Before: Arbitrator name arbitrator (A), Respondent: Joseph S (R1), Dirk A (R2), Claimant: Michael T (C), Case: a20140305.1

History Log

Private Part

EOT Private Part

original Dispute

parts in [] anonymized accordingly

Preliminary considerations

A has also assured the member with the date of birth (DoB) in question, but did not decide to enter the account or how to proceed.

A conflict of interest (CoI) has to be considered.

Since A did not come to a decision on how to proceed and what is the correct DoB before the case was known to her (which A could demonstrate with mails) it is hard to define where such a conflict would be substanciated.

A asked C, R1 and R2 if they would regard this as a problem (before A told them about the DoB on her CAP form). All agreed that they do not see an issue with A also having assured the assuree. On the contrary all found it helpful, that A could also bring additional information to the case.

As all parties (including the CM and A) did not consider this situation as a CoI (and another person outside of the case also came to this conclusion), a CoI for this case has to be negated. (If one party would have an issue with such a constellation the decision should be otherwise!)


DoB in the account

Wrong DoB entered by R1 and R2

Soon it will not be possible to make such an error again, since there is a new patch bug bug1226 waiting on software side to go life (when it reaches the needed test and review status) that will force to enter the DoB together with the e-mail of the assuree to be able to enter the assurance. So this will hopefully help to prevent R1 and R2 to make such an error again.

Nonetheless they should be warned to be more careful in the future. It is human to make mistakes, but one should be careful when entering assurances and one should be aware of possible consequences and accept them, if one is not careful enough.

Both respondents proposed to give them a reprimad as remediy in the ruling, when asked how they would rule in this case.

During the interview both respondents complained independently about not getting enough assurance re-training as co-auditors. While they train others they get no training themselves. They asked A to inform the internal auditor officially about this issue, as the co-audit program was initiated by the last internal auditor.


Hamburg, 2014-03-18


post Arbitration activity

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Arbitrations/a20140305.1 (last edited 2014-07-18 10:34:32 by EvaStöwe)