Resolution
No. (4) of 2025
Approving
the Terms of Reference of the
Central
Violations Committee and the Grievances Committee
of
the Financial Audit Authority[1]
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We,
Maktoum bin Mohammed bin Rashid Al Maktoum, First Deputy Ruler of Dubai,
Chairman of the Financial Audit Authority,
After perusal of:
Law
No. (4) of 2018 Establishing the Financial Audit Authority and its amendments;
Law
No. (8) of 2018 Concerning Management of the Government of Dubai Human
Resources and its amendments;
Decree
No. (14) of 2018 Appointing the Chairman of the Financial Audit Authority;
Decree
No. (27) of 2018 Establishing the Central Paramilitary Grievance Committee in
Dubai and Approving its Terms of Reference, as amended;
Executive
Council Resolution No. (41) of 2015 Concerning the Central Grievance Committee
of Employees of the Government of Dubai;
Executive
Council Resolution No. (4) of 2019 Approving the Disciplinary, Grievances, and
Complaints Regulation of Employees of the Government of Dubai; and
Resolution
No. (1) of 2019 Forming the Grievances Committee of the Financial Audit
Authority,
Do
hereby issue this Resolution.
Pursuant
to this Resolution, the “Terms of Reference of the Central Violations Committee
and the Grievances Committee of the Financial Audit Authority" attached to
this Resolution, inclusive of the rules, procedures, and provisions set forth
therein, are approved.
The
Terms of Reference approved pursuant to this Resolution apply to:
1.
the Employees of Auditees and the
Officials in Charge of Auditees who occupy posts at the "Executive
Director/ CEO" grade, or equivalent grades; and
2.
the Central Violations Committee and
the Grievances Committee formed pursuant to the above-mentioned Law No. (4) of
2018.
The
above-mentioned Resolution No. (1) of 2019 is hereby repealed. Any provision in
any other resolution is also hereby repealed to the extent that it contradicts
the provisions of this Resolution.
This
Resolution comes into force on the day on which it is issued, and will be
published in the Official Gazette.
Maktoum bin Mohammed bin Rashid Al
Maktoum
First Deputy Ruler of
Dubai
Chairman of the Financial
Audit Authority
Issued in Dubai on 8 May 2025
Corresponding
to 10 Thu al-Qidah 1446 A.H.
Terms
of Reference of the
Central
Violations Committee and the Grievances Committee
of
the Financial Audit Authority
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The
following words and expressions, wherever mentioned in these Terms of
Reference, will have the meaning indicated opposite each of them unless the
context implies otherwise:
|
Emirate: |
The Emirate of Dubai. |
|
Law: |
Law No. (4) of 2018 Establishing the Financial Audit
Authority and its amendments. |
|
FAA: |
The Financial Audit Authority. |
|
Chairman: |
The chairman of the FAA. |
|
Director General: |
The director general of the FAA. |
|
Auditees: |
Any entity that is subject to audit by the FAA under
the Law. |
|
CVC: |
The Central Violations Committee formed within the
FAA pursuant to the Law to consider and determine the Violations referred to
it as determined in accordance with paragraph (d) of Article (35) of the Law. |
|
Grievances Committee: |
The grievances committee formed within the FAA
pursuant to the Law to consider and determine the Grievances filed by
Employees, in accordance with the rules and procedures stipulated in these
Terms of Reference. |
|
Employee: |
A person who occupies a budgeted post in an Auditee,
including Officials. |
|
Official in Charge: |
A person who occupies a post at the "Executive
Director/ CEO" grade, or an equivalent grade, within an Auditee. |
|
Violation: |
Any of the financial or administrative violations
stipulated in the Law. |
|
Disciplinary Penalty: |
A penalty imposed on an Employee upon establishing
that he has committed a Violation, in accordance with the rules and
procedures stipulated in these Terms of Reference. |
|
Grievance: |
A written objection filed, in accordance with the
provisions of these Terms of Reference, by an Employee in respect of a
decision, measure, or Disciplinary Penalty issued against him by the CVC. |
These
Terms of Reference aim to:
1.
ensure that Disciplinary Penalties, commensurate
with the gravity of the Violations committed, are imposed on the violating
Employees;
2.
apply the principles of objectivity
and impartiality in the procedures for imposing Disciplinary Penalties, in a
manner that contributes to safeguarding the rights and upholding the obligations
of Employees;
3.
promote the principles of responsibility
and accountability by ensuring that the imposed Disciplinary Penalties are
commensurate with the gravity of the committed Violations;
4.
safeguard and protect Public Funds,
and ensure full compliance by Employees with the legislation applicable to the
Auditees;
5.
provide Employees with the opportunity
to submit Grievances against the decisions and measures that may affect their
employment status or legal standing; and
6.
ensure the achievement of fairness,
job satisfaction, and employment stability for Employees.
The
following conditions apply to members of the CVC:
1.
A member of the CVC must not serve
simultaneously as a member of the Grievances Committee.
2.
The grade of the chairman of the CVC
must not be lower than that of the Employee referred to the CVC.
The
CVC will have the powers to:
1.
summon and interrogate an Employee;
hear his statements in respect of the Violation attributed to him; and
interview any other Employee involved in that Violation;
2.
hear the statements of witnesses,
experts, and specialists where necessary;
3.
investigate the facts, gather
evidence, review files and documents, and request any information or data which
the CVC deems necessary for its review or relevant to the subject matter of the
Violation, together with any other documents that the CVC deems necessary to
enable it to exercise its powers;
4.
uphold the Disciplinary Penalty
imposed by an Auditee on the Employee; impose a stricter Disciplinary Penalty; or
close the investigation where the accusation of committing the Violation is
found to be false, the evidence is insufficient, or it is proven that the
Employee has not committed the Violation;
5.
impose the appropriate Disciplinary
Penalty on any Official in Charge upon establishing that he has committed the
Violation attributed to him;
6.
close the investigation without
holding the Official in Charge referred to it disciplinarily liable, if it is
established that the incident attributed to him does not constitute a
Violation; that the Official in Charge has not committed the Violation, or that
the Official in Charge has committed the relevant Violation in execution of an
order given to him by any of his supervisors despite having first alerted that
supervisor to the Violation; and
7.
make recommendations to the Director
General to refer any Employee who commits a Violation that constitutes a
criminal offence to the competent judicial authorities.
a.
The CVC will convene at the
invitation of its chairman at the time and place determined by him.
b.
Hearings of the CVC will be valid if
attended by all of its members.
c.
The CVC will render its decisions
unanimously or by a majority vote of its members.
d.
The decisions rendered by the CVC
must be reasoned and recorded in minutes approved by the chairman, the members,
and the rapporteur of the CVC.
The
CVC will have a rapporteur appointed by the Director General from among the
Employees of the FAA. The rapporteur will have the following duties:
1. to send invitations to the chairman and members of the CVC to attend its hearings;
2.
to prepare the agendas of the CVC,
record the minutes of its hearings, and follow
up on the implementation of its resolutions and recommendations;
3.
to notify Employees of the date of the hearing scheduled for considering their
respective Violations and all relevant documents,
at least one week in advance, by hand delivery against a signed acknowledgment
of receipt; by email; by or any other approved means of communication;
4.
to maintain a record of the
Violations considered by the CVC, including minutes of hearings,
decisions rendered in respect of the Violations, and
all relevant case documents and data; and
5.
to perform any other duties assigned
to him by the chairman of the CVC.
a. In considering and
determining any Violation referred to it, the CVC must adhere to the following
procedures:
1. The CVC will notify the Auditee in
writing of the Violation attributed to its Employee, and will summon the
Employee to appear before the CVC on the date it determines. The notification
must be served at least three (3) working days before the date on which the
Employee is scheduled to appear before the CVC.
2. The Employee will be granted access
to all documents relevant to the incident under investigation in the manner
determined by the CVC; and will be permitted to present his relevant defence
and objections.
b.
Where an Employee is unable to
appear before the CVC on the scheduled date for any reason acceptable to the
CVC, the Employee’s appearance before the CVC will be rescheduled. In this
case, the Employee will be notified in writing at least three (3) working days prior
to the rescheduled appearance.
c.
Failure by an Employee to appear
before the CVC, or to sign the administrative investigation report, will not
preclude the CVC from completing the procedures for considering and determining
the Violation referred to it based on the available evidence and documents.
An
administrative investigation report issued by the CVC must contain the
following information:
1. the date and venue of
the relevant administrative investigation hearing;
2.
the name, post, grade of the
Employee referred for investigation, and the name of the Auditee for which he
works;
3.
the description of the Violation
attributed to the Employee;
4.
the names of the chairman and
members of the CVC;
5.
the Employee’s statement and grounds
for defence;
6.
the statements of any witnesses,
experts, and specialised Employees;
7.
the signature of the Employee under
investigation, the chairman and members of the CVC, and any other person who
gave a statement before the CVC; and
8.
any other information as determined
by the CVC.
When
imposing Disciplinary Penalties, the CVC must observe the following rules and controls:
1.
Objectivity, impartiality, and
integrity must be upheld in investigating Violations, with the aim of determining
the facts.
2.
A Disciplinary Penalty may be
imposed on an Employee only after he has been interrogated in writing and given
the opportunity to state his case and present grounds of his defence.
3.
No more than one Disciplinary
Penalty may be imposed on an Employee for a single Violation.
4.
A Disciplinary Penalty must be
commensurate with the nature and gravity of the committed Violation.
5.
The decision imposing the
Disciplinary Penalty on an Employee must be reasoned.
6.
No Disciplinary Penalty may be
imposed, unless it is prescribed by the legislation applicable to the Auditee
for which the violating Employee works.
The
following conditions apply to members of the Grievances Committee:
1. A member of
the Grievances Committee must not serve simultaneously as a member of the CVC.
2.
The grade of the chairman of the
Grievances Committee must not be lower than that of the Employee submitting the
Grievance.
a.
The Grievances Committee does not
have jurisdiction to consider and determine any Grievance or objection that
falls within the jurisdiction of any of the following entities:
1. the competent judicial authorities;
2. the Central Grievance Committee of
Employees of the Government of Dubai governed by the above-mentioned Executive
Council Resolution No. (41) of 2015 and the resolutions issued in pursuance
thereof;
3. the Central Paramilitary Grievance
Committee in Dubai established and regulated pursuant to the above-mentioned
Decree No. (27) of 2018; and
4. the Grievances and Complaints
Committees formed within Auditees pursuant to the above-mentioned Executive
Council Resolution No. (4) of 2019.
b.
The Grievances Committee may not
consider any Grievances or objections that are being considered by any of the
entities referred to in sub-paragraphs (a)(1), (a)(2), and (a)(3) of this
Article, or those in respect of which a final decision or definitive judgment
has been issued.
For
the purpose of considering and determining the Grievances filed with it, the
Grievances Committee will have the powers to:
1. hear the statements of the parties
to the Grievance, consider any supporting documents, admit and weigh submitted
evidence, and determine the relevance of such evidence to the subject matter of
the Grievance;
2. conduct supplementary
investigations; require the submission of necessary documents; and peruse and
examine the same, whether by itself or through any other person appointed by it
for this purpose;
3. invite any Employee of the Auditees,
or of any other entity of relevance to the subject matter of the Grievance, to
attend its hearings;
4. summon, on its own initiative or
upon the request of the parties to the Grievance, any person, as it deems
appropriate, to hear his statement; and
5. seek the assistance of witnesses,
experts, or specialists as it deems appropriate, provided that they do not have
a vote in its deliberations.
a.
The Grievances Committee may
determine a Grievance in the absence of the Employee, where it is established
to its satisfaction that the submitted documents and evidence are sufficient to
determine that Grievance.
a. The limitation period for
filing a Grievance is fifteen (15) working days from the date on which the
Employee is notified of the contested decision.
b.
Where the limitation period
prescribed in paragraph (a) of this Article has lapsed, the Grievance will be
deemed inadmissible in form.
A
Grievance must be filed with the Grievances Committee in writing and must
include the following information:
1.
the name, capacity, designation,
address, and contact details of the grievant;
2.
the contested decision and its date
of issuance;
3.
the grounds for the Grievance,
supported by any relevant documents;
4.
the claims of the grievant;
5.
the contact details of any witnesses
relied upon by the grievant to corroborate his Grievance; and
6.
any other information as prescribed by
the Grievances Committee.
a.
The Grievances Committee will
convene at the invitation of its chairman at the time and place determined by
him.
b.
A hearing of the Grievances
Committee will be valid if attended by all of its members.
c.
The Grievances Committee will render
its decisions unanimously or by a majority vote of its members.
d.
The decisions of the Grievances
Committee must be reasoned and recorded in minutes signed by the chairman, members,
and rapporteur of the Grievances Committee.
e.
The Grievances Committee must
determine any Grievance within thirty (30) days from the date of its filing.
f.
The FAA will notify the grievant
Employee of the Grievances Committee's decision within five (5) working days
from the date of its issuance.
The
Grievances Committee will have a rapporteur appointed by the Director General
from among the Employees of the FAA. The rapporteur will have the following duties:
1.
to send invitations to the chairman
and members of the Grievances Committee to attend its hearings;
2.
to prepare the Grievances
Committee's agendas, record the minutes of its hearings, and follow up on the
implementation of its decisions and recommendations;
3.
to refer Grievances to the chairman
of the Grievances Committee for the scheduling of their respective hearings;
4.
to notify the Employee of the date
and time of the hearing scheduled to consider the Grievance and all relevant
documents, at least one week in advance, by hand delivery against signed
acknowledgment of receipt; by email; or by any other approved means of communication;
5.
to maintain a record of the
Grievances considered by the Grievances Committee, including minutes, decisions
related to the Grievances, and all relevant documents and data for each case;
and
6.
to perform any other duties as assigned
to him by the chairman of the Grievances Committee.
Where
an Employee fails to appear at the hearing after being notified of its date by
the rapporteur of the Grievances Committee, the Grievances Committee may
consider the Grievance in his absence.
An
Employee may withdraw, in writing, any Grievance submitted by him before being
determined by the Grievances Committee. In this case, the Employee may not
submit any Grievance or objection in respect of the same subject matter of the
withdrawn Grievance without a reasonable justification acceptable to the
Grievances Committee.
All
decisions issued by the Grievances Committee on a Grievance will be binding on
the grievant Employee and the Auditee for which he works. The Auditee must
implement the Grievances Committee’s decisions in respect of the Grievance; and
provide the FAA with evidence of this implementation.
a.
A chairman or member of the CVC or
the Grievances Committee will be disqualified from participation in considering
and determining any Violation or Grievance in any of the following cases:
1. where the concerned Employee is his spouse, or relative up to the fourth
degree;
2. where he is personally involved in
the Violation or Grievance;
3. where he has previously submitted a
report, issued a decision, or gave an opinion on the subject matter of the
Violation or Grievance; or
4. where he is the Immediate Supervisor
of the concerned Employee.
b.
A chairman or member of the CVC or
the Grievances Committee must recuse himself from considering any Violation or
Grievance in any of the cases stipulated in paragraph (a) of this Article.
c.
Any member of the CVC or the
Grievances Committee may request to be recused from considering any Violation
or Grievance for special considerations. In this case, the chairman of the
concerned committee will have the authority to approve or reject the recusal
request.
d.
An Employee may file a request for
the recusal of the chairman or a member of the CVC or the Grievances Committee
considering a Violation or Grievance, as the case may be, in any of the cases
stipulated in paragraph (a) of this Article.
e.
Where the chairman or member of the
CVC or the Grievances Committee is disqualified or recuses himself in
accordance with the provisions of this Article, the Director General will,
subject to the Chairman's approval, issue a resolution nominating a replacement
chairman or member.
The
chairmen and members of the CVC and the Grievances Committee must maintain the
confidentiality of the hearings, deliberations, minutes, and information to
which they gain access in their capacity as members of either committee; and
must not disclose, or make copies of, the same except where required in
accordance with the exigencies of public interest, and with the prior approval
of the Director General.
The
FAA will provide the CVC and the Grievances Committee with administrative and technical
support to enable them to exercise their duties and powers under the Law and
this Resolution.
©2025 The Supreme Legislation Committee in the
Emirate of Dubai
[1]Every effort has been made to produce an
accurate and complete English version of this legislation. However, for the
purpose of its interpretation and application, reference must be made to the
original Arabic text. In case of conflict, the Arabic text will prevail.