CAUT Policy Statement
1
Employer-led investigations can occur because of complaints under the collective agreement, employer policy and/or law for reasons such as alleged harassment, human rights violations and research misconduct. Regardless of the reason for the investigation, all employer-led investigations should respect the principles of natural justice. Investigations should be fair, thorough and timely.
2
Investigations and any resulting discipline of members should adhere to the provisions and processes of the collective agreement regardless of the specific allegation under investigation. Academic staff associations should negotiate collective agreement provisions for investigative processes.
3
The employer should advise everyone involved in an investigative process of their rights and responsibilities. This includes providing all involved with a copy of the relevant policy and procedures at the outset of any investigative process.
Interim Measures
4
Any interim measures required must be appropriate and proportionate.
5
An academic staff member should not be suspended or banned from campus unless their presence on campus poses a clear, serious and imminent danger to a member of the academic institution. Any such suspension should be with full pay and benefits and should be grievable and arbitrable.
6
Interim measures should be reviewed on a frequent basis.
Basic principles of natural justice
7
The employer should provide the academic staff member under investigation and the academic staff association with timely notice of any type of investigation.
8
Academic staff are entitled to know the details of the allegations against them such that they can meaningfully respond and participate in the process. Academic staff associations should ensure that their collective agreements and/or employer policy requires that the full complaint be provided to the respondent and the academic staff association.
9
The employer should screen all complaints and reject any where the facts alleged, if proven, would not meet the threshold required under the policy or otherwise where there is no air of reality to the allegations.
10
The employer should disclose to both the academic staff member under investigation and the member’s academic staff association any and all relevant evidence and documentation.
11
Academic staff have the right to respond to the allegations and evidence against them.
12
If an academic staff member involved in an investigation requires accommodation because of disability, family-status, religion or other human rights protected grounds, the employer must provide that accommodation up to the point of undue hardship, in accordance with the law.
13
Throughout the investigation, confidentiality should be maintained by all parties.
14
Except as required by law anonymous complaints should not be investigated. Anonymous complaints should not serve as the sole basis for any disciplinary process. The employer should make this clear in policy.
15
Employer-led investigations are often stressful. The employer should connect the academic staff member to appropriate health services if they are required. All individuals involved in the workplace are entitled to be safe from psychological and physical harm.
16
Investigations should be conducted expeditiously. Investigations should not be conducted related to untimely allegations such that witness memories or other evidence may be compromised.
17
Complainants, respondents, and academic staff associations should be provided with the substantial findings of the investigation. Normally, this means a copy of the full investigative report.
Right to representation
18
Academic staff should have the right to representation or accompaniment by their academic staff association and/or support person. This applies whether the academic staff member is the subject of the investigation, a complainant or a witness. Academic staff associations should ensure their collective agreement provides for this right during any investigation.
19
Academic staff should have the right to representation or accompaniment by their academic staff association and/or support person in any meeting or investigatory process that could lead to discipline.
Duplicate proceedings
20
Duplicate and simultaneous investigations may result in unfairness. In the event of duplicative processes one process should be stayed pending a decision in the other. The findings of fact in one process should apply to the other process, unless the first process was unfair or unreasonable.
Investigator
21
External investigators in employer-led investigations should be qualified, impartial, and free of real or perceived conflicts of interest. It is particularly important that, in matters concerning academic freedom, the investigator should have a deep understanding of this fundamental concept. The academic staff association should have the right to approve the investigator and their terms of reference. The employer should pay for the investigation.
Human Rights
22
Academic staff associations should be aware that any case may have human rights elements, even if the complaint is not a human rights complaint. Associations should exercise an extra degree of vigilance and assertiveness in the representation of members where human rights are concerned.
23
Where it is reasonable to consider that a member under investigation may have a disability which has impacted either the alleged behaviour or their participation in the investigation, the Employer has a duty to inquire of the member if that is the case.
Approved by the CAUT Council, November 2024.