1. If no informal resolution is attempted or no satisfactory informal resolution is achieved, the Student(s) may present a formal written Complaint. The Matter of Concern/Complaint Request Form shall be submitted to the Student Services Representative (or delegate), within twelve (12) months of the incident. Events prior to the twelve (12) month period can be referenced if the incident(s) is relevant to the last in a series of incidents. The Complaint shall include the following information: 

1. the particulars of the allegations, including the dates, times and nature of the allegations and the names of any witnesses; and
2. their signature and the date of signing.

1.1. Within ten (10) days of receipt of the Matter of Concern/Complaint Request Form, the Student Services Representative (or delegate), shall review the Complaint in consultation with the Department of Human Resources and/or the Office of Faculty Relations, and proceed in one of the following ways:

1.1.1. Determine whether other University policies, such as the Sexual Harassment and Sexual Assault Policy or Conflict of Interest Policy apply to the Complaint raised by the Student(s). All matters that are sexual in nature must be referred to the Sexual Harassment Advisor. If the Sexual Harassment Advisor believes, after consultation with relevant parties, that a Complaint based on sex, sexual orientation, gender identity or gender expression would be better handled under this Procedure, the Sexual Harassment Advisor will so advise the appropriate Associate Director (or delegate).

1.1.2. Discuss with the Complainant whether the Complaint would be more appropriately addressed with an informal resolution (see section 5 of this document).

1.1.3. May decide not to proceed if it is their opinion that the Complaint:

1. is not within the jurisdiction of the Respectful Learning Environment Policy and Procedure;
2. is frivolous and/or vexatious or made in retaliation;
3. is made outside the prescribed time limits;
4. the matter is one which is best addressed under the informal resolution procedure including conflict coaching, facilitated dialogue, restorative justice or mediation; or
5. is being or has been appropriately and adequately addressed by a grievance under a collective agreement, another Complaints process, or the Newfoundland and Labrador Human Rights process or some other legal, academic or administrative process. In some circumstances, the decision may be made to hold the complaint in abeyance pending the outcome of another process.

1.1.4. May decide to proceed with a formal Complaint.

2. If the decision is made not to proceed with the formal process, the Associate Director of Faculty Relations (or delegate) or the Associate Director of Human Resources (or delegate), will notify the Complainant and Respondent in writing within ten (10) days with the grounds for the decision.

3. In the case of formal Complaints against Associate Vice-Presidents, Vice- Presidents and/or the President, the matter shall be referred to the person to whom the Respondent reports, who in the case of the Associate Vice-Presidents is the applicable Vice-President, in the case of the Vice-Presidents is the President and in the case of the President is the Chair of the Board of Regents. A similar process that follows the steps, as outlined above, shall be invoked for formal Complaints against these persons.

4. If the decision has been made to proceed with the formal Complaint, interim measures may be imposed or continued in accordance with section 8 of the Policy.

4.1. In the case of a Complaint about an employee who is teaching or supervising the student(s), the name of the student will not be disclosed to the employee until after grades are submitted or supervision for that semester is completed. The student should be aware that, in some cases, this may delay the investigation of the Complaint. In the case of a Complaint by a graduate student about a supervisor of work that extends beyond the end of a semester, the vice-president and the dean, school of graduate studies on the St. John’s campus or the associate vice- president research and graduate studies at the Grenfell Campus, in consultation with the appropriate dean, will make their best efforts to find a new supervisor if that is the student's wish. In any case, where the Complaint is about an employee who is teaching or supervising the student, the student's identity will be made known to the person complained about no earlier than the date that final grades are submitted, unless authorized by the Student(s) in writing.

5. The Head of Campus will be notified of the Complaint. Within ten (10) days of the determination to proceed with the formal Procedure, the Associate Director of Faculty Relations (or delegate) or the Associate Director of Human Resources (or delegate), or Head of Campus will deliver the information below o the Respondent and notify the Complainant of the decision to proceed.

1. a copy of the Complaint Form;
2. a copy of the Respectful Learning Environment Policy and Procedure;
3. written notice of the Complaint, and appropriate contact information with respect to the Policy and Procedures;
4. written notice that the Respondent may respond in writing within (5) five days of receiving the Complaint and that a copy of any response will be provided to the Complainant and the Head of Campus (or delegate).
5. written notice of any interim measures imposed, where applicable. Best efforts will be made, where circumstances permit, to ensure that the Complainant and the Respondent are provided with notice in the same manner and at approximately the same time.

The Head of Campus may consult with the Associate Director, Faculty Relations (or delegate) when academic staff members are involved, or the Associate Director, Human Resources (or delegate) when administrative staff are involved and adhere to any applicable requirements of the relevant Collective Agreement or the Terms and Conditions for Instructors or of the Terms and Conditions of Employment for Non- Bargaining Unit Employees, as the case may be.

6. The Head of Campus will appoint an Investigator.

7. If the Head of Campus (or delegate) is unable to deal with the Complaint for whatever reason, they shall delegate the Complaints process as appropriate.

8. The Investigator may be internal or external to the University. Any person who has been involved in the Complaint shall not be the Investigator. No person shall be selected as the Investigator where there is a real or perceived conflict of interest or reasonable apprehension of bias.

9. During meetings/interviews held throughout the Investigation, the Complainant and/or the Respondent may be accompanied by a Support person. Any accompanying persons must abide by the provisions of confidentiality as outlined in section 7 of the policy. Support Persons are not permitted to speak on behalf of the Complainant or Respondent, except as permitted by relevant Collective Agreements. The Respondent and Complainant must inform the Investigator of the identity of the Support Person at least two (2) days before the first scheduled meeting/interview. Failure to notify of the name of the support person may result in the meeting being delayed or rescheduled.

10. There may be circumstances where the Complainant and the Respondent agree, even after the filing of a formal Complaint, to pursue an informal resolution without proceeding to an investigation. Such a decision would require written agreement from both the Complainant and Respondent to the Head of Campus (or delegate).

11. The Respondent may decide whether or not to participate in any investigation. However, the investigation process and disposition of a Complaint under these Procedures shall continue in the absence of such participation by the Respondent. In extenuating circumstances, extensions of time may be considered.

12. The Investigator will undertake an investigation and submit a written Investigative Report within forty (40) days from the date the Respondent received a copy of the Complaint. The Investigative Report is provided to the Head of Campus who initiated the investigation, who within five (5) days will provide copies to the Complainant and to the Respondent. With the exception of faculty covered by the MUNFA Collective Agreement, these timelines may be extended.

13. The Investigative Report is confidential to those involved in the process and shall not be communicated verbally, duplicated, or circulated to others, other than by the Complainant and the Respondent to their appointed representatives. The Complainant and the Respondent may discuss the report with their Support Person and allow the Support Person to review the Report. However, they must not deliver, transmit or provide a copy of the report to the Support Person. Failure to comply may result in disciplinary action.

14. The Complainant and Respondent may choose to respond to the Investigative Report, in writing. The response must be confined to responding to the contents of the report (not raising new issues) and be submitted to the Head of Campus (or delegate), within five (5) days of receiving the report.

15. The Head of Campus shall decide whether or not a violation of the policy has occurred and whether remedial or disciplinary action will be imposed. They may consult with the applicable individuals, as appropriate, such as the Administrative Head (e.g. discipline chair; associate dean; supervisor) the Office of Faculty Relations, the Department of Human Resources, and General/Legal Counsel, before imposing remedial or disciplinary action. Following the principles of progressive discipline, the factors that will be discussed during the consultation will include, but are not limited to:

1. the nature and severity of the behaviour;
2. the effect(s) of the conduct or comments on the Complainant;
3. whether the offence was an isolated incident or involved repeated acts;
4. the duration of the behaviour;
5. whether there was an imbalance in power between the individuals;
6. any record of discipline for the Respondent in relation to similar behaviour;
7. sanctions applied in similar cases;
8. mitigating or aggravating circumstances affecting either party; and/or
9. the potential risk to the well-being, safety and security of Members of the University Community.

Any imposed discipline/action will be taken in accordance with the Guide for Non- Bargaining, Management and Professional, and Senior Administrative Management Employees, Student Code of Conduct, applicable collective agreements or, for persons not covered by one of the above, the applicable contractual provisions. If found in violation, any sanctions would be kept confidential and not shared with the Complainant.

16. Within an additional five (5) days of receiving the Complainant’s and Respondent’s responses to the Investigative Report or within ten (10) days of the Complainant and Respondent receipt of the Investigative Report, whichever is earlier, the Head of Campus (or delegate) shall determine whether there has been a violation of the Policy and provide, by a means through which proof of delivery can be obtained to:

1. the Complainant with a written decision which will include whether or not action will be taken;
2. the Respondent with the written decision which will include whether any action will be taken and the nature of any discipline/action to be imposed.

17. If the Head of Campus decides not to take action against the Respondent they shall include reasons for this decision in their communication to the Respondent and Complainant. In these circumstances, all materials related to the Complaint shall be removed from the Respondent’s personnel file in accordance with Memorial’s Information Management Policy, Memorial’s Privacy Policy and privacy legislation.