whistleblower protection policy - uab · (ခ ) sms...

WHISTLEBLOWER PROTECTION POLICY

Whistleblower Protection Policy

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Table of Contents 1. Purpose ........................................................................................................................ 2

2. Commitment ................................................................................................................. 2

3. Scope .......................................................................................................................... 3

4. What is “Wrongdoing”? .................................................................................................. 3

5. Assurance to Employees ................................................................................................ 5

6. Reward ....................................................................................................................... 5

7. Reporting Wrongdoing – How to Report the Wrongdoing. ................................................. 6

8. Whistleblowing by Others .............................................................................................11

9. Whistleblower’s Responsibilities .....................................................................................11

10. Limitations ..................................................................................................................12

11. Revocation of Whistleblower Protection .........................................................................12

12. Investigating Wrongdoings ...........................................................................................13

13. Whistleblower Protection Officer (WPO).........................................................................14

14. Reporting & Governance ..............................................................................................15

15. Safe-Keeping of Documents ........................................................................................16

16. Important Contacts.....................................................................................................16


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မားယြငးေဆာငရြကမႈ အသေပးသ ကာကြယေပးမႈ မါဒ

1. Purpose

The Whistleblower Protection Policy (the Policy) is one of a number of Policies and Codes

that promotes a culture of compliance, honesty and ethical behavior within all levels of UAB employees. UAB’s aim is to encourage employees to report any Wrongdoing in good faith and in an environment free from victimization so that the Board and Senior Management can adequately manage risk and cultural issues within the Company. ဿ၉ ရညရြယခက

မားယြငးေဆာငရြကမႈအသေပးသကာကြယမႈ မါဒသည သတမတစႏနးမား၏ လကေလာညေထြရမႈ၈ သင႔ေလာမနကနမႈ၈ ေကာငးေသာခယခက၏ လပေဆာငမႈစေသာ UAB နထမးမား လကနာရနရ ေသာအမအကင႔မားက ထနးညေပးေသာမါဒမားႏင႔ သတမတပစမားထမ မါဒတစချဖစသည၉ UAB ၏ ရညရြယခကသည နထမးမားမ မားယြငးေသာေဆာငရြကမႈမားအား အျပသေဘာေဆာငေသာခယခကျဖင႔ သတငးပ႔ေဆာငရြကမအား အားေပးရနျဖစျပး၈ မားယြငးမႈမားေၾကာင႔ ခစားရေသာ နးကငအားပေပာကေစ လျခငးျဖစသည၉ ထပးေပါငးေဆာငရြကမႈမားမ Board အဖြ႔ႏင႔ Senior Management အဖြ႔မ UAB ၏ ဆးရး နငမႈအေျခအေနကစမခန႔ခြျခငး၈ အမအကင႔မားကထနးသမးရန လေလာကေသာစမမႈမားေဆာငရြကနင မညျဖစသည၉

2. Commitment

UAB’s CEO & Senior Management Team encourage all employees to report the

Wrongdoing. UAB’s attitude is “when in doubt report”. All staff should feel confident and comfortable about reporting wrongdoing. UAB’s Senior Management is committed to protecting and supporting the dignity, wellbeing, career and good name of anyone reporting Wrongdoing. ၀၉ သေဘာထားခယခက

UAB ၏ Chief Executive Officer ႏင႔ Senior Management အဖြ႔သည နထမးမားမ မားယြငး ေသာေဆာငရြကမႈမားအား သတငးေပးပ႔ရန အားေပးပါသည၉ နထမးမားသည မမေပးပ႔ေသာ သတငးအတြက လျခမႈ၈ ယၾကညမႈႏင႔ အဆငေျပေသာခစားမႈက ရရေစရမည၉ Senior Management


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အဖြ႔သည မားယြငးေသာေဆာငရြကမႈမားအား အျပသေဘာေဆာငေသာခယခကျဖင႔ သတငးပ႔ေဆာငရြက သအတြကကာကြယမႈ၈ ဂဏသကၡာ၈ ေကာငးမြနေသာအမအကင႔ ႏင႔ အမညေကာငးမားအတြက တာန ထမးေဆာငမႈနထမးမတတမးမားတြင ထည႔သြငးရန သေဘာထားခယခကထားရထားပါသည၉

3. Scope

The Policy applies to all internal stakeholders, including UAB Directors, Managers, staff,

contractors, consultants and each who plays a role in UAB. It sets out the minimum requirements for all to follow. ၁၉ ပါငပတသတေသာနးကင

ဤမါဒသည အတြငးအနးအငးပတသကသအားလးႏင႔ သကဆငျပး၈ UAB ၏ လပငနးက႑

အားလးတြငေဆာငရြကေနေသာ ဒါရကတာမား၈ မနေနဂာမား၈ နထမးမား၈ ကနထရကတာမား၈ အၾကေပး

မားပါငသည၉ ဤေဖာေဆာငမႈသည အားလးလကနာေဆာငရြကရနအတြက သင႔တင႔လအပေသာအခက

မားျဖစသည၉

4. What is “Wrongdoing”?

Examples of Wrongdoing include, but are not limited to, the following:

a breach of regulations or laws; a breach of UAB’s Policies and Codes; dishonest or corrupt behavior, including soliciting, accepting or offering a bribe,

facilitation payments or other such benefits; fraudulent activity; illegal activity (including theft, drug sale / use, violence or threatened violence and

property damage); impeding internal or external audit processes; improper behavior relating to accounting, internal accounting controls, actuarial, or audit matters; an activity that poses a substantial risk to the community & environment; a serious impropriety;


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conduct endangering health or safety; a substantial mismanagement of UAB’s resources; conduct that is detrimental to UAB’s financial position or reputation; and Concealment of Wrongdoing;

Conflict of Interest related Business Dealings/ Purchases/ Activities.

၂၉ “မားယြငးေသာေဆာငရြကမႈ” ဆသညမာ

“မားယြငးေသာေဆာငရြကမႈ”တြငပါငေသာ ေယဘယအခကမားမာ ေအာကပါအတငးျဖစသည၉ သ႔ေသာ

ဤသတမတခကမားအတြကသာအဓပၸာယသကေရာကမႈ မရေစရပါ၉

ျပဠာနးခကမား၈ ဥပေဒမားအားခးေဖာကျခငး၉

UAB ၏ မါဒမား၈ သတမတခကႏင လမးညႊနခကမား အားခးေဖာကျခငး၉

မရးသားမႈ (သ႕) အလြသးစားျပမႈ စေသာေငြေၾကး ႏင႔ အခြင႔အေရးမားအား မမနကနစြာ

အေပးအယျပျခငး၉

မမနကနစြာအေပးအယျပျခငး (သ႔) ကယကးစးပြားရယရန (self- interest/ personal interest)

ေဆာငရြကျခငး၉

မသမာေသာေငြေၾကးေဆာငရြကမႈ၉

ဥပေဒမ႔ေဆာငရြကမမား (ခးယမ၈ မးယစေဆးေရာငးယမႈ / အသးျပမႈ၈ အၾကမးဖကမႈ /

အၾကမးဖကျခမးေျခာကမႈ၈ ေငြေၾကးႏင႔ ဥစၥာပစၥညးမားဆးရးမႈ)၉

UAB ၏ စာရငးစစႏင႔ ျပငပစာရငးစစမားတ႔ႏင႔အတပးေပါငးေဆာငရြကမႈမရျခငး၈ ေရာငလႊျခငး၈

အစအစဥမား ၾကန႔ၾကာေစျခငး၉

ေငြစာရငးရငးလငးျခငး ႏင႔ ထနးသမးျခငး၈ စာရငးတြကခကျခငး၈ စာရငးစစျခငး စေသာကစၥမား

အတြက မေလာကနေသာေဆာငရြကမႈမား၉

ပတနးကငႏင႔ အသငးအနးမားအတြက မေကာငးေသာရလာဒ၈ ဆးရးနငမႈအေျခအေနမားရေသာ

မေလာကနေသာေဆာငရြကမႈ၉

ရညရြယခကရရ မမနကနေဆာငရြကျခငး၉

ကနးမာေရးအစအစဥ၈ လျခေရးအစအစဥမားအတြက အႏရာယရေသာ ျပမမႈ၉

UAB ၏ ေကာငးစြာအသးခနငေသာ အရငးအျမစမားအား လြမားစြာစမခန႔ခြျခငး၉

UAB ၏ ဘ႑ာေရး ႏင႔အစဥအလာေကာငးမႈတ႔အားေလာ႔ပါးေစေသာမမမနသည႔ေဆာငရြကမႈ၉

မားယြငးေသာေဆာငရြကမႈမားအားဖးကြယမႈျပျခငး


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5. Assurance to Employees

UAB assures that the employee providing information under this Policy will not be subjected to

any form of retribution whatsoever, provided that;

the disclosure is made in good faith;

the employee believes that there is malpractice and that he/she intends to disclose for

the best of other employees and the organization and

UAB shall also protect the employee against all acts of harassment, retaliation,

victimization or intimidation from subordinates, peers and superiors arising from the act

of such disclosure.

၃၉ နထမးမားသ႔ အာမခခကေပးျခငး

ဤမါဒသည သတငးေပးေသာနထမးမားအား မညသည႔ျပစဒဏကမ ခစားမႈမရေစရန ေအာက

ေဖာျပပါအခကမားအရ အာမခခကေပးထားပါသည၉

သတငးေပးေဖာထတမႈသည ေကာငးမြနေသာစတရငးျဖင႔ ေဆာငရြကျခငး၉

နထမး၏ မားယြငးေသာေဆာငရြကမႈက သတငးေပးေဖာထတျခငးသည လပေဖာကငဖကမားႏင႔

အဖြ႔အစညး၏ ေကာငးကးအတြက ေဆာငရြကျခငးျဖစသညဟ ယၾကညျခငး၉

UAB သည နထမးမား၏ သတငးေပးေဖာထတမႈအတြက မမ၏လကေအာကငယသား၈ လပေဖာ

ကငဖကမားႏင႔ အထကလၾကးမားမ အေႏာကအယကေပးျခငး၈ ခါးသးေသာတန႔ျပနမႈမား ျပလပ

ျခငး၈ မတရားဖႏပျခငးႏင႔ ျခမးေျခာကျခငးမားမရရေလေအာင ကာကြယေပးျခငး၉

6. Reward

At Management’s discretion, a reward (in any form deem appropriate) may be given to

the whistleblower if it is found that the information disclosed had enabled UAB to take

rectification measures and minimize potential or reputational losses/ damage.


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၄၉ ဆလာဘ

မားယြငးေသာေဆာငရြကမႈအေျခအေနႏင႔ပကသတ၍ သတငးေပးသထတေဖာေျပာၾကားထားေသာ

ေဖာထတခကသည UAB အတြက ေပၚေပါကလာႏငေသာ ဂဏသကၡာဆး႐ႈးမႈ၈ နစနာမႈကေလာ႔ခရနႏင႔

လစဟငးေသာလပငနးေဆာငတာမားအား ျပနလညျပျပငထနးသမးႏငျခငးကစၥမားတြင အေထာကအကျပ

ေစပါက သတငးေပးသအား ဆလာဘမားအား (သင႔ေတာေသာပစျဖင႔) ေပးအပသြားမညဟ စမခန႔ခြသမားမ

လကခထားပါသည၉

7. Reporting Wrongdoing – How to Report the Wrongdoing.

Any staff member can report Wrongdoing of others in two secured ways:

1. Direct Email Channel (handled/ escalated by Independent Personnel) 2. SMS Channel (handled/ escalated by Independent Personnel)

၅၉ မားယြငးေသာေဆာငရြကမမားအားသတငးပ႕ျခငး (Reporting Channels)

အားလးေသာနထမးမားသည လျခေသာနညးလမး(၀)ချဖင႔ မားယြငးေသာေဆာငရြကမႈမားအား သတငး

ပ႔နငသည၉

(က) Email လမးေၾကာငးျဖင႔ တကရကသတငးပ႔ျခငး ( [email protected])

(ခ ) SMS လမးေၾကာငးျဖင႔ သတငးပ႔ျခငး (09 44 44 36 309)

A. Direct Email Channel – [email protected] (respond time = within 12 hrs.)

Depending on the nature of the Wrongdoing, the staff member is encouraged to first

discuss their concern with their Manager/ Head of Department. However; if the staff member wishes first to seek advice from someone completely independent from Business Operations or Departments who is capable of taking actions or escalating on the reported matters while keeping it confidential in order to avoid any staff member being victimized due to reporting

mailto:[email protected]


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others’ wrong doing or non-compliance with UAB’s policies & procedures, this is the Channel they have to use.

Senior Management Team including the CEO takes your suggestions and advises on reporting the wrongdoings very seriously while ensuring your action is being protected to fully support/ encourage any staff member to help us find out & take actions against wrongdoings or non-compliance.

Common Types of Concern Direct Email Address Fraud or Financial Crime

[email protected] Staff or People Matters Compliance Matters Health & Safety Issue Any Potential Risk Matters

We expect the sender to above independent email channel with relevant information set out as

below:

Name Position/ Title Department Subject/ Highlight: Incident Summary: (including responsible personnel, Team & department)

Reports of Wrongdoing raised through this channel may be investigated using the UAB’s Incident Management Practices, and Staffs reporting Wrongdoing via these channels can be assured that they will be protected and that the investigation will be conducted in accordance with the principles of fairness and natural justice. UAB is prepared to appreciate your effort of reporting wrongdoings although the information from you is not relevant or correct after being investigated by Independent Personnel, which means, no penalties or action against incorrect reports sent through this Channel.



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(က) Email လမးေၾကာငးျဖင႔ တကရကသတငးပ႔ျခငး ([email protected])

အေၾကာငးၿပနၾကားခန - ဿ၀နာရအတြငး

မားယြငးေသာေဆာငရြကမႈ၏ အေျခအေနေပၚမတည၍ နထမးမားသည မမႏင႔တကရကသကဆင

ေသာမနေနဂာ၈ ဌာနတာနခမားႏင႔ ဥးစြာေဆြးေႏြးရန ပထမဆးၾကးစားရနျဖစသည၉ သ႔ေသာ နထမးသည

အျခားသ၏ မားယြငးေသာေဆာငရြကမႈ၈ UAB မါဒမားႏင႔ လမးစဥစသတမတမႈမားအား လကေလာညေထြ

မႈမရျခငးအေၾကာငးအားသတငးပ႔ျခငးမ ျဖစေပၚလာနငေသာအနရာယမားက ေရာငရားလ၍ သးျခားလြတ

လပသ၏ အၾကရယျပး၈ မမသတငးေပးပ႔ေသာကစၥ အားလျခ၍ ပမထေရာကေအာင ထပဆင႔သတငးပ႔

ေဆာငရြကေစလေသာအခါတြင ဤသတငးပ႔မႈလမးေၾကာငးအား အသးျပရမညျဖစသည၉

CEO ပါငေသာ Senior Management အဖြ႔သည သငေပးပ႔ေသာအၾကမားႏင႔ မားယြငးေသာ

ေဆာငရြကမႈသတငးပ႔မႈမားအားလျခစြာထနးသမး၍၈ ပမေကာငးမြနေသာနညးလမးမားျဖင႔ မားယြငးေသာ

ေဆာငရြကမႈ ႏင႔ လကေလာညေထြမရမႈမားအား ထနးေကာငးသြားမညျဖစသည၉

General သကဆငေသာအခကမား

[email protected]

ေငြေၾကးလမလညမႈ နထမးႏင႔ဆငေသာပဂၢလေရးကစၥမား လကေလာညေထြမရမႈ ကနးမာေရးႏင႔ လျခေရးကစၥ ျဖစေပၚလာနငေသာဆးရးမႈအႏရာယ သတငးပ႔သမ သကဆငလအပေသာ ေအာကေဖာျပပါအခကမား ျဖည႔ေပးရမညျဖစသည၉

အမည ရာထး ဌာန အေၾကာငးအရာ ျဖစစဥအကဥး (သကဆငေသာ/ တာနရေသာသအမည၈ အဖြ႔၈ ဌာန) ဤလမးေၾကာငးမ ေပးပ႕ေသာျဖစစဥမားအားစစမးအေျခခ၍UAB၏ Incident Management Practice

အတငးေဆာငရြကသြားမညျဖစသည၉ နထမးမားမ ေပးပ႕သည႔မားယြငးေသာ ေဆာငရြကမ ျဖစစဥမား

အားျပည႔ေသာ အကာအကြယေပးျခငးနင႔ စစမးစစေဆးမႈမားအားလညးလကေတြ႔က၍၈ ညမေသာ

လမးစဥမားနင႔ ေဆာငရြကသြားမညျဖစသည၉



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NOTE: UAB ၏သေဘာထားသညသင႔ဆမ“မားယြငးေသာေဆာငရြကမႈ”သတငးပ႔ျခငးအား ၾကဆပါသည၉ သ႕ေသာ သးျခားလြတလပေသာစစေဆးသမ စစမးစစေဆးျပးမနကနေသာသတငးပ႔မႈျဖစေစ (သ႔) မမနကန ေသာသတငးပ႕မႈျဖစေစ ထသတငးပ႕သသည မားယြငးေသာသတငးပ႔မႈအတြက အေရးယျခငးရမည မဟတပါ၉

B. SMS Reporting Channel – 09 44 44 36 309 (respond time = within 12 hrs.)

UAB also recognizes that staff may prefer to send SMS in certain circumstances due to, including but not limited to, the following, • they believe they may be victimized if they use work email to send to our email

reporting channel; or • they prefer to make the report via their private phone; or • they have limited access to Emails.

SMS Channel is an internet based reporting system in addition to the Direct Email Reporting Channel where Wrongdoing can be reported on an identified or anonymous basis. We expect the sender to above independent email channel with relevant information set out as

below:

Name Position/ Title Department Subject/ Highlight: Incident Summary: (including responsible personnel, Team & department)

Reports of Wrongdoing raised through this channel may be investigated using the UAB’s Incident Management Practices, and Staffs reporting Wrongdoing via these channels can be assured that they will be protected and that the investigation will be conducted in accordance with the principles of fairness and natural justice. UAB is prepared to appreciate your effort of reporting wrongdoings although the information from you is not relevant or correct after being investigated by Independent Personnel, which means, no penalties or action against incorrect reports sent through this Channel.


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(ခ) SMS လမးေၾကာငးျဖင႔ သတငးပ႔ျခငး ( 09 44 44 36 309 )

အေၾကာငးၿပနၾကားခန - ဿ၀နာရအတြငး

UAB မ နထမးမား၏ SMS အသးျပ၍ သတငးပ႔မႈအတြကလညးလကခေဆာငရြကေပးမညျဖစသည၉

ထေဆာငရြကမႈသည ေအာကပါအေျခအေနမားေပၚတြင အေျခခထားျပး၈ ဤအခကမားသကသကသာ

ကန႔သတထားမႈမရပါ၉

သတငးပ႔သမ မမသတငးေပးမႈအား Email လမးေၾကာငးျဖင႔ တကရကသတငးပ႔ျခငးသည၈

မမအားတခခထခကနငသညဟမတယျခငး၉

မမ၏ ပဂၢလကဖနးျဖင႔သာသတငးပ႔လျခငး၉

Email အသးျပရန မလြယကျခငး၉

SMS လမးေၾကာငးျဖင႔ သတငးပ႔ျခငးသည Internet ေပၚတြငအေျခခ၍ Email လမးေၾကာငးျဖင႔

တကရကသတငးပ႔ျခငးအား ဆကသြယထားျခငးျဖစသည၉ သတငးပ႔သမ သကဆငလအပေသာ ေအာက

ေဖာျပပါအခကမား ျဖည႔ေပးရမညျဖစသည၉

အမည ရာထး ဌာန အေၾကာငးအရာ ျဖစစဥအကဥး (သကဆငေသာ/ တာနရေသာသအမည၈ အဖြ႔၈ ဌာန)

NOTE: UAB ၏သေဘာထားသညသင႔ဆမ “မားယြငးေသာေဆာငရြကမႈ”သတငးပ႔ျခငးအား ၾကဆပါသည၉သ႕ေသာ သးျခားလြတလပေသာစစေဆးသမ စစမးစစေဆးျပးမနကနေသာသတငးပ႔မျဖစေစ (သ႔) မမနကနေသာ သတငးပ႕မ ျဖစေစထသတငးပ႕သသည မားယြငးေသာသတငးပ႔မအတြက အေရးယျခငးရမညမဟတပါ၉


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8. Whistleblowing by Others

In cases where any person (other than the Bank employees) blows the whistle, the

protection accorded are as per this Policy.

၆၉ အျခားသမားမ မားယြငးေသာေဆာငရြကမႈမားအား ေဖာထတသတငးေပးပ႔ျခငး

အျခားသမားမ (ဘဏနထမးမဟတေသာအျခားသမား) မားယြငးေသာေဆာငရြကမႈမားအား

ေဖာထတသတငးေပးပ႔ျခငးႏင႔ပကသတ၍ အကာအကြယေပးမႈသည ဤမါဒပါျပဌာနးခကမားအတငး

အကာအကြယေပးသြားမညျဖစသည၉

9. Whistleblower’s Responsibilities

To facilitate investigations to proceed in an orderly manner, the whistleblower must

observe the following:

a) Do not contact the suspected party in an effort to determine the facts or demand restitution.

b) Except to the Designated Person, do not discuss or divulge information of the case to any internal or external third party.

၇၉ မားယြငးေသာေဆာငရြကမႈမားအား သတငးေပးသ၏ တာနရမႈ ေကာငးမြနျပည႔စ၍ လေလာကေသာေဆာငရြကမႈမား ေဆာငရြကနငရနအတြက သတငးေပး

ေဖာထတသသည ေအာကေဖာျပပါ အခကမားအား သရရမညျဖစသည၉

(က) သသယရသမားႏင႔ ဆကသြယ၍ အေၾကာငးအရာမားေျပာငးလျခငး (သ႔) ထသ႔ေျပာငး

လေပးမႈအတြက ေတာငးဆျခငးက႔သ႔ေသာ ညႏႈငးေဆာငရြကမႈမားမျပလပရန၉

(ခ) သတမတထားေသာ ဆကသြယေဆာငရြကရမည႔ လပဂၢလမလြ၍ အျခားေသာ

လပငနးခြငအတြငးရလ (သ႔) ျပငပရလ မညသတစဥးတစေယာကကမ ထတေဖာေျပာၾကားျခငး မျပရန၉


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10. Limitations

In order to protect the interest of UAB’s reporting culture, the independent personnel

cannot initiate the wrongdoing investigation protocol effectively (time delay in responses may occur) if the reporting staff cannot provide his/ her own identity and adequate information about his/ her Concern on certain matter.

This Policy does not cover the following:

Staff grievances. Such cases are covered under the Human Resources Policy; Financial, business or strategic decisions made by the Senior Management.

ဿ၉ ကန႔သတတားျမစမမား (Limitations)

UAB ၏ သတငးပ႔မအကင႔ေကာငးမားအား ကာကြယရနအတြကႏင႔ လြတလပေသာေဆာငရြကသ

သည မားယြငးေသာသတငးပ႔မမားအားစစမးရာတြင ပမထေရာကမရေစရနအတြက သတငးပ႔သသည

မမ၏အခကအလကႏင႔လအပေသာအခကအလကမား ႏငတကြ သတငးပ႕ရမည၉ သ႔မသာ အခနၾကန႔ၾကာ

မမားမရပ ပမထေရာကမရမညျဖစသည၉

11. Revocation of Whistleblower Protection

Whistleblower protection shall be revoked if it is of the opinion based on its investigation

or in the course of its investigation that –

a) the whistleblower himself has participated in the improper conduct disclosed; b) the whistleblower willfully made in his disclosure of improper conduct a material

statement which he knew or believed to be false or did not believe to be true; c) the disclosure of improper conduct is frivolous or vexatious; d) the disclosure of improper conduct principally involves questioning the merits of

Bank’s Board policy; e) the disclosure of improper conduct is made solely or substantially with the

motive of avoiding dismissal or other disciplinary action; or


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f) the whistleblower, in the course of making the disclosure or providing further information, commits an offence under the Human Resources Policy & Guidelines.

ဿဿ၉ သတငးေပးေဖာထတသအတြက အကာအကြယေပးမႈအား ရပသမးျခငး

စစမးစစေဆးမႈႏင႔ သးသပခကမားျပလပရာတြင ေအာကပါအေျခခအခကမားေတြ႔ရပါက သတငး

ေပးေဖာထတသအတြက အကာအကြယေပးမႈအား ျပနလညရပသမးသြားမညျဖစသည၉ (က) သတငးေပးေဖာထတသကယတင မားယြငးေသာေဆာငရြကမႈမားတြင ပါငေဆာငရြကျပး

သတငးေပးေဖာထတျခငး၉

(ခ) သတငးေပးေဖာထတသသည မားယြငးေသာေဆာငရြကမႈမားနင႔ ပကသတ၍ မားသညဟ

သရနားလညျခငး (သ႔) မနသညဟယၾကညခကမရဘ မမကယတငလြမားစြာ သတငးေပးပ႔ျခငး၉

(ဂ) မားယြငးေသာေဆာငရြကမႈမားအေပၚ သတငးေပးေဖာထတမႈသည ေသခာမႈမရျခငး၈ မေက

နပမႈမားအေပၚတြငအေျခခ၍ သတငးေပးပ႔ျခငး၉

(ဃ) မားယြငးေသာေဆာငရြကမႈမားအေပၚ သတငးေပးေဖာထတမႈသည ဘဏ၏ ဘတအဖြ႔

အစညးမခမတထားေသာ မါဒမားအေပၚ ဆန႔ကငမႈျပျခငး၉

(င) မားယြငးေသာေဆာငရြကမႈမားတြင မမကယတငပါငပတသတျပး အေရးယခရျခငးမား

မရေစရနရညရြယခကျဖင႔ သတငးေပးေဖာထတျခငး၉

(စ) သတငးေပးေဖာထတသကယတင နထမးေရးရာမါဒမားႏင႔ လမးညြနမႈမားအား ေဖာက

ဖကျပးေနာကမ မားယြငးေသာေဆာငရြကမႈမား ႏင႔ အျခားအေၾကာငးအရာမားက ေဖာထတသတငးေပး

ျခငး၉

12. Investigating Wrongdoings

Investigations of Wrongdoing will be conducted in a manner that is confidential, fair and

objective. The investigation processes will vary depending on the nature of the Wrongdoing and the amount of information provided. For a report to be investigated, it must contain sufficient information to form a reasonable basis for investigation. A staff member reporting anonymously, should provide as much information as possible so as not to compromise the ability to fully investigate the report. A Whistleblower will always be informed of the outcome of the investigation. In cases where the Whistleblower Investigator has not substantiated the


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allegations, an appropriate explanation will be made to the Whistleblower, subject to any privacy and confidentiality rights.

ဿ၀၉ မားယြငးေဆာငရြကမအတြက စစမးစစေဆးျခငး (Investigating the Reports)

မားယြငးေသာေဆာငရြကမ စစမးစစေဆးျခငး အားလျခမ၈ ညမမႈရေစရန အဆငဆငေဖာေဆာင

သြားမညျဖစသည၉ စစမးစစေဆးမႈလပငနးစဥမားသည မားယြငးေဆာငရြကမႈ အေျခအေနမားႏင႔ ေပးပ႔

ေသာ သတငးအခကအလကမားေပၚတြင မားစြာမခပါသည၉ စစမးစစေဆးမအတြက သတငးပ႔မႈသည

စစမးစစေဆးမႈေစ႔စပစြာေဖာေဆာငရနအတြက ျပည႔စလအပေသာအခကမား ပါရရမည၉ သတငးေပးသ

အမညက၍ေပးပ႔ေသာသတငးပ႔မႈမားသည စစမးစစေဆးမႈ လြယကရနအတြက ပမျပည႔စေသာ သတငး

အခကအလကမားအား ထပမပပးေပးရမည၉ သ႔မသာသတငးပ႔မႈအတြက ေသခာစြာစစမးနငမညျဖစသည၉

သတငးပ႔သအားလညး စစမးမႈ၏ရလာဒကအေၾကာငးၾကားမညျဖစသည၉ စစမးစစေဆးသမ ျပစမႈတစတရာ

မေတြ႕ရပါက သတငးေပးပ႔သသ႕ သင႔တင႔ေသာအေျဖအား လ႕ကစြာျပနၾကားမညျဖစျပး၈ ဤအေၾကာငး

အရာႏငပတသက၍ သတငးလ႕ကထားမႈ အခြင႔အေရးရရမညျဖစသည၉

13. Whistleblower Protection Officer (WPO)

UAB’s Policy provides for the appointment of the Whistleblower Protection Officer

(WPO). The WPO is responsible for protecting the Whistleblower from being victimized as a result of making a report. Any staff member reporting Wrongdoing can seek advice from the Whistleblower Protection Officer prior to or after making a report. The Whistleblower Protection Officer can protect the Whistleblower in a number of ways with the approval from Management; including, but not limited to, the following.

Ensuring confidentiality in the investigation. Protecting, as far as legally possible, the staff member’s identity. Offering a staff member leave of absence if necessary while a matter is being

investigated. Relocating the staff member or other staff to a different work group or department.

ဿ၁၉ သတငးပ႔သကာကြယမႈ အရာရ (WPO)


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UAB ၏မါဒမ မားယြငးေသာေဆာငရြကမႈ အေျခအေနသတငးေပးသ ကာကြယမႈအရာရ (Whistle

blower Protection Officer – WPO) ကခန႔အပပါသည၉ ထအရာရမ သတငးေပးေဆာငရြကသ အားနစနာမႈ

မရေအာင သတငးျပစနငေအာင ကာကြယရမညျဖစသည၉ သတငးေပးေဆာငရြကသသည WPO

အရာရထမ ၾကတင၍လညးေကာငး (သ႔) စစစျပးေသာအခါတြငလညးေကာငး လမးညႊနမႈအားရယနငမည

ျဖစသည၉

WPO အရာရမ မားယြငးေသာေဆာငရြကမႈအေျခအေနသတငးေပးသအား ေအာကေဖာျပပါ နညး

လမးမားျဖင႔ ကာကြယမႈျပသြားမညျဖစသည၉

လ႕ကစြာ စစမးစစေဆးမႈအားေဆာငရြကထနးသမးသြားမညျဖစသည၉

ဥပေဒအကာအကြယျပမႈျဖင႔ ပတသကသ၏ အခကအလကမားအားထနးသမးသြားမညျဖစသည၉

လအပပါက ပတသကသမားအားေနရာမားေရႊေျပာငးထားျခငး (သ႔) အျခားဌာနမားတြင ေနရာခ

ထားျခငးမားေဆာငရြကသြားမည ျဖစသည၉

(ဤအခကမားသကသကသာကန႔သတထားမႈမရပါ)

14. Reporting & Governance

Enterprise Compliance & Risk reviews the reports submitted through above mentioned

reporting channels & investigation results. Reports are also provided regularly to the Board Risk Management Committee (BRC) and Matters are referred to the Board Audit Committee by the BRC where relevant, e.g. any matters relating to accounting, internal control or audit concerns. The Policy is reviewed regularly and whenever there are significant regulatory changes or business needs. A breach of the Policy by any employee may, in some circumstances, result in UAB’s Disciplinary Action.

ဿ၂၉ သတငးပ႔မႏင႔ အပခပမႈ (Reporting & Governance)

Enterprise Compliance & Risk မ အထကေဖာျပပါ သတငးပ႔မႈနညးလမး (၀) ခမ သတငးပ႔မႈမား ကသတငးျပစျပး၈ ေျဖရငးမႈေဆာငရြကေပးမညျဖစသည၉ ျပစထားေသာသတငးမားအား Board Risk Management Committee (BRC) သ႔ ပမနေပးပ႔သြားမည ျဖစသည၉ BRC မ သကဆငေသာကစၥမားအား Board Audit Committee သ႕ ေပးပ႔သြားမညျဖစသည၉ (ဥပမာ၉ accounting ၈ internal control၈ audit ႏင႔ ဆငေသာကစၥရပမား)၉ ဤမါဒအား ပမနသးသပသြားမညျဖစျပး၈ ဥပေဒျပဌာနးမ၈ စးပြားေရးႏင႔ ပတသက မႈမားအတြက သးသပရနလအပပါက ျပနလညျပငဆငေရးဆြသြားမညျဖစသည၉ ဤမါဒမျပဌာနးခက


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မားအား နထမးမားမ ေဖာကဖကပါက UAB အေနျဖင အေရးယေဆာငရြကမႈမား ျပလပသြားမညျဖစသည၉

15. Safe-Keeping of Documents

The Designated Person is responsible to ensure that confidentiality remains his

top priority. As such, all records pertaining to the information provided by the

whistleblower is kept secured and locked at all the times to prevent unauthorized

access.

ဿ၃၉ စာရြကစာတမးမား ထနးသမးေစာင႔ေရာကျခငး

သတမတထားေသာပဂၢလသည လ႕ကရမည႔အခကမားအား ထနးသမးေစာင႔ေရာကရမည႔တာန

က အဓကတာနယရမညျဖစသည၉ ထ႔အျပင ေဖာထတေပးပ႔ထားေသာ သတငးအၾကာငးအရာမားအား

အခြင႔မရသမားမ သရသြားျခငးမရရေလေအာင အခနတငး လျခစြာထနးသမးရမညျဖစသည၉

16. Important Contacts

Note: Below contacts are not for the purpose of Reporting the Wrongdoing but for seeking advices of how to report the wrongdoing while being protected from victimization threat.

ဿ၄၉ အေရးၾကး Contact အခကအလက (Key Contacts)

မတခက ၉ ေအာကေဖာျပပါ အဆကသြယရမည႔ဌာနမားသည မားယြငးေသာေဆာငရြကမႈ အေျခ

အေနသတငးေပးမႈမား အားေပးပ႔ရမညေနရာမဟတေပ၉ သ႕ေသာ ထဌာနမားမ မမ၏သတငးပ႔၏ ထခက

နငမႈအား မညသ႔ကာကြယႏငမညက လမးညႊနေပးနငမညျဖစသည၉

Compliance Department


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Office Phone: + 951 860 3009 – 18 (ext. 417) Mobile: 09 431 64 345 Email: [email protected] Location: UAB Head Office Yangon

People Consultant – HR Officer

Office Phone: + 951 860 3009 – 18 (ext:307 or 178) Mobile: Nil Email: [email protected] Location: UAB Head Office Yangon

Whistleblower Protection Officer (WPO)

Office Phone: + 951 860 3009 – 18 (ext. 415) Mobile: 09 424 599 866 Up-dated on 1st Dec 2017 Email: [email protected] Location: UAB Head Office Yangon

