Due to the supervisory nature of the job, principals may receive complaints from teachers and/or support staff against other staff members, including teachers, E.A.s, E.C.E.s, custodians, office staff, vice-principals and Board staff who visit the school regarding human rights, harassment, sexual harassment or workplace violence, for example. Although some school boards direct principals to refer these matters to human resources staff, others require the principal to investigate. Principals and vice-principals should review board procedures regarding these matters and seek advice. The manner in which the principal performs the investigative function is crucial. The principal must conduct the investigation in accordance with the principles of procedural fairness.
Procedural fairness requires the principal to:
- investigate the complaint in a timely manner,
- allow full disclosure of the event by the complainant without fear of reprisal or discipline,
- allow the respondent the right to respond to the allegations made against him or her,
- provide the complainant and respondent the opportunity to provide witnesses (do not to promise anonymity to the witnesses),
- interview witnesses suggested by the complainant and the respondent, and,
- provide the complainant and the respondent the details, and the outcomes, whether oral or written, of the investigation.1
The most common steps that are taken in most investigations include:
- the delivery/receipt of the complaint;
- the threshold assessment;
- the investigation plan;
- the interviews with the complainant and the respondent;
- witness interviews; and
- the generation and delivery of the preliminary and final report.2
Below is a list of factors that ought to be considered and, where applicable, applied during the interview stage of any investigation: An Educator’s Guide to Understanding Workplace Harassment, Sarah Colman and Allyson Otten (2007)] 3
PHYSICAL SETUP
- Private location
- Consider convenience of meeting on-site versus need to maintain privacy of interviewees and perception of objectivity by meeting off-site
- Copies of relevant documents for parties only (formal complaint(s), written response(s) and policies/procedures)
- Table, notepad, pen, Investigator’s binder of all relevant notes and information gathered during investigation
- Confirm that any recording devices are operational
- Water, coffee, tissue
SCHEDULING
- Design the interview schedule to logically elicit the relevant information; consider when to interview the respondent and if early in the process allow time to re-interview (opportunity to put to the respondent new information obtained and his/her response to it)
- Be flexible in terms of scheduling interviews, particularly to respond to confidentiality concerns, but balance this consideration against the necessity of a timely investigation
- Interview schedules must accommodate the parties’ right to have representation or support with them during the interviews
BEFORE INTERVIEWING THE PARTIES
- Review relevant policies/procedures and the formal complaint form
- Provide the formal complaint to the respondent and advise the respondent of his/her right to respond in writing, as well as orally
- Set up formal interview times with both parties, advising them of their right to be accompanied by a representative or support person during the interview
- Advise both parties to prepare a witness list, to be received during their interview
- Receive the written submissions of the respondent in advance of his/her interview, if possible
COMPLAINANT AND RESPONDENT INTERVIEWS
- Interview each party separately
- If interviews of parties are back-to-back, allow time so that the parties are not obliged to come into contact while exiting/waiting for interview
- Promise (and demand) confidentiality from the parties, but explain to the complainant that he/she cannot remain anonymous
- Review intention to record meeting (if applicable)
- Establish rapport
- Explain role of investigator; be clear that the investigator does not determine consequences
- Outline purpose of interview
- Establish and elicit complete details and nature of complaint from complainant
- Receive list of witnesses from complainant and clarify which witnesses will provide direct evidence and which will serve as character witnesses
- In respondent interview, provide any additional details of complaint to respondent (as received orally from the complainant)
- Review respondent’s written submission with respondent, seek responses to any additional information provided by complainant and ask any necessary clarifying questions
- Receive list of witnesses from respondent and clarify which witnesses will provide direct evidence and which will serve as character witnesses
- Share discrepancies with both parties (after witness interviews) and provide a further opportunity to each to respond; the respondent should be given the final opportunity to respond once the full case against him or her has been determined
- It is not necessary to disclose specific sources of information, unless disclosure of a witness’s identity is necessary to enable the parties to respond to the information from the witness
- Share Findings of Fact at end of investigation for response
WITNESS INTERVIEWS
- Employ a consistent process with all witnesses
- Prepare questions and issues to canvass in advance
- Where common questions are being put to several witnesses follow the script for each question
- Be prepared to put specific statements/observations the parties attribute to the witness being interviewed in their verbatim format and carefully elicit response/confirmation/denial
- Emphasize the witnesses’ duty of confidentiality; promise confidentiality but not anonymity
- Facilitate their attendance with a representative, upon request
- Explain the possibility that a witness could, if necessary, be required to give the evidence under oath and in a court or arbitral setting
- Purpose
- Explain that purpose of investigation is to ascertain facts
- Ask witnesses to report observations as opposed to opinions, unless asked specifically about opinions
- Explain difference between global statements (for e.g., He is always late) versus specific, fact based statements (for e.g., On September 18, 2006, he was late) and state preference for the latter
- Policy
- Review policy being followed and any specific obligations/responsibilities contained therein that apply to the witness
- Complaint
- Outline the nature of complaint very generally, to provide context, but avoid revealing specific details to enable witnesses’ spontaneous recollections
- Share details relevant to this witness only
- Ask for corroborating evidence where applicable (memos, notes, calendars, phone records, e-mail, etc.)
- Do not disclose identity of other witnesses
- Explore Witness Responses
- Encourage free recall of events
- Listen & Write
- Do not interrupt
- Clarification questions after full story
- Eye contact, encouraging body language
- Take notes and/or record interview
- Record facts, not opinions
- Concluding the Interview
- Thank them
- Ask permission to contact if needed
- Give them your contact information
- Explain that witnesses, for confidentiality reasons cannot be apprised of outcome or consequences, if any, that flow from investigation
Investigation Checklist: [Source: An Educator’s Guide to Understanding Workplace Harassment, Sarah Colman and Allyson Otten (2007)]4
|
TASKS TO BE COMPLETED
|
DATE COMPLETED
|
COMMENTS
|
|
1. RECIEVE COMPLAINT
|
|
|
|
(a) On standard form (if applicable)
(b) Additional information required (dates, times, witnesses)
(c) Give complainant copy of workplace harassment policy
|
|
|
|
2. THRESHOLD REVIEW
|
|
|
|
3. PLAN THE INVESTIGATION
|
|
|
|
(a) Map out the investigation plan, timelines
(b) Identify potential witnesses
(c) Identify potential documentary evidence (rules, policies, memos, notes, computer/phone/building access logs, calendars, expense reports and/or receipts, personal files, sample work)
(d) Prepare an outline of questions
(e) Establish secure and confidential data system
|
|
|
|
4. INTERVIEW COMPLAINANT
|
|
|
|
(a) Establish rapport; explain process, right to representation and duty of confidentiality
(b) Record additional details of incidents(s)
(c) Receive, record and preserve any relevant documentation
(d) Request/receive witness list
(e) Clarify remedy/resolution being sought by the Complainant
|
|
|
|
5. PROVIDE WRITTEN COMPLAINT TO RESPONDENT
|
|
|
|
(a) Provide copy of workplace harassment policy
(b) Establish rapport; explain process, right to representation and duty of confidentiality
(c) Provide detailed written summary of complaint allegations
(d) Ask for a detailed written response
|
|
|
|
6. INTERVIEW RESPONDENT
|
|
|
|
(a) Review written response with respondent
(b) Clarify and record responses to allegations
(c) Identify/probe discrepancies and allow respondent to respond.
|
|
|
|
7. INTERVIEW WITNESSES
|
|
|
|
(a) Advise of duty to maintain confidentiality and that witness will not be made privy to outcome of investigation
(b) Advise that their evidence, if relevant to issues in dispute, will be shared with both parties for response
(c) Validate facts through witness interviews
(d) Provide each witness with a copy of his/her statement for validation
NB. DO NOT RECEVIE ADDITIONAL COMPLAINTS FROM WITNESSES – ADVISE THEM OF ABILTIY TO INITITATE SEPARATE, INDIVIDUAL COMPLAINT
|
|
|
|
8. REVIEW AND ANALYZE EVIDENCE TO ENUMERATE FINDING OF FACT
|
|
|
|
(a) Review complaint, responses, witness statements and evidence
(b) Identify points of agreement and disagreement
(c) Re-interview witnesses and/or parties to clarify conflicts where necessary
(d) List findings of fact
|
|
|
|
9. REVIEW REPORT WITH PARTIES
|
|
|
|
(a) Provide written report back to the parties
(b) Receive and consider feedback within time limit
(c) Revise report as necessary
|
|
|
|
10.FINALIZE REPORT AND PROIVDE IT TO DESIGANTED RECIPENT(S)
|
|
|
[1] Ibid, Chapter 7: Procedural Fairness in Workplace Harassment Investigations
[2] Ibid. pg. 133
[3] Ibid, Appendix D: The Interview
[4] Ibid, Appendix C: Investigation Checklist