1. This policy covers all employees, whether they are part-time, full-time or term-contract, working with KBZ MS GENERAL INSURANCE.
2. The Disciplinary Procedure will be used when necessary. Where possible, informal and/or formal counselling will be used to resolve matters prior to any disciplinary action being taken. The procedure is intended to be positive rather than punitive but takes cognizance of the fact that sanctions may have to be applied when necessary. An employee can discuss any part of this policy with their Line Manager who can give guidance and support where it may be needed.
3. Suspension is not disciplinary action. Suspension can be used when it is necessary to remove an employee from the workplace pending an investigation while it is ongoing for their own or others’ protection, to prevent them influencing or being influenced by others or to prevent possible interference with evidence. The Manager in charge of that employee should recommend the suspension to HR Head who will evaluate and seek the approval of CEO. For CEO level and above, approval is to be sought from their reporting supervisors.The terms of the suspension (including period of suspension, with or without pay) will be determined then.
4. An employee suspended from duty will receive written confirmation issued by HR Head within five (05) days of:
4.1 the reason for the suspension.
4.2 the date and time from which the suspension will operate.
4.3 the timescale of the ongoing investigation.
5. The employee has the right of appeal against the suspension to the MD or BOD through his manager and HR Head.
6. Counselling is an attempt to correct a situation and prevent it from getting worse without having to use the disciplinary procedure. Where improvement is required, the employee must be given clear guidelines as to:
6.1 what is expected in terms of improving shortcomings in conduct or performance
6.2 the time scales for improvement
6.3 when this will be reviewed
6.4 the employee must also be told, where appropriate, that failure to improve may result in formal disciplinary action.
7. A record of the counselling should be given to the employee and a copy retained in their personnel file. It is imperative that any counselling should be followed up and improvements recognized and recorded. Once the counselling objectives have been met, a note should be made in the employee’s file and the case closed.
8. If during counselling it becomes clear to the counsellor (usually the employee’s manager) that the matter is more serious, then the discussion should be adjourned. The counsellor should then raise the matter to HR Head to pursue under the formal disciplinary procedure. HR Head will review the matter and recommend to CEO for approval on whether a formal disciplinary procedure is warranted or not.
D1. Composition and responsibility of the Investigation Team
9. When a formal disciplinary procedure is deemed to be warranted, HR Head would initiate the proceedings. HR Head would appoint an investigation team (comprising between 1 to 3 persons), with CEO’s approval, to find out the facts of the matter and set the timeline for the investigation to be concluded. Formal investigations should be carried out by the most appropriate manager(s) who is not directly involved with the incident being investigated –this is to ensure impartiality of the investigations. All the relevant facts should be gathered promptly as soon as is practicable after the incident. Statements should be taken from witnesses at the earliest opportunity. Any physical evidence should be preserved and/or photographed if reasonable to do so.
10. A detailed report together with recommendations on whether further action should be taken should be prepared and submitted to HR Head who will evaluate and recommend to CEO for approval. At the full discretion of KBZ MS GENERAL INSURANCE, this report or excerpts of it may be made available to the employee.
For CEO level and above regarding paras 9 and 10, approval will be obtained from their reporting supervisors.
11. Where disciplinary hearing is the decision, HR Head will initiate the proceedings (see section 15 below).
D2. Composition and responsibilities of the COI
12. Where serious misconduct is suspected, HR Head will seek CEO’s approval to set up a Committee of Inquiry (COI) and the composition of the COI (comprising 3 to 4 persons with HR representative serving as Secretariat) will be approved by CEO. For CEO level and above, approval will be sought from their reporting supervisors.
13. Following the full presentation of the facts, and the opportunity afforded to the employee to state his/her side of the case, the COI should be adjourned. The members of the COI would discuss the case and decide which of the following option is appropriate:
13.1 take no further action against the employee
13.2 recommend counselling for the employee
13.3 recommend the disciplinary action –this could include verbal warning, written warning, transfer to another post, stopping of annual salary increase or deferment of promotion, downgrading/demotion, dismissal
14. The findings and recommendations of the COI should be presented to CEOwithin 7 working days of the conclusion of the COI. If more time is needed, the COI will seek CEO’s approval for an extension. The employee would be informed of the decision in writing by HR Head (no further action or counselling or disciplinary action) within 7 working days from CEO’s approval of the COI report.
For CEO level and above, approval will be obtained from their reporting supervisors.
D-3. Disciplinary Hearing
15. The disciplinary hearing should take place within 7 working days of the employee being informed of the hearing. The composition of the Disciplinary Committee (2 –4 persons) will be approved by CEO. The Secretary of the Disciplinary Committee will always be from HR Department. The Chairperson would inform the employee the facts of the investigation and ask employee if he/she has anything further to say in relation to the case. The disciplinary hearing report containing the findings and the recommendations would be submitted to CEO within 7 working days (if more time is needed, CEO’s approval for extension will be sought). For CEO level and above, there port will be submitted to their reporting supervisors.
16. Should any employee who is subject to disciplinary action resign during the course of it, the action will cease unless there are extenuating circumstances which require its continuance.
17. Examples of Minor Misconduct
17.1 Below are listed examples of misconduct which may warrant either a Verbal Warning or a First Written Warning. This list is not exhaustive and that on all occasions a proper investigation must take place prior to the issue of a warning.
18. Verbal Warning
18.1 A Verbal Warning is appropriate when it is necessary for the manager in charge to take action against an employee for any minor failing or minor misconduct.
18.2 A note is made by the manager in charge when a verbal warning is given to the employee –it must contain the date of the verbal warning and what the misconduct or failing was, and what was informed to the employee. This note should be given to the HR Head and filed in the employee’s file.
19. First Written Warning
19.1 A First Written Warning is appropriate when:
19.2 A copy of the warning letter issued by HR Head, is filed in the employee’s personnel file.
20. Examples of Gross –Misconduct
20.1 Listed below are examples of misconduct which may be considered to be Gross Misconduct and may warrant a Final Warning, Demotion or Dismissal. This list is not exhaustive and that on all occasions a proper investigation must take place prior to the issuing of a Final Warning, Demotion or Dismissal.
21. Final Written Warning
21.1 A Final Written Warning is appropriate when:
22. Stopping of annual salary increase or deferment of promotion
22.1 This action is appropriate when:
23. Downgrading or Transfer to another Post
23.1 This action is appropriate when:
24. Dismissal
24.1 Dismissal is appropriate when
25. Time Scales for the expiry of Warnings
25.1 Warnings issued to employees shall be deemed to have expired after the following periods of time.
This is only upon the employee having been assessed by the manager to have reformed.
25.2 During the period where the warning is valid, the employee would be monitored for improvements by the manager.
25.3 These time scales remain if during that period, no further warnings have been issued in respect of the employee's conduct.
26. All Warnings must contain the following information
27. The letter confirming dismissal will contain the following information:
Appeals
28. Every employee is granted the right to appeal once against the outcome of a disciplinary hearing. The basis of an appeal should normally relate to one of the following areas:
29. An appeal should be put in writing to MD/BOD. The letter should contain the grounds for appeal and should be lodged within 10 working days of receipt of the warning/dismissal letter.
30. An appeal will be arranged within 20 working days of receipt of the appeal letter. HR Head will be responsible for such arrangements. The Appeals Committee (2 to 4 persons) composition will be approved by MD/BOD. The Appeals Committee will review the case and submit its recommendations to MD/BOD for approval. This decision is final,and no further appeals will be permitted.
31. In the event an employee is detained by the authorities for any investigations, he/she will be suspended from KBZ MS GENERAL INSURANCE for the duration of the absence. Whether the suspension period is paid (full or partial) or unpaid is up to the sole discretion of the CEO on the recommendation of HR Head. In the event that after the investigation, the authorities take no further action, the company will reinstate the employee and the decision whether full pay is backdated to the start of the suspension period will be at the sole discretion of the company. For CEO level and above, the process will be done by their reporting supervisors.
32. In the event that after the trial and an employee is found guilty, he/she will be dismissed.
33. This Policy shall take effect from the date of signing. All revisions, adjustment or addition made to this Policy must be decided by authorized person.
34. This Policy shall be made in both English and Burmese. If there are any discrepancies between the 2 versions, the English version shall prevail.
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