Complaints Policy
Coral Romain – Positive Pathway
Practising Mediator Complaints Policy
1. Introduction
I am committed to providing high-quality mediation services. If you are dissatisfied with any aspect of the service provided, I encourage you to raise your concerns as soon as possible so they can be addressed promptly.
2. Who Can Complain?
Complaints can be made by:
- Curren or former clients of the mediation.
- Qualifying third parties (e.g., a person invited to participate in the process or a prospective client directly affected by my professional behaviour).
3. Stage 1: Informal Resolution
In the first instance, please raise your concerns directly with me (the Mediator). Most issues can be resolved informally through a conversation or written correspondence. I aim to respond to such informal concerns within 10 working days.
4. Stage 2: Formal Complaint
If your concern is not resolved at Stage 1, you may submit a formal complaint.
- Time Limit: Complaints must be made within 3 months of the incident occurring or the date the mediation ended.
- Submission: Please put your complaint in writing to Coral@positivepathway.org.uk. Please Include your name, contact details, the date of mediation, and a clear description of your concerns.
- Acknowledgement: I will acknowledge receipt of your formal complaint within 5 working days.
- Investigation: All complaints will be investigated. I will provide a detailed written response within 21–30 working days of receipt. If more time is required for a thorough investigation, I will notify you in writing with an updated timeframe.
5. Stage 3: Independent Review
If you remain dissatisfied after exhausting my internal procedure, you may refer the matter for independent review by the Society of Mediators (SoM) or the Civil Mediation Council (CMC), depending on case type:
- Society of Mediators: Visit societyofmediators.com for their specific process.
- Civil Mediation Council (CMC): If I am a CMC-registered mediator, you can contact the CMC Registrar after my internal process is exhausted.
6. Exclusions
It is not a requirment to to investigate complaints that are:
- Vexatious: Intended to intimidate or unduly pressurise.
- Irrelevant: Relating to matters other than the mediation service.
- Abusive: Using offensive language.
7. Confidentiality and Data
Records of all complaints will be kept for a period of six years. Information may be shared with regulatory bodies (like SoM or CMC) if they are required to investigate the matter further.
SEND Mediator Complaints Policy
1. Purpose and Scope
This policy applies to all mediation and disagreement resolution services provided under the SEND Regulations 2014.
As a SEND (Special Educational Needs and Disability) Mediator – I am committed to ensuring that this Policy aligns with the SEND Code of Practice and the Professional Standards for SEND Mediators. This includes the specific requirements for external oversight and statutory timeframes essential for SEND practice.
2. Who Can Complain?
- Parents or Young People: Those who have participated in or requested SEND mediation.
- Representatives: Advocates or professionals attending on behalf of a party.
- Third Parties: Any person directly affected by the mediator's professional conduct.
3. Stage 1: Informal Resolution
If you are unhappy with the mediation process or my conduct, please contact me directly at coral@positivepathway.org.uk I aim to resolve concerns informally within 10 working days.
4. Stage 2: Formal Complaint
If not resolved informally, you may submit a formal written complaint.
- Time Limit: Complaints must be submitted within 3 months of the final mediation session.
- Acknowledgement: I will acknowledge your complaint within 5 working days.
- PPC Involvement: As an accredited mediator, I will notify my Professional Practice Consultant (PPC) of your complaint within 7 days to ensure independent oversight of the investigation.
- Response: You will receive a full written response within 21–30 working days.
5. Stage 3: External Review
If you remain dissatisfied, you can escalate your complaint to the relevant accreditation body. Because I practice under the Society of Mediators (SoM) and follow Civil Mediation Council (CMC) standards:
- Society of Mediators: You may follow the SoM Independent Appeals Process.
- The CMC/College of Mediators SEND Panel: If the complaint concerns a breach of the Professional Standards for SEND Mediators, you may refer it to the SEND Registration Panel.
6. Impact on Tribunal Rights
Important: Making a complaint about a mediator does not stop the clock on any right to appeal to the SEND Tribunal. You must still lodge your appeal within two months of the original Local Authority decision or one month from the date of your mediation certificate, whichever is later.
7. Confidentiality
All complaint records are kept confidentially for six years. However, if a complaint is escalated, I may be required to share case files with the SoM or CMC Registrar for audit purposes.
Mediator Complaints Log
serves as a central record of all formal and informal grievances. It is a vital tool for annual audits, Professional Practice Consultant (PPC) reviews, and accreditation renewals with bodies like the Society of Mediators or the Civil Mediation Council (CMC).
Mediator Complaints Log
The log is maintained as a secure but simple spreadsheet Sheet
Key Components Recorded – to ensure minimum regulatory standards are met. For all entries, the following information is recorded
- Unique Reference Number: For easy tracking and anonymised reporting.
- Nature of Complaint: A clear description of the specific concern (e.g., administrative error, mediator conduct, or process dissatisfaction).
- Timeline Tracking: The date the complaint was received, acknowledged, and resolved .to demonstrate compliance with your policy's timeframes (e.g., the 21-30 day response rule).
- Resolution and Learning: The final outcome and any improvements made to practice as a result, is essential for quality assurance reviews.
- Complaint Outcome Form
1. General Information
- Complaint Reference: [ID from Log]
- Name of Complainant: [Name]
- Date Formal Complaint Received: [Date]
- Date of Outcome Letter: [Date]
2. Summary of Complaint
Brief details raised by the complainant.
- Point 1: [e.g., Delay in sending the mediation certificate
3. Investigation Findings
Outline of findings identified during review.
- Regarding Point 1: [e.g., Investigation showed e.e.a technical error in the email system..
4. The Decision
Clear statement as to whether the complaint is upheld, partially upheld, or not upheld.
- Decision:
- Reasoning:
5. Redress or Actions Taken
What action will be taken / are being taken If the complaint was upheld or partially upheld, - to improve the situation. [e.g., formal apology / Refunding a portion of the fee / Updating administrative software / Discussion with PPC for professional development]
6. Next Steps / Rights of Appeal
If the outcome is felt to be unsatisfactory - communicate the right to escalate the complaint within [e.g., 14] working days.
- External Body: [Society of Mediators / CMC / College of Mediators]
- Contact Details: [Insert link or email address for the relevant body]
The Complaints Folder is organized and accessible.
Complaints Audit Checklist
These items are held in a dedicated, secure folder (digital or physical):
- Current Policy: A copy of the complaints policy active at the time of the complaint.
- The Complaints Log: master spreadsheet showing all entries - including "Nil" returns.
- Original Correspondence: Initial letter / email from the complainant, plus any supporting evidence provided.
- Acknowledgment Record: Copy of initial response (sent within 5 working days)
- Investigation Notes: Notes, phone logs, internal reviews used to reach the decision.
- PPC Consultation Record: Evidence (emails / meeting notes) evidencing discussion with Professional Practice Consultant, as required for SEND mediators.
- Final Outcome Letter: Formal response/apology sent to the complainant.
- Proof of Redress: (e.g. If refund was offered or corrective action taken (e.g. new certificate).
- Annual Review Summary: - brief note at the end of each year reflecting on e.g. "lessons learned" from log, even where no formal complaints were made.
Retention Period
These records are held for 6 years. This aligns with the statute of limitations for contract claims and standard professional indemnity insurance requirements.
Annual Summary Draft
Reporting Period: [e.g., May 2025 – May 2026]
Total Complaints Received: [Insert Number]
Summary Statement:
During this reporting period, a robust complaints management system was in place, in line with SoM and CMC requirements - such that either
· Option A (No complaints): No formal or informal complaints were received. Participants continue to be provided continue to provided with clear information on my complaints procedure at the outset of every engagement.
· Option B (If complaints were received): [Number] formal complaint(s). This was investigated in accordance with published policy and discussed with Professional Practice Consultant (PPC). The matter was resolved at [Stage 1/Stage 2], and the outcome was [upheld/not upheld
Reflective Practice & Learning:
To ensure continuous improvement, [e.g., Introductory statement has been updated to clarify mediation boundaries / administrative checklists for SEND certificates has been refined].
I remain committed to high standards of professional conduct and transparent dispute resolution. This documentation will be reviewed annually.
Complaints Clause for Terms of Engagement
Complaints and Feedback
The Mediator is committed to providing a high-quality service and is a member of the Society of Mediators. If you are dissatisfied with any aspect of the service, please refer to the Mediator’s Complaints Policy, which is available [on my website / upon request].
By signing this agreement, you acknowledge that you have been made aware of the complaints procedure and have the right to escalate any unresolved. professional conduct matters to the relevant accreditation body (e.g., the Society of Mediators, Collis Mediation or the Civil Mediation Council
Implementation Checklist
- Placement: Insert this clause near your "Confidentiality" or "Mediator Status" sections.
- Hyperlink: if you send your terms digitally, link the word "Complaints Policy" directly to your PDF or webpage.
- SEND Specifics: For SEND cases, ensure your "Mediation Information and Assessment Meeting" (MIAM) or initial call notes also reflect that you mentioned your professional standards.
Mediation Compliance Sign-Off Sheet
Case Reference: [ID Number]
Client Name: [Name]
Date of Initial Meeting/MIAM: [Date]
Document / Information Provided
Method (Email/Hard Copy)
Date Provided
Client Initials (if in person)
Agreement to Mediate (Terms of Engagement)
Complaints Policy (SoM & SEND Compliant)
Privacy Notice (GDPR/Data Protection)
SEND Tribunal Rights (Factsheet/Verbal Info)
Mediator DeclarationI
Wrighthnston & Mackenzie LLP
- The voluntary nature of mediation and the right to withdraw at any time.
- The mediator’s role as an independent, impartial facilitator.
- Confidentiality parameters and legal legally required exceptions.
- The process for raising a formal complaint via the Society of Mediators.
Mediator Signature: ___________________________ Date: _______________
This is critical for SEND Mediators:
- Audit Trail: for Civil Mediation Council (CMC) SEND Panel audits demonstrating that the Policy is in place, in use and that Clients receive the information
- Tribunal Readiness: For SEND appeals, ensuring that there is evidence that parties have been informed of their rights
- PPC Review: - Professional Practice Consultant (PPC) can to verify administrative compliance during annual supervision.
