Appendix A: Screening/Investigation Process Flowchart

FTA Complaint Resolution Process

Stage 1: Intake and Acknowledgement

• Complaint received via mail, fax, email or in person to the Integrity Office

Flowchart Steps:

• 1A) Intake of complaint and logging by Integrity Office
• 1B) Integrity Office acknowledges receipt of complaint to the complainant within 2 working days

Stage 2: Assessment and Screening Decision

• Is the complaint within FTA mandate?
• Does the issue in question meet grounds for investigation (is there a breach of fairness)?
• If appropriate, has complainant taken other steps to resolve their complaint prior to coming to FTA?

Flowchart Steps:

• 2A) Intake and Assessment by Fairness Trust Advisor
• 2B) Screening Decision: (Application to proceed?)
  • No: Provide response with reasons
  • Yes: Proceed to Review & Investigation of Complaint

Stage 3: Review, Investigation, and Early Resolution

• FTA examines all relevant documentation and undertakes key informant interviews
• Preliminary document review and key informant interviews to gather further information from parties
• FTA assess whether complaint can be resolved through a discussion with affected parties
• Preliminary inquiries are intended to determine if early resolution is possible
• Complaint resolved without full investigation

Flowchart Steps:

• 3A) Review & Investigation of Complaint
• 3B) Notice of commencement of investigation of complaint to affected parties within 3 working days of Step 2 decision
• 3C) Preliminary Inquiries (is early resolution an option?)
• 3D) Early Resolution
  • Yes: Proceed to Final report with recommendations
  • No: Continue investigation

Stage 4: Conclusion and Reporting

• Written documentation of outcome of investigation provided to parties and posted to FTA webpage

Flowchart Steps:

• 4A) Final report with recommendations
• 4B) Notice of conclusion of investigation / recommendation to relevant parties