Safe Disclosure Procedures

Ref. No.	Executive sponsor	Policy steward	Approval authority	First approved	Last reviewed	Effective date	Next review
42.32

Purpose
1. This procedure outlines the process to be followed in making and investigating a Safe Disclosure Declaration.

Definitions

Term	Definition
College Community	NSCC community member under this policy, includes but is not limited to the following: Employee: any person who is employed by NSCC or provides services to NSCC under an employment contract Student: anyone applying to or registered in NSCC programs or otherwise participating in NSCC courses, programs, events, and activities Volunteer: any person performing work for NSCC in an unpaid capacity. Contractor: any individual or company (and its employees) who provides services to NSCC under a service contract (i.e., a non-employee/employer relationship). NSCC Community Member: any person working in collaboration with NSCC for a business or academic purpose or an external community member, including all graduates and alumni of NSCC. NSCC Board of Governors: the governing body of the College
Discloser	Any member of the NSCC community who makes a report under this Policy based on information that they reasonably believe could show that an Improper Activity has been committed or is about to be committed.
Improper Activity	Is conduct which includes one or more of Official Misconduct, Maladministration, significant misuse of public resources, or creation of a significant danger to public health or safety. This includes directing or counselling someone to engage in Improper Activity. Improper Activity does not include decisions of policy, business or administration, about which reasonable people might disagree.
Investigator	The person or persons charged with conducting the investigation of a Disclosure, namely the Director of Organizational Development, the Director of Internal Audit or their respective designate.
Maladministration	Is defined as failure to act, or conduct intended to cover up an act, in a way that is unlawful, unjust, discriminatory or improper, and which adversely impacts someone's interests in a substantial and specific way, or adversely impacts the brand and reputation of the College.
Official Misconduct	Is defined as wrongdoing by a member of NSCC community in carrying out their duties or exercising their authority that may be a criminal offence or is otherwise serious enough that it may justify dismissal if proven. Examples include dishonesty, theft, lack of impartiality when awarding or expending College resources, breach of trust placed in a person by virtue of their position, or misuse of officially obtained information
Protected Disclosure	Is a disclosure made in the good faith belief that it falls within the scope of this Policy
Reprisal	Is any retaliatory action or measure taken by a member of the NSCC community against a Discloser that adversely impacts their employment, status or well-being, if that action is connected to a Disclosure or was intended to prevent a Disclosure. Examples include intimidation, harassment, discrimination, threats, etc.
Respondent	Is any member of the NSCC community alleged to have engaged in an Improper Activity under this Policy.
Witness	Is a person who has information about any alleged Improper Activity.

Procedure
1. Disclosure
  NSCC operates with the utmost integrity and is committed to responding to any Disclosure of wrongdoing, and to protecting from retaliation any individual who, in good faith, discloses improper activity occurring within NSCC.
  1. NSCC encourages any member of the NSCC community who reasonably believes that Improper Activity has occurred or is occurring within NSCC to disclose the information without fear of reprisal.
  2. NSCC employees, students, and members of any NSCC committee, board, council or association, who on a reasonable basis believe that Improper Activity has occurred or is occurring, are required to disclose that belief, together with the information on which that belief is based in accordance with the Procedures under this Policy. Any other member of the NSCC community who has a reasonable basis for believing that Improper Activity has occurred or is occurring may also make a disclosure.
  3. NSCC employees, students, and members of any NSCC committee, board, council or association, who on a reasonable basis believe that Improper Activity has occurred or is occurring, are required to disclose that belief, together with the information on which that belief is based in accordance with the Procedures under this Policy. Any other member of the NSCC community who has a reasonable basis for believing that Improper Activity has occurred or is occurring may also make a disclosure.
2. Making a Disclosure
  1. A Disclosure under this Policy may be made verbally or in writing using the Safe Disclosure form. Disclosures should be made as soon as possible after becoming aware of Improper Activity
  2. A Disclosure may be made on an anonymous basis. However, the College’s ability to investigate may be inhibited by such anonymity
  3. Any NSCC employee receiving a verbal Disclosure shall complete a Safe Disclosure form.
  4. A Disclosure may be made to:
    1. An employee’s manager,
    2. Any member of NSCC Senior Leadership, including Vice Presidents, AVPs, Deans, Principals or Directors,
    3. Where the disclosure may involve a member of the College executive, to the:
      1. President,
      2. Chair of the Board of Governors,
      3. Director of Internal Audit; or
      4. Director of Organizational Development; or
      5. Where the disclosure may involve Internal Audit or Organizational Development, disclosure may be made to any Vice President or the President.
3. NSCC Response
  1. Disclosures under this Policy shall be investigated by the Director of Organizational Development or their designate. However, where the Director of Organizational Development, their designate or member of Organizational Development is a Respondent to the Disclosure, the Disclosure shall be investigated by the Director of Internal Audit or their designate.
  2. Where it appears that the disclosed information is outside the scope of this Policy, or that it should be dealt with under another policy, agreement, Act or procedure, NSCC reserves the right to determine the appropriate approach to deal with the Disclosure, and may refer the Discloser to the appropriate forum
  3. If it is determined that the Disclosure falls within this Policy, NSCC may conduct a further investigation in accordance with the Procedures herein.
  4. The Discloser and any Witnesses identified by the College are required to provide information and cooperate in any investigation under this Policy.
4. Investigating a Disclosure
  1. Any person receiving a Disclosure under this Policy shall promptly, and in a sealed envelope or otherwise confidential manner, deliver the Safe Disclosure Form to the Director of Organizational Development for investigation.
  2. The Investigator shall conduct a preliminary review of the Disclosure to determine whether it falls under this Policy. Such review must be completed within 10 working days. The Investigator may determine that the Disclosure:
    1. Discloses reasonable grounds to believe that the Improper Activity alleged has occurred or may occur and should be investigated; or
    2. Should not be investigated because it:
      1. Does not disclose reasonable grounds to believe that the Improper Activity alleged has occurred or may occur,
      2. Has been or is being investigated under this or another policy, Act, procedure or collective agreement,
      3. Should otherwise be dealt with under another policy, Act, procedure or collective agreement,
      4. So much time has passed between the events and the disclosure that, considering the nature of the alleged Improper Activity, no useful purpose would be served by investigating, or,
      5. Was not made in good faith or is otherwise an abuse of the Policy.
  3. Any investigation conducted by the Director of Internal Audit, or their designate, is to be carried out utilizing the procedures governing investigations by the Director of Organizational Development.
  4. The Discloser is entitled to be informed, upon request, of the result of the preliminary review, and, subject to the obligations of confidentiality in this Policy, the reasons for that result.
  5. A Disclosure that is rejected under s. 3.2(b-II) requires no further action by the College.
  6. Following a finding under s. 3.2(b-I), the Investigator may proceed with the investigation or may appoint an Investigating Team, comprised of internal and/or external investigators, as is deemed appropriate.
  7. The Director of Organizational Development may determine that it is appropriate to conduct a single investigation into multiple Disclosures
  8. The Investigator shall provide the Respondent with a written summary of the allegations and evidence against them. The Respondent shall have the opportunity to respond in writing, within five (5) working days of receipt of the Summary.
  9. The Investigation shall be conducted in a manner appropriate to the particular Disclosure and the seriousness of the issues and may include:
    1. Interviews or written questions of the Discloser, Respondent or Witness(es);
    2. Review of any documents or electronic media; and
    3. Examination or testing of any physical evidence.
  10. At any time during the course of an Investigation, an Investigator may determine:
    1. That the Investigation should be expanded to include other information that comes to light,
    2. That immediate steps are necessary to prevent or contain Improper Activity,
    3. That a violation of the criminal law may have occurred and that the appropriate authorities should be notified.
  11. Where new information comes to light or an Investigation is expanded under s. i(i), the Respondent shall be provided with a further written summary of evidence and provided with a further five-day window to respond.
5. Confidentiality and Protection for Discloser
  1. NSCC will maintain strict confidentiality at all times in the reporting and investigation of Disclosures made under this Policy. All records are to be kept confidential and securely filed within Organizational Development or Internal Audit as appropriate.
  2. NSCC will take every reasonable precaution to protect the concerns and identities of the discloser and the respondent.
  3. To respect the commitment to confidentiality, NSCC will endeavor to consult with and obtain the discloser's permission before releasing information to a third party, including a party or agent external to NSCC. On occasion, however, legal obligations or procedural fairness may require NSCC to disclose certain details without the discloser's permission.
  4. The Discloser, Respondent and any Witnesses are required to maintain confidentiality to ensure the integrity of process and to safeguard highly sensitive, confidential information.
  5. Any breach of the confidentiality provisions of this Policy shall be treated seriously and disciplinary action may be taken in accordance with the relevant provisions of NSCC policies or applicable collective agreements
  6. NSCC is committed to protecting Disclosers who, in good faith, report improper conduct under this Policy. NSCC will take reasonable precautions to ensure that there are no Reprisals or retaliation against the individual making the Disclosure. If, at the time the disclosure is reported, there are concerns about the safety of the Discloser, appropriate protective measures will be initiated.
  7. Any NSCC employee who is found to have instigated or supported retaliation or Reprisals against an individual who has disclosed an improper activity are subject to appropriate disciplinary action up to and including termination.
  8. Any actions, Reprisal, retaliation or threats against the Discloser must be reported to the Director of Organizational Development immediately so that any additional safety precautions can be employed, and appropriate disciplinary action initiated.
6. Conclusion of Investigation
  1. An Investigation shall be concluded, wherever reasonably possible, within thirty(30) working days. The Investigator may find:
    1. Improper Activity was carried out or intended to be carried out,
    2. Improper Activity was carried out, but the Respondent acted without knowledge of the impropriety and could not reasonably have known that the conduct was improper; or
    3. No Improper Activity was carried out or intended.
  2. The Investigator shall, within ten working days of concluding the investigation, provide the Director of Organizational Development, as the case may be, a written report of the conclusions containing a summary of the Disclosure, the Investigation process, the key evidence, the conclusions as to any Improper Activity and the reasons supporting those conclusions. Where necessary, a second version of the Report may be provided which preserves the confidentiality interests of any persons mentioned in the Report.
  3. The Director of Organizational Development shall determine whether further investigation is necessary within ten (10) working days of receipt of the Investigator’s report.
  4. If no further Investigation is contemplated, the Director of Organizational Development will advise of the outcomes; the Respondent, any member of NSCC believed to be necessary to implement discipline, mitigation steps or other remedial measures, any person believed to be necessary to implement due diligence to prevent similar or related Improper Activities in the future, and any person or authority required by legal, regulatory or contractual obligation.
  5. The Director of Organizational Development, in consultation with Senior Leadership, shall determine any appropriate consequences applicable in the case of a finding of Improper Activity. These may include:
    1. Development of or changes to policy, guidelines, procedures, systems or practices,
    2. Correction of records,
    3. Disciplinary action up to and including dismissal or expulsion,
    4. Referral of a matter to an external agency for further investigation or prosecution,
    5. Development of educational or training resources for staff or students, and,
    6. Any other measures deemed appropriate in the circumstances.
7. General Provisions
  1. The Investigator or Investigating Team shall apprise all persons who participate in any way in the Investigation of the obligations of confidentiality under the Policy, as well as the protections afforded by the Policy.
  2. The Investigator or Investigating Team shall take steps to protect the confidentiality interests of all those involved in any Disclosure. Except as determined by the Investigator, or where required by law, no person is entitled to information regarding the identity of the Discloser Respondent, Witnesses or other persons or regarding any disciplinary measures arising out of the Disclosure.
  3. An Investigation shall proceed in accordance with principles of fairness and natural justice. In particular, to the extent possible and as consistent with the confidentiality obligations under this Policy: the Respondent shall be apprised of the procedures under this Policy, informed of the allegations against them, and afforded an opportunity to respond to them.
  4. The Discloser, Respondent and Witnesses each have the right to be accompanied by an observer (including a Union representative where appropriate) to any meeting or interview along with the right to be informed of this right in advance of the meeting or interview. The Observer is not entitled to participate and is bound by the obligation to protect the confidentiality interests of those involved.
  5. The College reserves the right to abridge or deviate from these timelines and procedures in circumstances where the risks arising from a delayed response, whether to the College or to others, are of sufficient magnitude to justify it.
  6. A Discloser who becomes aware of a breach of confidentiality or of any retaliation or reprisal will immediately advise the Director of Organizational Development.
  7. Upon receipt of information under s. 3.4(f), the Director of Organizational Development shall determine whether any additional safety precautions can and ought to be implemented.
  8. Within ten (10) working days of becoming award of a reprisal, retaliation or breach of confidence, a person may file a complaint under this Policy. In order to be considered as Reprisal or retaliation under this Policy, the Complainant must have filed a prior Disclosure under the Policy. Reprisals cannot be adequately investigated in the case of anonymous Disclosures.
  9. The complaint may be considered together with the prior Disclosure or as a separate matter.
  10. A person who alleges a Reprisal or breach of confidence may be advised of the findings of any Investigation, along with any relief or remedy to be provided to the victim of Reprisal. However, they will not necessarily be informed of any corrective action taken against the Respondent.
8. False Complaints or Abuse of Policy
  NSCC expects a Discloser to communicate concerns in good faith. An individual acting in good faith will not be disadvantaged or lose their employment status by reporting their concerns, even when these matters cannot be substantiated. However, the willful misuse or abuse of this Policy will result in disciplinary action up to and including dismissal or termination of employment. Intentionally making a false Disclosure is an example of abuse.
9. Records Storage
  1. At the conclusion of the Investigation process, all records will be forwarded to the Director of Organizational Development or their designate. These records will be stored separately and treated with the strictest confidence. If the disclosure was regarding the Director of Organizational Development, or any of the Organizational Development staff, all records will be forwarded to the Director of Internal Audit who will store and treat them with the strictest confidence.
  2. In the event that the conclusion of an investigation is that Improper Activity occurred and if disciplinary action was taken, a letter indicating that disciplinary action was taken is the only documentation that will appear on the Respondent’s official employment file.
10. Reporting Requirements
  At the end of each Academic year, the Director of Organizational Development or their designate, shall provide the President with a written report of the number of Disclosures under the Policy, the number of Investigations carried out and any actions taken pursuant to an Investigation. The Report shall not contain any identifying information of any Disclosers, Respondents or Witnesses.

Procedure Supports

42.31- Safe Disclosure Policy
Safe Disclosure Form (PDF 52KB)
FAQ - Disclosing Improper Activity
FAQ - Being the Respondent investigation
FAQ - Managers and their role