Workplace harassment and violence prevention program: Communication Templates

WARNING

In accordance with National Defence Security Orders and Directives (NDSOD), form File Closure Letter – Informing Principal Party is "Protected B" information once completed.

Completed "Protected B" forms MUST NOT BE SAVED UNENCRYPTED on any network and workstation drive or storage media. "Protected B" forms, when completed, MUST BE ENCRYPTED USING THE DND ISSUED PKI SMARTCARD. Failure to respect this requirement will result in a breach of security and administrative measures shall be applied in accordance with the policy.

Instructions

All texts highlighted in yellow with brackets are to indicate required fields prior to signing and sending.

File Closure Letter – Informing Principal Party

Date: [Enter current date]

Dear: [Enter name of principal party]

I first contacted you on [Enter date when the principal party was contacted to confirm that the NoO was received] concerning a Notice of an Occurrence (NoO) that was received on [Enter date when original notice was received].

Through a collaborative effort and with your agreement, specifically at the [Specify the step – of a negotiated resolution, conciliation, and/or the preventive investigation] stage, the steps taken to respond to the occurrence as per the resolution process are:

  • [Describe the steps taken to respond to the occurrence].

As the WHVP resolution process is now complete, your file will be considered closed.

In the event of a new occurrence related to this file, you may submit a new NoO. However, I recommend that you include a note that a resolution process had already been completed.

I want to reiterate, as per the WHVP policy manual, that privacy and confidentiality must be maintained throughout the entire process including following the completion of the resolution process. As such, please refrain from disclosing any information related to the occurrence or the resolution process to other colleagues.

Every member of the Defence Team has the right to work in an environment where they are treated with respect, dignity, and fairness. It is the responsibility of all involved in this process to ensure no person suffer any prejudice, retaliation, or embarrassment following the submission of a NoO. If you experience any of these actions by anyone involved in the process or other colleagues, please inform me immediately.

As a reminder, support services are available to you. The Employee Assistance Program (EAP) at: 1-800-663-1142 or 1-888-384-1152 (for people with hearing impairments). The 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.

If you have any questions regarding the conclusion of your file, please contact me immediately to discuss further.

Best regards,

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WARNING

In accordance with National Defence Security Orders and Directives (NDSOD), form File Closure Letter – Informing Responding Party is "Protected B" information once completed.

Completed "Protected B" forms MUST NOT BE SAVED UNENCRYPTED on any network and workstation drive or storage media. "Protected B" forms, when completed, MUST BE ENCRYPTED USING THE DND ISSUED PKI SMARTCARD. Failure to respect this requirement will result in a breach of security and administrative measures shall be applied in accordance with the policy.

Instructions

All texts highlighted in yellow with brackets are to indicate required fields prior to signing and sending.

File Closure Letter – Informing Responding Party

Date: [Enter current date]

Dear: [Enter name of responding party (RP)]

I first contacted you on [Enter date when the responding party first was contacted] concerning a Notice of an Occurrence (NoO) that was received on [Enter date when original notice was received].

As part of the Workplace Harassment and Violence Prevention (WHVP) resolution process, specifically at the [Specify the step where responding party was involved– negotiated resolution, conciliation, and/or the WHVP investigation] stage, the steps taken to respond to the occurrence are:

  • [Describe the steps taken to respond to the incident after having discussed with the principal party (PP) on what measures they agree to be disclosed with the RP].

As the WHVP resolution process is now complete, this file will be considered closed.

I want to reiterate, as per the WHVP policy manual, that privacy and confidentiality must be maintained throughout the entire process including following the completion of the resolution process. As such, please refrain from disclosing any information related to the occurrence or the resolution process to other colleagues.

Every member of the Defence Team has the right to work in an environment where they are treated with respect, dignity, and fairness. It is the responsibility of all involved in this process to ensure no person suffer any prejudice, retaliation, or embarrassment following the submission of a NoO. If you experience any of these actions by anyone involved in the process or other colleagues, please inform me immediately.

As a reminder, support services are available to you. The Employee Assistance Program (EAP) at: 1-800-663-1142 or 1-888-384-1152 (for people with hearing impairments). The 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.

If you have any questions regarding the conclusion of this file, please contact me immediately to discuss further.

Best regards,

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WARNING

In accordance with National Defence Security Orders and Directives (NDSOD), form Monthly Resolution Process Status Update is "Protected B" information once completed.

Completed "Protected B" forms MUST NOT BE SAVED UNENCRYPTED on any network and workstation drive or storage media. "Protected B" forms, when completed, MUST BE ENCRYPTED USING THE DND ISSUED PKI SMARTCARD. Failure to respect this requirement will result in a breach of security and administrative measures shall be applied in accordance with the policy.

Instructions

All texts highlighted in yellow with brackets are to indicate required fields prior to signing and sending.

Monthly Resolution Process Status Update

Date: [Enter current date]

Dear: [Enter name of principal party OR if applicable responding party]

This letter serves as an update on the resolution process concerning the Notice of an Occurrence received on [date original notice was received] as outlined in the Workplace Harassment and Violence Prevention Policy manual.

[Currently OR Since the last monthly update], we are [give a brief description of the status of the resolution process, e.g., in the process of hiring an investigator, negotiated resolution stages, in conciliation/ADR, still awaiting response from PP or RP, waiting on employer...].

As a reminder, support services are available to you.

The Employee Assistance Program (EAP) at: 1-800-663-1142 or 1-888-384-1152 (for people with hearing impairments). The 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.

Please advise if you have any questions or concerns,

Thank you,

Best regards,

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WARNING

In accordance with National Defence Security Orders and Directives (NDSOD), form Response to Principal Party Regarding a Notice of an Occurrence is "Protected B" information once completed.

Completed "Protected B" forms MUST NOT BE SAVED UNENCRYPTED on any network and workstation drive or storage media. "Protected B" forms, when completed, MUST BE ENCRYPTED USING THE DND ISSUED PKI SMARTCARD. Failure to respect this requirement will result in a breach of security and administrative measures shall be applied in accordance with the policy.

Instructions

All texts highlighted in yellow with brackets are to indicate required fields prior to signing and sending.

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 an 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) Workplace Harassment and Violence Prevention (WHVP) Policy manual and DAOD 5014. You may also consult this infographic and video on the resolution process.

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 who is affected by an occurrence, 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) Workplace Harassment and Violence Prevention (WHVP) Policy manual and DAOD 5014. You may also consult this infographic and video on the resolution process.

[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/ADR and/or a WHVP investigation. 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,

[Enter digital signature once saved as a PDF]

Annex Notice of Occurrence

Privacy and Confidentiality

Privacy and confidentiality must be maintained throughout the entire process. Privacy requirements do not allow information to be disclosed about the occurrence and as such, you are required to keep the information related to this occurrence and the resolution process confidential. Please refrain from disclosing any information related to the occurrence or the resolution process to other colleagues.

To encourage those who are principal parties or a witness to workplace harassment and violence to come forward, complaints relating to harassment and violence will be handled with utmost sensitivity and discretion. Trust and safety in the process are paramount. As required by the policy manual, if a prevention investigation report is written, the report must not reveal, directly or indirectly, the identity of parties and witnesses involved in the resolution process.

It is important that all parties involved respect individuals’ privacy and maintain confidentiality throughout the entire process. Disclosure of information about the occurrence must be in keeping with the need-to-know principle.

Protecting the full privacy of principal parties, witnesses and responding parties in harassment and violence complaints may not always be possible due to legal obligations—including those respecting access to information and privacy—and natural justice and procedural fairness principles.

If, at any point in time, there is a breach of confidentiality, please advise the CoC/manager immediately.

Note: If the CoC/manager is made aware of breach of conduct, they should refer to the appropriate disciplinary and/or administrative measures.

Roles and Responsibilities

Designated Recipient (DR) Principal Party (PP)
  • Respond to all NoO 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 PP within 45 days after the day on which the NoO is received.
  • Conduct a review of every NoO with the PP against the definition of harassment and violence outlined in subsection 122(1) of the Code.
  • Make every reasonable effort to resolve an occurrence of harassment and violence for which a NoO is submitted.
  • Give involved parties the option of voluntarily participating in conciliation/ ADR and agree on the assigned practitioner.
  • Collaborate with WHVP Investigation Coordinator should a WHVP investigation be initiated.
  • Provide monthly status updates to the PP and RP on the status of the resolution process.
  • Recuse themselves from process in the event of a conflict of interest.
  • Collaborate, communicate, and engage with the parties involved in the resolution process. 
  • Lead the decision-making process as to next steps following negotiated resolution, including conciliation or investigation.
  • 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.
Responding Party (RP) (if notified) CoC/Manager (employer)
  • 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.
  • 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 retaliatory behaviour against the principal party, witnesses and any other individuals involved in the resolution process of an occurrence.
  • 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.

Resolution Process Options for the Principal Party

  1. Initial Review

The resolution process begins with an initial meeting or conversation with the principal party and I, the designated recipient.myself, as the CoC/manager. During the initial meeting the principal party and designated recipientthe CoC/manager will review the definition of harassment and violence as outlined in the WHVP Policy. This can go one of three ways:

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 designated recipientI perceive that the occurrence appears to fall under the definition of harassment and violence the principal party can:

  1. Continue to work with the CoC/manager meto attempt to reach a negotiated resolution and if applicable the responding party; or
  2. Pursue conciliation/ADR with the responding party; and/or
  3. 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 recipientCoC/manager does not, the principal party still has the right to proceed with the steps mentioned above.

  1. Negotiated Resolution

Once the review of the occurrence has been completed to determine if it appears to meet the definition of harassment and violence, it is mandated that the CoC/manager facilitate the process to ensure the principal party and the CoC/manager make reasonable effort to reach a negotiated resolution. The negotiated resolution is an opportunity for the principal party to share their thoughts on what preventive measures can be proposed to resolve the occurrence and foster a safe workplace.

Resolutions are tangible and preventive measures that can be put into place to resolve and help prevent further occurrences.

What is Negotiated Resolution: What is not Negotiated Resolution:
  • An opportunity to share harassment and or violence experience and impact.
  • An opportunity to share tangible measures that can be implemented to resolve and prevent further occurrences.

* See resolution options

  • An opportunity to negotiate a resolution in a collaborative way.
  • An opportunity to respond to and prevent harassment and violence in the workplace.

An opportunity to restore and mend the relationship between parties involved.

  • An opportunity to accuse, confront or discipline.
  • An opportunity to make a request that does not fall in line with responding or preventing the occurrence.

* See resolution options

  • An opportunity to make orders through confrontation.
  • An opportunity to resolve other issues.
  • Ex: classification issues, collective agreement, letter of expectations, performance management, etc.

An opportunity to make unreasonable requests

A resolution is a tangible and preventive measure that can be implemented by the CoC/manager to respond to and prevent further occurrences of harassment and violence within the workplace. As harassment and violence are seen as risks to the overall workplace health and safety, resolution options are considered mitigation measures and are implemented to ensure that a principal party feels safe and comfortable in the workplace whilst preventing occurrences. Therefore, during the negotiated resolution, the principal party and the CoC/manager will collaboratively negotiate measures to address the occurrence in the workplace.

Below are examples of what are and what are not considered resolutions within the Workplace Harassment and Violence Prevention Policy manual (WHVP):

What is a WHVP Resolution: What is not 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.
  • 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 an accommodation is required within the workplace, 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 appropriate measures have been implemented by the CoC/manager to respond and to prevent reoccurrence and the principal party feels these measures are insufficient and does not want to close the file, the principal party will be requested to propose additional resolution options to present to the CoC/manager as reasonable effort to resolve the occurrence to their satisfaction. If appropriate tangible measures are not proposed, a WHVP assessment will be conducted, and the file will then be deemed resolved and closed.

If the principal party and the CoC/manager (and responding party, if included in these meetings) are unable to come to an agreement, the principal party has the option of requesting a conciliation/ADR process or a WHVP investigation.

Note that the principal party can request conciliation/ADR and a WHVP investigation at the same time. 

These processes can be conducted in tandem until:

  1. Resolution is reached during the requested conciliation/ADR process; or
  2. The investigator’s report is completed.

When a NoO is deemed resolved through negotiated resolution, the file is closed, and a File Closure Letter is sent to the principal party (and the responding party if they were involved in the negotiated resolution).

  1. Conciliation/Alternative Dispute Resolution (ADR)

Conciliation can be done by means of Alternate Dispute Resolution (ADR) which is facilitated by qualified practitioners. This service is offered through the Conflict and Complaint Management Services within DGCSS. Conciliation/ADR is a voluntary, informal and confidential process where a neutral practitioner will attempt to help the parties find a satisfactory resolution.

Conciliation/ADR of an occurrence of harassment and violence can only proceed if the involved parties agree to participate and agree on who will facilitate the process. If conciliation/ADR cannot proceed or if it is unsuccessful, the principal party can choose to go back to the negotiated resolution or request a WHVP investigation.

Conciliation/ADR are generally not recommended for sexual harassment, sexual assault, sexual violence and/or family violence.

Conciliation/ADR can run parallel to resolution methods, such as negotiated resolution or a WHVP investigation.

Should the principal party choose to proceed with this resolution process, monthly updates on the status of the Conciliation/ADR process will be provided to involved parties.

If the Conciliation/ADR process was successful, and the principal party confirms that no other preventive measures are required, then the occurrence will be deemed resolved and the case will be closed.

Should the principal party have other preventive measures in place to continue in a negotiated resolution, then the Conciliation/ADR file be closed, and the principal party may continue with the negotiated resolution until the file is deemed resolved.

If the Conciliation/ADR process was unsuccessful, then the principal party may either return to negotiated resolution until the file is deemed resolved or proceed with the WHVP investigation.

When a NoO is deemed resolved, the file is closed, and a File Closure Letter is sent to the parties involved

  1. WHVP Investigation
  1. Initiating an Investigation

    A principal party may request a WHVP investigation at any time during the process but must also make every reasonable effort to resolve the matter through negotiated resolution. The designated recipient IThe CoC/ willmanager willmust contact the WHVP CoE if an investigation is required. The investigations conducted under this Policy are preventive in nature, aiming to prevent further occurrences and minimize the risk of harassment and violence. Investigators will focus on the root cause of the occurrence in the workplace and propose recommendations on how to prevent similar occurrences in the future. The outcome of the WHVP investigation cannot be used for any remedial or disciplinary measures. In cases that involve alleged misconduct see “Disciplinary and/or Administrative Measures”.

  2. Notice of Investigation

    I, theI The CoC/manager , will provide the principal party and the responding party with a written notice that an investigation will be carried out.

  3. Selection of the Investigator

    A jointly (in consultation with the NHSPC) identified list of qualified internal (established within CPCC (DGCSS)) and external investigators (contracted only through WHVP CoE) is available through the WHVP CoE. Where possible, the principal party will be offered a selection of qualified investigators from the list. The selection of an investigator should be agreed upon by the principal party, the responding party, and the the CoC/manager or CoC/manager.

    1. If there is no agreement within 10 days after the Notice of Elected Investigator was received, an investigator from the identified list will be chosen by the WHVP CoE.
    2. If no internal investigator is available, due to conflict of interest or scheduling, a qualified investigator from the National Master Standing Offer (NMSO) or Canadian Centre for Occupational Health and Safety (CCOHS) list will be selected by WHVP CoE as required.

    A qualified investigator is a person having the knowledge, training and experience including:

    1. Having been trained in investigative techniques.
    2. Having knowledge, training and experience that are relevant to harassment and violence in the workplace; and
    3. Having knowledge of the Act, the Canadian Human Rights Act and any other legislation that is relevant to harassment and violence in the workplace.
  4. Conflict of Interest

    The investigator will provide the WHVP CoE, the principal party and the responding party with a written statement indicating that the investigator does not have a conflict of interest with the occurrence being investigated. Should an investigator have a conflict of interest with any party to the occurrence, they must inform the WHVP CoE and designated recipient the CoC/managermyself prior to initiating the investigation.

  5. Information for Investigator

    The designated recipientThe CoC/manager Iwill provide the investigator with all information that is relevant to the investigation, such as: the nature of the occurrence, scope of the investigation, names, and contact information of parties to be interviewed, work that has been done to date to resolve the occurrence, etc.

  6. Investigation Report

    The investigator’s report must not reveal, directly or indirectly, the identity of persons who are involved in an occurrence or the resolution process for an occurrence under the policy manual (e.g. work locations, dates, division/group names). Reports are to contain no identifiable information that could possibly expose the identity of any of the parties or witnesses. The investigator’s report will provide:

    1. A general description of the occurrence,
    2. Conclusions regarding root causes and other circumstances in the workplace that contributed to the occurrence,
    3. Recommendations to eliminate or minimize the risk of a similar occurrence; and
    4. A determination as to whether each occurrence meets/does not meet the definition of workplace harassment and violence.

    A copy of the investigator’s report is provided to the CoC/manager, principal party, responding party, the applicable safety committee or representative, and designated recipient as required..

    Note: If there is concurrent Negotiated Resolution and WHVP investigation, once the investigator has provided their report, the negotiated resolution process cannot be used to resolve the occurrence.

  7. 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. The applicable safety committee or representative will provide input on all matters relating to the harassment and violence prevention program, including periodic WHVP assessments, prevention strategies, and recommendations in investigation reports.

    Recommendations are aimed at preventing future occurrences, and parties are advised to keep this in mind when reviewing the report. If the CoC/manager and the applicable safety committee or representative cannot agree on which prevention recommendations set out in the investigator report should be implemented, then it is the CoC/manager’s decision as to which prevention recommendations are appropriate to implement. However, in accordance with the policy manual, the CoC/manager must document their decision, the reasons for that decision and retain it on file for 10 years. 

    Once the investigation report is finalized, the CoC/manager can move forward with implementation. If the report is received and the occurrence meets the definition of WHV, the CoC/manager will jointly determine with the applicable safety committee or representative which recommendations are to be implemented. The CoC/manager employer is then accountable to implement the measures selected. The file will only be closed once all measures have been implemented.

    As this program focuses on prevention, if the occurrence in the investigation report does not meet the definition, preventive recommendations will still be proposed, and it is highly recommended for the CoC/manager to implement them. However, the file will be closed once the report is provided even if the measures are not yet implemented.

    When a NoO is deemed resolved, the file is closed, and a File Closure Letter is sent to the principal party and the responding party.

Disciplinary and/or Administrative Measures

Perceived reprisal against a Defence Team Member who has exercised their rights or duties under the WHVP policy, or under the enabling legislation, is unacceptable and incompatible with the DND and CF Code of Values and Ethics.

The Canada Labour Code (Section 147) and QR&O 19.15, Prohibition of Reprisals, 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, in accordance with QR&O 7.08 Submission of a Grievance, may file a grievance.

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

To ensure that the well-being of the workplace is restored, in cases that involve potential misconduct, if the CoC/manager becomes aware of behaviour or actions that contravene 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). The 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

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WARNING

In accordance with National Defence Security Orders and Directives (NDSOD), form Response to Responding Party Regarding a Notice of an Occurrence is "Protected B" information once completed.

Completed "Protected B" forms MUST NOT BE SAVED UNENCRYPTED on any network and workstation drive or storage media. "Protected B" forms, when completed, MUST BE ENCRYPTED USING THE DND ISSUED PKI SMARTCARD. Failure to respect this requirement will result in a breach of security and administrative measures shall be applied in accordance with the policy.

Instructions

All texts highlighted in yellow with brackets are to indicate required fields prior to signing and sending.

Response to Responding Party Regarding a Notice of an Occurrence

Date: [Enter date]

Dear: [Enter name of responding party]

This letter confirms the receipt of a Notice of an Occurrence (NoO) of alleged workplace harassment and violence on [date received] ; where you have been named as a responding party, which means the person who is alleged to have been responsible for the occurrence. As the Chain of Command (CoC)/manager I will be facilitating this (NoO) as per the Department of National Defence’s (DND) Workplace Harassment and Violence Prevention (WHVP) Policy manual and DAOD 5014.

Firstly, I recognize that it might be difficult to receive this news. I would like to emphasize that the primary purpose of this process is to create an opportunity to understand the occurrence and its impacts in greater detail in order to prevent future occurrences. Your participation could be very important to this end, as described below.

[Delete the following part if not appropriate according to the notice of occurrence or resolution process]

The following information contains an overview of the occurrence:

[Add factual information: who, what, where? or obtain a summary confirmation from the principal party. Add original date of the named occurrence. Do not copy and paste the notice of occurrence]

As per the Policy, the principal party (which means a DND employee(s) or CAF member(s) who is affected by an occurrence.) has several options available to them for seeking resolution of the occurrence, which include negotiated resolution, conciliation/ADR, and/or a WHVP investigation. A detailed description of each step of the resolution process can be found in the Annex to this letter.

Since the NoO was submitted, I have been facilitating the process with the principal party. As this process is principal party led they are now ready to invite your participation in the [negotiated resolution, conciliation, and/or a WHVP investigation] process. While negotiated resolution is emphasized as a first step, in the case where that step does not resolve the occurrence, the principal party will have a voice to decide on the next step for resolution, which could be conciliation/ADR and/or WHVP investigation.

During the [negotiated resolution, conciliation/ADR, and/or WHVP investigation] process you have the right to have a  support person 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.

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.

Sincerely,

[Enter digital signature once saved as a PDF]

Annex Notice of Occurrence

Privacy and Confidentiality

Privacy and confidentiality must be maintained throughout the entire process. Privacy requirements do not allow information to be disclosed about the occurrence and as such, you are required to keep the information related to this occurrence and the resolution process confidential. Please refrain from disclosing any information related to the occurrence or the resolution process to other colleagues.

To encourage those who are principal parties or a witness to workplace harassment and violence to come forward, complaints relating to harassment and violence will be handled with utmost sensitivity and discretion. Trust and safety in the process are paramount. As required by the Regulations, if a prevention investigation report is written, the report must not reveal, directly or indirectly, the identity of parties and witnesses involved in the resolution process.

It is important that all parties involved respect individuals’ privacy and maintain confidentiality throughout the entire process. Disclosure of information about the occurrence must be in keeping with the need-to-know principle.

Protecting the full privacy of principal parties, witnesses and responding parties in harassment and violence complaints may not always be possible due to legal obligations—including those respecting access to information and privacy—and natural justice and procedural fairness principles.

If, at any point in time, there is a breach of confidentiality, please advise the CoC/manager immediately.

Note: If the CoC/manager is made aware of breach of conduct, they should refer to the appropriate disciplinary and/or administrative measures.

Roles and Responsibilities

Designated Recipient (DR) Principal Party (PP)
  • Respond to all NoO 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 PP within 45 days after the day on which the NoO is received.
  • Conduct a review of every NoO with the PP against the definition of harassment and violence outlined in subsection 122(1) of the Code.
  • Make every reasonable effort to resolve an occurrence of harassment and violence for which a NoO is submitted.
  • Give involved parties the option of voluntarily participating in conciliation/ ADR and agree on the assigned practitioner.
  • Collaborate with WHVP Investigation Coordinator should a WHVP investigation be initiated.
  • Provide monthly status updates to the PP and RP on the status of the resolution process.
  • Recuse themselves from process in the event of a conflict of interest.
  • Collaborate, communicate, and engage with the parties involved in the resolution process. 
  • Lead the decision-making process as to next steps following negotiated resolution, including conciliation or investigation.
  • 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.
Responding Party (RP) (if notified) CoC/Manager (Employer)
  • 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.
  • 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 retaliatory behaviour against the principal party, witnesses and any other individuals involved in the resolution process of an occurrence.
  • 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.

Resolution Process Options for the Principal Party

  1. Initial Review

    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 CoC/manager will review the definition of harassment and violence as outlined in the WHVP Policy. This can go one of three ways:

    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:

    1. Continue to work with the CoC/manager to attempt to reach a negotiated resolution and if applicable the responding party; or
    2. Pursue conciliation/ADR with the responding party; and/or
    3. 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 CoC/manager does not, the principal party still has the right to proceed with the steps mentioned above.

  1. Negotiated Resolution
  2. Once the review of the occurrence has been completed to determine if it appears to meet the definition of harassment and violence, it is mandated that the CoC/manager   facilitate the process to ensure the principal party and the CoC/manager make reasonable effort to reach a negotiated resolution. The negotiated resolution is an opportunity for the principal party to share their thoughts on what preventive measures can be proposed to resolve the occurrence and foster a safe workplace.

    Resolutions are tangible and preventive measures that can be put into place to resolve and help prevent further occurrences. 

What is Negotiated Resolution: What is not Negotiated Resolution:
  • An opportunity to share harassment and or violence experience and impact.
  • An opportunity to share tangible measures that can be implemented to resolve and prevent further occurrences.

* see resolution options

  • An opportunity to negotiate a resolution in a collaborative way.
  • An opportunity to respond to and prevent harassment and violence in the workplace.

An opportunity to restore and mend the relationship between parties involved.

  • An opportunity to accuse, confront or discipline.
  • An opportunity to make a request that does not fall in line with responding or preventing the occurrence.

* see resolution options

  • An opportunity to make orders through confrontation.
  • An opportunity to resolve other issues. Ex: classification issues, collective agreement, letter of expectations, performance management, etc.

An opportunity to make unreasonable requests

A resolution is a tangible and preventive measure that can be implemented by the CoC/manager to respond to and prevent further occurrences of harassment and violence within the workplace. As harassment and violence are seen as risks to the overall workplace health and safety, resolution options are considered mitigation measures and are implemented to ensure that a principal party feels safe and comfortable in the workplace whilst preventing occurrences. Therefore, during the negotiated resolution, the principal party and the CoC/manager will collaboratively negotiate measures to address the occurrence in the workplace.

Below are examples of what are and what are not considered resolutions within the Workplace Harassment and Violence Prevention Policy manual (WHVP):

What is a WHVP Resolution: What is not 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.
  • 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 an accommodation is required within the workplace, 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 (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 appropriate measures have been implemented by the CoC/manager to respond and to prevent reoccurrence and the principal party feels these measures are insufficient and does not want to close the file, the principal party will be requested to propose additional resolution options to present to the CoC/manager as reasonable effort to resolve the occurrence to their satisfaction. If appropriate tangible measures are not proposed, a WHVP assessment will be conducted, and the file will then be deemed resolved and closed.

If the principal party and the CoC/manager (and responding party, if included in these meetings) are unable to come to an agreement, the principal party has the option of requesting a conciliation/ADR process or a WHVP investigation.

Note that the principal party can request conciliation/ADR and a WHVP investigation at the same time. 

These processes can be conducted in tandem until:

  1. Resolution is reached during the requested conciliation/ADR process; or
  2. The investigator’s report is completed.

When a NoO is deemed resolved through negotiated resolution, the file is closed, and a File Closure Letter is sent to the principal party (and the responding party if they were involved in the negotiated resolution).

  1. Conciliation/Alternative Dispute Resolution (ADR)

    Conciliation can be done by means of Alternate Dispute Resolution (ADR) which is facilitated by qualified practitioners. This service is offered through the Conflict and Complaint Management Services within DGCSS. Conciliation/ADR is a voluntary, informal and confidential process where a neutral practitioner will attempt to help the parties find a satisfactory resolution.

    Conciliation/ADR of an occurrence of harassment and violence can only proceed if the involved parties agree to participate and agree on who will facilitate the process. If conciliation/ADR cannot proceed or if it is unsuccessful, the principal party can choose to go back to the negotiated resolution or request a WHVP investigation.

    Conciliation/ADR are generally not recommended for sexual harassment, sexual assault, sexual violence and/or family violence.

    Conciliation/ADR can run parallel to resolution methods, such as negotiated resolution or a WHVP investigation.

    Should the principal party choose to proceed with this resolution process, monthly updates on the status of the Conciliation/ADR process will be provided to involved parties.

    If the Conciliation/ADR process was successful, and the principal party confirms that no other preventive measures are required, then the occurrence will be deemed resolved and the case will be closed.

    Should the principal party have other preventive measures in place to continue in a negotiated resolution, then the Conciliation/ADR file be closed, and the principal party may continue with the negotiated resolution until the file is deemed resolved.

    If the Conciliation/ADR process was unsuccessful, then the principal party may either return to negotiated resolution until the file is deemed resolved or proceed with the WHVP investigation.

    When a NoO is deemed resolved, the file is closed, and a File Closure Letter is sent to the parties involved.

  2. WHVP Investigation
    1. Initiating an Investigation
      • A principal party may request a WHVP investigation at any time during the process but must also make every reasonable effort to resolve the matter through negotiated resolution. The CoC/manager will contact the WHVP CoE if an investigation is required. The investigations conducted under this Policy are preventive in nature, aiming to prevent further occurrences and minimize the risk of harassment and violence. Investigators will focus on the root cause of the occurrence in the workplace and propose recommendations on how to prevent similar occurrences in the future. The outcome of the WHVP investigation cannot be used for any remedial or disciplinary measures. In cases that involve alleged misconduct see “Disciplinary and/or Administrative Measures”.
    2. Notice of Investigation
      • The CoC/manager will provide the principal party and the responding party with a written notice that an investigation will be carried out. 
    3. Selection of the Investigator
      • A jointly (in consultation with the NHSPC) identified list of qualified internal (established within CPCC (DGCSS)) and external investigators (contracted only through WHVP CoE) is available through the WHVP CoE. Where possible, the principal party will be offered a selection of qualified investigators from the list. The selection of an investigator should be agreed upon by the principal party, the responding party, and the CoC/manager.
        1. If there is no agreement within 10 days after the Notice of Elected Investigator was received, an investigator from the identified list will be chosen by the WHVP CoE.
        2. If no internal investigator is available, due to conflict of interest or scheduling, a qualified investigator from the National Master Standing Offer (NMSO) or Canadian Centre for Occupational Health and Safety (CCOHS) list will be selected by WHVP CoE as required.
      • A qualified investigator is a person having the knowledge, training and experience including:
        1. Having been trained in investigative techniques.
        2. Having knowledge, training and experience that are relevant to harassment and violence in the workplace; and
        3. Having knowledge of the Act, the Canadian Human Rights Act and any other legislation that is relevant to harassment and violence in the workplace.
    4. Conflict of Interest
      • The investigator will provide the WHVP CoE, the principal party and the responding party with a written statement indicating that the investigator does not have a conflict of interest with the occurrence being investigated. Should an investigator have a conflict of interest with any party to the occurrence, they must inform the WHVP CoE and the CoC/manager prior to initiating the investigation.
    5. Information for Investigator
      • The CoC/manager will provide the investigator with all information that is relevant to the investigation, such as: the nature of the occurrence, scope of the investigation, names, and contact information of parties to be interviewed, work that has been done to date to resolve the occurrence, etc.
    6. Investigation Report
      • The investigator’s report must not reveal, directly or indirectly, the identity of persons who are involved in an occurrence or the resolution process for an occurrence under the policy manual (e.g. work locations, dates, division/group names). Reports are to contain no identifiable information that could possibly expose the identity of any of the parties or witnesses. The investigator’s report will provide:
        1. A general description of the occurrence,
        2. Conclusions regarding root causes and other circumstances in the workplace that contributed to the occurrence,
        3. Recommendations to eliminate or minimize the risk of a similar occurrence; and
        4. A determination as to whether each occurrence meets/does not meet the definition of workplace harassment and violence.
      • A copy of the investigator’s report is provided to the CoC/manager, principal party, responding party, the applicable safety committee or representative.
      • Note: If there is concurrent Negotiated Resolution and WHVP investigation, once the investigator has provided their report, the negotiated resolution process cannot be used to resolve the occurrence. 
    7. 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. The applicable safety committee or representative will provide input on all matters relating to the harassment and violence prevention program, including periodic WHVP assessments, prevention strategies, and recommendations in investigation reports.
      • Recommendations are aimed at preventing future occurrences, and parties are advised to keep this in mind when reviewing the report. If the CoC/manager and the applicable safety committee or representative cannot agree on which prevention recommendations set out in the investigator report should be implemented, then it is the CoC/manager’s decision as to which prevention recommendations are appropriate to implement. However, in accordance with the policy manual, the CoC/manager must document their decision, the reasons for that decision and retain it on file for 10 years. 
      • Once the investigation report is finalized, the CoC/manager can move forward with implementation. If the report is received and the occurrence meets the definition of WHV, the CoC/manager will jointly determine with the applicable safety committee or representative which recommendations are to be implemented. The CoC/manager is then accountable to implement the measures selected. The file will only be closed once all measures have been implemented.
      • As this program focuses on prevention, if the occurrence in the investigation report does not meet the definition, preventive recommendations will still be proposed, and it is highly recommended for the CoC/manager to implement them.  However, the file will be closed once the report is provided even if the measures are not yet implemented.
      • When a NoO is deemed resolved, the file is closed, and a File Closure Letter is sent to the principal party and the responding party.

Disciplinary and/or Administrative Measures

Perceived reprisal against a Defence Team Member who has exercised their rights or duties under the WHVP policy, or under the enabling legislation, is unacceptable and incompatible with the DND and CF Code of Values and Ethics.

The Canada Labour Code (Section 147) and QR&O 19.15, Prohibition of Reprisals, 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, in accordance with QR&O 7.08 Submission of a Grievance, may file a grievance.

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

To ensure that the well-being of the workplace is restored, in cases that involve potential misconduct, if the CoC/manager becomes aware of behaviour or actions that contravene 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). The 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.

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