COMPLAINTS AND INVESTIGATIONS. 1. This article applies to complaints or allegations made externally and not from normal supervisory activities.
2. A department head shall be responsible for ensuring that all allegations of misconduct or other complaints against an employee on which any action is to be taken or a record is to be made shall be investigated. The investigator shall be allowed to interview the complainant prior to notifying the employee.
COMPLAINTS AND INVESTIGATIONS. 1. This Article applies to complaints or allegations made externally and not from normal supervisory activities.
2. The System President or his/her designee shall be responsible for insuring that all allegations of misconduct or other complaints against an employee on which any action is to be taken or a record is to be made shall be investigated. The investigator shall be allowed to interview the complainant prior to notifying the employee.
3. If after preliminary investigation no probable cause is found, the investigation will terminate and the employee shall be informed in writing that a complaint was made against him or her but was unfounded.
4. When an investigator believes that probable cause has been established, the investigator shall inform in writing the employee under investigation and his/her supervisor of the nature of the investigation.
5. When the employee under investigation is to be interviewed concerning alleged conduct which could result in discharge or other discipline, the employee and his/her representative shall be notified in writing, at least forty-eight (48) hours prior to the interview. In the event of an emergency, such reasonable notice as the circumstances permit shall be given. The notice shall state that an official investigation is being conducted and shall state the subject matter of the interview.
6. Prior to being interviewed pursuant to this Article, the employee shall be afforded a reasonable opportunity and facilities to contact and consult privately with his/her union representative or union attorney. Such representative or attorney may participate in the interview.
7. Any interview of an employee shall be conducted at a reasonable time and, when practicable, when the employee is on duty. The interview shall take place at a suitable location and, when practicable on the MCC System's premises. Confidentiality of the interview shall be maintained. The interview shall be limited to questions which are directly, narrowly, and specifically related to the employee's job performance as it relates to the allegations or complaints. The employee shall not be subjected to any offensive language nor be threatened with transfer, dismissal or other disciplinary punishment.
8. If an employee is to be interviewed as a witness only, the employee and his/her representative shall be so informed at least forty-eight (48) hours prior to the interview. If during the course of the interview, however, it becomes apparent that the employee m...
COMPLAINTS AND INVESTIGATIONS. Pacific Mutual, PEN, Selling Broker-Dealer and General Agent agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Contracts distributed under this Agreement. Pacific Mutual, PEN, Selling Broker-Dealer and General Agent further agree to cooperate fully in any securities regulatory investigation or proceeding with respect to Pacific Mutual, PEN, Selling Broker-Dealer and General Agent, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with the Contracts distributed under this Agreement. Without limiting the foregoing:
COMPLAINTS AND INVESTIGATIONS. 1. The department head or agency head shall be responsible to ensure that all allegations of misconduct and other violations are investigated as follows.
2. The department head, agency head or other designated officer, shall conduct a preliminary investigation of all such allegations. The investigator shall be allowed to interview the complainant prior to notifying the employee.
COMPLAINTS AND INVESTIGATIONS. 1. This article applies to complaints or allegations made externally and not from normal supervisory activities. In cases of alleged abuse or neglect of students by employees, the Complaints and Investigation Protocol of Abuse and Neglect Investigations or Standards Violations adopted by the Board shall be followed. In such cases, should there be any procedural inconsistencies between the protocol and this article, the protocol shall apply.
2. Any other type of complaint concerning an employee shall be addressed as follows:
a. The Executive Director/designee shall be responsible for insuring that all complaints against an employee on which any action is to be taken or a record is to be made shall be investigated.
b. The Executive Director/designee may interview the complainant prior to notifying the employee.
c. In order to determine whether there is a basis to conduct an investigation, the Executive Director/designee may, at his/her discretion, conduct an informal interview with the employee about whom a complaint has been made. The interview shall be conducted at a reasonable time and, when practicable, on the School premises when the employee is on duty. A union representative may be present to advise the employee during the interview.
d. If the Executive Director/designee determines that there is no basis to further investigate the complaint, the employee shall be informed in writing that a complaint was made against him or her but was unsubstantiated.
e. If the Executive Director/designee determines that there is a basis for further investigation, he/she shall inform the employee in writing.
f. If an employee is to be interviewed as a witness only and in the course of the interview it becomes apparent that the employee witness may be subject to discipline as a result of conduct which is the subject of the interview, the interview shall be postponed for a reasonable time to enable the employee to consult with a union representative.
g. The employee shall be informed in writing of the results of the investigation and any determinations made.
h. The investigation report and supporting documents will be retained permanently by the Executive Director.
COMPLAINTS AND INVESTIGATIONS. Broker/Dealer and Distributor jointly agree to cooperate fully in any insurance regulatory investigation or proceeding or judicial proceeding arising in connection with the Annuity Contracts marketed under this Agreement. Broker/Dealer and Distributor further agree to cooperate fully in any securities regulatory investigation or proceeding or judicial proceeding with respect to Broker/Dealer, Distributor, their affiliates and their agents or representatives to the extent that such investigation o proceeding is in connection with an Annuity Contract marketed under this Agreement. Broker/Dealer shall furnish applicable federal and state regulatory authorities with any information or reports in connection with its services under this Agreement which such authorities may request in order to ascertain whether Golden American's operations are being conducted in a manner consistent with any applicable law ore regulation.
COMPLAINTS AND INVESTIGATIONS. Pacific Life, Distributor, Broker/Dealer and Agency agree to cooperate fully in any insurance or securities regulatory investigation or proceeding or judicial proceeding with respect to Pacific Life, Distributor, Broker/Dealer and/or Agency, their affiliates and their agents or representatives to the extent that such investigation or proceeding is in connection with the Contracts distributed under this Agreement. Without limiting the foregoing:
(a) Selling Entities shall promptly notify Pacific Life and Distributor of any complaint or comment regarding the Contracts and/or any allegation that Selling Entities or any of its Subagents/representatives violated any law, regulation or rule in soliciting applications for or servicing the Contracts. Selling Entities shall promptly investigate such complaint or allegation, take appropriate remedial measures and notify Pacific Life and Distributor of same. Selling Entities shall provide Pacific Life and Distributor with full details of and correspondence relating to any of the foregoing, including copies of all legal documents pertaining thereto.
(b) Selling Entities shall cooperate fully with Pacific Life and Distributor in any regulatory proceeding or judicial proceeding involving the solicitation of applications for or the servicing of Contracts by the Selling Entities or any of their representatives.
COMPLAINTS AND INVESTIGATIONS. 1. If Contracting party does not lodge a written complaint with Contractor after he/she has discovered or should have discovered a fault in the performance of Contractor, Contracting party shall no longer be able to claim this fault.
2. Contracting party shall not have the right to suspend his/her (payment) obligations if Contracting party believes he/she has a right of complaint.
3. Contracting party must enable Contractor to investigate a complaint or to have it investigated.
4. In the event of founded and timely complaints, Contractor shall to his sole discretion, either repair the supplied goods or replace them against returning the originally supplied goods, or pay Contracting party an alternative compensation or credit a proportional part of the invoice.
5. If it is established that a complaint is unfounded, the costs relating thereto incurred by Contractor shall fully be to the account of Contracting party.
COMPLAINTS AND INVESTIGATIONS a. Producer shall promptly provide Notice to Company of any written complaint or inquiry or notice of any investigation or proceeding (customer, regulatory, judicial or otherwise) received by Producer (or any sub-Producer) that relates to any Policy or Services or any activities undertaken in connection with this Agreement.
b. The parties jointly agree to cooperate fully with respect to any complaint, inquiry, investigation or proceeding (customer, regulatory, judicial or otherwise) arising in connection with this Agreement, including, but not limited to, any related customer complaint, securities or insurance regulatory investigation or proceeding or judicial proceeding.
c. Producer shall promptly provide Notice to Company describing the handling or determination in connection with any written complaint, inquiry or investigation proceeding described in paragraph A of this section.
COMPLAINTS AND INVESTIGATIONS. This article applies to external complaints or allegations made by members of the public, clients, and/or a client’s family. A Site Director/designee shall be responsible for investigating allegations or complaints of misconduct against an employee which may result in disciplinary action. When the employee under investigation is to be interviewed concerning the alleged misconduct which could result in disciplinary action, the employee shall be notified in writing at least twenty-four (24) hours prior to the interview. In the event of an emergency, such reasonable notice as the circumstances permit shall be given. The notice shall state that an official investigation is being conducted and shall state the subject matter of the interview. Any interview of an employee under this article shall be conducted at a reasonable time, in a suitable location, and, when practical, on CDS premises when the employee is on duty. A Union representative or Union attorney may be present to advise and counsel the employee. If an employee witness believes an interview may result in disciplinary action against him/her, he/she may request a Union representative and the interview shall be stayed until a Union representative is retained. An employee under investigation shall be informed in writing within a reasonable time, but no later than five (5) work days, after the investigation is completed, of any conclusions made. The investigation report and conclusions shall be included with the initial complaint/allegation when placed in the employee’s personnel file.
