Workplace Harassment and Discrimination – Investigations Procedure

Procedure No. 2.0

1.0 Responsibility

Director, Human Rights and Investigations

2.0 Purpose

To outine the process and procedures for investigating complaints under the Workplace Harassment and Discrimination Policy (the “Policy”).  
HRID may also investigate complaints under the:

  • Workplace Violence Policy
  • CEO Misconduct Policy
  • Code of Conduct (where applicable)
  • Body Worn Camera and In-Car Camera Policy
  • Use of Force Policy

If a complaint falls under the TTC’s Code of Conduct alone, please refer the complaint to management; these will not be investigated by HRID. 

3.0 Procedures

3.1 Preliminary Considerations
a) Confidentiality 
Persons involved with an HRID complaint, including the person making the complaint (Complainant), the person who the complaint is about (Respondent), Support Persons, Witnesses, management, union/association representatives and investigators are expected to treat the matter as confidential. This extends to details of a complaint (including its existence), meetings about an incident or complaint, identifying information about a person including names of witnesses, any correspondence with an investigator, etc. 

Persons involved with an HRID complaint are expected to review, understand, and adhere to the confidentiality agreement, which will be provided to parties participating in the investigation process. Employees may be disciplined if confidentiality is breached.

b) Investigation Scope
HRID may determine that the investigation will be conducted by an external investigator where: the allegations are against a member of the executive team; may pose a conflict of interest; or in any other situation where HRID deems external investigation appropriate. 

The scope of the investigation will be determined by HRID. However, during the investigation the scope may be expanded to include other parties, including the Complainant, at HRID’s discretion. In the event that the scope is materially changed during the investigation, the Complainant(s) and Respondent(s) to the investigation will be notified in writing.  

TTC also has the discretion to continue an investigation if the Complainant withdraws their complaint or declines to participate in the investigation.

If a complaint is made about a TTC Special Constable, IERO will refer the complaint to the Toronto Police Service who will assess whether the complaint will be retained and investigated by Toronto Police Service or referred back to TTC for investigation. 

In-scope complaints about Special Constable conduct or the Special Constable Service will be investigated by an investigator who has received training from the Toronto Police Service’s Professional Standards Unit.

For matters concerning Special Constables, TTC will also report the findings or assessment to Toronto Police Service, at the conclusion of every investigation or complaint resolution method. 

3.2 Investigation Process
a) Steps

  •  The investigation conducted by management, HRID, or an external investigator will include, but will not be limited to the following steps, as appropriate. The appointed investigator will:
    • 1) Conduct a recorded interview with the Complainant(s) to establish the scope of the complaint and to review the evidence that supports the complaint allegations.
    • 2) Provide final investigation scope and allegations to the Complainant in writing.
    • 3) If the Respondent’s manager and corresponding Employee Relations Consultant (ERC) is not aware of the investigation, provide notice of investigation.  
    • 4) Provide the Respondent(s) with the allegations in writing and offer them an opportunity to submit a written response, if they wish, in advance of being interviewed.
    • 5) Conduct a recorded interview(s) with the Respondent(s) to allow them a full opportunity to respond to the allegations.
    • 6) Conduct recorded interview(s) with any relevant witness(es).
    • 7) Conduct follow-up interviews, if required, to allow for parties’ responses to new information or counter-allegations that may arise during the investigation.
    • 8) Collect and review all relevant evidence and documents (ongoing).
    • 9) Provide a written report of the investigation to management of the Respondent, ERC and HRID. The Complainant(s) and Respondent(s) will not receive a copy of the report. For investigations involving allegations against Special Constables, Toronto Police Services will also receive the report. 
      a. The report will include a summary of the evidence, factual findings made on a balance of probabilities, and an analysis of whether the substantiated allegations (if any) amount to a violation of this policy or other relevant TTC policies.
    • 10) Provide findings letters to the Complainant(s) and Respondent(s), informing them of the results of the investigation.
    • 11) Any discipline or corrective action taken or that will be taken, as deemed appropriate by management (and in consultation with ERC), will be shared by the Respondent’s management to the Complainant(s) and Respondent(s) separately, following the conclusion of the investigation. HRID is not involved with determining discipline or corrective action.

      The investigator must conduct the investigation in a manner that protects the privacy and confidentiality of the parties involved, to the extent possible by law, and protects the integrity of the investigation (see section 11.0 Confidentiality of the Policy).

      Investigations will be conducted in a thorough, fair, objective, and timely manner.

      All interviews shall be scheduled at the investigator’s discretion, in accordance with best practices and the guiding principles listed in the Policy. TTC employees are required to make themselves available for interviews scheduled during an Employee’s regular scheduled shift. Failure to cooperate may constitute a Code of Conduct violation.

b) Timelines
The investigator shall endeavour to complete any investigation within 120 days after receiving the complaint, not including any period during which the investigation is postponed or suspended. 

If the timing requirements of 120 days are not met in respect of an investigation, the investigator shall give notice of the status of the investigation to the Complainant and to the Respondent every 30 days until the investigation is concluded unless, in the opinion of the investigator, doing so might prejudice the investigation.

All interviews shall be scheduled at the investigator’s discretion, in accordance with best practices and the guiding principles listed in the Policy. TTC employees are required to make themselves available for interviews scheduled during an Employee’s regular scheduled shift. Failure to cooperate may constitute a Code of Conduct violation.

3.3 Support Persons and Union Representation
Complainant(s), Respondent(s) and Witness(es), are entitled to be accompanied by one Support Person of their choosing, or union representative (where applicable), for interviews and meetings with HRID. The Support Person or union representative selected must not be a Witness to the complaint/incident under investigation. 

Complainant(s), Respondent(s) and Witness(es) are expected to make arrangements for their support person or union representative’s attendance in a timely manner to avoid unreasonable delays in the investigation process. Where the investigator is of the opinion that the presence of the Support Person selected is inappropriate or that it may or is hindering the process, the investigator will advise the relevant party who shall be entitled to select another Support Person provided that doing so does not hinder or unduly delay the meeting/process.

The purpose of the Support Person is simply to be present to support the Complainant(s), Respondent(s), or Witness(es). They are not permitted to participate in the investigation in any way. 

In addition to the Complainant(s), Respondent(s) or Witness(es), Support Persons and union representatives are also expected to uphold confidentiality obligations as set out under Section 11.0 of the Policy.

3.4 Interim Measures
While an investigation is ongoing, appropriate measures must be taken by management to ensure the Workplace is free from any Policy violations. Such measures may include a Complainant or Respondent being transferred to another work location; re-assigned duties; or placed on administrative leave. These interim measures, and HRID’s obligation to disclose any unsafe conditions, when balanced against the need to maintain a safe work environment, do not interfere with the neutrality or confidentiality of the investigation process.

Management should consult with Employee Relations to determine the most appropriate course of action pending the completion of an investigation.

3.5 Remedial Actions
Once an investigation is complete, if a violation of this Policy or other relevant TTC policies, the Code or the OHSA has been found, management should consult with Employee Relations prior to taking any disciplinary or corrective action, where appropriate.

3.6 Workplace Restoration and Support
All employees are entitled to receive support from the TTC’s Employee Family Assistance Program (1-800-572- 0039).

After a Workplace complaint or investigation, repairing Workplace relationships is important. Employees and management are encouraged to reach out to HRID to explore restoration options, such as Mediation or training. Management should also check-in periodically with employees after they have been involved in an investigation, to ensure issues have been resolved and will not reoccur.

3.7 References

 

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