Procedure for Investigation of Alleged Wrongdoing
Approval Date: 2017-05-11
Effective Date: 2017-05-11
Responsible Unit: Office of the General Counsel
1.The PDC shall review the allegation(s) and within fifteen (15) Days shall decide whether further action is warranted. In making this determination the PDC may consult with officials within the University and shall consider such factors as whether:
(a) the subject matter of the Disclosure would more appropriately be dealt with, initially or completely, according to another University established process;
(b) the Disclosure is Frivolous, Vexatious, made in bad faith or does not deal with a sufficiently serious subject matter;
(c) so much time has elapsed between the date when the subject matter of the Disclosure arose and the date when the Disclosure was made that investigating it would not serve a useful purpose;
(d) the Disclosure does not provide adequate particulars about the wrongdoing as required by the Procedure for Filing a Protected Disclosure; or
(e) there is another valid reason for not pursuing further action.
2. Where the PDC concludes that there exists an established University process for the investigation of the alleged Wrongdoing, the PDC shall direct the Discloser to the relevant University regulation, policy or collective agreement.
3. Where the PDC concludes that no further action is warranted they shall notify the Discloser.
4. Where the PDC concludes that an investigation is warranted for the Wrongdoing in question, the PDC shall oversee the investigation in accordance with sections 5 to 13 outlined below.
5. The PDC shall appoint an investigator, who may be internal or external to the University. No person should be selected where there is a real or perceived conflict of interest or reasonable apprehension of bias. Normally, investigators should be able to submit their report within 60 Days of being appointed.
6. In the case of Disclosure made against the President or a Vice-President, the Chair of the Board of Regents shall be advised and any appointed Investigator shall be external to the University.
7. The investigator appointed under section 5. shall use such investigative processes they deem appropriate to the nature of the allegation(s). The investigator shall have regard to any timelines and processes associated with any applicable collective agreements.
8. The PDC shall ensure that the investigator is provided relevant information, documentation and the support necessary to conduct a thorough Investigation.
9. The investigator shall conduct a thorough investigation with impartiality and objectivity, and in a manner that shall ensure fair treatment for and, to the extent possible, the confidentiality of the Respondent and the Discloser.
10. The investigator shall advise all persons interviewed to treat all information, evidence and proceedings as confidential.
11. All Members of the University including Disclosers, Respondents shall cooperate with the Investigator and respond in a timely fashion to the investigator's request for information or meetings.
12. Upon completing an investigation, the investigator shall prepare a report containing their findings and any recommendations about the Disclosure and the Wrongdoing, and submit that report to the PDC.
13. Except as required by law, regulations or policies, the PDC shall disclose the report to:
(i) the Respondent, if named
(ii) the President;
(iii) the Chair of the Board of Regents if the Disclosure is made against the President or a Vice- President;
(iv) such other persons, if they have a bona fide need to know the results of the investigation to perform their duties.
The PDC shall maintain a record of the distribution of the report.
13. The PDC shall report on the status of the investigation to the Discloser in the manner and at the time the PDC considers appropriate.
14. If, on the basis of the Investigator's report, the President, or the Chair of the Board of Regents, as applicable, determines that further action is required, they shall ensure proceedings are initiated in accordance with the relevant regulations, policies, or collective agreements.
15. On completion of the investigation, the investigator shall deposit all records with the PDC, who shall be the official custodian of such records charged with preserving their confidentiality.
16. All records pertaining to a Discloser's report and the Investigator's report shall be securely disposed by the PDC in accordance with the University's Retention and Disposal Schedule.