By Katie Stargardter
When a workplace complaint arrives, how you document the investigation matters just as much as how you conduct it. At the Human Rights Tribunal, a Ministry of Labour inspection, or in court, your documentation doesn’t just support your case; it is your case.
What Is a Workplace Investigation in Ontario?
A formal process to gather facts about a workplace incident, such as harassment, discrimination, violence, or misconduct, to determine what occurred and what action is warranted. Under Ontario’s Occupational Health and Safety Act (OHSA) and the Ontario Human Rights Code, employers are legally obligated to investigate in many circumstances.
Six Documents Every Investigation Needs
1. Formal Complaint or Incident Report
The starting point for any investigation. This document should capture the date, time, and location of the alleged incident(s), the full names of the complainant, respondent, and any known witnesses, and a description of what is alleged, ideally in the complainant’s own words. Note any immediate safety concerns that require interim measures. This record establishes the scope of what you are investigating.
2. Investigation Plan (Required Under OHSA Best Practices)
Before interviewing anyone, document your plan. This should identify the specific allegations being investigated, the witnesses you intend to interview and in what order, and the timeline for completion. If you are appointing an external investigator, note why, particularly if there is a conflict of interest with internal staff. A written plan demonstrates that the investigation was deliberate and structured.
3. Interview Notes
These are often the most scrutinized documents. Notes must be written immediately, not reconstructed later. Capture as close to verbatim as possible; paraphrasing introduces your interpretation and weakens credibility. Record the date, time, and location of each interview, who was present, and whether the interviewee was advised of the purpose and confidentiality expectations. Where possible, have the interviewee review and sign their notes, or at a minimum, document that the opportunity was offered.
4. Document Evidence Log
Maintain a running list of every piece of evidence you collect or review. This includes emails, text messages, Slack or Teams messages, security footage, building access logs, performance records, and any relevant social media content. For each item, record when it was obtained, from whom, and how it is stored.
5. Written Investigation Report
This is the cornerstone document and the one most likely to be reviewed by a tribunal, arbitrator, or court. A defensible report includes a summary of the background and scope, a neutral account of each party’s evidence, a credibility assessment with explicit reasoning, factual findings on each allegation, and recommendations for remedial action, policy changes, or training. Critically, findings must be based on the evidence, not on the discipline you intend to impose. Write the report before any disciplinary decision is made.
6. Written Outcome to Both Parties
Under OHSA and human rights principles, both the complainant and respondent must be informed of the investigation outcome in writing. The level of detail may vary based on privacy considerations. You are generally not required to share the full report, but both parties are entitled to know whether the complaint was substantiated and what steps are being taken as a result.
Key Takeaways
- Ontario law creates investigation obligations under OHSA and the Human Rights Code.
- Documentation is your defence. A well-conducted investigation means nothing without a paper trail.
- Take notes at the time, not after. Same-day interview notes carry far more weight than reconstructed summaries.
- Close the loop in writing. Notifying both parties of the outcome is not optional under OHSA; skipping this step is one of the most common and costliest procedural errors.
Frequently Asked Questions
Q: Do Ontario employers need to investigate every complaint, even informal ones?
A: Every complaint must be assessed, and that assessment documented. Under OHSA, your process must be “appropriate in the circumstances.”
Q: Can we use the same person to investigate and decide on discipline?
A: It’s strongly advisable to separate these roles. Blending them (especially in serious cases) creates a perception of bias frequently criticized in arbitration and human rights proceedings.
Q: How long do we need to keep investigation records?
A: Best practice under Ontario’s Limitations Act is a minimum of seven years. Retain indefinitely if litigation is ongoing or anticipated.
Need Support with a Workplace Investigation in Ontario?
If you’re dealing with a complaint, unsure how to document your process, or concerned about legal risk, it’s important to get it right early.
Pivot HR Services supports Ontario employers with:
- Neutral, independent workplace investigations
- Legally defensible documentation and reporting
- Practical guidance aligned with OHSA and human rights requirements
We also offer a complimentary consultation to help you assess your situation and next steps. Contact us today to speak with our experienced HR consultant.