(a) the subject matter of the Disclosure would more appropriately be dealt with, initially or completely, according to another University established policy or process;
(b) the Disclosure is malicious, 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 is not made in the public interest but for personal grievances and complaints
(e) the Disclosure does not provide adequate particulars about the Wrongdoing as required by the Procedure for Filing a Protected Disclosure; or
(f) 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 or the subject matter is out of the scope of this policy, 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 21 outlined below. The PDC may where appropriate advise the Discloser of the commencement of an investigation within an appropriate timeframe as delineated in the relevant collective agreement. These may be reviewed here.

5. The PDC shall investigate or appoint an investigator, who may be internal or external to the University. When appointing an investigator, the PDC will consider the expertise required to conduct the particular investigation. 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 40 Days of being appointed, depending on the nature of the allegations.

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 PDC  or the investigator appointed under section 5., as the case may be, shall use such investigative processes they deem appropriate to the nature of the allegation(s). The PDC or the investigator shall have regard to any timelines and processes associated with any applicable collective agreements.

8. Where the PDC appoints an investigator, they shall ensure that the investigator is provided with relevant information, documentation and the support necessary to conduct a thorough investigation.

9. The PDC or the investigator, as the case may be,  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. In any investigation:

• Any person involved will be provided with opportunities to explain and present evidence in support of any Disclosure;
• Respondent(s) will be informed of the nature of the allegations against them and will be afforded the opportunity to review any evidence and to respond;
• In all cases, the credibility and reliability of evidence will be appropriately considered;
• If the Discloser or Respondent are represented by a union or faculty association, they will be advised of their right to representation and may request a union or faculty association representative present during any investigation meetings or interviews.

11. Individuals involved in the investigation of a Protected Disclosure must uphold confidentiality concerning all aspects of the Disclosure. They are only permitted to share information with those of a bona fide need to know the details of a situation. As the case may be, the PDC or the investigator shall advise all persons interviewed to treat all information, evidence, and proceedings as confidential.

12. All Members of the University including, Disclosers, Respondents, and witnesses, shall cooperate with the PDC or the investigator and respond in a timely fashion to their request for information or meetings. The PDC or the investigator, as the case may be, will set a reasonable timeline for individuals to respond to requests for information in connection to the investigation.

13. Throughout the investigation process, the PDC may recommend interim measures to the appropriate authorities.

14. Where the PDC appoints an investigator, upon completing their 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. The report shall not include any information that reveals or could reveal the identity of the Discloser if anonymity has been requested.

15. Upon receipt of the report, the PDC shall disclose the report to the Respondent and shall provide the Respondent with five (5) working days to reply to the report. Any reply shall be in writing and submitted to the PDC.

16. After the deadline for the Respondent's reply has elapsed, the PDC shall disclose the finding and any reply received from the Respondent only to:

1. the President;
2. the General Counsel;
3. the Chair of the Board of Regents, if the Disclosure is made against the President or a Vice-President;
4. such other persons, if they have a bona fide need to know the results of the investigation to perform their duties;
5. such other persons to whom disclosure is required by applicable law, regulations, or policies.

17. The PDC shall maintain a record of the distribution of the report and any reply received from the Respondent.

18. If, based on 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.

19. 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.