EXECUTIVE SUMMARY

This policy and its associated procedures explain:

• SFU’s obligations under the Public Interest Disclosure Act (SBC 2018, c.22) (“PIDA”)
• The meaning of Wrongdoing under PIDA;
• The options available to Employees who would like to make Disclosures of Wrongdoing. seek advice about making a Disclosure, or make a complaint about Reprisal; and
• The steps the University will take following receipt of a Disclosure.

TABLE OF CONTENTS

          GLOSSARY
1.0     PREAMBLE
2.0     PURPOSE
3.0     SCOPE AND JURISDICTION
4.0     POLICY
5.0     ROLES AND RESPONSIBILITIES
6.0     CONSEQUENCES OF NON-COMPLIANCE
7.0     ANNUAL REPORTING
8.0     RELATED LEGAL, POLICY AUTHORITIES AND AGREEMENTS
9.0     ACCESS TO INFORMATION AND PROTECTION OF PRIVACY
10.0   RETENTION AND DISPOSAL OF RECORDS
11.0   POLICY REIVEW
12.0   POLICY AUTHORITY
13.0   INTERPRETATION
14.0   PROCEDURES AND OTHER ASSOCIATED DOCUMENTS

GLOSSARY

Designated Officer means the employee(s) designated by the President in this policy’s associated procedures, to receive requests for advice, and receive and address Disclosures of Wrongdoing.

Discloser means an Employee who requests advice or makes a Disclosure or a complaint about alleged Reprisal.

Disclosure means a disclosure of Wrongdoing made by a Discloser in accordance with this policy and its associated procedures.

Employee means all former and current employees of Simon Fraser University, and for the purposes of this policy also includes former and current members of the SFU Board of Governors.

Ombudsperson means the Ombudsperson of British Columbia appointed under the Ombudsperson Act (RSBC 1996, c.340). For clarity, this provincial Ombudsperson is distinct from the SFU Ombudsperson.

Public Policy means a high-level, strategic policy objective of the public body. These decisions, which may involve the delivery of services or implementation of a public program, typically require the use of expert opinions, consultation with stakeholders, and are often considered by a number of people in senior leadership within an organization.

Reprisal means any of the following measures of reprisal against an Employee, or counsel or direct that any of the following measures of reprisal be taken against an Employee, by reason that the Employee has, in good faith, made a request for advice, a Disclosure or a complaint about a reprisal or cooperated with an investigation:

1. a disciplinary measure;
2. a demotion;
3. a termination of employment;
4. any measure that adversely affects the employee's employment or working conditions; a threat to take any of the measures referred to in paragraphs (a) to (d).

Supervisor means an individual who instructs, directs, and controls Employees in the performance of their duties.

Wrongdoing means any of the following:

1. a serious act or omission that, if proven, would constitute an offence under any BC or Canadian law;
2. an act or omission that creates a substantial and specific danger to the life, health or safety of persons, or to the environment, other than a danger that is inherent in the performance of an Employee's duties or functions;
3. a serious misuse of public funds or public assets;
4. a gross or systemic mismanagement; and
5. knowingly directing or counselling a person to commit any of the above.

1.0     PREAMBLE

1.1    PIDA protects all Employees who in good faith request advice about making, or make, a Disclosure of Wrongdoing or complaint about Reprisal, and who cooperate with an investigation under PIDA. Simon Fraser University (“SFU” or the “University”) is committed to its obligations under PIDA and adopts this policy and procedures to meet them. All Disclosures received under this policy will be addressed in the manner set out in its associated procedures, and the privacy of all Disclosers will be managed as required by PIDA and the Freedom of Information and Protection of Privacy Act (RSBC 1996, c.165) (“FIPPA”).

1.2     This policy provides guidance to current and former Employees who wish to make a Disclosure or seek advice about making a Disclosure regarding Wrongdoing occurring within the University and establishes a separate procedure pursuant to which Employees can make Disclosures and seek protection against Reprisal.

2.0     PURPOSE

2.1     This policy and its associated procedures facilitate SFU in complying with its obligations under PIDA. PIDA requires certain public bodies to provide Employees with a process for making Disclosures, seeking advice about making a Disclosure, or making a complaint about Reprisals. PIDA allows Employees to:

1. request advice about disclosing, and Disclose Wrongdoing occurring within SFU, which Employees may do anonymously;
2. report retaliation (called a Reprisal) against them for making a Disclosure of Wrongdoing, requesting advice, or participating in an investigation of Wrongdoing; and
3. make Disclosures to the Ombudsperson directly.

3.0     SCOPE AND JURISDICTION

3.1     This policy applies exclusively to Employees across the University, including all its programs and services, units and departments (both academic and administrative).

3.2     Individual employment or contractual disputes, except with respect to Reprisals, do not normally meet the definition of Wrongdoing and so may not fall within the scope and jurisdiction of this policy. For those matters, after an initial assessment, they may be referred to other applicable processes, such as collective agreement processes, applicable laws (such as the Workers Compensation Act and the Human Rights Code), or other University policies (such as GP47 (Bullying and Harassment), GP18 (Human Rights), or I10.11 (Protection of Privacy). This Policy must comply with all relevant provisions in any applicable collective agreement, including academic freedom, notice, timelines, and other process requirements; and members of unions and employee associations have all rights to representation that their collective agreements confer

3.3     There are no time limits for making a Disclosure under this policy; provided that former Employees may only make Disclosures relating to Wrongdoing that occurred or were discovered while they were employed by SFU or on the University’s Board of Governors, as applicable.

3.4     Contractors, students, volunteers, and members of the public may not make Disclosures under this policy. However, PIDA prohibits Reprisals against contractors because a contractor or their employees cooperated with an investigation under this policy and its associated procedures, in the form of (for example): cancelling contracts, withholding payment, or refusing to enter into future contracts

4.0     POLICY

Wrongdoing

4.1     The definition of Wrongdoing under PIDA is adopted for purposes of this policy.

Requesting Advice

4.2     Employees have a right to seek advice about making a Disclosure or an alleged Reprisal from:

1. their union or employee association representative;
2. a lawyer (at their own expense);
3. their Supervisor;
4. a Designated Officer; or
5. the Ombudsperson.

4.3    Employees can request advice about matters such as:

1. whether their concern meets the definition of Wrongdoing;
2. what other mechanisms might be appropriate for addressing their concerns;
3. how their privacy will be managed;
4. how to make a Disclosure;
5. the steps that the University will take after a Disclosure is made; or
6. whether to direct their Disclosure to the Ombudsperson.

4.4    Employees who request advice about making a Disclosure are protected from Reprisal regardless of whether they make a Disclosure.

Making a Disclosure

4.5    The University is committed to the highest standards of ethical conduct and a culture of honest, transparent, and accountable behaviour. SFU takes all Disclosures seriously.

4.6    Employees may make a Disclosure in the manner set out in this policy’s associated procedures, to:

1. their Supervisor (current Employees only);
2. a Designated Officer; or
3. the Ombudsperson.

4.7    Employees must make Disclosures in good faith based on a reasonable belief that Wrongdoing has occurred or is about to occur.

4.8    When a Disclosure is received by a Discloser’s Supervisor or a Designated Officer, the applicable Designated Officer will follow the process set out in this policy’s associated procedures.

4.9    Employees may also make a public disclosure of Wrongdoing under limited, exceptional circumstances as set out in this policy’s associated procedures.

Employee Protection and Reprisal

4.10    Reprisal is prohibited. Employees must not engage in any Reprisal against a person who has, in good faith, requested advice about making a Disclosure, has made a Disclosure or complaint about reprisal, or has cooperated in an investigation conducted in accordance with this policy.

4.11    Employees are protected from Reprisals resulting from:

1. seeking advice about making a Disclosure;
2. seeking advice about concerns of Reprisal;
3. making a Disclosure;
4. reporting a Reprisal; and
5. cooperating with an investigation in accordance with this policy and its associated procedures.

4.12    The Ombudsperson is responsible for investigating complaints of Reprisal. An Employee who believes that Reprisal has taken place against them may contact the Ombudsperson to make a complaint.

4.13    Reprisal complaints made to a Supervisor or the Designated Officer will be forwarded to and investigated by the office of the Ombudsperson.

4.14     Reprisal is unacceptable and prohibited conduct that, if found to have occurred, may result in a range of corrective measures and disciplinary sanctions including, where appropriate, dismissal or permanent suspension.

5.0     ROLES AND RESPONSIBILITIES

All Employees

5.1     All Employees are responsible for acting with honesty, integrity and accountability and complying with applicable law and University policy in their work and dealings with others at the University.

The President

5.2    The President is responsible for assigning the role of Designated Officer and responding to the Ombudsperson regarding steps taken to address recommendations relating to a finding of Wrongdoing made by the Ombudsperson. The President may delegate their responsibilities to other senior officials of SFU, provided that the President is responsible for ensuring that their delegates properly carry out those responsibilities.

Designated Officer

5.3     The Designated Officer is responsible for publishing annual reports on the University’s activities under PIDA, and exercising the responsibilities assigned to them by the President under this policy and its associated procedures.

University Secretary

5.4     The University Secretary is responsible for ensuring that instruction is available to all Employees about PIDA, this policy and its associated procedures.

Supervisors

5.5    Supervisors are responsible for responding to requests for advice from Employees, receiving Disclosures and referring Disclosures to the Designated Officer, or other senior official, as set out in this policy’s associated procedures.

6.0     CONSEQUENCES OF NON-COMPLIANCE

6.1     Those who are found to have engaged in Wrongdoing may be subject to disciplinary action, up to and including termination of employment, services, or privileges. Those who are found to have engaged in Wrongdoing may also face other legal consequences such as penalties under PIDA.

6.2    An Employee who makes a bad faith, malicious or intentionally false Disclosure may be subject to discipline, up to and including termination of employment. Such Employees may also face other legal consequences such as penalties under PIDA or civil claims brought by affected individual(s).

6.3    An Employee who does not strictly protect confidentiality and privacy as required by this policy, its associated procedures, and applicable law may be subject to disciplinary action, up to and including termination of employment. Those who breach confidentiality and privacy may also face other legal consequences such as penalties under PIDA or civil claims brought by affected individual(s).

6.4    The University will not tolerate Reprisals. This protection does not apply to protect an Employee from the consequences of their own Wrongdoing, misconduct or improper activity unrelated to their rights under PIDA. An employee who engages in Reprisal may be subject to discipline, up to and including termination of employment.

7.0     ANNUAL REPORTING

7.1     The President, or their delegate, is required to annually publish a report on the University’s activities under PIDA. This report will contain the information in section 13.1 of the policy’s associated procedures and be published as set out in the procedures.

8.0     RELATED LEGAL, POLICY AUTHORITIES AND AGREEMENTS

8.1     The legal and other University policy authorities and agreements that may bear on the administration of this policy and may be consulted as needed include but are not limited to:

8.1.1     University Act, R.S.B.C. 1996, c. 468

8.1.2    Freedom of Information and Protection of Privacy Act, R.S.B.C. 1996, c. 165

8.1.3    Public Interest Disclosure Act (SBC 2018, c. 22)

8.1.4    Workers Compensation Act, S.B.C. 2019, c.165

8.1.5     Occupational Health & Safety and WorkSafe BC regulations, policies, and guidelines

8.1.6    Protected Disclosure of Wrongdoing (GP 41)

8.1.7    Conflict of Interest and Conflict of Commitment Policy (GP 37)

8.1.8    Bullying and Harassment (GP 47)

8.1.9    Human Rights Policy (GP 18)

8.1.10    Sexualized Violence Policy (GP 44)

8.1.11    University Health and Safety (GP 17)

8.1.12    Code of Faculty Ethics and Responsibilities (A 30.01)

8.1.13    Collective agreements and human resources employment policies.
 

9.0     ACCESS TO INFORMATION AND PROTECTION OF PRIVACY

9.1     The information and records made and received to administer this policy are subject to the access to information and protection of privacy provisions of British Columbia’s Freedom of Information and Protection of Privacy Act and the University’s Information Policy series.

10.0   RETENTION AND DISPOSAL OF RECORDS

10.1   Information and records made and received to administer this policy are evidence of the University’s actions to carry out various activities, including investigating reported wrongdoing or misconduct, processing internal complaints or reports, documenting whistleblower complaints, protecting whistleblowers, developing and upholding policies and procedures, providing employee training, communicating with stakeholders, managing records, appointing oversight bodies, taking corrective actions, and reporting annually on whistleblowing activities. Information and records must be retained and disposed of in accordance with a records retention schedule approved by the University Archivist.

11.0   POLICY REVIEW

11.1   This policy must be reviewed every five years and may always be reviewed as needed.

12.0   POLICY AUTHORITY

12.1   This policy is administered under the authority of the University Secretary.

13.0   INTERPRETATION

13.1   Questions of interpretation or application of this policy or its procedures shall be referred to the University Secretary whose decision shall be final.

14.0   PROCEDURES AND OTHER ASSOCIATED DOCUMENTS

14.1    The procedures for this policy are: Public Interest Disclosure – Procedures.