WORKPLACE INVESTIGATION FAQs
Frequently Asked Questions
A workplace investigation is a structured process for gathering and assessing information about a workplace complaint or concern. An investigator typically interviews the people involved, reviews relevant documents and other evidence, assesses credibility and reliability, and makes findings about what occurred. Depending on the investigator’s mandate, they may also determine whether the conduct they have found amounts to a breach of workplace policy or legislation.
There is no single rule for when an external investigator is required. An organization may choose to engage one where the allegations are serious or complex, senior employees or leaders are involved, specialized expertise is needed, internal resources are limited, or there are concerns about actual or perceived bias. An external investigator can also be helpful where independence and neutrality are particularly important to the credibility of the process.
It depends on the circumstances. The number and complexity of the allegations, number of participants, volume of evidence, availability of those involved and other developments during the investigation can all affect the timeline.
At the outset, we work with our clients to establish an anticipated timeline and keep them informed if circumstances arise that may affect it. Our goal is to conduct investigations as efficiently as possible without compromising the fairness or thoroughness of the process.
Most investigations involve a complainant (the person who has raised or experienced the concerns) and a respondent (the person whose conduct is at issue). Depending on the circumstances, an investigation may involve more than one complainant or respondent. The investigator may also interview witnesses who have information relevant to the allegations.
Subject to the organization’s applicable policies and processes, participants may choose to have a union representative or support person attend their interviews. Their role is generally to provide support to the participant, rather than to provide evidence or answer questions on the participant’s behalf.
At the conclusion of an investigation, we provide the organization with a written report setting out our findings and, where required by our mandate, our analysis and conclusions. The organization is generally responsible for determining what steps to take in response to those findings and communicating them to the parties, where appropriate. Our role is to provide a clear and reliable foundation for that decision-making.
Workplace investigations are generally conducted as privately as reasonably possible, but complete confidentiality cannot be guaranteed. Information may need to be shared with participants so that allegations can be fairly investigated and individuals have a meaningful opportunity to respond. There may also be legal, policy or procedural requirements governing what information must be disclosed. We are always thoughtful about the information we share and limit disclosure to what is appropriate for the investigation and the circumstances.
A preliminary assessment, sometimes referred to as a threshold or prima facie assessment, is generally used when an organization needs more information to determine the appropriate next steps. In a preliminary assessment, the investigator assumes the allegations are true and considers whether they would amount to a breach of the applicable workplace policy or legislation.
The purpose is not to make findings about whether the allegations are substantiated, but rather to better understand the concerns and help determine whether a formal investigation is warranted and, if so, what its scope should be. It may involve reviewing a complaint, speaking with the complainant, clarifying the allegations, and considering applicable policies or other requirements.
A formal investigation, by contrast, involves gathering and assessing evidence relating to specific allegations, providing the parties with a fair opportunity to participate and respond, and making findings about what occurred.
Depending on the mandate, the investigator may also determine whether the conduct found to have occurred amounts to a breach of an applicable policy or other standard.
The appropriate response to a workplace complaint depends on the nature of the concerns and the circumstances in which they arise. In Ontario, the Occupational Health and Safety Act requires employers to ensure that an investigation appropriate in the circumstances is conducted into incidents and complaints of workplace harassment. Other legal, policy or collective agreement requirements may also apply.
What constitutes an appropriate investigation will depend on the circumstances. Not every concern requires the same type or extent of investigation, and some matters may require a more limited process while others call for a comprehensive formal investigation.
Where the nature or scope of the concerns is unclear, a preliminary assessment can help an organization better understand the issues, identify any applicable obligations and determine what investigative process is appropriate in the circumstances.