Ombudsman Service

The IRCM is the only independent Regulator in the Coaching and Mentoring Industry providing an Ombudsman Service for the Coaching and Mentoring Industry consumers.

The role of the Ombudsman was first created in Sweden more than 200 years ago and was designed to provide protection for the consumer where there was a substantial imbalance of power between the consumer and that state.  Today Ombudsman have been extended to include other private and independent sectors.

The IRCM provides each consumer with an independent authority to address grievances, disputes, and/or complaints (referred to as grievances throughout the Ombudsman Service) in line with current consumer policy.

The first step in the IRCM’s Ombudsman Service procedure is one of facilitation.  Where a resolution cannot be found in facilitation, the consumer has the right to raise a formal complaint.

The Ombudsman Service has the power to make decisions which are binding on the Professional Bodies, Support Groups, Formal Education Bodies, Private Commercial Training Organisations, Coaches, and Mentors in their jurisdiction unless the dispute/challenge is successfully challenged through the courts.

  • The Ombudsman Service is free of charge.
    For this reason, this service is accessible to all consumers who cannot afford to pursue their disputes or complaints through the courts.
  • The Ombudsman Service is committed to both achieving redress for the consumer, as well as working with the Professional Bodies and Formal Education Bodies to identify systemic failings.
  • A single investigation may be incorporated into multiple disputes/complaints about the same topic.
    This avoids duplication, excessive cost, and identifies systemic failings.
  • The dispute/complaint will be progressed where it is not already the subject of court proceedings.
  • The Ombudsman Service is a neutral and independent arbiter; and is not an advocate nor a consumer champion.
  • The Ombudsman Service recommends that the consumer raises their dispute/complaint with the relevant Coach, Mentor, Support Group, Formal Education Body, Private Commercial Training Organisation, Professional Body or Commercial Organisation.
  • The first step of any dispute or complaint is to facilitate a resolution, by working with the consumer and the individual/organisation, without resorting to a formal investigation.
  • The IRCM accepts that facilitation may have been undertaken by the Complainant previously and been unsuccessful.  Where this is the case, the Complainant is required to provide full details of the facilitation.
  • Where a resolution is not found through facilitation, the consumer may select to progress to a formal complaint where an in-depth and formal investigation will be undertaken.
  • Where the Ombudsman Service identifies an injustice, it seeks to put this right.
  • Where the Ombudsman Service identifies a systemic failing, working with Professional Bodies and Formal Education Bodies, it seeks to put this right.
  • The IRCM recognises that consumers are clients, students, members of Professional Bodies and Support Groups, coaches, mentors, or owners/members of staff of organisations within the coaching and mentoring industry.  Where the consumer is training to be a coach/mentor, or is a coach, or mentor, or owner/member of staff of an organisation, this brings an additional level of review into the conduct of the consumer.

To meet the IRCM’s remit of raising the Standards, Confidence and Excellence in the coaching and mentoring industry, and the aim of the IRCM’s Disciplinary Procedure is to ensure consistent and fair treatment for everyone.

Experience has shown that grievances, disputes, or complaints are not straight forward and that investigations can show that the Respondent is not at fault.

The IRCM remit is to provide Disciplinary Procedures against Respondents and/or Complainants and/or Third Parties, who are proven through the IRCM’s Policy and Procedure to have breached one or more clauses of the Unified Code of Industry Ethics or Unified Coaching and Mentoring Industry Core Competencies.

These Disciplinary Procedures will be balanced against the documentation submitted, the evidence presented and, if applicable responded to, at the round the table discussion or hearing, and the severity and frequency of the complaint; and on factors; as described in more detail under Step 3: Outcomes and Sanctions.  Where Sanctions are issued, it is done to ensure that each party receiving one or more Sanctions reflects on their involvement in the detail of this complaint and works towards raising the Standards, Confidence and Excellence in the coaching and mentoring industry.

As described in more detail under the Seven Principles of the Ombudsman Service, the IRCM’s Ombudsman Service emphasises that fairness and transparency will be promoted by developing and using clear and consistent rules and procedures for handling all requests for Facilitation and Formal Complaints.

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© 2019 International Regulator of Coaching and Mentoring CIC. All Rights Reserved
Version 3: August, 2019

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Ombudsman Service Policy

The Ombudsman Service Policy is listed in alphabetical order.  This does not represent a priority of order.
Each Complainant, Respondent, and Third Party is required to read through the full details of the Ombudsman Service Policy and Procedure.

The Purpose of the Ombudsman Service is to provide each consumer (client, student, member of a Professional Body or Support Group) with an independent authority to address disputes and complaints in line with current consumer policy.

The Ombudsman Service Policy and Procedure serves all coaching and mentoring industry consumers.

The IRCM recognises that consumers are clients, students, members of Professional Bodies and Support Groups, coaches, mentors, or owners/members of staff of organisations within the coaching and mentoring industry.  Where the consumer is training to be a coach/mentor, or is a coach, or mentor, or owner/member of staff of an organisation, this brings an additional level of review into the conduct of the consumer.

The definition of the Ombudsman Service Policy and Procedures is found under the Policy and Procedure headings on this webpage.

The extent of the Ombudsman Service jurisdiction is the power to make decisions which are binding on the all Professional Bodies, Support Groups, Formal Education Bodies, Private Commercial Training Organisations, Coaches, Mentors, and Students in their jurisdiction unless the dispute/challenge is successfully challenged through the courts.

click here to access the relevant Codes of Conduct.

The IRCM recognises that consumers are clients, students, members of Professional Bodies and Support Groups; as well as coaches, mentors, or owners/members of staff of organisations within the coaching and mentoring industry.

Where the consumer is training to be a coach or mentor, or is a coach, or mentor, or owner/member of staff of an organisation, this brings an additional level of review into the conduct of the consumer.

Ombudsman Service is free of charge; however, if a Complainant or Respondents insist on meeting face-2-face, all costs (including legal advice, travel, hiring of an appropriate venue, etc.) will be covered by the individual requesting the face-2-face meeting.

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

  1. The grievance is considered to be a breach of a clause of the Unified Code of Industry Ethics or Unified Coaching and Mentoring Industry Core Competencies.
  2. The grievance can be raised by any consumer who has received a service or product provided by:
    • an individual calling themselves or representing themselves as a Coach or Mentor,
    • an individual providing a Coaching or Mentoring service or product,
    • a Formal Education Body or Private Commercial Training Organisation, providing Coach and/or Mentor Training/Workshops, or
    • a Support Group providing support to Coaches and Mentors,
    • a Professional Body representing Coaching or Mentoring.
  3. It is recommended that the Complainant has first approached the Respondent and sought to resolve the issue through Facilitation.
  4. The Complainant must be named in the grievance.
    The IRCM recognises that consumers may be coaches, mentors, or owners/members of staff of organisations within the coaching and mentoring industry.  This recognition brings an additional level of review in the conduct of the individual/organisation within the coaching and mentoring industry.
  5. The Respondent must be named in the grievance.
  6. Where the Complainant is a coach, mentor, or owner/member of staff of an organisation; the Complainant may or may not be listed on the IRCM Register.
  7. The Respondent may or may not be listed on the IRCM Register.
  8. The matter is in relation to a coaching or mentoring service; or a coaching or mentoring product.
  9. The matter is not already in progress as a formal complaint with another organisation.
    Where the matter is in progress, a grievance or complaint may only be raised where the matter was not resolved through a formal complaint registered by the Complainant to the Respondent directly or another organisation.
  10. The matter is not the subject of court proceedings.
  11. The grievance or complaint must be presented in detail in writing and where applicable additional documentation may be submitted.
  12. The complaint must be signed electronically by the Complainant.
  13. In line with point 2, the complaint must also include details of the initial approach made by the Complainant and the results of the initial approach.
  14. The alleged violation (grievance, dispute, or complaint) is to be reported no later than 12 months (1 calendar year) after the event that triggered the grievance or complaint.
  15. All grievances, disputes, or complaints must be reported formally through the Ombudsman Service ‘Request for Facilitation’ or where the Complainant can show that facilitation has not worked, ‘Raising a Formal Complaint’ form.
  16. All Complainants have read the full details of this Policy and Procedure before submitting the relevant form.

It is important understand that:

  • a single investigation may be incorporated into multiple grievances, disputes or complaints about the same topic. Therefore, your grievance, dispute, or complaint may not be held within the time frames defined below.  Where the Ombudsman Service identifies that there are multiple grievances, disputes, or complaints, the Head of Ombudsman Service will notify you that your complaint is being incorporated into a single grievance, dispute, or complaint with others; and will notify you of the timeframe.
  • As per point 4 above, the IRCM recognises that consumers may be coaches, mentors, or owners/members of staff of organisations within the coaching and mentoring industry. This recognition brings an additional level of review in the conduct of the individual/organisation within the coaching and mentoring industry.
  • Where there have been previous complaints received against the Respondent for the same, similar or other clause(s), the Outcome and details of the grievance, dispute, or complaint will be incorporated into the review.
  • A commercial organisation may be an organisation that supports the coaching and mentoring industry; is not within the coaching and mentoring industry and therefore the IRCM’s Ombudsman Service does not represent the Commercial Organisations.  Where the consumer wishes to raise a complaint against one of the Commercial Organisations, we request that the complaint is raised through the relevant Ombudsman.

Outline of Information

The Outline of Information provides all parties in a grievance, dispute, or complaint with the relevant details selected from the information submitted in the IRCM Forms or in additional documentation or by email.

Notice of Resolution

The Notice of Resolution provides all parties with the agreed resolution and an expected completion date.

Outcome

The Outcomes Document provides all parties with relevant information supporting the Outcomes Decision.

This information will include the IRCM’s Outcome Review detailing at summary level the grievance, disputes, or complaint outline; the Complainants requested outcomes, and the Outcomes awarded.

Where applicable, an appendix showing Complaints Upheld, Complaints Partially Upheld, Insufficient Evidence Submitted, Complaints Resolved, Complaints Not Upheld, Complaints Rejected, and Complaints with No Ruling.

Outcome and Sanctions

Provides the same information as the Outcomes document with a final section details the Sanctions.

Appeals Outcome

The Appeals Outcomes Document provides all parties with relevant information supporting the Appeal.

This information will include the IRCM’s Appeal Review detailing at summary level the appeal and relevant documentation/information submitted; and the Outcomes awarded.

Where applicable, an appendix showing Appeals Upheld, Appeals Partially Upheld, Insufficient Evidence Submitted, Appeals Resolved, Appeals Not Upheld, Appeals Rejected, and Appeals with No Ruling.

Appeals Outcome and Sanctions

Provides the same information as the Appeals Outcomes document with a final section details the Sanctions.

Facilitation

  • The Panel comprises the Head of Ombudsman Service and additional Panel members should be called from the following Departments – Compliance, Industry Direction, Registers, and/or Steering Committee.
  • The Panel must always be comprised of an odd number and including the Head of Ombudsman Service, must be a minimum of three members.
  • Where there is a conflict of interest, the Director of Compliance 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 grievance.
  • The Head of Ombudsman Service must allow the Panel members to hold full in-depth discussions.
  • Each point raised against a grievance, dispute, or complaint must be clearly documented.
  • The Panel including the Head of Ombudsman Service will vote on the Outcome (Step 1: Facilitation, point 8 and Step 3: Outcomes Procedure, point 1).

Complaint

  • The Panel comprises the Head of Ombudsman Service and additional Panel members should be called from the following Departments – Compliance, Industry Direction, Registers, and/or Steering Committee.
  • The Panel must always be comprised of an odd number and including the Head of Ombudsman Service, must be a minimum of three members.
  • Where there is a conflict of interest, the Director of Compliance 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 grievance.
  • The Head of Ombudsman Service must allow the Panel members to hold full in-depth discussions.
  • Each point raised against a grievance, dispute, or complaint must be clearly documented.
  • The Panel including the Head of Ombudsman Service will vote on the Outcome (Step 2: Complaint Procedure, point 9 and Step 3: Outcomes Procedure, point 1).

Appeal

  • The Director of Compliance 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 Appeals.
  • No member of the Appeals Panel may have been included on the Facilitation and/or Complaints Panel.
  • Additional Panel members should be called from the following Departments – Compliance, Industry Direction, Registers, and/or Steering Committee.
  • The Panel must always be comprised of an odd number and including the Head of Appeals, must be a minimum of three members.
  • Where there is a conflict of interest, the Director of Compliance 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 Appeals, the policy and procedure of this grievance.
  • The Head of Appeals Panel must allow the Panel members to hold full in-depth discussions.
  • Each point raised against a grievance, dispute, or complaint must be clearly documented.
  • The Panel including the Head of Appeals Panel will vote on the Appeal.

Any and all Requests for Facilitation, Formal Complaints, Sanctions, and Appeals will be clearly stated and noted in the IRCM’s Register (Complaint Summary, Complaint Details, Outcomes, and Sanctions Raised/Lifted).

The IRCM recognises that respondents are anyone with coaching and/or mentoring skills, and/or coaching/mentoring training, and/or working within the Coaching and Mentoring Industry:

  • Coaches – qualified, accredited, or not – and representing themselves as a Coach.
  • Mentors – qualified, accredited, or not – and representing themselves as a Mentor.
  • Students who have begun or completed a training course, and are using these skills as a Coach or Mentor.
  • Coaches and/or Mentors who are members of a Support Group.
  • Coaches and/or Mentors who are members of a Professional Body.
  • All individuals working for or representing a Private Commercial Training Organisation.
  • All individuals working for or representing a Formal Education Body.
  • All individuals working for or representing a Support Group.
  • All individuals working for or representing a Professional Body.
  • Any individual who is representing the coaching and/or mentoring industry.

A commercial organisation may be an organisation that supports the coaching and mentoring industry; is not within the coaching and mentoring industry and therefore the IRCM’s Ombudsman Service does not receive grievances registered against a Commercial Organisations.  Where the consumer wishes to raise a complaint against one of the Commercial Organisations, we request that the complaint is raised through the relevant Ombudsman.

Students, Coaches, or Mentors who wish to be excluded from the Coaching and Mentoring Industry must register their change of career or focus, but understand that the Ombudsman Service may receive and process a grievance registered against them for a period of no less than the period under ‘Defining a Complaint’ point 14.

It is the independent responsibility of each individual and organisation in the Coaching and Mentoring Industry and the consumers to understand this Ombudsman  Service Policy and Procedure.  The IRCM, providing the Ombudsman Service for the Coaching and Mentoring Industry will, for all grievances, disputes, complaints received, ensure that the Complainant and the Respondent is provided with the link to this Ombudsman Service policy and procedure.

It is important for every consumer who feels unsatisfied with the service they have received, knows about this Ombudsman Service Policy and Procedure.

The IRCM does not accept any responsibility for costs and/or expenses related to or incurred by every individual/organisation, or any supporting parties for any grievance or complaint registered and progressed through the Ombudsman Service Policy and Procedure.

All communication, unless otherwise stated, will be through the use of email.  Emails will be deemed to be served within 12 hours after sending unless returned automatically as un-delivered.

All timeframes documented within this Ombudsman Service policy and procedure will be adhered to.  It is recognised that timeframes may not be met where gaining, collating, and processing all relevant information is reliant on receiving the information from one or more parties.  Where the timeframes cannot be adhered to, the IRCM will notify all other parties with the reason.  Parties may lodge an objection.

Independence
Ensuring and demonstrating the freedom of the Director of Compliance, Head of Ombudsman Service, Ombudsman Service Committee and the Appeals Panel from interference in decision making.

  • Freedom from interference by any Director or member of the IRCM team in Ombudsman Service decision making on grievances, disputes, or complaints.
  • Building an appropriate and proportionate structure.
  • Appointment, re-appointment and remuneration of the Head of Ombudsman Service, Ombudsman Service Committee and the Appeals Panel consistent with ensuring Ombudsman independence.
  • Governance arrangements which ensure and safeguard the independence of Director of Compliance, Head of Ombudsman Service, Ombudsman Service Committee and the Appeals Panel and the Ombudsman Service Policy and Procedures.
  • The Director of Compliance, Head of Compliance, Head of Ombudsman Service, Ombudsman Service Committee and the Appeals Panel involved in the governance of the scheme to conduct themselves at all times in the best interest of the Ombudsman Service Policy and Procedures.

Openness and Transparency      
Ensuring openness and transparency in order that the consumers (buying public) can have confidence in the decision-making and management processes of the Ombudsman Service Policy and Procedures.

  • Be clear about the legal rights, governance, authority, and funding arrangements of the Ombudsman Service.
  • Clearly worded policies and procedures.
  • Clear criteria for outcome decisions.
  • Clear and proper recording of decisions and actions on the IRCM Register (Complaint Summary, Complaint Details, Outcomes, and Sanctions Raised/Lifted – further details found by clicking here).
  • Where possible the IRCM will maintain the confidentiality of the details of this complaint in as far as it is able to.
  • Where confidentiality is breached, the IRCM will notify all parties.
  • The Ombudsman Service will make all information and publication of decisions clear, consistent with statute, contract, and good practice.
  • Clear levels of authority including conflicts of interest delegation.
  • Providing when requested details of the conflict of interest which apply to the Ombudsman team in relation to the relevant parties of a dispute, grievance, or complaint.

Accountability
Ensuring that all members of the Ombudsman Service team are seen to be responsible and accountable for their decisions and actions.

  • Accountable to the Regulator of Community Interest Companies for external scrutiny.
  • Accountable to Complainants and Respondents, and the Coaching and Mentoring Industry.
  • Robust mechanism for external audit and review of service quality.

Integrity
Ensuring straightforward, in-depth, and complete dealing of each dispute, grievance, or complaint registered; based on honesty, selflessness, professionalism, and objectivity.

Ensure high standards of propriety in the conduct of all aspects of the Ombudsman Service.

  • Ability to demonstrate impartiality in all activities.
  • Demonstrating and declaring the management of all conflicts of interest
  • Ensuring that all members of the Ombudsman Service Team comply with the IRCM’s Code of Conduct.

Clarity of purpose
Ensuring that Complainants, Respondents, and the Coaching and Mentoring Industry know why the Ombudsman Service Policy and Procedures exists, why it is defined, what it can do for each consumer (client, student, or member of a Professional Body), and what they should expect from it.

  • Clear explanation of the purpose of the Ombudsman Service.
  • Clarity on who the Ombudsman Service Policy and Procedures serves.
  • Clear definition of the Ombudsman Service Policy and Procedures.
  • Clarity on the extent of the Ombudsman Service jurisdiction.

Effectiveness
Ensuring that the Ombudsman Service delivers quality outcomes; simply, efficiently and professionally.

  • Demonstrating the methods used to keep to commitments.
  • Working closely with the Formal Education Bodies and Professional Bodies to implement Coaching and Mentoring Industry recommendations.
  • Effective risk management to raise the standards, confidence and excellence in the Coaching and Mentoring Industry.

Confidentiality
Confidentiality is at the heart of the coaching and mentoring process, and good business practice.  The IRCM takes their responsibility of confidentiality seriously, and requests that all parties involved in the Ombudsman Service retain the Confidentiality of the Grievance, Dispute, or Complaint.

As stated above:

  • Where possible the IRCM will maintain the confidentiality of the details of this complaint in as far as it is able to.
  • Where confidentiality is breached, the IRCM will notify all parties.
    Where the Complainant, Respondent, or Third Party is an individual/organisation within the coaching and mentoring industry, this breach will be noted against their record.

The following terminology is used throughout this Ombudsman Service policy and procedure:

  • Grievance (also known as dispute) is a something believed to cause distress; or a wrong considered as grounds for a complaint; or resentment against an unjust or unfair act.  Therefore, this term refers to the objection the person or organisation is raising against a Coach, Mentor, Support Group, Formal Education Body, Private Commercial Training Organisation, or Professional Body.
  • Complaint is a formal registration of the grievance.
  • Complainant – this term refers to the person or organisation that is raising the complaint.
    Please see the heading ‘Consumers’.
  • Respondent – the person or organisation that the complaint is in relation to.

Although there may be many reasons for requesting facilitation or raising a Grievance, Dispute, or Complaint, the Ombudsman Service focuses on the following three types of grievances, disputes, or complaints:

Professional Misconduct is defined when a Coach, Mentor, Support Group, Formal Education Body, Private Commercial Training Organisation, or Professional Body has contravened the Unified Code of Industry Ethics or Unified Coaching and Mentoring Industry Core Competencies.
Whether on the IRCM Register or not, misconduct applies where a Coach, Mentor, Support Group, Formal Education Body, Private Commercial Training Organisation, or Professional Body is considered to have failed to follow the ethical code of the coaching or mentoring industry.

Professional Malpractice is defined when a Coaches, Mentors, Support Group, Formal Education Body, Private Commercial Training Organisation, or Professional Bodies professional behaviour, through incompetence and/or negligence, is deemed to be below the minimum standards of the coaching or mentoring industry, it will be considered to represent Professional Malpractice.
Whether on the IRCM Register or not, malpractice applies where a Coach, Mentor, Support Group, Formal Education Body, Private Commercial Training Organisation, or Professional Body is deemed to be below the minimum standards of the coaching or mentoring industry.

Coaching or Mentoring Industry Disrepute is defined where a Coach, Mentor, Support Group, Formal Education Body, Private Commercial Training Organisation, or Professional Body has behaved in such a way that it is deemed to have brought the Coaching or Mentoring Industry into disrepute; by behaving in a manner that undermines the consumer’s confidence in the coaching or mentoring industry.
Whether on the IRCM Register or not, bringing the industry into disrepute by a Coach, Mentor, Support Group, Formal Education Body, Private Commercial Training Organisation, or Professional Body Industry Disrepute is deemed to undermine the consumer’s confidence in the coaching or mentoring industry.

The IRCM recognises that consumers may be coaches, mentors, or owners/members of staff of organisations within the coaching and mentoring industry.  This recognition brings an additional level of review in the conduct of the individual/organisation within the coaching and mentoring industry.

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Ombudsman Service Procedure

Step 1: Resolution through Facilitation and Discussion

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, Complainants should first approach the Respondent about their grievance and if achievable, negotiate a satisfactory resolution.

Although, if requested by either the Complainant and/or the Respondent, the Ombudsman Service can act as facilitator during this stage.  The Ombudsman Service requests that the relevant party – Complainant or Respondent – completes the Request for Facilitation Form.

Although the Ombudsman Service states that a single investigation may be incorporated into multiple disputes/complaints about the same topic, where a Request for Facilitation is received; it will be maintained as a single investigation.

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

All fields are required unless otherwise stated.

Your first name:
Your middle name(s)/initial(s):
Your last name:

Your email address:
Your email address will only be used to contact you in relation to your Request for Facilitation.

Your phone number:
Useful if we need to contact you to discuss your Request for Facilitation.

Address:
Postal address:
County/State:
Post/Zip Code:
Country:

COMPLAINANT OR RESPONDENT? :
If you are not the Complainant or Respondent and are acting on behalf of someone else, please select ‘Other’ and provide the name of the person you are acting on behalf of and the reason you are submitting this form on their behalf, in the ‘Further Information’ box below.)

Is the Complainant or Respondent an individual or an organisation?

COMPLAINANT RELATIONSHIP WITH THE RESPONDENT:
As the Complainant, please confirm your relationship with the respondent (Client, Student of an Education Body/Organisation, Member of a Support Group, or Member of a Professional Body) :

RESPONDENTS RELATIONSHIP WITH THE COMPLAINANT:
As the Respondent, please confirm your relationship with the complainant (Client, Student of an Education Body/Organisation, Member of a Support Group, or Member of a Professional Body) :

RESPONDENTS/COMPLAINANTS NAME AND CONTACT DETAILS:
If there is more than one respondent/complainant involved, please put the additional details (name and contact details) in the ‘Further Information’ box below). In these fields please put the name of the main contact.

Name of individual or contact at the organisation:

Name of organisation (optional):

Contact email address:

Phone number (For the individual, if you spoke to them):

REASON FOR YOUR REQUEST FOR FACILITATION:
Please enter the relevant clause reference or clauses references with a comma separating each reference; from the Unified Code of Industry Ethics and/or the competence or competencies from the Unified Coaching and Mentoring Industry Core Competencies. At least one clause must be entered. Please enter ‘NONE’ where there is no applicable code.

Unified Code of Industry Ethics:

Unified Coaching and Mentoring Industry Core Competencies:

Please provide details of how this request for facilitation came about.
Explain the event, the actions, all communication, and relevant information.
At this point in the process, the IRCM is looking for the specifics in relation to how this request came about. The IRCM may request additional information, should it be required to provide facilitation.
Event:

Actions (of complainant):

Actions (of respondent):

Outline communication:

What was the point at which you decided that you needed to contact the Ombudsman Service?:

Any additional relevant information please enter ‘none’ if there is no additional relevant information:

ADDITIONAL INFORMATION:

1. Have you raised this request for facilitation as a request for facilitation or complaint with the Complainant/Respondent?:

2. Is this dispute, grievance, or complaint subject to Court Proceedings?:

If you have answered 'yes' to questions 1 and/or 2 above, please provide (1) the status of your proceedings and (2) where available, the outcome.

3. Have you raised this request for facilitation as a request for facilitation or complaint with another organisation?:

If you have answered ‘yes’ to question 3 above, please provide (1) the name of the organisation, (2) the date you registered your request for facilitation or complaint, and (3) the outcome.

4. If you have documentation to support your Request for Facilitation, please upload the documentation (optional).
4.1
4.2
4.3
4.4
4.5

WHAT CAN THE RESPONDENT/COMPLAINANT DO TO RESOLVE YOUR REQUEST FOR FACILIATION?

Please enter any FURTHER INFORMATION relevant to your Request for Facilitation (optional):

Procedure:

  1. When the Ombudsman Service receives a request for facilitation, the Head of Ombudsman Service will acknowledge the request.
  2. The Head of Ombudsman Service will within 48 hours, review the details and provide both Complainant and the Respondent with a copy of the facilitation request and the link to the Ombudsman Service policy and procedure.
  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 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 the next 7 calendar days, the individual who submitted the request confirms that they have no further information to submit.
  5. The Head of Ombudsman Service will request the individual named in this request to, within the next 14 calendar days:
    • Revisit how you dealt with the grievance, dispute, or complaint. Please provide a summary of points identified during the revisit of how you dealt with this grievance, dispute, or complaint.
    • Consider any further action that you can take now that may resolve this grievance, dispute, or complaint.
    • If you feel that you have undertaken every step that you can, please explain the steps you took and the reason(s) they did not work.
  6. On receipt of the information requested, the Head of Ombudsman Service will review the information and if 4.ii provides a resolution, the Head of Ombudsman Service will provide this detail to the individual requesting the Facilitation and ask for a response within the next 7 calendar days.
  7. If 5 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.
    • 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 Step 5 under Step 3: Outcomes and Sanctions.
    • On receipt of confirmation that the resolution has been completed, the Head of Ombudsman Service will proceed to Step 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 convene the Panel (within the next 7 days).
    • The Head of Ombudsman Service will notify both parties that a Panel has been convened that will review the documentation within the next 14 calendar days.
    • 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 7 days.
  9. On receipt of the responses requested in 7.iii, the Head of Ombudsman Service will re-convene the Panel within the next 7 days and update the Outline of Information.
  10. The Head of Ombudsman Service will call a Round the Table Discussion.
    1. In advance of the discussion, the Head of Ombudsman Service will decide whether any legal advice needs to be obtained from the IRCM’s legal advisors.
    2. Where the discussion 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 Facilitation.
    3. Where possible, the discussion will be arranged using the IRCM’s Meeting and Conference platform.
      • Where the Complainant or Respondent requests that the discussion 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 8 and will include the date, time and relevant attendance information of the discussion as well as the names and positions of the IRCM Panel. The date and time offered will be 21 calendar days from point 8.
    5. The Head of Ombudsman Service will attend and will chair the discussion.
    6. The Panel, Complainant, Respondent, and any relevant third parties will attend.
    7. The Complainant and Respondent may bring one support person to any discussion.
      1. The support person is there to support the Complainant or the Respondent and will not participate in the activities of the discussion.
    8. Witnesses can be called to attend the discussion 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 any discussion.  On receipt, this information will be shared with the Panel and all parties.
    10. The Head of Ombudsman Service will decide if new evidence can be accepted on the day of the discussion.
    11. If either the Respondent or the Complainant fails to attend the discussion, the Head of Ombudsman Service has the right to:
      1. continue with the case in their absence, or
      2. terminate and conclude the discussion, or
      3. adjourn and reset the discussion for no later than 14 calendar days from the date of the original discussion.
  11. Step 3: Outcomes provides the next steps in this procedure.

If the matter is not resolved to the Complainant’s satisfaction, they may raise a formal complaint which will be presented to both parties.

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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.

All fields are required unless otherwise stated.

Your first name:
Your middle name(s)/initial(s) (optional):
Your last name:

Your email address:
Your email address will only be used to contact you in relation to your Formal Complaint.

Your phone number:
Useful if we need to contact you to discuss your Formal Complaint.

Address:
Postal address:
County/State:
Post/Zip Code:
Country:

RELATIONSHIP WITH THE RESPONDENT? :
If you are not the Complainant and are acting on behalf of someone else, please select ‘Other’ and provide the name of the person you are acting on behalf of and the reason you are submitting this form on their behalf, in the ‘Further Information’ box below.)

Is the Complainant an individual or an organisation?

COMPLAINANT RELATIONSHIP WITH THE RESPONDENT:
Please confirm your relationship with the respondent:

RESPONDENTS NAME AND CONTACT DETAILS:
If there is more than one respondent involved, please put the additional details (name and contact details) in the ‘Further Information’ box below). In these fields please put the name of the main contact.

Name of individual or contact at the organisation:

Name of organisation (optional):

Contact email address:

Phone number (For the individual, if you spoke to them):

REASON FOR YOUR FORMAL COMPLAINT:
Please enter the relevant clause reference or clauses references with a comma separating each reference; from the Unified Code of Industry Ethics and/or the competence or competencies from the Unified Coaching and Mentoring Industry Core Competencies. At least one clause must be entered. Please enter ‘NONE’ where there is no applicable code.

Unified Code of Industry Ethics:

Unified Coaching and Mentoring Industry Core Competencies:

Please provide details of how this Formal Complaint came about.
Explain the event, the actions, all communication, and relevant information.
At this point in the process, the IRCM is looking for the specifics in relation to how this Formal Complaint came about. The IRCM may request additional information, to support the details you provide here.

Event:

Actions (of complainant):

Actions (of respondent):

Outline communication:

What was the point at which you decided that you needed to contact the Ombudsman Service?:

Any additional relevant information please enter ‘none’ if there is no additional relevant information:

ADDITIONAL INFORMATION:

1. Have you raised this Formal Complaint as a Request for Facilitation with the Respondent?
If 'yes' please provide (1) the status of your proceedings (2) the outcome and (3) the reason the facilitation did not provide you with a successful outcome.
Status:

Outcome:

Reason:

2. Have you raised this Formal Complaint as a Formal Complaint with the Respondent?
If 'yes' please provide (1) the status of your proceedings (2) the outcome and (3) the formal complaint did not provide you with a successful outcome.
Status:

Outcome:

Reason:

3. Have you raised this Formal Complaint as a Request for Facilitation with another organisation?
If 'yes' please provide (1) the name and contact details of the organisation, (2) the status of your proceedings with the organisation, (3) the outcome, and (4) the reason the facilitation did not provide you with a successful outcome.
Name of organisation and contact details:

Status:

Outcome:

Reason:

4. Have you raised this Formal Complaint as a Formal Complaint with another organisation?
If 'yes' please provide (1) the name and contact details of the organisation, (2) the status of your proceedings with the organisation, (3) the outcome, and (4) the reason the formal complaint did not provide you with a successful outcome.
Name of organisation and contact details:

Status:

Outcome:

Reason:

5. Is this Formal Complaint subject to Court Proceedings?
If 'yes' please provide (1) the details of which court, (2) the status of your proceedings, (3) the outcome, (4) the reason the formal complaint did not provide you with a successful outcome, and (5) how you believe the Ombudsman Service can help with your Formal Complaint.
Court details:

Status:

Outcome:

Reason:

Ombudsman Service:

6. If you have documentation to support your Formal Complaint, please upload the documentation (optional).
6.1
6.2
6.3
6.4
6.5

WHAT CAN THE RESPONDENT DO TO RESOLVE YOUR FORMAL COMPLAINT?

Please enter any FURTHER INFORMATION relevant to your Formal Complaint (optional):

Procedure:

  1. On receipt of the complaint form by the Ombudsman Service, the Head of Ombudsman Service will acknowledge the form.
  2. 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.
  3. The Head of Ombudsman Service will review the details of the complaint as registered.
    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.
  4. The Head of Ombudsman Service will within 48 hours, review the details and provide both the Complainant and the Respondent with a copy of the complaint and the link to the Ombudsman policy and procedure.
    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. request the additional information from the Complainant
    2. request additional information from the Respondent
    3. request the Respondent to:
      • Revisit how you dealt with the grievance, dispute, or complaint.
        Please provide a summary of points identified during the revisit of how you dealt with this grievance, dispute, or complaint.
      • Consider any further action that you can take now that may resolve this grievance, dispute, or complaint.
      • If you feel that you have undertaken every step that you can, please explain the steps you took and the reason(s) they did not work.
    4. request any additional information from Third Parties.
  5. On receipt of the information requested, the Head of Ombudsman Service will review the information and if 4.ii 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.
  6. If 5 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 Step 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 Step 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.
  7. If 5 does not bring a resolution, the Head of Ombudsman Service will convene the Panel (within the next 7 days).
    1. The Head of Ombudsman Service will notify both parties that a Panel has been convened that will review the documentation within the next 21 calendar days.
  8. Following on from the Panel review (point 8), the Panel will determine if the grievance, dispute, or complaint is;
    1. Resolved, or
    2. Rejected, or
    3. Deferred for additional information to be obtained, or
    4. Accepted as a valid complaint.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 Step 5 under Step 3: Outcomes and Sanctions.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 Step 5 under Step 3: Outcomes and Sanctions.Where the complaint is deferred for further information, the Ombudsman Service will notify both parties, and request the additional information and return to Step 5.i, Step 5.ii, Step 5.iv, and Step 5.v.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.
  9. 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’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’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 and will include the date, time and relevant attendance information of the hearing as well as the names and positions of the IRCM Panel. The date and time offered will be 21 calendar days from point 9.
    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.
      1. 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.
      1. 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 any hearing.  On receipt, this information will be shared with the Panel and all parties.
    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 with the case in their absence, or
      2. terminate and conclude the discussion, or
      3. adjourn and reset the discussion for no later than 14 calendar days from the date of the original hearing.
  10. Step 3: Outcomes provides the next steps in this policy and procedure.

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.

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Step 3: Outcomes and Sanctions

Outcomes

Outcomes will depend on the documentation submitted, the evidence presented and, if applicable responded to, at the round the table discussion or hearing, and the severity and frequency of the complaint; and on factors which include:

If there is insufficient evidence to uphold the grievance, dispute or complaint, the result of the complaint will be documented as completed.  The Ombudsman Service will provide all parties with the details of the Outcome and remind the Respondent of the expected Code of Conduct through the Unified Code of Industry Ethics or Unified Coaching and Mentoring Industry Core Competencies.

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Outcomes of the complaint may include a single or combination of the following:

  • Rejected
  • Resolved through facilitation
  • Resolved through discussion
  • Resolved through information shared
  • Resolved through information shared during the discussion or hearing
  • Upheld.

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Where the grievance, dispute or complaint is upheld:

  • in a Facilitation (Step 1), the Head of Ombudsman will contact the Complainant and request confirmation that the Complainant wishes to take their grievance, dispute or complaint to the next step and raise a formal Complaint.
  • In a Complaint (Step 2), the outcome of the complaint will depend upon the wishes of the Complainant and the determination by the Panel.

Procedure:

  1. After the discussion or hearing, the Panel will convene to agree the outcome.
  2. Within 7 calendar days of the discussion or hearing, the Panel will create the Outcome or the Outcome and Sanctions document.
  3. Within 7 calendar days of the Outcome or Outcome and Sanctions document being created, the Head of Ombudsman Service will approve the document.
    • Any changes requested by the Head of Ombudsman Service will be concluded within 7 calendar days of point 3.
  4. On completion of the review and approval of the Outcome or Outcome and Sanctions document, the Head of Ombudsman Service will notify all parties, within 30 calendar days of the date of the hearing, in writing of the Outcome of the hearing and provide the Outcome or Outcome and Sanctions document.
  5. The Head of Ombudsman Service will update the IRCM Register (Complaint Summary, Complaint Details, Outcomes, and Sanctions Raised/Lifted) will all relevant information.

Sanctions

In line with the IRCM’s Disciplinary Procedures Sanctions may be awarded against any party involved in the Formal Complaint – Respondent, Complainant, and/or Third Parties.

Where Sanctions are issued, it is done to ensure that each party receiving one or more Sanctions reflects on their involvement in the detail of this complaint and works towards raising the Standards, Confidence and Excellence in the coaching and mentoring industry.

Any and all sanctions will be clearly stated and noted in the IRCM’s Register (Complaint Summary, Complaint Details, Outcomes, and Sanctions Raised/Lifted).

Where sanctions have been applied against one or more parties in the Formal Complaint, the party can apply for sanctions to be lifted when the conditions have been met. The Head of Ombudsman Service will seek evidence of compliance prior to lifting sanctions. The party will be informed in writing of the lifting details and the records will be clearly stated and noted in the IRCM’s Register (Complaint Summary, Complaint Details, Outcomes, and Sanctions Raised/Lifted).

All fields are required unless otherwise stated.

Your first name:
Your middle name(s)/initial(s) (optional):
Your last name:

Your email address:
Your email address will only be used to contact you in relation to your Request to Lift Sanctions.

Your phone number:
Useful if we need to contact you to discuss your Request to Lift Sanctions.

Address:
Postal address:
County/State:
Post/Zip Code:
Country:

DETAILS OF THE REQUEST FOR FACILITATION OR FORMAL COMPLAINT :

Are you submitting a Sanctions Declaration against the Outcome and Sanctions of a Request for Facilitation or a Formal Complaint?

Name of complainant:

Name of respondent:

Date Outcome and Sanctions was issued (DD/MM/YYYY):

SANCTIONS:

Date completed: (DD/MM/YYYY):

I upload this file to demonstrate the completion of the Sanctions:

Please enter any FURTHER INFORMATION relevant to your Sanctions (optional):

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Appeals

The Ombudsman Service has the power to make decisions which are binding on the Professional Bodies, Formal Education Bodies, Private Commercial Training Organisations, Support Groups, Coaches, and Mentors in their jurisdiction unless the grievance, dispute, or complaint is successfully challenged through the courts.

Appeals will only be considered if new evidence of a significant nature is presented and the Head of Appeals considers that if the new evidence been available at the time of the hearing, it would have altered the outcome or sanctions applied.

Appeals where the sanction is deemed unfairly harsh in relation to the event will also be considered by the Head of Appeals.

Appeals must be made in writing within 30 calendar days of notification of the original decision.  The appeal is required to clearly outline the grounds on which the appeal is being made.  All appeals must be made in the first instance to the Director of Compliance using the Appeals form.

A Head of Appeals and Appeals Panel will be appointed by the Director of Compliance and will be a member of the IRCM’s Board of Directors.  The Appeals Panel must always be comprised of an odd number and including the Head of Appeals, must be a minimum of three members who were not involved in any way whatsoever with the original hearing.

All fields are required unless otherwise stated.

Your first name:
Your middle name(s)/initial(s) (optional):
Your last name:

Your email address:
Your email address will only be used to contact you in relation to your Appeal.

Your phone number:
Useful if we need to contact you to discuss your Appeal.

Address:
Postal address:
County/State:
Post/Zip Code:
Country:

DETAILS OF YOUR REQUEST FOR FACILITATION OR FORMAL COMPLAINT :

Are you raising an Appeal against the Outcome of a Request for Facilitation or a Formal Complaint?

RESPONDENTS NAME AND CONTACT DETAILS:
If there is more than one respondent involved, please put the additional details (name and contact details) in the ‘Further Information’ box below). In these fields please put the name of the main contact.

Name of individual or contact at the organisation:

Name of organisation (optional):

Contact email address:

DATES:

Date you lodged your Request for Facilitation or Formal Complaint:

Date of Outcome or Outcome and Sanctions:

REASON FOR YOUR APPEAL:

NEW EVIDENCE OF A SIGNIFICANT NATURE:

Will this new evidence change the outcome of your request for facilitation or formal complaint?:

What was the reason this evidence was not submitted during the progression of your Request for Facilitation or Formal Complaint?

Provide full details of the new evidence:

How will this evidence change the Outcome or Outcome and Sanctions?

If you have documentation to support your Appeal, please upload the documentation (optional).
1
2
3
4
5

HOW DO YOU EXPECT THE OUTCOME OR OUTCOME AND SANCTIONS TO CHANGE?

Please enter any FURTHER INFORMATION relevant to your Appeal (optional):

All fields are required unless otherwise stated.

Your first name:
Your middle name(s)/initial(s) (optional):
Your last name:

Your email address:
Your email address will only be used to contact you in relation to your Appeal.

Your phone number:
Useful if we need to contact you to discuss your Appeal.

Address:
Postal address:
County/State:
Post/Zip Code:
Country:

DETAILS OF THE REQUEST FOR FACILITATION OR FORMAL COMPLAINT :

Are you raising an Appeal against the Outcome of a Request for Facilitation or a Formal Complaint?

COMPLAINANTS NAME AND CONTACT DETAILS:

Name of complainant:

Contact email address:

DATES:

Date you received the Request for Facilitation or Formal Complaint:

Date of Outcome or Outcome and Sanctions:

REASON FOR YOUR APPEAL:

NEW EVIDENCE OF A SIGNIFICANT NATURE:

Will this new evidence change the outcome of your request for facilitation or formal complaint?:

What was the reason this evidence was not submitted during the progression of your Request for Facilitation or Formal Complaint?

Provide full details of the new evidence:

How will this evidence change the Outcome or Outcome and Sanctions?

If you have documentation to support your Appeal, please upload the documentation (optional).
1
2
3
4
5

HOW DO YOU EXPECT THE OUTCOME OR OUTCOME AND SANCTIONS TO CHANGE?

Please enter any FURTHER INFORMATION relevant to your Appeal (optional):

All fields are required unless otherwise stated.

Your first name:
Your middle name(s)/initial(s) (optional):
Your last name:

Your email address:
Your email address will only be used to contact you in relation to your Appeal.

Your phone number:
Useful if we need to contact you to discuss your Appeal.

Address:
Postal address:
County/State:
Post/Zip Code:
Country:

DETAILS OF THE REQUEST FOR FACILITATION OR FORMAL COMPLAINT :

Are you raising an Appeal against the Outcome of a Request for Facilitation or a Formal Complaint?

COMPLAINANTS NAME AND CONTACT DETAILS:

Name of complainant:

Contact email address:

DATES:

Date you received the Request for Facilitation or Formal Complaint:

Date of Outcome or Outcome and Sanctions:

REASON FOR YOUR APPEAL:

NEW EVIDENCE OF A SIGNIFICANT NATURE:

Will this new evidence change the outcome of your request for facilitation or formal complaint?:

What was the reason this evidence was not submitted during the progression of your Request for Facilitation or Formal Complaint?

Provide full details of the new evidence:

How will this evidence change the Outcome or Outcome and Sanctions?

If you have documentation to support your Appeal, please upload the documentation (optional).
1
2
3
4
5

HOW DO YOU EXPECT THE OUTCOME OR OUTCOME AND SANCTIONS TO CHANGE?

Please enter any FURTHER INFORMATION relevant to your Appeal (optional):

Appeals Procedure

  1. On receipt of the Appeal, the Director of Compliance will acknowledge the form.
  2. The Director of Compliance will appoint a Head of Appeals and convene a Panel.
  3. The Head of Appeals will forward the Appeal to both the Complainant and the Respondent with a link to the Appeals policy and process.
  4. The Head of Appeals will issue an invite to the Panel within 7 calendar days of being appointed and will include the date, time and relevant attendance information of the Appeals Panel. The date and time offered will be 21 calendar days from the appointment of the Head of Appeals.
    1. In advance of the hearing, the Head of Appeals will decide whether any legal advice needs to be obtained from the IRCM’s legal advisors.
    2. Where the appeal 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 Appeal.
    3. The hearing will be arranged using the IRCM’s Meeting and Conference platform.
    4. The Head of Appeals will attend and will chair the hearing.
    5. The Appeals Panel will attend.
  5. On receipt of the information requested, the Head of Appeal will convene a Panel and follow the process in point 3 above.
  6. Following on from the Panel review, the Panel will determine if the Appeal is;
    1. Rejected, or
    2. Deferred for additional information to be obtained, or
    3. Accepted as a valid appeal.
  7. Where the Panel determines that there is no Appeal to answer, it will determine that the Appeal is ‘rejected’.
    1. Where the appeal is rejected, the Head of Appeals will notify both parties of the reason for the rejection of the appeal and determine this appeal ‘Rejected’ on the IRCM Register.
  8. Where the Panel determine that further information is required, they will:
    1. request the additional information from the Complainant
    2. request additional information from the Respondent
    3. request any additional information from Third Parties.
      It is at this point that all relevant information (i.e. correspondence, etc.) pertaining to this appeal must be received no less than 30 calendar days after the request for additional information has been made to the Complainant, Respondent, or any third parties.
  9. Where the Appeal is accepted as a valid appeal, a Review Panel will be convened.
    1. The Head of Appeals will attend and will chair the Review Panel.
    2. The Appeals Panel will attend.
    3. If the appeal relates to a Facilitation, the Facilitation Panel will attend.
    4. If the appeal relates to a Complaint, the Complaint Panel will attend.
    5. The Head of Appeals will provide details as to the reason the newly submitted material has been accepted as a valid appeal.
    6. All members of the Review Panel will review the newly submitted material against the original material submitted and the impact this newly submitted material has.
    7. All members of the Review Panel will determine the Outcome.
      Where a casting vote is required the Head of Appeals holds the casting vote.
  10. Outcomes
    Outcomes will depend on the documentation submitted, the evidence presented and responded to at the hearing, and the severity and frequency of the complaint; and on factors which include:

    • The reason for the additional documentation submitted as part of the Appeal and not the original process.
    • The impact of the additional documentation submitted.
    • The Unified Code of Industry Ethics or Unified Coaching and Mentoring Industry Core Competencies clause(s) against which the complaint was raised.
    • The weight of the new evidence.
    • The original wishes of the Complainant.
    • Whether there has been one or more previous grievance, dispute or complaint received against the Respondent for the same, similar or other clause(s).
  11. Where the appeal is upheld:
    1. in a Facilitation (Step 1), the Head of Appeals will contact the Complainant and request confirmation that the Complainant wishes to take their appeal to the next step and raise a formal Complaint.
    2. In a Complaint (Step 2), the outcome of the complaint will depend upon the wishes of the Complainant and the determination by the Panel.

Appeals Outcomes Procedure

  1. As per point 10, the Review Panel will agree the Appeals Outcome.
  2. Within 7 calendar days of the Review Panel, the Appeals Outcome or the Appeals Outcome and Sanctions document will be created.
  3. Within 7 calendar days of the Appeals Outcome or Appeals Outcome and Sanctions document being created, the Head of Appeals will approve the document.
    • Any changes requested by the Head of Appeals will be concluded within 7 calendar days of point 3.
  4. On completion of the review and approval of the Appeals Outcome or Appeals Outcome and Sanctions document, the Head of Appeals will, within 30 calendar days of the date of the Review Panel, notify all parties in writing of the Appeals Outcome of the hearing and provide the Appeals Outcome or Appeals Outcome and Sanctions document.
    • Where Sanctions are awarded, the resolution of the Sanctions is as Step 3: Sanctions.
  5. The Head of Appeals will update the IRCM Register (Complaint Summary, Complaint Details, Outcomes, and Sanctions Raised/Lifted) will all relevant information.
  6. The Head of Appeals will inform the Director of Compliance of its decision.

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Currently all information provided by and correspondence with the IRCM is in English.