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Disclosure of the status of Incidents and/or Complaints and Actions taken

Updated over 5 months ago

Application Requirements

AR 103 In addition to the information required under paragraphs 103 and 104, the company may provide the status of Incidents and/or Complaints and Actions taken in relation to the following:

  • (a) Incidents reviewed by the company,

  • (b) corrective action plans that are being implemented,

  • (c) corrective action plans that have been implemented, the results of which have been verified through routine internal management review procedures; and

  • d) Incidents that are no longer subject to Actions.

AR 104 When compiling the information described in AR 103, the company shall consider the following:

  • (a) An Incident is no longer subject to Actions if it is resolved, the case is closed, or the entity does not require further Actions. For example, an Incident requiring no further actions may include cases that are withdrawn or where the underlying circumstances that led to the Incident no longer exist,

  • b) Remedial action is targeted at the alleged Harassment perpetrator and the alleged victim. Remedies with respect to the victim may include offering to pay the victim's costs for counseling sessions, offering the victim some time off with pay, or offering to restore sick/vacation days if the victim has incurred costs as a result of the Harassment (e.g., use of sick or vacation days), and

  • c) Remedial action with respect to the harasser may include giving the person a verbal and/or written warning, requiring anti-harassment counseling or sending the person to an appropriate seminar, and requiring attendance at Harassment and Prevention Training. A leave of absence without continued pay may also be an option. If the harasser has been disciplined in the past but does not cease their harassment, more severe discipline may be necessary.

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