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Improper Acts Reporting Policy

Approval: Board of Trustees

Responsibility: University Secretary

Date: Approved May 13, 2022

Purpose/Reason for Policy:

¾ÅÐãÖ±²¥ seeks to promote a culture of honesty, transparency, and accountability, maintaining high ethical standards in all its activities.  The good faith reporting of alleged Improper Acts is a necessary and valuable service to the university and must not be cause for Reprisals.

The purpose of this policy is to facilitate the reporting and investigation of allegations of Improper Acts, particularly when there is concern about Reprisal when using established channels. Reprisals for good faith reporting and complaints are prohibited, whether reporting under this or another university policy directly.

Improper Acts include:
     a.    The contravention of university policies or regulations 
     b.    The contravention of relevant local, provincial, or federal laws
     c.    Creating a danger to the life, health, or safety of persons or to the environment
     d.    Interference through direct or indirect action or use of authority to obstruct a person’s right to make a report of an alleged Improper Act
     e.    Reprisals for reporting an alleged Improper Act

All defined terms can be found in Appendix A.

Scope of this Policy:

This policy applies to all Members of the University Community.

This policy is in addition to the responsibilities of administrators and managers under existing university policies and procedures. It does not limit or amend the provisions of collective agreements between the university and its employee groups. Where the provisions of this policy, or a procedure taken under it, would contravene the provisions of a collective agreement with the university, the terms of the collective agreement prevail.

Policy Statement:

It is the responsibility of all Members of the University Community acting in the course of their responsibilities to comply with university policies, procedures, and all applicable laws.

All Members of the University Community are encouraged to report Improper Acts through the complaint, reporting, or disclosure processes provided for in applicable policies and procedures of the university. Employees are encouraged to report Improper Acts to their managers, and, under some university policies and applicable legislation, there may be a duty to do so (e.g., Occupational Health and Safety Act in the case of supervisors; Harassment and Discrimination Prevention and Response policy in the case of Persons of Authority as defined within that policy; Fraud Reporting and Response Policy; Senior Administrators’ Statement of Acceptable Code of Conduct; etc.). Where employees are uncertain about a possible duty to report, they may confidentially consult the University Ombudsperson, or the Human Rights and Equity Office.

The University has the following offices and processes to deal with various Improper Acts: 

For a full list of applicable policies and procedures, see the list at the end of this policy. 

When there is a concern about potential Reprisal, or an individual is uncertain where to report an Improper Act, any Member of the University Community may report an Improper Act to the Reporting Officer. 

Investigation and reporting will occur in accordance with the applicable policy or procedure.  Reports referred for investigation will follow the procedures established under this policy where there is no other applicable policy or procedure.

Reports may be made on an anonymous basis, but it may not be possible to refer, investigate, or respond to anonymous reports owing to the requirements of procedural fairness.  Certain university policies and procedures, do not allow for the intake or investigation of anonymous complaints, reports or disclosures.  To the extent the alleged misconduct falls within the scope of such a policy or procedure this Policy shall not be applicable and the alleged misconduct will not be considered an Improper Act for the purposes of this Policy. 

The University may choose to not investigate Reports where the potential respondent is not currently a member of the University Community. The University will not investigate Reports where the potential respondent is a member of the University Community but where the conduct alleged occurred while they were not a member of the University Community and/or relates to an organization other than the University.

The decision to refer or decline to refer a Report for investigation is within the sole discretion of the Reporting Officer and may not be appealed.

To the extent reasonably possible, reports of an alleged Improper Act and consequent related actions shall be kept confidential, including the identity of the Reporter. This may not always be possible where the university has an obligation to address health, safety, and other matters. It may also not be possible to conduct a competent, fair investigation without disclosing the identity of the Reporter. 

Protection from Reprisal

No person shall take any Reprisal against anyone who makes a good faith report of an alleged Improper Act.  Acts of Reprisal will be subject to disciplinary action. 

Making a good faith report of an alleged Improper Act does not constitute harassment within the terms of the Harassment and Discrimination Prevention and Response Policy.
 

Responsible Officer: University Secretary

Contact Officer: TBC

Date for Next Review: TBC

Related Policies, Procedures and Guidelines:

Appendix A

Definitions:

Reporter - anyone who reports an alleged Improper Act as defined within this policy.

Improper Act - includes but is not limited to:
     a.    The contravention of university policies or regulations 
     b.    The contravention of relevant local, provincial, or federal laws
     c.    Creating a danger to the life, health, or safety of persons or to the environment
     d.    Interference through direct or indirect action or use of authority to obstruct a person’s right to make a report of an alleged Improper Act
     e.    Reprisals for reporting an alleged Improper Act

Investigator - a person or persons assigned by a Responsible Officer to conduct an investigation under this or any other policy or procedure of the university.

Member(s) of the University Community - includes, without limitation, employees, students, volunteers, visiting professors, contractors, visitors, student groups, and other individuals who live, work, or study at, or carry out services for, the university. A former Member of the University Community may report an alleged Improper Act that occurred while they were a Member of the University Community.

Reprisal - the act of penalizing, intimidating, or coercing an individual regarding or because of the making of a report or acting in good faith to carry out or assist with any step provided for in this or any other applicable policy or procedure of the university including, without limitation:

  • Dismissing or threatening to dismiss those individuals
  • Disciplining or suspending, or threatening to discipline or suspend, those individuals
  • Imposing any penalty upon those individuals
  • Intimidating or coercing those individuals, or permitting or tolerating any intimidation or coercion of those individuals
  • Preventing an employee from providing information to a federal or provincial authority about an offence under any federal or provincial act or regulation, or subsequently retaliate against an employee for having done so. (Section 425.1 of the Criminal Code).

Engaging in an act of Reprisal constitutes a breach of this policy. The imposition of discipline or other sanctions for making a report or participating in a process related to a report not done in good faith is not an act of Reprisal.

Respondent - the subject of a report of an alleged Improper Act under this policy.

Responsible Officer – Any person to whom a report is referred for investigation under this or another applicable policy or procedure of the university by the Reporting Officer.

Reporting Officer – The Secretary of the University or their delegate.