Whistle-blower Program: recommendations

A component of each whistle-blower investigation is, where possible and appropriate, to determine underlying causes of procedural failure or control weakness leading to a concern being reported. Recommendations are raised to the attention of Management with a view that, if implemented, these corrective actions would mitigate opportunity for similar activities to reoccur. Recommendations are made based on the concern or issue reported and are not limited to substantiated allegations.

2020 recommendations • 2019 recommendations

2020 Recommendations

Year	Category of Concern	Nature of Allegation	Conclusion and Corrective Action
Year: Q2-2020	Category of Concern: Health, Safety and Environment	It was alleged that a City employee inappropriately accessed and utilized a City facility currently closed during the COVID-19 state of local emergency.	The Whistle-blower Program’s investigation determined the allegation to be unsubstantiated. The investigation determined an absence of evidence to support access occurred. As a result of the investigation, new security measures have been implemented to prevent employee access to a facility closed during the state of local emergency.
Year: Q2-2020	Category of Concern: Health, Safety and Environment	It was alleged that two City employees were involved in a physical altercation in the workplace.	The Whistle-blower Program’s investigation determined the allegation was found to be unsubstantiated. The investigation determined that the activity was not of a nature to be contrary to the Workplace Violence policy, however, it was nonetheless found to be inappropriate and non-compliant with the Labour Relations policy. As a result of the investigation, appropriate corrective action has been taken, including reinforcement of The City’s expectations regarding appropriate workplace behaviour.
Year: Q2-2020	Category of Concern: Health, Safety and Environment	It was alleged that a City employee made uninformed and inappropriate comments.	The Whistle-blower Program’s investigation determined the allegation to be substantiated. The investigation determined the statements made were inappropriate, insensitive and not aligned with The City’s Code of Conduct and Respectful Workplace Policy as it relates to respectful behaviour. As a result of the investigation, appropriate coaching has occurred with the employee and a number of additional corrective actions were identified to ensure an appropriate level of unconscious bias awareness and accountability is applied on a go forward basis.
Year: Q1-2020	Category of Concern: HR, Diversity and Respectful Workplace	Nature of Allegation: It was alleged that an employee was abusing work-from-home privileges	Conclusion and Corrective Action: The Whistle-blower Program’s investigation determined the allegation to be unsubstantiated. The investigation identified some irregular practices by the employee who would on occasion work from home, however, the activities were approved by a supervisor and no wrongdoing was associated to the employee or the supervisor. As a result of the investigation, the WBP recommended that Administration clarify to leaders in this business unit on effective and cost-efficient utilization of staff working on alternative schedules.
Year: Q1-2020	Category of Concern: Health, Safety and Environment	Nature of Allegation: It was alleged that a City pool inappropriately remained open to the public following results of a water sample test.	Conclusion and Corrective Action: The Whistle-blower Program’s investigation determined the allegation to be unsubstantiated. Investigation determined that Administration acted in accordance to guidance provided by the health authority. As a result of the investigation, a recommendation was made to Administration to provide pool staff with refresher training of protocols and communication related to pool water safety.
Year: Q1-2020	Category of Concern: HR, Diversity and Respectful Workplace	Nature of Allegation: It was alleged that inter-personal relationships within a business unit resulted in biased decision-making of advancement opportunities for staff.	Conclusion and Corrective Action: The Whistle‐blower Program’s investigation determined the allegation to be substantiated. The investigation confirmed that leaders with inter-personal relationships with staff at various levels were also decision-makers. The City’s employment and conflict of interest policies provide guidance to ensure that conflicts of interest, real or perceived, do not influence decision-making. The investigation further determined that employees offered promotions were qualified for the new roles. As a result of the investigation, the WBP recommended that senior leadership in the business unit ensure that steps are taken to effectively manage interpersonal relationships in a manner that embraces transparency, trust and aligns to City policy and procedure.
Year: Q1-2020	Category of Concern: HR, Diversity and Respectful Workplace	Nature of Allegation: It was alleged that an inter-personal relationship within a business unit resulted in preferential treatment and biased decision-making.	Conclusion and Corrective Action: The Whistle-blower Program’s investigation determined the allegation to be substantiated. The investigation confirmed that an inter-personal relationship between employees lacked an appropriate level of transparency, disclosure and oversight to ensure compliance with the City’s Employment Policy. As a result of the investigation, appropriate corrective action was taken by Administration.
Year: Q1-2020	Category of Concern: Misuse, Misappropriation of Assets	Nature of Allegation: It was alleged that a City employee was utilizing a city vehicle for personal purposes.	Conclusion and Corrective Action: The Whistle-blower Program’s investigation determined the allegation to be substantiated. The investigation confirmed that the employee’s use of a City vehicle was not compliant with The City’s Conflict of Interest policy and the Fleet Operator’s Handbook, both which prohibit use of a City vehicle for non-City purposes. As a result of the investigation, Administration has committed to taking appropriate corrective action, including reinforced messaging to staff of the City’s expectations regarding use of City vehicles.
Year: Q1-2020	Category of Concern: Business Integrity	Nature of Allegation: It was alleged that a City employee, acting in the capacity of hiring manager, was in a conflict of interest.	Conclusion and Corrective Action: The Whistle-blower Program’s investigation determined the allegation to be substantiated. The investigation confirmed that an existing relationship with a candidate was not disclosed and their selection for the available position was not transparent or aligned with the principles of the City’s Employment Policy. The investigation further determined that the successful candidate was nonetheless qualified for the position. As a result of the investigation, appropriate corrective action was taken by Administration.