Integrity Code consultation
Complaints and investigations
Part 3 of the Integrity Code describes our role for responding to integrity issues. It focuses on complaints, dispute resolution and investigations.
We can’t resolve all integrity issues and complaints
The Integrity Code is trying to strike a balance. It is important the Commission is accessible to those people and organisations that require its help and support, however, we will not be able to deal with every integrity issue that arises.
Minimum standard 2 requires that organisations have an effective and fair dispute resolution process to handle integrity issues. This will help organisations manage and resolve most integrity complaints that they receive, particularly those that are less serious or less complex.
The Integrity Code sets a framework so we can take any necessary steps when issues arise, and where people or organisations cannot resolve them adequately without our support or intervention. As far as possible, this will be with the cooperation and consent of the parties and relevant organisations involved.
Receiving and triaging complaints
The Integrity Code sets out how we receive and triage complaints. As the complaints mechanisms will be used by people and organisations regardless of Integrity Code adoption, the Integrity Code does not set out specific guidance about how our complaints process operates. (e.g. it does not set out how to make a complaint or timeframes for when the Commission will respond). This is provided in other ways such as on our website.
We can receive complaints directly from participants. This means that people do not have to complain to their organisation or club first. This is important to ensure that our services are accessible, and we address the concerns of participants who are not confident that their integrity issue will be taken seriously by their club or organisation.
Just because we receive a complaint or disclosure does not mean we will act on it. Triage refers to the assessment of complaints against a range of factors, for example, seriousness or urgency, to identify next steps. This helps us decide if we can resolve matter or if it is better dealt with in another way. Such as referral back to the sport or recreation organisation or to another organisation (e.g. police or Oranga Tamariki).
If during the triage process, potentially criminal conduct is identified then we may refer this to the Police or another appropriate body (e.g. Serious Fraud Office). This doesn’t necessarily mean that we won’t take any action on the complaint. If the Police decide not to investigate (e.g. the behaviour is not criminal, or does not meet the threshold for investigating), then we may continue to progress the complaint. Or if a participant commits a crime which also constitutes a breach of the Integrity Code, we may investigate the circumstances to understand what happened and what can be done to prevent it from happening again in future (e.g. changes to a club’s recruitment policy to prevent child abuse).
During development of the draft Integrity Code, some organisations expressed concern that:
- organisations may be cut out of the dispute resolution process if complainants make a complaint directly to us, or
- we will accept trivial or vexatious complaints or complaints already resolved through an organisation’s process.
We have a strong interest in ensuring our resources are used for integrity issues that most need our intervention. Part of the triage process is to consider the seriousness of the complaint and what, if any, steps have already been taken to resolve the matter.
The Integrity Code also states we may inform the relevant organisation that a complaint has been received. In many cases, involving the organisation at the triage stage is important for understanding the issues, how the complaint could be resolved, and how the behaviour can be prevented in future.
Clause 13 of the Integrity Code requires that organisations engage with us in good faith to resolve complaints.
Actions we may take in relation to a complaint
The Integrity Code sets out a range of actions we may take in response to a complaint or disclosure. This is important to ensure we can respond appropriately to the issues and the needs of the parties.
The actions we can take include, but are not limited to:
- referring the complaint to the relevant organisation to deal with under its own policies
- supporting the organisation to resolve the matter itself and monitor progress
- facilitating a dispute resolution process such as early facilitation or mediation
- initiating an investigation under section 31 of the Act.
We keep parties informed throughout the triage process, and inform the relevant people and organisations as soon as we decide on the appropriate action to take.
Example of a complaint
Moana is a participant at her local club. Charlie, one of the instructors at the club, has been bullying Moana. She complained to her national organisation but the matter wasn’t taken seriously.
Moana decides to make a complaint directly to us. We receive Moana’s complaint and decide that it falls within our jurisdiction. We talk to Moana, Charlie, and the national organisation to get more information about what has been going on. This helps us triage the complaint.
We work with all the parties to decide the best way forward. Moana, Charlie, and the national organisation agree to attend mediation as it will give them a confidential way to talk openly about what is going on and what should happen in future.
Investigations into breaches of the Integrity Code
We can investigate breaches of the Integrity Code under section 31 of the Act. Clauses 24–27 of the Integrity Code set out in further detail how these investigations will be conducted.
The Integrity Code sets out that, wherever possible, we will investigate with the cooperation and consent of the parties. It also states we will engage with the relevant people and organisations, including relevant participant associations, about the nature and scope of an investigation before starting an investigation. This responds to feedback we received from organisations and participant associations that investigations might proceed without their knowledge or involvement.
This part of the Integrity Code also explains when we may require a person or organisation to cooperate or provide information as part of an investigation.
The person must be bound by the Integrity Code for these powers to apply and certain conditions need to be met. For example, we must believe on reasonable grounds that it is necessary to exercise the power. A failure to provide information, if required to do so, may be treated as a breach of the Integrity Code.
Outcomes of an investigation
Following an investigation, we can:
- publish an investigation report under section 37 of the Act
- refer a participant to the organisation’s disciplinary panel
- refer a participant to the independent disciplinary panel convened by the Commission
- require an organisation to take remedial action (see below)
- take any other action consistent with the Integrity Code (eg, referring the matter to dispute resolution).
What, if any, action we take depends on the findings of the investigation and a range of factors, such as the seriousness of the alleged breach of the Integrity Code and the views of the parties.
Before publishing adverse comments, we will take reasonable steps to alert the organisation or person and give them a reasonable opportunity to be heard.