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
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
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).
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
(if there are performance issues involved, the supervisor may have documentation relating to performance in addition to that contained in the official personnel file)
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.
Ask the accused for their version of events, making sure to discuss each specific allegation raised by
the complainant.
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.
Advise witness of the importance of telling the truth and that there will be no retaliation
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.
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.
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..
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:
Meeting with the Complainant(s) regarding the Preliminary Results of the Investigation
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.
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
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.
Section Break