Posts Tagged ‘workplace investigation’

Where’s the report?

John Curtis, .

It happens all the time.

I get to the end of an investigation and provide my findings. The client reads it over, thinks about it, and decides what to do. Sometimes there is disciplinary action taken on the basis of our findings.

That’s when I get the call from an unhappy participant.

“I want to see the report.”

Or sometimes: “You told me I’d get to see the report.” (No, I didn’t)

There’s a natural human curiosity there. Or maybe a desire for payback. Whatever the case may be, let me explain why the full investigative report is not shared with anyone besides my client (the employer).

I’ll start by saying every Complainant and Respondent has a right to know the result of the investigation. This information is required to be provided by the employer under the Occupational Health and Safety Act, s. 32.0.6(2) (e).

More particularly, the employer is required to inform the Complaint and Respondent of results of the investigation in writing, as well as informing them if any corrective action has or will take place as a result of the investigation’s findings (Occupational Health and Safety Act, s. 32.0.7(1)(b).) The Ministry of Labour’s Code of Practice states the results and any corrective action must be communicated to the employee alleging harassment within 10 days of the conclusion investigation.

This requirement to “be informed of the results” has been widely interpreted to mean that the employer must provide some kind of summary of the findings in writing but not the entire report. Although legislation only requires workers to be informed in writing, ideally the employer would have a conversation with the employee(s) to discuss results and follow up that conversation with a written summary. That summary will usually involve identifying each allegation with a statement like, “This allegation was about rude comments made by X to Y about incident A, while in a meeting in X’s office on April 12, 2020.”

Then there would be a statement like, “The investigator found that X did say to Y “You are a %$#@!” and that this was part of a pattern of conduct that constituted harassment under the employer’s Respect in the Workplace Policy and under the Occupational Health and Safety Act.” This is the part of the report that gets shared more broadly.

Why stop there? Well, providing the full report could breach the confidentiality requirements of both the Act and the employer’s policies. Generally, workplace investigation results are only shared with those who are on a need-to-know basis: those directly affected or in a management role who will be involved in decisions to be taken post-investigation. There also might be relevant workplace policies or collective agreement clauses in unionized workplaces that prevent disclosure. That’s why it’s typically up to the employer to decide what to tell those involved in the investigation.

Sometimes, the employer decides on a limited release of the report. Other times, the full report pops up in court proceedings if it was relied upon as grounds for dismissal. Generally, most of the report remains internal to the employer.

Short of pursuing litigation, there is mixed case law around who is entitled to a copy of the full investigation reports and how far confidentiality extends especially in unionized settings and in the context of grieving discipline that resulted from an investigation finding. It seems an employer’s best chances for keeping full investigation reports internal are carefully drafted policies and/or collective agreement provisions that stipulate exactly what a party to an investigation is entitled to receive at the conclusion of an investigation. This protects both the employer and the employee from private information being unnecessarily shared.

Federally regulated employers and employees

For federally regulated employers and employees participating in an investigation process, there are somewhat different considerations regarding the amount of detail shared with parties and the overall confidentiality of investigation reports. For example, investigations that take place under the Canada Labour Code regulations (Work Place Harassment and Violence Prevention Regulations) are subject to the Access to Information Act and the Privacy Act.

This means that although workplace investigations are treated as non-public, there is a possibility that those who participate in the investigation could access the investigation file to obtain information that relates to them through an Access to Information and Privacy (ATIP) request. For more information on whether information from an investigation can be accessed and how to do so, see the federal government’s website.

The same is true of municipal and provincial governments but, generally, requests for information under privacy legislation do not entitle applicants to any full report they may request. Even if something is produced, it will likely be highly redacted.

There are also some differences in what must be included in an “investigator’s report” for federally regulated employees and with whom it must be shared. For these workplaces, an employer must provide a copy of the investigator’s report to the Complainant, the Respondent, the workplace committee or health and safety representative, and, if specified, the person designated to handle workplace harassment and violence complaints.

However, even within investigations that occur under this highly regulated scheme, the expectation is still that only a portion of the investigator’s findings will be shared with the principal parties. An employer is required to share the investigator’s general description of the occurrence: their conclusions, including those related to the circumstances in the workplace that contributed to the occurrence, and their recommendations to eliminate or minimize the risk of a similar occurrence (s. 30(3) of Regulations). This version of the “report” will be quite vague as it cannot reveal, directly or indirectly, the identities of the persons involved.

Under this federal scheme, the expectation is the same: only the employer is entitled to receive a full report of a workplace investigator’s findings subject to the same considerations of litigation, grievance processes, and Access to Information requests as mentioned above.

Not exactly Hemingway

It’s worth noting that the full report is…generally pretty boring. Most of the report is spent demonstrating the reasoning leading to our findings of fact. It is like the part of a high school math problem where you must “show your work” to arrive at the answer.

In law, just like in math class, how you got the answer is just as important as the answer itself. In an investigation context, showing one’s work proves that the investigator actually did the work to come to the answers in an objective way. Think of it as proving you were not copying the answers from the person sitting next to you in math class. A good report has to show the intellectual work the investigators did to make the findings and draw the conclusions they made.

So, since you can’t see it, what does this part of an investigation report look like? If you must know how the sausage is made:

  • the report compares the similarity of evidence given by different participants in the investigation
  • it compares the verbal evidence with related documents like emails or texts
  • it weighs the internal consistency of a person’s evidence (ie. did they contradict themselves)
  • it looks at photographs and phone records, and considers the relation of all this data to the allegations

It is detail-oriented work. It’s hard work writing this part of a report, and it’s likely no fun to read although we do try to make it compelling. It’s mostly lawyers writing for other lawyers, and not exactly scintillating stuff for a non-lawyer audience!

So, the next time you wonder why the report isn’t available for you to peruse – whether out of curiosity or as a sleep aid – now you know.

Investigations and the New Normal: Assessing Credibility and Reliability in Pandemic Investigations

Larissa Donovan, .

Workplace investigations can be stressful for all involved. When they happen in the midst of a pandemic (ie. COVID-19), the stress is inevitably amplified. It is crucial for investigators and employers to manage the general anxiety of parties in these conditions. For this reason, we offer a variety of options and alternative measures for conducting interviews.

Even prior to the COVID-19 pandemic restrictions, we have conducted interviews via telephone, videoconference, and now we offer in-person interviews with precautions like masks and social-distance protocols when appropriate.

However, it is also imperative for employers to know that, whatever form their workplace investigation takes, it is conducted fairly. The legal principles of procedural fairness are critical. These time-tested principles inform what a fair workplace investigation looks like and ensure that it is “appropriate in the circumstances”[1] as required by the Occupational Health and Safety Act.

Our previous post on Procedural Fairness in the Investigation Process gives more detail on the nuts and bolts of key procedural fairness measures that are expected in the context of a workplace investigation.

No matter the format (online, in-person, telephone), there are consequences when an investigation isn’t promptly or properly conducted. Courts and tribunals consider how quickly the employer responds to a complaint when finding liability and calculating human rights damages. A pandemic is no excuse for sacrificing the rights of employees to a fair and timely investigation.

Virtual Interview Options: Phone and Videoconferencing

Recently, a Court dealing with the new challenges posed by COVID-19 rejected the objections of a litigant to delay proceedings due to concerns such as: not being physically present in a neutral setting; the difficulty of assessing a witness’s demeanour remotely; and risk of utilizing technology to abuse the process.[2]

It was decided that the challenges associated with using alternatives to in-person hearings do not outweigh the interest of advancing the matter before the Court. The Court candidly stated: “We no longer record evidence using quill and ink…We now have the technological ability to communicate remotely effectively. Using it is more efficient and far less costly than personal attendance. We should not be going back.”[3]  Similarly, a workplace investigation should not be delayed due to the unique challenges of our new normal.

The Occupational Health and Safety Act requires that an employer take every safeguard reasonable in the circumstances for the protection of a worker.[4] The Act gives employers the ability to decide how complaints of workplace harassment will be investigated and develop a process for doing so but must ensure investigations of harassment allegations are “appropriate in the circumstances.”

Delay

It is reasonable that the circumstances of a worldwide pandemic may justify some delay to account for organizing employees who may, at this time, be working remotely or not working. However, a timely investigation is another major procedural fairness concern. The reason for delay must be proportionate to the length and impact of the delay.

Delaying an investigation can significantly impact the parties and the rights of employees. Claiming COVID-19 restrictions as the reason for a lengthy delay is unlikely to be successful in the case of workplace harassment complaint. Employers have already suffered severe consequences for inaction or failing to investigate employee complaints.[5]

See John Curtis Post Duty to Investigate — “A Ticking Time Bomb” for an example of why, when a claim of harassment or misconduct is made, a workplace investigation cannot wait.

How Real Are the Risks of Virtual Interviews?

As for methods of investigation in a pandemic, we recognized that, for a variety of reasons, a video conference interview could be inappropriate or inaccessible to some complainants, respondents and witnesses. This may mean parties are more comfortable meeting in person while wearing masks or conducting interviews over the phone. This ultimately begs the question of whether an investigation is lacking when investigators cannot observe someone’s conduct or facial expressions during interviews.

Do telephone interviews and interviews in which the investigator cannot see a complainant or respondent’s face and or mannerisms impact the fairness? Much has been written and contemplated, including by the highest court in the country, about the necessity of investigators seeing someone’s face in order to make credibility assessments. This deals with what is called “demeanour evidence”. Having access to what the court calls “the demeanour package” refers to observing the face, body language, voice, mannerisms, etc. of witnesses.

In the case R v. N.S.,[6] the issue was whether an accuser witness would be able to testify with her face covered by her niqab during trial. The Supreme Court was tasked with balancing the right to religious freedom with the accused’s right to a fair trial. The Court held that, even when a witness has a sincere religious belief, they will be required to remove their niqab or religious covering if it poses a significant risk to the defendant’s right to a fair trial. Things that could contribute to “significant risk” include whether the witness’ testimony is fundamental to the trial and whether that testimony is disputed.  

However, a strong dissent from Justice Abella highlighted how “the court system has many examples of accepting evidence from witnesses who are unable to testify under ideal circumstances because of visual, oral, or aural impediments.”[7] Investigators also have large toolbox to make credibility assessments even if we don’t see someone in person. The majority in R v. N.S. also acknowledged being able to see the face of a witness is not the only or the most important factor in accurate credibility assessment.[8]

When conducting workplace investigations in the time of COVID, we are dealing with the right to a fair investigation and the right to participate safely by phone or by wearing a mask. Thankfully, since workplace investigations are not subject to the absolute highest procedural fairness requirements such as those required when testifying in a criminal trial, we do not need to choose between fairness and safety.

Justice Abella acknowledged in the case above seeing more of someone is better than seeing less. In the case of telephone or masked interviews, we are still left with things in the “demeanour package” like voice, tone, conversation style. However, evidence over the years has proven that many of the things we used to believe we could read into as evidence of truth or deception like body language, eye-contact, a red face etc. should not hold much weight. We know that non-verbal demeanour or conduct during an interview can be the result of cultural differences, anxiety, fear, or personality differences that investigators may make the mistake of misreading.

Instead of relying on facial expressions or nervous ticks to make credibility assessments of people we do not even know, we look to directness of answers, consistency of story, narratives that hold together, reference to time and events that can be corroborated, clear motivation or lack of motivation to lie, and, as always, documents and witnesses. These are all things that can still be easily accessed in pandemic investigations.

There may even be advantages to telephone or Zoom interviews. For example, interviewees who experienced trauma can often have gaps in memory but sometimes being in a comfortable setting, like in their home on the telephone, can help minimize the stress of an interview and allow the witness to tell their story more coherently.

Workplace investigations have not been put on hold nor has the evidence provided been compromised by COVID-19 measures. See our previous post: “Workplace Investigations During a Pandemic: 3 Things We Have Learned” to learn more about what we’ve been doing to address and accommodate new investigation challenges in a pandemic.


[1] Occupational Health and Safety Act, S 32.0.7 [OHSA].

[2] Arconti v. Smith, 2020 ONSC 2782 at para 18 [Arconti].

[3] Arconti at para 19.

[4] OHSA, s. 25(2)(h)

[5] See, Boucher v. Walmart, 2014 ONCA 419 and Bassanese v. German Canadian News Company et al., 2019 ONSC 1343

[6] R v. N.S.,2012 SCC 72 [R v. N.S.].

[7] R v. N.S. at para 82.

[8] R v. N.S. at para 27.