1. Session 3: When is an investigation appropriate? Objectives of the session This session focuses on how to: Determine when to launch an investigation Identify alternative ways to address a complaint Identify and be able to respond to trivial, frivolous or vexatious complaints

2. Session 3: When is an investigation appropriate? At the very beginning... Not all complaints require an investigation A preliminary analysis/short inquiry is often required to determine if an investigation is appropriate Identify if an alternative to investigation is more appropriate

3. Session 3: When is an investigation appropriate? Elements to consider: falls under the authority of the ombudsman ensure there is no pending legal proceedings ensure previous steps/processes have been completed accepts terms of reference and process of the ombuds office

4. Session 3: When is an investigation appropriate? Elements to consider (cont’d): validate if a period of prescription applies identify frivolous, vexatious or trivial complaints identify the existence of similar complaints or pattern of conduct

5. Session 3: When is an investigation appropriate? Team Exercise Read the following scenario and determine if an investigation is appropriate: 1. You are a University Ombudsman. You have received a call from a student complaining her professors have colluded to discriminate against her and make her fail her session. The student says the professors deliberately scheduled the final exams to conflict with several reports due during the same week. With some report deadlines on the same day as some exams, she says it is impossible for her to complete the reports and also attend the exams. She wants you to intervene so she can have more time to finalize her reports.

6. Session 3: When is an investigation appropriate? Team Exercise Read the following scenario and determine if an investigation is appropriate: 2. You are an investigator in the Office of the provincial Ombudsman. You have received numerous letters complaining about the unpublicized closure of a section of a provincial park. The complainants are demanding an investigation into the sudden closure, fearing the land will be sold for new residential developments. Many have written to the provincial authority responsible for provincial parks but they have received no responses. Recently, the local newspaper criticized the consultation process as inadequate, saying local residents were not encouraged to present their views. None of the letters you have received refer to the consultation process issue.

7. Session 3: When is an investigation appropriate? Team Exercise Read the following scenario and determine if an investigation is appropriate: 3. You are the Ombudsman for customers of Solid & Trustworthy Bank. You have received a complaint from Mr. L, a customer, alleging that a bank employee misused his personal account information. Mr. L says the bank employee told a third party that his credit line payments were overdue. The employee, he added, just happens to be his former wife and the person she told about the account was Mr. L’s boss. The regional office has already acknowledged the inappropriate disclosure of personal information and apologized to Mr. L. But Mr. L says, “That’s not enough!” He claims his reputation has been damaged - he wants the employee fired and he wants compensation.