This template may be used by an employer or an external investigator hired by an employer to investigate human rights concerns in the workplace. This form is a starting point for planning and conducting an investigation, and should be modified to address the specific issues that arise in individual situations. Additional pages can be added if needed. See also Section IV-12d) – “Apply human rights principles when investigating allegations.”
Electronic copies of this form are available online for download at www.ohrc.on.ca.
Name of investigator:_________________________________________________________________________
Date of investigation:_________________________________________________________________________
Qualifications of investigator:___________________________________________________________________
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Gather background information:
Who are the parties involved or potentially involved? Keep in mind that even if the person raising the concerns is doing so on behalf of another person, he or she may also have rights under the Code (association or poisoned environment).
Name of person raising concerns:_______________________________________________________________
Department or branch:________________________________________________________________________
Position:___________________________________________________________________________________
Date concerns raised:_________________________________________________________________________
Name of potential complainant:_________________________________________________________________
Department or branch:________________________________________________________________________
Position:___________________________________________________________________________________
Name of potential respondent(s):________________________________________________________________
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Department or branch:________________________________________________________________________
Position:___________________________________________________________________________________
List the main concerns. Which ones might be human rights issues? Add an extra page if needed.
Summary of concerns:
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Identify relevant Code principles and Commission policies:
When did the issues arise? Keep an open mind about the last incident – for example, it could be a letter confirming a conversation that took place long ago.
Date of first incident:__________________________________________________________________________
Date of last incident:__________________________________________________________________________
Frequency of concerns:_______________________________________________________________________
What social area do the issues relate to (for example, employment, services or contracts)? Does it relate to more than one social area?
Social area #1_______________________________________________________________________________
Social area #2:______________________________________________________________________________
What are all the grounds that might apply? Could the discrimination be linked to the overlap of two grounds such as race and sex or disability and age (“intersectionality”)?
Ground(s):__________________________________________________________________________________
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Intersectionality:_____________________________________________________________________________
What types of discrimination do the concerns relate to (for example, harassment, poisoned environment, subtle discrimination or systemic discrimination)? Are there problems with the process and/or substance of accommodation?
Types of discrimination:_______________________________________________________________________
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What principles should be kept in mind when interviewing witnesses or reviewing documents (for example, that discrimination need only be one factor or that rules need to be designed inclusively and include the concept of accommodation)?
Code principles that may apply:
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Commission policies that may apply:
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Plan and conduct the investigation:
Before interviewing witnesses or reviewing documents, an investigator needs to plan each step and understand what evidence would show discrimination. Rather than asking witnesses if they think discrimination exists, witnesses should be asked specific questions about what they have observed, are aware of or have personally experienced.
An investigator should keep in mind that for many people discrimination means the same thing as harassment. Uninformed witnesses may not be able to identify a failure to accommodate or an unfair job competition process as discriminatory, but they would be able to say what happened. So, questions must be specific enough to allow the investigator to understand the facts and analyze at the end of the investigation whether all the facts uncovered amount to a violation of the Code.
Take detailed notes of the questions asked and answers provided by each witness, and give that witness a copy of the notes relating to his or her interview. Attach notes from all witness interviews to the investigation template.
Witness #1:_________________________________________________________________________________
Reason for interview:_________________________________________________________________________
Specific information sought:____________________________________________________________________
Witness #2:_________________________________________________________________________________
Reason for interview:_________________________________________________________________________
Specific information sought:____________________________________________________________________
Witness #3:_________________________________________________________________________________
Reason for interview:_________________________________________________________________________
Specific information sought:____________________________________________________________________
Document #1:_______________________________________________________________________________
Relevance:_________________________________________________________________________________
Document #2:_______________________________________________________________________________
Relevance:_________________________________________________________________________________
Document #3:_______________________________________________________________________________
Relevance:_________________________________________________________________________________
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Report conclusions and outcomes:
The investigator’s summary report should set out what evidence was obtained and any further evidence needed, an analysis of the evidence consistent with human rights principles, and conclusions and recommendations for action. Do not make comments about character.
Add extra pages if needed.
Summary of key evidence:
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Further evidence needed:
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When analyzing the evidence, ask yourself a question and provide an answer based on human rights principles applied to the evidence you have uncovered. For example, “could race have been a factor in the decision to suspend the employee, when considered in the context of discipline received by White employees in similar cases?” Or, “did the employer have objective reasons for asking the employee to attend at an independent medical examination instead of following the employee’s doctor’s accommodation plan?”
Analysis of evidence based on human rights principles:
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What actions are recommended? Should an outside investigator be called in? What internal policies or procedures need to be changed and how? Would a mediation solve the issues (if so, what remedies may be appropriate)?
Recommended next steps:
_________________________________________________________________________________________
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Recommendations should be made to a person with responsibility to act on them – for example, implementing a policy, changing a process or offering a remedy.
Name of person responsible:___________________________________________________________________
Position:___________________________________________________________________________________
Date recommendations made:__________________________________________________________________
Date for follow-up:____________________________________________________________________________
Date recommendations acted on:________________________________________________________________
Actions taken:
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