1. Initial review

When a complaint is received, a case file is opened. The Office of the Sport Integrity Commissioner (OSIC) examines the complaint to ensure that all necessary information is provided, with no omissions that would prevent the process from continuing. The OSIC must also determine whether the complaint process should be expedited.

2. Preliminary assessment

The OSIC must conduct a preliminary assessment of every complaint received. The purpose of this assessment is to evaluate the complaint procedurally to determine what is the appropriate process for it and whether, on its face, it indicates a potential violation of the Universal Code of Conduct to Prevent and Address Maltreatment in Sport (UCCMS) by a respondent who is under the OSIC’s authority.

3. Preliminary assessment outcome

Preliminary assessment outcomes include the following:

• the complaint is accepted and, by agreement of the parties, moves to mediation;
• the complaint is accepted and moves to the investigation stage; or
• the complaint is not admissible before the OSIC, and the case is closed (if appropriate and the complainant consents, the complaint may be referred to another organization).

4. Initiation of an investigation and assignment of an independent investigator

An investigation may be initiated following the preliminary assessment or the mediated outcome of a complaint. The OSIC is responsible for determining the scope of the investigation, developing the investigation plan and mandate, and assigning the independent investigator. When assigning an investigator, the OSIC must consider the following:

• absence of conflict of interest or apprehension of bias;
• availability;
• geographical location;
• official languages; and
• areas of experience, expertise and specific skills desired, given the nature or circumstances of the complaint.

The complainant and the respondent have the right to challenge an investigator’s role with the OSIC on the grounds of conflict of interest or reasonable apprehension of bias. The OSIC assesses this challenge, and if it believes that the investigator cannot effectively fulfill their role, it hires another independent investigator to carry out the investigation.

5. Review and analysis

The independent investigator gathers and verifies the evidence. They then review all of the evidence and make findings of fact using the “balance of probability” standard. The independent investigator then applies the UCCMS or any other applicable code or policy to the facts and determine whether a breach of the relevant code or policy has occurred (whether the complaint is substantiated, partially substantiated or unsubstantiated).

6. Investigation report

After the review and analysis, the independent investigator submits a written investigation report to the OSIC. This report must include:

• an overview of the process used to investigate the allegations;
• a summary of the evidence obtained and the resulting findings of fact;
• an analysis of the facts about each of the allegations with respect to the UCCMS or any other applicable policy or code;
• conclusions – whether an alleged violation of the UCCMS or any other applicable policy or code is substantiated or unsubstantiated; and
• any mitigating or aggravating circumstances identified.

The OSIC reviews the investigation report to ensure that it contains the required elements and that the investigation was conducted in accordance with its policies and procedures.

7. Communication of the investigation report

The OSIC provides the Director of Sanctions and Outcomes (DSO) with the investigation report, along with its recommendations regarding sanctions. The parties to the investigation receive a copy of the final investigation report from the DSO.

8. Challenge of a finding

Any party who objects to a step or procedure during the course of an investigation must notify the OSIC and may notify the independent investigator. Such an objection does not constitute a challenge. A challenge regarding an investigation step or procedure must be made to the Safeguarding Tribunal with respect to the investigation report’s finding(s) once it or they have been communicated by the DSO.

9. Investigation outcome

If the investigation’s findings are not challenged, an investigation may have one of the following outcomes:

• mediation, with the consent of the parties;
• sanctions imposed by the DSO, in the case of a substantiated allegation of a violation of the UCCMS or any other relevant policy or code;
• closure of the complaint by the OSIC, in the case of an unsubstantiated allegation of a violation of the UCCMS or any other relevant policy or code; or
• initiation of other applicable procedures by the parties and/or the OSIC.