Workplace Harassment and Violence Prevention Communication Template: Response to a Notice of Occurrence - Principal Party

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Instructions

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Response to Principal Party Regarding a Notice of an Occurrence

Date: Enter date

Dear: Enter name of principal party

This letter confirms receipt of your Notice of Occurrence (NoO) submitted on date received. As the Chain of Command (CoC)/manager, I will be facilitating this NoO as per the Department of National Defence's (DND) and Canadian Armed Forces (CAF) Workplace Harassment and Violence Prevention (WHVP) Policy manual and DAOD 5014-0. You may also consult the reporting and resolution process for principal parties' webpage.

OR For a NoO submitted by witness, remove the paragraph above and keep the following You have been named as the principal party, which means an employee or CAF member named in a Notice of Occurrence (NoO) submitted by a witness on [date received]. Please be advised that as the Chain of Command (CoC)/manager, I will be facilitating this NoO as per the Department of National Defence's (DND) and Canadian Armed Forces (CAF) Workplace Harassment and Violence Prevention (WHVP) Policy manual and DAOD 5014-0. You may also consult the reporting and resolution process for principal parties' page.

remove following sentence if submitted by a witness Firstly, I recognize that it takes a lot of courage to submit a NoO. As principal party, you have several options available to you for seeking resolution of the occurrence, which includes negotiated resolution, conciliation/Alternative Dispute Resolution (ADR) and/or a WHVP investigation. As principal party, you will lead the decision-making process as to next steps in the WHVP resolution process and I will provide you with monthly updates regarding its progress.

A detailed description of each step of the resolution process can be found in the Annex to this letter. The responding party does not have to be informed of your NoO or be involved in this initial meeting.

During the resolution process you have the right to have a support person present, such as a colleague, friend, or family member (anyone who is not a party or witness in this process). If you would like to exercise this right, please advise me of the name and role of this person.

I understand that this may be difficult, if at any point you require personal support, please contact the following support services.

If you have any further questions or concerns, please do not hesitate to call, or email me, I would be happy to address them with you.

Best regards,

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Annex Notice of Occurrence

Privacy and Confidentiality

Privacy and confidentiality must be maintained throughout the process. Information about the occurrence and resolution must remain confidential and not be disclosed to colleagues.

To encourage reporting workplace harassment and violence, complaints will be handled with utmost sensitivity and discretion. Trust and safety are paramount. The information provided in a NoO will be read by the Chief of Professional Conduct and Culture (CPCC) WHVP Center of Expertise (CoE) and CoC/Manager. If the resolution process proceeds to conciliation/Alternative Dispute Resolution or WHVP investigation, a summary of the NoO will be shared with the conciliator/ Alternative Dispute Resolution practitioner or a WHVP investigator. The NoO will also be shared with the responding party and may be shared with witnesses if the resolution process proceeds to a WHVP investigation. In limited and specific situations, your personal information may be disclosed without your consent in accordance with subsection 8(2) of the Privacy Act.

All parties must respect privacy and confidentiality, disclosing information must be in keeping with the need-to-know principle The need-to-know principle restricts access to sensitive information (NoO related information) to those whose duties require such access; that is, to those who need to know the information. Full privacy protection may not always be possible due to legal obligations and principles of natural justice and procedural fairness.

If confidentiality is breached, inform the CoC/manager immediately. The CoC/manager should then refer to appropriate disciplinary and/or administrative measures.

Roles and Responsibilities

• Principal Party (PP) and Responding Party (RP) (if notified)

  • Collaborate, communicate, and engage with the parties involved in the resolution process.
  • Make every reasonable effort to resolve an occurrence of harassment and violence for which a Notice of Occurrence is submitted.
  • Propose and engage in preventive measures that will respond to occurrences related to workplace harassment and violence.
  • Cooperate with an investigator and the investigation process.
  • Respect the confidentiality of the information shared throughout the resolution process.
  • Refrain from perpetrating harassment and violence.
  • Refrain from real or perceived retaliatory behaviour against involved parties and any other individuals involved in the resolution process of an occurrence.

• Designated Recipient (DR)

  • Respond to all Notices of Occurrence within seven days of receiving the notice.
  • Ensure that the parties are aware of their rights and obligations in the resolution process.
  • Initiate negotiated resolution with the Principal Party within 45 days after the day on which the Notices of Occurrence is received.
  • Conduct a review of every Notices of Occurrence with the PP against the definition of harassment and violence outlined in DAOD 5014-0 and policy manual.
  • Make every reasonable effort to resolve an occurrence of harassment and violence for which a Notices of Occurrence is submitted.
  • Give involved parties the option of voluntarily participating in conciliation/ Alternative Dispute Resolution and agree on the assigned practitioner.
  • Collaborate with WHVP Investigation Coordinator should a WHVP investigation be initiated.
  • Provide monthly status updates to the Principal Party and Responding Party on the status of the resolution process.
  • Recuse themselves from process in the event of a conflict of interest.

• Chain of Command (CoC)/ Manager (employer)

  • Advise the WHVP CoE within seven calendar days when a NoO is received within their area of responsibility.
  • Respect the confidentiality of the information shared throughout the resolution process the occurrence must be in keeping with the need-to-know principle.
  • Make every reasonable effort to resolve an occurrence of harassment and violence through negotiated resolution.
  • Implement preventive measures derived from negotiated resolution and conciliation as well as any additional preventive measures warranted.
  • Cooperate with an investigator and the investigation process.
  • Refrain from real or perceived retaliatory behaviour against the (PP), (RP), witnesses and any other individuals involved in the resolution of an occurrence.
  • Support employees affected by workplace harassment and violence.

WHVP Resolution Process Options for the Principal Party

1. Joint Review

Efforts to resolve the occurrence must begin no later than 45 days after the notice was received. The resolution process begins with an initial meeting or conversation with the principal party and the CoC/manager. During the initial meeting the principal party and the CoC/manager will review the definition of harassment and violence as outlined in the WHVP policy manual.

There are three possible outcomes:

• A review of the definition will be done with the principal party, and if it is determined the occurrence does not meet the definition of harassment and violence then the occurrence will be deemed closed. The principal party can be provided with a list of other recourse mechanisms that may be more suited to address concerns brought forward.
• If the principal party and the CoC/manager perceive that the occurrence appears to fall under the definition of harassment and violence the principal party can:
• Continue to work with the CoC/manager to attempt to reach a negotiated resolution and if applicable the responding party; or
• Pursue conciliation/Alternative Dispute Resolution with the responding party; and/or
• Request a WHVP investigation which will seek to uncover the root cause regarding what is potentially enabling the occurrence to happen within the workplace and identify possible measures to help prevent future occurrences.
• If the principal party believes that the occurrence does appear to meet the definition and the designated recipient CoC/manager does not, the principal party still has the right to proceed with the steps mentioned above.

2. Negotiated Resolution

After reviewing the occurrence to determine if it appears to meet the definition of harassment and violence, the CoC/manager and the principal party must make reasonable effort to reach a negotiated resolution. This allows the principal party the opportunity to propose preventive measures to resolve the occurrence to promote a safe workplace.

Resolutions are tangible actions the CoC/manager can implement to prevent further harassment and violence within the workplace. These measures are considered mitigation steps to ensure the principal party feels safe and comfortable at work. During the negotiated resolution, the principal party and the CoC/manager will collaboratively negotiate measures to address the occurrence.

• Negotiated Resolution is an opportunity to:

  • share the harassment and/or violence experience and its impact.
  • share tangible measures that can be implemented to resolve and prevent further occurrences.
  • negotiate a resolution in a collaborative way.
  • respond to and prevent harassment and violence in the workplace.
  • restore and mend the relationship between parties involved.

  *See resolution options

• Negotiated Resolution is not an opportunity to:

  • accuse, confront or discipline.
  • make a request that does not fall in line with responding or preventing the occurrence.
  • make orders through confrontation.
  • resolve other issues (Ex: classification issues, collective agreement, letter of expectations, performance management, etc.).
  • make unreasonable requests

  *See resolution options

Below are examples of what are and what are not considered resolutions within the WHVP policy manual:

• What is a WHVP resolution:

  Workplace training regarding:

  • Communication,
  • Conflict resolution,
  • WHVP, etc.

  The WHVP Center of Expertise can propose training according to a specific occurrence as well as propose a training plan.

  Workplace design:

  • Change office location,
  • Review workload,
  • Access to building, etc.

  Administrative practices:

  • Conduct a WHVP Assessment,
  • Implementing stronger internal procedures,
  • Establish roles and responsibilities,
  • Review of internal procedures, etc.

• What is not a WHVP resolution:

  • Monetary compensation
  • Vacation days
  • Request that involves prescribed action against the responding party i.e. have the responding party dismissed

  * See below note regarding disciplinary/administrative measures

If workplace accommodation is needed, a request can be initiated through the Office of Disability Management as a separate but parallel process.

If the principal party comes to an agreement with the CoC/manager CoC/manager (and the responding party, if included in these meetings) through a negotiated resolution then the occurrence is deemed resolved and the file is closed.

If the principal party finds the measures insufficient, they can propose additional options to the CoC/manager. If no appropriate measures are proposed, a WHVP assessment will be conducted, and the file will be closed.

If no agreement is reached, the principal party can request conciliation/Alternative Dispute Resolution or a WHVP investigation. Both processes can occur simultaneously until either a resolution is reached through conciliation/Alternative Dispute Resolution or the investigation's report is completed.

3. Conciliation/Alternative Dispute Resolution (ADR) (H3)

Conciliation is facilitated through Alternate Dispute Resolution (ADR) by a qualified practitioners from Conflict and Complaint Management Services. This voluntary, informal and confidential process involves a neutral practitioner helping parties find a satisfactory resolution.

Conciliation/Alternative Dispute Resolution for occurrences of harassment and violence can only proceed if involved parties agree to participate and on the facilitator. If conciliation/Alternative Dispute Resolution cannot proceed or is unsuccessful, the principal party can return to negotiated resolution or request a WHVP investigation.

Conciliation/ Alternative Dispute Resolution can run parallel to resolution methods, such as negotiated resolution or a WHVP investigation. If successful, and no further preventive measures are needed, then the occurrence will be deemed resolved and the case will be closed.

4. WHVP Investigation

• Initiating an Investigation

  A principal party may request a WHVP investigation at any time but must also make every reasonable effort to resolve the matter through negotiated resolution. If an investigation is requested, the CoC/manager will contact the WHVP Center of Expertise (CoE). These investigations are preventive, aiming to prevent further occurrences and minimize harassment and violence risks. Investigators will focus on the root cause and propose preventive recommendations. The outcome of the WHVP investigation cannot be used for any remedial or disciplinary measures. For cases involving alleged misconduct refer to "Disciplinary and/or Administrative Measures ".

• Notice of Investigation

  The WHVP CoE will provide the principal party and the responding party with a written notice that an investigation will be conducted.

• c. Selection of the Investigator

  A list of qualified internal (within CPCC (Director General Conflict Solutions and Services)) and external investigators (contracted only through WHVP CoE, (jointly determined with the National Health and Safety Policy Committee), is available through the WHVP CoE. The selection of an investigator should be agreed upon by the principal party, the responding party, and the CoC/manager.

  Both the principal party and the responding party will receive the investigator's statement of qualifications and a confirmation of no conflict of interest. If the investigator identifies a conflict of interest with any party, they must inform the WHVP CoE before starting the investigation.

  • If no agreement is reached within 10 days of receiving the Notice of Elected Investigator was received, the WHVP CoE will choose an investigator from the list.
  • If no internal investigator is available, due to conflict of interest or scheduling, the WHVP CoE will select a qualified investigator from the National Master Standing Offer or Canadian Centre for Occupational Health and Safety list.

• d. Information for Investigator

  The WHVP CoE will provide the investigator with all information, including the nature of the occurrence, scope of the investigation, names, and contact information of parties to be interviewed, and any work done to date to resolve the occurrence.

• e. Investigation Report

  The investigation's report must not reveal, directly or indirectly, the identity of those involved in the occurrence or the resolution process. Reports should contain no identifiable information. The report will provide:

  • A general description of the occurrence,
  • Conclusions on root causes and workplace circumstances contributing to the occurrence,
  • Recommendations to prevent similar occurrences; and
  • A determination as to whether the occurrence meets/does not meet the definition of workplace harassment and violence.

  A copy of the report is provided to the CoC/manager, principal party, responding party, the applicable safety committee or representative.

  Note: If there is a concurrent Negotiated Resolution and WHVP investigation, the negotiated resolution process cannot be used once the investigation report is provided.

• f. Implementation of Recommendations following WHVP investigation

  The applicable safety committee or representative must jointly determine with the CoC/manager which recommendations set out from the WHVP investigator's report will be implemented. They provide input on all matters relating to the harassment and violence prevention program, including periodic WHVP assessments, prevention strategies, and recommendations in investigation reports.

  If the CoC/manager and the applicable safety committee or representative cannot agree on which prevention recommendations to implement, the CoC/manager will decide. However, this decision, along with the reasons, must be documented and retained for 10 years.

  If the report meets the definition of workplace harassment and violence, the CoC/manager is responsible for implementing selected measures and the file will only be closed measures have been implemented.

  Even if the occurrences do not meet the definition, preventive recommendations will still be proposed. It is highly recommended for the CoC/manager to implement them, but the file will be closed once the report is provided, regardless of if the measures are implemented.

5. NoO resolved

The WHVP resolution process is completed when:

• A resolution is achieved through the negotiated resolution or conciliation/ADR;
• Once recommendations are implemented by the CoC/manager, provided the WHVP investigation report meets the definition of harassment and violence;
• Once the WHVP investigation report is received and the investigation report does not meet the definition of harassment and violence or;
• If the principal party chooses to end the WHVP process and a WHVP assessment is conducted.

The WHVP resolution process must be completed within 1 year of the NoO. Once the NoO is resolved, the principal party and responding party (if involved) are to be informed, using the File Closure Letter. The CoC/manager must inform the WHVP CoE of a resolution for tracking purposes. All actions related to a NoO, or its resolution must be documented and retained for 10 years in a safe and secure location (Protected B).

Disciplinary and/or Administrative Measures

Perceived reprisal against a Defence Team Member exercising their right under the WHVP policy, or enabling legislation, is unacceptable and incompatible with the DND and CF Code of Values and Ethics and CAF Ethos.

The Canada Labour Code (Section 147) and art. 19.15(2) of the QR&O prohibits threatening to take or take, any reprisal, punitive or disciplinary action against DND employees and CAF members who have acted in accordance with this WHVP Policy.

1. DND employees who believe that prohibited action has taken place may notify the CoC/manager or WHVP CoE. If that is not successful, they may file a complaint, under section 133 of the Code, the with the Federal Public Sector Labour Relations and Employment Board.
2. CAF members who believe that prohibited action has taken place may notify the CoC/manager or WHVP CoE. If that is not successful, they may file a grievance, in accordance with QR&O Vol I - Chapter 7 Grievances.

The outcome of the WHVP investigation cannot be used for any remedial or disciplinary measures.

If the CoC/manager becomes aware of behaviour or actions contravening the DND and CF Code of Values and Ethics, or any other applicable policy, administrative or disciplinary measures may be pursued under a separate but parallel recourse mechanism.

In cases that involve potential misconduct of a Defence Team member, the CoC/manager may address the matter through the applicable administrative process:

1. In the case of a public service DND employee, they may refer to a Labour Relations Advisor (ADM HR Civ) and DAOD 5016-0, Standards of Civilian Conduct and Discipline.
2. In cases involving a CAF member, they may refer to the Administrative Response Centre (ARC), (CMP) and DAOD 5019-0 Conduct and Performance Deficiencies.

Support Services

The Employee Assistance Program (EAP) at: 1-800-663-1142 or 1-888-384-1152 (for people with hearing impairments). EAP offers support and assistance to all employees who are affected by workplace harassment and violence.

CAF members seeking assistance may contact the Member and Family Assistance services at 1-800-268-7708 for confidential counselling service either via telephone or to arrange face-to-face support, 24 hours a day, seven days a week. Individuals experiencing personal or work-related problems can receive confidential help through this program.

Further, you can access a list of available services at: services and resources.