Staff Report for Committee of the Whole Meeting

Transcription

1 Agenda Item 7 Staff Report for Committee of the Whole Meeting Department: Division: Subject: Office of the Chief Administrative Officer Strategic Initiatives Consideration of a Whistleblower Policy Purpose: To report back on options for the development of a whistleblower policy as requested by Council. Recommendation(s): That staff report SRCAO be received. Contact Person: Tricia Myatt, Manager, Policy and Intergovernmental Affairs, ext Stephen M.A. Huycke, Director, Legislative Services/Town Clerk, ext Andreea Adari, Assistant Town Solicitor, ext Samara Kaplan, Director, Human Resources, ext Submitted by: "Signed version on file in the Office of the Clerk" Gwen Manderson Director, Strategic Initiatives Approved by: "Signed version on file in the Office of the Clerk" Neil Garbe Chief Administrative Officer 127

2 Page 2 Background: At the October 17, 2016 Committee of the Whole meeting and October 24, 2016 Council meeting, Council considered and approved updates to its Accountability and Transparency Policy (see staff report SRCAO link below). pm2/item%2004%20-%20srcao.16.24%20- %20Accountability%20and%20Transparency%20Policy%20Review.pdf At that time, Council passed the following motion: That staff be directed to report back on options for the development of a whistleblower policy for the Town, having regard to provincial legislation providing protection to provincial civil servants. This report responds to this motion. What is a Whistleblower Policy? Whistleblowing refers to the disclosure by a person, usually an employee in a government agency or private enterprise, to the public or to those in authority, of mismanagement, corruption, illegality, or some other wrongdoing. A whistleblower policy is a document that sets out the process for reporting such wrongdoing and provides explicit protections to employees who submit such allegations in good faith from any reprisals by the employer. Wrongdoing generally refers to any illegal or inappropriate actions that are contrary to the public interest and can include: criminal or suspected criminal activity; fraud; theft; intentional or negligent use of public resources; falsification or alteration of corporate records or files; actions that create a danger to public health or safety; misuse of position for personal gain; financial irregularities and breaches of codes of conduct and conflict of interest provisions. A reprisal generally refers to any action taken or threatened as a direct result of disclosing or being suspected of disclosing an allegation of wrongdoing, initiating or cooperating in an investigation into an alleged wrongdoing. It can include: disciplinary measures; demotion, suspension; termination, intimidation or harassment; any punitive measure that adversely affects the employment or working conditions of the employee and directing or counselling someone to commit a reprisal. It should be noted, that a whistleblower policy comes into play if there are no other mechanisms for reporting a wrongdoing. For example, if a potential wrongdoing was covered under provisions of a code of conduct, any investigation would follow the provisions as set out in that code, rather than proceeding through the whistleblower policy. 128

3 Page 3 Federal and Provincial Whistleblower Provisions Both the federal and provincial levels of government have explicit provisions with respect to whistleblowing. The federal government has the Public Servants Disclosure Protection Act (PSDPA). This Act establishes a mechanism for the disclosure of wrongdoing in the federal public service; a process for protecting public servants who disclose wrongdoings; and requires the establishment of a code of conduct for the public sector. It also establishes the Office of the Public Sector Integrity Commissioner. In general, public servants who wish to disclose a potential wrongdoing may report it to their supervisor, to a designated senior officer in their organization or to the Public Sector Integrity Commissioner. When submitting a disclosure to the Commissioner, they must include their name, however, they may name a representative through which all further contact would take place. Following an investigation by the Commissioner, a report is submitted to the chief executive of the federal institution that was the subject of the complaint. If the complaint is found to be justified, the Commissioner must present a report to Parliament setting out their conclusions and recommendations to the chief executive within 60 days of finding that a wrongdoing has occurred. A public servant who commits wrongdoing is subject to disciplinary action, including possible termination of employment. If a public servant who has submitted a complaint believes reprisals have been taken against them, the Commissioner has the power to hear the complaint, conduct investigations and attempt to bring a settlement between the parties. If no agreement is reached, the Commissioner may not impose a settlement on the parties, but can refer the matter to the Public Servants Disclosure Protection Tribunal. This body will rule on the complaint and will decide whether any remedies and disciplinary action are necessary. At the provincial level in Ontario, the Public Service of Ontario Act, 2006 includes provisions related to the disclosure of wrongdoing and reprisals against those who submit such disclosures. It is very similar in its approach to the federal government. A public servant or former public servant may submit a disclosure of wrongdoing to either the ethics executive in their Ministry (the Deputy Minister or designate) or to the Provincial Integrity Commissioner. Complaints submitted anonymously will be considered on a case by case basis and if there is sufficient information to investigate. Regardless of where the disclosure is submitted, an investigation is completed by a senior official within the organization where the wrongdoing has alleged to have taken place, or by the Integrity Commissioner if more appropriate. A report as to whether or not a wrongdoing has taken place is completed and provided to the Ministry where the alleged wrongdoing had occurred. The report will include any recommended actions. If a provincial public servant covered by a collective agreement feels they have suffered reprisals for making a disclosure, they may have their complaint dealt with in accordance with their collective agreement or file a complaint with the Ontario Labour 129

4 Page 4 Relations Board. For public servants not covered by a collective agreement, they may file a complaint with the Public Service Grievance Board or with the Ontario Labour Relations Board. Whatever body that hears the complaint may make an order requiring that specific actions stop, that steps to rectify any harm are taken, to reinstate an employee if terminated and/or to compensate the employee for loss of any remuneration including benefits. Whistleblower Provisions in the Municipal Sector A staff review has identified that the following municipalities within the Greater Toronto and Hamilton Area (GTHA) have some type of documented whistleblower provisions: Halton Region, Hamilton, Mississauga, Oakville, Toronto, Vaughan, and York Region. The following chart highlights the key features of their approaches to whistleblowing provisions. It also identifies Richmond Hill s current provisions which will be discussed in more detail in the following section. Additional details on the benchmarked municipalities may be found in Appendix A to this staff report. Municipality Format of Whistleblower Provisions / Brief Description Application Anonymous Submissions Allowed Responsibility Halton Region Hamilton Mississauga Employee Code of Conduct, May term whistleblower not used - includes process for reporting potential breaches of Code and protections from reprisals - specific reference to fraud which is to be immediately reported to Internal Audit Whistleblower By-law, May includes specific process for reporting wrongdoing and protections from reprisals Whistleblower Program, July staff to report wrongdoing under existing policies - Program is to be used for employees to submit allegation of wrongdoing anonymously where they fear reprisals if they were to use an existing channel - employees Yes - Reporting of complaints through call line to Third Party, who relays to CAO and HR Director - employees No - Director of Audit Services - employees Yes - Reporting of complaints to Third Party - Legal Services Division 130

5 Page 5 Municipality Format of Whistleblower Provisions / Brief Description Application Anonymous Submissions Allowed Responsibility Oakville Toronto Vaughan York Region Ethics and Efficiency Hotline Procedure, as part of Employee Code of Conduct, May term whistleblower not used - procedure includes process for reporting suspected fraud or misconduct through an Ethics and Efficiency Hotline Toronto Public Service By-law, 2007 Policy replaced by By-law in 2014 with updates in process for reporting wrongdoing and protections from reprisals - term whistleblower no longer used Anonymous Reporting System, April term whistleblower not used - process for reporting, anonymously if they choose, suspected fraud and code of conduct violations Employee Code of Conduct, term whistleblower not used - includes process for reporting fraud, theft or breach of trust and protections from reprisals - employees - concerned citizen/ concerned employee hotline available to public Yes -Hotline Team (CAO, Commissioner of Corporate Services, and Director of Internal Audit) determines staff responsibility based on type of report - employees Yes - Auditor General - employees Yes - Reporting of complaints to Third Party - Director of Internal Audit - employees No - Audit Services 131

6 Page 6 Municipality Format of Whistleblower Provisions / Brief Description Application Anonymous Submissions Allowed Responsibility Richmond Hill Employee Code of Conduct, term whistleblower not used - includes process for reporting alleged breaches of the Code and protections from reprisals - employees No - Commissioners, Director of HR and CAO As noted in the chart, a majority of these policies/programs are open to employees to submit disclosures of potential wrongdoing. Four of the seven municipalities reviewed (not including Richmond Hill) have their Audit group play a leadership role in these programs and in conducting investigations. Five of the seven also allow for anonymous reporting, however, it is made clear that if insufficient information is provided, an investigation may not take place as there is no way to obtain follow-up details. In some instances, when an employee submits a disclosure, they are assigned a PIN number so they may remain anonymous, but may track their disclosure and respond to any followup questions that may arise. Three of the seven have provisions relating to whistleblowing as part of their Employee Code of Conduct, without referring to the term whistleblower while two have passed by-laws in this area and the remaining two have programs addressing whistleblowing. Richmond Hill Policies Richmond Hill does not have a specific whistleblower policy. However, the Town has policies in place that address employee behaviour and actions, specifically the Employee Code of Conduct (See Appendix B Richmond Hill Employee Code of Conduct). The Employee Code of Conduct specifically addresses the following issues: conflict of interest; gifts, benefits and hospitality; disclosure and use of confidential information; media relations; use of municipal property; political involvement and activity; concurrent employment; appointment to boards; and use of alcohol, drugs and other substances. In addition, the Code requires that staff comply with all Town Policies and states that, Town employees are also expected to comply with all federal, provincial and municipal legislation as it pertains to the performance of their duties. As a condition of employment with the Town, all employees must sign the Code and agree to comply with the Code. The Code requires that an employee who has reason to believe that another employee is committing a breach of the Code shall bring the matter to the attention of their supervisor, Commissioner, the Director of Human Resources or the CAO in writing and in complete confidence. Any employee who is found to have been in breach of the Code will be subject to disciplinary action up to and including dismissal. The Employee Code of Conduct specifically states that no employee shall be disciplined for making an 132

7 Page 7 allegation regarding the Code of Conduct providing it has been done so in good faith in the opinion of the CAO. The Town s Respect in the Workplace Policy also addresses appropriate conduct in the workplace. It applies to all Town staff and elected officials and is in place to protect employees and members of Council from workplace harassment, workplace sexual harassment, abusive conduct, discrimination or workplace violence. The Policy specifically states that reprisal against a complainant or a witness will be considered a serious violation of this policy and will not be tolerated. Such retaliatory actions may be subject to disciplinary action up to and including dismissal. The Town s Internal Audit program (see staff report SRCAO.16.03) provides a structured approach to review internal Town operations to ensure proper checks and balances are in place. Findings of these reviews are provided to the CAO for action as required. It should be noted that there are separate processes for Council and the community as it relates to complaints. The actions of Council are regulated through various pieces of legislation such as the Municipal Act, the Municipal Elections Act and the Municipal Conflict of Interest Act. In addition, Council has enacted a Council Code of Conduct and appointed an Integrity Commissioner that oversees any potential complaints regarding the actions of members of Council. Residents also have several avenues to submit concerns such as contacting senior management or brining forward a complaint to Council for consideration. As well, if all avenues for bringing forward a complaint have been taken, a complaint may be submitted to the Provincial Ombudsman for review. Options for Consideration The following are options which may be considered with respect to the development of a whistleblower policy: Option 1: Do not establish a separate whistleblower policy Option 2: Revise Employee Code of Conduct to include more specific whistleblower provisions Option 3: Establish a separate whistleblower policy A more detailed description of each option and pros and cons follows. Option 1: Do Not Establish a Separate Whistleblower Policy Do not establish a whistleblower policy and continue to use existing policies and practices, such as the Employee Code of Conduct, Respect in the Workplace Policy and the Internal Audit function to address whistleblower issues if they arise. Both the Code of Conduct and the Respect in the Workplace Policy contain specific provisions prohibiting reprisals. 133

8 Page 8 Pros: Existing policies reflect expectations for appropriate behaviour and provide mechanisms for reporting and responding in cases where inappropriate actions are witnessed. All staff are aware of their obligations under the Employee Code of Conduct as employees must sign it as a condition of employment. Updated Respect in the Workplace Policy training is being delivered to all staff. Cons: Some employees may not be aware of existing avenues to identify concerns. Not having an explicit policy may be seen to indicate the Town is not being sufficiently transparent. Option 2: Revise Employee Code of Conduct to include Specific Whistleblower Provisions Review and revise the Town s Employee Code of Conduct to set out an explicit process for reporting and responding to concerns related to whistleblowing. For example, this could include a definition of wrongdoing, specific reference to allegations related to fraud, theft and breach of trust, a determination as to whether anonymous submissions would be considered and a more specific process for submitting and responding to complaints related to suspected wrongdoing. Pros: There is a clear and explicit process for receiving and responding to whistleblower concerns. Amendments to the Employee Code of Conduct may be seen as the Town being proactive in ensuring appropriate conduct by staff as well as a method for reporting suspected wrongdoing. Cons: Revising the Employee Code of Conduct when there are already rules related to appropriate behaviour may be seen to indicate that the Town is not currently being sufficiently transparent. Making changes to the Employee Code of Conduct explicitly related to wrongdoing may be seen by some employees as there being a lack of trust by senior management and elected officials in their actions. Depending on the approach for handling cases of suspected wrongdoing, such as hiring a third party to manage the system, there may be additional costs to the Town. 134

9 Page 9 Option 3: Establish a Separate Whistleblower Policy Develop a specific Whistleblower Policy that defines what is covered under the policy, the process for reporting suspected instances of wrongdoing, the process for reviewing such cases as well as protections against reprisals for those who report wrongdoings. Pros: There is a clear and explicit process for receiving and responding to whistleblower concerns. Developing a specific policy may be seen as the Town being proactive in ensuring appropriate conduct by staff as well as a method for reporting suspected wrongdoing. Cons: Having an explicit policy dealing with suspected wrongdoing may be seen by some employees as there being a lack of trust by senior management and elected officials in their actions. Depending on the approach for handling cases of suspected wrongdoing, such as hiring a third party to manage the system, there may be additional costs to the Town. Issues for Consideration If there is interest by Council in either Options 2 or 3, a number of decisions would need to be made to determine the exact approach and cost to instituting a formal whistleblower approach. This would include: Who would be responsible for overseeing the whistleblower process? This could include existing internal staff such as Human Resources or the CAO, determining if our agreement with the Region of York for the provision of Internal Audit services could be expanded to cover responsibility of a whistleblower policy, or hiring a third party to manage the process. Would anonymous submissions of suspected wrongdoing be allowed and how would such submissions be verified? If Council determines it would like to proceed with either Options 2 or 3, staff would need to complete further work and report back to Council with specifics for their consideration. Financial/Staffing/Other Implications: There are no financial, staffing or other implications related to this report. If Council were to proceed with implementing a whistleblower policy or program, there may be costs and staffing implications which would be identified and brought forward for Council s consideration at that time. 135

10 Page 10 Relationship to the Strategic Plan: The consideration of options on a whistleblower policy is in keeping with Strategic Plan Goal 4, wise management of resources. Ensuring the Town has appropriate checks and balances in its operations to continue to be effective stewards of public resources is a key responsibility. The conduct of regular reviews of existing policies and procedures to ensure their intent is being met is one way Town staff and Council determine that the expectations of our community are being met. Conclusion: The Town of Richmond Hill currently ensures the behaviours and actions of Town staff meet the expectations of the community through policies such as the Employee Code of Conduct and the Respect in the Workplace Policy as well as through the Internal Audit function. These policies include provisions setting out obligations for identifying inappropriate actions as well as protections against reprisals for those who put forward such allegations. Council requested and this report provides options for further addressing the issue of whistleblowing for their consideration and direction. Attachments: If you require an alternative format please call the contact person listed in this document. Appendix A Municipal Whistleblower Provisions Appendix B Employee Code of Conduct 136

11 Page 11 Appendix A Municipal Whistleblower Provisions Halton Region Halton Region updated their Employee Code of Conduct in 2016 to include a section on Non-Compliance Reporting. While the term whistleblowing is not specifically used, this section provides for whistleblower protection, preventing staff who report noncompliance acts from being subject to reprisal. It applies to employees only, and noncompliance is defined as a breach of Regional policy or procedure. The Employee Code of Conduct states that employees should report actions that are in contravention to a Regional policy or procedure to a Department Head, except in the case of suspected fraud which is to be reported immediately to the Internal Audit team. If an employee is not comfortable reporting a complaint to the Department Head and/or CAO, Halton Region has a Code of Conduct Help Line. Hosted by a third-party provider, staff can confidentially report potential violations via telephone, or through an online portal. Reports from the Help Line are forwarded by the third-party provider, reviewed by the CAO and potentially investigated by the CAO in consultation with the Director of HR. Anonymous reports are accepted through Halton s Code of Conduct Help Line. Hamilton The City of Hamilton s Whistle Blower By-Law was passed in 2009 and went into effect in The By-law prohibits any employee or member of Council from dismissing, suspending, demoting, disciplining, harassing, denying a benefit of employment or otherwise disadvantaging an employee, or threatening any of these things, when an employee has made a disclosure of serious wrongdoing that, as determined by the Director of Audit Services, is a qualifying disclosure. This bylaw applies only to City employees. Wrongdoing is defined as: a contravention of Criminal Code, federal or provincial statute or regulation, City by-law; an act or omission that results/is likely to result in misappropriation or misuse of City funds or assets; contravention of the City s Code of Conduct for Employees that results/is likely to result in profit, payment or compensation to the employee; an act or omission that creates/is likely to create a substantial and specific danger or harm to life/health/safety of any person or harm to the environment; or a reprisal. Employees are to disclose serious wrongdoing to their supervisor/manager, the head of their Department, or directly to the Director of Audit Services. Disclosures made to the supervisor/manager or the Department Head must be immediately forwarded to the Director of Audit Services. An employee may also report an act of wrongdoing committed by a member of Council. The report will be forwarded to the Integrity 137

12 Page 12 Commissioner, without precluding the potential of an investigation by the Director of Audit Services. The reporting employee s name and position is required for the Director of Audit Services to investigate the complaint. Anonymous reports will not be investigated under this by-law. Mississauga The City of Mississauga has had a Whistleblower Program in place since It establishes procedures for City employees for the anonymous reporting and investigating of allegations of waste and/or wrongdoing within the City of Mississauga when there is fear of reprisal and protects staff who file reports from reprisal. Wrongdoing means any illegal or inappropriate conduct, including but not limited to: crime or suspected criminal activity; fraud and theft; the wrongful or unauthorized acquisition, use, appropriation or disposal of City assets, including monies, information, data, materials, labour or equipment, including furniture and fixtures; falsification, alteration, or manipulation of the Corporation s documents, records or computer files; the violation of public trust or duty; danger to public health or safety; the misuse of position for personal gain; financial irregularities, including but not limited to: forgery or alteration of cheques, drafts, promissory notes and securities; any misappropriation or mishandling of funds or securities; any fraudulent claim for reimbursement of expenses by the City. Mississauga s Whistleblower Program is managed by an independent third party service. Staff can submit claims through an online reporting system. Each complaint is assigned a confidential code that allows the staff member to check on progress of complaint and facilitate anonymous two-way communication if more information is needed. Complaints are investigated by employees of the independent service provider, another independent investigator, or by City staff, when appropriate. The Legal Services Division is the contract manager and point of contact for the independent third party. Anonymous reports are accepted through Mississauga s Whistleblower Program. Oakville Oakville s Employee Code of Conduct includes an Ethics and Efficiency Hotline Procedure, which came into effect in 2014 and was last modified in This procedure describes the steps to be taken when an individual has a suggested efficiency or when they suspect fraud, misconduct or other related irregularities which may be reported through the town s Ethics and Efficiency hotline. The Employee Code 138

13 Page 13 of Conduct states that where an employee reports a violation of the Code, they will not be penalized, dismissed, disciplined, suspended or threatened with such action, providing whistleblower protection. The hotline is open to employees and the public and reports can be submitted via telephone or online form. The procedure provides the following definitions: efficiency: a suggestion which when implemented results in a savings of town time, resources or money; fraud: encompassing an array of irregularities and illegal acts characterized by intentional deception; misconduct: unethical behaviour, willful omission to perform one s duties, abuse of authority, theft, embezzlement, receipt of bribes, kickbacks, or gifts of significant value, and significant waste of town assets. The hotline is managed by the Hotline Team, comprised of the CAO, Commissioner of Corporate Services, and Director of Internal Audit. This team determines what type of report has been filed and action is routed accordingly, as follows: Allegation Type: Fraud Misconduct Efficiency Reported to: Internal Audit Director, HR Director for review/action; Commissioner and Department Head for information HR Director for review/action; Commissioner and Department Head for information Commissioner and Department Head for review/action Anonymous reporting is allowed. Each complaint is assigned a numerical ID for status tracking and ongoing information request purposes. Toronto The City of Toronto has had whistleblower protection in place since In 2014, Toronto s Whistle Blower Protection Policy and Fraud Prevention Policy were combined and replaced with a single policy: the Disclosure of Wrongdoing and Reprisal Protection Provisions Bylaw, enacted in The purpose of the policy is to facilitate the disclosure of wrongdoing that is contrary to the public interest, ensure that all disclosures are investigated, and to protect employees who report wrongdoing from reprisal. It applies to City staff. Toronto s policy defines wrongdoing as: serious actions that are contrary to the public interest including but not limited to fraud; theft of City assets; waste (mismanagement of 139

14 Page 14 City resources or assets in a willful, intentional or negligent manner that contravenes a City policy or direction by Council); violations of the City's Conflict of Interest provisions; and breach of public trust. The policy states that all City employees who are aware that wrongdoing has occurred should immediately notify their manager, their Division Head, or the Auditor General s Office. Where it is alleged that the City Manager, City Clerk or City Solicitor has committed wrongdoing, improperly breached confidentiality under these provisions or committed a reprisal, the Auditor General will retain a third party investigator and transmit their findings to City Council. Employees may remain anonymous when reporting suspected wrongdoing. Vaughan Upon recommendation of the Internal Audit committee, in 2014 Vaughan introduced an Anonymous Reporting System as a mechanism for employees to report suspected fraud and code of conduct violations. Available to staff only, specific policies and procedures have not been developed for this system. As such, there is no language around protecting employees from retaliation. The reporting system is maintained by a third party who relays the submissions to the City s Internal Audit team for investigation. This reporting system was introduced in part to ensure staff had a vehicle to make confidential and anonymous reports of suspected fraud and code of conduct violations. Each report is assigned a tracking ID number and password to allow for anonymous investigation tracking and information exchange. York Region York Region s Employee Code of Conduct includes a section on Fraud, Theft and Breach of Trust. This section does not use the term whistleblower, but does outline reporting channels for staff who are aware of fraud, theft, breach of trust or other wrong doings perpetrated by staff. It forbids retaliation against a staff member who is involved in the reporting or investigation of such acts. Wrongdoing is not explicitly defined. There is no formal reporting process or system outlined in the Code of Conduct. Staff are directed to inform their Supervisor, Department Head or CAO of suspected acts, who subsequently are to relay the report to Audit Services for investigation. The Employee Code of Conduct requires that employees report acts of fraud, theft, breach of trust or other wrongdoings. Anonymous reporting is not presented as an option. 140

15 Page 15 Appendix B Richmond Hill Employee Code of Conduct Subject: Employee Code of Conduct Effective Date: January 7, 1991 Date of Last Revision: September 11, 2006 PREAMBLE The Town of Richmond Hill is committed to achieving the highest standards of conduct among its public service employees which is essential to maintaining and ensuring the public trust and confidence in the Town s administration and operations. The citizens of Richmond Hill have a right to expect a public service which is conducted with professionalism, objectivity, impartiality and integrity. It is this special obligation to Richmond Hill citizens that requires there not be, nor seem to be, any conflict between the private interests of employees and their duty to the public. All Town of Richmond Hill employees are expected to behave in a professional and responsible manner, both to members of the public and to each other. At the same time, it is recognized that employees should enjoy the same rights in their private dealings as any other citizens unless it can be demonstrated that a restriction is essential to support the public interest. The purpose of this Code of Conduct is to set out clear guidelines as to acceptable behaviour by all levels of staff. Setting out these specific guidelines demonstrates to all our customers how seriously we take our professional responsibility of providing quality services in an impartial and efficient manner. DEFINITIONS For the purposes of this Code, administrator means the CAO, Commissioners and the Director of Human Resource Services who are the primary individuals responsible for the administration, interpretation and enforcement of this Code in a reasonable and consistent manner. CAO means the Chief Administrative Officer of the Town of Richmond Hill. child means a child born within or outside of marriage and includes an adopted child and a person to whom a parent has demonstrated a settled intention to treat as a child of his or her family. Code means this Employee Code of Conduct as it applies to staff of the Town of Richmond Hill. Commissioner means the Commissioner of Corporate Services, or the Commissioner of Engineering and Public Works, or the Commissioner of Finance, or the Commissioner of Fire and Emergency Services/Fire Chief, or the Commissioner of Parks, Recreation and Culture or the Commissioner of Planning and Development. 141

16 Page 16 employee means all full-time and part-time persons hired by the Town of Richmond Hill including the CAO, Commissioners, Directors, Managers, Supervisors, Salaried Employees Association staff, members of C.U.P.E. Local 905, members of the Richmond Hill Professional Fire Fighters Association, Local 1957, Administrative staff, contract and temporary employees, students, secondements, and co-op placement staff. family member means his or her spouse, child or parent. hospitality means instances where there is entertainment of or by outside parties for the furtherance of municipal business. parent means a person who has demonstrated a settled intention to treat a child as a member of his or her family whether or not that person is the natural parent of the child. spouse means a person to whom the person is married or with whom the person is living in a conjugal relationship. supervisor is the person to whom an employee reports directly Town property means items, services or resources which are the property of the Town including but not limited to: materials, equipment, facilities, technology, Town-developed computer programs of technological innovations, databases, intellectual property and supplies. APPLICATION AND RESPONSIBILITIES The Code of Conduct applies to all employees of the Town of Richmond Hill unless otherwise specified in the Code. It does not apply to members of Council. Related Policies In addition to the Code, Town employees are expected to be aware of and comply with the Town s related policies which include, but are not limited to: Use of Municipal Vehicles Policy Municipal Business, Conference, Training, Tuition and Expense Policy Media Relations Policy Workplace Harassment/Discrimination Policy Hiring of Relatives Policy Vulnerable Sector Program - Applicant Screening, Employees, Volunteers and Student Exemptions Policy Internet Acceptable Use Policy Micro Computer Policy Software Code of Ethics Health and Safety Policy Statement. 142

17 Page 17 Town employees are also expected to comply with all federal, provincial and municipal legislation as it pertains to the performance of their duties. Collective Agreements and Professional/Technical Rules of Conduct Nothing in this Code is intended to conflict with the Town s obligations to its employees under its various collective agreements or employment contracts or to be contrary to legislation. Provisions of collective agreements, employment contracts, or legislation prevail in cases of conflict with the Code of Conduct. As well as this Code, many employees may also be subject to other rules of conduct as part of their professional or technical affiliations. These employees should review those expectations with their respective professional or technical associations. In instances where this Code is more restrictive than rules of conduct of a professional or technical association, the standards in this Code apply. Employee Responsibilities It is the responsibility of all employees to be aware of, comply with and understand their obligations under the Code of Conduct and any related policies. Compliance with the Code of Conduct is a condition of employment/engagement with the Town. Employees who are unclear of their responsibilities under this Code, at any time, should enter into discussions with their Commissioner, the Director of Human Resource Services or CAO for guidance. Any employee who fails to comply with any section of the Code may be subject to disciplinary action up to and including dismissal and/or legal prosecution. Administrators Responsibilities In addition to following the Code themselves, it is the responsibility of the CAO, Commissioners and the Director of Human Resource Services to ensure all employees are made aware of the Code of Conduct and provide for any information or training required to allow for employee compliance. They are also responsible for the administration and enforcement of the Code in a reasonable and consistent manner. Decisions related to the Code rest with each Commissioner. If a Commissioner is unclear of a provision of the Code they are to seek clarification from the CAO as required. Deviations from the Adopted Code No deviations from the adopted Code are allowed. However, supplemental standards/ instructions may be developed by a Commissioner or the CAO. Any supplemental standards/ instructions must be approved by the CAO prior to implementation. CONFLICT OF INTEREST An employee will be considered to have a conflict of interest where he/she or a member of his/her family has a direct or indirect financial interest (that is known to the employee) 143

18 Page 18 in a contract or proposed contract with the Town, and where the employee could influence the decision made by the Town with respect to the contract. A conflict exists where the employee could directly influence the decision made in the course of performing his/her job duties, and also where he/she could indirectly influence the decision through exerting personal influence over the decision-maker. Employees employed/engaged by the Town must declare a conflict of interest on any matters on which they are required to work that pertain to property that they or a member of his/her family own or a property located within 120 metres of any real property that the staff member or a member of his/her family owns, and the Town will assign the matter to another employee. This provision does not apply to the maintenance or construction of municipal property or infrastructure within the 120 metre radius provided that such maintenance or construction is in accordance with the municipality s normal standards. If a potential conflict exists because of an employee's personal or family interest in a business dealing with the Town or similar circumstances, the employee must advise his/her supervisor of the situation, in writing, on the Employee Disclosure of Interest Form (see Schedule A attached) setting out the general nature of the interest. The supervisor will then make appropriate alternative arrangements with his/her Commissioner and/or Council to handle the matter. An employee shall make such a disclosure each time an issue in which they have an interest arises. The Employee Disclosure of Interest Form will be kept in the employee s Human Resources file for the duration of his/her employment with the Town. This form will be made available to Council or such staff as is designated to make a decision on the matter, prior to any decisions, discussions or disposition of the matter by staff or Council. The written disclosure of interest is subject to the Municipal Freedom of Information and Protection of Privacy Act, R.S.O. 1990, c. M.56. GIFTS, BENEFITS AND HOSPITALITY Employees must make workplace decisions based on an impartial and objective assessment of each situation, free from influence of gifts, favours, hospitality and entertainment. Employees must avoid the reality and appearance of impropriety with organizations and people with whom they deal. In order to preserve the image and integrity of the Town, business gifts are prohibited except as follows: a. The normal exchange of gifts between friends; b. Gifts received in connection with municipal twinning (Lakeland etc.); c. Gifts received for services to professional organizations or non-profit groups; d. Token gifts of exchange as part of protocol; e. Gifts of nominal or promotional value e.g. baseball caps, t-shirts, mugs, pens; and f. Normal presentation of gifts to persons participating in public functions. 144

19 Page 19 Gifts received by a Department (or a section, division or other separate sector of a Department, as the case may be the work unit ) may be accepted provided the nature of the gift is in keeping with this policy. Any such gifts should be shared amongst staff in that work unit where possible. For example, flowers received should be displayed in the main lobby of the department, items in a fruit basket should be made available to all staff in that work unit. Gifts that are received that are not in keeping with this policy should be returned to the sender wherever possible citing this policy. Alternatively, at the discretion of the Commissioner or the CAO, gifts received may be contributed to a raffle where proceeds are donated to a registered charity or Town sanctioned event. A letter outlining the actions taken by the Town shall be sent to the sender of the gift by the Commissioner or designate. The Town recognizes that moderate hospitality is an accepted courtesy of a business relationship but any hospitality accepted should fall within the following criteria: a. Recipients do not allow themselves to reach a position whereby they might be or be deemed by others to have been influenced in making a business decision as a consequence of accepting such hospitality; b. The expenses involved are not greater than the employee s Commissioner would allow to be claimed on an expense account if it were charged to the Town (as defined in the Town s Municipal Business, Conference, Training, Tuition and Expense Policy); and c. It serves a legitimate business purpose related to the responsibilities of the individual. Employees may attend cultural, social, charitable, political, recreational, golf or sporting events if, in the opinion of their Commissioner, it would be beneficial to the Town and if it directly relates to the functions of the position of the staff member attending the event. Specific rules regarding the disclosure, permission and documentation required to participate in golf events are included in Schedule B. Consideration may be given to reimbursing an employee for the expense of such an event if it is determined by the appropriate Commissioner that attendance would be of benefit to the Town. If an employee is invited to such an event in the company of the person extending the invitation, the employee should consult with his/her Commissioner, to determine if attendance would be of benefit to the Town. If an employee is invited to attend an event where the person extending the invitation is not attending, the invitation is to be refused citing this policy. 145

20 Page 20 Employees shall not accept travel costs or accommodation, or payment related to travel or accommodation, from any person or business organization unless their Commissioner decides acceptance is in the best interest of the Town. In recognition of the value of interaction with business associates, the Town occasionally participates in invitational, charity or special events. Participation in such events shall be approved by the appropriate Commissioner prior to the event taking place. Employees who are asked to speak publicly to an organization or professional association on behalf of the Town may accept a small honourarium or gift. In cases where employees are asked to speak or make presentations to share information with colleagues, it may also be permissible to accept the offer of travel and/or accommodations, however, the employee shall consult with his/her Commissioner before accepting any offers. In order to preserve a neutral purchasing policy, Town staff should not be able to benefit from Town purchasing, unless a specific exemption is made in the interests of the Town by Council. No Town employee shall benefit, monetarily or in any other way from any contract between the Town and an outside agency, contractor, or vendor, resulting from the Town s purchasing procedures. No Town employee shall be able to bid on any Town tender, proposal or quotation except where specifically permitted by a by-law or resolution of Town Council. CONFIDENTIAL INFORMATION Disclosure of Confidential Information Employees may have access to confidential information by reason of their employment with the Town of Richmond Hill. Employees must not make such information available unless it is public information. Where an employee is unsure of the status of the information, before making any release he/she shall discuss it with their Commissioner who may see fit to consult with the Town Clerk, Town Solicitor or Director of Human Resource Services. For example, information relating to the following matters are not normally released: a. Items under litigation; b. Labour relations matters; c. Personal information about an employee (e.g. name, address, payroll or benefits information); d. Medical information regarding an employee; e. Information about suppliers provided for evaluation which might be useful to competitors; 146

21 Page 21 f. Sources of complaints about a variety of matters where the identity of the complainant is given in confidence; g. Items under negotiation; h. Information supplied in support of license applications etc., where such information is not part of the public documentation; and i. Budget amounts of the prices paid by or quoted to the Town for goods and/or services (except as contained in public reports to Council or its committees). The above is not intended to be an exhaustive list of examples. Information must not be released contrary to the provisions of the Municipal Freedom of Information and Protection of Privacy Act, R.S.O. 1990, c. M.56. All related requests shall be forwarded to the office of the Manager of Corporate Records, Freedom of Information and Protection of Privacy Coordinator. Employees who suspect wrongdoing on the part of officers, employees, agents or contractors should disclose this information, including confidential information, to their supervisor, their Commissioner, the Director of Human Resource Services or the CAO. Such disclosure is encouraged provided the disclosure is not frivolous, vexatious or slanderous and making the disclosure serves the public interest and is made in accordance with the provisions of this Code. Use of Confidential Information While Employed by Town and Upon Termination of Employment All employees are required to refrain from the use or transmission of confidential or privileged information while working for the Town and for two years, or such greater period as required by law, after termination of employment with the Town. Staff is specifically forbidden to use information available only to Town staff to guide personal investment in real estate, whether by direct means or indirectly through others. Acting Against the Town Following Termination of Employment Employees shall not, for one year after terminating employment act in opposition to the Town on any matter that he/she or his/her Department was working on at the time of termination of employment. MEDIA RELATIONS The CAO, Commissioners, Directors and the Manager of Communication Services are the key contacts for the media on all issues unless otherwise delegated by the Commissioners or the CAO. In instances where there are special projects or task forces which operate outside of the normal departmental structures, a spokesperson for the project may be identified for the duration of that project. Any matters involving litigation shall be referred to the CAO, a Commissioner or the Town Solicitor. 147

22 Page 22 If an employee is unclear as to whether or how they should respond to a media request, they should contact their Commissioner and/or the Manager of Communication Services for guidance. This policy is not intended to restrict the ability of employees to express an opinion on non-municipal general interest matters, where the employee makes it clear that he/she is commenting as a private citizen and not in his/her capacity as a municipal employee. USE OF MUNICIPAL PROPERTY Town property shall not be used by Town employees for personal use during or outside of business hours unless prior approval is secured from their Commissioner, in writing, and a copy of the approval, including terms and conditions, shall be filed with the CAO. No employee shall make financial gain from the use or sale of Town property including Town-developed computer programs, databases, technological innovations or other patentable items, or intellectual property either while in the employment of the Town, or thereafter. All such property is and shall remain the exclusive property of the Town of Richmond Hill. POLITICAL INVOLVEMENT AND ACTIVITY To ensure public trust in the Town, employees must be, and be seen to be impartial and free of undue political influence in the exercise of their official duties. As such employees may be politically active, however, certain limited restrictions may apply as are set out in this policy. In all cases, any restrictions must be balanced with an individual s right to participate in the Canadian political system. In general, unless otherwise limited by this Code or applicable legislation, Town employees may on their own time: a. Vote in municipal, provincial and federal elections; b. Privately discuss and express views as citizens; c. Make a personal contribution to a candidate s campaign; d. Belong to a political party; e. Support or oppose candidates for elected office or political party; f. Canvass on behalf of a candidate while off-duty; g. Wear campaign buttons or other promotional apparel while off-duty; h. Place campaign signs at his/her personal residence; i. Attend candidate s debates; j. Attend all-candidate s meetings or riding association meetings; and k. Run for office, subject to specific limitations as set out in legislation and this policy. Any political involvement must not interfere with the employee s ability to perform his/her corporate duties. Employees shall not engage in any political activity during working hours. They shall not utilize Town property for election purposes either during or outside business hours. 148