Work Place Harassment and Violence Prevention Regulations (SOR/2020-130)

Response to Notice of an Occurrence

Marginal note:Contact with principal party

20 An employer or designated recipient must, within seven days after the day on which notice of an occurrence is provided, contact the principal party to inform them

• (a) that their notice has been received or that they have been named or identified as the principal party in notice provided by a witness, as the case may be;

• (b) of the manner in which the work place harassment and violence prevention policy is accessed;

• (c) of each step of the resolution process; and

• (d) that they may be represented during the resolution process.

Marginal note:Contact with witness

21 If notice of an occurrence is provided by a witness who is not anonymous, an employer or designated recipient must, within seven days after the day on which the notice is provided, contact the witness to confirm that notice was received.

Marginal note:Contact with responding party

22 On the first occasion that an employer or designated recipient contacts the responding party regarding the occurrence, they must inform them

• (a) that they have been named or identified as the responding party in the notice of an occurrence;

• (b) of the manner in which the work place harassment and violence prevention policy is accessed;

• (c) of each step of the resolution process; and

• (d) that they may be represented during the resolution process.

Negotiated Resolution

Marginal note:Reasonable effort

• 23 (1) An employer or designated recipient, the principal party and, if contacted under section 22, the responding party, must make every reasonable effort to resolve an occurrence for which notice is provided under subsection 15(1) and those efforts must begin no later than 45 days after the day on which that notice is provided. However, if the occurrence is also investigated, it cannot be resolved under this section after the investigator has provided their report under subsection 30(1).

• Marginal note:Review required

  (2) For the purposes of subsection (1), the reasonable effort includes a review by the principal party and the employer or designated recipient to determine whether the notice of occurrence provided under subsection 15(1) describes an action, conduct or comment that constitutes harassment and violence as defined in subsection 122(1) of the Act.

• Marginal note:Joint determination — harassment and violence

  (3) For the purpose of subsection (1), resolution of the occurrence includes, but is not limited to, a joint determination by the principal party and the employer or designated recipient that the notice of occurrence provided under subsection 15(1) does not describe an action, conduct or comment that constitutes harassment and violence as defined in subsection 122(1) of the Act.

Conciliation

Marginal note:Conditions

24 The principal party and the responding party may attempt to resolve an occurrence for which notice is provided under subsection 15(1) by conciliation if they agree to conciliation and on a person to facilitate it. However, if the occurrence is also investigated, it cannot be resolved by conciliation after the investigator has provided their report under subsection 30(1).

Investigation

Marginal note:When investigation is required

• 25 (1) Subject to subsection (2), if an occurrence is not resolved under section 23 or 24, an investigation of the occurrence must be carried out if the principal party requests it.

• Marginal note:Investigation discontinued

  (2) If the occurrence being investigated is resolved under section 23 or 24 before the investigator has provided their report under subsection 30(1), the investigation must be discontinued.

Marginal note:Notice of investigation

26 An employer or the designated recipient must provide the principal party and the responding party with notice that an investigation is to be carried out.

Marginal note:Selection of investigator

• 27 (1) Subject to subsection (2), an employer or designated recipient must select one of the following persons to act as the investigator:

  • (a) in the case where the employer and the applicable partner have jointly developed or identified a list of persons who may act as an investigator, a person from that list; and

  • (b) in any other case,

    • (i) a person that is agreed to by the employer or designated recipient, the principal party and the responding party, or

    • (ii) if there is no agreement within 60 days after the day on which the notice is provided under section 26, a person from among those whom the Canadian Centre for Occupational Health and Safety identifies as having the knowledge, training and experience referred to in subsection 28(1).

• Marginal note:Limit

  (2) An employer or designated recipient may select a person to act as the investigator only if the person

  • (a) possesses the knowledge, training and experience referred to in subsection 28(1); and

  • (b) provides the employer or designated recipient, principal party and responding party with a written statement indicating that the person is not in a conflict of interest in respect of the occurrence.

Marginal note:Investigator’s qualifications

• 28 (1) For the purposes of these Regulations, an investigator must

  • (a) be trained in investigative techniques;

  • (b) have knowledge, training and experience that are relevant to harassment and violence in the work place; and

  • (c) have knowledge of the Act, the Canadian Human Rights Act and any other legislation that is relevant to harassment and violence in the work place.

• Marginal note:Statement of qualifications

  (2) A person or party referred to in subparagraph 27(1)(b)(i) who proposes that a person act as the investigator must provide the other persons and parties referred to in that subparagraph with the following information about the proposed investigator:

  • (a) their name;

  • (b) if they are an employee of the employer, their job title and the name of their immediate supervisor;

  • (c) a description of their knowledge, training and experience demonstrating that they meet the requirements of subsection (1); and

  • (d) a description of any experience that they have which is relevant to the nature of the occurrence that is to be investigated.

Marginal note:Information for investigator

29 An employer or the designated recipient must provide the investigator with all information that is relevant to the investigation.

Marginal note:Investigator’s report

• 30 (1) An investigator’s report regarding an occurrence must set out the following information:

  • (a) a general description of the occurrence;

  • (b) their conclusions, including those related to the circumstances in the work place that contributed to the occurrence; and

  • (c) their recommendations to eliminate or minimize the risk of a similar occurrence.

• Marginal note:Identity of persons

  (2) An 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 these Regulations.

• Marginal note:Copies of report

  (3) An employer must provide a copy of the investigator’s report to the principal party, responding party, the work place committee or health and safety representative and, if they were provided with notice under subsection 15(1), the designated recipient.

Implementation of Recommendations

Marginal note:Joint determination

• 31 (1) An employer and the work place committee or the health and safety representative must jointly determine which of the recommendations set out in the report are to be implemented.

• Marginal note:Implementation

  (2) The employer must implement all recommendations that are determined under subsection (1).

Completion of Resolution Process

Marginal note:Completion of process

32 The resolution process for an occurrence is completed when

• (a) if a work place assessment is required under subsection 6(1), the review and, if necessary, update of the assessment are carried out;

• (b) the occurrence is resolved under subsection 19(2) or under section 23 or 24;

• (c) if an investigator has provided a report in accordance with subsection 30(1), the employer implements the recommendations referred to in subsection 31(2).

Marginal note:Time limit

• 33 (1) Subject to subsection (2), an employer must ensure that the resolution process is completed within one year after the day on which notice of the occurrence is provided under subsection 15(1).

• Marginal note:Temporary absence

  (2) If the principal party or responding party is temporarily absent from work for more than 90 consecutive days after the day on which notice of the occurrence is provided under subsection 15(1), the employer must ensure that the resolution process is completed within the later of

  • (a) one year after the day on which notice of the occurrence is provided under subsection 15(1), and

  • (b) six months after the day on which the party returns to work.

Marginal note:Monthly status updates

34 For every occurrence for which notice is provided under subsection 15(1), an employer or designated recipient must provide monthly updates regarding the status of the resolution process to

• (a) the principal party, beginning on the first month after the month in which the notice is provided and ending on the month in which the resolution process is completed; and

• (b) the responding party, beginning on the first month after the month in which the responding party is first contacted by the employer or designated recipient concerning the occurrence and ending on the month in which the resolution process is completed.

Records and Reports

Health and Safety Records

Marginal note:Records to be kept

• 35 (1) An employer must keep the following health and safety records:

  • (a) the work place harassment and violence prevention policy;

  • (b) a copy of the documents that form part of the work place assessment;

  • (c) a copy of the documents that form part of each review and update of the work place assessment;

  • (d) for each instance where the employer and the policy committee, the work place committee or the health and safety representative are unable to agree on a matter that is required by these Regulations to be jointly done by them, a record of the employer’s decision in that matter and the reasons for that decision;

  • (e) a record of each notice provided under subsection 15(1) and of each action taken in response to the notice;

  • (f) for each instance where a time limit set out in section 33 is not met, a document that sets out the reason for the delay;

  • (g) a copy of each report that is prepared by an investigator under subsection 30(1);

  • (h) a copy of each annual report; and

  • (i) a copy of each fatality report provided under subsection 37(1).

• Marginal note:Time period

  (2) An employer must keep the records referred to in paragraphs (1)(c) to (i) for a period of 10 years.

Annual Report to Head of Compliance and Enforcement

Marginal note:Content

36 On or before March 1 of each year, an employer must provide the Head of Compliance and Enforcement with an annual report that sets out

• (a) their name or business name;

• (b) their business number, as defined in subsection 248(1) of the Income Tax Act;

• (c) the name of a person who can be contacted in respect of the report; and

• (d) the following information respecting the occurrences for which notice was provided under subsection 15(1) in the preceding calendar year:

  • (i) the total number of occurrences,

  • (ii) the number of occurrences that were related, respectively, to sexual harassment and violence and non-sexual harassment and violence,

  • (iii) the number of occurrences that resulted in the death of an employee,

  • (iv) if known, the number of occurrences that fell under each prohibited ground of discrimination set out in subsection 3(1) of the Canadian Human Rights Act,

  • (v) the locations where the occurrences took place, specifying the total number of occurrences that took place in each location,

  • (vi) the types of professional relationships that existed between the principal and responding parties, specifying the total number for each type,

  • (vii) the means set out in section 32 by which resolution processes were completed and, for each of those means, the number of occurrences involved, and

  • (viii) the average time, expressed in months, that it took to complete the resolution process for an occurrence.

Fatality Report

Marginal note:Time period

• 37 (1) If an occurrence results in the death of an employee, an employer must report the occurrence to the Head of Compliance and Enforcement within 24 hours after becoming aware of the employee’s death.

• Marginal note:Content

  (2) The report must set out the following information:

  • (a) the employer’s name or business name;

  • (b) the employer’s business number, as defined in subsection 248(1) of the Income Tax Act;

  • (c) a general description of the occurrence;

  • (d) the date and time of the occurrence; and

  • (e) the name of a person who can be contacted in respect of the report.

Consequential Amendments

Canada Labour Standards Regulations

38 [Amendments]

Canada Occupational Health and Safety Regulations

Amendments

39 [Amendments]

40 [Amendments]

41 [Amendments]

Transitional Provision

42 Sections 20.1, 20.2 and 20.9 of the Canada Occupational Health and Safety Regulations, as they read immediately before the day on which the Work Place Harassment and Violence Prevention Regulations come into force, continue to apply to all “work place violence”, as described in section 20.2 of the Canada Occupational Health and Safety Regulations and alleged work place violence, of which the employer becomes aware before the day on which the Work Place Harassment and Violence Prevention Regulations come into force.