Disciplinary Grievance

DISCIPLINARY
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-
3
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.
STAGES OF THE PROCEDURE
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
4
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 1 - Formal Verbal Warning

• In cases of minor breaches of discipline or misconduct, or where the employee has failed
to improve or remedy the problems identified within an informal verbal warning, an
employee will be given a formal verbal warning which will refer to the misconduct and of
the possible consequences of any repetition or failure to improve within a set time limit.
A note of the verbal warning will be entered on the employee's personal file and a copy
provided to the employee.
Stage 2 - First Written Warning

• In the event of more serious or further misconduct, the employee will normally be given a
first written warning. This will state the reason for the warning and will give a time limit
for improvement, including any action required by the employee to remedy the situation.
The employee will be informed of the consequences of any failure to improve his or her
conduct. A copy of this written warning will also be kept on the employee's personal file.
Stage 3 - Final Written Warning

• If, after previous warning(s), there is further misconduct or failure to improve standards,
or if the misconduct is sufficiently serious to warrant only one written warning, (but would
not justify dismissal), a final written warning will be given to the employee. This will state
the reason for the warning and will give a time limit for improvement, including any action
required by the employee to remedy the situation. It will also include a statement to the
effect that dismissal may result in the event of failure to improve conduct. A copy of the
final written warning will be kept on the employee's personal file.
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
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.
EXAMPLES OF CONDUCT WHICH WILL

TRIGGER THE DISCIPLINARY PROCESS
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.
6
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
GRIEVANCE PROCEDURE
POLICY
It is the policy of TME that all employees should:

• Be permitted to have any grievances in relation to their employment dealt with promptly
and fairly by an appropriate manager.
• Have the right to appeal to a more senior manager against a decision made in respect of
their grievance.
• Have the right to be accompanied by a work colleague of their own choice (provided that
the 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.
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-
8
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
ANNEXURE – A, GRIEVANCE FORM
(TO BE COMPLETED BY THE EMPLOYEE(S) LODGING THE GRIEVANCE)
Name of Employee : Employee No
Job Title :
Department :
Name of the Representative :
Cause of the Grievance :
Solution Requested :
Signature of Employee : Date Pick Date
10
(TO BE COMPLETED BY THE MANAGER)
Date Received :
Date of Enquiry :
Names of all persons :

present at Enquiry
Brief Summary of Enquiry (use additional paper is required): -
Outcome of Enquiry:
Signature of Representative Date Pick date
Signature of Manager Date Pick date
I confirm that I now request this grievance to be referred to the Chief Executive Officer.
Signature of Employee Date Pick date
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(TO BE COMPLETED BY HEAD OF DEPARTMENT)
Date Received :
If Enquiry Re- Convened :
Date of Enquiry :
Names of all persons present at Enquiry :
C.E.O. Comments :
C.E.O. Decision :
Employee’s Signature : Date Pick date
Representative’s Signature : Date Pick date
Executive Dean/Head’s Signature : Date Pick date
12
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
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.
3 Scope and applicability

This Anti-bribery and Anti-corruption Policy (this “Policy”) applies to all individuals in TME,
working for all affiliates and subsidiaries of TME at all levels and grades, including
directors, senior executives, officers, employees (whether permanent, fixed-term or
temporary), consultants, contractors, trainees, seconded staff, casual workers, volunteers,
interns, agents, or any other person associated with TME (collectively referred to as “You”
or “you” in this Policy).
In this Policy, “Third Party(es)” means any individual or organization, who / which come
into contact with TME or transact with TME and also includes actual and potential clients,
suppliers, business contacts, consultants, intermediaries, representatives, subcontractors,
agents, advisers, joint ventures and government & public bodies (including their advisers,
representatives and officials, politicians and political parties).
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.
pg. 3
5 Gifts and hospitality

Employees or members of their immediate families (spouse, mother, father, son, daughter,
brother, sister or any of these step- or in-law relationships, whether established by blood or
marriage including common law marriage) should not provide, solicit or accept cash or its
equivalent, entertainment, favors, gifts or anything of substance to or from competitors,
vendors, suppliers, customers or others that do business or are trying to do business with
TME. Loans from any persons or companies having or seeking business with TME, except
recognized financial institutions, should not be accepted. All relationships with those who
TME deals with should be cordial, but must be on an arm’s length basis. Nothing should be
accepted, nor should the employee have any outside involvement, that could impair, or
give the appearance of impairing, an employee's ability to perform his/her duties or to
exercise business judgment in a fair and unbiased manner.
This Policy does not prohibit normal and appropriate gifts, hospitality, entertainment and
promotional or other similar business expenditure, such as calendars, diaries, pens, meals
and invitations to the theater and sporting events (given and received), to or from Third
Parties. However, the key determining factor for appropriateness of the gift or hospitality
and/or its value would be based on facts and circumstances under which such gift or
hospitality is provided.
The practice of giving gifts and hospitality is recognized as an established and important
part of doing business. However, it is prohibited when they are used as bribes. Giving gifts
and hospitality varies between countries and sectors and what may be normal and
acceptable in one country may not be so in another. To avoid committing a bribery offence,
the gift or hospitality must be:
a. Reasonable and justifiable in all the circumstances
b. Intended to improve the image of TME, better present its products and services or
establish cordial relations
The giving or receiving gifts or hospitality is acceptable under this Policy if all the following
requirements are met:
a. It is not made with the intention of influencing a Third Party to obtain/ retain
business or a business advantage or to reward the provision or retention of
business or a business advantage or in explicit or implicit exchange for favors/
benefits or for any other corrupt purpose
b. It complies with local laws and customs
c. It does not include cash or a cash equivalent (such as gift certificates or vouchers)
d. It is appropriate in the circumstances. For example, it is customary for small gifts to
be given at festival time.
e. Taking into account the reason for the gift or hospitality, it is of an appropriate type
and value and given at an appropriate time
f. It is given openly, not secretly and in a manner that avoids the appearance of
impropriety
If the gifts or hospitality given or received is more than a token gift or modest meal/
entertainment in the ordinary course of business, you must obtain prior written approval
pg. 4
from the CEO and must notify the Compliance Officer at compliance@tmest.ae 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.
6 What is not acceptable?

It is not acceptable for any employee (or someone on his / her behalf) to:
a. Accept an offer of a gift of any size from any Third Party which is in negotiation
with, or is submitting a proposal with TME
b. Give, promise to give or offer, any payment, gift, hospitality or advantage with the
expectation or hope that a business advantage will be given or received or to reward
a business advantage already given
c. Give, promise to give or offer, any payment, gift or hospitality to a government
official, agent or representative to “facilitate” or expedite a routine procedure
d. Accept or solicit any payment, advantage, gift or hospitality from a Third Party that
you know or suspect is being offered with the expectation that it will obtain a
business advantage for them
e. Threaten or retaliate against, another employee who has refused to commit a
bribery offense or who has raised concerns under this Policy
f. Engage in any activity that might lead to a breach of this Policy
The points stated above are illustrative in nature and in no way intend to limit the
applicability of this Policy.
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.
8 Facilitation payments and kickbacks

Neither an employee of TME nor any person acting on behalf of TME shall make and shall
not accept facilitation payments or “kickbacks” of any kind. “Facilitation Payments” are
typically small, unofficial payments (sometimes known as “grease payments”) made to
secure or expedite a routine government action by a government official. “Kickbacks” are
typically payments made to commercial organizations in return for a business favor/
pg. 5
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 compliance@tmest.ae 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
pg. 6
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
compliance@tmest.ae as soon as possible.
12 What we expect of a TMEite

TMEites, are the pillars of this organization and are behind each TME success story. Every
employee must ensure that he / she shall read, understand and comply with this Policy. If
any employee has doubts or concerns, he / she should contact his / her Manager or the
Compliance Officer.
The prevention, detection, and reporting of bribery and other forms of corruption are the
responsibility of all those working for TME or under TME’s control. Employees are required
to avoid any activity that might lead to or suggest a breach of this Policy.
Employees must notify his / her Manager and the Compliance Officer via
compliance@tmest.ae as soon as possible if you believe or suspect that a breach of or
conflict with this Policy has occurred or may occur in the future.
Any employee who breaches this Policy will face disciplinary action, which could result in
dismissal. Any breach of this Policy would also result in imposition of large fines/
imprisonment on the individual/ the Company as the case may be or termination of
contract with a Third Party
pg. 7
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.
14 What are the governing legislations?

All national laws relating to bribery and corruption, especially such laws that are in place in
jurisdictions where TME has an office(s) or carries out its work, are of importance to the
Company. In setting out the principles included in this Policy particular attention has been
paid to the requirements of:
Bribery is punishable in the UAE according to articles 234 to 239 of the UAE Penal Code,
Federal Law No. 3 of 1987 (the Federal Penal Code). The Federal Penal Code applies to the
UAE as a whole. The Emirate Code of Dubai also has its own penal code, namely the Penal
Code
1970 (Dubai Penal In addition to the above, two further laws are directly related to bribery.
These are Federal Decree-Law No. 11of 2008 (also known as the ‘Federal Human
Resources Law’) and more recently Dubai Law No. 37 of 2009 on the Procedures for the
Recovery of Illegally Obtained Public and Private Funds (Financial Fraud Law). These are
each discussed in the relevant sections of this chapter.
15 How to raise a concern

Every person, to whom this policy applies too, is encouraged to raise their concerns about
any bribery issue or suspicion of malpractice at the earliest possible stage. If he / she is
unsure whether a particular act constitutes bribery or corruption or if he / she has any
other queries, these should be raised with their respective Manager and/or the Compliance
Officer via compliance@tmest.ae
16 . What to do if you are a victim of bribery and corruption?

It is your responsibility to inform / report it to your respective Managers and the
Compliance Officer via compliance@tmest.ae as soon as possible if you are offered a bribe
by a third party, you are asked to make one, suspect that this may happen in the future or
pg. 8
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 whistleblower@tmest.ae
immediately.
18 Who is responsible for the Policy?

The Chief Executive Officer has overall responsibility for ensuring that this Policy complies
with our legal and ethical obligations and that all those under our control comply with it.
Managers at all levels are responsible for ensuring that those reporting to them are made
aware of and understand this Policy, undertake training on how to implement and adhere
to it and also monitor compliance with it.
Compliance/ HR team is responsible for this Policy and for monitoring its use and
effectiveness (and dealing with any queries on its interpretation). Management at all levels
is responsible for ensuring that those reporting to them are made aware of and understand
this Policy and attend regular training on how to implement and adhere to it.
Every person to whom this policy applies is responsible for the success of this Policy and
should ensure that he / she should use it to disclose any suspected activity or wrong-
doing.
19 Waiver and amendment of the policy

We are committed to continuously reviewing and updating our policies and procedures
based on the learning. This is so even when TME enters new market/ sector/ country which
may pose a risk under this Policy. The Compliance/ HR team will monitor the effectiveness
and review the implementation of this Policy, regularly considering its suitability, adequacy,
and effectiveness. Any improvements identified will be made as soon as possible.
Therefore, this document is subject to modification. Any amendment or waiver of any
provision of this Policy must be approved in writing by the CEO. The Policy will be reviewed
and audited from time to time which requires cooperation from all concerned.
pg. 9
ANTI-MONEY
LAUNDERING POLICY
ANTI-MONEY LAUNDERING POLICY
DOC. #: TME-IMSM-D-AMLP Rev: 00 | Issued: March 2016
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
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:
 The reporting and detection of suspected money laundering.

 Employees must be vigilant for the signs of money laundering.
 Any employee who suspects money laundering activity must report this promptly
to the Compliance Officer.
 Should there be any doubt about the policy requirements, please request further
information from line management?
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.
5 WHAT IS MONEY LAUNDERING?

 Money laundering is a term used which relates to offences involving the proceeds of
crime or terrorism funds. The following acts are defined as acts of money laundering:
 Concealing, disguising, converting, transferring criminal property or removing.
 To enter into or become concerned in an arrangement which you know or suspect
will assist the acquisition, retention, use or control of criminal property or on
behalf of another person.
 Acquiring, using or possessing criminal property.
 While the risk to the council of breaching legislation is considered to be low, all
employees should be aware that they could be potentially exposed to money
laundering acts. It is important that all employees’ are aware of their responsibility to
report any suspicions of money laundering activity as detailed within this policy. All
employees are responsible for acting promptly and reporting any suspicions to the
Compliance Officer to prevent any breach of legislation which can lead to serious
criminal penalties.
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.
7 CUSTOMER DUE DILIGENCE

 Extra care needs to be taken when the team is carrying out regulated activities, this
is known as customer due diligence. Due to the nature and stringent guidelines for
regulated business, you will be aware if your duties involve regulated activities.
 If customer due diligence (CDD) applies, you must seek evidence of identity, for
example:
 Check the business’s website to confirm their business address.
 Conduct an on-line search to confirm the nature of business and identity of any
directors.
 Seek evidence of the key contact.
 Identification must be retained for five years after the end of the business
relationship.
8 GUIDANCE AND TRAINING
The Compliance Officer will make all aware of the requirements and obligations placed on
themselves as individuals by anti-money laundering legislation and give targeted training to
those most likely to encounter money laundering.
9 ANNEXURE – 1, AML Form 1

For completion by the Employee suspicious of activity
CONFIDENTIAL
Report to Compliance Officer
Money laundering activity
To: Compliance Officer
Thani Murshid Est.
Abu Dhabi - UAE
From: __________________________________________
[Employee name]
Dept: __________________________________________
[Department]
Ext/Tel No: __________________________________________
URGENT: YES/NO
Date by which response needed: ______________
Details of suspected offence:
Names(s) and address (es) of person(s) involved:
[If a company/public body please include details of nature of business]
Click here to enter text.
Nature, value and timing of activity involved:
[Please include full details eg what, when, where, how. Continue on a separate sheet if
necessary]

Nature of suspicions regarding such activity:
[Please continue on a separate sheet if necessary]
Has any investigation been undertaken (as far as you are aware)?
(Please tick the relevant box) ☐Yes ☐No
If yes, please include details below:
Have you discussed your suspicions with anyone else?
(Please tick the relevant box) ☐Yes ☐No
If yes, please specify below, explaining why such discussion was necessary:
Comments from Compliance Officer:

_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
___________________________________________________
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.

Disciplinary Grievance

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DISCIPLINARY

STAGES OF THE PROCEDURE

Stage 1 - Formal Verbal Warning

Stage 2 - First Written Warning

Stage 3 - Final Written Warning

EXAMPLES OF CONDUCT WHICH WILL

It is the policy of TME that all employees should:

ANNEXURE – A, GRIEVANCE FORM

(TO BE COMPLETED BY THE EMPLOYEE(S) LODGING THE GRIEVANCE)

Name of Employee : Employee No

Name of the Representative :

Cause of the Grievance :

Signature of Employee : Date Pick Date

(TO BE COMPLETED BY THE MANAGER)

Names of all persons :

Brief Summary of Enquiry (use additional paper is required): -

Signature of Representative Date Pick date

Signature of Manager Date Pick date

Signature of Employee Date Pick date

(TO BE COMPLETED BY HEAD OF DEPARTMENT)

If Enquiry Re- Convened :

Names of all persons present at Enquiry :

Employee’s Signature : Date Pick date

Representative’s Signature : Date Pick date

Executive Dean/Head’s Signature : Date Pick date

3 Scope and applicability

5 Gifts and hospitality

6 What is not acceptable?

8 Facilitation payments and kickbacks

12 What we expect of a TMEite

14 What are the governing legislations?

15 How to raise a concern

16 . What to do if you are a victim of bribery and corruption?

18 Who is responsible for the Policy?

19 Waiver and amendment of the policy

 The reporting and detection of suspected money laundering.

5 WHAT IS MONEY LAUNDERING?

7 CUSTOMER DUE DILIGENCE

9 ANNEXURE – 1, AML Form 1

Report to Compliance Officer

Money laundering activity

To: Compliance Officer

Thani Murshid Est.

Abu Dhabi - UAE

Ext/Tel No: __________________________________________

Date by which response needed: ______________

Details of suspected offence:

Names(s) and address (es) of person(s) involved:

[If a company/public body please include details of nature of business]

Click here to enter text.

Nature, value and timing of activity involved:

Click here to enter text.

[Please continue on a separate sheet if necessary]

Click here to enter text.

(Please tick the relevant box) ☐Yes ☐No

If yes, please include details below:

Click here to enter text.

Have you discussed your suspicions with anyone else?

(Please tick the relevant box) ☐Yes ☐No

Click here to enter text.

Comments from Compliance Officer:

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