Ombudsman Service Procedure
Step 2: Formal Complaints

 

The Ombudsman Service encourages the resolution of grievances, disputes, or complaints relating to a Coaches, Mentors, Support Groups, Formal Education Bodies, Private Commercial Training Organisations, or Professional Bodies professional conduct, by using direct means. Therefore, complaints should be registered only when Facilitation has proved to fail.

The Ombudsman Service does not accept any responsibility for expenses related to or incurred through any grievance, dispute or complaint.

Procedure:

  1. On completion of the Ombudsman Service Formal Complaints form, you will receive an acknowledgement email.
    All emails sent by the IRCM are sent from the @IRCM-CIC.org domain.  To ensure that you receive your acknowledgement email and all others, please can you white-list the @IRCM-CIC.org domain name.  If you do not receive your email, please check your local spam folder or even the spam folder of your email host.
  2. The Head of Ombudsman Service will review the details of the complaint as registered, and provide both Complainant and the Respondent with a copy of the Formal Complaint and the link to the Ombudsman Service policy and procedure.  Included in this notification, the Head of Ombudsman Service will notify both the Complainant and the Respondent with the position in the current Facilitation and Complaints Schedule.
    It is important that the Head of Ombudsman Service includes in their review all documentation received, Facilitation Panel determinations, and the Outcome or Outcome with Sanctions document issued following a Facilitation of the grievance.
  3. The Head of Ombudsman Service must openly declare any areas of conflict or of interest prior to the progress of this grievance, dispute, or complaint.
    • Where there is a conflict of interest, the Director of Compliance will notify the Complainant and no later than the third Tuesday of the month, will appoint a member of the Board or refer the matter to the IRCM’s Board of Directors, who will appoint a member of the Board, to lead as Head of Ombudsman Service, the policy and procedure of this complaint.
  4. The Head of Ombudsman Service will request that, within a period applicable to the position in the current Facilitation and Complaints Schedule, the individual who submitted the Formal Complaint (the Complainant) confirms that they have no further information to submit.
  5. Following on from a detailed review, within a period applicable to the position in the current Facilitation and Complaints Schedule, where the Head of Ombudsman Service determines that further information is required, they will request that the following is provided within 14 calendar days:
    1. submit the questions or request the additional information from the Complainant.
    2. submit the questions or request additional information from the Respondent.
    3. request the Respondent to:
      • Revisit how they dealt with the grievance, dispute, or complaint.
      • Provide a summary of points identified during the revisit of how they dealt with this grievance, dispute, or complaint.
      • Consider any further action that they could take now that may resolve this grievance, dispute, or complaint.
      • If they feel that they have undertaken every step that they can, please explain the steps they took and the reason(s) these steps did not work.
    4. identify and request any additional information from Third Parties.
  6. On receipt of the information requested, the Head of Ombudsman Service will review the information and if 5 provides a resolution, the Head of Ombudsman Service will provide this detail to the Complainant and ask for a response within the next 7 calendar days.
  7. If 6 does bring a resolution, the Head of Ombudsman Service will issue a Notice of Resolution, the details of which will be added to the IRCM’s Register (Complaint Summary, Complaint Details, Outcomes, and Sanctions Raised/Lifted) and request that the resolution is completed within the timeframe determined on the Notice of Resolution.
    1. At this point, the Head of Ombudsman Service will determine this complaint as ‘Resolved through information shared’ (Step 3: Outcomes and Sanctions) and proceed to 5 under Step 3: Outcomes and Sanctions.
    2. On receipt of confirmation that the resolution has been completed, the Head of Ombudsman Service will proceed to 5 under Step 3: Outcomes and Sanctions and close the complaint on the IRCM’s Register (Complaint Summary, Complaint Details, Outcomes, and Sanctions Raised/Lifted) and no further action will be taken.
  8. If 5 does not bring a resolution, the Head of Ombudsman Service will, within the Facilitation and Complaints Schedule, convene a Panel.
    • The Head of Ombudsman Service will notify both parties that a Panel has been convened to review all documentation.
    • The Panel will collate an Outline of Information document with Suggested Resolutions within 14 calendar days after the review.
    • The Head of Ombudsman Service will share the Outline of Information document with both parties and request their responses within the next 14 days.
  9. Following on from the Panel review (point 8), the Panel will determine if the grievance, dispute, or complaint is;
    1. Resolved, or
      Where the complaint is resolved, the Ombudsman Service will notify both parties of the resolution to the complaint and determine this complaint ‘Resolved through information shared’ (Step 3: Outcomes and Sanctions) and proceed to 5 under Step 3: Outcomes and Sanctions. 
    2. Rejected, or
      Where the complaint is rejected, the Ombudsman Service will notify both parties of the reason for the rejection of the complaint and determine this complaint ‘Rejected’ (Step 3: Outcomes and Sanctions) and proceed to 5 under Step 3: Outcomes and Sanctions.
    3. Deferred for additional information to be obtained, or
      Where the complaint is deferred for further information, the Ombudsman Service will notify both parties, and request the additional information and return to Step 6.
    4. Accepted as a valid complaint.
      Where the complaint is accepted as a valid complaint, a Hearing will be convened.  The Complainant and Respondent will be formally notified of this action.
  10. The Head of Ombudsman Service will call a Hearing.
    1. In advance of the hearing, the Head of Ombudsman Service will decide whether any legal advice needs to be obtained from the IRCM CIC’s legal advisors.
    2. Where the hearing or legal advice sought incurs a cost, it is understood and agreed by all parties that this cost will be incorporated into the outcome of this Complaint.
    3. Where possible, the hearing will be arranged using the IRCM CIC’s Meeting and Conference platform.
      • Where the Complainant or Respondent requests that the hearing is held in a face-to-face venue, all costs will be covered by the individual requesting the face-2-face discussion.
    4. The invite will be issued within 7 days of point 9.4 and will include the date, time and relevant attendance information of the hearing.
      • The invite will include the names and company positions of the IRCM CIC Panel.
      • The date and time offered will be 21 calendar days from point 9.4 above.
    5. The Head of Ombudsman Service will attend and will chair the Hearing.
    6. The Panel, Complainant, Respondent, and any relevant third parties will attend.
    7. The Complainant and Respondent may bring one support person to any hearing.
      • The support person is there to support the Complainant or the Respondent and will not participate in the activities of the hearing.
    8. Witnesses can be called to attend the hearing and the names of such witnesses with the reason for their attendance, must be submitted to the Head of Ombudsman Service no later than 14 calendar days prior to the date of any discussion.
      • All witnesses must be prepared to be questioned by any member of the Panel, the Complainant or the Respondent.
    9. Any additional information (i.e. witness statements, correspondence, etc.) must be received by Head of Ombudsman Service not less than 14 calendar days prior to the date of the Hearing.
      • On receipt, this information will be shared with the Panel and all parties.
      • The Head of Ombudsman Service may decide to include any information received after the deadline.
    10. The Head of Ombudsman Service will decide if new evidence can be accepted on the day of the hearing.
    11. If either the Respondent or the Complainant fails to attend the hearing, the Head of Ombudsman Service has the right to:
      1. continue the Hearing in their absence, or
      2. terminate and conclude the Hearing, or
      3. adjourn and reset the Hearing for no later than 14 calendar days from the date of the original hearing.
    12. On conclusion of the Hearing, the Head of Ombudsman:
      • will request outcome details from each member of the Panel.
      • will proceed to 2 (Outcomes Procedure) under Step 3: Outcomes and Sanctions.

If the matter is not resolved to the Complainant’s satisfaction, they may raise a formal Appeal within 30 calendar days of point 4 of Step 3: Outcomes Procedure.

Ombudsman Service Procedure 2

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Ombudsman Service

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Ombudsman Service Register

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Ombudsman Service Decisions and Case Studies

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© 2020 International Regulator of Coaching and Mentoring CIC. All Rights Reserved
Version 4: August 2020

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