The EQI தி ஈக்யூஐ

Foreword from Sam Halford, MD

Welcome to the sixth edition of the EQI.

In this edition, apart from the usual team

updates, I thought it would be useful to advise

you on the progress we have made during the

last 6 months against our Business Plan. You

should all have had previous sight of the Plan as

it was widely circulated at the beginning of the

year. It is of very high importance that all staff

have complete awareness of all the objectives

for 2015 and understand their role in achieving

our deliverables.

Progress has been very good and I would like to thank everyone for their support. Still more to do,

but a great start.

Very shortly, we will commence the planning process for 2016 and again everyone will be engaged.

In 2016, we will continue to build scale with a target offshore employee base of 700 plus employees.

This was one of the reasons we took the decision to acquire additional office space. We will also look

to expand the services we provide from Chennai and ensure we have the necessary high level of

skills to deliver quality and optimum performance in both IT and BPO service areas.

Sam H

Monthly news from across Equiniti India

EQI - Business Plan for 2015

EQI’s Commitment to CSR

Welcoming Ex-employees Rejoining EQI and New Employees

June Award Winners

IT News

Health & Safety Initiatives

HR Update

People Services Update

Operations Update

Marketing and Sales Support Update

Information Security Update

Training Update

Sports Committee

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EQI - Business Plan for 2015

Equiniti India manages its overall plan and strategy in the form of a business plan. This business plan

is also aligned to the Group’s corporate objectives and plan. During the beginning of the year, we

had cascaded the business plan to all the staff of Equiniti India and the Business plan of the Group

was presented to all staff by our COO this year. At a strategic level, all our actions and efforts steer

Equiniti India towards accomplishing our Business plan. Our people being the most important

stakeholder of the business plan, it is very imperative for us to keep you updated on progress we

have made so far. We hope this update helps you to recollect our business plan and appreciate what

we have done so far and understand the road ahead for the rest of the year.

S.No Focus Area Plan Progress made so far..

1 Growth 35% year on year growth in seats. It has been a good year of growth with an achievement of 28.74% so far and we are confident to exceed the plan for the year.

2 Growth Support emerging platforms, technologies and products in IT.

We have started performing device testing using iPads and Mobile App testing for Pensions business unit. This will be grown as a competency centre supporting across business unit. Competency on AX platform software development has commenced.

3 Growth Identify opportunities in Indian mainland in service provision and / or acquisition.

A new role of Head of Marketing and Sales Support has been created in Equiniti India and Sriram Rajaraman has been appointed to take the plan forward.

S.No Focus Area Plan Progress made so far..

4 People Multi skill BPO and IT staff. BPO •23% of the staff are cross trained in one new activity other than their core activity • 6% of the staff are cross trained in two new activities other than their core activity • 3% of staff are cross trained in more than three new activities other than their core activity • 1% of staff are cross trained in more than four new activities other than their core activity IT Staff who are working in legacy technologies are being planned to be cross trained in Technologies that are being widely used in the Group.

5 People Career progression plan for staff. Career grade structure is being created for all staff working in Equiniti India and will be implemented in Oct’15.

6 People Introduce banding. Banding structure has been created and is being planned for rollout across all divisions in EQI.

7 People Work life balance. Monitoring of staff working hours and work load has been established as a process to ensure adherence to 8 hours of work per day. 10 days of mandatory leave for all staff in EQI has been planned and tracked for the year which allows staff to plan and avail their annual leave. Overtime work is very strictly monitored and decisions are taken to avoid work beyond standard working hours analysing reasons such as capacity constraints, spike in forecast volume, learning curve of team and staff attrition.

S.No Focus Area Plan Progress made so far..

8 People Succession plan for key resources and single point of failure.

Key resources and single point of failure are identified and succession plans are put in place and tracked to logical closure.

9 People Performance based reward and recognition.

The culture of performance based reward and recognition has been instilled in EQI. Monthly awards in the form of Icon awards, Employee of the month and Team of the month are being given to deserving performers every month. Performance is a key criteria for career progression, annual pay rise and performance bonus for all staff in EQI.

10 People Commercial awareness as a culture in line with One Equiniti business objectives and strategy.

Commercial awareness and thinking

has been one of the key culture that

is being developed in EQI.

Monitoring and analysing EQI budget

across various cost elements and

business units at monthly intervals

has been established as a process.

Planning for 2016 budget has already

began with more ownership and

accountability for every Head of

Department.

The procurement policy and process

has been streamlined to make sure

that adequate cost analysis is done

for every business case and

procurement.

Vendor consolidation and evaluation

of vendor performance have been

made as standard process.

Commercial thinking to leverage and

optimize the existing office

accommodation has been nurtured

as a culture for the management

team and we have already started to

experience the results.

S.No Focus Area Plan Progress made so far..

11 Performance All client KPIs running in green. This has been the top most performance criteria for EQI and we have been consistently achieving and have made this as the default and minimum expected performance standard now.

12 Performance Financials – Always within budget.

Commercial awareness as a culture backed by robust processes and governance has resulted in EQI managing financials always within budget.

13 Performance Minimal operational loss. Operational loss was minimal during the

period with an amount of £1,117.37

14 Performance Measure and ensure client satisfaction.

A robust governance mechanism has been established to engage with our Clients. Service delivery is measured against agreed KPIs and reported at daily / weekly / monthly intervals. We have not received any significant adverse feedback or concern from our client so far. We have also planned to conduct periodical formal client satisfaction surveys to measure client satisfaction.

15 Performance Measure and ensure employee satisfaction.

Formal employee satisfaction surveys are being conducted across EQI and the results are encouraging with no major concern.

16 Performance Meeting transition milestones. EQI works in a collaborative manner with onshore stakeholders to arrive at the transition plan and we have been able to achieve transition milestones consistently. Successful delivery of two large offshore transition projects – Bravo and Novo during the last year has helped to establish best practices in transition.

S.No Focus Area Plan Progress made so far..

17 Systems Prepare EQI service catalogue. Service catalogue detailing the IT and BPO Services has been prepared and published. Upon completion of the transition of People Services, service catalogue for People Services will be prepared and published.

18 Systems Setup a Training Academy for EQI.

A full-time training manager role has been created and hired to create the EQI Training Academy. The process has already began and is underway.

19 Systems Implement Bradford factor. Bradford factor has been implemented in EQI and there has been no major concern or adverse trend in absenteeism.

20 Systems Creating a banding structure for EQI staff.

Banding of all staff has been progressed and the communication to staff has been planned.

21 Systems Design and implement skills matrix.

The skill database has been created for all EQI staff in the form of skills matrix. The competency of staff is tracked and updated in the skills matrix.

22 Systems Develop marketing framework and approach for India.

The newly appointed Head of Marketing and Sales support for EQI has begun the process of developing the marketing framework for India.

EQI’s Commitment to CSR

Continuing our CSR commitment, Equiniti India

presented a cheque of Fifty Thousand rupees to ‘The

Pemanda Monappa Scholarship in Cambridge

University’ which supports scholars annually by the

scholarship until completion of their postgraduate

studies at Cambridge. It is expected that after their

course of study at Cambridge University, the students

will return to India to serve their country.

In addition to the scholarship support, the charity is also

engaged in helping the children of poor fishermen families to participate in English language

trainings.

Post our visit to the Shalom Foundation, we also sent

through stationaries for children as an Education Aid.

We also received a thank you note from the children and

the home.

Welcoming Ex-employees Rejoining EQI and New Employees

Ex-employees

We are delighted to see the return of Kavitha Ramaraj who had been

previously with us for 10 years supporting and developing systems for

the ASD team of Equiniti ICS. Kavitha had become frustrated with her

previous role and decided to leave the Company and seek new

opportunities elsewhere. She is back with us after accepting the

opportunity to be involved in developing and supporting Microsoft

Dynamics AX. Kavitha states:

”I feel extremely blissful and I would like to express my sincere thanks

to our Managing Director, Mr. Sam Halford and other Management staff for offering me the new

role in Dynamics AX. I am all geared up and motivated to perform the best in this new role”

We are pleased to have Vishnupriya Santhanam rejoining us after a

10 months break. Vishnupriya had previously showcased her skills

and experience in Accounting Product-ASD – QA team. Fascinated by

the work culture here, the people here and seamless work-life

balance, she had taken the decision to take up the opportunity to be

a part of the ECB – QA team as a Senior Test Engineer. Vishnupriya

states:

“Working at Equiniti is like being with family; it doesn’t ever feel like

‘work’!

I would like to convey my sincere thanks to the Management for giving me this opportunity and I

look forward to be associated with Equiniti for many more years!!”

It is great to provide new development opportunities to staff that have shown loyal commitment to

the company.

New Employees

(June and July, 2015)

We are so excited to welcome our new employees to the Equiniti group. We believe that you can

use your skills and talent in making our company reach new heights.

People Services:

Subhayu Sen has joined EQI PeopleServices as a part of

Learning & Development Services, one of the recent additions

in the service offering from EQI PeopleServices.

Suravi Sarkar joined as Team Leader- Recruitment Services.

IT:

Kiran Sumermal Jain joined as a Senior Software

Engineer to the AX team.

Rakesh Nandhakumar joined as a Test Engineer.

Ranjith Kumar Sivagnanam joined as Team

Lead- MVC.

Karthick Viswanathan joined as Senior Software

Engineer- MVC.

Operations:

Following are the Process Executives who have joined the Operations for various processes:

Arun Karthick T, Swapnil Sandipan Mali,

Saranya Devi, Prithi Shalini, Kavipriya

Rajasekaran, Ponmozhi Masilamani,

Archana Paneer Selvam, Karunakumar K,

Ramalakshmi Subramaniam, Sheik Abdul

Kadar, Anand Raj Ramanathan, Dinesh

Kesavan Sivakumar, Paul Fredrick P,

Elakkiya Dhamodhiran, Muhammedali

Shihab, Ramya Manogaran, Shaziya Banu

and Balaji Babu.

Welcome Aboard!!!

June Award Winners

Team of the Month (Operations) - Central Reconciliations Team

Team Information

We are a team of 10 which includes 1 SME and a Team Leader. We are proud to receive the

Team of the Month award for the second time consecutively.

TEAM (Together Everyone Achieves More) work is the secret formula behind this

achievement. Every member of the team understands and demonstrates their work

responsibility in an effective manner. During the month of June, we were able to achieve an

efficiency of 111.84% and quality of 99.99%. We have set a high benchmark for ourselves by

consistently maintaining a Quality of 99.9% & above, and till date we do not have any

complaints or breaches. We are now striving hard and focusing more in achieving the 100%

in Quality – which we believe it will be reality in near future.

Employee of the Month

Operations

Sivakumar Mohan joined Equiniti India as a Process

Executive in April 2014. He had taken intensive training and

has tremendous knowledge on all the 4 transaction

processes. He is a consistent performer and has been

demonstrating it from the time he joined Equiniti. He is a

great team player and leads by example.

He rendered great support for the Transfers & LI team’s success. He started performing

SME’s role since June 2014. For his dedication and commitment, he got promoted as an SME

in June 2015. He is truly an asset to the team.

Icon of the Month

Operations

Malarvizhi Mani has been a consistent performer in ROD and overall in Estates in terms of

productivity and quality. Owing to her dedication, punctuality and passion for the work she

does, she indeed deserves the Icon award. She is also promoted to the next level of ROD

Referral and is doing a great job there as well.

Maheshwaran Dhanasekaran has shown constant improvement and commitment in NOD

and is now doing a great job in Productivity and Quality. Encouraging his promptness and his

zeal to grow, he has been awarded the Icon of the Month.

• People Services

Jenitha Shwethambari has won ICON Award for redefining the Attrition Methodology

for India and creating EQI attrition analysis.

IT News

Equiniti India Pensions (Compendia) team visited the

UK, Southerland house office in Crawley to attend

training & workshops. The team successfully

demonstrated the framework for CUIT test

automation and baseline of the test automation for

Compendia touch.

The Development team started working on

Compendia Touch workflows, coordinating with the

offshore team. The external consultant from Test

House assessed the test automation framework and

has given a positive feedback for the same.

With good knowledge on ALM (DSDM Atern principle), the team has started on Non-functional

testing training using MS Web and Load test.

As an initial phase, the team has started working on the proof of concepts for the upcoming

additional development (Umbraco CMS integration with RWD).

The Onshore team is happy with the performance of the Development team and has planned to

involve the entire team for subsequent iterations; thereby making Chennai the hub for digital device

testing. The team procured Nexus Tab, iPad Mini, iPhone, Touch laptops and Android mobile devices

for testing in addition to TPA enhancements for RWD.

This is a good demonstration of excellent effort from each one of the team members.

Health & Safety Initiatives

Equiniti India health and safety committee has recently completed a general Health & Safety Risk Assessment of overall premises and corrective measures have been taken accordingly.

A defensive driver training program has been organised by the Admin department in order to minimise risks and improve driver’s emergency control skills.

Equiniti India health and safety committee has been recently initiated a daily food testing process to ensure that the food is safe and it does not contain any harmful contaminants. To undertake this analysis, it is usually necessary for a portion of it to be taken (e.g. a small quantity from a full production batch,) – this process is known as food sampling.

Fire system / equipment’s testing process has been completed as per schedule and

found everything is working in a normal condition.

Lost and found report – 19 items have been handed over to the users.

The team has handled 116 complaints and has resolved all of them.

HR Update

Business Code of conduct

The Equiniti Conduct of Business Policy sets out

our requirements and ensures we meet those

set by the various bodies, including the Financial

Conduct Authority (FCA) and regulators from

other jurisdictions where they apply.

Principles & Requirements

Following requirements are listed as prescribed under the policy of

Code of Business conduct, It includes Integrity, Skill, care and

diligence, Management and control, Financial prudence, Market

conduct, Customers' interests, Communications with clients,

Conflicts of interest, Customers: relationships of trust, Clients'

assets, Relations with regulators & Employee Behaviours.

Further listed requirements are just a few relevant to Equiniti India from the Group Policy on

Business conduct.

• Act with honesty at all times whilst being sensitive to

the needs and feelings of others.

• Do not incentivise others, financially or otherwise, to

behave inappropriately

• Maintain confidentiality where appropriate or

required

• Speak out where there is a suspicion of fraud or

undesirable practice

• Never mislead - provide accurate, fair, balanced, timely and

understandable information

• Comply with the laws, rules and regulations of the relevant

authorities and jurisdictions

• Ensure adequate reporting for regulatory and audit

purposes including independent auditing and an audit

committee

• Be aware of the impact of Market Abuse on the Group

• Ensure suspicious transactions are escalated and reported promptly

• Treat all customers fairly having regard to their personal/business circumstances

• Consider the views of our customers and design products to

meet the genuine needs of targeted customers

• Encourage customers to inform us at the earliest opportunity

if they feel that they have been treated unfairly or if things go

wrong and do your best to put things right quickly and

effectively whilst treating customers as responsible for their

own actions provided we have acted in accordance with the

above points

• Delete customer data which is inaccurate immediately. Where the customer relationship has

terminated, delete customer data in accordance with legal requirements

• Ensure that information received in the course of business dealings will not be used for personal

gain or any purpose except that for which it is given. Ensure that your personal or financial interests

do not contravene company policy on conflicts of interest.

• Treat others as you would like to be treated.

• Respect the individual and seek to provide job satisfaction.

• Do not tolerate harassment and victimisation on any grounds.

Further details of these behaviours and explanations as to what they mean are available on the

Intranet or from HR.

The code of business conduct is to ensure that Equiniti Group staff (including agency staff &

contractors) act with the following principles in their dealings with each other, customers, suppliers,

shareholders, the community, competitors and regulators to ensure the fair treatment of customers,

the development of productive and satisfying relationships, to reduce the risks of customer

disadvantage, legal liability, regulatory censure and damage to the Group’s reputation and

commercial interests.

HR Surgery

Any questions on HR Policies or procedures e.g, Leave, Payroll

query..et.,

Meet us the HR surgery on 28th of Aug 2015, please take prior

appointments for the same.

For queries on Payroll, contact Philip For your leaves and other ER related ones, contact Andrew Please approach Jacintha for any Suggestions or Questions.

People Services Update

Signification milestone achieved in July:

UK Recruitment Services Go Live 20th July

India Recruitment Services movement to PeopleServices 1st week of July

1st Recruitment drive under PeopleServices conducted on 1st August with response

rate of 20% shortlisting out of 125 walk-ins.

Recruitment Services @ PeopleServices:

The role of the Recruitment Services team will be to support and advice on recruiting

internal and external vacancies including practical guidance on how to use the iCams

recruitment system through to advice and support on shortlisting, assessment options and

selection as well as supporting a robust on-boarding process. Key activities performed by

Recruitment Services (UK):

Direct sourcing and talent pipelining

Identification of effective routes to market

Applicant sifting

Telephone interviewing and screening

ICAMS technical support

Operations Update

We had another great month of performance during the month of June ‘15. Across all the

transactions managed in India team were able to meet all the KPI and exceed in some

instances as well. Against the forecast of 288,699 transactions, team had complete around

333,768 transactions which are around 16% more than the forecast. The reason for this

variance was due to high inflow of volume in the queue and team had to complete around

769 hours of extra work to generate extra capacity.

Cross Training and Training

There is a great focus by the team on training and strengthening the cross skilling with in the

team to increase efficiency and also to build a very flexible team to manage the volume

fluctuations.

Across the month of June ’15, team have completed around 869 hours of training which

includes new trainings as well as cross trainings.

Presently in operations, we have around 30% of the overall team cross trained in atleast one

new activity apart from core skill they were trained.

21% of the staff are cross trained in one new activity other than there core activity

6% of the staff are cross trained in two new activities other than there core activity

4% of staff are cross trained in three new activities other than there core activity.

Project Echo

The project echo trainings have kick started this month. We have users from the existing

team who are progressed and moved to project echo which will help the team to have a

swifter learning curve.

Investment Operations Certification

Arun Sundar from Central Reconciliation Team has completed his 2nd level (UK Financial

Regulation) IOC certification and Thirumalai Krishnan from Postal Share Dealing Team has

completed his 1st level (Introduction to Securities and Investment) IOC Certification.

Marketing and Sales Support Update

CRM Support

True to the saying data drives business, Pavithra Prasannakumar

and Praveen Kumar, the data analysts are partly wedded to MS

dynamics CRM and MS Excel ,making sure they do the “treasure

hunting” – identifying patterns , projections , forecasting , and

reporting the crucial KPI’s , performance metrics and anything

that is quantifiable within their reach .

The team is cog in wheel of the sales cycles, as well as the Achilles heel for all those sales

team, whose performance they report through weekly sales report, deals to close and other

ad-hoc reports.

The only breather in this exciting role is that their dreams every night are unmissably

colorful –a stark reality of those excels conditional formatting colors they deal with every

day.

Marketing

“Marketing’s job is never done. It’s about perpetual motion. We

must continue to innovate every day.”

– Beth Comstock

The team had organised for a Corporate Photo-shoot on the 3rd of August, 2015, where

portraits of the Senior Management and the staff at work were taken to be used for

corporate branding.

As corporate photography is a means by which companies communicate their personality,

uniqueness, and professionalism to customers, understanding and implementing this would

help us land a lucrative job.

Also we completed a Recruitment Video-shoot for on the 13th and 14th of August, 2015 to

record the testimonials of the MD and other Senior Management. We shall share the video

shortly.

Information Security Update

It has been a very busy month for the Equiniti India Infosec team working across the

following assignments:

• Responding to client audit questionnaires

• Managing client audit

• Updating Business Continuity Plan (BCP) with the

new guideline issued by the Equiniti Group on

Business Impact Risk Analysis (BIRA)

• Conducting Infosec training for Equiniti India staff

and

• Working with onshore Infosec team to implement transition and supporting Infosec

requirements of Equiniti Group.

Responding to client audit questionnaires:

Few of our end clients perform a due diligence assessment of our offshore facility before providing their consent to offshore their services. The objective of the exercise is to ascertain if Equiniti India has a safe and secured work environment adhering to the data protection needs of the client. While we have had clients like Lloyds, Metlife, SunLife and Prudential performing due diligence assessment of Equiniti India in the past and have been pleased with our Infosec controls, for the first time in Equiniti India, two of our large clients- Lloyds and Marks & Spencer have asked us to respond to a structured questionnaire as a pre-assessment exercise. The questionnaire requires Equiniti to respond to more than hundred questions on areas like Physical Security, IT Security, BCP, Risk Management, Human Resources & Training, and Data Privacy etc. The response to questions elicits the policy and control mechanisms that are adopted by Equiniti to ensure a secured work environment protecting client data. The response required the Equiniti India Infosec team to coordinate with the onshore Infosec and IT teams and works with tight timelines. Since the team was performing this task for the first time, the close coordination with onshore stakeholders resulted in a good learning and foundation for our team. The responses were submitted on time and this initial set is being used to build a repository for reference and re-use in the future.

Client audit – Lloyds:

Upon submission of responses to the assessment questionnaire, an Infosec Auditor of Lloyds visited the Equiniti India office to perform an audit and validate evidences against the responses submitted by our team. Equiniti India Infosec team coordinated the audit and we are expecting the formal outcome of the audit in the coming weeks.

BCP update:

The new guideline issued by Equiniti Group on BIRA is more structured and rigorous in identifying the risks and analysing the business impact. The Infosec team has coordinated and worked with BPO, IT and People Services teams and updated the Equiniti India BCP.

Infosec Training:

Infosec Training sessions and assessments were conducted for all the staff of Equiniti India. This is part of the bi-annual Infosec Training plan that is governed and implemented by the Infosec team.

Supporting Infosec needs of Equiniti Group:

We are happy to have been considered for providing offshore support to the Infosec needs of Equiniti Group. To begin with, the existing Infosec team will be taking additional responsibilities to support the Group. The Infosec team had their initial call to understand the expectations and agree upon the way forward. The activities that are being considered to support from offshore are:

Response to Bid Questionnaires

Maintaining Security & Project Review register

Compilation of Security Dashboard and other support to Security Projects It has been agreed to initiate knowledge transfer in phased manner for these activities and then implement transition phase appropriately.

Training Update

A break from our routine work can help lower our blood pressure, reduce anxiety and will let us get the proper rest that’s so important to the overall health. Plus motivation & humour makes us happy- which obviously benefits our mental well- being as well. Motivational videos & brain storming video clips will be shown in the Equiniti India cafeteria to make us feel more refreshed whilst at our break. “People say that motivation doesn’t last. Neither does bathing, that’s why we recommend both daily.” – Zig Ziglar

Sports Committee

We are glad to let you know that Equiniti

India has registered itself this year too

for “The Terry Fox Run”[Marathon-6Kms]”,

organised by Rotary Club of Madras East at

IIT, Madras Cancer Institute for the cause of

Cancer on 23rd Aug 2015, from 8:00 AM to

11:00 AM. Equiniti India Sports Academy is

coordinating to get an active participation

from the Equiniti India staff for the event.

Equiniti India Sports Academy is inviting

interested staff to join the Committee to

share their innovative ideas. Please send an

email to the Sports Committee at:

Equinitiindiasportsacademy@equiniti.com or Equinitiindiasportsacademy@equiniti-ics.com

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accomplishment that you are proud of? Please share your work-

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