Procedure for Investigating a Protected Disclosure – October 14, 2020

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PROCEDURE

FOR

INVESTIGATING

PROTECTED

DISCLOSURE

Procedure

Type:

Management

Initially

Approved:

October 14,

2020

Procedure

Sponsor:

General Counsel

and University

Secretary

Last Revised: April 1, 2021

Administrative

Responsibility:

General Counsel

and University

Secretary

Review

Scheduled:

October 14,

2025

Approver:

Executive Leadership Team

PROCEDURES

INVESTIGATING A PROTECTED DISCLOSURE

1.1

Once the Designated Officer has determined that a Protected Disclosure falls within

the parameters of the Policy and determined through the Procedure for Filing a

Protected Disclosure that an investigation is warranted, an investigation into the

allegation will be initiated.

1.2

Investigations will be conducted in a timely and objective manner in accordance with

processes that:

a. adhere to the principles of procedural fairness and natural justice;

b. are conducted with due diligence and do not pre-judge an outcome; and

c. are free from bias.

1.3

The investigation may be conducted by the Designated Officer, an external

investigator determined by the Designated Officer, or by an appropriate Department

determined by the Designated Officer. If required, the Designated Officer may also

form an investigation team to conduct the investigation.

a. in any of these cases, the Designated Officer will approve the scope and terms

of reference of the investigation.

b. the scope and terms of reference may be revised by the Designated Officer if,

during an investigation, information assessed by the investigator results in the

potential for alleging other Wrongdoings unrelated to the initial allegation. At the

discretion of the Designated Officer, the investigator may investigate any

potential Wrongdoings as part of the ongoing investigation, or a separate

investigation may be initiated to investigate those potential Wrongdoings.

1.4

In all situations, the Designated Officer will be responsible and accountable for the

timely completion of the investigation. All investigations must be completed, and a

final report made to the Chief Officer, within 120 business days of receipt of the

Protected Disclosure. The Designated Officer may ask the Chief Officer for a 30-day

extension should additional time be necessary to complete the investigation

appropriately in the interest of a fair and efficient outcome. Further time extensions

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may be granted by the Commissioner if such a request is made by the Designated

Officer. The discloser will be updated on the time extension for completion of the

investigation.

1.5

If the Designated Officer is the investigator of the Protected Disclosure, they will

prepare an investigation plan for inclusion in the case file prior to initiating the

investigation. If the Designated Officer appoints an investigator or investigation team,

the investigation plan must be approved by the Designated Officer. The Designated

Officer should communicate to the investigator or investigation team that the

investigation is initiated as a result of the protected disclosure. The investigation plan

includes:

a. the scope and terms of reference of the investigation as approved by the

Designated Officer;

b. what is being alleged;

c. what are the facts in issue;

d. How the investigation is to be conducted;

e. an initial list of interviewees who may be involved or have relevant information

pertaining to the Protected Disclosure;

f. what resources are required; and

g. the anticipated timeline for an initial draft report to be completed.

1.6

If any external expertise is retained to assist in the investigation (e.g. lawyers,

specialized investigators, forensic auditors etc.) care will be taken to handle all

materials and correspondence to or from any expert, including billing for these

services.

1.7

As part of the investigation, and where reasonably required to complete an

investigation, the investigator(s) has the authority to:

a. access any University owned or operated space; and

b. access, examine, copy, and/or remove any Transitory Record or Official

Business Record under the control and custody of the University;

The examination, copying, and/or removal does not require the consent

of the individual who might use or have custody of the property or

facilities.

ii.

This does not include research records and teaching materials of a

proprietary nature; where the intellectual property belongs to the faculty

member.

1.8

The Discloser may be contacted during the investigation to clarify any matters and/or

seek additional information.

1.9

At an appropriate time, as determined by the Designated Officer, any Employee

subject to an investigation will be advised of the nature of the allegations and given

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opportunity to respond. However, in investigating certain allegations of Wrongdoing

such as fraud, advance notice of initial investigations or interviews may be limited.

1.10

All Employees have an obligation to cooperate fully with an investigation.

Investigations will be conducted without preferential treatment based on the length

of service, position, or title of Employees against whom an allegation has been made.

INVESTIGATION REPORT

2.1

When the investigation is complete, the investigator will submit a written report to the

Designated Officer that will include, but not limited to:

a. the allegation of Wrongdoing;

b. an account of the information assessed during the investigation and, if the

investigator has determined certain information as being not credible, the

reasons for determining why the information is not credible; and

c. findings of fact that, on a review of all the evidence, are assessed on a balance

of probabilities.

2.2

A final report will then be submitted to the Chief Officer by the Designated Officer. If

the investigator has found evidence of Wrongdoing, the final report may include

recommendations to be taken to prevent the conduct from continuing or occurring in

the future as well as action that should be taken to remedy any harm or loss arising

from the Wrongdoing.

2.3

The Designated Officer will communicate the results of the investigation to the

Discloser once the final report has been submitted to the Chief Officer.

2.4

Based on the final report, the Chief Officer will direct the applicable Executive Leader

to undertake any necessary further actions, including disciplinary action when

warranted. In advance of any disciplinary action the Associate Vice-President,

Human Resources, or designate, must be contacted to commence a disciplinary

process. If an Executive Leader is subject to any disciplinary action, the Chief Officer

will contact Human Resources directly to commence a disciplinary process.

2.5

Executive Leaders responsible for addressing any recommendations of the final

report must follow up with the Designated Officer or, when necessary, the Chief

Officer with actions taken relating to the recommendations. If no actions were taken,

the Executive Leader will advise why no actions we taken.

DEFINITIONS

(1)

the Act:

means the Public Interest Disclosure (Whistleblower

Protection) Act (Alberta), as amended, and any

regulations thereunder

(2)

Chief Officer:

means the President and Vice-Chancellor

(3)

Department:

means a faculty within the Academic Division or a

department, unit or, group outside of the Academic

Division

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(4)

Designated Officer:

means the Chief Officer or an individual appointed by

the Chief Officer to manage and report on Protected

Disclosures made in accordance with this Policy and

related procedures

(5)

Discloser:

means any Employee who chooses to file a Protected

Disclosure in accordance with the Policy

(6)

Employee:

means individuals who are engaged to work for the

University under an employment contract, including but

not limited to faculty, staff, exempt, casual and

management employees

(7)

Executive Leaders:

The President and the Vice-President

(8)

Official Business Record:

means those records created, or received, during the

course of University business activities, which represent

the first complete and final record that is able to produce

the consequences, results or actions, intended by its

author or creator.

examples may include, but are not limited to, records:

- required to support business operations

- document and provide evidence of business

transactions

- required by legislation

- protect the rights of citizens or the University

- provide evidence of compliance or

accountability

- have archival value to the University or the

public.

- emails that fulfill the purposes or activities

described above.

(9)

Policy:

means the Protected Disclosure (“Whistleblower”)

policy

(10)

Protected Disclosure:

means a written report of Wrongdoing made in good

faith by an Employee in accordance with the Act and this

Policy and related procedures

(11)

Transitory Record:

Means those records that have short-term business

value and are only required for a limited time to complete

a routine action. Transitory records can be securely

destroyed once they are no longer required without

referring to the University Records Retention Schedule.

Examples of Transitory Records may include, but not

limited to:

- copies that are kept for reference purpose,

where the original or final record is maintained

by the department responsible for retaining the

final original record

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- draft documents and working papers

- records created within an electronic

communication system containing information

of routine value such as text messages, instant

chats or e-mail communication.

(12)

University:

means Mount Royal University

(13)

Wrongdoing:

Any activity or conduct engaged in by an Employee in or

relating to the University, as follows:

•

engaging in, or counseling or directing someone

to engage in, the following: breaking the law

through contravening an Act or regulation

•

any act or omission that creates a substantial

and specific danger to the life, health or safety

of individuals or substantial and specific danger

to the environment

•

gross mismanagement of public funds, a public

asset, or the delivery of a public service

identified in the regulations

•

gross mismanagement of employees through

conduct of a systemic nature that indicates a

problem in an organization’s culture relating to

bullying, harassment or intimidation.

Any other Wrongdoing as defined by the Act or related

regulations.

RELATED POLICIES

•

Code of Conduct – Employees policy

•

Integrity in Research and Scholarship policy

RELATED LEGISLATION

•

Public Interest Disclosure (Whistleblower Protection) Act, SA, 2012, cP-39.

RELATED DOCUMENTS

•

Protected Disclosure Form

•

MRFA Collective Agreement

•

MRSA Collective Agreement

•

Terms & Conditions of Employment for Exempt Employees

•

Terms & Conditions of Employment for Postdoctoral Employees

•

Terms & Conditions of Employment for Research Assistants Employees

Procedure for Investigating a Protected Disclosure – October 14, 2020

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REVISION HISTORY

Date

(mm/dd/yyyy)

Description of

Change

Sections

Person who

Entered Revision

(Position Title)

Person who

Authorized

Revision

(Position Title)

04/01/2021

Editorial

Template

Policy Specialist

President and Vice-

Chancellor

01/26/2022

Editorial

Policy Sponsor

Policy Advisor

General Counsel and

University Secretary