Unique ID

Project

Do not be daunted by the size of the form – This is a formal investigation Complete those areas as applicable for the specific complaint

General Information

Name of person(s) raising complaint or concern:

Date of Complaint

Describe how the company became aware of the complaint:

Nature of the complaint:

The initial interview with the complainant(s) should be done, if at all possible, within twenty four (24) hours after becoming aware of the complaint

Date of Initial Interview

Resolution

If Yes, bring the concerns to the attention of management and resolve or consider appointing new investigator (any new or subsequent appointment should also occur within the twenty four (24) hours where feasible).

Details of Complaint or Concern

Documents identified by complainant(s) supporting the complaint or concern:

Drop files here or

Max. file size: 64 MB.

Any other complaints or communications by the complainant(s) about the issue, to whom made, and results of raising the complaint/concern:

Advise complainant(s) of the need for confidentiality. Any concern

Outcomes desired by complainant(s):

Advise those in attendance of the organisation’s anti-bullying policy and discuss anti-retaliation behavior.

In conjunction with conducting investigatory interviews, obtain documents from others, which may include the following documents, depending upon the circumstances and nature of the complaint/concern

Complainant(s) Personnel File

Drop files here or

Max. file size: 64 MB.

Date Received

From Whom

Accused Personnel File

Drop files here or

Max. file size: 64 MB.

Date Received

From Whom

Investigatory files obtained by other Investigators

Drop files here or

Max. file size: 64 MB.

Date Received

From Whom

Relevant documents from supervisor (1), Complainant (2) and accused (3)

Drop files here or

Max. file size: 64 MB.

(if there are performance issues involved, the supervisor may have documentation relating to performance in addition to that contained in the official personnel file)

Date Received

From Whom

Other relevant documents or items, e.g. pictures, gifts, tapes etc.

Drop files here or

Max. file size: 64 MB.

Date Received

From Whom

Interview of accused

Although this may vary depending on the circumstances and nature of the complaint, the first person interviewed after the complainant is usually the person about whom the complaint is made.

They may admit to the conduct of which they are accused rendering further interviews unnecessary
They may have a different version of events than the complainant which is important to understand when conducting additional interviews

Date of initial interview of accused

Information given to the accused:

Advise the accused that no conclusions have yet been reached and you are conducting an investigation. Advise the nature of the complaint (depending on the circumstances it may be appropriate to keep the identity of the complainant confidential, however, disclose enough information to allow the accused to respond to the complaint.

Accused’s Statement of Events:

Ask the accused for their version of events, making sure to discuss each specific allegation raised by the complainant.

Documents identified by the accused that support their statement of events:

Drop files here or

Max. file size: 64 MB.

Advise the accused of the need for confidentiality. Any concerns?

Any Concerns

Advise those in attendance of the organisation’s anti-bullying policy

To the extent practicable, interview all witnesses who have been identified. These interviews should be conducted as soon as possible.

Name and Position

Relationship to complainant(s) and person about whom complaint made

Date Interviewed

Advise witness of company anti-bullying policy:

Advise the witness of the need for confidentiality of investigation: Any concerns?

Advise witness of the importance of telling the truth and that there will be no retaliation

Witness’s statement of events about which they have been identified as having knowledge:

Has the witness observed or heard any inappropriate behaviour by the accused: If YES, describe:

Was information learned from the witness that would help in assessing the credibility of the complainant or the accused? If yes, describe:

Is there any other evidence of which the company should be aware? If yes, describe:

Further contact with the complainant(s)

Keep in regular contact with complainant(s) advising them of the status of the investigation. Issues may arise during the course of the investigation about which you will need further information.

Date of further contact:

Topics Discussed

Date of further contact:

Topics Discussed

Date of further contact:

Topics Discussed

Further contact with the accused

Keep in regular contact with accused advising them of the status of the investigation. Issues may arise during the course of the investigation about which you will need further information.

Date of further contact:

Topics Discussed

Date of further contact:

Topics Discussed

Date of further contact:

Topics Discussed

Preliminary Assessment of Information learned from the investigation

After interviewing all witnesses identified and after all relevant documents are obtained, a preliminary assessment should be made..

Date

Which allegations raised could be substantiated? By what Means? (e.g. accused admits to complaint, corroborating statement of witnesses, corroborating documentation etc.)

Which allegations raised could not be substantiated? Why? (e.g. accused denied making a statement attributed to them and there were no witnesses other than single complainant)

Which allegations raised were contradicted by information in the investigation? By what means? (e.g. complainant advised they had never had their work criticised however the personnel file shows several critical performance appraisals by different supervisors, an independent unbiased witness gave a different version of events, etc):

What additional information learned is relevant to assessing the credibility of the complainant:

What additional information learned is relevant to assessing the credibility of the accused:

Based on the substantiated and unsubstantiated allegations, allegations that were contradicted and the credibility assessment of those involved, what is the preliminary assessment of appropriate disciplinary action? Why?

To assist, answering the following questions may assist in determining appropriate disciplinary actions (they are based on the most common complaints:

If yes, nature of offensive touching

If yes, describe the conduct

If yes, how many times

Disciplinary Action - State the appropriate disciplinary action and reasons the action is appropriate

Meeting with the Complainant(s) regarding the Preliminary Results of the Investigation

Date of Meeting:

Inform the complainant(s) of the preliminary results of the investigation (advise which allegations could be substantiated, which could not be substantiated and/or were contradicted).

Inform the complainant(s) that, based on preliminary investigation results, either: 1) appropriate disciplinary action will be taken 2) no disciplinary is believed warranted.

Be careful not to disclose too much information to the complainant about the disciplinary action to be taken (if any at all) –
Remember the other party has privacy rights.

As an example, in a sexual harassment situation it would be appropriate to explain along the lines of “based on the allegations that were substantiated, appropriate disciplinary action will be taken” and “the company does not believe that terminating xxxxx or removing them from their current position is appropriate in light of information learned in the investigation, however we believe the discipline will prevent any inappropriate conduct in the future”

Also describe further efforts to educate the accused about the company’s policies, processes and procedures and the need for compliance.

Describe what was said?

The complainant’s response was:

Ask the complainant if there are any additional witnesses that should be interviewed. If yes, Who?

Ask the complainant if there are any additional documents that would substantiate the claim. If yes, list documents

Ask the complainant if there is any other relevant information that should be investigated before finalising the results of the investigation. If yes, what?

If the complainant identifies further information to be investigated, advise them you will complete the investigation and then meet with them again.

If the complainant does not identify additional information to be investigated assure them • (if disciplinary action was taken) the company believes it is sufficient to stop any unwanted behaviour • the company takes such complaints very seriously inform them • if there are similar or other complaints in the future to immediately contact a designated company representative so the company can take appropriate action encourage them • to come forward immediately with any concerns of retaliation

Meeting with the Accused to inform them of the Preliminary Results of the Investigation

Date of the meeting

Meet with the accused and inform them of the preliminary results of the investigation. Ask the accused if there are any additional witnesses to support their version of events If yes, Who

Ask the accused if there are any additional documents to support their version of events If yes, list documents

If additional witnesses/documents are identified, investigate further before completing the investigation.

If NO additional witnesses/documents are identified, advise the accused of the appropriate disciplinary action to be taken.

In addition to the disciplinary action taken (except termination), the accused should be admonished that any further violation of company policy will result in disciplinary action up to and including termination.

As an example, possible disciplinary actions include (but are not limited to) • No action, if no inappropriate conduct was substantiated • Training on harassment and bullying and the need for compliance with company policy • Oral warning • Written warning • Suspension (depending on employment criteria and contract) • Demotion • Change in job, tasks or location • Termination

Admonish the accused that no retaliation action is to be taken against the complainant(s) and advise that should this occur it will result in the imposition of disciplinary action up to and including termination.

Conduct additional investigation

If any additional investigation is warranted, follow the above processes.

Determination of results of investigation

If no additional investigation is warranted finalise the investigation, sign off and return documents as required. Ensure investigation record and attachments filed securely in a confidential location.

F60e. Bullying investigation

General Information

Interview of accused

Advise those in attendance of the organisation’s anti-bullying policy

Meeting with the Complainant(s) regarding the Preliminary Results of the Investigation

Meeting with the Accused to inform them of the Preliminary Results of the Investigation

Conduct additional investigation

Determination of results of investigation

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