Under the Harassment and Discrimination Prevention and Response Policy
TABLE OF CONTENTS
A. Purpose
B. Procedure
Where, How, and When to submit a Complaint
C. Complaint Intake and Streaming
D. Resolution after a Complaint has been Referred for Investigation
Complaint about Employee Conduct
Complaint about Student Conduct
E. Investigation Process
F. Record Keeping and Reporting
A. Purpose
This is the Procedure for making a Complaint about Harassment, Discrimination, or Reprisal in the University’s living, learning, or working environments so the issue can be assessed and addressed under the Queen’s Harassment and Discrimination Prevention and Response Policy (the “Policy”). If your issue is not about Discrimination, Harassment or Reprisal you experienced, but is about something you witnessed, or have become aware of, that you believe is contrary to the Policy do not file a Complaint under this Procedure. Instead, please refer to Section 1.3 (b) of the Policy and the Harassment & and Discrimination Reporting Procedure.
- For matters dealing with Systemic Discrimination, see the Reporting Procedure.
- If a matter relates to Sexual Harassment or another form of sexual violence (as defined in the Policy on Sexual Violence Involving Queen’s University Students), and involves a student, either as a Complainant(s) or Respondent(s), do not file a Complaint under this Procedure; rather, the procedure set out in the Policy on Sexual Misconduct and Sexual Violence Involving Students must be followed. Students are encouraged to contact Sexual Violence Prevention and Response Services for support and advice (See also Section 1.3.a.iii in the Policy).
- For more information about the Policy and its Procedures click here.
- Capitalized terms in this Procedure are defined in the Policy.
B. Procedure
Where, How and When to submit a Complaint
1. Consultation when considering filing a Complaint under the Policy is strongly encouraged because it has several advantages, such as:
- identifying early and efficient opportunities to clear up what might be a misunderstanding;
- identifying ways of facilitating internal communication, which in turn can help strengthen relationships;
- identifying issues that may not constitute Harassment, Discrimination or Reprisal, but may nevertheless require discussion and resolution among individuals or groups;
- avoiding escalation of issues because of assumptions, misunderstandings, etc. that might otherwise be effectively addressed through discussion and collaboration.
Please refer to Section 5 of the Policy for a list of resource offices available for consultation.
2. Complaints are directed to the Office of the Vice-Principal (Culture, Equity, and Inclusion) using the form available here.
3. If the Complaint alleges conduct of an employee(s) who is a direct report of the Vice-Principal (Culture, Equity, and Inclusion), the Complaint will be directed to the Office of Legal Counsel, and Queen’s General Counsel or their delegate will Chair the Intake Assessment Team.
4. Complaints should be submitted as soon as possible following the incident(s) to which they relate and normally within one year after the incident(s).
5. A Complaint must contain a detailed account of all facts alleged and must attach any documents on which the Complainant(s) relies and to which they have access, and if possible, list other relevant documents of which they are aware but to which they don’t have access.
6. Not more than 30 days after a Complaint is submitted, the Vice-Principal (Culture, Equity, and Inclusion) (or General Counsel if applicable per paragraph 2 above) will assemble the Intake Assessment Team to determine whether the Complaint will be referred for investigation (see Section C: “Complaint Intake and Streaming”).
C. Complaint Intake and Streaming
7. Subject to applicable law that might require an investigation, the Intake Assessment Team may decline to refer a Complaint for investigation if:
a. the Complaint is about a matter or issue not governed by the Policy;
b. the facts alleged in the Complaint do not establish a prima facie case of Harassment, Discrimination, or a Reprisal; that is, assuming the facts alleged are true, they do not disclose conduct that falls within the definition of Harassment, Discrimination, or Reprisal;
c. the substance of the Complaint is already the subject matter of another internal University proceeding (e.g., a grievance under a collective agreement);
d. the Complaint does not contain sufficient information. In this circumstance, the Chair of the Intake Assessment Team may appoint someone to make follow-up inquiries and to report back to the Team to determine if the Complaint, amended with additional information, should be referred for investigation;
e. the Complaint is made more than one year after the incident(s) to which the Complaint relates. The Intake Assessment Team may accept a Complaint after the one-year period if it is satisfied that the delay was incurred in good faith and no substantial prejudice will result because of the delay; or,
f. the Respondent is no longer a member of the University Community. The Intake Assessment Team may accept a Complaint in these circumstances, which it will assess on a case-by-case basis. The University’s ability to investigate may be limited in such circumstances.
8. If the Complaint alleges conduct that, if true, would constitute a violation of another Queen’s policy, the Intake Assessment Team may refer the matter to the appropriate office to be addressed under the applicable policy and its procedures.
9. If the Intake Assessment Team decides not to refer a Complaint for investigation, the Chair will, on behalf of the Team, tell the Complainant(s) in writing:
a. the reason(s) the Intake Assessment Team decided not to refer the Complaint for investigation;
b. that the Intake Assessment Team will reconsider its decision if the Complainant(s) submits additional information; and,
c. about possible alternative(s) for seeking recourse or support.
10. A Complaint that is not referred for investigation or otherwise addressed through another Queen’s policy, Guideline or process can be referred to the Ontario Ombudsman.
11. Subject to any right to file a grievance under a collective agreement about the decision not to refer a matter for investigation, the Intake Assessment Team’s decision is final and is not subject to appeal.
12. Complaints that the Intake Assessment Team refers for investigation will normally be referred as follows:
a. Respondent is an Employee: to the Complaints & Investigations Office, to be investigated in accordance with Section E: “Investigation Process,” below.
b. Respondent is a Queen’s Student: Subject to paragraphs 11 (c) (d) and (e) below, to the Non-Academic Misconduct Intake Office (“NAMIO”), for investigation in accordance with the Student Code of Conduct and its Procedures and the normal procedures of the Student Conduct Office or other investigating NAM Unit.
c. Respondent is BOTH an Employee and a Student: the Intake Assessment Team will determine the appropriate office to take the lead on the investigation, and the Complaint will be referred accordingly. In this situation, the final investigation report will be shared with the other office, to determine if any corrective action is warranted under their policies, procedures, guidelines, or a collective agreement.
d. Student Professionalism Concerns: Concerns about the conduct of students in the (i) School of Medicine Undergraduate Medical Education Program; (ii) School of Nursing; (iii) School of Rehabilitation Therapy; or (iv) the Faculty of Education; are first and foremost academic matters. Therefore, the Intake Assessment Team will first determine if the Complaint involves the conduct of a student enrolled in any of these Programs. If so, the Intake Assessment Team will then determine if the matter is to be referred for investigation under the Harassment and Discrimination Prevention and Response Policy.
- If “۷”, the Complaint will be referred to the Complaints & Investigations Office. The final investigation report will be shared with professional Program (subject to appropriate redactions for privacy/confidentiality) to determine if any corrective action is warranted under the Program’s professionalism policy or academic regulation(s).
- If “N”, the Intake Assessment Team will forward the Complaint to the appropriate Associate Dean (for School of Medicine and the Faculty of Education) or Associate Director (for Schools of Nursing and Rehabilitation Therapy) for assessment under their applicable professionalism policy or academic regulation(s).
e. Conduct of Students in the Postgraduate Medical Education Program: If the Complaint involves the conduct of a Medical Trainee (i.e., a “Resident”) enrolled in the School of Medicine’s Postgraduate Medical Education Program (“PGME”), to the Associate Dean, PGME, to be investigated according to the .
f. Respondent is a Contractor: to the Complaints & Investigations Office.
g. Respondent is a Visitor: to Campus Security and Emergency Services for investigation in accordance with their normal practices and procedures.
D. Resolution after a Complaint has been Referred for Investigation
Complaint about Employee Conduct
13. Any time after the Intake Assessment Team has referred a matter for investigation, but before the investigation has been completed, the Complaints & Investigations Office may, in its discretion, attempt to resolve the matter with the agreement of the Complainant(s) (or, in the case of a Report, the consent of the individual(s) impacted by the alleged conduct) and the Respondent(s).
14. If the Complaint is about Workplace Harassment, while an agreed resolution may be the basis for the ultimate outcome of a Complaint or Report, resolution discussions cannot replace or serve to terminate an investigation (See Ontario Ministry of Labour Health and Safety Guidelines, , p.32).
15. Any attempt to resolve the matter will involve separate discussions with the Complainant(s) (or, in the case of a Report, with the individual(s) impacted by the alleged conduct), and the Respondent. It may also involve discussion with others from whom the Complaints & Investigations Office requires input about the proposed terms of a resolution. Depending on the status of the parties, this may include Human Resources, Faculty Relations, the supervisor or manager responsible for the area/department in which the Respondent is employed (or another more senior administrator if the supervisor or manager is a Respondent), the Office of the University Ombudsperson or the Human Rights and Equity Office.
16. Resolution Discussions are Without Prejudice: To ensure that resolution discussions are full and open, they are without prejudice; the content of those discussions cannot be disclosed to the investigator, except for an agreed statement of facts achieved during the resolution discussions. This restriction does not apply when the investigation is about an alleged breach of a previously reached resolution.
17. Reporting the Outcome: The terms of a resolution will be summarized and will be provided to the Complainant(s) or, in the case of a Report, to the individual(s) impacted by the alleged conduct) and Respondent(s), and to the Office of the Vice-Principal (Culture, Equity and Inclusion) as part of the reporting back obligation set out in paragraph 49 of this Procedure.
18. No Resolution: If the Complaints & Investigations Office concludes that a resolution cannot be achieved within a reasonable period, the investigation will proceed.
19. Withdrawal: Complainant(s) (or in the case of a report the individual(s) impacted by the alleged conduct) or Respondent(s) can withdraw from the resolution discussions at any time, and the investigation will proceed.
Complaint about Student Conduct
20. Any time after the Intake Assessment Team has referred a Complaint or Report for investigation, but before the investigation has been completed, the Student Conduct Office or other investigating NAM Unit as defined in the Student Code of Conduct, may, in its discretion, attempt to resolve the matter with the agreement of the Complainant (or, in the case of a Report, the individual(s) impacted by the alleged conduct), and the Respondent, in accordance with the Student Code of Conduct and its Procedures and the normal procedures of the Student Conduct Office or other investigating NAM Unit.
21. If the Complaint is about Workplace Harassment, while an agreed resolution may be the basis for the ultimate outcome of a Complaint or Report, resolution discussions cannot replace or serve to terminate an investigation (See Ontario Ministry of Labour Health and Safety Guidelines, , p.32).
22. An attempt to resolve the matter will involve separate discussions with the Complainant (or, in the case of a Report, the individual(s) impacted by the alleged conduct), and the Respondent.
23. It will also involve discussions with others from whom the Student Conduct Office or investigating NAM Unit requires input about the proposed terms of a resolution.
24. Resolution Discussions are Without Prejudice: To ensure that resolution discussions are full and open, they are without prejudice and, the content of those discussions cannot be disclosed to the investigator, except an agreed statement of facts achieved during the resolution discussions. This restriction does not apply when the investigation is about an alleged breach of a previously reached resolution.
25. Reporting the Outcome: The terms of a resolution will be summarized and will be provided to the Complainant (or, in the case of a Report, to the individual(s) impacted by the alleged conduct) and Respondent, and to the Office of the Vice-Principal (Culture, Equity and Inclusion) as part of the reporting back obligation set out in paragraph 49 of this Procedure.
No Resolution: If the Investigating Office concludes that a resolution cannot be achieved within a reasonable period, the investigation will proceed.
26. Withdrawal: Complainant(s) (or in the case of a Report, the individual(s) impacted by the alleged conduct), or Respondent(s), may withdraw from the resolution discussions at any time, and the investigation will proceed.
E. Investigation Process
This investigation process applies to referrals made under paragraph 11(a) and (f) above. This process also applies to referrals made under paragraph 11(c) if the Intake Assessment Team determines that the Complaints & Investigations Office will be the lead office for the purpose of investigating.
27. Interim Measures: Upon receiving a referral from the Intake Assessment Team, interim measures may be put in place, subject to any collective agreement provisions. It will normally be appropriate to ensure a Complainant is not required to interact with the Respondent(s) until the investigation is concluded and an is outcome determined. Additional interim measures can be implemented subsequently, if determined to be reasonable and appropriate in the circumstances. Interim measures can include things such as administrative leave, reassignment of work duties or location, interim suspension from studies, full or partial Notice of Prohibition, no contact requirements, and restriction(s) on or loss of privileges.
28.The Investigating Office will establish an investigation process that is appropriate in the circumstances, considering the nature of the allegations, the severity of the conduct described in the Complaint, available internal investigative resources, and any applicable collective agreement requirements, procedural rules and guidelines, or best practices to be followed. Considering these factors, the Investigating Office can, in its discretion, conduct an internal investigation or engage an external investigator.
29. The investigator will review the collective agreement(s) that apply to anyone involved in the investigation and will ensure the required procedures are followed (for example, some collective agreements contain specific provisions about the steps to be followed in an investigation).
30. The investigation will be conducted by trained/experienced individual and will be conducted on a neutral, objective basis.
31. The Investigating Office or the person designated under a collective agreement, will provide the Complainant(s) and Respondent(s) with a written notice of investigation.
32. The notice of investigation to the Complainant(s) and the Respondent(s) will indicate:
a. who will conduct the investigation;
b. that the recipient has the right to bring a Support Person and/or an Advisor to any meeting with the investigator; and,
c. an estimated time to conclusion, if it is feasible to do so, considering the nature and scope of the particulars stated in the Complaint.
33. The notice of investigation to the Respondent(s) will also include:
a. the name of the Complainant(s) and a brief description of the nature of the allegations in the Complaint; and,
b. additional information required by an applicable collective agreement.
34. Individuals involved in an investigation, and their respective bargaining agent(s) if applicable, will be informed of the investigation process.
35. Not less than 5 calendar days before a Respondent is interviewed, they must receive a written summary of the allegations (e.g., details about the who, what, when and where of the Complaint) that is sufficient to permit them to respond to the Complaint and to determine what, if any, witnesses the investigator should be made aware of.
36. Depending on the nature of the allegations and the severity of the conduct described in the Complaint, and subject to any requirements in an applicable collective agreement, the investigator may conduct in-person or virtual interviews, or may request written statements, including from the Respondent(s), in lieu of interviews.
37. Support Persons and Advisors:
a. A “Support Person” is an individual whose role is to provide emotional support and assistance. An “Advisor” is a more formal type of Support Person, such as a legal counsel, a union representative for bargaining unit members, or another similar representative.
b. Individuals who attend an interview with the investigator may be accompanied by a Support Person and an Advisor.
c. Individuals who attend an interview with a Support Person and/or an Advisor must give the investigator sufficient notice of their name(s) prior to the interview so the investigator can determine whether there is a potential conflict of interest (e.g., someone the investigator intends to interview), in which case the interviewee will have to choose someone else.
d. During an interview, Support Persons and Advisors are permitted to ask questions regarding the investigation process but are not permitted to answer the investigator’s questions (individuals who are being interviewed must answer the interview questions themselves), make legal submissions or arguments on behalf of the individual, or disrupt the interview.
e. Exceeding their role or disrupting the interview will result in a Support Person or Advisor being excused from the interview.
38. Accommodation: If an interviewee requires accommodation afforded by the Ontario Human Rights Code, when contacted by the investigator they must advise the investigator of their needs so appropriate accommodations can be arranged, and the interview will not occur until those accommodations are in place.
39. Findings of Fact and Conclusions:
a. An investigator will make findings of fact and determine whether, on a balance of probabilities, the alleged conduct occurred. If so, and if mandated to do so, the investigator will also determine whether the conduct breached the Policy.
b. Otherwise, subject to the terms and conditions of any relevant collective agreement, the appropriate Person(s) of Authority will determine whether the Policy was breached, based on the investigator’s findings of fact.
40. The investigator will provide a written report to the Receiving Office.
41. The investigator’s report will be brought to the attention of the appropriate Person(s) of Authority and the appropriate administrative office, which will provide advice to the Person(s) of Authority about appropriate corrective measures, if any, to be taken, including measures aimed at preventing Reprisal when appropriate. If an Employee is found to have breached the Policy, corrective measures could include non-disciplinary actions (e.g., education or counselling) and/or disciplinary measures (e.g., a verbal or written warning, a suspension, or termination). Corrective measures shall be implemented in accordance with applicable collective agreement requirements. The Person of Authority will also take reasonable steps to prevent a recurrence of any misconduct found to have occurred.
42. Following the conclusion of an investigation, the Complainant(s) (and in the case of a Report, the individual(s) impacted by the alleged misconduct) and Respondents, will be informed in writing of the outcome of the investigation and the corrective action taken, if any. Except in extenuating circumstances, this must occur no more than 12 months after the Complaint was filed. When the Respondent(s) is an employee or a medical Resident, the Receiving Office will consult with the responsible administrative office to ensure that such information is provided in accordance with the procedural requirements of any relevant policy or collective agreement and any applicable laws. The office responsible for communicating the outcome of the investigation (if different from the Receiving Office) MUST inform the Receiving Office when this has been completed and must include information about what if any corrective action was taken.
43. Systemic Discrimination: For matters dealing with Systemic Discrimination, see the Reporting Procedure. If it is determined by an investigator that Discrimination occurred, the investigator will also provide their opinion as to whether the Discrimination was the result of Systemic Discrimination, as defined in the Policy. If so, they will provide the Vice-Principal (Culture, Equity, and Inclusion) with a separate report regarding the Systemic Discrimination, who will forward that separate report to the appropriate Vice-Principal for inquiry pursuant to the Reporting Procedure.
44. Confidentiality: Investigation reports are confidential and are not shared with Complainants or Respondents unless an administrative process (e.g., a grievance under an applicable collective agreement) requires otherwise.
45. The University’s commitment to confidentiality means that:
a. documents created under this procedure will be maintained in secure files;
b. documents related to the Complaint will not be included in the personnel file of an employee Complainant;
c. except for disciplinary measures imposed (e.g., verbal/written warning, letters of discipline, etc.) or required remedial action(s), documents related to the Complaint will not be included in the personnel file of an employee Respondent(s);
d. only authorized individuals will have access to documents created under this Procedure, on a need-to-know basis; and,
e. reasonable steps will be taken to protect against unauthorized access to electronic documents.
46. Individuals involved in an investigation will be advised of their duty to maintain the confidentiality of all information disclosed to them or by them, including any personal information.
See Section 3 of the Policy for additional information about “Confidentiality” and the “Limits on Confidentiality.”
F. Record Keeping and Reporting
47. The Vice-Principal (Culture, Equity, and Inclusion) will keep a record of all Complaints for the purpose of administering the Policy and this Procedure and for the purpose of reporting on statistics and trends.
48. The Investigating Office will create an investigation file, to include all relevant communications, memoranda, notes, and reports. The Investigating Office is responsible for securing the file and all documentation in the file and for the retention and disposition of the file in accordance with its processes and record retention schedule(s).
49. The Receiving Office must report back to the Vice-Principal (Culture, Equity, and Inclusion) about the disposition of all Complaints.
See also Section 7 of the Policy for additional information about reporting by the Vice-Principal (Culture, Equity, and Inclusion).
Complaint Procedure Flowchart
| Date Approved | May 7, 2021 |
| Approval Authority | Senior Leadership Team |
| Date of Commencement | September 1, 2021 |
| Amendment Dates | May, 2025 |
| Date for Next Review | June 2026 |
| Related Policies, Procedures and Guidelines |
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