Reporting Procedure

Under the Harassment and Discrimination Prevention and Response Policy

E. Resolution after a Complaint has been Referred for Investigation

A. Purpose

This is the procedure for filing a Report about Harassment, Discrimination, Reprisal, and Systemic Discrimination 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 you believe you have experienced Discrimination, Harassment or Reprisal do not file a Report under this Procedure. Instead, please refer to the Section 1.3(a) of the Policy and the Complaint Intake and Investigation Procedure (the “Complaint Procedure”).

if a matter relates to Sexual Harassment or another form of sexual violence (as defined in the Policy on Sexual Misconduct and Sexual Violence Involving Students), and if it involves a student, either as Complainant(s) or Respondent(s), do not file a Report 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).
To file a Report, click here.
Capitalized terms in this Procedure are defined in the Policy.

B. When to Submit a Report

1. A Report should be made as soon as possible after the person Reporting witnesses or becomes aware of the incident(s) to which their Report relates.

2. All members of the University Community are encouraged to make a Report when they witness Discrimination, Harassment, or Reprisal, or are aware of a policy, process, or other circumstance giving rise to Systemic Discrimination.

3. Consultation when considering filing a Report is strongly encouraged because it has several advantages, such as:

a. identifying early and efficient opportunities to clear up what might be a misunderstanding;

b. identifying ways of facilitating internal communication, which in turn can help strengthen relationships;

c. identifying issues that may not constitute Harassment, Discrimination or Reprisal, but may nevertheless require discussion and resolution among individuals or groups;

d. 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.

4. Mandatory Reporting of Workplace Harassment by Persons of Authority

a. Section 6.2(c) of the Policy requires Persons of Authority to Report instances of Workplace Harassment.

b. Prior to filing a Report about Workplace Harassment of a staff member, a Person of Authority must consult with the appropriate Human Resources Director.

c. Prior to filing a Report about Workplace Harassment of a faculty member, a Graduate Teaching Assistant or Teaching Fellow, or a Postdoctoral Fellow, a Person of Authority must consult with the Faculty Relations Office.

C. How and Where to Submit a Report

5. Reports are directed to the Office of the Vice-Principal (Culture, Equity, and Inclusion) using the form available here.

6. If the Report alleges conduct of an employee(s) who is a direct report of the Vice-Principal (Culture, Equity, and Inclusion), the Report will be directed to the Office of Legal Counsel, and the investigation procedure will be adjusted with the Chair of the Intake Assessment Team appointed by Queen’s General Counsel.

7. Reports should be submitted as soon as possible following the incident(s) to which they relate.

8. A Report must contain a detailed account of all facts alleged and must attach any documents that the person Reporting feels are relevant 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.

9. Not more than 30 days after a Report is submitted, the Vice-Principal (Culture, Equity, and Inclusion) (or General Counsel, if applicable per paragraph 3 above) will assemble the appropriate Intake Assessment Team to review the Report and determine whether it will be referred for investigation.

D. Report intake and streaming

10. Subject to applicable law that might require an investigation, the Intake Assessment Team can decline to refer a Report for investigation if:

a. the Report is about a matter or issues not governed by the Policy;

b. the facts alleged in the Report 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 Report is already the subject matter of another internal University proceeding (e.g., a grievance under a collective agreement);

d. the Report 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 Report, amended with additional information, should be referred for investigation;

e. the Report is made more than one year after the incident(s) to which the Report relates. The Intake Assessment Team may accept a Report after the one-year period, if it is satisfied that the delay was incurred in good faith and no substantial prejudice will result to any person because of the delay; or,

f. the Respondent is no longer a member of the University Community. The Intake Assessment Team may accept a Report 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.

11. If the Report 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.

12. If the Intake Assessment Team decides not to refer a Report for investigation, the Chair, on behalf of the Team, will write to the person who submitted the Report to tell them:

a. the reason(s) the Intake Assessment Team decided not to refer the Report for investigation;

b. that the Intake Assessment Team will reconsider its decision if additional information is provided; and,

c. about possible alternative(s) for addressing the issue(s).

13. 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.

14. Reports that the Intake Assessment Team refers for investigation will normally be referred as set out in paragraph 12 of the Complaint Procedure, and to the Vice-Principal (Culture, Equity, and Inclusion) if the Report is about Systemic Discrimination (See paragraphs 21-23 below).

E. Resolution after a Complaint has been Referred for Investigation

15. Please refer to Section D in the Complaint Procedure. Investigation Process

16. The investigation processes referenced in the Complaint Procedure under the heading “E. Investigation Process” will be followed with respect to Reports referred to the Office of Complaints and Investigations.

17. Reports involving student conduct, other than student professionalism concerns, that are referred for investigation will normally be investigated according to the Student Code of Conduct and its Procedures and the normal procedures of the Student Conduct Office or other investigating NAM Unit.

18. Outcome of Reports about Individual Discrimination or Harassment: The person who makes a Report about individual Discrimination or Harassment is not normally entitled to information with respect to the outcome of the investigation unless they are involved in the implementation of that outcome. However, Respondents and individuals impacted by the alleged misconduct described in the Report will be informed in writing of the outcome of the investigation and the corrective action taken, if any.

19. The office responsible for communicating the outcome of the investigation must inform the Receiving Office when this has been completed and advise what, if any, corrective action was taken.

20. The Receiving Office must report this information to the Vice-Principal (Culture, Equity, and Inclusion) as required by Paragraph 47 of the Complaint Procedure.

21. Systemic Discrimination: If the Vice-Principal (Culture, Equity, and Inclusion) receives a Report of Systemic Discrimination, they will forward that Report to the appropriate Vice-Principal for inquiry, who may assign the inquiry to an appropriate member of their staff.

22. In conducting the inquiry, the Vice-Principal or their designate is encouraged to consult with any of the Complaints & Investigations Office, the Human Rights and Equity Office, and the University Ombudsperson.

23. The Vice-Principal must report back to the Vice-Principal (Culture, Equity, and Inclusion) about the process and conclusion(s) of the inquiry.

F. Record Keeping and Reporting

24. The Vice-Principal (Culture, Equity, and Inclusion) will keep a record of all Reports for the purpose of administering the Policy and this Procedure and for the purpose of reporting on statistics and trends.

25. 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).

26. The Receiving Office will report back to the Vice-Principal (Culture, Equity, and Inclusion) about the disposition of all Reports.

See also Section 7 of the Policy for additional information about reporting by the Vice-Principal (Culture, Equity, and Inclusion).