Whistleblowing - Reporting, Investigation and Protection Policy

1 General

1.1 The Vancouver Public Library (“the Library”) is committed to the principles of integrity, accountability, responsibility, leadership, respect, freedom of speech and openness.

1.2 Staff are to act in a way that enhances public confidence in the Library and to fulfill their duty to act honestly and exercise reasonable care and diligence.

1.3 Staff have a responsibility to report instances of serious misconduct. Examples of serious misconduct are set out in Schedule “A” to this policy.

1.4 This policy is intended to supplement existing procedures at the Library whereby employees may already raise matters of serious concern. This policy is not intended to override or replace existing reporting processes provided for under Library policies, collective agreements or legislation and does not create an independent reporting requirement where other reporting processes exist.

1.5 Reports made under this policy may be redirected where other more appropriate procedures are applicable such as:

• Grievance procedures (see applicable collective agreement)

• Equal Employment Opportunity (EEO) / human rights complaint procedures related to harassment or human rights violations(see human rights legislation and applicable Library policies)

• Procedures for reporting safety concerns (see Workers’ Compensation Act and Health & Safety Policy)

1.6 Protection for reporting in good faith of alleged serious misconduct (see 5.0 – Whistleblower Protection against Retaliation) applies in all cases regardless of the Library policy or process under which the report was made.

2 Roles & Responsibilities

2.1 Chief Librarian: The Chief Librarian is responsible for overseeing this policy. The Chief Librarian is to appoint the Director of Human Resources as the Designate responsible for the day-to-day administration and stewardship of the policy. The Chief Librarian will report serious misconduct issues to the Vancouver Public Library Board (“the Board”) as appropriate. The Chief Librarian will execute the roles and responsibilities of the Designate should alleged serious misconduct involve the Designate.

2.2 Designate: The Director of Human Resources receives in confidence all reports of alleged serious misconduct unless the Chief Librarian or Director of Human Resources as Designate is alleged to be involved. The Designate is responsible for overseeing the investigation of allegations of serious misconduct and/or retaliation for the reporting of serious misconduct. The Designate is responsible for assigning investigations to the most appropriate party, notifying the appropriate parties of investigations and outcomes, reporting to the Chief Librarian, and ensuring the confidential retention of investigation documentation in accordance with the Library’s Corporate Records and Information Management Policy and the requirements of the Freedom of Information and Protection of Privacy Act.

2.3 City of Vancouver General Manager/Library Board: In the event an allegation of serious misconduct involves the Chief Librarian the matter will be dealt with in-camera by the Library Board Directors who will determine and assign responsibility for the investigation and disposition of the matter in conjunction with the City of Vancouver General Manager, Human Resources.

2.4 Directors / Managers / Department Heads / Supervisors: Any level of manager or supervisor receiving a report of alleged serious misconduct from an employee is to promptly forward it in an impartial and strictly confidential manner to the Designate with a copy to the Director of Human Resources whose area of responsibility is involved unless the alleged misconduct may involve or have been condoned by the General Manager.

2.5 Staff: Staff are to report alleged instances of serious misconduct in good faith to their supervisor, manager, director or directly to the Designate. Should the alleged serious misconduct involve the Designate, staff should report the misconduct to the Chief Librarian, or should the alleged serious misconduct involve the Chief Librarian, staff should report the misconduct to the General Manager of Human Resources at the City of Vancouver for referral to the Library Board as outlined in section 2.3 above.

3 Reporting of Serious Misconduct

3.1 Acting in Good Faith: Reports of serious misconduct are a serious matter. Staff reporting alleged serious misconduct are to act in good faith and have reasonable grounds for believing the report to be true.

Where staff come forward to report their own serious misconduct under this policy, they will not be exempt from discipline appropriate to the serious misconduct; however, such reporting will be given appropriate consideration as a mitigating factor and these instances will be dealt with on an individual basis in accordance with this policy.

3.2 False or Frivolous Reports: Knowingly making false allegations or making allegations in a malicious manner will be viewed as serious misconduct.

Reports that are found to be frivolous, false, malicious or in bad faith will be dealt with in accordance with this policy.

3.3 Process for Reporting Serious Misconduct:

Staff aware of serious misconduct have a responsibility to report it either to their supervisor, manager, director or directly to the Designate.

Should the alleged serious misconduct involve the Designate, staff should report the misconduct to the Chief Librarian, or should the alleged serious misconduct involve the Chief Librarian, staff should report the misconduct to the City of Vancouver General Manager, Human Resources.

Staff are to report serious misconduct in writing (see “Schedule B: Form for Reporting Serious Misconduct”). Where an employee reports serious misconduct to his or her supervisor/manager verbally, the supervisor/manager receiving the report must document the discussion, confirm its accuracy with the employee and promptly forward the report in an impartial and strictly confidential manner to the Designate with a copy to the Director whose area of responsibility is involved unless the alleged misconduct involves the Director.

4 Confidentiality

4.1 The Designate will make every reasonable effort to provide confidentiality to those reporting serious misconduct. Staff making a report under this policy are encouraged to provide their name in confidence when doing so which permits for follow-up questions and clarification if necessary. Investigation may not be possible unless the source of the information is identifiable. The Designate may investigate a report made on an anonymous basis and will determine whether to do so in light of all of the circumstances, including the seriousness of the issue raised, the credibility of the concern and the likelihood of confirming the allegation from other sources.

4.2 Investigations will be carried out in a manner that limits disclosure of the report and allegations on a “need to know” basis. Information about a report of serious misconduct will only be disclosed to those responsible for investigating and/or addressing the report. Reports will be made to the Chief Librarian as identified under 7.0 – Retention and Documentation of Investigations.

4.3 Confidentiality extends to all records relating to reports, including but not limited to meetings, interviews and investigation results. Personal information, including the identity of the person reporting the alleged serious misconduct, will be protected in accordance with the Freedom of Information and Protection of Privacy Act. Individuals making a report, investigators, witnesses and individuals against whom a report has been made are expected to maintain confidentiality. Breaches of confidentiality may be regarded as serious misconduct and will be treated accordingly.

4.4 Although the Designate will take all reasonable steps to protect the identity of the individual reporting the serious misconduct, information collected and retained may be required to be released by law including release required in court proceedings, arbitration or other legal proceedings.

5 Whistleblower Protection against Retaliation

5.1 Forms of Retaliation: Any form of retaliation, discrimination or reprisal against an employee because that person reported serious misconduct in good faith or because that person acted as a witness or otherwise participated in an investigation in good faith will be considered a serious violation of this policy. Such retaliatory actions are themselves serious misconduct and may result in discipline up to and including dismissal.

5.2 Reporting Retaliation: If an employee believes that they have been subjected to retaliation as set out above, that person may submit a written report to the Designate who will ensure the allegation is appropriately investigated.

6 Investigations

6.1 Investigation Process: The Designate has primary responsibility for investigating allegations of serious misconduct. The Designate will review and assess the seriousness of all reports promptly and determine the manner in which the report will be investigated. This determination will not be influenced by the position or length of service of the employee(s) accused of serious misconduct. At the Designee’s discretion an investigation may be carried out by the Designate directly, assigned to management in the area affected, assigned to an investigative team, assigned to an independent third-party or re-directed to a more appropriate existing process. Where the Chief Librarian or the City of Vancouver General Manager, Human Resources (in conjunction with Library Board) is executing the roles and responsibilities of the Designate, they will determine, based on the circumstances, the appropriate party to investigate the allegation of serious misconduct which may include the Director of Legal Services, an independent third-party or other appropriate party.

6.2 Material Financial Concerns: If upon initial assessment it appears that the concern raised could materially affect the financial position of the Library or the integrity of the Library’s system of internal controls, the Designate will advise the Chief Librarian and Director of Corporate Services. The Designate will notify the Director, Corporate Services of the amount of any potential loss for insurance purposes. The Library will make every reasonable effort to pursue the recovery of Library losses from the offender or other appropriate sources.

6.3 Criminal Activity and Other Illegal Conduct: In circumstances where it appears that a criminal act may have occurred, the Designate may report the matter to the appropriate police agency. In circumstances where it appears that there may have been violations of other laws, the Designate may advise the appropriate enforcement agency.

6.4 Acknowledging Reports: Within ten working days of a report being received, the Designate (or Chief Librarian or General Manager of Human Resources at the City of Vancouver assuming the role of the Designate per sections 2.1 & 2.3) will respond in writing to the employee making the report acknowledging that the allegation of serious misconduct has been received. Subject to legal constraints, the Designate will also inform the employee making the report at the conclusion of any investigation. The Designate may not be able to disclose the precise action being taken where doing so would be contrary to Freedom of Information and Protection of Privacy Act or other requirements for confidentiality.

6.5 Opportunity to Respond to Allegations: In all but exceptional circumstances, individuals accused of serious misconduct will be given an opportunity to know and respond to the allegations made.

6.6 Consequences of Serious Misconduct: Consequences for employees found guilty of serious misconduct may include discipline up to and including dismissal.

It is understood that union staff may grieve any disciplinary action under the applicable collective agreement.

7 Retention and Documentation of Investigations

The Designate will document the results of each investigation in a confidential report. If an investigation determines that serious misconduct has occurred, the Designate will immediately report the details and any action taken to the Chief Librarian.

A summary of reports made under this policy and outcomes of subsequent investigations will be submitted annually to the Chief Librarian and to the Library Board.

8 Mitigation of Further Risk

The Chief Librarian will conduct a review of each investigation report where serious misconduct was found to have occurred and will assign responsibility to ensure steps are taken to address underlying causes and to then take appropriate actions to mitigate the risk of further occurrences.

9 Media

Concerns regarding serious misconduct may have a significant impact on the Library's legitimate interests. Staff have a responsibility to use the internal whistleblowing reporting process when they have such concerns. Matters covered by this policy are considered confidential and breaches of that confidentiality, including making public statements or disclosing information to the media, will be dealt with in accordance with this policy.

10 Federal or Provincial Legislation

In the event that any portion of this policy is inconsistent with a binding Library collective agreement or federal or provincial legislation, that portion and only that portion of the policy will have no application to the extent of that inconsistency. All other portions of the policy will continue in full force and effect.

Schedule A: Examples of Serious Misconduct

The following are examples of serious misconduct that should be reported pursuant to this policy:

• serious violations of Library policies;
• manipulation of Library resources for any illegal, improper or unethical purpose including fraud, theft, embezzling funds, or accepting kickbacks or bribes;
• misappropriating funds, misdirecting or misuse of funds, assets or corporate information;
• manipulating Library accounting or audit records or destroying any accounting or audit-related records except as otherwise permitted by the Library’s Corporate Records and Information Management policy;
• actions likely to cause serious harm to persons, public safety, property or the environment;
• actions resulting in the Library being exposed to liability or financial loss;
• failure to take reasonable steps to report and/or rectify actions that may impact negatively on the Library’s reputation resulting in the public losing confidence in the organization’s ability to deliver services;
• deliberately concealing information relating to any of the above.

It should be noted that the above are examples only and are not an exhaustive list of what amounts to serious misconduct.

Schedule B: Form for Reporting Serious Misconduct

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• Human Rights & Harassment
• Respectful Workplace