Policy 2.07 - Investigation Procedure
2.07.01 Purpose
The purpose of this policy is to support Sarnia Hockey Association’s (SHA) commitment to a safe and respectful hockey environment as well as establish a clear and transparent process for investigating complaints related to maltreatment or misconduct within SHA. This procedure ensures that all reports are handled fairly, consistently, and maintain compliance with the Ontario Hockey Federation (OHF), Hockey Canada (HC), and applicable legal requirements. The policy aims to:
a) Protect the rights of all parties involved in an investigation.
b) Ensure a thorough, unbiased, and timely investigation process.
c) Provide appropriate sanctions and educational measures when necessary.
d) Ensure the integrity of the complaint/resolution process is maintained and the process is used as a shield, not as a weapon of intimidation or reprisal
2.07.02 Scope
This investigation procedure applies to all SHA members, including but not limited to players, team officials, volunteers, parents, directors, officers and when applicable SHA Game Officials. SHA will only investigate matters within its jurisdiction (SHA Policy and Code of Conduct) or when assistance is requested by ALLIANCE or OHF. This policy only covers “MALTREATMENT” & “MISCONDUCT investigations:
a) Maltreatment Investigations: Allegations related to discrimination, harassment, bullying, abuse, or other forms of maltreatment as defined by Hockey Canada and OHF policies.
b) Misconduct Investigations: Allegations related to policy or code violations, unsportsmanlike conduct, and inappropriate behaviour that do not meet the threshold for maltreatment but still require review.
c) Dispute Investigations: This policy and procedure shall not be used in any disputes relating to disagreements, team level conflict, games or officiating complaints that fall under another jurisdiction
d) Legal Investigations: This policy and procedure shall not be used in any investigation requiring the intervention of law enforcement or legal professionals
2.07.03 Definitions
a) Maltreatment: Refer to HC Maltreatment Policy and OHF Universal Code of Conduct - Any conduct that targets an individual or group based on race, ethnicity, gender, sexual orientation, disability, religion, or other protected characteristics. This includes, but is not limited to:
i) Racial or discriminatory slurs
ii) Threatening, intimidating, or abusive behaviour
iii) Physical, verbal, or emotional abuse
iv) Harassment or bullying (in-person or online)
b) Misconduct: Any serious violation of SHA’s rules, policies, or the spirit of fair play that does not constitute maltreatment. Examples include:
i) Verbal altercations with players, coaches, or officials
ii) Tampering
iii) Unsportsmanlike conduct before, during or after a game that is not addressed by HC Rule 11
iv) Pre/Post Game or Off-Ice abuse of game officials
v) Wilful attempt to damage or destruction of SHA/City of Sarnia equipment, properties or facilities
vi) Violations of safety rules or neglect of duties related to minors
c) Dispute: A dispute is either a minor rule violation or a disagreement between parties regarding an issue and does not fall under maltreatment or misconduct. Examples include:
i) Ice time complaints
ii) Inappropriate language (not harassing or discriminatory)
iii) Displeasure with coaching performance or disagreement with coaching philosophy
iv) Unsportsmanlike conduct before, during or after a game that was or can be addressed with HC Rule 11
v) Non-malicious, inaccurate or improper record keeping (Team or League level)
d) Complainant: The individual(s) who files a formal complaint alleging maltreatment or misconduct. This may be a player, coach, parent, official, or other SHA member.
e) Respondent: The individual(s) accused of committing maltreatment or misconduct. Respondents have the right to provide a defence and participate in the investigation process.
f) Witness: Any individual who directly observed or has relevant information regarding the incident
g) SHA Discipline Panel: A group assembled by the Executive Committee responsible for reviewing complaints, conducting investigations, and determining appropriate actions based on findings.
h) Jurisdiction: Refers to the authority and responsibility of SHA to investigate, enforce, and make decisions on specific matters. In that context, jurisdiction determines whether SHA has the right to handle a complaint or whether it should be referred to another governing body or authority
i) Balance of Probabilities: The standard of proof used in SHA investigations. A decision is based on whether it is more likely than not that the alleged conduct occurred.
j) False Accusation: A false accusation occurs when a complainant knowingly provides untrue, misleading, or fabricated information against another individual with the intent to cause harm
k) Team Officials: A Team Official is any individual registered with a team in an official capacity and responsible for the management, coaching, safety, or administration of the team. These individuals must be registered with SHA and be properly certified per Alliance or OHF standards. All Team Officials must adhere to HC, OHF, ALLIANCE and rules and regulations.
l) Game Officials: Game Officials are individuals responsible for enforcing the rules of hockey, ensuring fair play, and maintaining the integrity of the game. They are categorized as follows:
i) Non-SHA On-Ice Officials: Non-SHA On-Ice Officials are referees and lines persons who are not registered with the SHA but officiate SHA-sanctioned games (Rep, Select & U18/21 Rec). These officials are governed by external officiating bodies, such as:
1) Alliance Hockey Officiating Program (AHOP)
2) Bluewater Referees Association (BRA); or
3) Other Ontario Hockey Federation (OHF) Member Partner
ii) SHA On-Ice Officials: SHA On-Ice Officials are referees and lines persons registered with the SHA Officiating Program and assigned to SHA-sanctioned games.(U6-U15 Rec) These officials have:
1) Completed AHOP and Hockey Canada certification requirements; and
2) Officiate Recreational (House League) games within SHA’s jurisdiction.
iii) SHA Off-Ice Officials: SHA Off-Ice Officials are individuals responsible for game operations outside of direct on-ice rule enforcement. These officials include:
1) Timekeepers: Operate the game clock and maintain official time records.
2) Scorekeepers: Record game statistics, goals, assists, and penalties.; and
3) Penalty Box Attendants: Manage penalty timekeeping and assist game officials.
2.07.04 Principles and Commitment: SHA is committed to the following investigative principles:
a) Confidentiality: Confidentiality is essential to ensure a safe and unbiased investigation process. SHA recognizes that sensitive information is involved in maltreatment and misconduct cases, and it is our responsibility to protect the privacy of all parties involved, especially minors
b) Fairness: SHA believes that all investigations must be conducted with impartiality and due process. Both the complainant and respondent deserve a thorough and unbiased review, ensuring that no individual is pre-judged or unfairly treated
c) Accountability: Accountability ensures that SHA maintains transparency and integrity in its investigation process. Players, coaches, officials, and volunteers must be held responsible for their actions, and SHA must ensure that disciplinary measures are appropriate and enforceable
d) Record Keeping: Accurate record-keeping is essential to maintaining organizational integrity, tracking disciplinary history, and ensuring consistency in decision-making. SHA recognizes the importance of documenting investigations properly to protect all parties involved and provide transparency for future reference
2.07.05 Investigation Procedures
a) Dispute Investigations: Any complaint deemed to be a dispute shall be returned to the complainant with adequate guidance on how to proceed or can be forwarded to the proper authority
i) Complaints about Team Officials should be sent to respective VP/Directors
ii) Complaints about SHA Game Officials should be sent to the SHA Referee Assignor
iii) Complaints about Non-SHA Game Officials should be sent to the appropriate member partner (typically ALLIANCE)
b) Maltreatment Investigations:
i) Complaint Intake & Preliminary Review:
1) Maltreatment complaints must be submitted in writing to HC ITP/Safe Sport. This will ensure the incident is registered and given an ID (e.g., HC25-001).
2) If the complaint is provided to SHA as determined through HC, OHF and ALLIANCE screening, SHA will assess the jurisdiction, severity, and supporting evidence provided
3) The SHA President shall initiate a formal investigation, assign the complaint to an investigative authority; and
4) The SHA President may issue an indefinite suspension pending investigation if participant wellbeing or safety is at risk
ii) Notification: Both the Complainant and Respondent will be notified within 7 Days of receipt and asked to provide additional details (Response) including a witness list if applicable.
1) The complainant and/or their guardian (if a minor) will be notified of the investigation
2) The respondent and/or their guardian (if a minor) will be notified of the complaint and investigation
3) The timeline for the investigation will be established and a deadline to respond will be provided.
4) A redacted version of the complaint will be provided to protect the identity of minors or if the complainant requests anonymity
iii) Evidence Collection:
1) Documents/Records: Statements, game footage, reports and prior records can be requested for review
2) Interviews: Interviews can be conducted with complainant, respondent, and witnesses. Refer to 2.07.08 - Interviews and Witnesses
3) Investigation Tools: SHA Investigators are permitted to use support applications, analytical applications and data collection tools to conduct investigations. Any cost incurred shall be the responsibility of SHA. Refer to Policy 2.01 - Purchasing Procedures
iv) Findings: Findings will be summarized on a final report to the SHA President by the investigator. All records, minutes and transcripts will be attached to the summary
v) Decision: Any final review and decisions will be made by the SHA President, their delegate and/or Panel in accordance with Policy 1.05. Refer to Appendix 2.07B Standards of Probability and Appendix 2.07C Standards of Disciplinary Action
1) SHA can impose applicable disciplinary actions on its members in all cases
vi) Reporting/Follow-up: If applicable the SHA President will provide a follow-up or report to the appropriate authority or governing body
vii) Appeal Process: The Complainant or Respondent can submit to appeal any decision by SHA to the respective Alliance Region VP
c) Misconduct Investigations [Refer to 3.07.06(b)(iii)]
i) Complaint or Grievance Intake & Preliminary Review:
1) Complaints must be submitted in writing to the SHA President and SHA First Vice President (or designate)(2 Deep Policy) ideally within 7 days of the incident
2) SHA will assess the jurisdiction, severity, supporting evidence, and create an incident ID (e.g., SHA25-001)
3) The SHA President or Category VP may issue an indefinite suspension pending investigation if participant wellbeing or safety is at risk
4) The SHA President can initiate a formal investigation and assign the complaint to an investigative authority; or
5) The SHA President can provide the complaint to the respective Category VP for documented resolution rather than formal investigation
ii) Notification: Both the Complainant and Respondent will be notified within 72 hrs of receipt and can be asked to provide additional details (Response) including a witness list if applicable. A redacted version (protection of minors) of the complaint can be provided
1) The complainant and/or their guardian (if a minor) will be notified of the investigation
2) The respondent and/or their guardian (if a minor) will be notified of the complaint and investigation.
3) The timeline for the investigation will be established and a deadline to respond will be provided
iii) Evidence Collection:
1) Documents/Records: Statements, game footage, reports and prior records can be requested for review
2) Interviews: Interviews can be conducted with complainant, respondent, and witnesses. Refer to 2.07.08 - Interviews and Witnesses
3) Investigation Tools: SHA Investigators are permitted to use support applications, analytical applications and data collection tools to conduct investigations. Any cost incurred shall be the responsibility of SHA. Refer to Policy 2.01 - Purchasing Procedures
d) Findings: Findings will be summarized on a final report to the SHA President by the investigator. All records, minutes and transcripts will be attached to the summary
e) Decision: Any final review and decisions will be made by the SHA President, their delegate and/or Panel in accordance with Policy 1.05. Refer to Appendix 2.07B Standards of Probability and Appendix 2.07C Standards of Disciplinary Action
i) SHA can impose applicable disciplinary actions on its members in all cases:
1) Minor offenses: written warning and/or 1-3 game suspension
2) Moderate offenses: warnings, intervention and/or 3-5 game suspension
3) Severe offenses: 5+ game suspension and/or referral to ALLIANCE/OHF
f) Reporting/Follow-up: The SHA First VP will record and hold all applicable information for a minimum of 7 seasons.
g) Appeal Process: The Complainant or Respondent can submit to appeal any decision by SHA to the respective Alliance Region VP
2.07.06 - Dismissal of Complaints and False Accusations:
a) A complaint may be dismissed at any stage of the investigation under the following conditions:
i) Insufficient Evidence: If, after an initial review, there is no credible supporting evidence (e.g., no witnesses, no corroboration, no video/audio proof), SHA may dismiss the complaint.
ii) Low Probability: If the investigation is unable to determine whether the alleged conduct occurred based on the balance of probabilities, the case may be closed without further action
iii) Lack of Jurisdiction: If the complaint does not fall under SHA’s Authority (e.g., officiating disputes, matters under Alliance Hockey or OHF jurisdiction), SHA will dismiss the case and redirect the complainant to the appropriate governing body.
iv) Complaint Withdrawn: If the complainant chooses to withdraw the complaint before the investigation is completed, the complaint may be dismissed unless SHA determines the issue requires further review for safety reasons
b) A complaint may be dismissed during an investigation if:
i) Complaint Filed in Bad Faith: If evidence suggests the complaint was made with the intent to mislead, harass, or retaliate against another individual, SHA may dismiss the complaint and take action against the complainant
ii) Frivolous or Vexatious Complaints: A complaint may be dismissed if it is determined to be repetitive, baseless, or intended to cause unnecessary disruption to SHA operations
c) Notification of Dismissal: If a complaint is dismissed, the applicable parties will receive a written notice explaining the reason for dismissal
i) The complainant and/or their guardian (if a minor) will be notified and provided an explanation
ii) The respondent and/or their guardian (if a minor) will be notified and advised if the complaint was dismissed under 2.07.06(b)
iii) Appeal Process: The Complainant or Respondent can submit to appeal any decision by SHA to the respective Alliance Region VP
d) Protecting Against Retaliation: SHA recognizes that not all dismissed complaints are false accusations and will ensure that complainants are not punished or retaliated against if they file a complaint in good faith, even if the case is dismissed. This includes any complaint dismissed under 2.07.06(a)
e) Consequences for False Accusations: If SHA determines that a complaint was deliberately false and was dismissed under 2.07.06(b), possible sanctions include:
i) Written Warning: A written warning can be issued to the complainant.
ii) Suspension: The complainant may face a suspension
iii) Referral to Safesport: For severe cases, SHA may recommend the respondent file a maltreatment complaint to SAFESPORT for further review
2.07.07 - Jurisdiction: Having clear jurisdictional boundaries in Policy 2.07 ensures:
a) Complaints are handled by the correct authority.
b) SHA avoids overstepping its authority or conflicting with governing bodies.
c) Members understand where to file complaints and what SHA can/cannot address.
d) Investigations follow proper procedures, avoiding delays, confusion, or legal issues.
2.07.08 - Interviews and Witnesses: The interview process is a critical step in SHA’s investigation procedure, maintaining that complaints are handled fairly, impartially, and thoroughly.
a) Interviews are conducted to:
i) Collect first-hand accounts from the complainant, respondent, and witnesses.
ii) Assess credibility and consistency of statements.
iii) Gather supporting details and evidence to assist in the investigation process
b) Preparation & Scheduling: The investigator will:
i) Identify who needs to be interviewed (complainant, respondent, witnesses).
ii) Schedule interviews in a neutral and confidential setting (in-person, phone, or video call).
iii) Provide the interviewee with a brief explanation of the investigation (without revealing sensitive details).
iv) Ensure a second investigator or SHA official is present for accountability (Two-Deep Policy)
c) Documenting & Analysing Statements: Interviews can be recorded as minutes and summarised. All key statements must be accurately recorded and securely stored.
i) The investigator should compare all statements for consistency and identify gaps or discrepancies
ii) If conflicting information arises, follow-up interviews may be required
iii) Statements shall be included in the final investigation report with timestamps as applicable
d) Special Considerations:
i) Minors: If a person under 18 years old is being interviewed, a parent, guardian, or team official must be present.
ii) Anonymous Witnesses: If a witness requests anonymity, their statement can be used without revealing their identity to the respondent.
iii) Non-Cooperation: If an individual refuses to participate, the investigator will proceed with available evidence and document their non-participation
2.07.09 - Responsibilities and Resources:
a) Refer to Appendix 2.07A - Table of Recommended Responsibilities
i) The SHA Executive Committee reserves the right to assign responsibilities under this procedure at their discretion
b) Refer to Appendix 2.07B - Standards of Probability
c) Refer to Appendix 2.07C - Investigation Procedure Workflow
d) Refer to Appendix 2.07D - Guide for Investigators