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1
THE CORPORATION OF THE CITY OF WINDSOR
POLICY
Service Area:
Chief Administrative Office
Policy No.:
Department:
Corporate Wide
Approval Date:
July 20, 2015
Division:
Approved By:
M287-2015
Effective Date:
Oct. 21, 2002; amended Nov. 8, 2010;
amended Jul. 20, 2015
Subject:
City of Windsor Employee and
Volunteer Code of Ethics and
Conflict of Interest Policy
Procedure Ref.:
Code of Ethics and Conflict of Interest
Procedure for Annual Review of Department
Head Rulings CECI 001
Review Date:
June 1, 2020
Pages:
Replaces: Conflict of Interest Policy
CR402/2010
Updated By:
Diane Ryan
Date: October 21, 2010
1.
POLICY
1.1 The Mayor, all City of Windsor Councillors, Appointees and Employees, including
Volunteers are required to maintain a high standard of ethics and avoid any conflicts
of interest in the exercise of their duties.
1.2 This Policy governs breaches of ethics and conflicts of interest of Employees of The
Corporation of the City of Windsor and its Agencies and Corporate Subsidiaries
(where the governing body has not adopted its own policy), and Volunteers, except
those Volunteers who are Council appointees to agencies, boards, commissions and
committees who are governed as per section 1.3 below.
1.3 The Mayor, Councillors and Council appointees to agencies, boards, commissions
and committees are governed by the Code of Conduct for Members of Council and
Local Boards (Restricted Definition) (CR 409/2007)
2.
PURPOSE
2.1 The purpose of the Employee and Volunteer Code of Ethics and Conflict of Interest
Policy is to state the values and principles by which employees and volunteers are to
govern their actions in the exercise of their duties.
2.2 The Code of Ethics and Conflict of Interest Policy is not a complete code and as such,
Employees and Volunteers should not view this policy as exhaustive. All Employees
and Volunteers have a duty to be vigilant and determine the potential for a breach of
ethics or conflict of interest in all actions and govern themselves accordingly. If, in
the sole discretion of the Chief Administrative Officer (CAO), a breach of ethics or a
conflict of interest has occurred, action may be taken to resolve the breach or conflict
in accordance with this policy. This includes disciplinary action, up to and including
dismissal, where necessary.
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3.
SCOPE
3.1 This policy applies to all non-union, professional, and unionized employees of the
City of Windsor ("Employees") inclusive of all regular full time, part time, contract
and temporary employees, including seasonal recreation staff and students.
3.2 This policy also applies to individuals engaged in providing unpaid
placements/services to the Corporation and Volunteers as defined in the Corporate
Volunteerism Policy ("Volunteers") except those Volunteers who are Council
appointees to agencies, boards, commissions and committees who are governed as per
section 1.3 above.
3.3 This policy covers all actions taken by Employees or Volunteers in the exercise of
their duties. This includes personal relationships and community activities where
there is a potential for a breach of ethics or conflict of interest in the employment
context.
3.4 Application of this policy will be in accordance with applicable provisions within the
collective agreements and memoranda between the Corporation and its unions and
associations.
3.5 Notwithstanding any other provisions to the contrary in any other policies of the City
of Windsor, where there is a conflict between this policy and any other policy the
more stringent policy will apply.
3.6 Notwithstanding the reporting obligations of any other policy of the City of Windsor,
if there is reason to believe that a breach of this policy has occurred, the reporting
procedures in this policy shall be followed concurrently with any other reporting
obligations.
4.
RESPONSIBILITY
4.1 The Chief Administrative Officer is responsible for the application of this policy
within the Corporation.
4.1.1
The CAO shall ensure that this policy is communicated to all Employees
and Volunteers.
4.1.2
The CAO shall ensure that any related policies are updated to reflect the
requirements of this policy.
4.2 The Corporate Leadership Team (CLT) and all Department Heads are responsible for
the application and communication of this policy within their respective departments.
4.2.1
The Corporate Leadership Team and all Department Heads shall ensure
that all Employees and Volunteers whom they supervise are made aware
of this policy on an annual basis through the Employee Performance
Appraisal or otherwise.
4.2.2
The Corporate Leadership Team and all Department Heads shall carry out
their roles as decision makers under this policy in good faith and in a
timely and expeditious manner.
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4.2.3
The Executive Director of Human Resources shall ensure all new
Employees review and sign an acknowledgement of review of this Policy
at time of hire and prior to actively commencing work.
4.3 Employees and Volunteers are responsible to report all breaches of ethics and
conflicts of interest in accordance with this Policy.
5.
GOVERNING RULES & REGULATIONS
5.1 Employee and Volunteer Code of Ethics
5.1.1
Employees and Volunteers shall demonstrate integrity in all public and
personal relationships so as to merit respect, trust and confidence of the
governing officials of the City of Windsor, their employee colleagues and
members of the public.
5.1.2
Accountability: Employees and Volunteers shall recognize and be
accountable for their responsibilities in the exercise of their duties and
shall demonstrate loyalty to the Corporation of the City of Windsor.
5.1.3
Confidentiality: Employees and Volunteers shall demonstrate
professional integrity with respect to the issuance and management of
information and records and shall not disclose confidential corporate or
personal information without appropriate authorization whether through
reference to the Municipal Freedom of Information and Protection of
Privacy Act or any other law or policy.
5.1.4
Professionalism: Employees and Volunteers shall act with
professionalism in their work relationships and shall respect the rights of
their colleagues.
5.1.5
Conflicts of Interest: Employees and Volunteers shall actively avoid
conflicts of interest or the appearance of conflicting interests and shall
perform their duties without the expectation of personal gain other than
their employment compensation.
5.1.6
Other Professional Codes: Professional Employees and Volunteers who
are governed by a Professional Code of Conduct, Code of Ethics or other
statement of ethical obligations shall be governed by that code or
statement and where there is a conflict between that code or statement and
the Code of Ethics and Conflict of Interest Policy, the more stringent
document shall apply.
5.1.7
Local Political Activity: Employees may engage in political activity only
to the extent that such activity does not violate the Employee's duty of
loyalty to the City of Windsor.
5.1.7.1 In accordance with the Code of Conduct for Members of
Council (Bylaw 420-2001), no Employee shall provide re-
election campaign services to members of Council during the
Employee's hours of employment. In accordance with the
Municipal Elections Act, an Employee running for Mayor or
Council must take a leave of absence for the duration of the
election and if elected is deemed by law to have resigned from
his or her employment as of the date of swearing in.
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5.1.8
Vagueness or Ambiguity: Employees and Volunteers shall err on the
side of caution in any action that may create the appearance of a breach of
ethics or conflict of interest wherever the interpretation of an action or
decision may be ambiguous or vague.
5.1.9
Breaches: Breaches of this Code of Ethics may result in disciplinary
action being taken in accordance with this policy, up to and including
dismissal. Reference may also be made to any other applicable Corporate
Policy governing the actions considered to be in breach in determining the
appropriate response.
5.2 Conflicts of Interest
5.2.1
Conflicts of interest arise when an Employee or Volunteer has a personal
interest in the outcome of an action or decision that may influence the
Employee or Volunteer's judgement. Conflicts of interest may be real or
perceived. This policy applies to both real and perceived conflicts of
interest and where the term "conflict of interest" is used, it is deemed to
include both real and perceived conflicts of interest.
5.2.2
This policy incorporates by reference the following City of Windsor
Policies:
5.2.2.1 Human Rights Policy (CR 746/2005)
5.2.2.2 Workplace Harassment Policy (CR 217/2010)
5.2.2.3 Workplace Violence Policy (CR 217/2010)
5.2.2.4 Employee Standards of Deportment Policy (CR 746/2005)
5.2.2.5 Concerned Employee Policy (M14-2015)
5.2.2.6 Fraud and Misuse of Assets Policy (M140-2015)
5.2.2.7 Family Relationships - under Employment Policy (M251-2013)
5.2.2.8 Acceptable Use Policy (M109-2013)
5.2.2.9 Donations (M20-2013)
5.2.2.10 Purchasing By-Law Number 93-2012
5.2.2.11 Corporate Volunteerism Policy (CR157/2007)
5.2.3
This policy incorporates by reference all applicable provincial and federal
legislation and specifically, without limitation, the following statutes:
5.2.3.1 Municipal Act, 2001, S.O. 2001, c. 25
5.2.3.2 Municipal Conflict of Interest Act, R.S.O. 1990, M. 50
5.2.3.3 Municipal Freedom of Information and Protection of Privacy
Act, R.S.O. 1990, M 56
5.2.3.4 Municipal Elections Act, S.O. 1996, c.32
5.2.4
Conflicts of interest are categorized (without limitation) as follows:
5.2.4.1 Monetary conflicts: where an Employee or Volunteer may
benefit financially from an action or decision including, without
limitation, receipt of money, gifts or benefits, use of corporate
property, professional advancement or an increase in the value
of property or investments owned by an Employee or Volunteer
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or a person with whom the Employee or Volunteer is in a
personal relationship.
5.2.4.1.1
When an Employee or Volunteer believes he/she is in a
monetary conflict of interest he/she shall submit a
Conflict of Interest Disclosure Form to his/her
Department Head or, in the case of a Department Head
or the CAO, to his/her immediate supervisor or the
Mayor and Council respectively.
5.2.4.1.2
For further clarity, no Employee or Volunteer shall
accept any gift, favour or services or other financial
benefit in the course of the performance of their
employment duties other than:
5.2.4.1.2.1 Normal hospitality among persons doing
business where normal hospitality is restricted
to food and beverages;
5.2.4.1.2.2 Seasonal gift baskets or flowers which cannot
be reasonably returned and which are shared
equitably within the receiving department or
donated to charity;
5.2.4.1.2.3 Token exchanges as part of a protocol;
5.2.4.1.2.4 Normal presentations made to persons
participating in public functions;
5.2.4.1.2.5 Acceptance of an invitation to any social or
recreational event flowing from a business
relationship related to the Employee's or
Volunteer's employment with the City of
Windsor where the Employee or Volunteer pays
for all entry fees and participates on their own
time;
5.2.4.1.3
All monetary conflicts of interest including the above
noted exceptions shall be disclosed on a Conflict of
Interest Disclosure Form and in the case of invitations
to events, they shall be disclosed in advance of
attendance.
5.2.4.1.4
In determining whether or not there is a monetary
conflict of interest, the Department Head, CAO or
Mayor and Council, as the case may be, shall take into
consideration the following:
5.2.4.1.4.1 Is the financial benefit one that is received in the
ordinary course of business between colleagues
(e.g. meals or awards, etc.)
5.2.4.1.4.2 Is the financial benefit less than $50.00 or less
than a total of $200 in a calendar year?
5.2.4.1.4.3 If the Employee or Volunteer receives a
financial benefit through the increase in the
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value of his or her personal property or
investments, what role did he or she play in the
decision and who else received the same
benefit?
5.2.4.1.5
Where the Department Head, CAO or Mayor and
Council determines that the financial benefit creates a
monetary conflict of interest, he/she shall direct the
Employee or Volunteer to decline or return the benefit
or gift. Where necessary, the Employee or Volunteer
will be removed from any position of decision making
in respect of the possible financial benefit.
5.2.4.2 Personal and Fiduciary conflicts:
5.2.4.2.1
Personal conflicts: where an Employee or Volunteer
may be in a position to give differential treatment to a
colleague or member of the public by virtue of being in
a personal relationship with that person. Personal
relationships are defined in the Family Relationships
Hiring Policy and specifically, for the purposes of this
policy include sexual, dating, romantic and any other
close personal relationship with relative or otherwise.
5.2.4.2.2
Fiduciary conflicts: where an Employee or Volunteer
may be in a position to take advantage of a vulnerable
person due to a relationship of trust or power. A
vulnerable person includes a child, person with
impaired capacity, or person with whom an Employee
or Volunteer is in a relationship of trust as defined by
law.
5.2.4.2.3
When an Employee or Volunteer believes he/she is in a
personal conflict of interest, he/she shall submit a
Conflict of Interest Disclosure Form to their
Department Head or in the case of a Department Head
or the CAO, to his/her immediate supervisor or the
Mayor and Council respectively.
5.2.4.2.4
In determining whether or not there is a personal or
fiduciary conflict of interest, other than one relating to a
recruitment, the Department Head, CAO or Mayor and
Council, as the case may be, shall take into
consideration the following:
5.2.4.2.4.1 Does the conflict of interest involve another
Employee or Volunteer of the City of Windsor?
5.2.4.2.4.2 Does the conflict of interest involve a client,
customer or contractor of the City of Windsor?
5.2.4.2.4.3 Does the conflict of interest involve a
vulnerable person as defined by law?
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5.2.4.2.5
Where the Department Head, CAO or Mayor and
Council determines that there is a personal or fiduciary
conflict of interest involving another Employee or
Volunteer of the City of Windsor, he/she may do any or
all of the following:
5.2.4.2.5.1 Direct that the Employee or Volunteer fill out a
Family Relationships Hiring Form and follow
the procedures contained in the Family
Relationships Hiring Policy; or
5.2.4.2.5.2 Remove the Employee or Volunteer from any
position of decision making in respect of the
other Employee or Volunteer, client, customer,
contractor or vulnerable person.
5.2.4.2.6
In cases of recruitment, the Executive Director of
Human Resources (or designate) shall be responsible
for determining whether there is a personal or fiduciary
conflict of interest. Where it is determined that a
personal or fiduciary conflict exists, the Executive
Director of Human Resources shall direct the hiring
department to take appropriate steps to reduce or
eliminate the conflict and submit a Conflict of Interest
Disclosure Form to the CAO.
5.2.4.2.7
In cases of procurement activities, Employees and
Volunteers to disclose any personal or close
relationships with vendors where the employee is the
participant, influencer or decision maker in the vendor
selection/award process or where the Employee or
Volunteer is also a vendor. The City Solicitor shall rule
on Disclosure Forms submitted for
Employee/Volunteer-Vendor relationships and submit a
summary of these disclosures to the CAO each year.
5.2.4.2.8
Employee or Volunteers who enter into a sexual,
romantic and/or dating relationship with their
Supervisor or subordinate are deemed to be in a
personal conflict of interest.
5.2.4.2.8.1 For clarity, Supervisor includes any person in
the Corporate hierarchy who may have the
authority to direct the Employee or Volunteer's
work or workplace or make any human
resources decisions about the Employee or
Volunteer, including hiring, termination,
promotion or grievance decisions. In these
cases, the Employee or Volunteer and
Supervisor or subordinate are required to
immediately notify the Department Head or
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CAO, as appropriate, of the conflict. The
Department Head or CAO shall take the
necessary steps to resolve the conflict, including
the transfer or resignation of an Employee or
Volunteer as required.
5.2.4.2.9
Where the Department Head, CAO or Mayor and
Council determines that there is a personal or fiduciary
conflict of interest, the Department Head, CAO or
Mayor and Council shall remove the Employee or
Volunteer from any position of decision making in
respect of the Employee or Volunteer, client, customer,
contractor or vulnerable person.
5.2.4.3 Professional conflicts: where an Employee or Volunteer is in a
conflict between the obligations of a Professional Code of
Conduct or Ethics and an action requested or required in the
context of their employment.
5.2.4.3.1
When an Employee or Volunteer believes that he/she is
in a professional conflict of interest, he/she shall submit
a Conflict of Interest Disclosure Form to his/her
Department Head or in the case of a Department Head
or the CAO, to his/her immediate supervisor or the
Mayor and Council respectively.
5.2.4.3.2
In determining whether or not there is a professional
conflict of interest, the Department Head, CAO or
Mayor and Council, as the case may be, shall take into
consideration the following:
5.2.4.3.2.1 What is the nature of the professional conflict of
interest?
5.2.4.3.2.2 What sanction may be imposed by the
professional organization on the Employee or
Volunteer in the event of a conflict of interest?
5.2.4.3.2.3 What possible options exist to remedy the
conflict of interest?
5.2.4.3.3
Where the Department Head, CAO or Mayor and
Council determines that there is a professional conflict
of interest, the more stringent of the conflicting Codes
shall apply.
5.2.4.3.4
Where the Professional Employee or Volunteer
disagrees with the decision of the Department Head,
CAO or Mayor and Council as to the existence of a
conflict of interest, he/she may refuse to enact any
decision related to the conflict and may report the
conflict to the next highest decision making authority,
including Council sitting In Camera and/or to their
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professional college or lawful board of governors.
5.2.4.3.5
No disciplinary action may be taken against a
Professional Employee or Volunteer who takes action
under section 6.6.4 in good faith.
5.2.4.4 Political conflicts: where an Employee or Volunteer may be in
a position to challenge a decision of Council or represent an
agency, group or business (whether for-profit or not-for-profit)
before Council in a personal capacity.
5.2.4.4.1
It is not a breach of this policy for a union or
association member or a member of a professional body
to support a position taken by their union, association or
professional body.
Where an Employee or Volunteer believes he/she is in a
political conflict of interest he/she shall submit a
Conflict of Interest Disclosure Form to his/her
Department Head or in the case of a Department Head
or the CAO, to his/her immediate supervisor or the
Mayor and Council respectively.
5.2.4.4.2
In determining whether or not there is a political
conflict of interest, the Department Head, CAO or
Mayor and Council, as the case may be, shall take into
consideration the following:
5.2.4.4.2.1 Is the Employee or Volunteer acting on behalf
of an agency, board, group or business, whether
for-profit or not-for-profit to which he/she has
been appointed by Council or the Corporation?
5.2.4.4.2.2 Is the Employee or Volunteer acting on behalf
of an agency, board, group or business, whether
for-profit or not-for-profit to which he/she has
sought appointment?
5.2.4.4.2.3 Can the interests of the agency, board, group or
business, whether for-profit or not-for-profit be
represented any other way or by any other
person who is not an Employee or Volunteer or
in a personal relationship with an Employee or
Volunteer?
5.2.4.4.2.4 Is the Employee running for school board,
municipal, provincial or federal office or
actively supporting a candidate who is running
for school board, municipal, provincial or
federal office?
5.2.4.4.2.5 Is the Employee or Volunteer's union,
association or professional association actively
supporting a candidate who is running for
municipal, provincial or federal office?
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5.2.4.4.2.6 Is the conflict such that it forms part of the
duties of the Employee or Volunteer's position?
5.2.4.4.3
Where the Department Head, CAO or Mayor and
Council determines that there is a political conflict of
interest involving an agency, board, group or business,
whether for-profit or not-for-profit, he/she shall direct
that the Employee or Volunteer not appear in front of
Council on behalf of the agency, board, group or
business, whether for-profit or not-for-profit, or, if
appropriate, shall request that Council rescind the
appointment to the agency, board, group or business,
whether for-profit or not-for-profit, if the appointment
was made by Council or in the course of employment.
5.2.4.4.4
Where the Department Head, CAO or Mayor and
Council determines that there is a political conflict of
interest involving political activity in respect of a
school board, municipal, provincial or federal election,
he/she shall advise the Employee or Volunteer to
exercise caution to avoid the appearance of conflict in
the conduct of their duties as an Employee or
Volunteer, including their duty of loyalty.
5.2.4.4.5
Where an Employee or Volunteer files their intention to
run for the office of Mayor or Councillor in the City of
Windsor, section 5.1.7.1 of this Policy shall apply.
5.2.4.5 Other conflicts: where another person, acting reasonably, has
reason to believe that an Employee or Volunteer may be in a
conflict of interest not otherwise described in this Policy.
5.2.4.5.1
Where an Employee or Volunteer believes that he/she
may be in a conflict of interest not otherwise described
in this Policy, he/she shall submit a Conflict of Interest
Disclosure Form to his/her Department Head or in the
case of a Department Head or the CAO, to his/her
immediate supervisor or the Mayor and Council
respectively.
5.2.4.5.2
In determining whether or not there is a conflict of
interest, the Department Head, CAO or Mayor and
Council, as the case may be, shall take into
consideration the following:
5.2.4.5.3
Would a reasonable person, apprised of all the facts,
believe that the Employee or Volunteer is in a conflict
of interest?
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5.2.4.5.4
What possible options exist to remedy the conflict of
interest?
5.2.4.5.5
Where the Department Head, CAO or Mayor and
Council determines that there is a conflict of interest,
he/she shall direct the Employee or Volunteer to take
such steps as deemed appropriate to remedy the conflict
of interest.
5.2.4.6 Disclosure Requirements
5.2.4.6.1
Conflicts of Interest may be disclosed in the following
ways:
5.2.4.6.1.1 By the Employee or Volunteer in the potential
conflict, using the Conflict of Interest
Disclosure Form, as soon as they become aware
of the existence of a potential conflict. Failure
to disclose a known conflict may result in
discipline under this policy.
5.2.4.6.1.2 By any other Employee or Volunteer, using the
Conflict of Interest Disclosure Form, who is
aware of a potential conflict as soon as they
become aware of the existence of a potential
conflict. Failure to disclose a known conflict
may result in discipline under this policy.
5.2.4.6.1.3 Through an anonymous report to the Chief
Administrative Office. Anonymous reports will
be transcribed onto the Disclosure Form and
processed in accordance with this policy.
5.2.4.7 Breaches of this Policy
5.2.4.7.1
Breaches of the Code of Ethics and Conflict of Interest
Policy are considered in the same manner as the
contravention of any other rule or policy of the
Corporation of the City of Windsor and are therefore
subject to disciplinary action up to and including
dismissal.
5.2.4.7.2
Failure to report a conflict of interest by any Employee
or Volunteer will be treated as a serious contravention
of this policy. Employees or Volunteers who are aware
of the conflict of interest of another Employee or
Volunteer will be considered in violation of this section
if they knowingly failed to report the conflict at their
earliest possible convenience and in any event, no later
than 5 business days from becoming aware of the
possible breach.
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5.2.4.7.3
Where an Employee or Volunteer reports a breach of
ethics or conflict of interest in good faith, in accordance
with this policy, he/she shall be entitled to the same
protections as are provided in the Concerned Employee
Policy.
5.2.4.7.4
Where an Employee or Volunteer reports a breach of
ethics or conflict of interest and it is determined that
this action was not taken in good faith, the Employee or
Volunteer will be subject to discipline up to and
including dismissal.
6.
RECORDS, FORMS AND ATTACHMENTS
6.1 The form applicable to this policy is the Conflict of Interest Disclosure Form.
6.2 All documentation related to matters under this policy shall be securely filed in the
office of the respective Department Head making a ruling under this Policy or
otherwise in the Chief Administrative Office and shall be retained and / or destroyed
in accordance with the record retention requirements of the Municipal Freedom of
Information and Protection of Privacy Act and the Corporate Records Retention By-
Law No. 21-2013.
6.3 This Policy shall be reviewed every five years from the date it becomes effective or
sooner as directed by the Chief Administrative Officer.
6.4 The Chief Administrative Officer may create forms and procedures as necessary for
the orderly and consistent application of this Policy.