal unless he returns to duty.
(4) Notwithstanding anything contained in sub-rule (1) a subscriber shall not subscribe to the Fund for the month in which he quits service unless, before the commencement of the said month, he communicates to the Head of Office in writing his opinion to subscribe for the said month.
Rates of subscription.
10. (1) The amount of subscription shall be fixed by the subscriber himself, subject to the following conditions, namely—
(a) It shall be expressed in whole rupees.
(b) If may be any sum, so expressed which shall not be less than 6 per cent of his emoluments and not more than his total emoluments:
Provided that in the case of a subscriber who has previously been subscribing to the Employees’ State Insurance Corporation Contributory Provident Fund at the higher rate of 81/3 per cent, it may be any sum so expressed which shall not be a less than 81/3 per cent of his total emoluments and not more than his total emoluments.
(c) When an employee opts to subscribe at the minimum rate of 6%, or 81/3 per cent, as the case may be, the subscription shall be rounded to the nearest whole rupee and for this purpose, 50 paise and more shall be rounded to the next higher rupee.
(2) For the purpose of sub-rule (1) the emoluments of a subscriber shall be—
(a) in the case of subscriber who was in service on the 31st March of the preceding year, the emoluments to which he was entitled on that date; provided that—
(i) if the subscriber was on half day leave on the said date and opted not to subscribe during such leave or was under suspension on the said date, his emoluments shall be the emoluments to which he was entitled on the first day after his return to duty;
(ii) if the subscriber was on deputation out of India on the said date or was on half pay leave on the said date and continues to be on leave and has opted to subscribe during such leave, his emoluments to which he would have been entitled had he been on duty abroad or on duty in India as the case may be; (b) In the case of a subscriber who was not in service on the 31st March of the preceding year, the emoluments to which he was entitled on the day he joins the Fund.
(3) The subscriber shall intimate the fixation of the amount of his monthly subscription in each year in the following manner, namely:—
(a) if he was on the 31st March of the preceding year, by the deduction which be causes to be made in this behalf from his pay bill for that month;
(b) if he was on leave on the 31st March of the preceding year and opted not to subscribe during such half pay leave or was under suspension on that date, by the deduction which he makes in this behalf from his first pay bill after his return to duty;
(c) if he was on leave on the 31st March of the preceding year, and continues to be on half pay leave and has opted to subscribe during such leave by the deduction which he makes or cause to be made in this behalf from his salary for the month;
(d) if he has entered into service for the first time during the year, by the deduction which he makes or causes to be made in this behalf, from the salary bill for that month during which he joins the Fund;
(e) if he was on deputation on the 31st March of the preceding year by the amount credited by him in the Fund of the Corporation on account of subscription for the month of April in the current year.
(4) The amount of subscription so fixed may be,—
(a) reduced once at any time during the course of the year;
(b) enhanced twice during the course of the year; or
(c) reduced and enhanced as aforesaid:
Provided that when the amount of subscription is so reduced it shall not be less than the minimum prescribed in sub-rule (1):
Provided further that if a subscriber is on leave without pay or leave on half pay or half average pay for part of a calendar month and he has opted not to subscribe during such leave, the amount of subscription payable shall be proportionate to the number of days spent on duty including leave, if any, other than those referred to above.

Transfer on deputation to a post under the Government or any other organization or deputation out of India.
11. When subscriber is transferred or sent on deputation out of India, he shall remain subject to these rules in the same manner as if he were not so transferred or sent on deputation.

Realisation of subscriptions.
12. (1) When the emoluments are drawn from the Fund, recovery of subscriptions and the principal and interest of advances, if any, granted from the Fund shall be made direct from the emoluments.
(2) When emoluments are drawn from any other source, the subscriber shall forward his dues monthly to the Accounts Officer:
Provided that in the case of a subscriber on deputation to a body corporate owned or controlled by Government the subscription shall be recovered and forwarded to the Accounts Officer by such body.
(3) If a subscriber fails to subscribe with effect from the date on which he is required to join the Fund or is on default in any month or months during the course of a year otherwise than as provided in Rule 9, the total amount due to the Fund on account of arrears or subscription shall,with interest thereon at the rate provided in Rule 13, forthwith be paid by the subscriber to the
Fund or in default be ordered by the Accounts Officer to be recovered by deduction from the emoluments of the subscriber by instalments or otherwise, as may be directed by the authoritycompetent to sanction an advance for the grant of which special reasons are required under subrule
(2) of Rule 14: Provided that the subscribers whose deposits in the Fund carry no interest shall not be required to pay any interest.
Interest.
13. (1) Subject to the provisions of sub-rule (5), the Corporation shall pay to the credit of the account of a subscriber interest at such rate as may be determined for each year by the Central Government in respect of the General Provident Fund for the Central Government Employees: Provided that if the rate of interest determined for a year is less than 4 per cent, all subscribers to the Fund in the year preceding that for which the rate has for the first time been fixed at less than 4 per cent, shall be allowed interest at the rate of 4 per cent:

Provided further that a subscriber who was previously subscribing to any other Provident Fund of the Central Government and whose subscriptions, together with interest thereon, have been transferred to his credit in his Fund under Rule 26 shall also be allowed interest at the rate of 4 per cent, if he had been receiving that rate of interest under the rules of such other Fund under a provision similar to that of the first proviso to this rule.
(2) Interest shall be credited with effect from the last day in each year in the following manner:
(i) on the amount to the credit of a subscriber on the last day of the preceding year, less sums, if any, withdrawn during the current year, interest for twelve months;

(ii) on sums withdrawn during the current year interest from the beginning of the current year up to the last day of the month preceding the month of withdrawal;
(iii) on all sums credited to the subscriber’s account after the last day of the preceding year interest from the current year;
(iv) the total amount of interest shall be rounded to the nearest whole rupee (fifty paise and more counting as the next higher rupee):
Provided that when the amount standing to the credit of a subscriber has become payable, interest shall thereupon be credited under this rule in respect only of the period from the beginning of the current year or from the date of deposit, as the case may be, up to the date on which the amount standing to the credit of the subscriber becomes payable.
(3) In this rule, the date of deposit shall, in the case of recovery from emoluments, be deemed to be the first day of the month in which it is recovered, and in the case of an amount forwarded bythe subscriber, shall be deemed to be the first day of the month of receipt, if it is received by the
Accounts Officer before the fifth day of that month, but if it is received on or after the fifth day of that month, the first day of the next succeeding month:
Provided that where there has been a delay in the drawal of pay or leave salary and allowances of a subscriber and consequently the recovery of his subscription towards the Fund, the interest on such subscriptions shall be payable from the month in which the pay or leave salary of the subscriber was due under the rules, irrespective of the month in which it was actually drawn:
Provided further that in the case of an amount forwarded in accordance with the proviso to subrule
(2) of Rule 12, the date of deposit shall be deemed to be the first day of the month if it is received by the Accounts Officer before the fifteenth day of that month:

Provided also that where the emoluments for a month are drawn and disbursed on the last working day of the same month the date of deposit shall, in the case of recovery of his subscriptions, be deemed to be the first day of the succeeding month.
(4) In addition to any amount to be paid under Rule 20, 21 or 22 interest thereon up to the end of the month preceding that in which the payment is made or up to the end of the sixth month after the month in which such amount becomes payable whichever of these periods be less, shall be
payable to the person to whom such amount is to be paid:
Provided that where the Accounts Officer has intimated to that person (or his agent) a date on which he is prepared to make payment in cash or has posted a cheque in payment to that person, interest shall be payable only up to the end of the month preceding the date so intimated or the date of posting the cheque, as the case may be:
Provided further that where a subscriber on deputation to a body corporate, owned or controlled by the Government of an autonomous organisation registered under the Societies Registration Act, 1860 (21 of 1860) is subsequently absorbed in such body corporate or organisation with
effect from a retrospective date, for the purpose of calculating the interest due on the Fund accumulations of the subscriber the date of issue of the orders regarding absorption shall be deemed to be the date on which the amount to the credit of the subscriber became payable subject to the condition that the amount recovered as subscription during the period
commencing from the date of absorption and ending with the date of issue of orders of absorption shall be deemed to be subscription to the Fund only for the purpose of awarding interest under this sub-rule.
(5) Interest shall not be credited to the account of a subscriber if he informs the Accounts Officer that he does not wish to receive it; but if he subsequently asks for interest, it shall be credited with effect from the first day of the year in which he asks for it.
(6) The interest on amount which under sub-rule (3) of Rule 12, Rule 20 or Rule 21 are replaced to the credit of the subscriber in the Fund, shall be calculated at such rates as may be successively prescribed under sub-rule (1) of this rule and so far as may be in the manner prescribed in this rule.
(7) In case a subscriber is found to have drawn from the Fund an amount in excess of the amount standing to his credit on the date of the drawal, the overdrawn amount, irrespective of whether the overdrawal occurred in the course of an advance or a withdrawal or the final payment from the Fund, shall be repaid by him with interest thereon in one lump sum, or in default be ordered to be recovered by deduction one lump sum, from the emoluments of the subscriber. If the total amount to be recovered is more than half of the subscriber’s emoluments, recoveries shall be made in monthly instalments of moieties of his emoluments till the entire amount together with interest, is recovered. For this sub-rule the rate of interest, to be charged on overdrawn amount would be 2½ per cent over and above the normal rate on Provident Fund balance under sub-rule
(1). The interest realised on the overdrawn amount shall be credited to Corporation account under a distinct sub-head ‘Interest on overdrawals from Provident Fund’ under the head “049-Interest Receipts-C—Other interest receipts of Corporation—other Receipts”.
Advance from the Fund.
14. (1) The Director General or any other Officer authorised by him in this behalf, may sanction the payment to any subscriber in the prescribed Form as specified in Schedule II of an advance consisting of a sum of whole rupees and not exceeding in amount three months’ pay or half the amount standing to his credit in the Fund, whichever is less, for one or more of the following
purposes, namely:—
(a) to pay expenses in connection with the illness, confinement or a disability including where necessary, the travelling expenses of the subscriber and members of his family or any person actually dependent on him.
(b) to meet the cost of higher education including where necessary, the travelling expenses of the subscriber and member of his family or any person actually dependent on him; in the following cases, namely:—
(i) for the education outside India in respect of an academic, a technical, a professional or vocational course beyond the High School stage; and
(ii) for any medical, engineering or other technical or specialised course in India beyond the High School stage, provided that the course of study is of not less than three years duration;
(c) to pay obligatory expenses on a scale appropriate to the subscribers’ status which, by customary usage the subscribers have to incur in connection with betrothal or marriages, funerals or other ceremonies;
(d) to meet the cost of legal proceedings instituted by or against the subscriber or any person actually dependent upon him, the advance in this case being available in addition to any advance admissible for the same purpose from any other Government source;
(e) to meet the cost of his defence where the subscriber engages a legal practitioner to defend himself in an enquiry in respect of any alleged official misconduct on his part;
(f) to meet the cost of plot or construction of a house or flat for his residence or to make any payment towards the allotment of a plot or flat by the Delhi Development Authority or a State Housing Board or a House Building Co-operative Society.

(2) The Director General may, in special circumstances, sanction the payment to any subscriber of an advance if he is satisfied that the subscriber concerned requires the advance for reasons other than those mentioned in sub-rule (1).
(3) An advance shall not, except for special reasons to be recorded in writing, be granted to any subscriber in excess of the limit laid down in sub-rule (1) or until repayment of the last instalment of any previous advance.
(4) When an advance is sanctioned under sub-rule (3) before repayment of last instalment of any previous advance is completed, the balance of any previous advance not recovered shall be added to the advance so sanctioned and the instalments for recovery shall be fixed with reference to the consolidated amount.
(5) After sanctioning the advance, the amount shall be drawn on an authorisation from the Accounts Officer in cases where the application for final payment had been forwarded to the Accounts Officer under clause (ii) of sub-rule (3) of Rule 25.
Note 1. – For the purpose of this rule pay includes dearness pay, where admissible.
Note 2. – A subscriber shall be permitted to take an advance once in every six months under
clause (b) of sub-rule (1) of Rule 14.
Recovery of advance.
15. (1) An advance shall be recovered from the subscriber in such number of equal monthly instalments as the sanctioning authority may direct; but such number shall not be less than twelve unless the subscriber so opt and in any case not more than twenty four. In special cases where amount of advance exceeds three months’ pay of the subscriber under sub-rule (2) of Rule
14, the sanctioning authority may fix such number of instalments exceeding twenty four but not exceeding thirty six, a subscriber may, at his option, repay more than one instalment in a month. Each instalment shall be fixed in whole rupees, the amount of the advance being raised or reduced if necessary, to admit the fixation of such instalments.
(2) Recovery of advances shall be made in the manner specified in Rule 12 for the realisation of subscription, and shall commence with the issue of pay for the month following the one in which the advance was drawn. Recovery shall not be made, except with the subscriber’s consent while he is in receipt of subsistence grant or is on leave for ten days or more in a calendar month which either does not carry any leave salary or carries leave salary equal to or less than half pay or half average pay, as the case may be. The recovery may on the subscriber’s written request, be postponed by the sanctioning authority during the recovery of an advance of pay granted to the
subscriber.

(3) If an advance has been granted to a subscriber and drawn by him and the advance is subsequently disallowed before repayment is completed, the whole or balance of amount withdrawn shall be forthwith repaid by the subscriber to the Fund. Or in default, be ordered by the Accounts Officer to be recovered by deduction from the emoluments of the subscriber in a lump sum or in monthly instalments not exceeding twelve as may be directed by the Accounts Officer:
Provided that before such advance is disallowed, the subscriber shall be given reasonable opportunity to explain to the sanctioning authority in writing within 15 days of the receipt of the communication, why the repayment shall not be enforced and if an explanation is submitted by
the subscriber within the said period of 15 days, it shall be referred to the Director General for decision and if no explanation within the said period is submitted by him, the repayment of the advance shall be enforced in the manner prescribed in the sub-rule.
(4) Recoveries made under this rule shall be credited to the subscriber’s account in the Fund.

Wrongful use of advance.
16. Notwithstanding anything contained in these rules, if the sanctioning authority has reason to doubt that money drawn as an advance from the Fund under Rule 14 has been utilised for a purpose other than that for which sanction was given to the drawal of the money, he shall communicate to the subscriber the reasons for his doubt and require him to explain in writing
and within 15 days of the receipt of such communication whether the advance has been utilised for the purpose for which sanction was given to the drawal of the money. If the sanctioning authority is not satisfied with the explanation furnished by the subscriber within the said period of 15 days, the sanctioning authority shall direct the subscriber to repay the amount in question to the Fund forthwith or, in default, order the amount to be recovered by deduction in one sum from the emoluments of the subscriber even if he be on leave. If, however, the total amount to be repaid be more than half the subscriber’s emoluments, recoveries shall be made in monthly
instalments of moieties of his emoluments till the entire amount is repaid by him.
Note. – The term ‘emoluments’ in this rule shall not include subsistence grant.
Withdrawal from the Fund.
17. (1) Subject to the conditions specified therein, withdrawals may be sanctioned to the subscriber in the prescribed Form as specified in Schedule II by the authorities competent to sanction an advance for special reasons under sub-rule (2) of Rule 14, at any time, after the completion of twenty years of service (including broken period of service, if any) of a subscriber or
within ten years before the date of his retirement on superannuation, whichever is earlier, from the amount standing to his credit in the Fund, for one or more of the following purposes, namely:—
(a) meeting the cost of higher education, including where necessary the travelling expenses of the subscriber or any child of the subscriber in the following cases, namely:—
(i) for the education outside India for academic, technical, professional or a vocational course beyond the High School stage; and
(ii) for any medical, engineering or other technical or specialized course in India beyond the High School stage;
(b) meeting the expenditure in connection with the betrothal/marriage of the subscriber or his sons or daughters and of any other family relation actually dependent on him;
(c) meeting the expenses in connection with the illness, including where necessary, the travelling expenses, of the subscriber and members of his family or any person actually dependent on him.
(2) After the completion of ten years of service (including broken periods of service, if any) of a subscriber or within ten years before the date of his retirement on superannuation, whichever is earlier, a subscriber will be allowed withdrawals from the amount standing to his credit in the
Fund for one or more of the following purposes, namely:
(i) building or acquiring a suitable house or readybuilt flat for his residence including the cost of the site;
(ii) repaying an outstanding amount on account of loan expressly taken for building or acquiring a suitable house or readybuilt flat for his residence;
(iii) purchasing a house-site for building a house thereon for his residence or repaying any outstanding amount on account of loan expressly taken for this purpose;
(iv) reconstructing or making additions or alternations to a house or a flat already owned or acquired by a subscriber;
(v) renovating, additions or alternations or upkeep of an ancestral house at a place other than the place of duty or to a house built with the assistance of loan from Government at a place other than the place of duty;
(vi) constructing a house on a site purchased under clause (iii);
(vii) within six months before the date of the subscriber’s retirement for the amount standing to his credit in the Fund for the purpose of acquiring a farm land or business premises of both;
(viii) once during the course of a financial year, an amount equivalent to one year’s subscription paid for by the subscriber towards the Group Insurance Scheme for the Corporation employees on self financing and contributory basis.
Note 1. – A subscriber who has availed himself of an advance under the scheme of the Ministry of Urban Development for the grant of advance for house building purpose, or has been allowed any assistance in this regard from any other Government source shall be eligible for the grant of final
withdrawal under clauses (i), (iii), (iv), (vi) or sub-rule (2) for the purpose specified therein and also for the purpose of repayment of any loan taken under the aforesaid scheme subject to the limit specified in the proviso to sub-rule (1) of Rule 18. If a subscriber has an ancestral house or built a house at a place other than the place of his duty with the assistance of loan taken from the Government he shall be eligible for the grant of a final
withdrawal under clauses (i), (iii) and (vi) of sub-rule (2) for purpose of a house-site or for construction of another house or for acquiring a readybuilt flat at the place of his duty.
Note 2. – Withdrawal under clauses (i), (iv), or (vi) of sub-rule (2) shall be sanctioned only after a subscriber has submitted a plan of the house to be constructed or of the additions or alterations to be made, duly approved by the local municipal body of the area where the site or house is situated and only in cases where the plan is actually got to be approved.
Note 3. – The amount of withdrawal sanctioned under clause (ii) of sub-rule (2) shall not exceed 3/4th of the balance on date of application together with the amount of previous withdrawal under clause (i) reduced by the amount of previous withdrawal. The formula to be followed is 3/4th of (the balance as on date plus amount of previous withdrawal(s) for the house in question)
minus the amount of the previous withdrawal(s).

Note 4. – Withdrawal under clause (i) or (iv) of sub-rule (2) shall also be allowed where the house site or house is in the name of wife or husband provided she or he is the first nominee to receive Provident Fund money in the nomination made by the subscriber.
Note 5. – Only one withdrawal shall be allowed for the same purpose under this rule. But marriage or education of different children or illness on different occasions or a further addition or alteration to a house or flats covered by a fresh plan duly approved by the local municipal body of the area where the house or flat is situated shall not be treated as the same purpose. Second
or subsequent withdrawal under clause (i) or (vi) of sub-rule (2) for completion of the same house shall be allowed up to the limit laid down under Note 3.
Note 6. – A withdrawal under this rule shall not be sanctioned if an advance under Rule 14 is being sanctioned for the same purpose and at the same time.
(3) After sanctioning the withdrawal the amount shall be drawn on an authorisation from the Accounts Officer in cases where the application for final payment had been forwarded to the Accounts Officer under clause (ii) of sub-rule (3) of Rule 25.
Conditions for withdrawal.
18. (1) Any sum withdrawn by a subscriber at any one time for on or more of the purposes, specified in Rule 17 from the amount standing to his credit in the Fund shall not ordinarily exceed one-half of such amount or six months’ pay, whichever is less. The sanctioning authority may, however, sanction the withdrawal of an amount in excess of this limit up to 3/4th of the balance at his credit in the Fund having regard to (i) the object for which the withdrawal is being made, (ii) the status of the subscriber, and (iii) the amount to this credit in the Fund:
Provided that in no case the maximum amount of withdrawal for purposes specified in sub-rule (2) of Rule 17 shall exceed the maximum limit prescribed from time to time under Rule 2(a) and Rule 3(b) of the Scheme of the Ministry of Urban Development for the grant of advances for house building purposes:
Provided further that in the case of a subscriber who has availed himself of an advance under the scheme of the Ministry of Urban Development for the grant of advances for house building purposes, or has been allowed any assistance in this regard from any other Government sources, the sum withdrawn under this sub-rule together with the amount of advance taken under the aforesaid scheme or the assistance taken from any other Government source shall not exceed the maximum limit prescribed from time to time under Rules 2(a) and 3(b) of the aforesaid scheme.
Note 1. – A withdrawal sanctioned to a subscriber under clause (i) of sub-rule (2) of Rule 17 may be drawn in instalments, the number of which shall not exceed four in a period of twelve calendar months counted from the date of sanction.
Note 2. – In cases where a subscriber has to pay in instalments for a site or a house or flat purchased, or a house or flat constructed through the Delhi Development Authority or a State Housing Board or a House Building Co-operative Society he shall be permitted to make a withdrawal as and when he is called upon to make a payment in any instalment. Every such
payment shall be treated as a payment for a separate purpose for Rule 16.
(2) A subscriber who has been permitted to withdraw money from Fund under Rule 17 shall satisfy the sanctioning authority within such reasonable period as may be specified by that authority that the money has been utilised for the purpose for which it was withdrawn, and if he fails to do so, the whole of the sum so withdrawn, or so much thereof as has not been applied for the purpose for which it was withdrawn shall forthwith be repaid in one lump sum by the subscriber to the Fund and in default of such payment, it shall be ordered by the sanctioning authority to be recovered from his emoluments either in lump sum or in such number of monthly
instalments as may be determined by the Director General:

Provided that, before repayment of a withdrawal is enforced under this sub-rule, the subscriber shall be given a reasonable opportunity to explain in writing and within 15 days of the receipt of the communication why the repayment shall not be enforced and if the sanctioning authority is
not satisfied with the explanation or no explanation is submitted by the subscriber within the said period of 15 days the sanctioning authority shall enforce the repayment in the manner prescribed in this sub-rule.
(3) (a) A subscriber who has been permitted under clauses (i), (ii) (iii) of sub-rule (2) of Rule 17 to withdraw money from the amount standing to his credit in the Fund, shall not part with the possession of the house, built or acquired, or house-site purchased with the money so withdrawn, whether by way of sale mortgage (other than mortgage of the Director General), gift,
exchange or otherwise, without the previous permission of the Director General:
Provided that such permission shall not be necessary for—
(i) the house or house-site being leased for any term not exceeding three years, or
(ii) its being mortgaged in favour of a Housing Board, Nationalised Banks, the Life Insurance Corporation or any other Corporation owned or controlled by the Central Government which advances loans for the construction of a new house or for making additions or alteration to an existing house.
(b) The subscriber shall submit a declaration not later than the 31st day of December of every year as to whether the house or the house-site as the case may be, continues to be in his possession or has been mortgaged, otherwise transferred or let out as aforesaid and shall, if so required, produce before the sanctioning authority on or before the date specified by that authority in that behalf, the original sale, mortgage or lease deed and also the documents on which his title to the property is based.
(c) If at any time before his retirement, the subscriber parts with the possession of the house or house-site without obtaining the previous permission of the Director General, he shall forthwith repay the sum so withdrawn by him in default of such repayment, the sanctioning authority
shall, after giving the subscriber a reasonable opportunity for making a representation in the matter cause the said sum to be recovered from the emoluments of the subscriber either in lump sum or in such number of monthly instalments, as may be determined by it.
Note A. – A subscriber who has taken loan from ESI Corporation in lieu thereof mortgaged the house or house-site to the Corporation shall be required to furnish the declaration to the following effect, namely:—

Declaration

“I do hereby certify that the house or house-site for the construction of which or for the acquisition of which I have taken a final withdrawal from the Provident Fund continues to be in my possession but stands mortgaged to Corporation.”.
Conversion of an advance into a withdrawal.
19. A subscriber who has already drawn or may draw in future an advance under Rule 14 for any of the purposes specified therein may convert, at his discretion by written request addressed to the Accounts Officer through the sanctioning authority, the balance outstanding against it into a final withdrawal on his satisfying the conditions laid down in Rules 17 and 18.
Note 1. – The Head of office in case of non-gazetted subscribers and the Treasury Officer concerned in the case of gazetted subscribers may be asked by the administrative authority to stop recoveries from the pay bills. When the application for such conversion is forwarded to the Accounts Officer that authority shall endorse a copy of the letter forwarding the subscriber’s
intimation to the Treasury Officer from where he draws his pay in order to permit stoppage of further recoveries.
Note 2. – For the purpose of sub-rule (1) of Rule 18, the amount of subscription with interest thereon standing to the credit of the subscriber in the account at the time of conversion plus the outstanding amount of advance shall be taken as the balance. Each withdrawal shall be treated
as a separate one and the same principle shall apply in the event of more than one conversion.
Final withdrawal of accumulations in the Fund.
20. When a subscriber quits the service of the Corporation the amount standing to his credit in the Fund shall become payable to him:
Provided that a subscriber, who has been dismissed from the service and is subsequently reinstated in the service, shall if required to do so by the Director General, repay any amount paid to him from the fund in pursuance of this rule, with interest thereon at the rate provided in Rule 13 in the manner prescribed in the proviso to Rule 21. The amount so repaid shall be
credited to his account in the Fund.
Explanation I.—A subscriber, other than one who is appointed on contract or one who has retired from service and is subsequently re-employed, with or without a break in service shall not be deemed to quit the service, when he is transferred without any break in service to a new post under a State Government or in another department of the Central Government (in which he is governed by another set of provident fund rules) and without retaining any connection with his former cost, in such case, his subscriptions together with interest thereon shall be transferred—
(a) to his account in the other Fund in accordance with the rules of that Fund, if the new post is in another department of the Central Government, or
(b) to a new account under the State Government concerned if the new post is under a State Government and the State Government consents, by general or special order, to such transfer of his subscriptions and interest.
Note. – Transfer shall include cases of resignation from the service in order to take up appointment in another department of the Central Government or under the State Government without any break and with proper permission of the Central Government. In cases where there has been a break in service it shall be limited to the joining time allowed on transfer to a different
station. The same shall hold good in cases of retrenchments followed by immediate employment whether under the same or different Government.
Explanation II.—When a subscriber, other than one who is appointed on contract or one who has retired from service and is subsequently re-employed or is transferred, without any break, to the service under a body corporate owned or controlled by Government, or an autonomous
organisation, registered under the Societies Registration Act, 1860, the amount of subscriptions together with interest thereon, shall not be paid to him but shall be transferred with the consent of that body to his new Provident Fund Account under that body.Transfers shall include cases of resignation from service in order to take up appointment under a
body corporate owned or controlled by Government or an autonomous organisation, registered under the Societies Registration Act, 1860, without any break and with proper permission of the Central Government. The time taken to join the new post shall not be treated as a break in service if it does not exceed the joining time admissible to a Government servant on transfer from one post to another:
Provided that the amount of subscription together with interest thereon, of a subscriber opting for service under a public Enterprise may, if he so desires, be transferred to his new Provident Fund Account under the Enterprise if the concerned Enterprise also agreed to such a transfer. If,
however, the subscriber does not desire the transfer or the concerned Enterprise does not operate a Provident Fund, the amount aforesaid shall be refunded to the subscriber.
Retirement of Subscriber.
21. When a subscriber—
(a) has proceeded on leave preparatory to retirement or if he is employed in a vacation department on leave preparatory to retirement combined with vacation, or
(b) while on leave, has been permitted to retire or been declared by a competent medical authority to be unfit for further service the amount standing to his credit in the Fund shall, upon application made by him in that behalf to the Accounts Officer, become payable to the subscriber:
Provided that the subscriber, if he returns to duty, shall if required to do so by the Director General, repay the Fund, for credit to his account, the amount paid to him from the fund in pursuance of this rule with interest thereon at the rate provided in Rule 13 in cash or securities by instalments or otherwise, by recovery from his emoluments or otherwise, as may be directed by the authority competent to sanction an advance for the grant of which special reasons are required under sub-rule (2) or Rule 14.
Procedure on death of subscriber.
22. On the death of a subscriber before the amount standing to his credit has become payable, or where the amount has become payable before payment has been made—
(i) When the subscriber leaves a family—
(a) if a nomination made by the subscriber in accordance with the provisions of Rule 7 or of the corresponding rule heretofore in force in favour of a member or members or his family subsists, the amount standing to his credit in the Fund or the part thereof to which the nomination relates shall become payable to his nominee or nominees in the proportion specified in the nomination;
(b) if no such nomination in favour of member or members of the family of the subscriber subsists, or if such nomination relates only to a part of the amount standing to his credit in the Fund, the whole amount or the part thereof to which the nomination does not relate, as the case may be shall, notwithstanding any nomination purporting to be in favour of any person or persons other than a member or members of his family becomes payable to the members of his family in equal shares:
Provided that no share shall be payable to—
(1) sons who have attained majority;
(2) sons of a deceased son who have attained majority;
(3) married daughters whose husbands are alive;
(4) married daughters of a deceased son whose husbands are alive;
(c) if there is any member of the family other than those specified in clauses (1), (2), (3)
and (4):
Provided further that the widow or widows and the child or children of a deceased son shall receive between them in equal parts only the share which that son would have received if he had survived the subscriber and had been exempted from the provisions of clause (1) to the first proviso;
(ii) when the subscriber leaves no family, if a nomination made by him in accordance with the provisions of Rule 7 or of the corresponding rule heretofore in favour of any person or persons subsists, the amount standing to his credit in the Fund or the part thereof to which the nomination relates, shall become payable to his nominee or nominees in the proportion
specified in the nomination.
Deposit Linked Insurance Scheme.
23. On the death of a subscriber on or before 30th September, 1991 and to whom Rule 24 does not apply, the person entitled to receive the amount standing to the credit of the subscriber shall be paid by the Accounts Officer an additional amount equal to the average balance in the account during the 3 years immediately preceding the death of such subscriber subject to the condition that—
(a) the balance at the credit of such subscriber shall not at any time during the three years preceding the month of death have fallen below the limits of—
(i) Rs. 4000 in the case of a subscriber who has held for the greater part of the aforesaid period of three years, a post the maximum of the pay scale of which is Rs. 1300 or more in the pre-revised scale;
(ii) Rs. 2500 in the case of a subscriber who has held, for the greater part of the aforesaid period of three years, a post of the maximum of the pay scale of which is Rs. 900 or more but less than Rs. 1300 in the pre-revised scale;
(iii) Rs. 1500 in the case of a subscriber who has held, for the greater part of the aforesaid period of three years, a post the maximum of the pay scale of which is Rs. 291 or more but less than Rs. 900 in the pre-revised scale;
(iv) Rs. 1000 in the case of a subscriber who has held, for the greater part of the aforesaid period of three years, a post the maximum of the pay scale of which is less than Rs. 291 in the pre-revised scale.
(b) the additional amount payable under this rule shall not exceed Rs. 10,000;
(c) the subscriber has put in at least five years service at the time of his death.
Note 1. – The average balance shall be worked out on the basis of the balance at the credit of the subscriber at the end of each of the 36 months preceding the month in which the death occurs. For this purpose, as also for checking the minimum balances prescribed above:—
(a) the balance at the end of March shall include the annual interest credited in terms of Rule 13; (b) if the last of the aforesaid 36 months is not March, the balance at the end of the said last month shall include interest in respect of the period from the beginning of the financial year in which death occurs, to the end of the said last month.
Note 2. – Payments under this scheme should be in whole rupee. If an amount due includes a fraction of a rupee it should be rounded to the nearest rupee (50 paise counting as the next higher rupee).
Note 3. – Any sum payable under this scheme is in the nature of insurance money and, therefore, the statutory protection given by section 3 of the Provident Funds Act, 1925 (19 of 1925), does not apply to sums payable under this scheme.
Note 4. – This scheme also applies to those subscribers to the Fund who are transferred to an autonomous organisation consequent upon conversion of a Government Department into such a body and who, on such transfer, opt, in terms of option given to them, to subscribe to this Fund in accordance with these rules.
Note 5. – (a) In case of a Government servant who has been admitted to the benefit of the Fund under Rule 26 or 27, but died before completion of three years service, or as the case may be, five years service from the date of his admission to the fund, that period of his service under the previous employer in respect whereof the amount of his subscriptions and the employer’s contribution, if any, together with interest have been received, shall count for purposes of clause (a) and clause (c) of this rule.

(b) In case of persons appointed on tenure basis and in the case of re-employed pensioners,service rendered from the date of such appointment of re-employment, as the case may be, only will count for purpose of this rule.
(c) This scheme does not apply to persons appointed on contract basis.
Note 6. – The budget estimates of expenditure in respect of this scheme will be prepared by the Accounts Officer responsible for maintenance of the accounts of the Fund having regard to the trend of expenditure in the same manner as estimates are prepared for other retirement benefits.
Deposit Linked Insurance Revised Scheme.
24. On the death of a subscriber, the person entitled to receive the amount standing to the credit of the subscriber shall be paid by the Accounts Officer an additional amount equal to the average balance in the account during the 3 years immediately preceding the death of such subscriber, subject to the condition that—
(a) the balance at the credit of such subscriber shall not at any time during the 3 years preceding the month of death have fallen below the limits of—
(i) Rs. 12,000 in the case of a subscriber who has held, for the greater part of the aforesaid period of three years, a post of maximum of the pay scale of which is Rs. 4000 or more.
(ii) Rs. 7500 in the case of a subscriber who has held for the greater part of the aforesaid period of three years a post the maximum of the pay scale of which is Rs. 2900 or more but less than Rs. 4000.
(iii) Rs. 4500 in the case of a subscriber who has held for the greater part of the aforesaid period of three years, a post the maximum of the pay scale of which is Rs. 1151 or more but less than Rs. 2900.
(iv) Rs. 3000 in the case of a subscriber who has held for the greater part of the aforesaid period of three years, a post the maximum of the pay scale of which is less than Rs. 1151.
(b) the additional amount payable under this rule shall not exceed Rs. 30,000.
(c) the subscriber has put in at least 5 years service at the time of his/her death.
Note 1. – The average balance shall be worked out on the basis of the balance at the end of each of the 36 months, preceding the month in which the death occurs. For this purpose, as also for checking the maximum balance prescribed above:—
(a) the balance at the end of March shall include the annual interest credited in terms of Rule 13;
(b) if the last of the aforesaid 36 months in not March, the balance at the end of said last month shall include interest in respect of the period from the beginning of the financial year in which death occurs to the end of the said last month.
Note 2. – Payment under this scheme will be in whole rupee. If an amount due includes a fraction of a rupee it should be rounded to the nearest rupee (50 paise counting as the next higher rupee).
Note 3. – Any sum payable under this scheme is in the nature of insurance money and therefore, the statutory protection given by section 3 of the Provident Funds Act, 1925 (19 of 1925) does not apply to sums payable under this scheme.
Note 4. – The scheme also applies to those subscribers to the funds who are transferred to an autonomous organisation consequent upon conversion of a Government Department into such a body and who, on such transfer, opt in terms of option given to them to subscribe to the Fund in accordance with these rules.
Note 5. – (a) In case of a Government servant who has been admitted to the benefits of the fund
under Rule 26 or 27 but died before completion of three years of service or as the case may be, five years of service from the date of his admission to the Fund, the period of his service under the previous employer in respect whereof the amount of his subscription and the employer’s contribution, if any, together with interest have been recovered, shall count for the purpose of clause (a) and clause (c) of this rule.
(b) In case of persons appointed on tenure basis and in the case of re-employed pensioners,service rendered from the date of such appointment on re-employment, as the case may be, only will count for the purposes of this rule.

(c) The scheme does not apply to persons appointed on contract basis.
Note 6. – The Budget Estimates of expenditure in respect of this scheme will be prepared by the Accounts Officer responsible for maintenance of the account of the Fund having regard to the trend of expenditure, in the same manner as estimates are prepared for other retirement benefits.
Manner of payment of amount in the Fund.
25. (1) When the amount standing to the credit of a subscriber in the Fund become payable, it shall be the duty of the Accounts Officer to make payment on receipt of a written application in this behalf as provided in sub-rule (3).
(2) If the person whom, under these rules, any amount of policy is to be paid, assigned or reassigned or delivered; is a lunatic for whose estate a manager has been appointed in this behalf under the Lunacy Act, 1912 (4 of 1912), the payment or reassignment or delivery shall be made to such manager and not to the lunatic:
Provided that where no manager has been appointed and the person to whom the sum is payable is certified by a magistrate to be lunatic, the payment shall under the orders of the Collector be made in terms of sub-section (1) of section 93 of the Lunacy Act, 1912 (4 of 1912), to the person having charge of such lunatic and the Accounts Officer shall pay only the amount which he thinks fit to the person having charge of the lunatic and the surplus, if any, or such part thereof,as he thinks fit shall be paid for the maintenance of such members of the lunatic’s family as are dependent on him for maintenance.
(3) Payment of the amount to be withdrawn shall be made in India only. The persons to whom the amounts are payable shall make their own arrangements to receive payment in India. The following procedure shall be adopted for claiming payment by a subscriber, namely:—
(i) to enable a subscriber to submit an application for withdrawal of the amount in the Fund, the Head of Office shall send to every subscriber necessary Forms either one year in advance of the date on which the subscriber attains the age of superannuation, or before the date of his anticipated retirement if earlier, with instructions that they should be
returned to him duly completed within a period of one month from the date of receipt of the forms by the subscriber. The subscriber shall submit the application to the Accounts Officer through the Head of Office or Department for payment of the amount in the Fund. The application shall be made:—
(a) for the amount standing to his credit in the Fund as indicated in the Account Statement for the year ending one year prior to the date of his superannuation, or his anticipated date of retirement, or

(b) for the amount indicated in his ledger account in case of the Accounts Statement has not been received by the subscriber.
(ii) the Head of Office or Department shall forward the application to the Accounts Officer indicating the recoveries effected against the advances which are still current and the number of instalments yet to be recovered and also indicate the withdrawals, if any, taken by the subscriber after the period covered by the last statement or the subscriber’s accounts sent by the Accounts Officer.
(iii) The Accounts Officer shall, after verification with the ledger account, issue an authority for the amount indicated in the application at least a month before the date of superannuation but payable on the date of superannuation.
(iv) The authority mentioned in clause (iii) will constitute the first instalment of payment. A second authority for payment will be issued as soon as possible after superannuation. This will relate to the contribution made by the subscriber subsequent to the amount mentioned in the application submitted under clause (i) plus the refund of instalments against advances which were current at the time of the first application.
(v) after forwarding the application for final payment to the Accounts Officer,
advance/withdrawal may be sanctioned but the amount of advance withdrawal shall be drawn on an authorisation from the Accounts Officer concerned who shall arrange this as soon as formal sanction of sanctioning authority is received by him.
Note.—When the amount standing to the credit of a subscriber has become payable under Rules 20, 21 and 22 the Accounts Officer shall authorise prompt payment of the amount in the manner indicated in sub-rule (3).

Procedure on transfer of a Government servant from one Department to another.
26. (a) If a Government servant who is a subscriber to any other non-contributory Provident Fund of the Central Government or of a State Government is permanently transferred to pensionable service in a Department of the Central Government in which he is governed by these rules, the amount of subscriptions, together with interest thereon, standing to his credit to such other Fund on the date of transfer shall be transferred to his credit in the Fund:
Provided that where a subscriber was subscribing to a non-contributory Provident Fund of a State Government the consent of that Government shall be obtained.
(b) If a Government servant who is a subscriber to the State Railways Provident Fund or any other contributory Provident Fund of the Central Government or a State Contributory Provident Fund is permanently transferred to pensionable service in a Department of Central Government in which he is governed by these rules and unless such a subscriber elects to continue to be governed by the rules of such Fund, when the rules option is given:—
(i) the amount of subscriptions with interest thereon, standing to his credit in such Contributory Provident Fund on the date of transfer shall with the consent of the other Government, if any, be transferred to his credit in the Fund;
(ii) the amount of Government contributions, with interest thereon, standing to his credit in such contributory Provident Fund shall, with the consent of the other Government, if any, be credited to the Central Revenue (Civil);
(iii) he shall thereupon be entitled to count towards pension, service rendered prior to the date of permanent transfer, to the extent permissible under the relevant pension rules.
Note 1.—The provisions of this rule does not apply to a subscriber who has retired from service, or to a subscriber who was holding the former appointment on contract.
Note 2.—The provisions of this rule shall, however apply to persons, who are appointed without break whether temporarily or permanently to a post carrying the benefits of these rules after resignation or retirement from service under another Department of Central Government or under
the State Government.
Procedure on transfer.
27. On transfer to Government service of a person from the service under a body corporate owned or controlled by Government or an autonomous organisation, registered under the Societies Registration Act, 1860. If a Government servant admitted to the benefit of the Fund was subscriber to any Provident Fund of a body corporate owned or controlled by Government or an autonomous organisation, registered under the Societies Registration Act, 1860, the amount of his subscriptions and the employer’s contribution, if any, together with the interest thereon shall be transferred to his credit in the Fund with the consent of that body.
Transfer of amount to the Contributory Provident Fund (India).
28. If a subscriber to the Fund is subsequently admitted to the benefits of the Contributory Provident Fund (India) the amount of his subscriptions, together with interest therein, shall be transferred to the credit of his account in the Contributory Provident Fund (India).

Note.—The provisions of this rule do not apply to a subscriber who is appointed on contract or who has retired from service and is subsequently re-employed with or without a break in service in another post carrying Contributory Provident Fund benefits.
Relaxation of the provisions of the rules in individual cases.
29. When the Standing Committee is satisfied that the operation of any of these rules causes or is likely to cause undue hardship to a subscriber, it may, notwithstanding anything contained in these rules after recording its reasons for so doing deal with the case of such subscriber in such manner as may appear to it to be just and equitable.
Number of account to be quoted at the time of the payment of subscription.
30. When paying a subscription in India, either by deduction from emoluments or in cash, a subscriber shall quote the number of his account in the Fund which shall be communicated to him by the Accounts Officer. Any change in the number shall similarly be communicated to the subscriber by the Accounts Officer.
Annual statement of account to be supplied to subscriber.
31. (1) As soon as possible after the close of each year, the Accounts Officer shall send to each subscriber a statement of his account in the Fund showing the opening balance as on the 1st April of the year, the total amount credited or debited during the year, the total amount of interest credited as on the 31st March of the year and closing balance on that date. The Accounts
Officer shall attach to the statement of accounts an enquiry whether the subscriber—
(a) desires to make any alteration in any nomination made under Rule 7; or under the corresponding rule heretofore in force.
(b) has acquired a family, in cases where the subscriber has made no nomination in favour of a member of his family under the proviso to sub-rule (1) of Rule 7.
(2) Subscribers should satisfy themselves as to the correctness of the annual statement, and errors should be brought to the notice of the Accounts Officer within three months from the date of receipt of the Statement.
(3) The Accounts Officer shall, if required by a subscriber, once but not more than once in a year inform the subscriber of the total amount standing to his credit in the Fund at the end of the last month for which his account has been written up.
Interpretation.
32. If any question arises relating to interpretation of these rules, it shall be referred to the Central Government, the Ministry of Labour shall decide the same.

SCHEDULE I
[See Rule 7(3)]
FORM OF NOMINATION

Account No. ………………………..

I, ……………………………………hereby nominate the person(s) mentioned below who is/are member(s) of my family as defined in Rule 2 to receive the amount that may stand to my credit in the Fund as indicated below, in the event of my death before that amount has become payable or having become payable has not been paid.

FORM OF NOMINATION

_________________________________________________________________________________

Name and full address                Relationship with the             Age of the nominee(s)  Share payable
of the nominee(s)                       subscriber                                                                    to each

nominee

______________________________________________________________________________

1                                              2                                              3                               4

______________________________________________________________________________
Contingencies on the happening of which the   Name, address & relationship of  If the nominee is not

the person(s) if any to whom the                                    a member of the

family as defined

indicate the reasons

nomination will become invalid

right of nominee shall pass in

the event of his/her

predeceasing the subscriber

5 6 7
Dated this ………………………………………………….. day of 19
……………………………….at………………………………
Signature of
subscriber……………………
….
Name in block
letters………………………….
..
Signature
1.
………………………………….
……………………………
2.
………………………………….
………………………………
Two witnesses to signature
Name & address
1. ……………………………………………………
2. ……………………………………………………
(REVERSE OF THE FORM)
SPACE FOR USE BY THE HEAD OF OFFICE/PAY & ACCOUNTS OFFICE
Nomination by Shri/Smt/Kumari …………………………………………… Designation
……………………………. Date of receipt of nomination
…………………………………………………………………………………………………….
Signature of Head of Office/Accounts Officer
Designation ……………………………………………………………
Date …………………………………………………………………………
INSTRUCTIONS FOR THE SUBSCRIBER
(a) Your name may be filled in.
(b) Name of the Fund may be completed suitably.
(c) Definition of term “family” as given in the General Provident Funds (CS) Rules, 1960 is
reproduced below :
Family means :—
(i) in the case of a male subscriber, the wife or wives, parents, children, minor brother,
unmarried sisters, deceased son’s widow and children and where no parent of the
subscriber is alive, a paternal grandparents :
Provided that if a subscriber proves that his wife has been judicially separated from
him or has ceased under the customary law of the community to which she belongs to
be entitled to maintenance she shall henceforth be deemed to be no longer a member
of the subscriber’s family in matters to which these rules relate unless the subscriber
subsequently intimates in writing to the Accounts Officer that she shall continue to be
so regarded.
(ii) In the case of a female subscriber, the husband, parents, children, minor brothers,
unmarried sisters, deceased son’s widow and children and where no parent of the
subscriber is alive, a paternal grandparent :
Provided that if a subscriber by notice in writing to the Accounts Officer expresses her
desire to exclude her husband from her family, the husband shall henceforth be
deemed to be no longer a member of the subscriber’s family in matters to which these
rules relate unless the subscriber subsequently cancelled such notice in writing.
Note.—Child means legitimate child and includes an adopted child where adoption is
recognised by the personal law governing the subscriber.
(d) Col. 4 If only one person is nominated the words “in full” should be written against the
nominee. If more than one person is nominated, the share payable to each nominee over the
whole amount of the Provident Fund shall be specified.
(e) Col. 5 Death of nominee(s) should not be mentioned as contingency in this column.
(f) Col. 6 Do not mention your name.
(g) Draw a line across the blank space below last entry to prevent insertion of any name after
you have signed.
SCHEDULE II
[See Rules 14(3) and 17(1)]
APPLICATION FOR ADVANCE/WITHDRAWAL FROM GENERAL PROVIDENT FUND
1. Name of the subscriber
……………………………………………………………………………………………………
2. Account Number
……………………………………………………………………………………………………………….
3. Designation
………………………………………………………………………………………………………………………….
4. (1) Pay Rs.
……………………………………………………………………………………………………………………….
(2) Monthly subscription Rs.
………………………………………………………………………………………..
5. In case of withdrawal
(i) Date of
Birth……………………………………………………………………………………………………………..
(ii) Date of appointment
……………………………………………………………………………………………….
(iii) Date of superannuation
…………………………………………………………………………………………..
Balance at credit of the subscriber on the date of application as below :—
(i) Closing balance as per statement for the year 19…………………. Rs. …………………..
(ii) Credit from
……………………………………………………………to…………………………………………………..
on account of monthly subscription Rs………………………………………………………………
(iii) Refunds Rs.
…………………………………………………………………………………………………………….
(iv) Withdrawals during the period from ………………….. to ……………….. Rs. ………………..
(v) Net balance at credit Rs.
…………………………………………………………………………………………
6. Amount of advance outstanding, if any, and the purpose for which advance was taken by
them :—
Amount of advance taken Rs.
………………………………………………………………………………………….
Balance outstanding as on date Rs.
………………………………………………………………………………..
7. Amount of advance required Rs.
……………………………………………………………………………………
8. (a) Purpose for which the advance is required ………………………………………………………..
(b) Rules under which the request is covered ………………………………………………………….
(c)If advance is sought for House Building, etc. following information may be given:—
(1) Location and measurement of the plot ……………………………………………………..
(2) Whether plot is freehold or on lease …………………………………………………………
(3) Plan for construction ……………………………………………………………………………………
(4) If the flat or plot being purchased is from a H.B. Society, the name of the Society, the
location and measurements, etc. ……………………………………
(5) Cost of construction ……………………………………………………………………………………..
(6) If the purchase of flat is from DDA or any Housing Board, etc. the location, dimension,
etc. may be given……………………………………………………….
(d) If advance is required for education of children, following details may be given:—
(1) Name of the son/daughter ………………………………………………………………………….
(2) Class and Institution/College where studying ………………………………………..
(3) Whether a day-scholar or a hosteler…………………………………………………………..
(e) If advance is required for treatment of ailing family members, following details may be
given:—
(1) Name of the patient and relationship…………………………………………………………
(2) Name of the Hospital/Dispensary/Doctor where the patient is undergoing treatment
……………………………………………………………………………………..
(3) Whether outdoor/indoor patient ………………………………………………………………
(4) Whether reimbursement available or not ………………………………………………..
Note.—In case of advance under 8(c) to 8(e), no certificate or documentary evidence would
be required.
9. Amount of the consolidated advance (Items 6 and 7) and number of monthly instalments in
which the consolidated advance is proposed to be repaid Rs. …………………….. in instalments.
10. Full particulars of the pecuniary circumstances of the subscriber, justifying the application
for the advance.
I certify that the particulars given above are correct and complete to the best of my knowledge
and belief and that nothing has been concealed by me.
Signature of
Applicant
Name
………………….
………………….
..
Designation
………………….
…………
Section/Bran
ch
………………….

Dated :—
Recommendation/Remarks of the Competent Authority
Dated ………………………………………
…………………………………………….
Signature ………………………….
Designation ………………………
***

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How to Change/Correction Employee Name in ESIC Portal – ESIC Name Change Letter Format

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Posted by Hrformats - August 24, 2012 at 7:09 AM

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Letter of Appointment as a Consultant or Consultancy Agreement

I have attached the format for Consultancy Agreement . You can make the necessary changes as required; all fields in bold need to be updated.

CONSULTANCY AGREEMENT

This agreement is made on the <date> day of <month year>, between Mr. /Ms. <Name> aged about <age> residing at <Address, City, Pin> [herein after referred to as Consultant] of the one part and <Name of company> having its registered office at <office address in full> [herein after referred to as the Company] of the second part.

 

This agreement has been entered into between the Consultant and the Company and will be effective from <effective date> for a period of ELEVEN MONTHS i.e. up to <end date>. This agreement supersedes all previous agreements.

 

Now this agreement witnesses the following terms and conditions agreed between the parties and are binding on both.

 

1.     The consultant shall be engaged under the designation of <”Designation- Department”> based at <Location>.

 

2.     The consultant will work on all working days during the tenure of the agreement, and in no circumstances may the consultant engage himself in any other business whatsoever whilst so engaged.

 

3.     The consultant shall not indulge in any act or omission, which is likely to harm the reputation of the company. The consultant will be signing the Non Disclosure Agreement of the company.

 

4.     The consultant shall be paid remuneration of Rs. <salary/-> < (salary in words)> per month excluding service tax on consultation on the succeeding <payroll date> of the calendar month during the agreement period.

 

5.     The consultant shall be paid remuneration as under during the agreement period:

Mention all details of compensation to be paid; for e.g.:

  • Medical coverage will be provided to the consultant and his family to the extent of Rs…../- p.a. for hospitalization expenses only, apart from Group personal accident & workmen’s compensation coverage.

 

  • The variable salary component, termed as Performance Linked Pay (PLP) will be pegged at 20% of your annual remuneration, and will be based on metrics, covering the business, financial and performance parameters and will be based on a combination of-

a)     The performance of the company as a whole (7%)

b)     The performance of the Business vertical and the Region concerned (7%)

c)     The performance of the Consultant (6%)

  • Mobile expenses will be reimbursed as per company policy.
  • Conveyance expenses will be reimbursed as per company policy.

6.     The consultant shall be provided a company vehicle which is to be maintained as per company policy (if vehicle will be provided)

 

7.      The consultant shall serve the company loyally, faithfully and diligently and shall at all times safeguard and protect the interest of the company.

 

8.     The consultant shall not have any financial transaction with other consultants or customer/suppliers of the company.

 

9.     The consultant shall not be entitled for benefits like gratuity, PF, and any other fringe benefits except mentioned in this agreement.

 

10. The consultant shall be entitled for <no. of leave days> days of leave per annum. Unavailed leave shall lapse at the end of the period of the contract.

 

11. Either party will be at liberty to terminate the agreement by giving one month’s notice in writing with or without assigning any reasons.

 

12. In the event of this agreement being terminated, the consultant shall repay the lump sum amount outstanding against him on any account whatsoever.

This agreement shall be enforceable by suit or otherwise at <location> only.

 

Witness:

 

Authorised signatory

Signature of the Consultant

 

Click Here to Download Consultancy Agreement in Word

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Posted by Hrformats - December 26, 2011 at 9:17 AM

Categories: HR   Tags: , , ,

Recruitment & Joining Checklist

Find attached a recruitment & joining checklist. Kindly go through it and let me know if anything else can be added to it during the recruitment & joining of a candidate.


HUMAN RESOURCE DEPARTMENT

RECRUITMENT AND JOINING -CHECKLIST

NAME :                                                                                                       LEVEL / GRADE:
BU / DEPT  :                                                                                               LOCATION :
DATE OF JOINING :                                                                                REPORTING TO :
S.L PROCESS  Y/N COMMENTS
1 MANPOWER REQUISITION FORM
2 INTERNAL MOBILITY POLICY( POSITION ON MAIL )
3 SPEAK TO CONSULTANTS
1- DESIGNATION
2 – CTC
3- PLACE OF POSTING
4- JOB PROFILE / JOB DESCRIPTION
5- CHECK IF INTERVIEWED EARLIER BY THE ORGANISATION
4 INTERVIEW
1- CV
2- INTERVIEW ASSESMENT FORM
3- WRITTEN TEST / GD
5 COMPANY APPLICATION FORM FOR EMPLOYMENT                                                            ( COMMENT OF HR & INTERVIEW PANEL )
DOCUMENTS TO BE SUBMITED :                                                                                          ( BY THE CANDIDATE IN CASE SHORTLISTED / FINALISED )
1- CURRENT CV
2- PREVIOUS COMPANY APPOINTMENT LETTERS
3- RECENT SALARY SLIP
4- ALL EDUCATIONAL CERTIFICATES
5- PHOTOS (PASSPORT SIZE) 4 NOS.
6- PHOTO IDENTITY / RESIDENTIAL PROOF                                                                        (OUTSTATION CANDIDATE)
6 REFERENCE CHECK
7 CV SENT FOR INVESTIGATION
8 SALARY FITTMENT ( SENT TO THE CANDIDATE FOR APPROVAL )
9 OFFER LETTER ISSUED
DATE OF JOINING ( CHECKED WITH THE CANDIDATE )
10 MEDICAL CHECKUP ( REPORT FILED IN PERSONAL FILE )
11 DUTY JOINING REPORT, SIGNED OFFER LETTER &  INVESTIGATION COPY                                                                                                               ( TO BE FILED IN THR PERSONAL FILE OF THE EMPLOYEE )
DUTY JOINING REPORT ( TO BE FILLED / SUBMITTED BY THE JOINEE ):
1- DUTY JOINING FORM
2- FORM 11
3- FORM 2 ( NOMINATION AND DECLARATION FORM FOR EPF &EPS )
4- FORM 13 ( APPLICATION FOR TRANSFER OF EPF )
5- FORM F ( NOMINATION FOR GRATUITY )
6- DEATH RELIEF SCHEME ENROLMENT FORM
7- GROUP HEALTH INSURANCE SCHEME
8- APPLICATION FOR MEDICLAIM ID CARDS
9- FORM FOR EMPLOYEE ID CARD
10- ACCEPTED RESIGNATION COPY / RELIEVING LETTER
11- REQUISITION FORM FOR E-MAIL ID
12- CHECK / OPEN  SALARY BANK ACCOUNT
13- ESI
14- PAN NO.
12 JOINING OF CANDIDATE
1- WELCOME NOTE ( EMAIL )
2- INDUCTION SCHEDULE ( A 15/30 DAY SCHEDULE )
3- ARRANGE OPENING UP OF SALARY BANK ACCOUNT
4- EMPLOYEE ID CARD
5- INDUCTION MANUAL / INFORMATION HANDBOOK
13 RELIEVING LETTER OF PREVIOUS COMPANY
14 APPOINTMENT LETTER ISSUED
15 ENTRY IN HR PROFILE / REGISTER
16 CONTACT NO. UPDATED IN COMMUNICATION LIST
17 UPDATE EMPLOYEE DETAILS  IN HR PROFILE / ATTENDANCE REGISTER
18 CONSULTANT REIMBURSEMENT:

 

Click Here To Download Recruitment & Joining Checklist

Other Related HR Letter Formats

Email to HR Asking for Joining Date
Email Format for New Employee Joining Announcement to Related Departments
Announcement Letter Of New Employee Joining
New Joining forms formats
Request to Change Joining Date on Job Offer
Address Proof Letter Format Date Of Joining
Employment Joining Letter Format For Employee

1 comment - What do you think?
Posted by Hrformats - August 28, 2012 at 5:17 AM

Categories: HR   Tags: , , ,

Employer Registration Form

Visit near your PF & ESI office for more information and find the ESIC registration form with this.

 

 

EMPLOYERS’ REGISTRATION FORM
(Regulation 10-B)

* Employer’s Code No
1. Name of the Factory/Establishment ……………………………………………………………………………………………………………….
2. Complete Postal Address ………………………………………………………………………………………………………………..
of the Factory/Establishment ……………………………………………………………………………….. PIN ……………………………..
3. (a) Telephone No., if any ………………………………………………………………………………………………………………..
(b) Fax No., if any ………………………………………………………………………………………………………………..
(c) E-mail address, if any ………………………………………………………………………………………………………………..
4. Location of Factory/Establishment
(a) State ………………………………………………………………… (b) District …………………………………………………………………
(c) Municipality/Ward ………………………………………………………………………………………………………………………………….
(d) Name of Town/Revenue Village ……………………………………………………………………………………………………………….
(Taluka/Tahsil) …………………………………………………………………………………………………………………………………………
(e) Police Station …………………………………………………………………………………………………………………………………………….
(f) Revenue Demarcation/Hudbast No. …………………………………………………………………………………………………………..
5. (a) Whether the building/premises of factory/Estt. is owned or hired.
…………………………………………………………………………………………………………………………………………………………….
(b) If hired or there is a change in the name of Unit/ownership, please indicate :-
…………………………………………………………………………………………………………………………………………………………….
(i) ESI Code No., if covered earlier ……………………………………………………………………………………………………………….
(ii) Date from which earlier factory/estt. closed down ……………………………………………………………………………………….
(iii) Terms and conditions under which property acquired/taken on lease (enclose copy of agreement/relevant deed).
6. Details of Bank A/c (b) Name of Bank and Branch
(a) Account No. ……………………………………………………………. (1) ………………………………………………………………
(b) Account No. ……………………………………………………………. (2) ………………………………………………………………
(c) Account No. ……………………………………………………………. (3) ………………………………………………………………
7. (a) Income Tax PAN/GIR No. ………………………………………………………………………………………………………..
(b) Income Tax Ward/Circle/Area ………………………………………………………………………………………………………..
8. Exact nature of work/business carried on ………………………………………………………………………………………………………..
9. Date of commencement of factory/Estt. ………………………………………………………………………………………………………..
10. (a) Whether registered under ………………………………………………………………………………………………………..
Factories/Shop & Estt. Other Act
(Please specify)
(b) Factory licence No./Trade Licence                       Licence No.           Date               Licensing Authority
No./Catering Estt. Licence No./
shop, Estt. Registration No./
Licence No. under Cinematography
Act etc.
(c) Please give whichever                                            No.                   Date                Issuing Authority
is applicable
(i) Commercial Tax No. (i)
(ii) State Sales Tax No. (ii)
FORM-01
(iii) Central Sales Tax No. (iii)
(iv) Any other Tax No. (iv)
(d) Maximum No. of persons that ………………………………………………………………………………………………………
can be employed on any one
day, as per Licence
11. (a) Whether power is used for
manufacturing process as per
section 2(k) of the Factories
Act, if so, since when
(b) In case of factory whether ………………………………………………………………………………………………………
Licence issued unde section
2(m)(i) or 2(m)(ii) of the
Factories Act, 1948
(c) Power connection No. Sanctioned Power load Issuing Authority
12. (a) Whether it is Public or Private Ltd.
Company/Partnership/Proprietorship/
Co-operative Society/Ownership
(attach copy of Memorandum &
Articles of Association/
Partnership Deed/Resolution
(b) Give name, present and permanent      (i)              Name                 Designation                   Address
residential address of present                    (ii)
Proprietor/Managing Director,                     (iii)
Directors/Managing Partner,                       (iv)
Partners/Secretary of the                           (v)
Co-operative Society                                  (vi)
(vii)
13. Address(es) of the Registered Office/ Address      No. of         Tel. No./ Function Person responsible
Head Office/Branch Office/Sales employees Fax No. for day to day
Office/Administrative Office/other functioning of the
offices if any, with no. of employees office
attached with each such office and
person responsible for the office
14. (a) Whether any work/business (give details on a separate sheet, if required)
carried out through contractor/
immediate employer
(b) If yes, give nature of such ………………………………………………………………………………………………………
work/business
15. (a) EPF Code No. Issuing Authority
(If covered under EPF Act)
16. Total number of employees employed for wages directly and through immediate employers on the date of application,
(whether manual/clerical/supervision, connected with the administration or purchase of raw materials or distribution or
sale of product/service, whether permanent or temporary)
As on date Total No. of Employees No. of employees drawing
wages Rs. 10,000/- or less
Male Female Total Male Female Total
Employed directly by the Principal
employer
Through Immediate employer/contractor
Total
17. Total wages paid in the preceeding month
Total Wages Wages paid to employees drawing
wages Rs. 10,000/- or less
To employees employed directly by the
Principal Employer
To employees employed through Immediate
Employer/Contractor
18. Give first date since when 10/20** or
more coverable employees under ESI
Act, were employed for wages ………………………………………………………………………………………………………
I hereby declare that the statement given above is correct to the best of my knowledge and belief. I also undertake to
intimate changes, if any, promptly to the Regional Office/Sub-Regional Office, ESI Corporation as soon as such changes
take place.
Date : Name and Signature ………………………………..
Place : Designation with seal ………………………………
(should be signed by principal employer U/S 2(17) of ESI Act)
* Please mention the Employer’s Code No., if previously allotted in case the factory/establishment was covered under the
ESI Act.
* Score out whichever is not applicable. In case of factory/an establishment using power in the manufacturing process the
number applicable is 10 persons or more. In the case of a factory not using power or an establishment engaged in
manufacturing process without using power or any other establishment, the number applicable is 20 or more persons.
INSTRUCTIONS
Note 1 : Please enclose photocopy of the following deeds/agreements/documents/certificate :
(a) Registration Certificate/Licence issued under Shops and Establishment Act or Factories Act.
(b) Latest Rent Bill of the premises you are occupying indicating the capacity in which the premises is occupied,
if applicable.
(c) Latest building Tax/Property Tax receipt (Zerox).
(d) Memorandum and Articles of Association/Partnership Deed/Trust Deed.
(e) Zerox copy of certificate of commencement of production and/or Registration No. of CST/ST.
Note 2 : ‘Power’ shall have the meaning assigned to it in the Factories Act, 1948 which is as under :-
‘Power’ means electrical energy, or any other form of energy which is mechanically transmitted and is not generated
by human or animal agency.
Note 3 : Manufacturing process as defined in section 2(k) in Factories Act is as under :-
‘manufacturing process’ means any process for :-
(i) making, altering, repairing, ornamenting, finishing, packing, oiling, washing, cleaning, breaking up,
demolishing, or otherwise treating or adapting any article or substance with a view to its use, sale, transport,
delivery or disposal;
(ii) pumping oil, water, sewage or any other substance;
(iii) generating, transforming or transmitting power;
(iv) composing types for printing, printing by letter press, lithography photogravure or other similar process or
book binding;
(v) constructing, reconstructing, repairing, refitting, finishing or breaking up ships or vessels;
(vi) preserving or storing any article in cold storage.
Note 4 : “Immediate Employee” in relation to employees employed by or through him, means a person who has undertaken
the execution, on the premises of the factory or an establishment to which this Act applies or under the supervision
of the principal employer or his agent, of the whole or any part of any work which is ordinarily part of the work of
the factory or establishment of the principal employer or is preliminary to the work carried on in, or incidental to
the purpose of, any such factory or establishment and includes a person by whom the services of an employee who
has entered into a contract of service with him are temporarily lent or let on hire to the principal employer and
includes a contractor.
Note 5 : “Principal Employer” means —
(a) In a factory, the owner or occupier of the factory and includes the managing agent of such owner or occupier,
the legal representative of a deceased owner or occupier and where a person has been named as the manager
of the factory under the Factories Act, 1948, the person so named;
(b) In any establishment under the control of any department of any Government, in India the authority appointed,
by such Government in this behalf or where no authority is so appointed, the head of the Departments;
(c) In any other establishment, any person responsible for the supervision and control of the establishment.
Note 6 : “Occupier” of a factory/establishment means the person who has ultimate control over the affairs of the factory/
establishment and when the said affairs are entrusted to a managing agent shall be the Occupier of the factory/
establishment.
Note 7 : “Employees” means any person employed for wages in or in connection with the work of a factory or an establishment
to which this Act applies and —
(i) who is directly employed by the principal employer for any work incidental or preliminary to or connected
with the work of the factory or establishment whether such work is done by the employee in the factory or
establishment or elsewhere; or
(ii) who is employed by or through an immediate employer on the premises of the factory or establishment or
under the supervision of the principal employer or his agent or work which is ordinarily part of the work of
the factory or establishment or which is preliminary to be carried on in or incidental to the purpose of the
factory or establishment; or
(iii) whose services are temporarily lent or let on hire to the principal employer by the person with whom the
person whose services are so lent or let on hire has entered into a contract of service;
(iv) and includes any person employed for wages on any work connected with the administration of the factory or
establishment or any part, department, or branch thereof with the purchase of raw materials for, or the
distribution or sale of the products of, the factory or esablishment; (or any person engaged as an apprentice,
not being an apprentice engaged under the Apprentices Act, 1961 (52 of 1961), or under the standing orders
of the establishment; but does not include) —
(a) Any member of the Indian Naval, Military or Air Force; or
(b) Any person so employed whose wages excluding remuneration for overtime work exceeds such wages
as may be prescribed by the Central Government, a month;
PROVIDED that an employee whose wages excluding remuneration for over time work exceeds such wages as
may be prescribed by the Central Government, a month at any time after and not before the beginning of the
contribution period, shall continue to be an employee until the end of that period.
Note 8 : “Wages” means all remuneration paid or payable in cash to an employee, if the terms of the contact of employment,
express or implied, were fulfilled and includes any payment to an employee in respect of any period of authorized
leave, lock-out, strike which is not illegal or lay off and other additional remuneration, if any, paid at intervals not
exceeding two months, but does not include :-
(a) any contribution paid by the employer to any pension fund or provident fund, or under this Act;
(b) any travelling allowance or the value of any travelling concession;
(c) any sum paid to the person employed to defray special expenses entailed on him by the nature of his
employment; or
(d) any gratuity payable on discharge.

Click Here to Download Form-01 Employer’s Registration Form

1 comment - What do you think?
Posted by Hrformats - August 18, 2012 at 5:52 AM

Categories: HR   Tags: , , ,

Company Employee Handbook

 I have Attached Company Employee Handbook

Issue Date: ____________

Version Number: __________

 

TO __________ COMPANY EMPLOYEES:

This is our new Employee Handbook. Please review it and sign the attached acknowledgment and drop the acknowledgment in __________________________’s in box.

You may keep a copy of the Handbook if you wish, but a copy will always be available to you through the HR department. If you do not wish to keep a copy, please return the Handbook to HR.

This Employee Handbook (the “Handbook”) was developed to describe some of the expectations of our employees and to outline the policies, programs, and benefits available to eligible employees. Employees should familiarize themselves with the contents of the Handbook as soon as possible, for it will answer many questions about employment with __________ Company.

INTRODUCTORY STATEMENT

This Handbook is designed to acquaint you with __________ Company and provide you with information about working conditions, employee benefits, and some of the policies affecting your employment. This Handbook is not a contract and is not intended to create any contractual or legal obligations. You should read, understand, and comply with all provisions of the Handbook. It describes many of your responsibilities as an employee and outlines the programs developed by __________ Company to benefit employees. One of our objectives is to provide a work environment that is conducive to both personal and professional growth.

No Handbook can anticipate every circumstance or question about policy. As __________ Company continues to grow, the need may arise and __________ Company reserves the right to revise, supplement, or rescind any policies or portion of the Handbook from time to time as it deems appropriate, in its sole and absolute discretion. The only exception is our employment-at-will policy permitting you or __________ Company to end our relationship for any reason at any time. The employment-at-will policy cannot be changed except in a written agreement signed by both you and the President of the Company. Employees will, of course, be notified of such changes to the Handbook as they occur.

Customers are among our organization’s most valuable assets. Every employee represents __________ Company to our customers and the public. The way we do our jobs presents an image of our entire organization. Customers judge all of us by how they are treated with each employee contact. Therefore, one of our first business priorities is to assist any customer or potential customer. Nothing is more important than being courteous, friendly, helpful, and prompt in the attention you give to customers.

__________ Company will provide customer relations and services training to all employees with extensive customer contact. Our personal contact with the public, our manners on the telephone, and the communications we send to customers are a reflection not only of ourselves, but also of the professionalism of __________ Company. Positive customer relations not only enhance the public’s perception or image of __________ Company, but also pay off in greater customer loyalty and increased sales and profit.

1-01 Nature of Employment

Employment with __________ Company is voluntarily entered into and is “at-will,” which means that the employee is free to resign at will at any time, with or without notice or cause. Similarly, __________ Company may terminate the employment relationship at any time, with or without notice or cause, so long as there is no violation of applicable federal or state law.  No one has the authority to make verbal statements that change the at-will nature of employment, and the at-will relationship cannot be changed or modified for any employee except in a written agreement signed by that employee and the President of __________ Company.

Policies set forth in this Handbook are not intended to create a contract, nor are they to be construed to constitute contractual obligations of any kind or a contract of employment between __________ Company and any of its employees. The provisions of the Handbook have been developed at the discretion of management and, except for its policy of employment-at-will, may be amended or cancelled at any time, at __________ Company’s sole discretion.

These provisions supersede all existing policies and practices and may not be amended or added to without the express written approval of the CEO or person designated by the CEO of __________ Company.

1-02 Employee Relations

__________ Company believes that the work conditions, wages, and benefits it offers to its employees are competitive with those offered by other employers in this area and in this industry. If employees have concerns about work conditions or compensation, they are strongly encouraged to voice these concerns openly and directly to their supervisors.

Our experience has shown that when employees deal openly and directly with supervisors, the work environment can be excellent, communications can be clear, and attitudes can be positive. We believe that __________ Company amply demonstrates its commitment to employees by responding effectively to employee concerns.

1-03 Equal Employment Opportunity

In order to provide equal employment and advancement opportunities to all individuals, employment decisions at __________ Company will be based on merit, qualifications, and the needs of the company. __________ Company does not unlawfully discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national origin, age, disability, ancestry, medical conditions, family care status, sexual orientation, or any other basis prohibited by law.

__________ Company will make reasonable accommodations for qualified individuals with known disabilities unless doing so would result in an undue hardship to the extent required by law. This policy governs all aspects of employment, including selection, job assignment, compensation, discipline, termination, and access to benefits and training.

Any employees with questions or concerns about any type of discrimination in the workplace are encouraged to bring these issues to the attention of their immediate supervisor or the Human Resources Department. Employees can raise concerns and make reports without fear of reprisal. Anyone found to be engaging in any type of unlawful discrimination will be subject to disciplinary action, up to and including termination of employment.

1-04 Business Ethics and Conduct

The successful business operation and reputation of __________ Company are built upon the principles of fair dealing and ethical conduct of our employees. Our reputation for integrity and excellence requires careful observance of the spirit and the letter of all applicable laws and regulations, as well as a scrupulous regard for the highest standards of conduct and personal integrity.

The continued success of __________ Company is dependent upon our customers’ trust and we are dedicated to preserving that trust. Employees owe a duty to __________ Company, its customers, and its shareholders to act in a way that will merit the continued trust and confidence of the public.

__________ Company will comply with all applicable laws and regulations and expects its directors, officers, and employees to conduct business in accordance with the letter, spirit, and intent of all relevant laws and to refrain from any illegal, dishonest, or unethical conduct.

In general, the use of good judgment, based on high ethical principles, will guide you with respect to lines of acceptable conduct. If a situation arises where it is difficult to determine the proper course of action, the matter should be discussed openly with your immediate supervisor and, if necessary, with the Human Resources Department for advice and consultation.

Compliance with this policy of business ethics and conduct is the responsibility of every __________ Company employee. Disregarding or failing to comply with this standard of business ethics and conduct could lead to disciplinary action, up to and including possible termination of employment.

1-05 Personal Relationships in the Workplace

The employment of relatives or individuals involved in a dating relationship in the same area of an organization may cause serious conflicts and problems with favoritism and employee morale. In addition to claims of partiality in treatment at work, personal conflicts from outside the work environment can be carried over into day-to-day working relationships.

For purposes of this policy, relatives are any persons who are related to each other by blood or marriage or whose relationship is similar to that of persons who are related by blood or marriage. A dating relationship is defined as a relationship that may be reasonably expected to lead to the formation of a consensual “romantic” or sexual relationship. This policy applies to all employees without regard to the gender or sexual orientation of the individuals involved.

Relatives of current employees may not occupy a position that will be working directly for or supervising their relative except as required by law. Individuals involved in a dating relationship with a current employee may also not occupy a position that will be working directly for or supervising the employee with whom they are involved in a dating relationship. __________ Company also reserves the right to take prompt action if an actual or potential conflict of interest arises involving relatives or individuals involved in a dating relationship who occupy positions at any level (higher or lower) in the same line of authority that may affect the review of employment decisions.

If a relative relationship or dating relationship is established after employment between employees who are in a reporting situation described above, it is the responsibility and obligation of the supervisor involved in the relationship to disclose the existence of the relationship to management.

In other cases where a conflict or the potential for conflict arises because of the relationship between employees, even if there is no line of authority or reporting involved, the employees may be separated by reassignment or terminated from employment. Employees in a close personal relationship should refrain from public workplace displays of affection or excessive personal conversation.

1-07 Immigration Law Compliance

__________ Company is committed to employing only United States citizens and aliens who are authorized to work in the United States and does not unlawfully discriminate on the basis of citizenship or national origin.

In compliance with the Immigration Reform and Control Act of 1986, each new employee, as a condition of employment, must complete the Employment Eligibility Verification Form I-9 and present documentation establishing identity and employment eligibility. Former employees who are rehired must also complete the form if they have not completed an I-9 with __________ Company within the past three years or if their previous I-9 is no longer retained or valid.

Employees with questions or seeking more information on immigration law issues are encouraged to contact the Human Resources Department. Employees may raise questions or complaints about immigration law compliance without fear of reprisal.

1-08 Conflicts of Interest

Employees have an obligation to conduct business within guidelines that prohibit actual or potential conflicts of interest. This policy establishes only the framework within which __________ Company wishes the business to operate. The purpose of these guidelines is to provide general direction so that employees can seek further clarification on issues related to the subject of acceptable standards of operation. Contact the Human Resources Department for more information or questions about conflicts of interest.

An actual or potential conflict of interest occurs when an employee is in a position to influence a decision that may result in a personal gain for that employee or for a relative as a result of __________ Company’s business dealings. For the purposes of this policy, a relative is any person who is related by blood or marriage or whose relationship with the employee is similar to that of persons who are related by blood or marriage.

No “presumption of guilt” is created by the mere existence of a relationship with outside firms. However, if employees have any influence on transactions involving purchases, contracts, or leases, it is imperative that they disclose to an officer of __________ Company as soon as possible the existence of any actual or potential conflict of interest so that safeguards can be established to protect all parties.

Personal gain may result not only in cases where an employee or relative has a significant ownership in a firm with which __________ Company does business, but also when an employee or relative receives any kickback, bribe, substantial gift, or special consideration as a result of any transaction or business dealings involving __________ Company.

1-12 Non-Disclosure

The protection of confidential business information and trade secrets is vital to the interests and the success of __________ Company. Such confidential information includes, but is not limited to, the following examples:

  • acquisitions
  • compensation data
  • computer processes
  • computer programs and codes
  • customer lists
  • customer preferences
  • financial information
  • investments
  • labor relations strategies
  • marketing strategies
  • new materials research
  • partnerships
  • pending projects and proposals
  • proprietary production processes
  • research and development strategies
  • scientific data
  • scientific formulae
  • scientific prototypes
  • technological data
  • technological prototypes

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

1-14 Disability Accommodation

__________ Company is committed to complying fully with applicable disability laws and ensuring equal opportunity in employment for qualified persons with disabilities.

Hiring procedures have been reviewed and provide persons with disabilities meaningful employment opportunities. Pre-employment inquiries are made regarding only an applicant’s ability to perform the duties of the position.

Reasonable accommodation is available to all disabled employees, where their disability affects the performance of job functions to the extent required by law. All employment decisions are based on the merits of the situation and the needs of the company, not the disability of the individual.

__________ Company is also committed to not unlawfully discriminating against any qualified employees or applicants because they are related to or associated with a person with a disability.

This policy is neither exhaustive nor exclusive. __________ Company is committed to taking all other actions necessary to ensure equal employment opportunity for persons with disabilities in accordance with the ADA and all other applicable federal, state, and local laws.

2-01 Employment Categories

It is the intent of __________ Company to clarify the definitions of employment classifications so that employees understand their employment status and benefit eligibility. These classifications do not guarantee employment for any specified period of time. Accordingly, the right to terminate the employment relationship at will at any time is retained by both the employee and __________ Company.

Each employee is designated as either NONEXEMPT or EXEMPT from federal and state wage and hour laws. NONEXEMPT employees are entitled to overtime pay under the specific provisions of federal and state laws. EXEMPT employees are excluded from specific provisions of federal and state wage and hour laws. An employee’s EXEMPT or NONEXEMPT classification may be changed only upon written notification by __________ Company management.

In addition to the above categories, each employee will belong to one other employment category:

REGULAR FULL-TIME employees are those who are not in a temporary or introductory status and who are regularly scheduled to work __________ Company’s full-time schedule. Generally, they are eligible for __________ Company’s benefit package, subject to the terms, conditions, and limitations of each benefit program.

INTRODUCTORY employees are those whose performance is being evaluated to determine whether further employment in a specific position or with __________ Company is appropriate. Employees who satisfactorily complete the introductory period will be notified of their new employment classification.

TEMPORARY employees are those who are hired as interim replacements, to temporarily supplement the work force, or to assist in the completion of a specific project. Employment assignments in this category are of a limited duration. Employment beyond any initially stated period does not in any way imply a change in employment status. Temporary employees retain that status unless and until notified of a change. While temporary employees receive all legally mandated benefits (such as workers’ compensation insurance and Social Security), they are ineligible for all of __________ Company’s other benefit programs.

2-02 Access to Personnel Files

__________ Company maintains a personnel file on each employee. The personnel file includes such information as the employee’s job application, résumé, records of training, documentation of performance appraisals and salary increases, and other employment records.

Personnel files are the property of __________ Company and access to the information they contain is restricted. Generally, only supervisors and management personnel of __________ Company who have a legitimate reason to review information in a file are allowed to do so.

Employees who wish to review their own file should contact the Human Resources Department. With reasonable advance notice, employees may review their own personnel files in __________ Company’s offices and in the presence of an individual appointed by __________ Company to maintain the files.

2-04 Personal Data Changes

It is the responsibility of each employee to promptly notify __________ Company of any changes in personal data. Personal mailing addresses, telephone numbers, number and names of dependents, individuals to be contacted in the event of an emergency, educational accomplishments, and other such status reports should be accurate and current at all times. If any personal data has changed, notify the Human Resources Department.

2-05 Introductory Period

The introductory period is intended to give new employees the opportunity to demonstrate their ability to achieve a satisfactory level of performance and to determine whether the new position meets their expectations. __________ Company uses this period to evaluate employee capabilities, work habits, and overall performance. Either the employee or __________ Company may end the employment relationship at will at any time during or after the introductory period, with or without cause or advance notice.

All new and rehired employees work on an introductory basis for the first 90 calendar days after their date of hire. Any significant absence will automatically extend an introductory period by the length of the absence. If __________ Company determines that the designated introductory period does not allow sufficient time to thoroughly evaluate the employee’s performance, the introductory period may be extended for a specified period.

2-08 Employment Applications

__________ Company relies upon the accuracy of information contained in the employment application, as well as the accuracy of other data presented throughout the hiring process and employment. Any misrepresentations, falsifications, or material omissions in any of this information or data may result in the exclusion of the individual from further consideration for employment or, if the person has been hired, termination of employment.

In processing employment applications, __________ Company may obtain a consumer credit report or background check for employment. If __________ Company takes an adverse employment action based in whole or in part on any report caused by the Fair Credit Reporting Act, a copy of the report and a summary of your rights under the Fair Credit Reporting Act will be provided as well as any other documents required by law.

2-09 Performance Evaluation

Supervisors and employees are strongly encouraged to discuss job performance and goals on an informal, day-to-day basis. A formal written performance evaluation will be conducted following an employee’s introductory period. Additional formal performance evaluations are conducted to provide both supervisors and employees the opportunity to discuss job tasks, identify and correct weaknesses, encourage and recognize strengths, and discuss positive, purposeful approaches for meeting goals.

2-10 Job Descriptions

__________ Company maintains job descriptions to aid in orienting new employees to their jobs, identifying the requirements of each position, establishing hiring criteria, setting standards for employee performance evaluations, and establishing a basis for making reasonable accommodations for individuals with disabilities.

The Human Resources Department and the hiring manager prepare job descriptions when new positions are created. Existing job descriptions are also reviewed and revised in order to ensure that they are up to date. Job descriptions may also be rewritten periodically to reflect any changes in position duties and responsibilities. All employees will be expected to help ensure that their job descriptions are accurate and current, reflecting the work being done.

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

3-01 Employee Benefits

Eligible employees at __________ Company are provided a wide range of benefits. A number of the programs (such as Social Security, workers’ compensation, state disability, and unemployment insurance) cover all employees in the manner prescribed by law.

Benefits eligibility is dependent upon a variety of factors, including employee classification. Your supervisor can identify the programs for which you are eligible. Details of many of these programs can be found elsewhere in the Handbook.

The following benefit programs are available to eligible employees:

  • auto mileage
  • bereavement leave
  • dental insurance
  • holidays
  • medical insurance
  • stock options
  • vacation benefits

Some benefit programs require contributions from the employee, but most are fully paid by __________ Company. Many benefits are described in separate Summary Plan Descriptions, or Plans, which may change from time to time.  The Summary Plan Description will have control over any policy in this Handbook.  You will receive a copy of each Summary Plan Description applicable to you. Contact the Human Resources Department if you need a Summary Plan Description or have any questions.

 

3-03 Vacation Benefits

Vacation time off with pay is available to eligible employees to provide opportunities for rest, relaxation, and personal pursuits. Employees in the following employment classification(s) are eligible to earn and use vacation time as described in this policy:

Regular full-time employees

The amount of paid vacation time employees receive each year increases with the length of their employment, as shown in the following schedule:

  • Upon initial eligibility, the employee is entitled to 10 vacation days each year, accrued monthly at the rate of 0.833 days.
  • After four years of eligible service, the employee is entitled to 15 vacation days each year, accrued monthly at the rate of 1.250 days.

The length of eligible service is calculated on the basis of a “benefit year.” This is the 12-month period that begins when the employee starts to earn vacation time. An employee’s benefit year may be extended for any significant leave of absence except military leave of absence. Military leave has no effect on this calculation. (See individual leave of absence policies for more information.)

Once employees enter an eligible employment classification, they begin to earn paid vacation time according to the schedule. They can request use of vacation time after it is earned.

Paid vacation time can be used in minimum increments of one day. To take vacation, employees should request advance approval from their supervisors. Requests will be reviewed based on a number of factors, including business needs and staffing requirements.

Vacation time off is paid at the employee’s base pay rate at the time of vacation. It does not include overtime or any special forms of compensation such as incentives, commissions, bonuses, or shift differentials.

As stated above, employees are encouraged to use available paid vacation time for rest, relaxation, and personal pursuits. In the event that available vacation is not used by the end of the benefit year, employees may carry unused time forward to the next benefit year. If the total amount of unused vacation time reaches a “cap” equal to two times the annual vacation amount, further vacation accrual will stop. When the employee uses paid vacation time and brings the available amount below the cap, vacation accrual will begin again.

Upon termination of employment, employees will be paid for unused vacation time that has been earned through the last day of work.

3-05 Holidays

__________ Company will grant holiday time off to all employees on the holidays listed below:

  • New Year’s Day (January 1)
  • Martin Luther King, Jr. Day (third Monday in January)
  • Presidents’ Day (third Monday in February)
  • Memorial Day (last Monday in May)
  • Independence Day (July 4)
  • Labor Day (first Monday in September)
  • Thanksgiving (fourth Thursday in November)
  • Christmas (December 25)
  • New Year’s Eve (December 31)

__________ Company will grant paid holiday time off to all eligible employees immediately upon assignment to an eligible employment classification. Holiday pay will be calculated based on the employee’s straight-time pay rate (as of the date of the holiday) times the number of hours the employee would otherwise have worked on that day. Eligible employee classification(s):

Regular full-time employees

If a recognized holiday falls during an eligible employee’s paid absence (e.g., vacation, sick leave), the employee will be ineligible for holiday pay. If eligible nonexempt employees work on a recognized holiday, they will receive holiday pay plus wages at their straight-time rate for the hours worked on the holiday. In addition to the recognized holidays previously listed, eligible employees will receive two floating holidays in each anniversary year. To be eligible, employees must complete three calendar days of service in an eligible employment classification. These holidays must be scheduled with the prior approval of the employee’s supervisor.

Paid time off for holidays will be counted as hours worked for the purposes of determining whether overtime pay is owed.

3-06 Workers’ Compensation Insurance

__________ Company provides a comprehensive workers’ compensation insurance program at no cost to employees, pursuant to law. This program covers any injury or illness sustained in the course of employment that requires medical, surgical, or hospital treatment. Subject to applicable legal requirements, workers’ compensation insurance provides benefits after a short waiting period or, if the employee is hospitalized, immediately.

Employees who sustain work-related injuries or illnesses should inform their supervisor immediately. No matter how minor an on-the-job injury may appear, it is important that it be reported immediately. This will enable an eligible employee to qualify for coverage as quickly as possible.

3-07 Sick Leave Benefits

__________ Company provides paid sick leave benefits to all eligible employees for periods of temporary absence due to illnesses or injuries. Eligible employee classification(s):

Regular full-time employees

Eligible employees will accrue sick leave benefits at the rate of 10 days per year (.83 of a day for every full month of service). Sick leave benefits are calculated on the basis of a “benefit year,” the 12-month period that begins when the employee starts to earn sick leave benefits.

Paid sick leave can be used in minimum increments of one day. An eligible employee may use sick leave benefits for an absence due to his or her own illness or injury, or that of a child, parent, or spouse of the employee.

Employees who are unable to report to work due to illness or injury should notify their direct supervisor before the scheduled start of their workday if possible. The direct supervisor must also be contacted on each additional day of absence. If an employee is absent for three or more consecutive days due to illness or injury, the company may require a physician’s statement verifying the illness or injury and its beginning and expected ending dates. Such verification may be requested for other sick leave absences as well and may be required as a condition to receiving sick leave benefits.

Sick leave benefits will be calculated based on the employee’s base pay rate at the time of absence and will not include any special forms of compensation, such as incentives, commissions, bonuses, or shift differentials.

Sick leave benefits are intended solely to provide income protection in the event of illness or injury, and may not be used for any other absence. Unused sick leave benefits will not be paid to employees while they are employed or upon termination of employment.

3-08 Time Off to Vote

__________ Company encourages employees to fulfill their civic responsibilities by participating in elections. Generally, employees are able to find time to vote either before or after their regular work schedule. If employees are unable to vote in an election during their nonworking hours, __________ Company will grant up to two hours of paid time off to vote.

Employees should request time off to vote from their supervisor at least two working days prior to the Election Day. Advance notice is required so that the necessary time off can be scheduled at the beginning or end of the work shift, whichever causes less disruption to the normal work schedule.

Employees must submit a voter’s receipt on the first working day following the election to qualify for paid time off.

3-09 Bereavement Leave

Employees who wish to take time off due to the death of an immediate family member should notify their supervisor immediately.

Up to three days of paid bereavement leave will be provided to eligible employees in the following classification(s):

Regular full-time employees

Bereavement pay is calculated based on the base pay rate at the time of absence and will not include any special forms of compensation, such as incentives, commissions, bonuses, or shift differentials.

Bereavement leave will normally be granted unless there are unusual business needs or staffing requirements. Employees may, with their supervisors’ approval, use any available paid leave for additional time off as necessary.

__________ Company defines “immediate family” as the employee’s spouse, parent, child, or sibling.

3-11 Jury Duty

__________ Company encourages employees to fulfill their civic responsibilities by serving jury duty when required. Employees may request unpaid jury duty leave for the length of absence. If desired, employees may use any available paid time off (for example, vacation benefits).

Employees must show the jury duty summons to their supervisor as soon as possible so that the supervisor may make arrangements to accommodate their absence. Of course, employees are expected to report for work whenever the court schedule permits.

Either __________ Company or the employee may request an excuse from jury duty if, in __________ Company’s judgment, the employee’s absence would create serious operational difficulties.

__________ Company will continue to provide health insurance benefits for the full term of the jury duty absence.

Vacation, sick leave, and holiday benefits will continue to accrue during unpaid jury duty leave.

3-13 Benefits Continuation (COBRA)

The federal Consolidated Omnibus Budget Reconciliation Act (COBRA) gives employees and their qualified beneficiaries the opportunity to continue health insurance coverage under __________ Company’s health plan when a “qualifying event” would normally result in the loss of eligibility. Some common qualifying events are resignation, termination of employment, or death of an employee; a reduction in an employee’s hours or a leave of absence; an employee’s divorce or legal separation; and a dependent child no longer meeting eligibility requirements.

Under COBRA, the employee or beneficiary pays the full cost of coverage at __________ Company’s group rates plus an administration fee. __________ Company provides each eligible employee with a written notice describing rights granted under COBRA when the employee becomes eligible for coverage under __________ Company’s health insurance plan. The notice contains important information about the employee’s rights and obligations. Contact the Human Resources Department for more information about COBRA.

3-16 Health Insurance

__________ Company’s health insurance plan provides employees access to medical and dental insurance benefits. Employees in the following employment classification(s) are eligible to participate in the health insurance plan:

Regular full-time employees

Eligible employees may participate in the health insurance plan subject to all terms and conditions of the agreement between __________ Company and the insurance carrier.

A change in employment classification that would result in loss of eligibility to participate in the health insurance plan may qualify an employee for benefits continuation under the Consolidated Omnibus Budget Reconciliation Act (COBRA). Refer to the “Benefits Continuation (COBRA)” policy section 3-13 for more information.

Details of the health insurance plan are described in the Summary Plan Description (SPD). An SPD and information on cost of coverage will be provided in advance of enrollment to eligible employees. Contact the Human Resources Department for more information about health insurance benefits.

4-03 Paydays

All employees are paid monthly on the first day of the month. Each paycheck will include earnings for all work performed through the end of the previous payroll period.

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

If a regular payday falls during an employee’s vacation, the employee may receive his or her earned wages before departing for vacation if a written request is submitted at least one week prior to departing for vacation.

4-05 Employment Termination

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

• resignation—voluntary employment termination initiated by an employee.

• discharge—involuntary employment termination initiated by the organization.

• layoff—involuntary employment termination initiated by the organization because of an organizational change.

• retirement—voluntary employment termination initiated by the employee meeting age, length of service, and any other criteria for retirement from the organization.

__________ Company will generally schedule exit interviews at the time of employment termination. The exit interview will afford an opportunity to discuss such issues as employee benefits, conversion privileges, repayment of outstanding debts to __________ Company, or return of __________ Company-owned property. Suggestions, complaints, and questions can also be voiced.

Nothing in this policy is intended to change the company’s at-will employment policy.  Since employment with __________ Company is based on mutual consent, both the employee and __________ Company have the right to terminate employment at will, with or without cause, at any time. Employees will receive their final pay in accordance with applicable state law.

Employee benefits will be affected by employment termination in the following manner. All accrued, vested benefits that are due and payable at termination will be paid. Some benefits may be continued at the employee’s expense if the employee so chooses. The employee will be notified in writing of the benefits that may be continued and of the terms, conditions, and limitations of such continuance. See the “Benefits Continuation (COBRA)” policy section 3-13.

4-09 Administrative Pay Corrections

__________ Company takes all reasonable steps to ensure that employees receive the correct amount of pay in each paycheck and that employees are paid promptly on the scheduled payday.

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

4-10 Pay Deductions and Setoffs

The law requires that __________ Company make certain deductions from every employee’s compensation. Among these are applicable federal, state, and local income taxes. __________ Company also must deduct Social Security taxes on each employee’s earnings up to a specified limit that is called the Social Security “wage base.” __________ Company matches the amount of Social Security taxes paid by each employee.

__________ Company offers programs and benefits beyond those required by law. Eligible employees may voluntarily authorize deductions from their paychecks to cover the costs of participation in these programs. Pay setoffs are pay deductions taken by __________ Company, usually to help pay off a debt or obligation to __________ Company or others. If you have questions concerning why deductions were made from your paycheck or how they were calculated, the Human Resources Department can assist in having your questions answered.

5-01 Safety

To assist in providing a safe and healthful work environment for employees, customers, and visitors, __________ Company has established a workplace safety program. This program is a top priority for __________ Company. The Human Resources Department has responsibility for implementing, administering, monitoring, and evaluating the safety program. Its success depends on the alertness and personal commitment of all.

__________ Company provides information to employees about workplace safety and health issues through regular internal communication channels such as supervisor-employee meetings, bulletin board postings, e-mail, memos, or other written communications.

Some of the best safety improvement ideas come from employees. Those with ideas, concerns, or suggestions for improved safety in the workplace are encouraged to raise them with their supervisor, or with another supervisor or manager, or bring them to the attention of the Human Resources Department. Reports and concerns about workplace safety issues may be made anonymously if the employee wishes. All reports can be made without fear of reprisal.

Each employee is expected to obey safety rules and to exercise caution in all work activities. Employees must immediately report any unsafe condition to the appropriate supervisor. Employees who violate safety standards, who cause hazardous or dangerous situations, or who fail to report or, where appropriate, remedy such situations may be subject to disciplinary action, up to and including termination of employment.

In the case of accidents that result in injury, regardless of how insignificant the injury may appear, employees should immediately notify the Human Resources Department or the appropriate supervisor. Such reports are necessary to comply with laws and initiate insurance and workers’ compensation benefits procedures.

5-02 Work Schedules

Work schedules for employees vary throughout our organization. 9:00 a.m.-6:00 p.m. is a standard workday. Supervisors will advise employees of their individual work schedules. Staffing needs and operational demands may necessitate variations in starting and ending times, as well as variations in the total hours that may be scheduled each day and week.

5-04 Use of Phone and Mail Systems

Personal use of the telephone for long-distance and toll calls is not permitted. Employees should practice discretion when making local personal calls and may be required to reimburse __________ Company for any charges resulting from their personal use of the telephone. To ensure effective telephone communications, employees should always use the approved greeting (“Good  Morning, __________ Company” or “Good Afternoon, __________ Company,” as applicable) and speak in a courteous and professional manner. Please confirm information received from the caller and hang up only after the caller has done so.

The mail system is reserved for business purposes only. Employees should refrain from sending or receiving personal mail at the workplace. The e-mail system is the property of __________ Company. Occasional use of the e-mail system for personal messages is permitted, within reasonable limits. __________ Company will not guarantee the privacy of the e-mail system except to the extent required by law.

5-05 Smoking

Smoking is prohibited throughout the workplace, as required by law. This policy applies equally to all employees, customers, and visitors.

5-06 Rest and Meal Periods

All employees are provided with one one-hour meal period each workday. Supervisors will schedule meal periods to accommodate operating requirements. Employees will be relieved of all active responsibilities and restrictions during meal periods and will not be compensated for that time. Brief rest periods will be allowed, as required by California law.

5-10 Emergency Closings

At times, emergencies such as severe weather, fires, power failures, or earthquakes can disrupt company operations. In extreme cases, these circumstances may require the closing of a work facility.

In cases where an emergency closing is not authorized, employees who fail to report for work will not be paid for the time off. Employees may request available paid leave time such as unused vacation benefits.

5-12 Business Travel Expenses

__________ Company will reimburse employees for reasonable business travel expenses incurred while on assignments away from the normal work location. All business travel must be approved in advance by the President. Employees whose travel plans have been approved should make all travel arrangements through __________ Company’s designated travel agency.

When approved, the actual costs of travel, meals, lodging, and other expenses directly related to accomplishing business travel objectives will be reimbursed by __________ Company. Employees are expected to limit expenses to reasonable amounts.

Expenses that generally will be reimbursed include the following:

  • airfare or train fare for travel in coach or economy class or the lowest available fare
  • car rental fees, only for compact or mid-sized cars
  • fares for shuttle or airport bus service, where available; costs of public transportation for other ground travel
  • taxi fares, only when there is no less expensive alternative
  • mileage costs for use of personal cars, only when less expensive transportation is not available
  • cost of standard accommodations in low- to mid-priced hotels, motels, or similar lodgings
  • cost of meals, no more than $30.00 a day
  • tips not exceeding 15% of the total cost of a meal or 10% of a taxi fare
  • charges for telephone calls, fax, and similar services required for business purposes

Employees who are involved in an accident while traveling on business must promptly report the incident to their immediate supervisor. Vehicles owned, leased, or rented by __________ Company may not be used for personal use without prior approval. When travel is completed, employees should submit completed travel expense reports within 30 days. Reports should be accompanied by receipts for all individual expenses. Employees should contact their supervisor for guidance and assistance on procedures related to travel arrangements, expense reports, reimbursement for specific expenses, or any other business travel issues. Abuse of this business travel expenses policy, including falsifying expense reports to reflect costs not incurred by the employee, can be grounds for disciplinary action, up to and including termination of employment.

5-14 Visitors in the Workplace

To provide for the safety and security of employees and the facilities at __________ Company, only authorized visitors are allowed in the workplace. Restricting unauthorized visitors helps maintain safety standards, protects against theft, ensures security of equipment, protects confidential information, safeguards employee welfare, and avoids potential distractions and disturbances. All visitors should enter __________ Company at the main entrance. Authorized visitors will receive directions or be escorted to their destination. Employees are responsible for the conduct and safety of their visitors. If an unauthorized individual is observed on __________ Company’s premises, employees should immediately notify their supervisor or, if necessary, direct the individual to the main entrance.

5-16 Computer and E-mail Usage

Computers, computer files, the e-mail system, and software furnished to employees are __________ Company property intended for business use. Employees should not use a password, access a file, or retrieve any stored communication without authorization.

__________ Company strives to maintain a workplace free of harassment and is sensitive to the diversity of its employees. Therefore, __________ Company prohibits the use of computers and the e-mail system in ways that are disruptive, offensive to others, or harmful to morale.

For example, the display or transmission of sexually explicit images, messages, and cartoons is not allowed. Other such misuse includes, but is not limited to, ethnic slurs, racial comments, off-color jokes, or anything that may be construed as harassment or showing disrespect for others. Employees should notify their immediate supervisor, the Human Resourcs Department, or any member of management upon learning of violations of this policy. Employees who violate this policy will be subject to disciplinary action, up to and including termination of employment.

5-17 Internet Usage

Internet access to global electronic information resources on the World Wide Web is provided by __________ Company to assist employees in obtaining work-related data and technology. The following guidelines have been established to help ensure responsible and productive Internet usage. While Internet usage is intended for job-related activities, incidental and occasional brief personal use of e-mail and the Internet is permitted within reasonable limits.

All Internet data that is composed, transmitted, or received via our computer communications systems is considered to be part of the official records of __________ Company and, as such, is subject to disclosure to law enforcement or other third parties. Employees should expect only the level of privacy that is warranted by existing law and no more. Consequently, employees should always ensure that the business information contained in Internet e-mail messages and other transmissions is accurate, appropriate, ethical, and lawful. Any questions regarding the legal effect of a message or transmission should be brought to our General Counsel.

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

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

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

Abuse of the Internet access provided by __________ Company in violation of the law or __________ Company policies will result in disciplinary action, up to and including termination of employment. Employees may also be held personally liable for any violations of this policy. The following behaviors are examples of previously stated or additional actions and activities that are prohibited and can result in disciplinary action:

  • Sending or posting discriminatory, harassing, or threatening messages or images
  • Using the organization’s time and resources for personal gain
  • Stealing, using, or disclosing someone else’s code or password without authorization
  • Copying, pirating, or downloading software and electronic files without permission
  • Sending or posting confidential material, trade secrets, or proprietary information outside of the organization
  • Violating copyright law
  • Failing to observe licensing agreements
  • Engaging in unauthorized transactions that may incur a cost to the organization or initiate unwanted Internet services and transmissions
  • Sending or posting messages or material that could damage the organization’s image or reputation
  • Participating in the viewing or exchange of pornography or obscene materials
  • Sending or posting messages that defame or slander other individuals
  • Attempting to break into the computer system of another organization or person
  • Refusing to cooperate with a security investigation
  • Sending or posting chain letters, solicitations, or advertisements not related to business purposes or activities
  • Using the Internet for political causes or activities, religious activities, or any sort of gambling
  • Jeopardizing the security of the organization’s electronic communications systems
  • Sending or posting messages that disparage another organization’s products or services
  • Passing off personal views as representing those of the organization
  • Sending anonymous e-mail messages
  • Engaging in any other illegal activities

5-22 Workplace Violence Prevention

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

All employees, including supervisors and temporary employees, should be treated with courtesy and respect at all times. Employees are expected to refrain from fighting, “horseplay,” or other conduct that may be dangerous to others. Firearms, weapons, and other dangerous or hazardous devices or substances are prohibited from the premises of __________ Company without proper authorization.

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

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

All suspicious individuals or activities should also be reported as soon as possible to a supervisor. Do not place yourself in peril. If you see or hear a commotion or disturbance near your workstation, do not try to intercede or see what is happening. __________ Company will promptly and thoroughly investigate all reports of threats of (or actual) violence and of suspicious individuals or activities. The identity of the individual making a report will be protected as much as is practical.

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

__________ Company encourages employees to bring their disputes or differences with other employees to the attention of their supervisors or the Human Resources Department before the situation escalates into potential violence. __________ Company is eager to assist in the resolution of employee disputes and will not discipline employees for raising such concerns.

6-01 Medical Leave

__________ Company provides medical leaves of absence without pay to eligible employees who are temporarily unable to work due to a serious health condition or disability. For purposes of this policy, serious health conditions or disabilities include inpatient care in a hospital, hospice, or residential medical care facility and continuing treatment by a health care provider.

Employees in the following employment classifications are eligible to request medical leave as described in this policy:

Regular full-time employees

Eligible employees should make requests for medical leave to their supervisors at least 30 days in advance of foreseeable events and as soon as possible for unforeseeable events.

A health care provider’s statement must be submitted verifying the need for medical leave and its beginning and expected ending dates. Any changes in this information should be promptly reported to __________ Company. Employees returning from medical leave must submit a health care provider’s verification of their fitness to return to work.

Eligible employees are normally granted leave for the period of the disability, up to a maximum of 12 weeks within any 12-month period. Any combination of medical leave and family leave may not exceed this maximum limit. If the initial period of approved absence proves insufficient, consideration will be given to a request for an extension.

Employees who sustain work-related injuries are eligible for a medical leave of absence for the period of the disability, in accordance with all applicable laws covering occupational disabilities.

Subject to the terms, conditions, and limitations of the applicable plans, __________ Company will continue to provide health insurance benefits for the full period of the approved medical leave.

Benefit accruals, such as vacation, sick leave, and holiday benefits, will continue during the approved medical leave period.

So that an employee’s return to work can be properly scheduled, an employee on medical leave is requested to provide __________ Company with at least two weeks’ advance notice of the date the employee intends to return to work. When a medical leave ends, the employee will be reinstated to the same position, if it is available, or to an equivalent position for which the employee is qualified.

If an employee fails to return to work on the agreed-upon return date, __________ Company will assume that the employee has resigned.

6-02 Family Leave

__________ Company provides family leaves of absence without pay to eligible employees who wish to take time off from work duties to fulfill family obligations relating directly to childbirth, adoption, or placement of a foster child or to care for a child, spouse, or parent with a serious health condition. A “serious health condition” means an illness, injury, impairment, or physical or mental condition that involves inpatient care in a hospital, hospice, or residential medical care facility or continuing treatment by a health care provider.

Employees in the following employment classifications are eligible to request family leave as described in this policy:

Regular full-time employees

Eligible employees should make requests for family leave to their supervisors at least 30 days in advance of foreseeable events and as soon as possible for unforeseeable events. Employees requesting family leave related to the serious health condition of a child, spouse, or parent may be required to submit a health care provider’s statement verifying the need for family leave to provide care, its beginning and expected ending dates, and the estimated time required.

Eligible employees may request up to a maximum of 12 weeks of family leave within any 12-month period. Any combination of family leave and medical leave may not exceed this maximum. Married employee couples may be restricted to a combined total of 12 weeks leave within any 12-month period for childbirth, adoption, or placement of a foster child or to care for a parent with a serious health condition.

Subject to the terms, conditions, and limitations of the applicable plans, __________ Company will continue to provide health insurance benefits for the full period of the approved family leave. Benefit accruals, such as vacation, sick leave, and holiday benefits, will continue during the approved family leave period.

So that an employee’s return to work can be properly scheduled, an employee on family leave is requested to provide __________ Company with at least two weeks’ advance notice of the date the employee intends to return to work. When a family leave ends, the employee will be reinstated to the same position, if it is available, or to an equivalent position for which the employee is qualified. If an employee fails to return to work on the agreed-upon return date, __________ Company will assume that the employee has resigned.

6-07 Pregnancy Disability Leave

__________ Company provides pregnancy disability leaves of absence without pay to eligible employees who are temporarily unable to work due to a disability related to pregnancy, childbirth, or related medical conditions. Any employee is eligible to request pregnancy disability leave as described in this policy. Employees should make requests for pregnancy disability leave to their supervisors at least 30 days in advance of foreseeable events and as soon as possible for unforeseeable events. A health care provider’s statement must be submitted verifying the need for pregnancy disability leave and its beginning and expected ending dates. Any changes in this information should be promptly reported to __________ Company. Employees returning from pregnancy disability leave must submit a health care provider’s verification of their fitness to return to work.

Employees are normally granted unpaid leave for the period of the disability, up to a maximum of four months. Employees may substitute any accrued paid leave time for unpaid leave as part of the pregnancy disability leave period. Subject to the terms, conditions, and limitations of the applicable plans, __________ Company will continue to provide health insurance benefits for the full period of the approved pregnancy disability leave. So that an employee’s return to work can be properly scheduled, an employee on pregnancy disability leave is requested to provide __________ Company with at least two weeks’ advance notice of the date she intends to return to work.

When a pregnancy disability leave ends, the employee will be reinstated to the same position, unless either the employee would not otherwise have been employed for legitimate business reasons or each means of preserving the job would substantially undermine the ability to operate __________ Company safely and efficiently. If the same position is not available, the employee will be offered a comparable position in terms of such issues as pay, location, job content, and promotional opportunities.

If an employee fails to report to work promptly at the end of the pregnancy disability leave, __________ Company will assume that the employee has resigned.

7-01 Employee Conduct and Work Rules

To ensure orderly operations and provide the best possible work environment, __________ Company expects employees to follow rules of conduct that will protect the interests and safety of all employees and the organization.

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

  • Theft or inappropriate removal or possession of property
  • Falsification of timekeeping records
  • Working under the influence of alcohol or illegal drugs
  • Possession, distribution, sale, transfer, or use of alcohol or illegal drugs in the workplace, while on duty or while operating employer-owned vehicles or equipment
  • Fighting or threatening violence in the workplace
  • Boisterous or disruptive activity in the workplace
  • Negligence or improper conduct leading to damage of employer-owned or customer-owned property
  • Insubordination or other disrespectful conduct
  • Violation of safety or health rules
  • Smoking in the workplace
  • Sexual or other unlawful or unwelcome harassment
  • Possession of dangerous or unauthorized materials, such as explosives or firearms, in the workplace
  • Excessive absenteeism or any absence without notice
  • Unauthorized disclosure of business “secrets” or confidential information
  • Violation of personnel policies
  • Unsatisfactory performance or conduct

Nothing is this policy is intended to change the company’s at-will employment policy. Employment with __________ Company is at the mutual consent of __________ Company and the employee, and either party may terminate that relationship at any time, with or without cause, and with or without advance notice.

7-02 Drug and Alcohol Use

It is __________ Company’s desire to provide a drug-free, healthful, and safe workplace. To promote this goal, employees are required to report to work in appropriate mental and physical condition to perform their jobs in a satisfactory manner.

While on __________ Company premises and while conducting business-related activities off __________ Company premises, no employee may use, possess, distribute, sell, or be under the influence of alcohol or illegal drugs. The legal use of prescribed drugs is permitted on the job only if it does not impair an employee’s ability to perform the essential functions of the job effectively and in a safe manner that does not endanger other individuals in the workplace.

Violations of this policy may lead to disciplinary action, up to and including immediate termination of employment, and/or required participation in a substance abuse rehabilitation or treatment program. Such violations may also have legal consequences.

Employees with questions or concerns about substance dependency or abuse are encouraged to discuss these matters with their supervisor or the Human Resources Department to receive assistance or referrals to appropriate resources in the community.

Employees with problems with alcohol and certain drugs that have not resulted in, and are not the immediate subject of, disciplinary action may request approval to take unpaid time off to participate in a rehabilitation or treatment program through __________ Company’s health insurance benefit coverage. Leave may be granted if the employee agrees to abstain from use of the problem substance and abides by all __________ Company policies, rules, and prohibitions relating to conduct in the workplace; and if granting the leave will not cause __________ Company any undue hardship.

Employees with questions on this policy or issues related to drug or alcohol use in the workplace should raise their concerns with their supervisor or the Human Resources Department without fear of reprisal.

7-03 Sexual and Other Unlawful Harassment

__________ Company is committed to providing a work environment that is free from all forms of discrimination and conduct that can be considered harassing, coercive, or disruptive, including sexual harassment. Actions, words, jokes, or comments based on an individual’s sex, race, color, national origin, age, religion, disability, sexual orientation, or any other legally protected characteristic will not be tolerated.

Sexual harassment is defined as unwanted sexual advances, or visual, verbal, or physical conduct of a sexual nature. This definition includes many forms of offensive behavior and includes gender-based harassment of a person of the same sex as the harasser. The following is a partial list of sexual harassment examples:

• Unwanted sexual advances

• Offering employment benefits in exchange for sexual favors

• Making or threatening reprisals after a negative response to sexual advances

• Visual conduct that includes leering, making sexual gestures, or displaying of sexually suggestive objects or pictures, cartoons, or posters

• Verbal conduct that includes making or using derogatory comments, epithets, slurs, or jokes

• Verbal sexual advances or propositions

• Verbal abuse of a sexual nature, graphic verbal commentaries about an individual’s body, sexually degrading words used to describe an individual, or suggestive or obscene letters, notes, or invitations

• Physical conduct that includes touching, assaulting, or impeding or blocking movements

Unwelcome sexual advances (either verbal or physical), requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment when: (1) submission to such conduct is made either explicitly or implicitly a term or condition of employment; (2) submission to or rejection of the conduct is used as a basis for making employment decisions; or (3) the conduct has the purpose or effect of interfering with work performance or creating an intimidating, hostile, or offensive work environment.

If you experience or witness sexual or other unlawful harassment in the workplace, report it immediately to your supervisor. If the supervisor is unavailable or you believe it would be inappropriate to contact that person, you should immediately contact the Human Resources Department or any other member of management. You can raise concerns and make reports without fear of reprisal or retaliation.

All allegations of sexual harassment will be quickly and discreetly investigated. To the extent possible, your confidentiality and that of any witnesses and the alleged harasser will be protected against unnecessary disclosure. When the investigation is completed, you will be informed of the outcome of the investigation.

Any supervisor or manager who becomes aware of possible sexual or other unlawful harassment must immediately advise the Human Resources Department or the President of the company so it can be investigated in a timely and confidential manner. Anyone engaging in sexual or other unlawful behavior will be subject to disciplinary action, up to and including termination of employment.

7-04 Attendance and Punctuality

To maintain a safe and productive work environment, __________ Company expects employees to be reliable and to be punctual in reporting for scheduled work. Absenteeism and tardiness place a burden on other employees and on __________ Company. In the rare instances when employees cannot avoid being late to work or are unable to work as scheduled, they should notify their supervisor or the Human Resources Department as soon as possible in advance of the anticipated tardiness or absence.

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

7-05 Personal Appearance

Dress, grooming, and personal cleanliness standards contribute to the morale of all employees and affect the business image that __________ Company presents to the community.

During business hours or when representing __________ Company, you are expected to present a clean, neat, and tasteful appearance. You should dress and groom yourself according to the requirements of your position and accepted social standards.

Your supervisor or department head is responsible for establishing a reasonable dress code appropriate to the job you perform. If your supervisor feels that your personal appearance is inappropriate, you may be asked to leave the workplace until you are properly dressed or groomed. Under such circumstances, you will not be compensated for the time away from work. Consult your supervisor if you have questions as to what constitutes appropriate appearance. Where necessary, reasonable accommodation may be made to a person with a disability.

7-06 Return of Property

Employees are responsible for all __________ Company property, materials, or written information issued to them or in their possession or control. Employees must return all __________ Company property immediately upon request or upon termination of employment. Where permitted by applicable laws, __________ Company may withhold from the employee’s check or final paycheck the cost of any items that are not returned when required. __________ Company may also take all action deemed appropriate to recover or protect its property.

7-08 Resignation

Resignation is a voluntary act initiated by the employee to terminate employment with __________ Company. Although advance notice is not required, __________ Company requests at least two weeks’ written notice of resignation from nonexempt employees and two weeks’ written notice of resignation from exempt employees.

Prior to an employee’s departure, an exit interview will be scheduled to discuss the reasons for resignation and the effect of the resignation on benefits.

7-10 Security Inspections

__________ Company wishes to maintain a work environment that is free of illegal drugs, alcohol, firearms, explosives, or other improper materials. To this end, __________ Company prohibits the possession, transfer, sale, or use of such materials on its premises. __________ Company requires the cooperation of all employees in administering this policy.

Desks, lockers, and other storage devices may be provided for the convenience of employees but remain the sole property of __________ Company. Accordingly, they, as well as any articles found within them, can be inspected by any agent or representative of __________ Company at any time, either with or without prior notice.

7-12 Solicitation

In an effort to ensure a productive and harmonious work environment, persons not employed by __________ Company may not solicit or distribute literature in the workplace at any time for any purpose.

__________ Company recognizes that employees may have interests in events and organizations outside the workplace. However, employees may not solicit or distribute literature concerning these activities during working time. (Working time does not include lunch periods, work breaks, or any other periods in which employees are not on duty.)

Examples of impermissible forms of solicitation include:

  • The collection of money, goods, or gifts for community groups
  • The collection of money, goods, or gifts for religious groups
  • The collection of money, goods, or gifts for political groups
  • The collection of money, goods, or gifts for charitable groups
  • The sale of goods, services, or subscriptions outside the scope of official organization business
  • The circulation of petitions
  • The distribution of literature in working areas at any time
  • The solicitation of memberships, fees, or dues

In addition, the posting of written solicitations on company bulletin boards and solicitations by e-mail are restricted. Company bulletin boards display important information; employees should consult them frequently for:

  • Affirmative Action statement
  • Employee announcements
  • Workers’ compensation insurance information
  • State disability insurance/unemployment insurance information

If employees have a message of interest to the workplace, they may submit it to the Human Resources Director for approval. All approved messages will be posted by the Human Resources Director.

7-16 Progressive Discipline

The purpose of this policy is to state __________ Company’s position on administering equitable and consistent discipline for unsatisfactory conduct in the workplace. The best disciplinary measure is the one that does not have to be enforced and comes from good leadership and fair supervision at all employment levels.

__________ Company’s own best interest lies in ensuring fair treatment of all employees and in making certain that disciplinary actions are prompt, uniform, and impartial. The major purpose of any disciplinary action is to correct the problem, prevent recurrence, and prepare the employee for satisfactory service in the future.

Although employment with __________ Company is based on mutual consent and both the employee and __________ Company have the right to terminate employment at will, with or without cause or advance notice, __________ Company may use progressive discipline at its discretion.

Disciplinary action may call for any of four steps—verbal warning, written warning, suspension with or without pay, or termination of employment—depending on the severity of the problem and the number of occurrences.

Progressive discipline means that, with respect to many disciplinary problems, these four steps will normally be followed.  However, there may be circumstances when one or more steps are bypassed.

__________ Company recognizes that there are certain types of employee problems that are serious enough to justify either a suspension or, in extreme situations, termination of employment, without going through the usual progressive discipline steps.

While it is impossible to list every type of behavior that may be deemed a serious offense, the Employee Conduct and Work Rules policy includes examples of problems that may result in immediate suspension or termination of employment. However, the problems listed are not all necessarily serious offenses, but may be examples of unsatisfactory conduct that will trigger progressive discipline.

By using progressive discipline, we hope that most employee problems can be corrected at an early stage, benefiting both the employee and __________ Company.

7-18 Problem Resolution

__________ Company is committed to providing the best possible working conditions for its employees. Part of this commitment is encouraging an open and frank atmosphere in which any problem, complaint, suggestion, or question receives a timely response from __________ Company supervisors and management.

__________ Company strives to ensure fair and honest treatment of all employees. Supervisors, managers, and employees are expected to treat each other with respect. Employees are encouraged to offer positive and constructive criticism.

If employees disagree with established rules of conduct, policies, or practices, they can express their concern through the problem resolution procedure. No employee will be penalized, formally or informally, for voicing a complaint with __________ Company in a reasonable, business-like manner, or for using the problem resolution procedure.

If a situation occurs when employees believe that a condition of employment or a decision affecting them is unjust or inequitable, they are encouraged to make use of the following steps. The employee may discontinue the procedure at any step.

1.  The employee presents the problem to his or her immediate supervisor after the incident occurs. If the supervisor is unavailable or the employee believes it would be inappropriate to contact that person, the employee may present the problem to the Human Resources Department or the CEO.

2. The supervisor responds to the problem during discussion or after consulting with appropriate management, when necessary. The supervisor documents this discussion.

3. The employee presents the problem to the Human Resources Department if the problem is unresolved.

4. The Human Resources Department counsels and advises the employee, assists in putting the problem in writing, and visits with the employee’s manager(s).

Not every problem can be resolved to everyone’s total satisfaction, but only through understanding and discussing mutual problems can employees and management develop confidence in each other. This confidence is important to the operation of an efficient and harmonious work environment.

8-00 Life-Threatening Illnesses in the Workplace

Employees with life-threatening illnesses, such as cancer, heart disease, and AIDS, often wish to continue their normal pursuits, including work, to the extent allowed by their condition. __________ Company supports these endeavors as long as the employees are able to meet acceptable performance standards. As in the case of other disabilities, __________ Company will make reasonable accommodations in accordance with all legal requirements, to allow qualified employees with life-threatening illnesses to perform the essential functions of their jobs.

Medical information on individual employees is treated confidentially. __________ Company will take reasonable precautions to protect such information from inappropriate disclosure. Managers and other employees have a responsibility to respect and maintain the confidentiality of employee medical information. Anyone inappropriately disclosing such information is subject to disciplinary action, up to and including termination of employment.

Employees with questions or concerns about life-threatening illnesses are encouraged to contact the Human Resources Department for information and referral to appropriate services and resources.

8-06 Suggestions

As employees of __________ Company, you have the opportunity to contribute to our future success and growth by submitting suggestions for practical work-improvement or cost-savings ideas.

All regular employees are eligible to participate in the suggestion program.

A suggestion is an idea that will benefit __________ Company by solving a problem, reducing costs, improving operations or procedures, enhancing customer service, eliminating waste or spoilage, or making __________ Company a better or safer place to work. All suggestions should contain a description of the problem or condition to be improved, a detailed explanation of the solution or improvement, and the reasons why it should be implemented. Statements of problems without accompanying solutions or recommendations concerning co-workers and management are not appropriate suggestions. If you have questions or need advice about your idea, contact your supervisor for help.

Submit suggestions to the Human Resources Department and, after review, they will be forwarded to the Suggestion Committee. As soon as possible, you will be notified of the adoption or rejection of your suggestion. Special recognition and, optionally, a cash award will be given to employees who submit a suggestion that is implemented.

 

 

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Posted by Hrformats - May 2, 2012 at 11:26 AM

Categories: HR   Tags: , ,

HR Interview questions

 I have Attached HR Interview questions

General Guidelines in Answering Interview Questions

Everyone is nervous on interviews. If you simply allow yourself to feel nervous, you’ll do much better. Remember also that it’s difficult for the interviewer as well.

In general, be upbeat and positive. Never be negative.

Rehearse your answers and time them. Never talk for more than 2 minutes straight.

Don’t try to memorize answers word for word. Use the answers shown here as a guide only, and don’t be afraid to include your own thoughts and words. To help you remember key concepts, jot down and review a few key words for each answer. Rehearse your answers frequently, and they will come to you naturally in interviews.

As you will read in the accompanying report, the single most important strategy in interviewing, as in all phases of your job search, is what we call: “The Greatest Executive Job Finding Secret.” And that is…

Find out what people want, than show them how you can help them get it.

Find out what an employer wants most in his or her ideal candidate, then show how you meet those qualifications.

In other words, you must match your abilities, with the needs of the employer. You must sell what the buyer is buying. To do that, before you know what to emphasize in your answers, you must find out what the buyer is buying… what he is looking for. And the best way to do that is to ask a few questions yourself.

You will see how to bring this off skillfully as you read the first two questions of this report. But regardless of how you accomplish it, you must remember this strategy above all: before blurting out your qualifications, you must get some idea of what the employer wants most. Once you know what he wants, you can then present your qualifications as the perfect “key” that fits the “lock” of that position.

1. Other important interview strategies:

2. Turn weaknesses into strengths (You’ll see how to do this in a few moments.)

3. Think before you answer. A pause to collect your thoughts is a hallmark of a thoughtful person.

As a daily exercise, practice being more optimistic. For example, try putting a positive spin on events and situations you would normally regard as negative. This is not meant to turn you into a Pollyanna, but to sharpen your selling skills. The best salespeople, as well as the best liked interview candidates, come off as being naturally optimistic, “can do” people. You will dramatically raise your level of attractiveness by daily practicing to be more optimistic.

Be honest…never lie.

Keep an interview diary. Right after each interview note what you did right, what could have gone a little better, and what steps you should take next with this contact. Then take those steps. Don’t be like the 95% of humanity who say they will follow up on something, but never do.

1. Tell me about yourself.

TRAPS:

Beware, about 80% of all interviews begin with this “innocent” question. Many candidates, unprepared for the question, skewer themselves by rambling, recapping their life story, delving into ancient work history or personal matters.

BEST ANSWER:

Start with the present and tell why you are well qualified for the position. Remember that the key to all successful interviewing is to match your qualifications to what the interviewer is looking for. In other words you must sell what the buyer is buying. This is the single most important strategy in job hunting.

So, before you answer this or any question it’s imperative that you try to uncover your interviewer’s greatest need, want, problem or goal.

To do so, make you take these two steps:

* Do all the homework you can before the interview to uncover this person’s wants and needs (not the generalized needs of the industry or company)

* As early as you can in the interview, ask for a more complete description of what the position entails. You might say: “I have a number of accomplishments I’d like to tell you about, but I want to make the best use of our time together and talk directly to your needs. To help me do, that, could you tell me more about the most important priorities of this position? All I know is what I (heard from the recruiter, read in the classified ad, etc.)”

Then, ALWAYS follow-up with a second and possibly, third question, to draw out his needs even more. Surprisingly, it’s usually this second or third question that unearths what the interviewer is most looking for.

You might ask simply, “And in addition to that?…” or, “Is there anything else you see as essential to success in this position?:

This process will not feel easy or natural at first, because it is easier simply to answer questions, but only if you uncover the employer’s wants and needs will your answers make the most sense. Practice asking these key questions before giving your answers, the process will feel more natural and you will be light years ahead of the other job candidates you’re competing with.

After uncovering what the employer is looking for, describe why the needs of this job bear striking parallels to tasks you’ve succeeded at before. Be sure to illustrate with specific examples of your responsibilities and especially your achievements, all of which are geared to present yourself as a perfect match for the needs he has just described.

2. What are your greatest strengths?

TRAPS:

This question seems like a softball lob, but be prepared. You don’t want to come across as egotistical or arrogant. Neither is this a time to be humble.

BEST ANSWER:

You know that your key strategy is to first uncover your interviewer’s greatest wants and needs before you answer questions. And from Question 1, you know how to do this.

Prior to any interview, you should have a list mentally prepared of your greatest strengths. You should also have, a specific example or two, which illustrates each strength, an example chosen from your most recent and most impressive achievements.

You should, have this list of your greatest strengths and corresponding examples from your achievements so well committed to memory that you can recite them cold after being shaken awake at 2:30AM.

Then, once you uncover your interviewer’s greatest wants and needs, you can choose those achievements from your list that best match up.

As a general guideline, the 10 most desirable traits that all employers love to see in their employees are:

1. A proven track record as an achiever…especially if your achievements match up with the employer’s greatest wants and needs.

2. Intelligence…management “savvy”.

3. Honesty…integrity…a decent human being.

4. Good fit with corporate culture…someone to feel comfortable with…a team player who meshes well with interviewer’s team.

5. Likeability…positive attitude…sense of humor.

6. Good communication skills.

7. Dedication…willingness to walk the extra mile to achieve excellence.

8. Definiteness of purpose…clear goals.

9. Enthusiasm…high level of motivation.

10. Confident…healthy…a leader.

3. What are your greatest weaknesses?

TRAPS:

Beware – this is an eliminator question, designed to shorten the candidate list. Any admission of a weakness or fault will earn you an “A” for honesty, but an “F” for the interview.

PASSABLE ANSWER:

Disguise a strength as a weakness.

Example: “I sometimes push my people too hard. I like to work with a sense of urgency and everyone is not always on the same wavelength.”

Drawback: This strategy is better than admitting a flaw, but it’s so widely used, it is transparent to any experienced interviewer.

BEST ANSWER:

(and another reason it’s so important to get a thorough description of your interviewer’s needs before you answer questions): Assure the interviewer that you can think of nothing that would stand in the way of your performing in this position with excellence. Then, quickly review you strongest qualifications.

Example: “Nobody’s perfect, but based on what you’ve told me about this position, I believe I’ d make an outstanding match. I know that when I hire people, I look for two things most of all. Do they have the qualifications to do the job well, and the motivation to do it well? Everything in my background shows I have both the qualifications and a strong desire to achieve excellence in whatever I take on. So I can say in all honesty that I see nothing that would cause you even a small concern about my ability or my strong desire to perform this job with excellence.”

Alternate strategy (if you don’t yet know enough about the position to talk about such a perfect fit):

Instead of confessing a weakness, describe what you like most and like least, making sure that what you like most matches up with the most important qualification for success in the position, and what you like least is not essential.

Example: Let’s say you’re applying for a teaching position. “If given a choice, I like to spend as much time as possible in front of my prospects selling, as opposed to shuffling paperwork back at the office. Of course, I long ago learned the importance of filing paperwork properly, and I do it conscientiously. But what I really love to do is sell (if your interviewer were a sales manager, this should be music to his ears.)

4. Tell me about something you did – or failed to do – that you now feel a little ashamed of.

TRAPS:

There are some questions your interviewer has no business asking, and this is one. But while you may feel like answering, “none of your business,” naturally you can’t. Some interviewers ask this question on the chance you admit to something, but if not, at least they’ll see how you think on your feet.

Some unprepared candidates, flustered by this question, unburden themselves of guilt from their personal life or career, perhaps expressing regrets regarding a parent, spouse, child, etc. All such answers can be disastrous.

BEST ANSWER:

As with faults and weaknesses, never confess a regret. But don’t seem as if you’re stonewalling either.

Best strategy: Say you harbor no regrets, then add a principle or habit you practice regularly for healthy human relations.

Example: Pause for reflection, as if the question never occurred to you. Then say, “You know, I really can’t think of anything.” (Pause again, then add): “I would add that as a general management principle, I’ve found that the best way to avoid regrets is to avoid causing them in the first place. I practice one habit that helps me a great deal in this regard. At the end of each day, I mentally review the day’s events and conversations to take a second look at the people and developments I’m involved with and do a double check of what they’re likely to be feeling. Sometimes I’ll see things that do need more follow-up, whether a pat on the back, or maybe a five minute chat in someone’s office to make sure we’re clear on things…whatever.”

“I also like to make each person feel like a member of an elite team, like the Boston Celtics or LA Lakers in their prime. I’ve found that if you let each team member know you expect excellence in their performance…if you work hard to set an example yourself…and if you let people know you appreciate and respect their feelings, you wind up with a highly motivated group, a team that’s having fun at work because they’re striving for excellence rather than brooding over slights or regrets.”

5. Why are you leaving (or did you leave) this position?

TRAPS:

Never badmouth your previous industry, company, board, boss, staff, employees or customers. This rule is inviolable: never be negative. Any mud you hurl will only soil your suit.

Especially avoid words like “personality clash”, “didn’t get along”, or others which cast a shadow on your competence, integrity, or temperament.

BEST ANSWER:

(If you have a job presently)
If you’re not yet 100% committed to leaving your present post, don’t be afraid to say so. Since you have a job, you are in a stronger position than someone who does not. But don’t be coy either. State honestly what you’d be hoping to find in a new spot. Of course, as stated often before, you answer will all the stronger if you have already uncovered what this position is all about and you match your desires to it.

(If you do not presently have a job.)
Never lie about having been fired. It’s unethical – and too easily checked. But do try to deflect the reason from you personally. If your firing was the result of a takeover, merger, division wide layoff, etc., so much the better.

But you should also do something totally unnatural that will demonstrate consummate professionalism. Even if it hurts , describe your own firing – candidly, succinctly and without a trace of bitterness – from the company’s point-of-view, indicating that you could understand why it happened and you might have made the same decision yourself.

Your stature will rise immensely and, most important of all, you will show you are healed from the wounds inflicted by the firing. You will enhance your image as first-class management material and stand head and shoulders above the legions of firing victims who, at the slightest provocation, zip open their shirts to expose their battle scars and decry the unfairness of it all.

For all prior positions:
Make sure you’ve prepared a brief reason for leaving. Best reasons: more money, opportunity, responsibility or growth.

6. The “Silent Treatment”

TRAPS:

Beware – if you are unprepared for this question, you will probably not handle it right and possibly blow the interview. Thank goodness most interviewers don’t employ it. It’s normally used by those determined to see how you respond under stress. Here’s how it works:

You answer an interviewer’s question and then, instead of asking another, he just stares at you in a deafening silence.

You wait, growing a bit uneasy, and there he sits, silent as Mt. Rushmore, as if he doesn’t believe what you’ve just said, or perhaps making you feel that you’ve unwittingly violated some cardinal rule of interview etiquette.

When you get this silent treatment after answering a particularly difficult question , such as “tell me about your weaknesses”, its intimidating effect can be most disquieting, even to polished job hunters.

Most unprepared candidates rush in to fill the void of silence, viewing prolonged, uncomfortable silences as an invitation to clear up the previous answer which has obviously caused some problem. And that’s what they do – ramble on, sputtering more and more information, sometimes irrelevant and often damaging, because they are suddenly playing the role of someone who’s goofed and is now trying to recoup. But since the candidate doesn’t know where or how he goofed, he just keeps talking, showing how flustered and confused he is by the interviewer’s unmovable silence.

BEST ANSWER:

Like a primitive tribal mask, the Silent Treatment loses all it power to frighten you once you refuse to be intimidated. If your interviewer pulls it, keep quiet yourself for a while and then ask, with sincere politeness and not a trace of sarcasm, “Is there anything else I can fill in on that point?” That’s all there is to it.

Whatever you do, don’t let the Silent Treatment intimidate you into talking a blue streak, because you could easily talk yourself out of the position.

7. Why should I hire you?

TRAPS:

Believe it or not, this is a killer question because so many candidates are unprepared for it. If you stammer or adlib you’ve blown it.

BEST ANSWER:

By now you can see how critical it is to apply the overall strategy of uncovering the employer’s needs before you answer questions. If you know the employer’s greatest needs and desires, this question will give you a big leg up over other candidates because you will give him better reasons for hiring you than anyone else is likely to…reasons tied directly to his needs.

Whether your interviewer asks you this question explicitly or not, this is the most important question of your interview because he must answer this question favorably in is own mind before you will be hired. So help him out! Walk through each of the position’s requirements as you understand them, and follow each with a reason why you meet that requirement so well.

Example: “As I understand your needs, you are first and foremost looking for someone who can manage the sales and marketing of your book publishing division. As you’ve said you need someone with a strong background in trade book sales. This is where I’ve spent almost all of my career, so I’ve chalked up 18 years of experience exactly in this area. I believe that I know the right contacts, methods, principles, and successful management techniques as well as any person can in our industry.”

“You also need someone who can expand your book distribution channels. In my prior post, my innovative promotional ideas doubled, then tripled, the number of outlets selling our books. I’m confident I can do the same for you.”

“You need someone to give a new shot in the arm to your mail order sales, someone who knows how to sell in space and direct mail media. Here, too, I believe I have exactly the experience you need. In the last five years, I’ve increased our mail order book sales from $600,000 to $2,800,000, and now we’re the country’s second leading marketer of scientific and medical books by mail.” Etc., etc., etc.,

Every one of these selling “couplets” (his need matched by your qualifications) is a touchdown that runs up your score. IT is your best opportunity to outsell your competition.

8. Aren’t you overqualified for this position?

TRAPS:

The employer may be concerned that you’ll grow dissatisfied and leave.

BEST ANSWER:

As with any objection, don’t view this as a sign of imminent defeat. It’s an invitation to teach the interviewer a new way to think about this situation, seeing advantages instead of drawbacks.

Example: “I recognize the job market for what it is – a marketplace. Like any marketplace, it’s subject to the laws of supply and demand. So ‘overqualified’ can be a relative term, depending on how tight the job market is. And right now, it’s very tight. I understand and accept that.”

“I also believe that there could be very positive benefits for both of us in this match.”

“Because of my unusually strong experience in ________________ , I could start to contribute right away, perhaps much faster than someone who’d have to be brought along more slowly.”

“There’s also the value of all the training and years of experience that other companies have invested tens of thousands of dollars to give me. You’d be getting all the value of that without having to pay an extra dime for it. With someone who has yet to acquire that experience, he’d have to gain it on your nickel.”

“I could also help you in many things they don’t teach at the Harvard Business School. For example…(how to hire, train, motivate, etc.) When it comes to knowing how to work well with people and getting the most out of them, there’s just no substitute for what you learn over many years of front-line experience. You company would gain all this, too.”

“From my side, there are strong benefits, as well. Right now, I am unemployed. I want to work, very much, and the position you have here is exactly what I love to do and am best at. I’ll be happy doing this work and that’s what matters most to me, a lot more that money or title.”

“Most important, I’m looking to make a long term commitment in my career now. I’ve had enough of job-hunting and want a permanent spot at this point in my career. I also know that if I perform this job with excellence, other opportunities cannot help but open up for me right here. In time, I’ll find many other ways to help this company and in so doing, help myself. I really am looking to make a long-term commitment.”

NOTE: The main concern behind the “overqualified” question is that you will leave your new employer as soon as something better comes your way. Anything you can say to demonstrate the sincerity of your commitment to the employer and reassure him that you’re looking to stay for the long-term will help you overcome this objection.

9. Where do you see yourself five years from now?

TRAPS:

One reason interviewers ask this question is to see if you’re settling for this position, using it merely as a stopover until something better comes along. Or they could be trying to gauge your level of ambition. If you’re too specific, i.e., naming the promotions you someday hope to win, you’ll sound presumptuous. If you’re too vague, you’ll seem rudderless.

BEST ANSWER:

Reassure your interviewer that you’re looking to make a long-term commitment…that this position entails exactly what you’re looking to do and what you do extremely well. As for your future, you believe that if you perform each job at hand with excellence, future opportunities will take care of themselves.

Example: “I am definitely interested in making a long-term commitment to my next position. Judging by what you’ve told me about this position, it’s exactly what I’m looking for and what I am very well qualified to do. In terms of my future career path, I’m confident that if I do my work with excellence, opportunities will inevitable open up for me. It’s always been that way in my career, and I’m confident I’ll have similar opportunities here.”

10. Describe your ideal company, location and job.

TRAPS:

This is often asked by an experienced interviewer who thinks you may be overqualified, but knows better than to show his hand by posing his objection directly. So he’ll use this question instead, which often gets a candidate to reveal that, indeed, he or she is looking for something other than the position at hand.

BEST ANSWER:

The only right answer is to describe what this company is offering, being sure to make your answer believable with specific reasons, stated with sincerity, why each quality represented by this opportunity is attractive to you.

Remember that if you’re coming from a company that’s the leader in its field or from a glamorous or much admired company, industry, city or position, your interviewer and his company may well have an “Avis” complex. That is, they may feel a bit defensive about being “second best” to the place you’re coming from, worried that you may consider them bush league.

This anxiety could well be there even though you’ve done nothing to inspire it. You must go out of your way to assuage such anxiety, even if it’s not expressed, by putting their virtues high on the list of exactly what you’re looking for, providing credible reason for wanting these qualities.

If you do not express genuine enthusiasm for the firm, its culture, location, industry, etc., you may fail to answer this “Avis” complex objection and, as a result, leave the interviewer suspecting that a hot shot like you, coming from a Fortune 500 company in New York, just wouldn’t be happy at an unknown manufacturer based in Topeka, Kansas.

11. Why do you want to work at our company?

TRAPS:

This question tests whether you’ve done any homework about the firm. If you haven’t, you lose. If you have, you win big.

BEST ANSWER:

This question is your opportunity to hit the ball out of the park, thanks to the in-depth research you should do before any interview.

Best sources for researching your target company: annual reports, the corporate newsletter, contacts you know at the company or its suppliers, advertisements, articles about the company in the trade press.

12. What are your career options right now?

TRAPS:

The interviewer is trying to find out, “How desperate are you?”

BEST ANSWER:

Prepare for this question by thinking of how you can position yourself as a desired commodity. If you are still working, describe the possibilities at your present firm and why, though you’re greatly appreciated there, you’re looking for something more (challenge, money, responsibility, etc.). Also mention that you’re seriously exploring opportunities with one or two other firms.

If you’re not working, you can talk about other employment possibilities you’re actually exploring. But do this with a light touch, speaking only in general terms. You don’t want to seem manipulative or coy.

13. Why have you been out of work so long?

TRAPS:

A tough question if you’ve been on the beach a long time. You don’t want to seem like damaged goods.

BEST ANSWER:

You want to emphasize factors which have prolonged your job search by your own choice.

Example: “After my job was terminated, I made a conscious decision not to jump on the first opportunities to come along. In my life, I’ve found out that you can always turn a negative into a positive IF you try hard enough. This is what I determined to do. I decided to take whatever time I needed to think through what I do best, what I most want to do, where I’d like to do it…and then identify those companies that could offer such an opportunity.”

“Also, in all honesty, you have to factor in the recession (consolidation, stabilization, etc.) in the (banking, financial services, manufacturing, advertising, etc.) industry.”

“So between my being selective and the companies in our industry downsizing, the process has taken time. But in the end, I’m convinced that when I do find the right match, all that careful evaluation from both sides of the desk will have been well worthwhile for both the company that hires me and myself.

14. Tell me honestly about the strong points and weak points of your boss (company, management team, etc.)…

TRAPS:

Skillfull interviewers sometimes make it almost irresistible to open up and air a little dirty laundry from your previous position. DON’T

BEST ANSWER:

Remember the rule: Never be negative. Stress only the good points, no matter how charmingly you’re invited to be critical.

Your interviewer doesn’t care a whit about your previous boss. He wants to find out how loyal and positive you are, and whether you’ll criticize him behind his back if pressed to do so by someone in this own company. This question is your opportunity to demonstrate your loyalty to those you work with.

15. What good books have you read lately?

TRAPS:

As in all matters of your interview, never fake familiarity you don’t have. Yet you don’t want to seem like a dullard who hasn’t read a book since Tom Sawyer.

BEST ANSWER:

Unless you’re up for a position in academia or as book critic for The New York Times, you’re not expected to be a literary lion. But it wouldn’t hurt to have read a handful of the most recent and influential books in your profession and on management.

Consider it part of the work of your job search to read up on a few of these leading books. But make sure they are quality books that reflect favorably upon you, nothing that could even remotely be considered superficial. Finally, add a recently published bestselling work of fiction by a world-class author and you’ll pass this question with flying colors.

16. Tell me about a situation when your work was criticized.

TRAPS:

This is a tough question because it’s a more clever and subtle way to get you to admit to a weakness. You can’t dodge it by pretending you’ve never been criticized. Everybody has been. Yet it can be quite damaging to start admitting potential faults and failures that you’d just as soon leave buried.

This question is also intended to probe how well you accept criticism and direction.

BEST ANSWER:

Begin by emphasizing the extremely positive feedback you’ve gotten throughout your career and (if it’s true) that your performance reviews have been uniformly excellent.

Of course, no one is perfect and you always welcome suggestions on how to improve your performance. Then, give an example of a not-too-damaging learning experience from early in your career and relate the ways this lesson has since helped you. This demonstrates that you learned from the experience and the lesson is now one of the strongest breastplates in your suit of armor.

If you are pressed for a criticism from a recent position, choose something fairly trivial that in no way is essential to your successful performance. Add that you’ve learned from this, too, and over the past several years/months, it’s no longer an area of concern because you now make it a regular practice to…etc.

Another way to answer this question would be to describe your intention to broaden your master of an area of growing importance in your field. For example, this might be a computer program you’ve been meaning to sit down and learn… a new management technique you’ve read about…or perhaps attending a seminar on some cutting-edge branch of your profession.

Again, the key is to focus on something not essential to your brilliant performance but which adds yet another dimension to your already impressive knowledge base.

17. What are your outside interests?

TRAPS:

You want to be a well-rounded, not a drone. But your potential employer would be even more turned off if he suspects that your heavy extracurricular load will interfere with your commitment to your work duties.

BEST ANSWER:

Try to gauge how this company’s culture would look upon your favorite outside activities and be guided accordingly.

You can also use this question to shatter any stereotypes that could limit your chances. If you’re over 50, for example, describe your activities that demonstrate physical stamina. If you’re young, mention an activity that connotes wisdom and institutional trust, such as serving on the board of a popular charity.

But above all, remember that your employer is hiring your for what you can do for him, not your family, yourself or outside organizations, no matter how admirable those activities may be.

18. The “Fatal Flaw” question

TRAPS:

If an interviewer has read your resume carefully, he may try to zero in on a “fatal flaw” of your candidacy, perhaps that you don’t have a college degree…you’ve been out of the job market for some time…you never earned your CPA, etc.

A fatal flaw question can be deadly, but usually only if you respond by being overly defensive.

BEST ANSWER:

As every master salesperson knows, you will encounter objections (whether stated or merely thought) in every sale. They’re part and parcel of the buyer’s anxiety. The key is not to exacerbate the buyer’s anxiety but diminish it. Here’s how…

Whenever you come up against a fatal flaw question:

* Be completely honest, open and straightforward about admitting the shortcoming. (Showing you have nothing to hide diminishes the buyer’s anxiety.)

* Do not apologize or try to explain it away. You know that this supposed flaw is nothing to be concerned about, and this is the attitude you want your interviewer to adopt as well.

* Add that as desirable as such a qualification might be, its lack has made you work all the harder throughout your career and has not prevented you from compiling an outstanding tack record of achievements. You might even give examples of how, through a relentless commitment to excellence, you have consistently outperformed those who do have this qualification.

Of course, the ultimate way to handle “fatal flaw” questions is to prevent them from arising in the first place. You will do that by following the master strategy described in Question 1, i.e., uncovering the employers needs and them matching your qualifications to those needs.

Once you’ve gotten the employer to start talking about his most urgently-felt wants and goals for the position, and then help him see in step-by-step fashion how perfectly your background and achievements match up with those needs, you’re going to have one very enthusiastic interviewer on your hands, one who is no longer looking for “fatal flaws”.

19. How do you feel about reporting to a younger person (minority, woman, etc)?

TRAPS:

It’s a shame that some interviewers feel the need to ask this question, but many understand the reality that prejudices still exist among some job candidates, and it’s better to try to flush them out beforehand.

The trap here is that in today’s politically sensitized environment, even a well-intentioned answer can result in planting your foot neatly in your mouth. Avoid anything which smacks of a patronizing or an insensitive attitude, such as “I think they make terrific bosses” or “Hey, some of my best friends are…”

Of course, since almost anyone with an IQ above room temperature will at least try to steadfastly affirm the right answer here, your interviewer will be judging your sincerity most of all. “Do you really feel that way?” is what he or she will be wondering.

So you must make your answer believable and not just automatic. If the firm is wise enough to have promoted peopled on the basis of ability alone, they’re likely quite proud of it, and prefer to hire others who will wholeheartedly share their strong sense of fair play.

BEST ANSWER:

You greatly admire a company that hires and promotes on merit alone and you couldn’t agree more with that philosophy. The age (gender, race, etc.) of the person you report to would certainly make no difference to you.

Whoever has that position has obviously earned it and knows their job well. Both the person and the position are fully deserving of respect. You believe that all people in a company, from the receptionist to the Chairman, work best when their abilities, efforts and feelings are respected and rewarded fairly, and that includes you. That’s the best type of work environment you can hope to find.

20. On confidential matters…

TRAPS:

When an interviewer presses you to reveal confidential information about a present or former employer, you may feel it’s a no-win situation. If you cooperate, you could be judged untrustworthy. If you don’t, you may irritate the interviewer and seem obstinate, uncooperative or overly suspicious.

BEST ANSWER:

Your interviewer may press you for this information for two reasons.

First, many companies use interviews to research the competition. It’s a perfect set-up. Here in their own lair, is an insider from the enemy camp who can reveal prized information on the competition’s plans, research, financial condition, etc.

Second, the company may be testing your integrity to see if you can be cajoled or bullied into revealing confidential data.

What to do? The answer here is easy. Never reveal anything truly confidential about a present or former employer. By all means, explain your reticence diplomatically. For example, “I certainly want to be as open as I can about that. But I also wish to respect the rights of those who have trusted me with their most sensitive information, just as you would hope to be able to trust any of your key people when talking with a competitor…”

And certainly you can allude to your finest achievements in specific ways that don’t reveal the combination to the company safe.

But be guided by the golden rule. If you were the owner of your present company, would you feel it ethically wrong for the information to be given to your competitors? If so, steadfastly refuse to reveal it.

Remember that this question pits your desire to be cooperative against your integrity. Faced with any such choice, always choose integrity. It is a far more valuable commodity than whatever information the company may pry from you. Moreover, once you surrender the information, your stock goes down. They will surely lose respect for you.

One President we know always presses candidates unmercifully for confidential information. If he doesn’t get it, he grows visibly annoyed, relentlessly inquisitive, It’s all an act. He couldn’t care less about the information. This is his way of testing the candidate’s moral fiber. Only those who hold fast are hired.

21. Would you lie for the company?

TRAPS:

This another question that pits two values against one another, in this case loyalty against integrity.

BEST ANSWER:

Try to avoid choosing between two values, giving a positive statement which covers all bases instead.

Example: “I would never do anything to hurt the company..”

If aggressively pressed to choose between two competing values, always choose personal integrity. It is the most prized of all values.

22. Looking back, what would you do differently in your life?

TRAPS:

This question is usually asked to uncover any life-influencing mistakes, regrets, disappointments or problems that may continue to affect your personality and performance.

You do not want to give the interviewer anything negative to remember you by, such as some great personal or career disappointment, even long ago, that you wish could have been avoided.

Nor do you wish to give any answer which may hint that your whole heart and soul will not be in your work.

BEST ANSWER:

Indicate that you are a happy, fulfilled, optimistic person and that, in general, you wouldn’t change a thing.

Example: “It’s been a good life, rich in learning and experience, and the best it yet to come. Every experience in life is a lesson it its own way. I wouldn’t change a thing.”

23. Could you have done better in your last job?

TRAPS:

This is no time for true confessions of major or even minor problems.

BEST ANSWER:

Again never be negative.

Example: “I suppose with the benefit of hindsight you can always find things to do better, of course, but off the top of my head, I can’t think of anything of major consequence.”

(If more explanation seems necessary)
Describer a situation that didn’t suffer because of you but from external conditions beyond your control.

For example, describe the disappointment you felt with a test campaign, new product launch, merger, etc., which looked promising at first, but led to underwhelming results. “I wish we could have known at the start what we later found out (about the economy turning, the marketplace changing, etc.), but since we couldn’t, we just had to go for it. And we did learn from it…”

24. Can you work under pressure?

TRAPS:

An easy question, but you want to make your answer believable.

BEST ANSWER:

Absolutely…(then prove it with a vivid example or two of a goal or project accomplished under severe pressure.)

25. What makes you angry?

TRAPS:

You don’t want to come across either as a hothead or a wimp.

BEST ANSWER:

Give an answer that’s suited to both your personality and the management style of the firm. Here, the homework you’ve done about the company and its style can help in your choice of words.

Examples: If you are a reserved person and/or the corporate culture is coolly professional:

“I’m an even-tempered and positive person by nature, and I believe this helps me a great deal in keeping my department running smoothly, harmoniously and with a genuine esprit de corps. I believe in communicating clearly what’s expected, getting people’s commitment to those goals, and then following up continuously to check progress.”

“If anyone or anything is going off track, I want to know about it early. If, after that kind of open communication and follow up, someone isn’t getting the job done, I’ll want to know why. If there’s no good reason, then I’ll get impatient and angry…and take appropriate steps from there. But if you hire good people, motivate them to strive for excellence and then follow up constantly, it almost never gets to that state.”

If you are feisty by nature and/or the position calls for a tough straw boss.

“You know what makes me angry? People who (the fill in the blanks with the most objectionable traits for this type of position)…people who don’t pull their own weight, who are negative, people who lie…etc.”

26. Why aren’t you earning more money at this stage of your career?

TRAPS:

You don’t want to give the impression that money is not important to you, yet you want to explain why your salary may be a little below industry standards.

BEST ANSWER:

You like to make money, but other factors are even more important.

Example: “Making money is very important to me, and one reason I’m here is because I’m looking to make more. Throughout my career, what’s been even more important to me is doing work I really like to do at the kind of company I like and respect.

(Then be prepared to be specific about what your ideal position and company would be like, matching them as closely as possible to the opportunity at hand.

27. Who has inspired you in your life and why?

TRAPS:

The two traps here are unpreparedness and irrelevance. If you grope for an answer, it seems you’ve never been inspired. If you ramble about your high school basketball coach, you’ve wasted an opportunity to present qualities of great value to the company.

BEST ANSWER:

Have a few heroes in mind, from your mental “Board of Directors” – Leaders in your industry, from history or anyone else who has been your mentor.

Be prepared to give examples of how their words, actions or teachings have helped inspire your achievements. As always, prepare an answer which highlights qualities that would be highly valuable in the position you are seeking.

28. What was the toughest decision you ever had to make?

TRAPS:

Giving an unprepared or irrelevant answer.

BEST ANSWER:

Be prepared with a good example, explaining why the decision was difficult…the process you followed in reaching it…the courageous or effective way you carried it out…and the beneficial results.

29. Tell me about the most boring job you’ve ever had.

TRAPS:

You give a very memorable description of a very boring job. Result? You become associated with this boring job in the interviewer’s mind.

BEST ANSWER:

You have never allowed yourself to grow bored with a job and you can’t understand it when others let themselves fall into that rut.

Example: “Perhaps I’ve been fortunate, but that I’ve never found myself bored with any job I have ever held. I’ve always enjoyed hard work. As with actors who feel there are no small parts, I also believe that in every company or department there are exciting challenges and intriguing problems crying out for energetic and enthusiastic solutions. If you’re bored, it’s probably because you’re not challenging yourself to tackle those problems right under your nose.”

30. Have you been absent from work more than a few days in any previous position?

TRAPS:

If you’ve had a problem, you can’t lie. You could easily be found out. Yet admitting an attendance problem could raise many flags.

BEST ANSWER:

If you have had no problem, emphasize your excellent and consistent attendance record throughout your career.

Also describe how important you believe such consistent attendance is for a key executive…why it’s up to you to set an example of dedication…and why there’s just no substitute for being there with your people to keep the operation running smoothly, answer questions and handle problems and crises as they arise.

If you do have a past attendance problem, you want to minimize it, making it clear that it was an exceptional circumstance and that it’s cause has been corrected.

To do this, give the same answer as above but preface it with something like, “Other that being out last year (or whenever) because of (your reason, which is now in the past), I have never had a problem and have enjoyed an excellent attendance record throughout my career. Furthermore, I believe, consistent attendance is important because…” (Pick up the rest of the answer as outlined above.).

31. What changes would you make if you came on board?

TRAPS:

Watch out! This question can derail your candidacy faster than a bomb on the tracks – and just as you are about to be hired.

Reason: No matter how bright you are, you cannot know the right actions to take in a position before you settle in and get to know the operation’s strengths, weaknesses key people, financial condition, methods of operation, etc. If you lunge at this temptingly baited question, you will probably be seen as someone who shoots from the hip.

Moreover, no matter how comfortable you may feel with your interviewer, you are still an outsider. No one, including your interviewer, likes to think that a know-it-all outsider is going to come in, turn the place upside down and with sweeping, grand gestures, promptly demonstrate what jerks everybody’s been for years.

BEST ANSWER:

You, of course, will want to take a good hard look at everything the company is doing before making any recommendations.

Example: “Well, I wouldn’t be a very good doctor if I gave my diagnosis before the examination. Should you hire me, as I hope you will, I’d want to take a good hard look at everything you’re doing and understand why it’s being done that way. I’d like to have in-depth meetings with you and the other key people to get a deeper grasp of what you feel you’re doing right and what could be improved.

“From what you’ve told me so far, the areas of greatest concern to you are…” (name them. Then do two things. First, ask if these are in fact his major concerns. If so then reaffirm how your experience in meeting similar needs elsewhere might prove very helpful).

32. I’m concerned that you don’t have as much experience as we’d like in…

TRAPS:

This could be a make-or-break question. The interviewer mostly likes what he sees, but has doubts over one key area. If you can assure him on this point, the job may be yours.

BEST ANSWER:

This question is related to “The Fatal Flaw” (Question 18), but here the concern is not that you are totally missing some qualifications, such as CPA certification, but rather that your experience is light in one area.

Before going into any interview, try to identify the weakest aspects of your candidacy from this company’s point of view. Then prepare the best answer you possible can to shore up your defenses.

To get past this question with flying colors, you are going to rely on your master strategy of uncovering the employer’s greatest wants and needs and then matching them with your strengths. Since you already know how to do this from Question 1, you are in a much stronger position.

More specifically, when the interviewer poses as objection like this, you should…

* Agree on the importance of this qualification.

* Explain that your strength may be indeed be greater than your resume indicates because…

* When this strength is added to your other strengths, it’s really your combination of qualifications that’s most important.

Then review the areas of your greatest strengths that match up most favorably with the company’s most urgently-felt wants and needs.

This is powerful way to handle this question for two reasons. First, you’re giving your interviewer more ammunition in the area of his concern. But more importantly, you’re shifting his focus away from this one, isolated area and putting it on the unique combination of strengths you offer, strengths which tie in perfectly with his greatest wants.

33. How do you feel about working nights and weekends?

TRAPS:

Blurt out “no way, Jose” and you can kiss the job offer goodbye. But what if you have a family and want to work a reasonably normal schedule? Is there a way to get both the job and the schedule you want?

BEST ANSWER:

First, if you’re a confirmed workaholic, this question is a softball lob. Whack it out of the park on the first swing by saying this kind of schedule is just your style. Add that your family understands it. Indeed, they’re happy for you, as they know you get your greatest satisfaction from your work.

If however, you prefer a more balanced lifestyle, answer this question with another: “What’s the norm for your best people here?”

If the hours still sound unrealistic for you, ask, “Do you have any top people who perform exceptionally for you, but who also have families and like to get home in time to see them at night?” Chances are this company does, and this associates you with this other “top-performers-who-leave-not-later-than-six” group.

Depending on the answer, be honest about how you would fit into the picture. If all those extra hours make you uncomfortable, say so, but phrase your response positively.

Example: “I love my work and do it exceptionally well. I think the results speak for themselves, especially in …(mention your two or three qualifications of greater interest to the employer. Remember, this is what he wants most, not a workaholic with weak credentials). Not only would I bring these qualities, but I’ve built my whole career on working not just hard, but smart. I think you’ll find me one of the most productive people here.

I do have a family who likes to see me after work and on weekends. They add balance and richness to my life, which in turn helps me be happy and productive at work. If I could handle some of the extra work at home in the evenings or on weekends, that would be ideal. You’d be getting a person of exceptional productivity who meets your needs with strong credentials. And I’d be able to handle some of the heavy workload at home where I can be under the same roof as my family. Everybody would win.”

34. Are you willing to relocate or travel?

TRAPS:

Answer with a flat “no” and you may slam the door shut on this opportunity. But what if you’d really prefer not to relocate or travel, yet wouldn’t want to lose the job offer over it?

BEST ANSWER:

First find out where you may have to relocate and how much travel may be involved. Then respond to the question.

If there’s no problem, say so enthusiastically.

If you do have a reservation, there are two schools of thought on how to handle it.

One advises you to keep your options open and your reservations to yourself in the early going, by saying, “no problem”. You strategy here is to get the best offer you can, then make a judgment whether it’s worth it to you to relocate or travel.

Also, by the time the offer comes through, you may have other offers and can make a more informed decision. Why kill of this opportunity before it has chance to blossom into something really special? And if you’re a little more desperate three months from now, you might wish you hadn’t slammed the door on relocating or traveling.

The second way to handle this question is to voice a reservation, but assert that you’d be open to relocating (or traveling) for the right opportunity.

The answering strategy you choose depends on how eager you are for the job. If you want to take no chances, choose the first approach.

If you want to play a little harder-to-get in hopes of generating a more enticing offer, choose the second.

35. Do you have the stomach to fire people? Have you had experience firing many people?

TRAPS:

This “innocent” question could be a trap door which sends you down a chute and lands you in a heap of dust outside the front door. Why? Because its real intent is not just to see if you’ve got the stomach to fire, but also to uncover poor judgment in hiring which has caused you to fire so many. Also, if you fire so often, you could be a tyrant.

So don’t rise to the bait by boasting how many you’ve fired, unless you’ve prepared to explain why it was beyond your control, and not the result of your poor hiring procedures or foul temperament.

BEST ANSWER:

Describe the rational and sensible management process you follow in both hiring and firing.

Example: “My whole management approach is to hire the best people I can find, train them thoroughly and well, get them excited and proud to be part of our team, and then work with them to achieve our goals together. If you do all of that right, especially hiring the right people, I’ve found you don’t have to fire very often.

“So with me, firing is a last resort. But when it’s got to be done, it’s got to be done, and the faster and cleaner, the better. A poor employee can wreak terrible damage in undermining the morale of an entire team of good people. When there’s no other way, I’ve found it’s better for all concerned to act decisively in getting rid of offenders who won’t change their ways.”

36. Why have you had so many jobs?

TRAPS:

Your interviewer fears you may leave this position quickly, as you have others. He’s concerned you may be unstable, or a “problem person” who can’t get along with others.

BEST ANSWER:

First, before you even get to the interview stage, you should try to minimize your image as job hopper. If there are several entries on your resume of less than one year, consider eliminating the less important ones. Perhaps you can specify the time you spent at previous positions in rounded years not in months and years.

Example: Instead of showing three positions this way:

6/1982 – 3/1983, Position A;
4/1983 – 12/1983, Position B;
1/1984 – 8/1987, Position C;

…it would be better to show simply:

1982 – 1983, Position A;
1984 – 1987 Position C.

In other words, you would drop Position B altogether. Notice what a difference this makes in reducing your image as a job hopper.

Once in front of the interviewer and this question comes up, you must try to reassure him. Describe each position as part of an overall pattern of growth and career destination.

Be careful not to blame other people for your frequent changes. But you can and should attribute certain changes to conditions beyond your control.

Example: Thanks to an upcoming merger, you wanted to avoid an ensuing bloodbath, so you made a good, upward career move before your department came under the axe of the new owners.

If possible, also show that your job changes were more frequent in your younger days, while you were establishing yourself, rounding out your skills and looking for the right career path. At this stage in your career, you’re certainly much more interested in the best long-term opportunity.

You might also cite the job(s) where you stayed the longest and describe that this type of situation is what you’re looking for now.

37. What do you see as the proper role/mission of…
…a good (job title you’re seeking);
…a good manager;
…an executive in serving the community;
…a leading company in our industry; etc.

TRAPS:

These and other “proper role” questions are designed to test your understanding of your place in the bigger picture of your department, company, community and profession….as well as the proper role each of these entities should play in its bigger picture.

The question is most frequently asked by the most thoughtful individuals and companies…or by those concerned that you’re coming from a place with a radically different corporate culture (such as from a big government bureaucracy to an aggressive small company).

The most frequent mistake executives make in answering is simply not being prepared (seeming as if they’ve never giving any of this a though.)…or in phrasing an answer best suited to their prior organization’s culture instead of the hiring company’s.

BEST ANSWER:

Think of the most essential ingredients of success for each category above – your job title, your role as manager, your firm’s role, etc.

Identify at least three but no more than six qualities you feel are most important to success in each role. Then commit your response to memory.

Here, again, the more information you’ve already drawn out about the greatest wants and needs of the interviewer, and the more homework you’ve done to identify the culture of the firm, the more on-target your answer will be.

38. What would you say to your boss if he’s crazy about an idea, but you think it stinks?

TRAPS:

This is another question that pits two values, in this case loyalty and honesty, against one another.

BEST ANSWER:

Remember the rule stated earlier: In any conflict between values, always choose integrity.

Example: I believe that when evaluating anything, it’s important to emphasize the positive. What do I like about this idea?”

“Then, if you have reservations, I certainly want to point them out, as specifically, objectively and factually as I can.”

“After all, the most important thing I owe my boss is honesty. If he can’t count on me for that, then everything else I may do or say could be questionable in his eyes.”

“But I also want to express my thoughts in a constructive way. So my goal in this case would be to see if my boss and I could make his idea even stronger and more appealing, so that it effectively overcomes any initial reservation I or others may have about it.”

“Of course, if he overrules me and says, ‘no, let’s do it my way,’ then I owe him my full and enthusiastic support to make it work as best it can.”

39. How could you have improved your career progress?

TRAPS:

This is another variation on the question, “If you could, how would you live your life over?” Remember, you’re not going to fall for any such invitations to rewrite person history. You can’t win if you do.

BEST ANSWER:

You’re generally quite happy with your career progress. Maybe, if you had known something earlier in life (impossible to know at the time, such as the booming growth in a branch in your industry…or the corporate downsizing that would phase out your last job), you might have moved in a certain direction sooner.

But all things considered, you take responsibility for where you are, how you’ve gotten there, where you are going…and you harbor no regrets.

40. What would you do if a fellow executive on your own corporate level wasn’t pulling his/her weight…and this was hurting your department?

TRAPS:

This question and other hypothetical ones test your sense of human relations and how you might handle office politics.

BEST ANSWER:

Try to gauge the political style of the firm and be guided accordingly. In general, fall back on universal principles of effective human relations – which in the end, embody the way you would like to be treated in a similar circumstance.

Example: “Good human relations would call for me to go directly to the person and explain the situation, to try to enlist his help in a constructive, positive solution. If I sensed resistance, I would be as persuasive as I know how to explain the benefits we can all gain from working together, and the problems we, the company and our customers will experience if we don’t.”

40.1 POSSIBLE FOLLOW-UP QUESTION: And what would you do if he still did not change his ways?

ANSWER:

“One thing I wouldn’t do is let the problem slide, because it would only get worse and overlooking it would set a bad precedent. I would try again and again and again, in whatever way I could, to solve the problem, involving wider and wider circles of people, both above and below the offending executive and including my own boss if necessary, so that everyone involved can see the rewards for teamwork and the drawbacks of non-cooperation.”

“I might add that I’ve never yet come across a situation that couldn’t be resolved by harnessing others in a determined, constructive effort.”

41. You’ve been with your firm a long time. Won’t it be hard switching to a new company?

TRAPS:

Your interviewer is worried that this old dog will find it hard to learn new tricks.

BEST ANSWER:

To overcome this objection, you must point to the many ways you have grown and adapted to changing conditions at your present firm. It has not been a static situation. Highlight the different responsibilities you’ve held, the wide array of new situations you’ve faced and conquered.

As a result, you’ve learned to adapt quickly to whatever is thrown at you, and you thrive on the stimulation of new challenges.

To further assure the interviewer, describe the similarities between the new position and your prior one. Explain that you should be quite comfortable working there, since their needs and your skills make a perfect match.

42. May I contact your present employer for a reference?

TRAPS:

If you’re trying to keep your job search private, this is the last thing you want. But if you don’t cooperate, won’t you seem as if you’re trying to hide something?

BEST ANSWER:

Express your concern that you’d like to keep your job search private, but that in time, it will be perfectly okay.

Example: “My present employer is not aware of my job search and, for obvious reasons; I’d prefer to keep it that way. I’d be most appreciative if we kept our discussion confidential right now. Of course, when we both agree the time is right, then by all means you should contact them. I’m very proud of my record there.

43. Give me an example of your creativity (analytical skill…managing ability, etc.)

TRAPS:

The worst offense here is simply being unprepared. Your hesitation may seem as if you’re having a hard time remembering the last time you were creative, analytical, etc.

BEST ANSWER:

Remember from Question 2 that you should commit to memory a list of your greatest and most recent achievements, ever ready on the tip of your tongue.

If you have such a list, it’s easy to present any of your achievements in light of the quality the interviewer is asking about. For example, the smashing success you orchestrated at last year’s trade show could be used as an example of creativity, or analytical ability, or your ability to manage.

44. Where could you use some improvement?

TRAPS:

Another tricky way to get you to admit weaknesses. Don’t fall for it.

BEST ANSWER:

Keep this answer, like all your answers, positive. A good way to answer this question is to identify a cutting-edge branch of your profession (one that’s not essential to your employer’s needs) as an area you’re very excited about and want to explore more fully over the next six months.

45. What do you worry about?

TRAPS:

Admit to worrying and you could sound like a loser. Saying you never worry doesn’t sound credible.

BEST ANSWER:

Redefine the word ‘worry’ so that it does not reflect negatively on you.

Example: “I wouldn’t call it worry, but I am a strongly goal-oriented person. So I keep turning over in my mind anything that seems to be keeping me from achieving those goals, until I find a solution. That’s part of my tenacity, I suppose.”

46. How many hours a week do you normally work?

TRAPS:

You don’t want to give a specific number. Make it to low, and you may not measure up. Too high, and you’ll forever feel guilty about sneaking out the door at 5:15.

BEST ANSWER:

If you are in fact a workaholic and you sense this company would like that: Say you are a confirmed workaholic, that you often work nights and weekends. Your family accepts this because it makes you fulfilled.

If you are not a workaholic: Say you have always worked hard and put in long hours. It goes with the territory. It one sense, it’s hard to keep track of the hours because your work is a labor of love, you enjoy nothing more than solving problems. So you’re almost always thinking about your work, including times when you’re home, while shaving in the morning, while commuting, etc.

47. What’s the most difficult part of being a (job title)?

TRAPS:

Unless you phrase your answer properly, your interviewer may conclude that whatever you identify as “difficult” is where you are weak.

BEST ANSWER:

First, redefine “difficult” to be “challenging” which is more positive. Then, identify an area everyone in your profession considers challenging and in which you excel. Describe the process you follow that enables you to get splendid results…and be specific about those results.

Example: “I think every sales manager finds it challenging to motivate the troops in a recession. But that’s probably the strongest test of a top sales manager. I feel this is one area where I excel.”

“When I see the first sign that sales may slip or that sales force motivation is flagging because of a downturn in the economy, here’s the plan I put into action immediately…” (followed by a description of each step in the process…and most importantly, the exceptional results you’ve achieved.).

48. The “Hypothetical Problem”

TRAPS:

Sometimes an interviewer will describe a difficult situation and ask, “How would you handle this?” Since it is virtually impossible to have all the facts in front of you from such a short presentation, don’t fall into the trap of trying to solve this problem and giving your verdict on the spot. It will make your decision-making process seem woefully inadequate.

BEST ANSWER:

Instead, describe the rational, methodical process you would follow in analyzing this problem, who you would consult with, generating possible solutions, choosing the best course of action, and monitoring the results.

Remember, in all such, “What would you do?” questions, always describe your process or working methods, and you’ll never go wrong.

49. What was the toughest challenge you’ve ever faced?

TRAPS:

Being unprepared or citing an example from so early in your life that it doesn’t score many points for you at this stage of your career.

BEST ANSWER:

This is an easy question if you’re prepared. Have a recent example ready that demonstrates either:

* A quality most important to the job at hand; or

* A quality that is always in demand, such as leadership, initiative, managerial skill, persuasiveness, courage, persistence, intelligence, etc.

50. Have you consider starting your own business?

TRAPS:

If you say “yes” and elaborate enthusiastically, you could be perceived as a loose cannon in a larger company, too entrepreneurial to make a good team player…or someone who had to settle for the corporate life because you couldn’t make a go of your own business.

Also too much enthusiasm in answering “yes” could rouse the paranoia of a small company indicating that you may plan to go out on your own soon, perhaps taking some key accounts or trade secrets with you.

On the other hand, if you answer “no, never” you could be perceived as a security-minded drone who never dreamed a big dream.

BEST ANSWER:Again it’s best to:

* Gauge this company’s corporate culture before answering and…

* Be honest (which doesn’t mean you have to vividly share your fantasy of the franchise or bed-and-breakfast you someday plan to open).

In general, if the corporate culture is that of a large, formal, military-style structure, minimize any indication that you’d love to have your own business. You might say, “Oh, I may have given it a thought once or twice, but my whole career has been in larger organizations. That’s where I have excelled and where I want to be.”

If the corporate culture is closer to the free-wheeling, everybody’s-a-deal-maker variety, then emphasize that in a firm like this, you can virtually get the best of all worlds, the excitement of seeing your own ideas and plans take shape…combined with the resources and stability of a well-established organization. Sounds like the perfect environment to you.

In any case, no matter what the corporate culture, be sure to indicate that any desires about running your own show are part of your past, not your present or future.

The last thing you want to project is an image of either a dreamer who failed and is now settling for the corporate cocoon…or the restless maverick who will fly out the door with key accounts, contacts and trade secrets under his arms just as soon as his bankroll has gotten rebuilt.

Always remember: Match what you want with what the position offers. The more information you’ve uncovered about the position, the more believable you can make your case.

51. What are your goals?

TRAPS:

Not having any…or having only vague generalities, not highly specific goals.

BEST ANSWER:

Many executives in a position to hire you are strong believers in goal-setting. (It’s one of the reason they’ve achieved so much). They like to hire in kind.

If you’re vague about your career and personal goals, it could be a big turnoff to may people you will encounter in your job search.

Be ready to discuss your goals for each major area of your life: career, personal development and learning, family, physical (health), community service and (if your interviewer is clearly a religious person) you could briefly and generally allude to your spiritual goals (showing you are a well-rounded individual with your values in the right order).

Be prepared to describe each goal in terms of specific milestones you wish to accomplish along the way, time periods you’re allotting for accomplishment, why the goal is important to you, and the specific steps you’re taking to bring it about. But do this concisely, as you never want to talk more than two minutes straight before letting your interviewer back into the conversation.

52. What do you for when you hire people?

TRAPS:

Being unprepared for the question.

BEST ANSWER:

Speak your own thoughts here, but for the best answer weave them around the three most important qualifications for any position.

* Can the person do the work (qualifications)?

* Will the person do the work (motivation)?

* Will the person fit in (“our kind of team player”)?

53. Sell me this stapler…(this pencil…this clock…or some other object on interviewer’s desk).

TRAPS:

Some interviewers, especially business owners and hard-changing executives in marketing-driven companies, feel that good salesmanship is essential for any key position and ask for an instant demonstration of your skill. Be ready.

BEST ANSWER:

Of course, you already know the most important secret of all great salesmanship – “find out what people want, then show them how to get it.”

If your interviewer picks up his stapler and asks, “sell this to me,” you are going to demonstrate this proven master principle. Here’s how:

“Well, a good salesman must know both his product and his prospect before he sells anything. If I were selling this, I’d first get to know everything I could about it, all its features and benefits.”

“Then, if my goal were to sell it you, I would do some research on how you might use a fine stapler like this. The best way to do that is by asking some questions. May I ask you a few questions?”

Then ask a few questions such as, “Just out of curiosity, if you didn’t already have a stapler like this, why would you want one? And in addition to that? Any other reason? Anything else?”

“And would you want such a stapler to be reliable?…Hold a good supply of staples?” (Ask more questions that point to the features this stapler has.)

Once you’ve asked these questions, make your presentation citing all the features and benefits of this stapler and why it’s exactly what the interviewer just told you he’s looking for.

Then close with, “Just out of curiosity, what would you consider a reasonable price for a quality stapler like this…a stapler you could have right now and would (then repeat all the problems the stapler would solve for him)? Whatever he says, (unless it’s zero), say, “Okay, we’ve got a deal.”

NOTE: If your interviewer tests you by fighting every step of the way, denying that he even wants such an item, don’t fight him. Take the product away from him by saying, “Mr. Prospect, I’m delighted you’ve told me right upfront that there’s no way you’d ever want this stapler. As you well know, the first rule of the most productive salespeople in any field is to meet the needs of people who really need and want our products, and it just wastes everyone’s time if we try to force it on those who don’t. And I certainly wouldn’t want to waste your time. But we sell many items. Is there any product on this desk you would very much like to own…just one item?” When he points something out, repeat the process above. If he knows anything about selling, he may give you a standing ovation.

54. “The Salary Question” – How much money do you want?

TRAPS:

May also be phrases as, “What salary are you worth?”…or, “How much are you making now?” This is your most important negotiation. Handle it wrong and you can blow the job offer or go to work at far less than you might have gotten.

BEST ANSWER:

For maximum salary negotiating power, remember these five guidelines:

* Never bring up salary. Let the interviewer do it first. Good salespeople sell their products thoroughly before talking price. So should you. Make the interviewer want you first, and your bargaining position will be much stronger.

* If your interviewer raises the salary question too early, before you’ve had a chance to create desire for your qualifications, postpone the question, saying something like, “Money is important to me, but is not my main concern. Opportunity and growth are far more important. What I’d rather do, if you don’t mind, is explore if I’m right for the position, and then talk about money. Would that be okay?”

* The #1 rule of any negotiation is: the side with more information wins. After you’ve done a thorough job of selling the interviewer and it’s time to talk salary, the secret is to get the employer talking about what he’s willing to pay before you reveal what you’re willing to accept. So, when asked about salary, respond by asking, “I’m sure the company has already established a salary range for this position. Could you tell me what that is?” Or, “I want an income commensurate with my ability and qualifications. I trust you’ll be fair with me. What does the position pay?” Or, more simply, “What does this position pay?”

* Know beforehand what you’d accept. To know what’s reasonable, research the job market and this position for any relevant salary information. Remember that most executives look for a 20-25%$ pay boost when they switch jobs. If you’re grossly underpaid, you may want more.

* Never lie about what you currently make, but feel free to include the estimated cost of all your fringes, which could well tack on 25-50% more to your present “cash-only” salary.

55. The Illegal Question

TRAPS:

Illegal questions include any regarding your age…number and ages of your children or other dependents…marital status…maiden name…religion…political affiliation…ancestry…national origin…birthplace…naturalization of your parents, spouse or children…diseases…disabilities…clubs…or spouse’s occupation…unless any of the above are directly related to your performance of the job. You can’t even be asked about arrests, though you can be asked about convictions.

BEST ANSWER:

Under the ever-present threat of lawsuits, most interviewers are well aware of these taboos. Yet you may encounter, usually on a second or third interview, a senior executive who doesn’t interview much and forgets he can’t ask such questions.

You can handle an illegal question in several ways. First, you can assert your legal right not to answer. But this will frighten or embarrass your interviewer and destroy any rapport you had.

Second, you could swallow your concerns over privacy and answer the question straight forwardly if you feel the answer could help you. For example, your interviewer, a devout Baptist, recognizes you from church and mentions it. Here, you could gain by talking about your church.

Third, if you don’t want your privacy invaded, you can diplomatically answer the concern behind the question without answering the question itself.

Example: If you are over 50 and are asked, “How old are you?” you can answer with a friendly, smiling question of your own on whether there’s a concern that your age my affect your performance. Follow this up by reassuring the interviewer that there’s nothing in this job you can’t do and, in fact, your age and experience are the most important advantages you offer the employer for the following reasons…

Another example: If asked, “Do you plan to have children?” you could answer, “I am wholeheartedly dedicated to my career“, perhaps adding, “I have no plans regarding children.” (You needn’t fear you’ve pledged eternal childlessness. You have every right to change your plans later. Get the job first and then enjoy all your options.)

Most importantly, remember that illegal questions arise from fear that you won’t perform well. The best answer of all is to get the job and perform brilliantly. All concerns and fears will then varnish, replaced by respect and appreciation for your work.

56. The “Secret” Illegal Question

TRAPS:

Much more frequent than the Illegal question (see Question 55) is the secret illegal question. It’s secret because it’s asked only in the interviewer’s mind. Since it’s not even expressed to you, you have no way to respond to it, and it can there be most damaging.

Example: You’re physically challenged, or a single mother returning to your professional career, or over 50, or a member of an ethnic minority, or fit any of a dozen other categories that do not strictly conform to the majority in a given company.

Your interviewer wonders, “Is this person really able to handle the job?”…”Is he or she a ‘good fit’ at a place like ours?”…”Will the chemistry ever be right with someone like this?” But the interviewer never raises such questions because they’re illegal. So what can you do?

BEST ANSWER:

Remember that just because the interviewer doesn’t ask an illegal question doesn’t mean he doesn’t have it. More than likely, he is going to come up with his own answer. So you might as well help him out.

How? Well, you obviously can’t respond to an illegal question if he hasn’t even asked. This may well offend him. And there’s always the chance he wasn’t even concerned about the issue until you brought it up, and only then begins to wonder.

So you can’t address “secret” illegal questions head-on. But what you can do is make sure there’s enough counterbalancing information to more than reassure him that there’s no problem in the area he may be doubtful about.

For example, let’s say you’re a sales rep who had polio as a child and you need a cane to walk. You know your condition has never impeded your performance, yet you’re concerned that your interviewer may secretly be wondering about your stamina or ability to travel. Well, make sure that you hit these abilities very hard, leaving no doubt about your capacity to handle them well.

So, too, if you’re in any different from what passes for “normal”. Make sure, without in any way seeming defensive about yourself that you mention strengths, accomplishments, preferences and affiliations that strongly counterbalance any unspoken concern your interviewer may have.

57. What was the toughest part of your last job?

TRAPS:

This is slightly different from the question raised earlier, “What’s the most difficult part of being a (job title…)” because this asks what you personally have found most difficult in your last position. This question is more difficult to redefine into something positive. Your interviewer will assume that whatever you found toughest may give you a problem in your new position.

BEST ANSWER:

State that there was nothing in your prior position that you found overly difficult, and let your answer go at that. If pressed to expand your answer, you could describe the aspects of the position you enjoyed more than others, making sure that you express maximum enjoyment for those tasks most important to the open position, and you enjoyed least those tasks that are unimportant to the position at hand.

58. How do you define success…and how do you measure up to your own definition?

TRAPS:

Seems like an obvious enough question. Yet many executives, unprepared for it, fumble the ball.

BEST ANSWER:

Give a well-accepted definition of success that leads right into your own stellar collection of achievements.

Example: “The best definition I’ve come across is that success is the progressive realization of a worthy goal.”

“As to how I would measure up to that definition, I would consider myself both successful and fortunate…”(Then summarize your career goals and how your achievements have indeed represented a progressive path toward realization of your goals.)

59. “The Opinion Question” – What do you think about …Abortion…The President…The Death Penalty…(or any other controversial subject)?

TRAPS:

Obviously, these and other “opinion” questions should never be asked. Sometimes they come up over a combination dinner/interview when the interviewer has had a drink or two, is feeling relaxed, and is spouting off about something that bugged him in today’s news. If you give your opinion and it’s the opposite of his, you won’t change his opinions, but you could easily lose the job offer.

BEST ANSWER:

In all of these instances, just remember the tale about student and the wise old rabbi. The scene is a seminary, where an overly serious student is pressing the rabbi to answer the ultimate questions of suffering, life and death. But no matter how hard he presses, the wise old rabbi will only answer each difficult question with a question of his own.

In exasperation, the seminary student demands, “Why, rabbi, do you always answer a question with another question?” To which the rabbi responds, “And why not?”

If you are ever uncomfortable with any question, asking a question in return is the greatest escape hatch ever invented. It throws the onus back on the other person, sidetracks the discussion from going into an area of risk to you, and gives you time to think of your answer or, even better, your next question!

In response to any of the “opinion” questions cited above, merely responding, “Why do you ask?” will usually be enough to dissipate any pressure to give your opinion. But if your interviewer again presses you for an opinion, you can ask another question.

Or you could assert a generality that almost everyone would agree with. For example, if your interviewer is complaining about politicians then suddenly turns to you and asks if you’re a Republican or Democrat, you could respond by saying, “Actually, I’m finding it hard to find any politicians I like these days.”

(Of course, your best question of all may be whether you want to work for someone opinionated.)

60. If you won $10 million lottery, would you still work?

TRAPS:

Your totally honest response might be, “Hell, no, are you serious?” That might be so, but any answer which shows you as fleeing work if given the chance could make you seem lazy. On the other hand, if you answer, “Oh, I’d want to keep doing exactly what I am doing, only doing it for your firm,” you could easily inspire your interviewer to silently mutter to himself, “Yeah, sure. Gimme a break.”

BEST ANSWER:

This type of question is aimed at getting at your bedrock attitude about work and how you feel about what you do. Your best answer will focus on your positive feelings.

Example: “After I floated down from cloud nine, I think I would still hold my basic belief that achievement and purposeful work are essential to a happy, productive life. After all, if money alone bought happiness, then all rich people would be all happy, and that’s not true.

“I love the work I do, and I think I’d always want to be involved in my career in some fashion. Winning the lottery would make it more fun because it would mean having more flexibility, more options…who knows?”

“Of course, since I can’t count on winning, I’d just as soon create my own destiny by sticking with what’s worked for me, meaning good old reliable hard work and a desire to achieve. I think those qualities have built many more fortunes that all the lotteries put together.”

61. Looking back on your last position, have you done your best work?

TRAPS:

Tricky question. Answer “absolutely” and it can seem like your best work is behind you. Answer, “no, my best work is ahead of me,” and it can seem as if you didn’t give it your all.

BEST ANSWER:

To cover both possible paths this question can take, your answer should state that you always try to do your best, and the best of your career is right now. Like an athlete at the top of his game, you are just hitting your career stride thanks to several factors. Then, recap those factors, highlighting your strongest qualifications.

62. Why should I hire you from the outside when I could promote someone from within?

TRAPS:

This question isn’t as aggressive as it sounds. It represents the interviewer’s own dilemma over this common problem. He’s probably leaning toward you already and for reassurance, wants to hear what you have to say on the matter.

BEST ANSWER:

Help him see the qualifications that only you can offer.

Example: “In general, I think it’s a good policy to hire from within – to look outside probably means you’re not completely comfortable choosing someone from inside.

“Naturally, you want this department to be as strong as it possibly can be, so you want the strongest candidate. I feel that I can fill that bill because…(then recap your strongest qualifications that match up with his greatest needs).”

63. Tell me something negative you’ve heard about our company…

TRAPS:

This is a common fishing expedition to see what the industry grapevine may be saying about the company. But it’s also a trap because as an outsider, you never want to be the bearer of unflattering news or gossip about the firm. It can only hurt your chances and sidetrack the interviewer from getting sold on you.

BEST ANSWER:

Just remember the rule – never be negative – and you’ll handle this one just fine.

64. On a scale of one to ten, rate me as an interviewer.

TRAPS:

Give a perfect “10,” and you’ll seem too easy to please. Give anything less than a perfect 10, and he could press you as to where you’re being critical, and that road leads downhill for you.

BEST ANSWER:

Once again, never be negative. The interviewer will only resent criticism coming from you. This is the time to show your positivism.

However, don’t give a numerical rating. Simply praise whatever interview style he’s been using.

If he’s been tough, say “You have been thorough and tough-minded, the very qualities needed to conduct a good interview.”

If he’s been methodical, say, “You have been very methodical and analytical, and I’m sure that approach results in excellent hires for your firm.”

In other words, pay him a sincere compliment that he can believe because it’s anchored in the behavior you’ve just seen.

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2 comments - What do you think?
Posted by Hrformats - April 5, 2012 at 9:47 AM

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