Workplace harassment investigation form

Write a brief summary of how the complaint process originated (when the complaint was received, who received it, whether it was by phone, email, in person, etc.).

Tip: Throughout the report refer to the parties as “Complainant”, “Respondent”, and “Witness 1, 2, 3, etc.”

Tip: You may also use this space to note and explain any delays with the investigation (i.e., illness, vacation, etc.)

A brief summary of the allegations outlining the main facts of the Complainant’s position:

• Identify the prohibited ground
• Summarize specific details (dates, times, etc.)

Tip: Keep this fairly short; point form is appropriate.

Neither the Unifor Policy nor an Employer policy takes the place of police investigations. If the alleged harassemnt is a serious criminal offence (for example, physical or sexual assault, death threats), strongly encourage the complainant to report the incident to the police. If they want help through this process, offer to be with them, or to help them find support - fo. If a criminal investigation does take place, you will still need to conduct a workplace investigation and a grievance if applicable.

Record all contact with the respondent - dates, times, place and length of meeting. This will help provide an important timeline of the investigation itself. Date each conversation and include a summary.

Take careful notes throughout (see separate Tips sheet). Take time to summarize each interview.

Witness

• someone who may have seen/heard the alleged harassment taking place
• someone who could describe first-hand the working relationship of the people involved
• anyone whose name was mentioned during the interviews with either the complainant or the alleged harasser. EXPLAIN THE PROCESS.

Explain the need to keep this process confidential. They should not talk with anyone in the workplace about the investigation. Let them know that you will do your best to ensure that the evidence they provide will be kept confidential, released only on a need-to-know basis, as part of the investigative process. Don’t ask leading questions. You need to determine if the witness:

➤ saw or heard the alleged harassment taking place
➤ knows whether or not the alleged harasser had the opportunity to commit the alleged harassment
➤ talked with the complainant or the alleged harasser about the alleged harassment before the complaint was filed Use your best judgement when you interview witnesses. You need to do a full investigation, but you need to balance this with maintaining confidentiality. Remember, you don’t need to interview everyone in the workplace! Always interview witnesses separately, and in a private, quiet space. Interview both supportive and non-supportive witnesses. Don’t settle for hearsay (second-hand) information. It is not considered admissible at arbitration, or is given little weight.

Begin by stressing confidentiality. Explain and reinforce that you are following due process..

Tip: Remember that you want to use a mix of open and closed questions.

Record all contact with witnesses - date, time, place and length of meeting. This will help provide an important timeline of the investigation itself. Date each conversation and include a summary so that it can be added to the final report.

Additional evidence could include: details or map of the physical description of workplace environment (if relevant), physical evidence (pictures taken or obtained, or actual physical evidence obtained).

Also include copies of interview statements (these need to be signed and dated). All of this belongs in the Harassment Investigation file, but needs to be listed here.

Include information on timelines and deadlines from the collective agreement and / or your policy to ensure you stay on track, and so you can explain any delays.

List each allegation/incident and the evidence that supports or does not support the allegation:

a. Summarise each allegation as stated by the Complainant.
b. Summarise the Respondent’s response to that allegation.
c. Summarise the statement of the Witness who provided information on that allegation.
d. Include any evidence that was provided for that allegations, i.e. pictures, etc.

Tip: As you complete this section, re-phrase each allegation/incident as a question (i.e., “Is there evidence to support the allegation that ‘x’ took place?”)

Restate the definition of workplace harassment as indicated in the Collective Agreement or workplace policy.

Go back through your list of allegations and make a determination for each allegation:

“Based on the balance of probabilities, there is sufficient evidence to substantiate the allegation of ….”

“Based on the balance of probabilities there is insufficient evidence to substantiate the allegation of ….”

Tip: In some instances where there is insufficient evidence to substantiate workplace harassment, you may include the following in your report:

“The investigators conclude there is insufficient evidence to support that the Respondent engaged in workplace harassment. However, there is evidence of workplace conflict”.

A) List any individual recommendations
B) List any systemic recommendations


Union Investigators cannot recommend disciplinary measures, such as separating employees, suspension, etc. The employer can add any disciplinary measures to the outcome/closing letter as they will be signing it.

Recommendations can include:

• Review outcome with the Complainant
• Review outcome with the Respondent
• Take appropriate corrective measures to manage the findings
• Training on Respect in the Workplace for the entire workplace/workgroup
• Provide information on Employee Assistance Program (EAP/EFAP)
• Leadership training
• Review workplace process on XXX with Complainant and Respondent, and other employees as necessary (this is often good when the conflict started from a different understanding of a particular process which led to hostility, etc.).