Workplace Harassment and Violence Prevention (WHVP) reporting and resolution process for Chain of Command (CoC) and managers

Step 1 – Who was involved in the occurrence?

Step 1.1 - Does the occurrence involve Defence Team members?

• No, the occurrence does not involve Defence Team members:

  Occurrences that involve visitors and contractors (including Non-Public Funds employees) should be reported to the employee/member's Chain of Command/manager so that they can take appropriate action to keep their personnel safe. This includes a review of the WHVP Assessment to ensure that all preventive measures are in place and may involve reaching out to the responding party's employer resolve the situation or notifying the appropriate policing authority as required.

• Yes, the occurrence involves a Defence Team member:

  The principal party or witness may provide a Notice of Occurrence (NoO) to the Chain of Command/manager or the Designated Recipient (DR) in writing or verbally. They may also choose to report anonymously. If the occurrence identifies the Chain of Command/manager as the principal party or the responding party, the NoO must be provided to the designated recipient. Go to step 2, Initial Review.

Step 2 - Initial review of the occurrence

Step 2.1 - Is there any immediate risk to the health and safety of any Defence Team member?

• No there is no immediate risk:

  Continue to step 2.2 – Notice of Occurrence (NoO) review.

• Yes, there is an immediate risk:

  • On a base, wing, or in a DND building: refer to your organization's emergency procedures or contact the Military Police.
  • If not on DND property: call 911

  Once authorities have been contacted, proceed to step 2.2, NoO Review.

Step 2.2 - NoO Review

Does the NoO contain all the required information, including:

• the principal party's and responding party's name (if known),
• date of occurrence, and
• a detailed description of each occurrence?

Note: Responding party is not to be informed of the NoO until the principal party agrees or requests conciliation/Alternate Dispute Resolution and/or a WHVP investigation.

• No, it does not contain all the required information:

  Contact the principal party to gather additional information. Then proceed to Yes.

  OR

  If the NoO does not identify the principal party, it cannot be processed and will be considered resolved. A redacted version will be sent to the local safety committee to review and, if necessary, update the WHVP assessment.

• Yes, it does contain all the required information:

  Acknowledge receipt within 7 calendar days of receiving the NoO. The Chain of Command/manager or designated recipient must:

  • inform the principal party, in writing, using the Response to Principal Party Regarding a Notice of an Occurrence Template
  • notify the WHVP Centre of Expertise of the NoO
  • notify witnesses, unless they have reported anonymously

Step 3 – Negotiated resolution

Efforts to resolve the occurrence must begin no later than 45 days after the notice was received. The Chain of Command/manager, principal party and responding party (if contacted), must make every reasonable effort to resolve an occurrence during the negotiated resolution stage.

Step 3.1 - Joint Review

Does the principal party and the Chain of Command/manager or designated recipient agree that the occurrence meets the definition of harassment and violence?

• No, it does not meet the definition:

  • If it is jointly determined that the occurrence does not meet the definition, the occurrence will be deemed resolved. The parties may continue to work to find an informal resolution to address the situation. Advise the WHVP Centre of Expertise for tracking purposes.
  • If the principal party determines that the occurrence meets the definition, while the Chain of Command/manager or designated recipient does not, then the process continues using any of the following options:
  • Continue working with the Chain of Command/manager to find a negotiated resolution;
  • Pursue conciliation/Alternate Dispute Resolution; and/or
  • Request a WHVP investigation.

• Yes, it meets the definition

  • Continue with the resolution process. The process may include meetings with the Chain of Command/manager, designated recipient, principal party or responding party. If the principal party agrees to meet with the responding party, the Chain of Command/manager must contact the responding party using the Response to a Responding Party Template.
  • The meetings are an opportunity to have an informal, collaborative and respectful discussion to identify resolutions. Resolutions are tangible and preventive measures that can be put into place to resolve and help prevent further occurrences.

Step 3.2 - Updates to involved parties

The Chain of Command/manager or designated recipient will provide monthly updates to all involved parties using the Monthly Resolution Process Status Update Template.

Step 3.3 - Was the negotiated resolution successful?

• No, it was not successful:

  If parties are unable to come to a negotiated resolution agreement or if the circumstances warrant, the principal party has the option of requesting:

  • conciliation/Alternate Dispute Resolution (ADR); and/or
  • a WHVP investigation.

• Yes, it was successful:

  The occurrence is deemed resolved. Go to step 6, NoO Resolved.

Step 4 – Conciliation/Alternate Dispute Resolution

The principal party and responding party may attempt to resolve the occurrence by conciliation/Alternate Dispute Resolution (ADR). Contact the Conflict and Complaint Management Services Centres for Conciliation/Alternate Dispute Resolution services.

Step 4.1 - Was conciliation successful?

• No, it was not successful:

  The principal party can either go back to Negotiated Resolution or request a WHVP investigation.

• Yes, it was successful:

  The occurrence is deemed resolved. Go to 6. NoO Resolved.

Step 5 – WHVP investigation

A WHVP investigation focuses on the root cause of occurrences in the workplace and provides recommendations to prevent similar occurrences in the future. The outcome of investigations cannot be used for remedial or disciplinary measures. For workplace misconduct, Chain of Command/managers should consult DAOD 5019-0 for CAF members and Labour Relations for public service employees, as a separate but parallel process.

Initiating a WHVP investigation

The Chain of Command/manager must contact the WHVP CoE to initiate an investigation request and the CoE will advise on next steps.

Investigator's report

The WHVP CoE provides the investigator's report to the Chain of Command/manager which includes:

• a general description of the occurrence;
• the result of their findings, including those related to the circumstances that contributed to the occurrence; and
• any recommendations to eliminate or minimize the risk of a similar occurrence.

The report must not reveal, directly or indirectly, the identity of any person(s) involved in the occurrence or resolution process.

The Chain of Command/manager or designated recipient provides the investigator's report to the principal party, responding party, and local safety committee.

Step 5.1 - Implementation of recommendations

If the report meets the definition of harassment and violence, the Chain of Command/manager and the local safety committee must jointly determine which of the recommendations set out in the report are to be implemented.

Step 5.2 - Do the Chain of Command/manager and local safety committee agree with the recommendations?

• No, they do not agree with the recommendations:

  In the event of disagreement, the Chain of Command/manager's decision prevails. The decision and justification must be documented and become part of the local safety committee records. Once selected measures are implemented the file will be deemed resolved. Proceed to step 6.

• Yes, they agree with the recommendations:

  Inform the principal party and responding party of which prevention measures will be implemented and by when. Recommendations must be implemented within one year of receipt of the NoO. Once measures are implemented the file will be deemed resolved. Proceed to step 6.

Step 6 - NoO resolved

The process is completed when:

• A resolution is achieved through the negotiated resolution or the conciliation/ADR;
• Once recommendations are implemented by the Chain of Command/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. A principal party may decide to stop the process at any time. Once the NoO is resolved, the principal party and responding party (if involved) are to be informed, using the File Closure Letter. The Chain of Command/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).