Professional Documents
Culture Documents
Disciplinary Grievance
Disciplinary Grievance
GRIEVANCE
Procedure
TABLE OF CONTENTS
PURPOSE AND STATUS .............................. 3
GENERAL PRINCIPLES ................................ 3
STAGES OF THE PROCEDURE ................... 4
Stage 1 - Formal Verbal Warning ...............5
Stage 2 - First Written Warning ..................5
Stage 3 - Final Written Warning .................5
Stage 4 - Dismissal ....................................5
SUMMARY DISMISSAL ................................. 6
EXAMPLES OF CONDUCT WHICH WILL
TRIGGER THE DISCIPLINARY PROCESS ... 6
Misconduct .................................................6
Gross Misconduct.......................................6
APPEALS ....................................................... 7
POLICY .......................................................... 8
PROCEDURE ................................................. 8
GENERAL ...................................................... 9
Annexure – A, Grievance Form .................... 10
ii
DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
DISCIPLINARY PROCEDURE
PURPOSE AND STATUS
• The Disciplinary Procedure set out below is applicable to all TME employees who have
completed their probationary period of service. It is designed to ensure that TME
employees are dealt with fairly and consistently in disciplinary and other related matters
affecting their work with TME.
• This Disciplinary Procedure is intended only as a statement of policy and management
guidelines. It does not form part of individual contracts of employment or otherwise have
contractual or other legal effect. TME reserves the right not to follow this Procedure where
it considers it appropriate to do so.
GENERAL PRINCIPLES
• Where it is the employee’s performance that is in issue, this will usually be dealt with in
accordance with TME’s Performance Procedure (unless the unsatisfactory performance
is such that TME considers that it would be more appropriately dealt with under this
Procedure).
• No disciplinary action will be taken against an employee until the matter has been fully
investigated. The investigation will be completed as soon as is practicable in the
circumstances.
• Employees will normally receive such advance written notice of a disciplinary meeting as
is reasonably practicable in the circumstances. This will include, where appropriate, the
receipt by an employee of documents, or information in any other form, which will be
referred to by TME at the disciplinary meeting.
• In appropriate circumstances TME reserves the right to suspend an employee while
carrying out its investigation, in which case the employee will receive full pay and benefits
for the duration of their suspension.
• At each stage of the Procedure, the employee will be informed of the nature of the
complaint against them and shall have an opportunity to state their case before a decision
is taken.
• Employees must take all reasonable steps to attend disciplinary meetings. However, the
employee must notify TME forthwith if they are unable to attend a meeting and a re-
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DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
scheduled meeting will be arranged within (usually) 5 days of the date originally proposed
for the meeting.
• Employees may be accompanied at disciplinary meetings, and any appeal, if they wish,
by a work colleague of their choice (provided that presence of such colleague does not
prejudice the hearing or where such colleague may have a conflict of interest), or a
suitably qualified trade union official. If the person proposed by the employee is unable
to attend the meeting at the scheduled time, the employee will have the right to propose
an alternative time provided that it is both reasonable and falls within 5 days of the date
originally proposed for the meeting. During the meeting, the person accompanying the
employee may consult with the employee, and address the meeting, but may not answer
questions on the employee’s behalf.
• Where appropriate, help and guidance will be given to the employee to enable him/her to
achieve the required standards of conduct and/or attendance.
• Warnings will normally give details of the complaint(s), the improvement(s) required and
timescale, as well as informing the employee of the consequences of failure to improve
conduct to acceptable standards.
• All warnings will remain upon an employee's personal file indefinitely. However, subject
to satisfactory conduct, verbal warnings will be disregarded for disciplinary purposes after
a period of [6] months and written warnings after a period of [12] months [(18 months in
the case of a final written warning)] from the date of the letter/memorandum confirming
the warning. These periods will still apply where any time for improvement specified in
the warning letter expires before the period set out in this paragraph.
• At each stage of the Procedure, TME will inform the employee of his/her rights to appeal
against the disciplinary penalty imposed. Should any new evidence emerge during the
appeal, the employee will be given an opportunity to comment on this before the final
decision is taken.
Minor faults or areas of concern will usually be dealt with initially on an informal basis by way of
an informal verbal warning and/or counselling where necessary. After establishing the facts,
TME may consider that there is no need to resort to the formal Procedure, and that it is sufficient
to talk the matter over with the employee. A note of the informal warning will be kept on the
employee’s personal file. The purpose of an informal written warning is to provide an opportunity
for improvement in the matter to be corrected without the necessity for the Procedure be
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DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
instituted. However, where the matter is more serious, the stages of the Procedure set out below
will normally be followed.
There are three stages to the Procedure. TME may, however, initiate the Procedure at any
stage, or jump stages, depending on the circumstances of the case and the seriousness of the
misconduct/poor performance.
Stage 4 - Dismissal
• If conduct remains unsatisfactory, and the employee still fails to reach the prescribed
standards, or where conduct is sufficiently serious to warrant it, dismissal will normally
result. The employee will be provided, as soon as reasonably practicable, with written
confirmation of the dismissal and the date on which employment terminated or will
terminate.
5
DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
SUMMARY DISMISSAL
TME will only dismiss an employee summarily in the event of gross misconduct, or some other
serious breach of Company rules or of the contract of employment. Summary dismissal is
dismissal without notice; before deciding upon this course of action, TME will usually undertake
an investigation and hold a disciplinary hearing with the employee.
Misconduct
• The following are examples of the type of misconduct that may lead to verbal or written
warnings. These examples are provided for guidance only and should not be seen as
exhaustive.
• Examples of minor misconduct may include occasional lateness, minor work errors, minor
breaches of health & safety obligations, time wasting, lack of diligence, failure to comply
with reasonable instructions and general unsatisfactory conduct, including inappropriate
behaviour towards colleagues. Repeated minor misconduct of this sort may be treated
as more serious misconduct.
• Examples of more serious misconduct may include persistent lateness and extended
periods of unauthorised absence, persistent or serious work errors, persistent lack of
diligence, persistent failure to carry out reasonable instructions, repeated or more serious
breaches of health & safety obligations, discrimination on grounds of sex, race, etc.,
harassment of another employee, using offensive language, breach of TME’s email and
internet use policy and failure to respond adequately to a verbal warning.
Gross Misconduct
• Examples of gross misconduct may include fraud, theft or dishonesty, contravening health
and safety obligations so as to put others at risk, breach of confidentiality, unauthorised
disclosure of client information [(including, but not limited to, [list any particular
concerns])], being under the influence of drink or drugs during working hours, violent or
abusive behaviour, deliberate damage to Company property (or that of employees, clients
or visitors), tampering with any of TME’s systems or loading or using on Company
systems software that has not been specifically authorised for such use.
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DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
APPEALS
At any stage of the Procedure (including dismissal), an employee has a right to appeal against
the disciplinary decision. The employee should inform the [Human Resources Manager] in
writing within 7 working days of notification of the disciplinary decision setting out the reasons
for the appeal. All appeals will be dealt with as soon as is practicable in the circumstances. As
with the hearings at earlier stages the employee may be accompanied by a colleague (or trade
union official).
Wherever practicable, the appeal will be heard a more senior manager than whoever decided to
take the disciplinary action. Their decision shall be final within TME.
TME will confirm to the employee in writing the results of the appeal, and will outline the reasons
for the decision reached, as soon as is practicable after the appeal has been heard.
Where TME has taken the decision to dismiss an employee, dismissal will still take effect where
the employee wishes to appeal. Where an appeal against dismissal fails, the effective date of
termination will be taken as the date on which the employee was originally dismissed. If the
appeal is successful, the employee will be reinstated, with salary and benefits backdated to the
date of dismissal.
7
DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
GRIEVANCE PROCEDURE
POLICY
PROCEDURE
The aim of this Procedure is to settle any grievances raised in a fair and timely manner. The
main stages are:
• It is envisaged that the majority of routine grievances can be resolved on an informal
basis. Therefore, the grievance should first be discussed with the employee’s immediate
manager who will investigate the matter in an attempt to resolve the issue on an informal
basis.
• If it is not appropriate to raise the matter informally, or if the employee does not receive a
satisfactory outcome, the grievance should be made in writing to the [Human Resources
Manager] setting out full details.
• The [Human Resources Manager] will arrange for the grievance to be investigated and
will arrange for a hearing to be conducted by an appropriate manager. The hearing will
normally be held within [ten] working days of receipt of the written grievance, although
this may need to be extended depending on the length of the investigation and the
availability of the appropriate manager.
• Employees must take all reasonable steps to attend disciplinary meetings. However, the
employee must notify TME forthwith if they are unable to attend a meeting and a re-
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DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
scheduled meeting will be arranged within (usually) 5 days of the date originally proposed
for the meeting.
• During the hearing, the person accompanying the employee may consult with the
employee, and address the hearing, but may not answer question on the employee’s
behalf.
• Following the hearing, a written response will be given to the employee, normally within
[five] working days.
• If the employee is unsatisfied with the response, he or she may appeal in writing to the
[Human Resources Manager] setting out full details. The [Human Resources Manager]
will arrange for a further hearing to be conducted by a more senior manager than the
manager responsible for the original decision. Their decision will be final and there is no
further appeal from this decision.
• Following the hearing, a written response will be given to the employee, normally within
[five] working days.
• If the employee wishes to lodge a grievance after their employment has ended, TME and
the employee may either go through the hearing and appeals part of the Procedure, or
the parties can agree to deal with matters on the basis of a written grievance and
response (without a hearing). The parties will discuss whichever option is easiest at the
time.
GENERAL
At all times the Procedure will be carried out in confidence and any documents produced in
connection with the implementation of the Procedure will remain confidential.
In the event that it is not possible to deal with the matter in accordance with the timescales set
out above, the employee will be informed of this at the earliest opportunity.
This Grievance Procedure is intended only as a statement of policy and management guidelines.
It does not form part of individual contracts of employment or otherwise have contractual or other
legal effect. TME reserves the right not to follow this Procedure where it considers it appropriate
to do so.
9
DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
Job Title :
Department :
Solution Requested :
10
DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
Date Received :
Date of Enquiry :
Outcome of Enquiry:
I confirm that I now request this grievance to be referred to the Chief Executive Officer.
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DISCIPLINARY AND GRIEVANCE PROCEDURES
DOC. #: TME-IMSM-D-DGP Rev: 00 | Issued: Jan 2020
Date Received :
Date of Enquiry :
C.E.O. Comments :
C.E.O. Decision :
12
ANTI-CORRUPTION POLICY
ANTI-CORRUPTION POLICY
DOC. #: TME-IMSM-D-ACP Rev: 00 | Issued: March 2016
1 Contents
2 Objectives..............................................................................................................3
3 Scope and applicability ..........................................................................................3
4 Policy details..........................................................................................................3
5 Gifts and hospitality ...............................................................................................4
6 What is not acceptable? ..........................................................................................5
7 Willful blindness ....................................................................................................5
8 Facilitation payments and kickbacks ......................................................................5
9 Blackmail/ extortions .............................................................................................6
10 Charitable donations ..........................................................................................6
11 Business relationships ........................................................................................6
12 What we expect of a TMEite ................................................................................7
13 Record-keeping...................................................................................................8
14 What are the governing legislations? ...................................................................8
15 How to raise a concern .......................................................................................8
16 . What to do if you are a victim of bribery and corruption? ..................................8
17 Protection ...........................................................................................................9
18 Who is responsible for the Policy? .......................................................................9
19 Waiver and amendment of the policy ..................................................................9
This is an official document of Thani Murshid Est. Printed copies without the original seal of the company is
“Uncontrolled Copy”.
pg. 2
ANTI-CORRUPTION POLICY
DOC. #: TME-IMSM-D-ACP Rev: 00 | Issued: March 2016
Policy Details
2 Objectives
Thani Murshid Est (“TME”) is committed to the prevention, deterrence, and detection of
fraud, bribery, and all other corrupt business practices. It is TME’s policy to conduct all of
its business activities with honesty, integrity, and the highest possible ethical standards
and vigorously enforce its business practice, wherever it operates throughout the
organization, of not engaging in bribery or corruption.
4 Policy details
A bribe is an inducement, payment, reward or advantage offered, promised or provided to
any person in order to gain any commercial, contractual, regulatory or personal advantage.
It is illegal to directly or indirectly offer a bribe or receive a bribe. It is also a separate
offence to bribe a government/ public official. “Government/ public official” includes
officials, whether elected or appointed, who hold a legislative, administrative or judicial
position of any kind of Emirates.
A bribe may be anything of value and not just money -- gifts, inside information, corporate
hospitality or entertainment, offering employment to a relative, payment or reimbursement
of travel expenses, charitable donation or social contribution, abuse of function -- and can
pass directly or through a third party. Corruption includes wrongdoing on the part of an
authority or those in power through means that are illegitimate, immoral or incompatible
with ethical standards. Corruption often results from patronage and is associated with
bribery.
This is an official document of Thani Murshid Est. Printed copies without the original seal of the company is
“Uncontrolled Copy”.
pg. 3
ANTI-CORRUPTION POLICY
DOC. #: TME-IMSM-D-ACP Rev: 00 | Issued: March 2016
This is an official document of Thani Murshid Est. Printed copies without the original seal of the company is
“Uncontrolled Copy”.
pg. 4
ANTI-CORRUPTION POLICY
DOC. #: TME-IMSM-D-ACP Rev: 00 | Issued: March 2016
from the CEO and must notify the Compliance Officer at [email protected] for
recording in the gift and hospitality register.
The Compliance Officer will maintain a gift and hospitality register as a written record,
setting out full details of the gift or hospitality given or received including the approximate
value, the purpose or intention of the gift or hospitality, the name of the recipient and
provider of the gift or hospitality and their relationship.
7 Willful blindness
If an employee willfully ignores or turns a blind eye to any evidence of corruption or
bribery within his / her department and/or around him / her, it will also be taken against
the employee. Although such conduct may be “passive”, i.e. the employee may not have
directly participated in or may not have directly benefited from the corruption or bribery
concerned, the willful blindness to the same can, depending upon the circumstances, carry
the same disciplinary action as an intentional act.
This is an official document of Thani Murshid Est. Printed copies without the original seal of the company is
“Uncontrolled Copy”.
pg. 5
ANTI-CORRUPTION POLICY
DOC. #: TME-IMSM-D-ACP Rev: 00 | Issued: March 2016
advantage, such as a payment made to secure the award of a contract. You must avoid any
activity that might lead to or suggest that a Facilitation Payment or Kickback will be made
or accepted by TME.
Facilitation Payments are known to be prevalent in many countries and industry sectors.
There you may concern, that the inability to make such payments may cause difficulties in
doing business in some jurisdictions and that this may result in loss of income or contract.
The guidance set out below is intended to help support you in circumstances when you are
asked to make Facilitation Payments.
a. Guidance on how to avoid making Facilitation Payments
A government official demanding payments to perform routine government actions
may often put people acting on behalf of a company in very difficult positions.
Therefore, there is no easy solution to the problem. However, the following steps
may help:
• Insist on official receipts for any payments you make
• Report suspicions, concerns, queries and demands for Facilitation Payments
to the higher ups and to local enforcement authorities and refuse to make such
payments
9 Blackmail/ extortions
We remain committed to our policy of not making Facilitation Payments. The only limited
exception to this is in circumstances where you or the Third Parties are left with no
alternative but to make payments in order to protect against loss of life, limb or liberty. In
such circumstances, you make the payment and it is your immediate responsibility to
contact your Line Manager and the Compliance Officer via [email protected] as soon as
possible after the event, so that the incident can be properly recorded, reviewed and
accounted for with the authorities.
10 Charitable donations
As part of its corporate citizenship activities, TME may support local charities or provide
sponsorship, for example, to sporting or cultural events. We only make charitable
donations that are legal and ethical under local laws and practices and also within the
corporate governance framework of the organization, post obtaining an approval from the
CEO.
11 Business relationships
TME expects all Third Parties doing business with TME to approach issues of bribery and
corruption in a manner that is consistent with the principles set out in this Policy. TME
This is an official document of Thani Murshid Est. Printed copies without the original seal of the company is
“Uncontrolled Copy”.
pg. 6
ANTI-CORRUPTION POLICY
DOC. #: TME-IMSM-D-ACP Rev: 00 | Issued: March 2016
requires all Third Parties to cooperate and ensure compliance with these standards, to
continue the business relationship.
In order to maintain the highest standards of integrity, with respect to any dealings with a
Third Party, you must ensure that:
a. Employees and associates shall conduct due diligence inquiries to review the
integrity records of any Third Party before entering a commercial relationship
with them
b. Employees and associates shall fully document the engagement process and
the final approval of the selection of any Third Party
c. Employees and associates shall implement a program to provide appropriate
information on this Policy to all Third Parties engaged in business
relationship with TME
d. Employees and associates shall ensure that:
Each Third Party within your work area are fully briefed on this Policy
and have made a formal commitment in writing to abide by it
Fees and commissions agreed will be appropriate and justifiable
remuneration for legitimate services rendered
Contractual agreements will include appropriate wording making it
possible to withdraw from the relationship if any of the Third Parties
fail to abide by this Policy
In the event of any doubt on the integrity of a Third Party, it is the employee’s
responsibility to contact his / her Manager and the Compliance officer on
[email protected] as soon as possible.
This is an official document of Thani Murshid Est. Printed copies without the original seal of the company is
“Uncontrolled Copy”.
pg. 7
ANTI-CORRUPTION POLICY
DOC. #: TME-IMSM-D-ACP Rev: 00 | Issued: March 2016
13 Record-keeping
Employees must ensure all expense claims relating to hospitality, gifts or expenses
incurred by Third Parties are submitted in accordance with our expenses policy and
specifically record the reason for the expenditure.
All accounts, invoices, memoranda and other documents and records relating to dealings
with third parties, such as clients, suppliers and business contacts, should be prepared and
maintained with strict accuracy and completeness. No accounts will be kept “off-book” to
facilitate or conceal improper payments and the same is ensured through effective
monitoring and auditing mechanisms in place.
Employees must follow all the procedures laid out in other policies which help in anti-
bribery and corruption due diligence on suppliers, potential joint venture parties, clients
and other Third Parties.
This is an official document of Thani Murshid Est. Printed copies without the original seal of the company is
“Uncontrolled Copy”.
pg. 8
ANTI-CORRUPTION POLICY
DOC. #: TME-IMSM-D-ACP Rev: 00 | Issued: March 2016
believe that you are a victim of another form of corruption or other unlawful activity. You
must refuse to accept or make the payment from or to a third party, explain our policy
against accepting or making such payment and make it clear that the refusal is final and
non-negotiable because of this Policy. If you encounter any difficulty making this refusal,
you should seek assistance from your Line Manager.
17 Protection
Those who refuse to accept or offer a bribe or those who raise concerns or report another’s
wrong-doing are sometimes worried about possible repercussions. We encourage openness
and will support anyone who raises genuine concerns in good faith under this Policy, even
if they turn out to be mistaken. We are committed to ensuring that no one suffers any
detrimental treatment as a result of refusing to take part in bribery or corrupt activities or
because of reporting their suspicion in good faith that an actual or potential bribery or
other corruption offense has taken place or may take place in the future. If any employee
believes that he / she has suffered any such treatment, he / she should inform your
Manager or the Whistleblower Committee member via [email protected]
immediately.
1 Contents
2 SCOPE ........................................................................................................................ 3
3 INTRODUCTION .......................................................................................................... 3
4 POLICY ....................................................................................................................... 3
5 WHAT IS MONEY LAUNDERING? ................................................................................... 3
6 REPORTING ................................................................................................................ 4
7 CUSTOMER DUE DILIGENCE ......................................................................................... 4
8 GUIDANCE AND TRAINING .......................................................................................... 5
9 ANNEXURE – 1 AML Form 1 ...................................................................................... 6
ANTI-MONEY LAUNDERING POLICY
DOC. #: TME-IMSM-D-AMLP Rev: 00 | Issued: March 2016
2 SCOPE
THANI MURSHID EST. management will take measures to prevent its employees being
exposed to money laundering, to identify areas in which money laundering may occur and
to comply with legal and regulatory requirements, especially the process for reporting actual
or suspected money laundering cases to the Compliance Officer.
3 INTRODUCTION
The Money Laundering Regulations place obligations on TME and its employees with respect
to suspected money laundering, the key points being:
4 POLICY
The policy applies to all TME employees and sets out procedures for the reporting of
suspected money laundering activities with the aim to reduce potential criminal
activity. The policy defines procedures that will assist the management to comply with
its legal obligations
The Policy should be read alongside TMEs Anti-Corruption/ Whistleblowing Policy.
Failure of an employee to comply with the procedures defined within this policy may
lead to disciplinary action in line with the company’s Disciplinary Policy Procedures.
6 REPORTING
Any employee who suspects money laundering activity should report their suspicions
promptly to the Compliance Officer using the Reporting form ( Annexure -1 ). Upon
receipt of the report, the Compliance Officer may contact you directly to discuss the
content of the report as required.
No further enquiries should be made about the suspected money laundering after
reporting to the Compliance Officer for action. No further steps in any transaction
relating to the suspected money laundering should be made without authorization
from the Compliance Officer. For example, if repeated reported cash overpayments
are received to a specific account, seek guidance from the Compliance Officer before
the amounts are refunded.
No disclosure should be made to others that would indicate suspicions of money
laundering. Any employee reporting should not discuss the matter with others or note
on file that a report has been made to the Compliance Officer as this may result in
the suspect becoming aware of the situation.
The Compliance Officer will promptly evaluate any Disclosure Report to determine
whether it should be reported to the Management.
The Compliance Officer will, if necessary, promptly report the matter to the TME
Management.
Failure to report a disclosure to the TME Management is considered a criminal offence
without reasonable grounds. All disclosures will be retained on file for five years.
CONFIDENTIAL
From: __________________________________________
[Employee name]
Dept: __________________________________________
[Department]
URGENT: YES/NO
[Please include full details eg what, when, where, how. Continue on a separate sheet if
necessary]
Has any investigation been undertaken (as far as you are aware)?
If yes, please specify below, explaining why such discussion was necessary:
Please do not discuss the content of this report with anyone you believe to be involved in the
suspected money laundering activity described. To do so may constitute a tipping off offence
and subsequent disciplinary action taken against the defaulter.