As it is stated in the governance policies under the Canadian Institute of Mining, Metallurgy and Petroleum (“CIM”) Code of Conduct, the objective of this Whistleblower Policy (the “Policy”) is to create a mechanism whereby any CIM employee, Council member, director, officer, volunteer, member, contractor or supplier (“Person”) who becomes aware of a violation outlined in this Policy, other CIM policies or other potential legal and/or ethical infraction, is able to report it on a confidential or anonymous basis without fear of reprisal.
This Policy applies to all Persons and is intended to be inclusive. As employees, representatives and business associates of CIM, all are required to observe standards of business and personal ethics in the conduct of their professional interactions and duties. They must demonstrate honesty and integrity in fulfilling their responsibilities and comply with all applicable laws and regulations and policies.
CIM welcomes complaints, reports or enquiries about illegal practices or serious violations of the Code of Conduct, Competition Law Compliance Guide and Conflict of Interest Policy including illegal or improper conduct by the organization itself, by its leadership, or by other(s) on its behalf and by those interacting with CIM. Appropriate subjects to raise under this Policy would include financial improprieties, accounting or audit matters, ethical violations, discrimination, violence, harassment, intimidation, misuse of power, or other similar illegal or improper practices or policies.
Under this Whistleblower Policy, each Person has an obligation to report violations of the Code of Conduct, Competition Law Compliance Guide and Conflict of Interest Policy, and other CIM Policies including and as well as:
- Financial malpractice, impropriety or fraud;
- Failure to comply with legal obligations or statutes;
- Danger to workplace health and safety, the environment or the general public;
- Criminal activity;
- Improper conduct or unethical behaviour;
- Discrimination, violence and harassment (which conduct may be reportable under the CIM Workplace Discrimination and Harassment Policy);
- Misuse of authority;
- Attempts to conceal any of these;
- Any other activities not covered above that may be deemed harmful to CIM or individual(s).
Reports of concerns, the identity of the person making the complaint (“Complainant”) and any investigations will be kept confidential to the extent possible, except:
- When it is unavoidable during the investigation of the complaint;
- If it is part of disciplinary action;
- When required by law.
- When the Complainant declares wanting their identity known.
Disclosure of reports of concerns to individuals not involved in the investigation will be viewed as a serious disciplinary offence. It may result in disciplinary actions, up to dismissal from the volunteer position or immediate termination of employment/office for serious reasons. Such conduct may also give rise to other actions, including civil lawsuits and reports to the competent authorities/regulators.
This Policy is intended to enable Persons to raise concerns with the CIM organization for investigation and appropriate action. With this goal in mind, no Person who, in good faith, reports a concern shall be subject to retaliation or, in the case of an employee, adverse employment consequences. Moreover, any Person who retaliates against someone who has reported a concern in good faith is subject to disciplinary measures up to and including dismissal from a volunteer position, termination of contract (as allowed), or immediate termination of employment/office for serious reasons.
DUTY TO COOPERATE
Any Person who is asked to participate in an investigation pursuant to this Policy has an obligation to cooperate fully with the investigation and to preserve the confidentiality thereof. Any refusal to cooperate, failure to fully cooperate or breach the confidentiality obligations may result in disciplinary actions, up to dismissal from the volunteer position, termination of contract, or immediate termination of employment/office for serious reasons.
While fulfilling their obligations to report, as described above, a Person may consider the method by which they wish to report their concerns.
Reporting on instances of harassment, violence, intimidation and/or workplace discrimination may be done in accordance with CIM’s Workplace Discrimination and Harassment Policy or through this Whistleblower Policy if the individual reporting the actions is uncomfortable using CIM’s Workplace Discrimination and Harassment Policy.
The Person should submit their concerns, preferably in writing, directly to the Chief Executive Officer of CIM (“CEO”). However, if the individual is uncomfortable communicating directly with the CEO, or if the CEO is the subject of concern, the individual should report their concern directly to the President of the Board of Directors (“CIM President”).
Communications can be sent confidentially by either:
(B) regular mail to the attention of the CEO or the CIM President at the following address:
1040-3500 Boulevard De Maisonneuve West
Westmount, Quebec, H3Z 3C1
Some individuals may feel more comfortable initially discussing their concerns in person, by telephone or via teleconferencing vehicles. These conversations should be followed up by a written statement containing the information outlined below, unless they state that they prefer to remain anonymous.
b) Anonymous Reporting
Reporting can be made anonymously and should be sent confidentially by mail to the attention of the CEO or the CIM President (as described above) at the following address:
1040-3500 Boulevard De Maisonneuve West
Westmount, Quebec, H3Z 3C1
c) Reporting fraud
If the individual in question is reporting suspected fraud, it should always be reported to the CIM President, unless the CIM President is the subject of the reporting. In such a case, the suspected fraud should be reported to the Audit and Risk Committee Chair via e-mail (firstname.lastname@example.org) or to the attention of the Audit and Risk Chair at the above address.
- The written statement should include the following information:
- Description of the alleged violation;
- Date Complainant became aware of the alleged violation;
- Name of individual(s) suspected of the alleged violation;
- Steps taken (if any) prior to making complaint or allegation (i.e. spoke with supervisor/manager).
- Witnesses of the allegation (if any);
- Any additional details which can help investigate the issue.
Handling of reported violations
The CEO or CIM President will contact the person who submitted a concern and acknowledge receipt of the reported violation within five (5) business days of receiving the concern. It will not be possible to acknowledge receipt of anonymously submitted concerns if no contact information is provided.
The matter will be reported to the Governance Committee or to the Audit and Risk Committee by the CEO or by the CIM President. In addition, all cases of suspected fraud shall be automatically reported to the Audit and Risk Committee by the CEO or CIM President, where applicable.
All reports will be promptly investigated if sufficient information is provided. CIM may investigate the matter internally or, if appropriate, refer the investigation to external consultants. Please note that anonymous complaints which do not contain sufficient information may not be investigated and, as such, anonymous complainants should provide as many details as possible in their complaints.
After the investigation is complete, appropriate corrective action will be taken as required by the investigation.
In addition, if the complaint was not done anonymously, CIM will follow-up with the Complainant for complete closure of the concern.
ACTING IN GOOD FAITH
Anyone reporting a concern must act in good faith and have reasonable grounds for believing the information disclosed indicates an improper practice or a violation of this Policy, a CIM policy, the Code of Conduct, Competition Law Compliance Guide or Conflict of Interest Policy.
The act of making allegations that prove to be unsubstantiated, and that prove to have been made maliciously, recklessly, or with the foreknowledge that the allegations are false, will be viewed as a serious disciplinary offense. It may also result in disciplinary action up to dismissal from the volunteer position, termination of contract, or immediate termination of employment/office for serious reasons. Such conduct may also give rise to other actions, including civil claims.
BREACH OF THIS POLICY
Any breach of this Policy may be the subject of disciplinary actions, up to dismissal from the volunteer position, termination of contract, or immediate termination of employment/office for serious reasons.
AMENDMENTS TO THIS POLICY
This Policy may be amended from time to time at CIM's discretion.
If you have any questions about this Policy, please contact:
(514) 939-2710 ext. 1303