GTJAI Grievance Handling Guideline

Grievance Handling Guideline

Guotai Junan International Holdings Limited (the “Company”) is committed to addressing workplace issues faced by employees through a fair and effective grievance mechanism. We strive to foster a positive and inclusive work environment where all employees are treated with respect and dignity.

The Employee Grievance Guideline applies to the Company and its subsidiaries. Employees are encouraged to raise any concerns or instances of unfair treatment with their immediate supervisors, department heads, or HR. We will address these issues through careful internal discussions or a rigorous grievance procedure, ensuring that all matters are handled with the utmost diligence.

1. Grievance procedure

The Company is committed to ensuring that all grievances are handled promptly, fairly and consistently with a zero-tolerance policy for any form of discrimination, harassment, bullying or unfair treatment. This procedure provides employees with a clear and straightforward process to raise their concerns and seek resolution.

Step 1: Internal Discussion with supervisor

·        Employees are encouraged to first attempt to resolve the grievance by discussing the issue with their immediate supervisor. Many grievances can be resolved quickly through open communication.

·        The employees may raise the grievances directly to HR or department head if they are not comfortable to discuss with their immediate supervisor.

Step 2: Formal Submission

• If the issue is unable to resolve through internal discussion with the immediate supervisor, the employee may submit a formal grievance to HR or department head in writing using the company’s Grievance Form.

• The formal grievance should outline the nature of the grievance,  details of the case and concerns, and any attempts/steps that have been taken but has failed to resolve before the submission.

Step 3: Grievance Review

• Upon receiving the formal grievance, HR or department head will acknowledge receipt within two (2) working days and begin a thorough investigation into the matter. 

• The scope and the parties involved of the investigation may vary depending on complexity and nature of the case. HR and/or the designated investigator(s) assigned by the senior management shall step in for the     investigation. They will conduct interviews with the relevant parties in the grievance such as the employee who filed the grievance, the subject person under the investigation and the witnesses in the case (if any). HR will keep the interview meeting records and notify the details of the interview to the supervisor and/ or department head of the parties involved where necessary.

• After reviewing the grievance and its supporting documents as well as all relevant information from the interviews, HR and/or investigator(s)  will summarize the findings and prepare the formal response. The formal response will then be reviewed and approved by the corresponding department head, reporting line or HR Committee depending on the severity of the case.

Step 4: Resolution

• HR and/or investigator(s) will provide a formal written response about the result of the investigation and the proposed     resolution to the employee who filed the grievance within fifteen (15) working days of the grievance submission.

• If the grievance is resolved to the satisfaction of the employee,  the process will be formally closed, and a closure report will be filed.

Step 5: Appeal

• If the employee is not satisfied with the outcome, they may appeal the decision with details of the grounds for appeal in writing within five     (5) working days to HR. The appeal will be escalated to HR Committee. (If HR Committee has already been involved in the decision at step 3, and the decision to which is considered as final, then it cannot be appealed unless new evidence or justification is presented.)

• A final decision on the appeal will be provided within fifteen (15) working days. This decision will be considered final and binding.

2. Zero Tolerance Policy

The Company upholds a strict zero tolerance approach towards any form of harassment, discrimination, bullying or retaliation in the workplace. All employees are entitled to work in an environment free from such behaviors, and any violation of this policy will be addressed with serious disciplinary action, which may include termination of employment.

Employees are strongly encouraged to report any concerns or grievances/complaints related to harassment, discrimination, bullying or retaliation without fear of reprisal. The Company is committed to handling all grievances promptly, with full confidentiality and ensuring that appropriate action is taken to resolve the issue and prevent recurrence.

3. Timeframes

The timeframes outlined in this grievance procedure are intended to facilitate the prompt and efficient resolution of all grievances. However, in cases where the complexity of the grievance requires more time for thorough investigation and review, the Company may extend the specified timelines. In such instances, the employee will be informed in advance of the reason for the delay and provided with an updated timeline for when a resolution can be expected.

4. Confidentiality

The Company is committed to maintaining strict confidentiality throughout the grievance process. Information related to grievances will only be shared with individuals who are directly involved in the investigation, resolution, or necessary decision-making processes. All parties involved in handling the grievance are required to maintain discretion and protect the privacy of the employee raising the concern. This ensures that sensitive information is safeguarded, fostering a secure and trusted environment for employees to express their concerns.

5. Non-retaliation

The Company is committed to protecting employees who raise grievances in good faith from any form of retaliation or adverse treatment. Employees who file a grievance or participate in an investigation will not face any negative consequences for doing so. Any act of retaliation, including intimidation, harassment or discrimination, against individuals utilizing the grievance procedure will result in disciplinary action, up to and including termination of employment.

If an employee makes a grievance which is found to be malicious with an ulterior motive, or for personal gain, the Company reserves the right to take appropriate actions against the employees to recover any loss or damage as a result of the false grievance. In particular, employees may face disciplinary action, including dismissal where appropriate.