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Respectful Workplace Procedures

I.    Purpose

These procedures (the “Procedures”) assist in the interpretation and application of the Respectful Workplace Policy (the “Policy”), set out the process for making complaints, investigation and making findings, including Alternative Resolution and Indigenous Conflict Resolution, and establish the expectations and responsibilities surrounding the Policy.

These Procedures support the Workplace violence prevention and response program, and, together with the Policy, provide a comprehensive workplace harassment prevention policy and program, as required under the Occupational Health and Safety Act  R.S.O. 1990, c.01.  (external link) 

Incidents, reports, or complaints of harassment that are based on enumerated grounds under the Human Rights Code fall under the Discrimination and Harassment Prevention Policy. Similarly, incidents, reports, or complaints of Sexual Harassment fall under the Sexual Violence Policy.  When assessing the appropriate policy under which an investigation may take place, an internal response team will meet to make a preliminary assessment.  In some cases, more than one policy may apply.  If the incident, report, or complaint is more appropriately dealt with under another policy or process, an appropriate referral will be made.  

II.    Definitions

For the purpose of these Procedures the following definitions apply. All definitions provided under the Respectful Workplace Policy, while not listed in the Procedures, also apply:

“Accountability Measures” are measures imposed by the University in response to a breach of this Respectful Workplace Policy. Accountability Measures are reasonable and appropriate in the circumstances, in accordance with the principles of proportionality and progressive discipline. Some examples of general Accountability Measures include, but are not limited to:

  • Counselling and educational program
  • No contact orders
  • Letter of behavioural expectations, coaching or warning
  • Restrictions related to University-related activities
  • Suspension/termination of employment

“Complainant” means a person who files a complaint to initiate a Complaint Resolution Process under the Respectful Workplace Policy.  In certain circumstances, a complaint may proceed through the Complaint Resolution Process with the University as the Complainant.

“Decision Maker” means the person in senior leadership, or their delegate, designated by the University as responsible for making a decision following an investigation under the Respectful Workplace Policy.

“Interim Measures” means temporary measures put in place to protect the parties, the community, or the integrity of the Complaint Resolution Process.  Interim Measures are made without prejudice to the ultimate outcome of the Complaint Resolution Process.  Some examples of Interim Measures include but are not limited to:

  • Restriction on contact and communication between the Complainant and Respondent, or other members of the University Community.
  • Changes to employment assignments or reporting structures.
  • Restrictions to access campus or parts of campus and/or University systems.

“Investigator” means the person who will conduct a thorough investigation in a manner that is independent, balanced, fair, unbiased, and free of arbitrariness and discrimination.  The Investigator may be internal or external to the University.   

“Respondent” means the person who is alleged to have engaged in Disrespectful Behaviours and who is the subject of the complaint or report proceeding through a Complaint Resolution Process under the Respectful Workplace Policy.

“Support Person” means a person that has no direct involvement in the complaint or report of Disrespectful Behaviour, and where no conflict exists, and provides support to a Complainant, Respondent or witness in the Complaint Resolution Process.  A support person does not act as an advocate or speak on behalf of the Complainant, Respondent or witness in the process.  A Support Person may accompany a Complainant, Respondent or witness to any step in the Complaint Resolution Process.  They may join the meeting or wait outside the meeting location. Some examples of Support Persons include Elder, spiritual advisor, friend or family member.  

“Trauma Informed Approach” means an approach and process that avoids and/or minimizes re-traumatization of those involved in the Complaint Resolution Process including the Complainant, the Respondent, and any witnesses.  It includes respectful and transparent communication between Human Resources, the Investigator and the parties to ensure an understanding of how trauma affects individuals’ memories and responses to an incident of “Disrespectful Behaviour”, as defined under the Respectful Workplace Policy.

III.    Procedure

Resolving an incident informally

1.    Whenever possible, the parties involved should attempt to resolve Disrespectful Behaviours they have experienced or witnessed as soon as they arise. If an employee feels comfortable doing so, calmly approach the individual and inform them that their behaviour is unwelcome and ask that they stop immediately.

2.    If confronting the behaviour is not possible or does not yield a satisfactory outcome:

a.    Discuss the situation with your immediate Leader who will review the matter and explore potential avenues for resolution. This discussion should take place within ten (10) business days from the date the issue was raised with the Leader. 

b.   If the matter is not suitably resolved by the immediate Leader or if the immediate Leader is the subject of the issue or complaint or there is a conflict of interest, contact Human Resources, a union or association representative.

Alternative Resolution

3.    The parties may mutually agree to resolve the matter informally through an Alternative Resolution Process before a formal complaint is filed, or at any time during the Complaint Resolution Process. Forms of Alternative Resolution may include mediation, facilitated discussions between the parties, training or dispute resolution processes. Where appropriate, for Indigenous faculty and staff this may include Indigenous Conflict Resolution.  With all forms of Alternative Conflict Resolution, both parties must engage in the process voluntarily and the process must remain free from Reprisal. 

Some examples of Alternative Resolution are:

a.    The Respondent’s agreement to participate in education and awareness training and counselling;

b.    The Respondent’s agreement not to communicate or engage with the complainant;

c.    Facilitated sessions, where both parties are able to express their views respectfully and openly;

4.    If resolution is reached, a written record of the Alternative Resolution Agreement will be prepared by Human Resources and signed by both parties.  Copies of the written agreement will be provided to each of the parties and the original placed in the official Employee file.

5.    If the matter remains unresolved, a formal complaint, in writing, can be filed with Human Resources. If a formal complaint is already filed, the Complaint Resolution Process may continue.  

Making a formal complaint

6.    If the parties have been unable to resolve a situation on their own or with their Leader, and if the parties have chosen not to participate in Alternative Resolution, complaints or reports of Disrespectful Behaviour, as described in the Respectful Workplace Policy, can be made to the Human Resources Department.  If a complaint or report is made to another office or union/association, it must be referred to Human Resources to be reviewed under the Respectful Workplace Policy.

Complaints can be made to Human Resources:

a.    through AskHR,

b.    in person, by requesting an in person or virtual meeting, or a telephone call,

c.    through email, or

d.   by submission of a letter.

7.    Once a complaint has been received in Human Resources, the Chief Human Resources Officer (CHRO) or designate will conduct a preliminary assessment and consider the appropriate next steps under the Respectful Workplace Policy.  Such steps include:

a.    Referring a Complainant to supports that may be available through Workplace Wellbeing Services.

b.    Assessing the complaint and determining whether the complaint contains allegations that may constitute a breach of the Respectful Workplace Policy, a collective agreement, and/or if the matter is to be referred for review under a different policy, such as the Discrimination and Harssment Prevention Policy, Student Code of Non-Academic Conduct (Policy 61), or Sexual Violence Policy.  The Workplace Violence Prevention and Response Program may also be referenced as part of this review.

Preliminary Assessment of the complaint

8.    In undertaking a preliminary assessment to determine whether this Policy applies, Human Resources will consider all relevant factors, including whether a prima facie breach of the Policy has been established. A prima facie breach of the Policy is established where, on the face of the allegations and in the absence of a defence or a justification from the Respondent, one could reasonably conclude that a breach occurred. The onus is on the Complainant to provide evidence of a breach. Evidence will be assessed on a balance of probabilities. This means that where the majority of evidence supports the allegations, even though it may not prove beyond a reasonable doubt, a prima facie case will be met.

Other relevant factors that will be considered are:

a.    The nature of the alleged incident and its connection to and impact on the University community member(s) and the University’s learning, teaching, working or living environments; 

b.    Potential risk to University community member(s) and/or the University community;

c.    Other relevant contextual factors.

9.    Once a preliminary assessment is complete and if it is determined that the complaint will proceed under the Policy, a written notice will be provided to all parties advising them of their rights and responsibilities and the next steps in the process.

The written notice will include:

a.    A link to the Policy and Procedures and any other related policies;

b.    A summary of the allegations;

c.    Confirmation of the right to a Support Person or union representative, where applicable, throughout the Complaint Resolution Process;

d.    Details of any Interim Measures that may be put into place, if required;

e.    Information and a reminder about confidentiality and the right to be free from Reprisal;

f.    The name of the person in Human Resources assigned to the case and an indication of an internal or external investigator (if known).

10.    The representative from Human Resources assigned to the Complaint Resolution Process will meet with each of the parties to explain the process and their rights and responsibilities under the Policy including Alternative Resolution,investigation, and decision-making processes.   

Interim Measures

11.    Prior to an Investigation taking place, an assessment will be made to determine whether Interim Measures are required. In the event Interim Measures are necessary, they will be discussed with the parties prior to implementation. 

12.    Anyone found in breach of the Interim Measures imposed during the Complaint Resolution Process will be held accountable under the Respectful Workplace Policy and may be subject to Accountability Measures.

Investigation

13.    If a complaint is not resolved informally or through Alternative Resolution Processes, Human Resources will refer the matter to an Investigator.  The Investigator may be internal or external to the University. Human Resources will oversee the appointment of external Investigators. Once the Investigator is appointed, they will contact each of the parties to confirm their appointment.

14.    It is in the best interests of everyone involved that the investigation is conducted in a timely way, ensuring a trauma-informed process, procedural fairness and transparency.  While the investigation should proceed in a timely fashion, timelines may be impacted by various factors such as the availability of the parties and the witnesses, and the complexity of the investigation. In the event an investigation is delayed due to unforeseen factors, the parties will be updated as appropriate. 

15.    The Investigator will ensure that both parties have an opportunity to respond to all material aspects of the allegations that make up the complaint, and the evidence upon which the investigator will rely.  Notes from their respective interviews will be provided to individuals so corrections or clarification can be made to their statements.  The Investigator will prepare a confidential final report for the University. 

16.    Evidence will be assessed on a balance of probabilities. This means that where the majority of evidence supports the allegations, even though it may not prove beyond a reasonable doubt that there was Disrespectful Behaviour, the complaint may be upheld.

Decision Maker

17.    The Decision Maker will review the final report from the Investigator.  Before rendering a decision, the Decision Maker may ask to meet with the Human Resource Representative, the Investigator, Complainant, Respondent or any witnesses.

a.    Where a Respondent is a faculty member, contract lecturer or teaching/graduate assistant, the Dean of the Faculty will normally be the Decision Maker.

b.    Where the Respondent is a staff member, a senior position in the unit (Director, Registrar, Senior Director, Executive Director, Assistant Vice President, Vice Provost, or Dean) will normally be the Decision Maker.

Decision Making

18.    Within ten (10) business days of receiving the investigation report from the Investigator, Human Resources will contact the Complainant and Respondent and notify them that the report has been finalized and is being presented to the Decision Maker.

19.    Within thirty (30) business days of receiving the investigation report, the Decision Maker will render a decision.  An extension to this timeframe may be granted to the Decision Maker if required.  The extension of time will be shared with both Complainant and Respondent.

20.    The decision will be communicated in writing to both Complainant and Respondent and the communication will include:

a.    whether there has been a breach of the Policy;

b.    a summary of the investigation results;

c.    their decision and reason for the decision;

d.    whether any Accountability Measures have been taken or will be taken in resolution of the complaint.

Complaints or reports of Workplace Harassment by a Student

21.    Notwithstanding that the Policy does not expressly govern student conduct, faculty or staff may file a formal complaint that they are experiencing Workplace Harassment under the Occupational Health and Safety Act by a student.  Where this occurs, the faculty or staff member should notify Human Resources or their Leader in writing about the students’ conduct and the harassment they are reporting.    

22.   Human Resources will provide a written response to the Complainant and their Leader confirming:

a.    the University Policy that has jurisdiction and authority over the student conduct in question, and pursuant to which the matter will be assessed, investigated, addressed, and resolved; and

b.    any interim measures assessed under the applicable University policy. 

23.   In most instances, the student’s behaviour will be assessed, investigated, addressed, and resolved under the University’s student codes of academic and non-academic conduct and will be referred to the relevant University office accordingly.  

24.   Following a decision rendered under the applicable University policy, Human Resources will provide written confirmation to the Complainant of the results of the investigation and of any corrective action that has been taken or that will be taken as a result of the investigation.

25.    Faculty and staff maintain all other existing rights of recourse including contacting Community Safety and Security, Human Rights Services, the Student Conduct Office, and seeking the assistance of the association or applicable union.

Accountability Measures

26.    Should the Decision Maker determine that there has been a breach of the Policy, Accountability Measures will be assigned that are reasonable and appropriate in the circumstances.  The primary goal of Accountability Measures is education and deterrence. Compliance with the Accountability Measures may require the participation of other University offices, such as the Office of Student Care, Human Resources, Office of the Vice-Provost, Faculty Affairs, or Community Safety and Security.

27.   Following a finding that the Policy has been breached, a Decision Maker will determine the most appropriate Accountability Measures.  Accountability Measures implemented will be appropriate in the circumstances.  When determining the most appropriate Accountability Measures, Decision Makers will consider:

a.    The nature and severity of the incident, mitigating and aggravating circumstances, and the principles of proportionality;

b.    The existence of any power imbalance between the Complainant and the Respondent;

c.    The principles of progressive discipline;

d.    The requirements under any relevant collective agreement and applicable law, including the Occupational Health and Safety Act (external link) , or the Workplace Violence Prevention and Response Program;

e.    Individual and collective safety, security, and well being considerations;

f.    The University’s role as an educational institution;

g.    Any other relevant factors.

28.    A non-exhaustive list of Accountability Measures  are:

a.    Education or counselling;

b.    No contact with a specific individual(s);

c.    Letter of behavioural expectations, coaching or warning;

d.    Suspension from work for a specific period of time without pay;

e.    Termination of employment.

Appeals

29.    A Complainant or Respondent may appeal the finding or Accountability Measure in a decision under the Respectful Workplace Policy.  In considering an appeal, the appeal Decision Maker will consider:

a.    Whether there was a substantial procedural error in the application of the Policy;

b.    Whether there is new evidence that could not have reasonably been presented earlier in the investigation process under the Policy;

c.    Whether the findings are inconsistent with the evidence or Policy; and/or

d.    Whether the Accountability Measures under the Policy are unreasonable in the circumstances

Appeal Review Process

30.    For Complainants and Respondents that are not subject to a collective agreement, either party may submit a written request for appeal to Human Resources within ten (10) business days of receiving the original decision.  The written submission must state the reason for the request to appeal.  The appeal will be provided to a Leader that is more senior than the original Decision Maker.

31.    All parties to the complaint will be notified that an appeal has been submitted.  Written submissions will be invited and considered.  In deciding on the appeal, the appeal Decision Maker will review the investigation file, the original decision, findings and Accountability Measures, and any other relevant documents or information.  The appeal Decision Maker may also interview the parties.

32.    The appeal Decision Maker will communicate their appeal decision in writing to the parties within twenty (20) business days of the commencement of the review.  An extension to this timeframe may be granted to the appeal Decision Maker, if required.  The extension of time will be shared with both Complainant and Respondent.  The appeal decision is final with respect to the options available under the Respectful Workplace Policy.

33.    For Complainants and Respondents who are subject to a collective agreement, the option to review the decision will fall within the grievance/arbitration process under the applicable collective agreement.

University as Complainant

34.    Where concerns and/or reports of Disrespectful Behaviour are received but no formal complaint is filed, or Disrespectful Behaviour is experienced or witnessed by members of the University Community who are not faculty or staff ,  Human  Resources will assess the matter and determine how to proceed. Where Human Resources decides an investigation is required, the investigation will follow the procedures outlined above under “Making a formal complaint”.  Examples of circumstances under which the University may act as a Complainant, while not an exhaustive list are:

a.    Where there is a risk to the safety of individuals or the broader University Community.

b.    Where the University has an obligation to act.

c.    Where the University has a legal obligation to investigate, such as under the Occupational Health and Safety Act.

d.    Where the alleged incident was perpetrated by a University Community member against a non-University Community member.

Confidentiality

35.    Confidentiality is critical in creating an environment where faculty and staff feel confident in discussing and reporting incidents of Disrespectful Behaviour and seeking support to resolve a matter.

36.    All individuals involved in the Complaint Resolution Process must maintain confidentiality at all times throughout the process.  Disclosure of any information related to the complaint will only be undertaken if reasonably required to implement the Complaint Resolution Process under the Respectful Workplace Policy, in order to implement Accountability Measures, as required by University Policy, or where legally required.