Code of Business Ethics WSIB Values - Serving, Excellence, Integrity & Caring In addition to our core values, this policy supports the following WSIB core competencies: 22 - Ethics and Values SkilledAdheres to an appropriate and effective set of core values and beliefs during both good and bad times; acts in line with those values; rewards the right values and disapproves of others; practices what he or she preaches. 29 - Integrity and Trust Skilled Is widely trusted; is seen as a direct, truthful individual; can present the unvarnished truth in an appropriate and helpful manner; keeps confidences; admits mistakes; doesn't misrepresent him or herself for personal gain. Copyright 1992, 1996, 2001, by Robert W. Eichinger and Michael M. Lombardo. ALL RIGHTS RESERVED. This work is derived from LEADERSHIP ARCHITECT Competency Sort Cards developed and copyrighted by Robert W. Eichinger and Michale M. Lombardo for Lominger Limited Inc. Without the prior written permission of Lominger Limited, Inc., no part of this work may be used, reproduced or transmitted in any form or by any means, by or to any party outside of Workplace Safety and Insurance Board Policy Statement As one of its core values, the WSIB places the highest value on the integrity of the organization and each of its employees. The purpose of the Code is to guide everyone to recognize and resolve ethical issues they may encounter in conducting the business of the WSIB. The Code and its terms may be modified by the WSIB at anytime and at its sole discretion. Everyone to whom this policy applies must comply with all applicable laws, and are responsible for being familiar with them and the contents of this policy. Violations of this Code are subject to discipline including restitution or termination of employment or service contract. Policy Application This policy applies to all the Board of Directors, advisors, officers, management, employees, retirees, those on early leave, and all representatives including agents, consultants, independent contractors and suppliers of the WSIB. It applies to interactions and relationships our employees have with each other; their customers; vendors; suppliers; business partners; and consultants to the WSIB. Privacy/Confidentiality The WSIB takes privacy seriously. The WSIB is a custodian of sensitive personal information and confidential business information. Protecting the confidentiality of the information, whether it is injured workers' claim information, WSIB employee information or sensitive business information, is everyone’s responsibility. WSIB is legally obligated to both protect the personal information of our workers and employees, and provide the right to access their own personal information. At the WSIB, issues of privacy are central to everything we do. Employees must at all times respect the privacy of others whether it is our workers or fellow employees by: Accessing personal information only when it is necessary for the performance of their job duties; Understanding when collection, use and disclosure is permitted and when not and to act appropriately; Understanding and applying security and privacy best practices to safeguard personal information that is in their custody or control. The importance of maintaining the security of sensitive information is not just a best practice; it is an obligation that we must be vigilant about. Knowing how to handle information effectively protects the rights of employers and workers and ensures that the WSIB meets its duties and obligations Compliance Compliance is everyone's individual responsibility. Everyone has the personal responsibility to know and understand this Code of Business Ethics and other policies of the WSIB. Those who do not comply will be subject to disciplinary procedures up to and including dismissal and/or legal action. The WSIB fosters an environment in which issues and concerns may be raised and discussed with management or others without fear of retribution or reprisal. Employees who are facing a potential conflict, or who are aware of a violation of this policy may, as a first step, report it to their direct management. Management may obtain legal advice from Legal Services on whether a conflict of interest exists. There will be no reprisal against employees for making a report in good faith. Likewise, it is unacceptable to make a complaint or file a report knowing it to be false. The identity of the employee who discloses such information will be kept confidential, except in cases where such disclosure is necessary to conduct an investigation. In addition, everyone has access to an Ethics Hotline. This hotline is monitored by a professional, independent contractor, and provides anonymity when reporting suspected violations of laws, regulations, WSIB policies or the Code of Business Ethics. This hotline is not intended to replace internal reporting channels for reporting questionable conduct or seeking advice about appropriate ethical behavior. Information collected through the Ethics Hotline will be reported to the Vice President of Human Resources. Board Members In addition to this policy, each member of the Board of Directors shall comply with the conflict of interest rules in the Management Board Secretariat Directive entitled "Government Appointees". A Board member who has a conflict of interest in a matter under consideration by the Board of Directors shall declare a conflict of interest situation to the Chair at the earliest opportunity, prior to discussion or decision on the issue by the Board of Directors. Where the Chair has a conflict of interest, the Chair shall declare a conflict of interest situation to the Board of Directors, prior to discussion or decision on the issue by the Board of Directors. If a member fails to declare a conflict of interest situation, and another member believes that the first member has or may have a conflict of interest with respect to a matter under consideration by the Board of Directors, he or she shall report the nature of the conflict to the Board of Directors at the first opportunity. The Board of Directors shall consider the matter, and may obtain legal advice from the General Counsel on whether a conflict of interest exists. The remaining members shall then determine the existence of a conflict of interest by majority vote. The Chair shall notify the Minister of Labour of the nature of the conflict of interest of any member of the Board of Directors including that of the Chair. Upon a member declaring a conflict of interest, or the Board of Directors determining that a member has a conflict of interest, the member shall absent himself or herself from the meeting of the Board of Directors during the discussion and decision on the matter. When a member has declared a conflict of interest or the Board of Directors has determined that a conflict exists, the Chair of the meeting must ensure that a quorum remains to consider and make a decision on the matter under consideration by the Board of Directors. (Refer to Minute #3, August 29, 2002, page 6440, BYLAW #1 and Workplace Safety & Insurance Board of Ontario Insurance Fund Statement of Investment Policy & Procedures section 12 and schedule "C" - December 15, 2004). Policy Provisions Health & Safety The WSIB is committed to the elimination of all workplace injuries and illnesses. All of those to whom this Code applies has a role in attaining this vision. While WSIB management has the prime responsibility for managing health and safety, everyone must protect their own personal health and safety through the decisions and actions they take. The following principles guide the Health & Safety policies of the WSIB: Everyone is entitled to a safe, healthy workplace. Everyone is responsible for health and safety at the WSIB and as such, everyone will take all possible steps to perform work in a safe manner to prevent personal injury and illness. Everyone will take responsibility for their actions and learn from experiences to prevent further incidents and near misses. The WSIB will ensure everyone receives training or guidance in specific work tasks and dependent on role to protect their own and others’ health and safety. Everyone will work in compliance with applicable legislation and established safe work practices and in doing so, be fit for work. Everyone will take timely corrective action to eliminate hazards at WSIB workplaces, or to report hazards beyond their control to their supervisor. WSIB management is committed to putting in place appropriate work practices and taking all practical measures to ensure that equipment and premises within our control are in safe condition and reduce risk to health. The WSIB and CUPE 1750 are committed to consulting about health and safety issues and taking appropriate action to ensure the safety of employees. Refer to Health & Safety policies in the HR Employee Handbook for more specific information and guidelines. Conflicts of Interest A conflict of interest occurs when individual activities or interests interfere with work responsibilities. Avoiding and preventing situations that could give rise to a conflict of interest, the appearance or perception of a conflict of interest is one of the primary means by which the WSIB maintains public confidence in the impartiality and objectivity of our business activities. Being aware of these situations protects employees as individuals, as well as the WSIB as a trusted business. The WSIB recognizes the right of employees to engage in activities outside of and unrelated to their employment. Employees shall at all times perform their WSIB duties with impartiality and shall avoid situations involving a real or perceived conflict of interest. A policy of full and complete disclosure must be followed to assess and prevent potential conflicts of interest from arising. When faced with a real or potential conflict, employees will make full disclosure and withdraw from discussions and decisions when their personal interest appears to interfere with the business interests of the WSIB. The following situations that could cause a conflict of interest are addressed below: Gifts and Hospitality Political Activity Outside Business Activity Use of WSIB Property and Electronic Tools Business Expenses & Financial Accountability Procuring Goods & Services Business & Personal Relationships with Vendors, Suppliers, Consultants & Business Partners If faced with a potential conflict of interest but you're unsure, take the Quick Ethics Test. The Values Test: Are you clear about the values reflected in your decision and are they values you and the WSIB are proud to hold? The Reasonable Person Test: Would a reasonable person in the community, having knowledge of all the facts, consider that you have acted fairly, honorably and rationally? Would your action or behavior be seen consistent with your business or business relationship? The Credit Test: If your action or decision became known to everyone, would it either bring credit or discredit to you or the WSIB? Gifts and Hospitality Gifts and hospitality are the provision of food, beverages, accommodation, transportation and other amenities given to or received from those who are not engaged in work for the Ontario government, and at the expense of our customers. It is your responsibility to decline any gift, hospitality or other benefit that could influence your judgment, or call into question your integrity or that of the WSIB. You may accept incidental gifts such as mugs or pens or other corporate tokens of nominal value, or other nominal benefits such as speakers honorariums or gifts from delegations, provided all of the following criteria are met: It is not a prohibited gift: e.g. cash or cash equivalents; tickets to major sporting or entertainment events; alcohol, cigarettes or related goods; soliciting gifts as personal benefits for an organizational event such as a sports tournament. You are not in a position to provide a direct benefit or favour to the individual or organization (or be perceived to be in that position), or be able to influence a decision desired by the giver (or perceived to be). You are not in a position to be influenced in making a business decision as a consequence of accepting hospitality or gifts. An independent third party would conclude that you acted in an objective and impartial manner. If all of the above criteria have been satisfied, the value of the gift or hospitality must correspond to the situation. When necessary to facilitate business and or business relations, gifts or hospitality may be extended on behalf of the WSIB when: Engaging representatives of other governments, the broader public sector, industry, public interest groups or unions in discussions on official matters; Providing persons from national, international or charitable organizations with an understanding and appreciation of Ontario or the workings of the WSIB; Sponsoring formal conferences for representatives of other governments or for business or labour groups; Conducting prestigious ceremonies that are attended by heads of state or government distinguished persons from the private sector or both. Political Activity The political activity provisions in the Public Service Act (PSA) apply to employees of the WSIB, as Crown employees. Crown employees include all public servants, civil servants and employees of designated crown agencies. A Crown employee engages in political activity when he or she: does anything in support of or in opposition to a federal or provincial political party; does anything in support of or in opposition to a candidate in a federal, provincial or municipal election; comments publicly and outside the scope of the duties of his or her position on matters that are directly related to those duties and that are dealt with in the positions or policies of a federal or provincial party or in the positions publicly expressed by a candidate in a federal or provincial election. No employee shall engage in political activity in the workplace. Employees cannot publicly engage in political activity as a representative of the WSIB, such as door-to-door canvassing on behalf of a candidate. Employees do not have to engage in political activity. The legislation protects employees who decline to be politically active. Some activities, such as running as a candidate in a federal or provincial election require a leave of absence without pay. For more information on this and political activity in general, refer to "Political Activity Rights for Ontario Crown Employees (Designated Agencies - WSIB)" on Connex. Outside Business Activity Employees may engage in employment outside of WSIB and take part in outside activities unless the employment or activities are likely to give rise to a conflict of interest or in any way undermine the neutrality of the WSIB. The work must not conflict, appear to conflict or potentially conflict with an individual position or influence at the WSIB, nor with the ability to perform your duties at the WSIB. Where outside employment activities might result in demands incompatible with employment at the WSIB, or cast doubt on the ability to perform WSIB duties in a completely objective manner, employees must submit a written declaration to their manager. If it is determined that a conflict of interest exists, employees may be required to curtail outside business interests. Post-Employment Activity All employees of the WSIB, past or present, are bound by this policy. While the policy does not restrict an employee’s ability to pursue post-employment activity of their choosing, employees must ensure that their employment after the WSIB does not create a conflict of interest. For example, providing advice, guidance or representation services to workers or employers on files in which the employee has formerly worked or made a decision. In addition, personal information pertaining to workers and confidential, sensitive information pertaining to employers is protected under the Freedom of Information and Protection of Privacy Act. Employees who leave the WSIB continue to be bound by this legislation regarding their former duties at the WSIB and there is an expectation that this information shall kept confidential. Use of WSIB Property And Electronic Tools Everyone is individually responsible for the protection of WSIB assets and systems assigned to or made available to them. Misuse, misappropriation of or theft of company property is absolutely prohibited. This includes assets such as software, telephones, computers, peripherals, supplies, the internet, intranet and email systems, or any other property owned by the WSIB. Refer to the following BTS Security policies for more information: Policy #06-01-02 : High Level Information Security Policy Policy #06-01-03 : Acceptable use of Email Policy Policy #06-01-04 : Acceptable use of Internet Policy Policy #06-01-05 : Acceptable use of Business Equipment Policy Intellectual Property And Copyright The WSIB owns the copyright in all works created by its employees in the course of their employment in the absence of any agreement to the contrary. As the owner of copyright in such works, the WSIB has all of the exclusive rights associated with ownership as set out in section 3 of the Copyright Act, including the exclusive right to give or withhold permission to do certain acts in relation to the works. Business Expenses & Financial Accountability The WSIB's financial, accounting and other reports and records will accurately and fairly reflect the transactions and financial condition of the WSIB in reasonable detail, and in accordance with generally accepted accounting principles, practices, procedures and legal requirements. No one will authorize payment knowing that any part of the payment will be used for any purpose other than what is described in documents supporting the payment. Everyone will exercise integrity, prudence, and judgement when they incur and approve business expenses. They must be reasonable and necessary for business reasons. Expenses incurred in the performance of WSIB business will be reimbursed in accordance with the Travel and Business Expenses policy, through the filing of expense reports, which must be documented accurately and completely. (Refer to Administrative Policy 04-08-01: Travel and Business Expense Policy.) Fiduciaries are those who are in a position to influence, or in possession of information involving, the investment of Board Funds, as defined in schedule "C" of the Statement of Investment Policy & Procedures. A Fiduciary conflict of interest is any actual, potential or perceived inconsistency between the personal and business interests of a Fiduciary or the Fiduciary's family as defined, and the Fiduciary's obligation to act solely in the best interest of the Board and the Board's Funds. A conflict of interest includes an event in which a Fiduciary may benefit from knowledge of, participation in or by virtue of an investment decision or holding of the Board Funds. A potential conflict of interest may exist where a non-monetary advantage may accrue to a Fiduciary or a Fiduciary's family as defined in schedule "C" of the Statement of Investment Policy & Procedures. (Refer to Workplace Safety & Insurance Board of Ontario Insurance Fund Statement of Investment Policy & Procedures - December 15, 2004). Procurement of Goods & Services The WSIB will only make purchases based on total cost, service, quality and proficiency. All purchasing commitments of any form, verbal, written orders, letters of intent or contracts must be processed through Strategic Procurement. Purchase requisitions issued after the fact where suppliers have already begun supplying the WSIB with the Goods and/or Services before obtaining the appropriate approvals are considered a violation of this policy. Those business units or individuals that are planning to purchase goods or services must involve Strategic Procurement early in the sourcing process to facilitate the supplier selection and qualification process and to conduct negotiations for the specific purchase. Any individual / WSIB employee who makes a Purchasing Card commitment, or signs a Purchase order or contract without having the delegated authority to do so or makes a verbal or written commitment to a supplier for it to provide Goods and/or Services to the WSIB without a Purchase Order and/or Contract in place unless by Purchasing Card in accordance with the Purchasing Card guidelines may be subject to disciplinary action up to and including termination. All WSIB employees are expected to comply with the policies related to expenditures for Goods and/or Services and the related procedures and guidelines including the following: Administrative Policy #02-01-01: Purchasing Section, Expenditure Authority Policy Administrative Policy #02-02-01: Purchasing Section, Procurement Policy Administrative Policy #04-08-02: Accounts Payable Section, Signing Authority for Payments Policy Procurement User Guidebook Business & Personal Relationships With Vendors, Suppliers, Consultants & Business Partners As representatives of the WSIB to the outside world, Board members and employees must act responsibly and in a manner that will reflect favorably on the WSIB and each of us as individuals. We will carry out our assignments guided by the principles set forth in our vision and values and in compliance with this Code and our corporate policies. When it is necessary to engage the services of an individual or firm to consult for or represent the WSIB, employees must avoid the intent and appearance of unethical or compromising conduct in relationships, actions and communication with them. Examples may include choosing a business meeting location other than WSIB offices, which might give the impression of impropriety. The WSIB will enter into representation or supplier agreements only with individuals or organizations believed to have a record of and commitment to integrity. The WSIB representative securing the supplier agreement must ensure those suppliers, agents, consultant's independent contractors and representatives are aware of this Code and their obligations under it. Employees who may have a personal relationship with a vendor, supplier, consultant or business partner contracted to the WSIB will adhere to the principles of this policy, keeping their personal relationships separate and apart from their respective WSIB interests. The WSIB will inform all vendors, suppliers, consultants and business partners of their responsibility to act on behalf of the WSIB consistent with the Code and other relevant WSIB policies. Off-duty conduct Wherever we go, we carry our professional responsibility with us. Maintaining a sense of professionalism means considered conversations when it comes to the work we do. When discussing business matters, consider your surroundings. Conversations in public places should be limited to information that is non-confidential and does not include references that could identify a person or situation. Sensitivity The importance of courteous, prompt, sensitive and professional service to the public, in an official capacity cannot be over emphasized. We represent not only ourselves, but also every Board member and employee of the WSIB. Sensitivity to the needs of the public involves being polite, even under difficult conditions, in times of personal stress, and in the face of provocation that does not involve a violation of the law. We must not make abusive, threatening, insulting, offensive or provocative statements or gesture to, or about another person. Violence Workplace violence is any direct or implied threat, intentional act or other conduct that would arouse a reasonable fear for personal safety, or the safety of friends, family, co-workers, clients, suppliers or any others doing business with or for the WSIB. This includes, but is not limited to actions, words communications or gestures, persistent pursuit of unwanted relationships, possession of weapons or any other conduct that woudl reasonably arouse fear. The WSIB will provide its employees and business partners with the highest degree of safety and security to protect them against any type of violence in the workplace. Diversity The WSIB values the background, experience, perspective and talent of each individual, and regards those differences as positive. The WSIB strives to create a workforce that reflects the diverse populations of the workplaces and communities it serves. The WSIB does not discriminate in hiring and employment on grounds prohibited by applicable laws. These include race, ancestry, colour, and place of origin, sex, ethnic origin, age, marital or family status, disability, sexual orientation, creed, religion and citizenship. Relationships with Each other The core values of the WSIB apply not only to relationships with our customers and the outside world, but to relationships with each other as well. All employees want and deserve a workplace where they feel respected, satisfied and appreciated. No WSIB employee shall knowingly participate in acts of discrimination or harassment towards any person that he or she has business relationships with. To achieve this, the WSIB creates, provides and continues to ensure a working environment of honesty, integrity, respect, trust, responsibility and citizenship. Anything less is unacceptable and will not be tolerated. Everyone must contribute to the creation and maintenance of such an environment and, our senior management must assume responsibility for fostering a context for work that will bring out the best in all of us. Everyone must dress according to the requirements of the work being performed, and the expectations of the customers they are serving. Everyone must respect the chemical sensitivities of their clients and co-workers when using scented products in the workplace. (Refer to HR policy Conduct Towards Employees - policy #60.01.02) Accountabilities The Board of Directors is accountable: To model behavior through decisions and actions that are consistent with the provisions of the Code and all applicable laws. To notify the Minister of Labour of the nature of a conflict of interest of any member of the Board of Directors including that of the Chair. To be aware of and respond to violations of the Code as reported by the President To direct, as required, policy and procedural change necessary to respond to systemic issues arising out of reported conflicts of interest. The President is accountable: To ensure that the Code is implemented and available to all to whom it applies To report violations of the Code to the Board of Directors, and to ensure systemic and policy changes necessary to support the Code are implemented as soon as the need for the changes are known Vice-President, Human Resources is accountable: To receive, track and oversee investigations as necessary into calls made to the Ethics Hotline To report annually to the President on breaches and other activity associated with the Code and their resolutions To make final decisions following breach investigations that cannot be resolved at the local level. Chiefs and Vice-Presidents are accountable: To lead by example. They are the champions of the Code and must hold their direct reports accountable for compliance within their businesses To monitor compliance with the Code within their businesses To submit an annual due diligence report to the President confirming that all of their employees have completed annual training on the Code; all employees have acknowledged the Code through the annual performance development process; all violations of the Code have been reported to the Vice-President, Human Resources Directors and Managers at all levels of the organization are accountable: To ensure that all of their employees, both current and new hires, understand their responsibilities under the Code and are in compliance To ensure that all of their employees complete annual training on the Code To report violations brought to their attention by their employees to the Vice-President Human Resources, soon as they are known To take appropriate action to investigate and address known or suspected violations to the Code To be a concerned, knowledgeable, and reliable counselor to whom employees can comfortably go for advice on business ethics To maintain employee confidentiality but if disclosure is unavoidable, to inform the employee of the disclosure, in advance if possible To create a work environment that expects and supports ethical behavior Employees at all levels of the organization are accountable: To complete annual training on the Code To understand their responsibilities under the Code and to be compliant with the Code To carry out their accountabilities ethically and with integrity To seek advice when uncertain about the right ethical decision To declare all conflicts of interest perceived conflicts of interest and potential conflicts of interest, in writing to their manager as soon as they are known. Contact Joanne Burton WSIB Human Resources Specialist (416) 344-4310