Email: khs@hartek.com

Mailing Address: Director (HR), F-321, Industrial Area, Phase 8B, Mohali, Punjab

• The envelope should be superscribed “Protected Disclosure under the Whistle Blower Policy”. If the envelope is not superscribed and closed, it may not be possible to protect the identity of the person disclosing this Policy, and the complaint will be dealt with as per the normal complaint policy of the organisation.
• The complainant should give his/her name and address at the beginning or end of the complaint or in an attached letter. Any particulars about the Name, Address, etc., which may disclose the identity of the complainant, shall not be mentioned on the envelope.
• No action on the complaint shall be initiated in case the identity of the complainant is found to be false or incorrect.
• Anonymous/pseudonymous complaints will not be entertained
• If a Protected Disclosure is received by any executive of the Company, the same should be handed over/ forwarded to Director (HR) without opening the letter/envelope.
• Matters concerning financial/accounting shall be forwarded to the Director (F&A) by Director (HR). All other complaints should be handled by Director (HR). .
• Appropriate care must be taken to keep the identity of the Whistle-blower confidential
• Protected Disclosures should be reported in writing so as to ensure a clear understanding of the issues raised and should either be typed or written in a legible handwriting in English or in the regional language of the place of employment of the Whistle-blower
• Protected Disclosures should be factual and should contain as much specific information as possible to allow for proper assessment of the nature and extent of the concern and the urgency of a preliminary investigative procedure.
• In order to protect the identity of the Subject, Company will not issue any acknowledgement and the whistle-blowers are advised not to enter into any further correspondence with the Company in their own interest.
• Company assures that, subject to the facts of the case being verifiable, it will take necessary action, as provided in the Policy. If any clarification is required, Company will get in touch with the complainant.
• Whistle blower should refrain from sending reminder or seeking further development/ action taken regarding disclosure made by him so as to protect his/her identity.
• The Whistle Blower shall also declare that he/she has not made any complaint on the same subject matter to any outside Authority / Agency or under any other available mechanism provided by the Company. Company may decide not to investigate or take another considered view if the complainant has already approached other agency.

5.4 Disqualification of Complaint

• An employee who knowingly makes false allegations under this Policy shall be subject to disciplinary action and will not be protected under the Whistle Blower Policy. Any abuse of this protection will warrant disciplinary action.
• Protection under this Policy would not mean protection from disciplinary action arising out of false or bogus allegations made by a Whistle-blower knowing it to be false or bogus or with a mala-fide intention.
• Whistle-blowers who make Protected Disclosures on a regular basis which ave been subsequently found to be frivolous, baseless, malicious and having mala-fide intention or reported otherwise than in good faith will be cautioned from reporting further Protected Disclosures under this Policy. In respect of such Whistle-blowers, the Company would reserve its right to take/recommend appropriate disciplinary action.

5.5 Preliminary Investigation

• A preliminary investigation shall be carried out to ascertain that
  the alleged act constitutes a Wrong-Doing
  the allegation is substantiated enough for an investigation to be conducted by a committee
  either the allegation is supported by information specific enough to be investigated or otherwise, matters that do not meet this standard.
• The genuineness and significance of the Protected Disclosure shall be ascertained by the Director (HR)
• In case the Director (HR) is satisfied with the genuineness and significance of the Protected Disclosure, then the company will proceed to investigate the same.
• In case the Director (HR) is not satisfied with the genuineness and significance of the Protected Disclosure for reasons in writing, then the complaint can be disposed of without any investigation.

5.6 Investigation

• Once the preliminary investigation is completed, Protected Disclosures reported under this Policy will be thoroughly investigated by the Committee constituted by the Board/Management of the Company. Committee shall have minimum one and maximum three members depending upon the severity and urgency of matter. If need be, Director (HR) may seek opinion of CMD and one or all the Board members for the formation of Committee.
• Any member of the Committee should not have conflict of interest in the given case.
• In cases where it is not essential to constitute a Committee, Director (HR) can complete the investigation with the available information and further questioning the accused employee, if required. Director (HR) can recommend its decision to the Board/Management.
• The Committee may at its discretion, consider involving any external investigators for technical, legal and complex issues for the purpose of investigation. This shall require concurrence from Director (HR) in consultation with the Board/Mnaagement of the Company.
• The decision to conduct an investigation taken by the Committee is by itself not an accusation and is to be treated as a normal fact-finding process. The outcome of the investigation may not support or may not specifically align with the conclusion of the Whistle-blower.
• The identity of the Subject (the alleged accused) will be kept confidential to the extent possible given the legitimate needs of law and the policies.
• Subject will normally be informed of the allegations at the right stage, generally at the outset of a formal investigation and will have opportunities for providing their inputs or defence during the investigation. Details of the complaint may not be shared to maintain certain level of confidentiality.
• Subject shall have a duty to co-operate with the Committee or any of the internal / external investigators.
• Subject has a responsibility not to interfere with the investigation. Evidence shall not be withheld, destroyed or tampered with and witnesses shall not be influenced, coached, threatened or intimidated by them.
• Unless there are compelling reasons not to do so, the Subject will be given the opportunity to respond to material findings contained in an investigation report. No allegation of wrongdoing against a Subject shall be considered as maintainable unless there is good evidence in support of the allegation
• Subject has a right to be informed of the outcome of the investigation. If allegations are not sustained, the Subject should not continue to be treated with any suspicion or with any indifference.
• The investigation shall be completed within two to fifteen days after receipt of the Protected Disclosure. Full details and clarifications of the complaint will be obtained.
• If an investigation leads to the conclusion that a Wrong-doing has been committed, the Committee shall report its findings to the Board through Director (HR) and will recommend suitable action to the Management/Board. However, the Management/Board shall not be bound by such recommendation
• The Company may choose to initiate criminal action against the Subject as part of the disciplinary action. The Company will ensure that any internal investigation does not hinder a formal police investigation
• Any additional time taken to investigate the concern will depend on the complexity of the issues involved.

5.7 Protection of Whistle-Blower

• No unfair treatment will be meted out to a Whistle-blower by virtue of his/her having reported a Protected Disclosure under this Policy.
• The Company, as a policy, condemns any kind of discrimination, harassment or victimization or any other unfair employment practice being adopted against Whistle-blowers. Adequate safeguards to the complainant(s) shall be provided against:
  Unfair employment practices like retaliation, threat or intimidation of termination, suspension of services or contracts, etc.
  Direct or indirect abuse of authority to obstruct the Complainant's right to continue performance of his/ her duties/functions during routine daily operations, including making further Protected Disclosures under this Policy.
• The Company will consider steps to minimize difficulties which the Whistleblower may experience as a result of making the Protected Disclosure,including any legal expenses required to indemnify the whistle-blower.
• If the Whistle-blower is required to give evidence in criminal or disciplinary proceedings, the Company will arrange for the Whistle-blower to receive advice about the procedure, etc.
• The identity of the Whistle-blower shall be kept confidential to the extent possible and permitted under law. Whistle-blowers are cautioned that their identity may become known for reasons outside the control of the Investigating Committee (e.g. during investigations carried out by external Investigators etc.).
• Any other employee assisting in the said investigation shall also be protected to the same extent as the Whistle-blower.
• Confidentiality: The Company shall treat all such disclosures confidentially and sensitively. The identity of the individual making the allegation shall be kept confidential.

5.8 Investigator’s Role

• Hartek mandates that Investigators are required to conduct a process towards fact-finding and analysis and will exercise their authority for specific access rights to data / information / property / buildings, etc. from the Board when acting within the scope of their investigation.
• Technical and other resources may be drawn upon as necessary to augment the investigation. All Investigators shall be independent and unbiased both in fact and as with perceived notions. Investigators have a duty of fairness, objectivity, thoroughness, ethical behaviour and observance of legal and professional standards.
• Head of Committee will submit its report covering all appropriate details to the extent that helps in establishing the facts leading to decision making.

5.9 Other Points to Be Considered

• If an investigation is led by the Committee to conclude that an improper unethical act has been committed, the Committee shall recommend to the management of the Company to take such disciplinary or corrective action as they deem fit
• It is clarified that any disciplinary or corrective action initiated against the Subject as a result of the findings of an investigation shall adhere to the applicable disciplinary procedures.

5.10 Deviation from Policy

• Any Deviation to this policy has to be approved by Board thru Director (HR). Any changes to the policy have to be approved by Legal and Compliance.

5.11 Retention of Documents

• All Protected Disclosures in writing shall be documented along with the results of investigation relating thereto, shall be retained as per applicable laws.

5.12 Amendment and Conflict

• Any subsequent amendment/modification in the applicable laws shall automatically apply to this Policy. The Board has the right to amend or modify this Policy in whole or in part, at any time without assigning any reason whatsoever.
• No such amendment or modification will be binding on the Employees and Directors unless the same is notified to them in writing. In the event of conflict between this Policy and any applicable laws, applicable laws shall prevail.