HR_Manual_CIL 01112021

251 | P a g e—Coal Production Achievement - to be provided a minimum weightage of 20 “”percent —Profit Variance per tonne- to be provided a minimum weightage of 10 “”percent These superodinate goals will be present in the PRIDE of all executives. —For executives in Unit Level- Coal production target and Profit variance per tonne for the unit to be considered as the target for all executives in that Unit —For executives in Project Level- Coal production target and Profit variance per tonne for the project to be considered as the target for all executives in the Project —For executives in Area Level- Coal production target and Profit variance per tonne for the project to be considered as the target for all executives in the Area —For executives in Subsidiary HQ/CIL HQ Level- Coal production target and Profit variance per tonne for the Subsidiary/CIL HQ respectively to be considered as the target for all executives in the Subsidiary HQ/CIL HQ —* Delhi Office and RSO to be considered a part of CIL HQ Super-ordinate KPIs for CMPDIL are: —Achievement of Exploration Target - to be provided a minimum weightage of “20” percent—Overall profit/loss variance – to be provided a minimum weightage of “10” percent. Note:[20]The achievements against the Superordinate goals in the case of PRIDE forms shall be recorded uniformly by the concerned Company/ Area Nodal Officers at the time of Annual Appraisal. Custodian of PRIDE form 7.Who is the Nominated officer? The Subsidiary level EIS Nodal officer managing MP_COMP domain will be the nominated officer for PMS at Subsidiary level. The Subsidiary company shall authorize Nominated officers for each Area and HQ establishment for EIS and PMS process, who shall be assigned separate Login ID and Password to manage their respective domain. Nominated officers will play a pivotal role in managing the EIS/PMS Process. He/she will maintain a status of the current state of PMS Forms i.e. how many have been appraised and how many are still due for appraisal. 20Incorporated vide OM No.CIL/C-5A(PC)/PMS/2826 dated 08.05.2018.

252 | P a g e8.Where would the completed PRIDE form be kept after the appraisal process & the feedback has been given to the Appraisee? Data access control will be given to EIS Domain Managers and other user department as per their need. 9.How will the rating be communicated to the executive post completion of the Appraisal process? [21]Final PRIDE rating can be viewed by executives by their HRMS [22] log in ID and password. Process 10. Is it mandatory that each of the four quadrants (Process, Finance, Customer and Learning & Growth) has a KPI? It is mandatory that a minimum of 8 KPIs are assigned to an executive out of which Process Quadrant will have minimum 3 KPIs including the super ordinate goal. The minimum and maximum number of KPIs in each Quadrant is shown in the table below: [23]Quadrant No. of fixed Minimum Maximum KPIs (including KPIs fixed KPI)Weightage Process1 3 5 60 Financial 1 1 3 20 Customer- 1 3 10 L&G- 1 3 10 Total2 8 14 100 11. Would the target setting be done once or twice a year? Targets would be fixed only once at the beginning of the year. 12.Who will identify the KPI and Weightage in an executive’s scorecard? Executives would need to refer to the unique position scorecard to identify the KPI for each position. In case the relevant KPI doesn‘t exist in the unique position scorecard, they can refer to the KPI inventory. This need to done in discussion with the Reporting Authority with respect to the applicability and accordingly the goals would be set in the scorecard. 21 Amended vide OM No.CIL/C-5A(PC)/BSC-PMS/111 dated 25.03.2014. 22 Earlier system has been upgraded to Human Resource Management System (HRMS).23 Amended due to OM No. CIL/C5A(PC)/PMS/469 dated 13.08.2020.

253 | P a g eWeightage has to be determined in discussion with the Reporting authority. There needs to be a formal sign off on the PRIDE Form stating that the KPI and targets have been agreed and signed off by the Reporting authority and the concerned executive. 13. Can the same KPI be given to more than one executive? As one goes lower in the hierarchy it is likely that many executives will share a team goal. While the KPI can be same for many executives, target against each KPI would vary depending on individual to individual basis. 14. What is the eligible period of performance for Mid Year Review to take place? An executive must spend a minimum period of ninety days in the role to be eligible for Mid Year Review. Otherwise the Mid Year Review process can be skipped. 15. Would there be ratings given in the Mid Year Review? No, there would be no rating on the KPI‘s against set targets during the Mid Year Review. However there would be overall feedback and challenges to meet targets captured in Mid Year Review Form. 16. What happens if course correction in targets is needed during the Mid Year Review? Targets can be revised during mid year review. This will be done after initiation of target revision by Assesse or Assessor. However it can be done only under exceptional circumstances post receiving approval from concerned Functional Director. 17. Who are Reporting, Reviewing and Accepting authority? [24]A. Unit/Project/Sub Areai. For executives posted in mining department Reporting Authority is an executive to whom the appraisee reports directly and Reviewing Authority is the Reporting Head of such Reporting Authority. ii. Colliery Manager will be either Reporting Authority or Reviewing Authority for all executives on the roll of a mine. iii. Project Officer/Sub Area Manager will be Reporting Authority for all executives directly reporting to him and will be the Reviewing Authority for executives reporting to his Direct Reports. iv. Staff officers in a project will be the Reporting Authority for executives reporting directly to them and will be the Reviewing 24 Amended vide OM No.CIL/C5A(PC)/PMS/2826 Dated 08.05.2018.

254 | P a g eAuthority for executives of their respective discipline for whom Colliery Manager is the Reporting Authority. v. The Accepting authority for E6 and below executives will be the respective functional director and for all E7 executives the Accepting authority will be the CMD of the subsidiary B. Area i. For Staff officers based in Area, the Reporting Authority is Area General Manager. ii. For executives under Staff officers based in Area, the Reporting Authority is Staff Officer and Area General Manager will be their Reviewing Authority. iii. Staff officers in an Area will be the Reviewing Authority for executives of their respective discipline for whom Project Officer is the Reporting Authority. Where there is no staff function at Area level, Area General Manager will be the Reviewing Authority for such executives of the Project. iv. Area General Manager will be the Reporting Authority for all mining executives directly reporting to him and Reviewing Authority for mining executives reporting to Project Officer. v. Area General Manager will be the Reporting Authority for Executives in the secretarial cadre reporting to him and Director (P), subsidiary, will be their Reviewing Authority. vi. The Accepting authority for E6 and below executives will be the respective functional director and for all E7 executives the Accepting authority will be the CMD of the subsidiary. C. Company HQi. For HODs based in HQ, the Reporting Authority is Functional Director. ii. For executives under HOD based in HQ, the Reporting Authority is HOD and Functional Director will be their Reviewing Authority. iii. Where work is sectionalized under an HOD, the Sectional Head will be the Reporting Authority for executives in the section and the HOD will be their Reviewing Authority. iv. Functional Director will be both the Reporting and Reviewing Authority for executives up to E7 directly reporting to him. v. CMDs/ Chairman will be the Reporting, Reviewing & Accepting authority for executives up to E7 directly reporting to them in their Secretariat. vi. Functional Director or Authorized HOD of HQ will be the Reviewing Authority for Area Staff Officer for whom the Area General Manager is the Reporting Authority. vii. Technical Secretary to Functional Director/ CMD/ Chairman will be the Reporting Authority for executives directly reporting to them and Functional Director/ CMD/ Chairman will be their Reviewing Authority.

255 | P a g eviii. The Accepting authority for E6 and below executives will be the respective functional director and for all E7 executives the Accepting authority will be the CMD of the subsidiary. D. Reporting hierarchy for E8 [25]E8 Executive RA Rev.A AA E8 (Sub) reporting to CMD, Sub CMD CMD, Sub CMD, Sub E8 (Sub) reporting to FD/ CVO FD/ CVO CMD, Sub CMD, Sub E8 (Sub) reporting to E8 E8 FD/ CVO CMD, Sub E8 (CIL) reporting to Chairman, Chairman, CIL CIL Chairman, CIL Chairman, CIL E8 (CIL) reporting to FD/ CVO FD/ CVO Chairman, CIL Chairman, CIL E8 (CIL) reporting to E8 E8 FD/ CVO Chairman, CIL Note: Sub means Subsidiary E. For other special circumstances the Area General Manager, for Areas or the Functional Directors may decide the reporting and accepting hierarchy within the frame of Dual Assessment and Empowerment at lower level.18. Can the KPIs be interchanged between quadrants? The interchangeability of KPIs from one quadrant to the other is permitted post discussion with the Reporting authority. 19. How is PRP linked to final rating? There is a direct relation between PRP and Rating as per the DPE guidelines. 20. What is the provision of revision and introduction of KPIs? Provision in the new system for revision and introduction of KPIs is on a periodic basis: Centralized system in CIL HQ/Subsidiary HQ to be institutionalized for collection of inputs wherein subsidiary HQ can share suggestions with CIL HQ –Director (Personnel) / Chairman who can make any amendments.21. What are the timelines for filling in a PMS Form? What happens in case the deadlines are not met? [26]The PMS calendar has clarity on deadlines for filling in the PRIDE Form. 25 Amended due to OM No. CIL/C5A(PC)/ED Post/441 dated 25.06.2020. 26 Amended vide OM No.CIL/C-5A(PC)/BSC-PMS/111 dated 25.03.2014.

256 | P a g eGoal Setting Schedule [27]PRIDE Responsibility Timeline without penalty Timeline with penalty Self 1 April to 30 April stth1 May to 15 May stthRA By 25 May th26 to 31 May thstPAR Responsibility Timeline for Goal setting Self/ RA 1 April to 15 May stth(as per DPE guidelines) Mid-year Performance Feedback Schedule [28]From 1 October to 31 October ststAppraisal Schedule of previous FY [29]PRIDE Task Responsibility Normal Timeline Extended Timeline with penalty Self-Appraisal Executive concerned 1 to 30 June stth1 to 5 July stthAppraisal by Reporting Authority under PRIDE Reporting Authority By 10 July th11 to 15 July ththReview by Reviewing Authority under PRIDE Reviewing Authority By 20 July th21 to 25 Julyst thFinal Review by Accepting Authority under PRIDE Accepting Authority From 26 July to 10 August ththPublication of PRIDE ratings By 15 August thAppeal Disposal By 15 October thPublication of final PRIDE ratings after appeal disposal By 20 October th27 Amended due to CIL/C5A(PC)/PMS/469 dated 13.08.2020. 28 Amended as per Letter No. CIL/C5A(PC)/259 dated 28.09.2019.29Amended as per OM No. CIL/C5A(PC)/PMS/141 dated 28.05.2019.

257 | P a g ePAR Task Responsibility Normal Timeline Self-Appraisal Executive concerned 1 June to 31 October ststAppraisal by Reporting Authority Reporting Authority under PAR By 15 November thReview by Reviewing Authority Reviewing Authority under PAR By 30 NovemberthFinal Review by Accepting Accepting Authority Authority under PAR By 15 December thPublication of PAR ratings By 20 December thAppeal Disposal By 20 February of subsequent year thPublication of final PAR ratings after appeal disposal By 25 February of subsequent year thAll executives are required to adhere to the timelines. In case of non-adherence to timelines for submission of the PRIDE, a penalty of 0.1 mark will be deducted against the overall rating to ensure process discipline. The penalty provision of Executives of E8 & above grade as RA/ Rev.A/ AA shall be dealt as per DPE guidelines. [30]—In case of non-completion of Goal Setting by the executive even after expiry of the penalty period, the PRIDE rating for the assessment year of such executives will be taken as ―POOR with “5” score. [31] —If the non-completion of Goal Setting within the stipulated time is due to reluctance of the executive to accept Targets as suggested by the Reporting Authority, the Reporting Authority will have the authority to accept the targets with modifications as he may deem fit and communicate accordingly. —Extension of timeline for goal setting of annual PRIDE: [30]During the entire period of goal setting of annual PRIDE, if an Executive is (i) Hospitalized or (ii) was in judicial custody or (iii) on leave/ official tour and due to which, the extension of timeline becomes necessary for such Executives, the Director (Personnel) of the concerned Company may allow suitable extension of goal setting timeline for such Executives. —Waiver of penalty: [30] The penalty imposed on an Executive in case of any non-adherence of timelines for submission of PRIDE can be waived off in the following situations: During the entire period of goal setting/ appraisal, if an Executive is (i) hospitalized or (ii) was in judicial custody or (iii) on leave/ official tour 30 Amended due to OM No. CIL/C5A(PC)/PMS/469 dated 13.08.2020. 31Amended due to OM No. CIL/C-5A(PC)/PMS/2826 dated 08.05.2018.

258 | P a g eTo avail this, the concerned Executive has to file an online appeal in the scheduled timeline mentioning the details of discharge summary issued by the concerned hospital/ bail papers/ joining reports/ leave sanction/ tour approvals, as the case may be. —Mitigating the impact of zero score: [32]In the event of non-submission of self-appraisal by an Executive, the concerned RA will initiate the PRIDE form and rate the Executive for that particular period. On completion of the scheduled timeline, the initiated PRIDE form will be automatically moved to higher authorities for further appraisal alike normal PRIDE forms. However, an additional penalty of 0.1 mark i.e., total 0.2 marks will be imposed against the overall rating of the concerned Executive due to non-submission & non-adherence of timelines for self-appraisal. —In case the Reporting Authority neither accepts nor refuses the Goal Setting submitted by the executives, the same will be deemed as accepted on the expiry of the time limit with penalty of 0.1 mark[32] to the Reporting Authority. — Online PMS: In online system, if the Accepting Authority doesn’t give his final score within the stipulated time, then the score given by the Reviewing Authority would be considered as Final Score. [33]—On occasions where the Reporting, Reviewing and the Accepting authority fail to complete the appraisal process the PRIDE form of such executive will be put up to the next higher authority for final appraisal. [34]—Disciplinary action under CDA Rules will follow in the case of non-adherence to the process of PMS by any executives. 22. Once the executive is transferred to a new position/location, when does he/she need to fill his/her PRIDE Form? In case of transfers (including transfer from one position to another position, either within the same Department or outside the Department, within the same area or outside the area, within the same Subsidiary/establishment or outside the Subsidiary/ establishment), the concerned executive must fill up the PRIDE form within 15 days of taking up the new role. 23. Who is responsible for maintaining the data for various KPIs? Both Appraisee and Reporting authority are responsible for maintaining the data for various KPIs. Special Situations 24. How will the situations be handled if the executive is performing multiple roles of 2-3 positions? In case an executive is handling 2-3 roles, the executive needs to refer to the scorecards of all the unique positions that he/she is handling and take relevant KPIs from all of them post discussion with Reporting authority. 32 Amended due to OM No. CIL/C5A(PC)/PMS/469 dated 13.08.2020. 33 Incorporated vide OM No. CIL/C5A(PC)/PMS/2826 dated 08.05.2018. 34Incorporated vide OM No. CIL/C-5A(PC)/PMS-EIS/272 dated 03.06.2015.

259 | P a g e25. What happens when an executive is transferred during the year? [35]In the assessment year, if the period of assessment is more than nine months, such rating will be considered final for the whole year, and no further assessment is required for the period of less than three months. In all other cases weighted average [36] of all PRIDE ratings will be taken as the final score for the year. There will be no assessment for a period less than 3 consecutive months. 26. How would the final rating be calculated in case of multiple PRIDE/ PAR forms? [36]Computation of final score in cases of multiple PRIDE/PAR forms would be on weighted average. If Accepting Authority is same for all multiple PRIDE/PAR forms the Accepting Authority has to give a final score considering all such multiple forms. Example: If an executive is having three PMS forms with scores as under: PMS Forms Period Score Form 1 2 months 4.00 (not to be considered as the period is less than 3 months) Form 2 4 months 3.00 Form 3 6 months 4.50 Then the final score for the year is computed as [(3*4)+(4.5*6)]/10=3.90 27. What happens when the Appraisee is on Authorized Leave? [37] In cases other than Study leave, where the duration of continuous authorized leave is more than 9 (Nine) months, the Executive will not be eligible for PRIDE review. The rating of the Executive for that assessment year, in such cases, will be taken as equivalent of the average rating of the previous (3) years or less (if not available for 3 years) immediately preceding the assessment year and the said rating will be frozen and remain valid till the completion of leave period. However, such assessed average rating in subsequent year(s) shall be applicable only if the duration of leave in that assessment year as well is more than 9 months. For such purpose, the period of leave should be continuous and spells of leave are not to be added. 35 Amended vide OM No. CIL/C-5A(PC)/BSC-PMS/111 dated 25.03.2014. 36Amended vide OM No. CIL/C5A(PC)/PMS/2826 Dated 08.05.18.37 Amended vide OM No. CIL/C5A(PC)/PMS/624 dated 23.04.2021.

260 | P a g eIn case of Study leave, the average rating of the previous (3) years or less (if not available for 3 years), immediately preceding the assessment year, will be considered from the year of commencement of study leave, irrespective of the duration of leave period in that assessment year, if PRIDE score is not available. The said rating will be frozen and remain valid till completion of the study leave period. On joining back from leave in a year, if the period of leave in that assessment year is less than 9 months, the actual PRIDE score may be considered. 28.What happens when the executive’s service is terminated due to following? Death In the event of death of an executive during the Assessment year, the Company level Average score of the Grade of the executive will be taken as the Rating of the Executive for the Assessment year (Company for the purpose would mean CIL/Subsidiary as the case may be). Termination by way of disciplinary action The executive is not entitled for PRIDE review and PRP payout for the assessment year. 29. What happens when the executive is posted under the Reporting Authority who is not on CIL/Subsidiary role (excluding CCO and Ministry)? Company level average score of the grade of the executive will be the rating of the executive for the assessment year. (Company for the purpose would mean CIL/Subsidiary as the case may be). 30. Areas/Units where there is no production happening or the work has been stopped due to unforeseen circumstances? During the goal setting phase, only the relevant KPIs currently applicable to them, considering the existing work scenario, would be selected post discussion with the Reporting authority. Two super-ordinate goals of “Coal Production Achievement” and “Profit variance per tonne” will also be applicable to them. They would be assigned targets of their respective subsidiaries. — Other Departmental KPIs can be considered for the same purpose — Creation of new KPIs only under special circumstances which needs to be approved from CMD of the respective subsidiary. 31. What is the procedure of appeal disposal? [38]Executive shall be given an opportunity to make a representation, if any, against entries and final grading given in the report within a period of 15 days from the 38Amended vide OM No. CIL/C5A(PC)/PMS/2826 Dated 08.05.18.

261 | P a g edate of publication of PRIDE/ PAR online. While communicating the entries, it shall be made clear in case no representation received within 15 days, it shall be deemed that he/ she has no representation to make and the PRIDE/ PAR rating will be treated as final. The representation shall be restricted to specific, factual observations contained in the report on the assessments of achievements against targets, personal attributes, functional competencies and integrity. The Competent Authority may consider the representation, if necessary, in consultation with the Reporting and/or Reviewing Officer and shall decide the matter objectively based on the material placed before him within a period of 45 days from the date of receipt of representation. The Competent Authority after due consideration, may reject the representation or may accept and modify the PRIDE/ PAR ratings accordingly. The decision of the Competent Authority and the final grading shall be communicated to the officer reported upon within 15 days of receipt of the Competent Authority. The Competent Authority for the purpose shall be FDs of concerned Company in case of Executives upto E6 level and FDs of CIL in case of Executives for E7 & above level. [39] The “Poor” rated score cannot be raised beyond “Good” by the Committee. Cases of Retirement/ Deputation and Resignation 32. Are executives who are retiring entitled to PRIDE Form Review? Yes, executives who are retiring are entitled to PRIDE Form Review and to a prorated PRP payout (i.e. from the commencement of the Assessment year to the last working day). Retirement includes retirement on Medical ground, Superannuation & VRS. 33. What happens if an executive has voluntarily resigned from the organization? In case an executive has voluntarily resigned from the organization and has spent less than six (6) months of the assessment period in the organization, he/she would not be entitled to PRIDE Form Review and prorated PRP payout. However, if the executive has voluntarily resigned from the organization and has spent more than six months of the assessment period, he/she would be entitled to PRIDE Form Review. The PRP payout would be calculated on a pro-rata basis i.e. 39 Amended due to OM No. CIL/C5A(PC)/ED Post/441 dated 25.06.2020.

262 | P a g efrom the commencement of the Assessment year to the last working day of the concerned executive. 34. Are executives under Vigilance entitled for PMS evaluation and PRP? [40]PRIDE evaluation of executives under vigilance case would be done as in the case of any other executive. PRP entitlement will be decided as per the final outcome of the vigilance case. Induction on PMS Process 35. What would be the process adopted to educate executives on the PMS Process? A session would be undertaken on the PMS Process during the induction process for all new joinees. 36. PRIDE evaluation on Transfer/ Retirement of Reporting/ Reviewing [41]Authority [42]PRIDE evaluation to be done by Reporting Authority and Reviewing Authority on roll at the time of Assessment provided the reporting period is more than 3 months. If the reporting period with a Reporting Authority is less than 3 months the Reviewing Authority will review PRIDE both as Reporting and Reviewing Authority. Similarly if the period of engagement with Reviewing Authority is less than 3 months the Reporting Authority will review PRIDE on behalf of the Reviewing Authority. In other cases falling outside the scope of the above instances, the Reporting & Reviewing Authority on roll will review the PRIDE Form irrespective of their period of engagement with the Appraisee. 37.Explanation to “Special Achievement & Innovation” Successful Completion of an extraordinarily challenging task, or, Major systemic improvement initiative or Process improvement leading to Cost optimization Process cycle time reduction Quality improvement Productivity improvement Waste elimination 40 Amended vide OM No. CIL/C-5A(PC)/BSC-PMS/111 dated 25.03.2014. 41 Amended due to CIL OM No. CIL/C5A(PC)/PMS/2826 dated 08.05.2018. 42 Incorporated vide OM No. CIL/C-5A(PC)/BSC-PMS/111 dated 25.03.2014.

263 | P a g eThe Executive should be assigned some broad areas of Department’s work which he/ she should improve substantially during the year beyond his routine KPIs. It should be done in mutual discussion between the concerned Executive and his RA. Achievement against such assignment should be appraised as Special Achievement. [43]43 Incorporated due to CIL OM No. CIL/C5A(PC)/PMS/2826 dated 08.05.2018.

264 | P a g eReferences 1 Executive Evaluation Report 2 OM No. CIL/C-5A(PC)/BSC/277 dated 26.03.2013. 3 PMS 2013-14 Manual 4 OM No. CIL/C-5A(PC)/BSC-PMS/111 dated 25.03.2014. 5 Letter No. CIL/C-5A(PC)/BSC-PMS/127 dated 01.04.2014. 6 PMS Manual w.e.f 2014-15 7 OO No. CIL/C-5A(PC)/PMS-EIS/152 dated 20.04.2015. 8 OM No. CIL/C-5A(PC)/PMS-EIS/272 dated 03.06.2015. 9 OM No. CIL/C5A(PC)/735 dated 18.11.2015. 10 OM No. CIL/C5A(PC)/PMS/2826 dated 08.05.2018. 11 OM No. CIL/C5A(PC)/PMS/72 dated 20.03.2019. 12 Letter No. CIL/C5A(PC)/259 dated 28.09.2019. 13 OM No. CIL/C5A(PC)/PMS/141 dated 28.05.2019. 14 OM No. CIL/C5A(PC)/ED Post/441 dated 25.06.2020. 15 OM No. CIL/C5A(PC)/PMS/442 dated 29.06.2020. 16 OM No. CIL/C5A(PC)/PMS/469 dated 13.08.2020. 17 OM No. CIL/C5A(PC)/PMS/551 dated 28.01.2021. 18 OM No. CIL/C5A(PC)/PMS/624 dated 23.04.2021.

PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVE 1 Section Description Page Section 5 Final Rating 10 Section 6 Appellate Authority 12 Section 7 Final Rating provided post review by Moderation Committee 12 Instructions Guide to fill PRIDE Form 13 Section Description Page Section 1 Employee Information 2 Section 2 Performance (Key Performance Indicators) 3 Section 3 Personal Qualities 7 Section 4 Special Achievements and Innovation 9 278

2PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVE1SectionEmployee Information(All relevant details to be filled by the employee)Employee Name:EIS Number:Current Designation:Present FunctionalPosition:Current Place of Posting:Service in Present Place ofposting:Level of Reporting - As per current position occupied by employeePositionName of Reporting Authority:Designation of Reporting Authority:Period of service under reportingauthority (specify in months)PositionName of Reporting Authority:Designation of Reporting Authority:Period of service under reportingauthority (specify in months)Health Certificate:Employees in Grade E5 and above are required to attach a HealthCertificate along with this form. Please indicate (Yes/No) if you haveattached your health certificate duly signed by a Medical Practitioner.Declaration:Please indicate (Yes/No) whether the annual return on immovableproperty for the preceding calendar year was filed within the prescribeddate i.e. 31st January of the year following the calendar year? Formal Training: Please indicate any formal training undertaken by you in the current year?TypePeriod / DurationInstitution / PlaceNature of TrainingInside CompanyOutside CompanyForeign279

3PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVE2SectionPerformance - Key Performance Indicators (KPI)-Based on Balanced Scorecard FrameworkGuidelines:- Sum of total weightage of all KPIs would be 100- Number of KPIs in Process quadrant would vary between 1(Minimum) and 5(Maximum) and for other quadrants it would vary between 1 and 3Quadran (1)Key Performance Indicators t t(2)Weigh (3)Target tage (4)Achievement (5)Self (6)Repor (7)RevietingAuthority y wingAuthority y (8)Wgt*Reportin Reviewing gAuthority y (9)Wgt*g gAuthority y Quadran(1)Key Performance Indicators (2)Weightage (3)Target (4)Achievement (5)Self (6)ReportingAuthorit(7)ReviewingAuthorit(8)Wgt*ReportinAuthorit(9)Wgt*ReviewinAuthoritRatingProcess (Super-ordinate Goal)20Process Process Process Process Financial (Super-ordinate Goal)10Financial Financial CustomerCustomer280

4PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVECustomerLearning& GrowthLearning& GrowthLearning& GrowthTotal Sum of Weightage Total Sum of Weigted Score Submitted Online on 281

5PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVEHalf Year ReviewPRIDE Form No.: Item CommentsEmployee comments: Reporting Authority comments: Submitted online on ____________282

6PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVE3SectionPersonal Qualities(Ratings to be provided by Reporting Authority and Reviewing Authority)Rating Scale for Personal Qualities\"1\" - Consistently exceeds company's expectations\"2\" - Consistently meets company's expectations\"3\" - Meets company's expectations most of the times\"4\" - Partially meets company's expectations\"5\" - Consistently does not company's expectationsNo.Personal QualitiesDefinition Comments to support the ratingby Reporting Authority (if any)Rating by Rating byReporting ReviewingAuthority AuthorityNo.Personal QualitiesDefinition Comments to support the ratingby Reporting Authority (if any)Rating byReportingAuthorityRating byReviewingAuthority1EFFECTIVE COMMUNICATION SKILLSTHE ABILITY TO COMMUNICATE IN ACLEAR,SIMPLE AND TRANSPARENT WAY TO MAKEOTHERS UNDERSTAND THE SITUATION2STRATEGIC ORIENTATION ANDDECISION MAKING ABILITYHAS A GOOD UNDERSTANDING OF THE BUSINESSAND THE ENVIRONMENT INCLUDING THE LAWSAND RULES RELATED TO THE BUSINESS. MAKEEFFORTS TO DEVELOP SELF AND TEAM AND TOMAKE THEM CONTRIBUTE TO THE LONG TERMBUSINESS STRATEGY AN VISION OF COAL INDIALTD.3PROBLEM SOLVING ANDANALYTICAL ABILITYANALYZES AND SOLVES A PROBLEM BYIDENTIFYING THE REASONS OF A PROBLEM IN APROPER WAY4ABILITY TO DEVELOP ANDMOTIVATE TEAM MEMBERSPROVIDES GUIDANCE AND SUPPORT TO THE TEAM,ENCOURAGES TEAM WORK, INSPIRES ANDMOTIVATES TEAM283

7PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVE5ABILITY TO COORDINATE ANDDEVELOP COLLABORATIVEPARTERSHIPSBUILDS STRONG AND EFFECTIVE RELATIIONSHIPWITH INTERNAL AND EXTERNAL STAKEHOLDERS.MAKES POSITIVE USE OF THE EXISTING relationsthrough strong networking to meet the objectives of theorganization6INNOVATION AND CHANGEORIENTATIONTAKES EFFORTS AND INITIATIVES TO INTRODUCEINNOVATIVE PROCESSES AND SYSTEMS IN THEDEPARTMENT. MANAGES, DIRECTS AND LEADSCHANGE INITIATIVES FOR EFFECTIVE LEARNINGPROCESSES. ENCOURAGES NEW AND INNOVATIVEAPPROACHES IN THE DEPARTMENT7PLANNING AND ORAGANIZINGHAS THE ABILITY TO PLAN THE ACTIVITIES TO BECARRIED OUT BY SELF AND BY TEAM. IS ABLE TOPRIORITIZE AND HANDLE EMERGENCIES TOACHIEVE GOALS AND OBJECTIVES WITHINDEFINED TIMELINES8RESULT ORIENTATIONHAS A STRONG WILLPOWER TO ACHIEVE DESIREDRESULTS. ENSURES THAT THE DEPARTMENT ANDTHE ORGANIZATION ADHERE TO HIGHSTANDARDS OF EFFICENCY AND EXCELLENCE TOACHIEVE EFFECTIVE RESULTS BASED ON GREATPERFORMANCE9BUSINESS ACUMENABILITY TO UNDERSTAND THE RELATIONSHIPBETWEEN REVENUE AND EXPENSES. USES THEFINANCIAL DATA AND INFORMATION TO MAKEPRACTICAL BUSINESS DECISIONS10EXTERNAL INFLUENCE FORPERSONAL GAINSUSING EXTERNAL INFLUENCE TO PERSUADEOTHERS TO TAKE BIASED DECISIONS IN FAVOUROF SELFSum of the Score:284

8PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVEPersonal Qualities Score = Average Score = Sum of Score/No. of Personal Qualities: 285

9PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVE4SectionSpecial Achievements & Innovations(Remarks to be provided by Self, Reporting Authority and Reviewing Authority)Q. What are your significant achievements in the company?(E.g. successful completion of an extraordinary challenging task or major systemic improvement initiative)(Rating Scale: 1-Extraordinary Achievement, 2-High contribution towards achievement, 3- Average contribution towards achievement, 4-Low contribution towards achievement,5-Negligible contribution towards achievement)Remarks by SelfRemarks and Rating of Reporting AuthorityRemarks and Rating of ReviewingAuthorityRating : Rating : Q. What were the constraints that hindered your performance?Remarks by SelfRemarks of Reporting AuthorityRemarks of Reviewing Authority286

10PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVE5SectionFinal Rating(To be filled by Reporting Authority and Accepting Authority)SectionReporting AuthorityReviewing AuthorityAccepting AuthorityPerformance(KPI) ScorePersonal Qualities ScoreSpecial Achievements and Innovations ScoreScore:Grade:Signature :Date:Overall Score:Final Grade:* For details please refer Note.Note : Penalty details are given belowPenalty for goal settingPenalty for AppraisalPenalty ImposedSelf : Reporting Authority : Self : Reporting Authority : Reviewing Authority : Final marks of executive for year ____________ is _____The remaining section of this page is applicable only for executives who have employees in executive cadre directly reporting to them:Total Number of executives directly reporting to youNumber of executives for whom goal setting has been done at the beginning of the yearNumber of executives for whom Mid Year Review has been doneNumber of executives for whom PRIDE has been submitted as per the schedule after final assessment287

11PERFORMANCE REPORT FOR INDIVIDUAL DEVELOPMENT OF EXECUTIVE6SectionAppellate Authority Remarks-(To be filled by Appellate Authority)Comments:Final Grade by Appellate Authority7SectionFinal Rating provided post review by Moderation CommitteeChange in Rating post review in ModerationCommitteeReasons for Change in Rating 288

Performance Appraisal Report No. PerformanceAppraisal ReportForCHIEF EXECUTIVES/FUNCTIONAL DIRECTORS/EXECUTIVE DIRECTORS/GENERAL MANAGERS/Name of the Company : For the YEAR/Period from to [ This is a computer generated copy and needs no authorization ] Page 1276

Performance Appraisal Report No. PERFORMANCE APPRAISAL REPORT OF THE CHIEF EXECUTIVES,FUNCTIONAL DIRECTORS, EXECUTIVE DIRECTORS(E9) AND GENERALMANAGERS (E8) For the year/Period from to Each and every section of this form should be filled in by the concerned officer/authority after carefully reading the instruction attached to this form.Section-I -- Basic Information(To be filled in by the Human Resource/Personnel/Administration Department of the CPSE)PERSONAL DATA OF THE OFFICER REPORTED UPON1. Name of the Officer reported upon: 2. Employee Number: Unknown Employee3. Date of Birth: 4. Brief Academic & Professional Qualifications : 5. (a) Name of the Post Held : (b) Grade of Post Held : (c) Date of Continuous Appointment in this Post : (d) Present Pay and Scale of Pay : [Pay Scale : ](e) Date of continuous Appointment in the same enterprise : 6 (a) Date of First Public Enterprise Appointment : (b) Scale of Pay of the Post on First Appointment : [ This is a computer generated copy and needs no authorization ] Page 2277

Performance Appraisal Report No. 7. Reporting,Reviewing and Accepting Authorities during the year Name & DesignationPeriod FromPeriod ToReporting AuthorityReviewing AuthorityAccepting Authority8 Period of absence on leave, etc. during the year : Sl. No.Period(From) (PeriodTo) TypeRemarks1On Leave otherthan CasualLeave2Others(specify)9 Qualification acquired and Training Programmes attended during the year : (a) Details of Qualification acquired during the yearSl.No.Details of QualificationInstitution from which studied Details of subjects studied andthe marks obtained1(b) Details of Training Programme attended during the yearDate From Date ToInstituteSubject10 Awards/Honours received during the year : 11 Number of Officers for whom PAR was not written by the Officer reported upon asReporting/Reviewing Authority for the previous year[ This is a computer generated copy and needs no authorization ] Page 3278

Performance Appraisal Report No. 12 Date of filing the property return in the prescribed format (Appendix I) for the year ending31st December, 2015 -13 Date of last prescribed medical examination (for officers overy 40 years of age). Please submit acopyof the summary of the medical report. (Suggested format of detailed and summary ofmedical examination report is at Appendix-II). - Date: SignatureName & Designation of the Officer of the HumanResource/Personnel/Administration Department[ This is a computer generated copy and needs no authorization ] Page 4279

Performance Appraisal Report No. Section-II -- Self-appraisal of the Officer reported upon1Brief description of responsibilities :(Objectives of the position you hold and the responsibilities you are required to discharge, in about100 words)2Annual Work Plan and Achievement:Sl.No.Type ofTargetTasks to beperformed Wei DeliverablesghtageAchievement1MOU Targets2Other KeyAssignedTasks flowingfrom MOU3During the period under report, do you believe that you have made any exceptionalcontribution, e.g. successful completion of an extraordinarily challenging task or majorsystemic improvement (resulting insignificat benefits to the Company and/or reduction intime and costs)? If so, please give a verbal discription (within 100 words)4What are the constraints that hindered your performance?[ This is a computer generated copy and needs no authorization ] Page 5280

Performance Appraisal Report No. 5Please Indicate specific areas of training that will add value to you :For the current assignment : For your future career : 6Declaration :Have you filed your immovable property return in theprescribed format as due? If yes, please mention the dateNoHave you undergone the suggested medical check up? NoHave you set the annual work plan for all officers for thecurrent year, in respect of whom you are the ReportingAuthority?NoDate: Signature of the Officer Reported upon[ This is a computer generated copy and needs no authorization ] Page 6281

Performance Appraisal Report No. Section-III -- Appraisal of the Reporting Authority1Please State whether you agree with the responses relating to the accomplishents of the workplan as filled out in section-II . If not please furnish factual details 2Please comment on the claim (if any) made by the officer reported upon about his exceptionalcontribution 3Has the officer reported upon met with any significant shortfall in achieving the targets ? if yes,please furnish factual details. 4Do you agree with the constraints mentioned by the officer reported upon that hindered hisperformance and, if so, to what extent? 5Do you agree with the constraints mentioned by the officer reported upon that hindered his[ This is a computer generated copy and needs no authorization ] Page 7282

Performance Appraisal Report No. performance and, if so, to what extent? 6Assessment of the achievements made against the targets.Sl.No.Type ofTargetTarget Weightage Reporting Reporting Reviewing ReviewingAuthority Authority Authority AuthorityAbsoluteGradeWeightedGradeAbsoluteGradeWeightedGrade1MOU Targets2Other KeyAssigned Tasksflowing from MOUGrand Total7Assessment of Personal Attributes and Functional CompetenciesSl.No.Particulars ofPersonalAttributes andFunctionalCompetenciesDefinition Grade By Reporting Grade By ReviewingAuthorityAuthority1EFFECTIVECOMMUNICATIONSKILLSCommunicates articulately and assertively to influencecritical stakeholders and strives a win-win solution2STRATEGICORIENTATION ANDDECISION MAKINGABILITYDemostrates comprehensive business andenvironment awareness including related laws andrules; develope alligns self and team to the long termbusiness strategy and overall organizational vision.Considers multiple factors while taking decisions forlong term organization impact.3PROBLEM SOLVINGAND ANALYTICALABILITYAnalyzing and solving a problem by identifying theelements and relationships of a problem in asystematic way and identifying logical links.4ABILITY TODEVELOP ANDMOTIVATE TEAMMEMBERSProvides direction and support, encourages teamwork, inspires and motivates team and mages conflictto accomplish group objectives while focusing oncapability enhancement of the team.5ABILITY TOCOORDINATE ANDDEVELOPCOLLABORATIVEPARTERSHIPSBuilds collaborative partnerships with internal andexternal stakeholders and leverages relations throughnetworking to meet organizational objectives.[ This is a computer generated copy and needs no authorization ] Page 8283

Performance Appraisal Report No. 6INNOVATION ANDCHANGEORIENTATIONTakes initiative; manages and champions change andlearning process; encourages new and innovationapproaches.7PLANNING ANDORAGANIZINGAbility to plan and organize own as well as teaminitiatives, prioritize and handle contigencies to meetset goals and objectives within defined timelines8RESULTORIENTATIONDemonstrates drive for results and ensure thatoperating practices and performance results adhere tohigh standards of effiiciency and excellence9BUSINESS ACUMEN Understands the tie between revenue and expenses;utilizes financial data and information to make soundbusiness decisions that promote cost consciousness,profitability, revenue and growth.10ROLE BASEDFUNCTIONALCOMPETENCYDemonstrates knowledge of rules and laws, systemsand process, functional domain and ITapplications inorder to carry out the assigned role with conviction.Total(i to x)Overall Grading ofPersonal Attributesand FunctionalCompetencies(Total/4)8Integrity (Please comment on the Integrity of the Officer reported upon by choosing any of the following options):1Beyound Doubt2Integrity of the officer is doubtful. A separatesecret note is attached[ This is a computer generated copy and needs no authorization ] Page 9284

Performance Appraisal Report No. 3Nothing adverse has been received about theofficer9Pen picture by Reporting Officer. Please comment(in about 100 words) on the overall qualitiesof the officer including areas of strengths and those which need improvements. The pen pictureshould be consistent with the overall grade furnised in item No. 10. 10Overall grade (on a grade 0-100) based on the grades awarded in item no. 6&7. This should becomputed by summing up the weighted average grade indicated in item no.6 & 7. Signature of Reporting Authority Date: Name and Designation of Reporting Authority[ This is a computer generated copy and needs no authorization ] Page 10285

Performance Appraisal Report No. Section-IV -- Review by the Reviewing Authorty1Do yo agree with the assessment made by the Reportining Officer with respect to discharge ofresponsibilites and various attributes of the officer reported upon in Section-III? (In case youagree with the assessments made by the Reporting Authority, please make a note to that effectin the space provided for you in item No. 6 and 7 of Section-III and initial it. If you do not agreewith any of the numerical assessments made by the Reporting Authority, please record yourassessments in the space provided for you in item no. 6 and 7 of Section-III and initial entries) Yes2Do you agree with the assessment of the Reporting Officer in respect of extraordinaryachievements and/or significant shorfall as of the officer reported upon? Yes3In case of difference of opinion, details and reasons for the same may be given 4Comments, if any, on the pen picture written by the Reporting Authority 5Overall grade on a scale of 0-100 ( Grades should be assigned on a scale of 0-100, with 100 referring to the best grade and 0 to the lowest grade). The overall grade should be computed by summing up the weighted averagegrade obtained in item No. 6 & 7 of Section-III Signature of Reviewing Authority Date: Name and Designation of Reviewing Authority[ This is a computer generated copy and needs no authorization ] Page 11286

Performance Appraisal Report No. Section-V -- Acceptance by the Accepting Authority1Is the overall grade given by the Reporting/Reviewing Authority is consistent with the penpicture given by him? Yes2Do you agree with the remarks of the Reporting/Reviewing Autorities? Yes3In case of difference of opinion, details and reasons for the same may be given 4Overall grade on a scale of 0-100 ( Grades should be assigned on a scale of 0-100, with 100 referring to the best grade and 0 to the lowest grade).Signature of Accepting Authority Date: Name and Designation of Accepting Authority[ This is a computer generated copy and needs no authorization ] Page 12287

Performance Appraisal Report No. Section-VI -- Review by the Acceptance Authority in the light of the representationreceived from the officer reported upon1Whether the Accepting Authority Considers any merit for revising the overall gradegivenearlier to the officer reported upon in the light of representation made by him/her? Yes/No2If Yes, please indicate the revised overall grade on a grade of 0-100 ( Grades should be assigned on a scale of 0-100, with 100 referring to the best grade and 0 to the lowest grade). Signature of Nodal Officer Name and Designation of Nodal Officer[ This is a computer generated copy and needs no authorization ] Page 13288

Performance Appraisal Report No. SUGGESTED PROFORMA FOR HEALTH CHECK UP OF TOP MANAGEMENTOF CILDate : 30-07-2020Name : Age : Employee No. : Unknown EmployeeName of the Post held : C. Summary of Medical ReportOverall Health of the officerAny other remarks based on thehealth check up of the OfficerHealth Profile gradingDate: Designation [ This is a computer generated copy and needs no authorization ] Page 14289

P a g e | 290CIL Executive Learning & Development Policy1.1Title and commencement This policy will be called the ‘CIL Executive Learning and Development Policy’ . [1]It will come into force with immediate effect. 1.2Scope and applicability This policy will apply to all executives of Coal India Limited and its subsidiaries. The provisions of learning and development policy, as specifically provided, will also apply to Management Trainees (MTs). 1.3Learning and development (L&D) philosophy The L&D initiatives are planned to be strongly aligned with the current and future leadership requirements to achieve organizational aspirations articulated in terms of vision, mission and objectives. The initiatives will be designed and administered with the intent of unlocking the potential of human capital across the organization, develop a leadership pipeline at all levels and to build critical organizational capabilities required for achieving corporate plans. The people in the organization will be given wide exposure to varied L&D opportunities based on the business requirements and their individual potential. 1.4Key objectives of L & D policy The following are the specific objectives of L&D initiatives: a)To align entire value chain of L&D activities with the business requirements. b)To give wide exposure of L&D opportunities to the executives. c)To create a culture of continuous learning across the organization. d)To evaluate, on periodic basis, the effectiveness and relevance of L&D activities. e)To ensure a strong L&D team to drive learning and development across the organization. 1.5L&D framework L&D framework helps to understand key elements and value chain of L&D activities. The same is illustrated in the figure given below. The framework consists of following 5 key elements: 1 Approved by CIL Board in its 400 meeting held on 12.03.2020 and communicated vide OM No. thCIL/C5A(PC)/L&D/400 dated 20.03.2020. Previously called as “Training & Development of Executives” under Chapter VII of Common Coal Cadre which was amended vide various Office Orders/ Memorandums dated 25.09.1989, 19.05.2006 and 19.05.2017.

P a g e | 2911.5.1 Training Need Identification (TNI)It is a systematic process of identifying the training requirement of the organization from multiple sources as detailed in the policy. 1.5.2 Developing training calendar and training planThis process is a bottom-up exercise in CIL, involving all stakeholders. A typical training calendar of CIL lists down the schedule of all the training programs which are to be conducted in a given year/ training cycle, whereas a training plan would provide details of the participants’ profile, trainer, location etc. of the training program. 1.5.3 Designing training programs It entails deciding the content of the training program (based on skill/ knowledge to be imparted) under the 4 tier training model detailed in the policy, mode of delivery, profile of participants, trainer, training budget etc. 1.5.4 Training administration Training administration is the actual implementation of the training program as per the agreed training plan and design as detailed in the policy. 1.5.5 Learning evaluation Learning evaluation is the process of assessing the value added by the training program to bring about the intended benefits. 1.6Training cycle and training hours A training cycle in the organization would be of 4 years for each executive, commencing from the year of implementation of this policy. All executives will have to undergo mandatory training of 90 training hours in a training cycle and not beyond that. In case, if any Executive has not completed the mandatory training in a training cycle of 4 years, he/she will not be eligible for promotion to next higher grade. This will be implemented on amendment of CIL Executive Promotion Policy.

P a g e | 2921.7L&D process 1.7.1 Training Need Identification (TNI) Training needs of the organization will be identified for a training cycle based on the following inputs by subsidiaries: a)Training requirements of individuals as assessed through PMS. b)Managerial/ behavioural competency assessment through 360 degree appraisal. c)Assessment through the assessment/ development centers by external agencies. d)Strategic intent of the organization as specified in CIL’s plan and strategy.e)Inputs obtained from the organization or leadership team based on business/ technology/ strategy change. TNI will be conducted by a multi-disciplinary team to be formed by the Director (P&IR), CIL in every training cycle. 1.7.2 Training plan and calendar Training plan for every training cycle and Training Calendar (Annexure I & II) every year for tier I, II, III &IV will be created under the 4 tier training module for a training cycle based on TNI by IICM in consultation with subsidiary HRD team. Training plan will consist of the following key pointers: a)Target participants (by name) of the training program. b)Bodies responsible for hosting and conducting the training programs such as Indian Institutes of Coal Management (IICM), MINREM, STC CMPDIL, Management Development Institutes (MDIs), External Partners and empanelled external training providers. c)Faculty of the training program. d)Kind of training evaluation to be done. While considering the list of participants, the factors like hours of training completed, nature of training already attended, succession plan and residency period in a grade should be taken into account and accordingly, priority should be fixed. The training plan will be approved by the CIL apex training board. 1.7.3 Training administration All training providers such as IICM, STC, MINREM, MDIs shall be responsible for effectively implementing the training plan as per the calendar. 1.7.4 Learning evaluation The training providers responsible for organizing the training program will also be responsible for evaluating the effectiveness of the training program. Training program

P a g e | 293effectiveness may be evaluated at one or more of the following levels as agreed in the training plan: (i)Reaction level (Level-1): First reaction of participants in terms of likeness, relevance, engagement levels, participation levels, perceived practicability, potential for applying the learning, ease and comfort of experience and level of effort required to make the most of the learning can be evaluated to gauge effectiveness of training programs. A questionnaire would be used in this regard (Annexure III). (ii)Learning level (Level-2): Enhancement in knowledge and skill levels of the participants and key learning after attending the training programs is the second level of evaluating the effectiveness of training programs. Level 2 evaluations can be done by assessments/ tests before and after the training. Each training program will have a questionnaire distributed before and after the test by the trainer. Level - 1 and Level - 2 evaluations can also be combined together depending on the nature of training. (iii) Behavioral level (Level-3):Level 3 evaluations is intended to know if the individual is able to apply the learning from the training in his work and would be done after 4 months of the training program. The expected outcomes of the training should be informed to the Reporting Authority of the executive. The subsidiary HRD department would send the evaluation format to the individual and his superior to collect the feedback. They can also conduct interview with the individual and the superior to collect the feedback (Annexure IV). (iv) Business impact level (Level-4): Training programs are evaluated for their impact on actual business results. Metrics such as value added per executive, productivity in terms of OMS (output per man shift), executive engagement index and other HR analytics may be used to evaluate the effectiveness of training programs at this level. 1.8Four tier training design Training programs of CIL will be planned and delivered to executives in 4 tiers as given below: Tier Nature of training program Program organizers Target audience I Foundation programs for freshers IICM/ MINREM/ E1-E2 STC/ MDIs II Technical/ functional competency CMPDIL/ development program STC/ E3- E5 MDIs/ External

P a g e | 294Managerial/ Behavioral IICM/MINREM/ competency development program MDIs/ External Basic leadership development IICM/MINREM/ program MDIs/ External III Advanced technical/ functional IICM/ competency development programs External CMPDIL/ E6-E7 Managerial/ Behavioral IICM/ MINREM / competency development program External General Management program IICM/MINREM/ External Cross functional training program IICM/ MINREM Advanced leadership development IICM/ External programs IV Transformational leadership External program E8 and above Enterprise management program External Advanced General Management External program Ethics/ Value refresher programs IICM MDIs/MINREM For all executives Strategic Capability Development IICM MDIs/MINREM For all executives Note: (i)Tier I foundation programs are courses planned for MTs/ departmental candidates. They span across introductory courses in technical/ functional areas and basic managerial competencies. (ii)Tier II programs are elaborated in section 1.8.1 and 1.8.2. The executives would go through a host of programs as identified by their training needs analysis stemming

P a g e | 295from individual and organizational perspective. The objective of these programs is to develop functional competencies and basic leadership qualities. (iii) Tier III programs are courses aimed for the middle management (E6 & E7) who are all presently holding critical positions with a view on developing them for leadership roles in the future. These are technical/ functional and managerial competency development programs to help them hone advanced concepts, methods and frameworks. General management programs like business strategy, modeling etc. and cross functional programs will help them widen their horizon and perspective to take on leadership roles in the organization. (iv) Tier IV program are senior leadership and management programs for the executives (E8 and above) to train them on corporate/ enterprise level themes. The design and administration of various training programs in the 4 tier training model is elaborated below: 1.8.1 Technical/ functional competency development programsSpecific technical competencies will be identified for all the functions/ roles in the organization (Annexure V). Training programs will be designed for specific/ cluster of technical competencies under each key function. Separate programs will be designed for junior management (E1-E5), middle management (E6-E7) and senior management (E8 and above) depending on level of specific competency requirements. These programs would also include organizational competency development programs. 1.8.2 Behavioral/ Managerial competency development programsTraining programs will be designed for specific/ cluster of behavioral competencies under each grade/ function as per the competency framework given under the PMS. Separate programs will be designed for different levels of management depending on their specific competency requirements. 1.8.3 Leadership development and general management programs CIL will organize leadership development programs for executives across different management levels. The basic leadership development program is intended to train the lower level management executives on basic leadership competencies. Middle level management will undergo advanced leadership development programs to equip them in assuming higher roles. Transformational leadership program is intended for senior executives, especially for the E8 & E9 grades, as these executives are in a transition point and they would have to be prepared for top management roles. Such program would be conducted in-house or in prestigious institutions in India or abroad.

P a g e | 2961.8.4 Cross functional training CIL will encourage its executives to acquire competencies in multiple functional areas of management to address the emerging business challenges by giving them exposure to following cross functional training programs: (i)Mining for non-mining (ii)HR for line managers (iii) Finance for non-finance (iv) Marketing & Sales for all (non M&S) (v)CSR/ Community development for all (vi) Environment management for all 1.8.5 Values refresher program All the executives of CIL are expected to demonstrate highest level of values and ethics at all times as per the values dictionary. Each executive of CIL will compulsorily participate in values refresher program once in 4 years. 1.8.6 Designing training programThe designing of all the programs under the 4 tier model given in table at clause - 1.8 will be done by IICM in consultation with functional experts/MINREM/MDIs and keeping in view of the future requirements and advancements in the field. 1.9Learning module for MTs All MTs will undergo 1 year on - boarding and on- the- job training program as below: 1.9.1 One year training planThe one year training program for MTs will aim to achieve a gradual transformation of MTs from theoretical knowledge to practical application across functional areas. It would be planned as per the following schedule: S. No. Training module Location Duration 1. On-boarding program (Campus to As per Colliery transformation program) Annexure VI16 weeks 2. (i) On-the-job skill building program* (ii) Learning projects** (a) Functional area (b) Cross functional area Place of posting 35 weeks 3. Learning review*** IICM 1 week

P a g e | 297* ‘On-the-job skill building programs’ would be a guided on-the-job training at the place of posting of the MT to learn functional skill of his own discipline. The learning performance of MT would be assessed by his reporting authority which will carry a weightage of 30 marks for training closure. The assessment would be submitted to IICM. ** On completion of the C2C transformational program, the MTs would undertake any 2 learning projects of their choice (one from their own functional area and another from cross functional area), in consultation with the coordinator, IICM. The trainees would complete the project during the course of the ‘on-the-job skill building programs’ and submit the project report to coordinator, IICM at the time of learning review. IICM would assess the projects against a weightage of 10 marks each. *** IICM will conduct learning review during the last week of the one year training followed by a learning review test which will carry a weightage of 30 marks. As part of the learning review, IICM would also review and evaluate the 2 projects completed by the candidate. IICM would make a final assessment of the one year training program on the basis of report of the on-boarding program (Annexure VII), report of the on-the-job skill building program (Annexure VIII), project evaluation and the learning review test for closure of the training period. 1.9.2 Training closure The one year training program of the MTs would be reviewed during the last week of the training period at IICM and would be closed based on their performance on the following events/ parameters: S. No. Training performance parameters Marks 1. Campus to colliery transformation program (Annexure VI) 20 2. On the job skill building program (Annexure VIII) 30 3. Learning projects (a) Functional area (b) Cross functional area 10 10 4. Learning review test 30 Total 100 A candidate needs to score at least 60 marks to be declared successful for closure of the training period.

P a g e | 2981.10Executive development strategies The following developmental strategies, for overall development of the executives are integral part of the L&D initiatives of CIL: (i)Mentorship program (ii)Self-development (iii) Job rotation (iv) Continuous feedback (v)Development center (vi) Internal technical certification (ITechC) (vii) Internal trainer certification (ITC) (viii) Learning chat (L Chat) (ix)Meet the Trainee’ Program (MTPro) 1.10.1 Mentorship program All the new joinees after completion of 1 year training program would be put through a 1 year mentorship program as per the CIL mentoring policy. 1.10.2 Self-development The company will encourage all executives to pursue advanced courses and certifications in the specific areas of their discipline by supporting them through CIL Self-Development initiatives. 1.10.3 Job rotation The company will provide executives wider exposure to gain expertise and wider perspective by rotating them in different sub functions under their discipline by rigorously implementing the Job Rotation and Transfer policy. 1.10.4 Continuous feedback The company will encourage reporting authorities to give continuous feedback on performance and development need areas to executives at all level as part of the PMS. 1.10.5 Development center & 360 degree appraisal CIL will enable the executives to have a better understanding of their strengths & developmental needs by periodically assessing their competencies under the competency framework of the company through assessment/ development center and 360 degree appraisal (in every 4 years). The scores of assessment/ development center and 360 degree appraisal of an executive will remain valid for 4 years for all purposes. Competency frame of the company for such assessment is provided in the Annexure IX.

P a g e | 2991.10.6 Internal Technical Certifications (ITechC) Professional development is identified as a priority area for performance improvement. CIL encourages professional development in one’s own professional domain through a process of certification. ‘CIL Internal Technical Certification’ will be awarded for successful completion of such technical competency development program. A comprehensive evaluation framework will be put in place by IICM for such certification program. All executives should be encouraged to get certified on areas of their functions & Strategic capability development areas and this would also be considered during promotions and other key assignments. These certification programs would be hosted by IICM. An indicative list of the areas of certifications is given Annexure X. 1.10.7 Internal Trainer Certification CIL aims to leverage the existing knowledge and expertise within the organization and build a pool of certified internal trainers on specific areas. These trainers would be sourced by IICM, MINREM, STC & MDIs for conducting in-house trainings. The certification would be awarded on fulfilling the following criteria: a)High performer (Minimum 2 years ‘Outstanding/ Excellent’ rating during preceding 5 years). b)Mastery in any of the ‘Experience/ skill set’ area with proficiency level not less than ‘Expert level’, to be validated through an interview. The interview will also focus on communication & presentation skills of the candidate. c)‘Train the trainer’ training/ certification (preferable).d)25 hours of trainer experience in any of the training facilities of the company. e)The certification will have two levels: B & A level, A being the highest. B level certification would be for a period of 3 years unless it is extended or upgraded to A. A level certification would also be for 3 years unless extended. f)The norms of selection for different levels would be decided by IICM, Ranchi. g)A committee consisting of the following executives will make assessment of the candidates. Based on their assessment, Internal Trainer Certification will be issued by IICM: i. Functional Director of subsidiary as Chairman (to be nominated by the Director (P&IR), CIL) ii. ED, IICM as member iii. In-charge for Academics, IICM as member iv. General Manager (HRD) of subsidiary on rotation basis as member v. A functional expert as member

P a g e | 300vi. CEO, MINREM as Member Applications will be invited by IICM through the functional Director of concerned subsidiaries subject for Internal Trainer Certification. The above committee would also empanel a pool of external trainers who can be sourced for in-house trainings, as and when required. The pool of trainers would be a mix of the following:(a) Training organizations & management institutes. (b) Consultants & subject matter experts. (c) Guest speakers from other organizations, industries etc. and lecturers from universities, institutes and professional bodies. (d) Senior level ex executives of CIL and other PSUs 1.10.8 Learning Chat (L Chat) Executives after attending training programs are expected to share knowledge and their key learning from the program with their subordinates through L- Chat sessions. They can also share their expertise on specific fields. Executives may conduct sessions for their departmental executives on the new areas of learning. The GMs (HRD) of subsidiaries should take feedback from such executives on the number of L-chats conducted by them after the training program. 1.10.9‘Meet the Trainee’ Program (MTPro) The Area General Managers/ HODs of subsidiaries would hold MTPro once in a quarter to discuss the professional challenges of trainees in the organization and to keep them connected with the senior leaders. The deliberations in the program will focus on quality of supervision, work life issues, availability of professional guidance, perception about the overall management etc. Such sessions would be facilitated by the HR department of the area in an informal setup. The HR department of the area would gather information as provided in Annexure XI for further analysis and corrective interventions. 1.10.10 External certifications, conferences, seminars and workshopsThe executives can be nominated for external programs such as external certifications, conferences, seminars and workshops on business, technical and behavioral competencies. Nomination to such program would be based on position in the talent pool list under the Talent Management Policy. [2]2 Succession Plan is being implemented as Talent Management Policy.