All community members are responsible for contributing to an environment that is free of discrimination and harassment. In order to appropriately support an individual who reports a potential violation of the Discrimination and Harassment Policy (PDF), community members are not expected to be experts but rather to “recognize, respond and refer.”

The Equity and Inclusion Office published the Blue Folder (PDF), which outlines important definitions and process steps under the discrimination and harassment policy. The document also contains a detailed infographic outlining recognize, respond and refer.

The information below describes a high-level overview of the steps involved within the complaint process, under the policy. For detailed information, please refer to the Discrimination and Harassment Policy (PDF).

1. To initiate the university process, the complainant files their Complaint Intake Forms through an intake office
2. The Complaint Intake Forms are reviewed by the director of the intake office, who may consult with the director, Human Rights and Dispute Resolution Program (HRDR) and the response team to determine if an investigation is warranted and then seek agreement from the decision-maker.
3. There are two ways the process may proceed:
   1. If it is decided not to investigate, the complainant will be advised and can have the decision reviewed by the appropriate vice-president.
   2. If the decision is to investigate, the decision-maker will assign an investigator, either internal or external as deemed appropriate, and the complainant and respondent will be advised.
4. At the conclusion of the investigation, the investigator will provide their findings to the decision-maker, who will then determine if a breach of the policy occurred and, if warranted, what sanctions will be implemented.
5. The decision-maker will notify the respondent of the findings, reasons for the decision and sanctions (if applicable).
6. The decision-maker will notify the complainant of the findings and reasons related to their complaint; information about sanctions will not be shared unless implementation of the sanctions necessitates disclosure.

The university may initiate an investigation without a complainant should the university become aware of a situation where:

1. Allegations are made by a non-community member about the conduct of a community member
2. There are multiple disclosures about one individual or group/organization
3. The university has a legal duty to investigate under the Occupational Health and Safety Act (OHSA)
4. A power differential exists between the parties and it is believed there is the potential for a pattern of repeated behaviour
5. Broader issues are evident, such as a toxic work environment

In these instances, the director of ORCCA may consult with the director of the Human Rights and Dispute Resolution Program (HRDR), the response team and the decision-maker, to determine whether a university-initiated complaint is warranted.

It should be noted that individuals have the right not to participate as a complainant in any university-initiated investigation.

The Office of Respectful Conduct in Clinical and Academic Environments (ORCCA) intake coordinator will:

• Advise you of their limits to confidentiality at the start of your consultation
• Discuss your concerns using a trauma informed approach
• Discuss options available (e.g., early intervention, informal resolutions, formal resolutions, criminal report) and the associated processes
• Assist you in completing a Complaint Intake Form if you decide to file a complaint

Unless required as per limits to confidentiality, the ORCCA intake coordinator will not:

• Discuss your concerns with anyone outside an intake office
• Move forward with your complaint unless directed to do so by you

In addition to the same steps completed by the intake coordinator, the director of ORCCA will also:

• Consider if the matter could be resolved informally through early intervention or alternate dispute resolution, when appropriate
• Determine if a complaint falls within the scope of the policy
• Consult with the director of the Human Rights and Dispute Resolution Program (HRDR) to determine if a complaint may warrant an investigation, in which case they can convene the response team (comprised of representation from appropriate intake offices)

The response team may consult and review the information raised in the complaint and help formulate a recommendation, which will be provided to the decision-maker.

The decision-makers for intake and investigations are:

• Assistant vice-president and chief human resources officer for staff respondents
• Associate vice-president (students and learning) and dean of students for student respondents
• Executive vice-dean and associate vice-president (academic) for faculty respondents in the Faculty of Health Sciences (FHS)
• Provost and vice-president (academic) for non-FHS faculty respondents

Note: more than one decision-maker may be involved in cases where a respondent has multiple roles (e.g., student who is also a staff member).

The Sexual Violence Prevention & Response Office (SVPRO) offers support and services to all members of the McMaster community, including undergraduate, graduate,\ and continuing education students, staff, faculty medical residents, volunteers, visitors and visiting professors, and institutional administrators and officials representing McMaster University.

The SVPRO has the necessary expertise and resources to best support any community member who has experienced gender-based or sexual violence.

For more information or to inquire about support, please contact them.

All community members are responsible for contributing to an environment that is free of sexual violence and for participating in relevant education and training programs. Community members are not expected to be experts but rather to “recognize, respond and refer” to appropriately support an individual who makes a disclosure.

The Equity and Inclusion Office published the Gold Folder (PDF), which outlines important definitions and process steps under the sexual violence policy. The document also contains a detailed infographic outlining recognize, respond and refer.

Disclosing an experience of sexual violence is a separate decision from making a report. Each decision will result in different levels of university involvement and action.

Disclosure: A disclosure is made when an individual informs a community member about an experience of sexual violence because they wish to access support, accommodations and/or information about their options. A disclosure will not automatically lead to the initiation of a formal report.

Report: A report occurs when an individual determines that they wish to make an official complaint under the university’s Sexual Violence Policy (PDF). and/or file a criminal report with the Hamilton Police Service.

• A complaint under the university’s Sexual Violence Policy (PDF) requires the submission of a formal written allegation or “statement of complaint.” The allegation may be investigated to determine whether a violation of the sexual violence policy occurred and if/what sanctions may be appropriate.
• A criminal report may be filed through McMaster’s Campus Safety Services, who will liaise with and facilitate reporting to the Hamilton Police Service or it may be filed directly with the Police.

Reporting options are not mutually exclusive. Individuals may choose to proceed with one or both options.

The Sexual Violence Policy (PDF) outlines the investigative process in detail. The Office of Respectful Conduct in Clinical and Academic Environments can help connect you with the Sexual Violence and Prevention Office and provide guidance on the policy.

In rare circumstances, McMaster University may become aware of information without a complaint being formally submitted. The university will initiate an investigation under the Sexual Violence Policy (PDF) when:

1. Allegations are made by a non-community member about the conduct of a community member
2. There are multiple disclosures about one individual or multiple individuals within a group/organization
3. The university has a duty to investigate under the Occupational Health and Safety Act (OHSA)
4. A power differential exists between the parties and it is believed there is the potential for a pattern of repeated behaviour
5. Situations where broader issues must be addressed, including concerns for a poisoned environment.

In these instances, the director of ORCCA may consult with the director of the Sexual Violence Prevention and Response Office, the director of the Human Rights and Dispute Resolution Program (HRDR), the response team and the decision-maker to determine if a university-initiated complaint is warranted.

It should be noted that individuals have the right not to participate as a complainant in any university-initiated investigation.

The intake coordinator will:

• Advise you of their limits to confidentiality at the start of your consultation
• Discussyour concerns using a trauma informed approach
• Discuss options available
• Recommend a warm referral to the Sexual Violence Prevention and Response Office to access their specialized supports

Unless required as per limits to confidentiality, the intake coordinator will not:

• Discuss your concerns with anyone outside an intake office
• Move forward with your complaint unless directed to do so by you

In addition to the same steps completed by the intake coordinator, the director of ORCCA will also:

• Consider if the matter could be resolved informally through early intervention or alternate dispute resolution, when appropriate
• Determine if a complaint falls within the scope of the policy
• Consult with the Sexual Violence Prevention and Response Office to determine if a complaint may warrant an investigation, in which case they can convene the response team (comprised of representation from appropriate intake offices)

The response team may consult and review the information raised in the complaint and help formulate a recommendation, which will be provided to the decision-maker.

The decision-makers for intake and investigations are:

• Assistant vice-president and chief human resources officer for staff respondents
• Associate vice-president (students and learning) and dean of students for student respondents
• Executive vice-dean and associate vice-president (academic) for faculty respondents in the Faculty of Health Sciences (FHS)
• Provost and vice-president (academic) for non-FHS faculty respondents

Note: more than one decision-maker may be involved in cases where a respondent has multiple roles (e.g., student who is also a staff member).

Domain 1: Professional Responsibility, Integrity and Accountability

Learners demonstrate this domain by fulfilling responsibilities reliably and promptly, engaging in ethical practice, representing information accurately and accepts responsibility for their actions, advocates for the patient/client and profession rather than prompting self-interest

Domain 2: Self-Improvement and Pursuit of Excellence

Learners demonstrate this domain by recognizing and acknowledging their own limitations or difficulties, responding reasonably and responsibly to feedback, being motivated by self-improvement, seeking out ways to improve weaknesses and adapting to changing circumstances to achieve excellence.

Domain 3: Respectful Professional Relationships and Communication

Learners demonstrate this domain by using respectful language, maintaining appropriate boundaries, demonstrating cultural sensitivity, remaining open to the impact of self on others and demonstrating empathy and compassion.

The Office of Respectful Conduct in Clinical and Academic Environments (ORCCA) aims to address concerns in a way that helps the learner approach them in a reflective manner, enabling the learner to grow personally and professionally from the experience. We acknowledge that mistakes happen and that they can be powerful learning opportunities.

There may be instances when a formal breach process is required. In these instances, information should be provided in writing to the program’s assistant dean, their delegate or ORCCA. Once received, the complainant and respondent will be contacted confidentially. The matter will be investigated while each party has an opportunity to provide information about the events that transpired.

Once the investigation is complete, the information is provided to the program’s assistant dean. If the program’s assistant dean believes a breach has occurred, they will form a panel to draft a confidential summary of the matter and include a proposed outcome with a remediation plan remediation. This information is provided to the chair of the professionalism work group. Recommendations and outcomes of the work group committee should be consistent with the McMaster University Student Code of Conduct for non-academic offences (PDF).

The information above outlines the process at a high-level. For detailed information, please refer to the Professional Behaviour Code of Conduct for Graduate Learners – Faculty of Health Sciences (PDF) or the Professional Behaviour Code of Conduct for Undergraduate Learners – Faculty of Health Sciences (PDF).

ORCCA recognizes the importance of confidentiality for the individuals coming forward with concerns to our office and the individual who is the subject of the concerns. ORCCA will ensure the confidentiality of both parties to the extent permitted by our legal obligations and university policy.

Circumstances where ORCCA staff may be required to release information include:

• We have concerns that you may be at risk of harming yourself or others
• There are reasonable grounds to be concerned about future risk of violence or safety of the university or broader community
• When disclosure is required by law, e.g., suspected abuse of someone under the age of 16, reports of intimate partner/domestic violence or to comply with the Occupational Health and Safety Act (OHSA)
• We become aware of harassment, bullying, sexual violence or other forms of violence, including domestic violence that is occurring or has the risk of occurring in the workplace
• Information about an incident is available in the public realm, e.g., if there is information publicly posted on social media about an incident of sexual violence, discrimination or harassment connected to McMaster University
• There are reporting requirements of a relevant regulatory or professional licensing body, e.g., if a licensed professional, such as a health care practitioner or special constable, is alleged to have engaged in misconduct
• McMaster University is subject to legal proceedings that require the disclosure of information

ORCCA abides and adheres to all legal reporting requirements. We can also serve the FHS community by advising on when those requirements may come into effect.

Reporting requirements to health professionals regulatory bodies are found in the Regulated Health Professions Act.