Complaint Resolution Protocol

COMPLAINT RESOLUTION PROTOCOL

This Complaint Resolution Protocol (the Protocol) is entered into between the parties identified below and sets forth the agreed procedures, timeframes, and remedies for receipt, investigation, escalation and resolution of complaints arising under or in connection with the services described herein.

PARTIES AND RECITALS

Client Name:

Service Provider Name:

WHEREAS, the parties desire a clear, equitable and timely process for receiving and resolving complaints arising from the provision of services; and

WHEREAS, prompt investigation and documented resolution of complaints is essential to maintain service quality, protect confidential information, and mitigate operational and legal risk; and

WHEREAS, the parties agree to be bound by the procedures and remedies set forth in this Protocol effective as of Effective Date:

SCOPE OF WORK

The following Scope of Work describes the services and activities to which this Protocol applies. Complaints related to the described services will be subject to the procedures below.

COMPLAINT SUBMISSION

Complaints may be submitted by any affected individual or entity. The designated intake contacts and acceptable submission methods are set forth below.

Acceptable submission methods (check all that apply):

INTAKE FORM FIELDS

INVESTIGATION PROCEDURE & TIMELINES

Upon receipt of a complaint, the intake contact will provide an initial acknowledgement to the complainant within calendar days. The intake contact will assign an investigation lead and commence fact-gathering.

A preliminary investigation report must be completed within calendar days of assignment, unless extended in writing for good cause. The report will include findings, recommended remedial actions, and any proposed timetable for corrective measures.

ESCALATION AND REVIEW

Matters requiring senior review (including complaints alleging regulatory violation, serious misconduct, or a material breach of contract) will be escalated to senior management as indicated below.

REMEDIES, CORRECTIVE ACTIONS AND PAYMENT TERMS

Where the investigation concludes that remedial action or compensation is appropriate, the parties shall implement corrective measures and, where applicable, payment as set forth below.

TERM AND TERMINATION

This Protocol commences on Start Date: and continues until End Date: unless earlier terminated as provided below.

Either party may terminate this Protocol for convenience upon written notice delivered at least days prior to termination. Termination shall not affect rights and obligations accrued prior to termination, including the investigation and resolution of complaints received before termination.

CONFIDENTIALITY

All information collected in the course of a complaint investigation, including witness statements, documentary evidence and summaries, shall be treated as confidential and used solely for the purposes of investigation, remediation and regulatory reporting as required. Disclosure of investigation materials outside the parties or as required by law shall be limited to the minimum necessary.

NON-RETALIATION

The parties expressly prohibit retaliation against any individual who, in good faith, submits a complaint, participates in an investigation, or assists in the resolution of a complaint. Any retaliatory conduct is grounds for corrective action.

RECORDKEEPING AND REPORTING

A record of each complaint, investigation notes, findings, corrective actions and communications shall be retained in accordance with applicable law and this Protocol for at least years.

GOVERNING LAW; DISPUTE RESOLUTION

This Protocol shall be governed by and construed in accordance with the laws of the State of without regard to its conflict of law rules. Any dispute arising out of or related to this Protocol that cannot be resolved informally will be resolved in the state or federal courts located in that state, subject to any mandatory jurisdictional requirements.

ENTIRE AGREEMENT; AMENDMENT

This Protocol, together with any incorporated exhibits or schedules, constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior oral or written communications, understandings, and agreements. This Protocol may be amended only by a written instrument signed by authorized representatives of both parties.

ACKNOWLEDGMENTS

The undersigned representatives warrant that they are authorized to execute this Protocol on behalf of the parties they represent and that they acknowledge acceptance of the procedures and obligations contained herein.

Sign Now