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Conflict of Interest Policy

Policy Number: CS-1306-1979

Policy Title: Conflict

of

Interest

Policy Owner: Chief Human Resources Officer

Effective Date: April

1979

Last

Revised:

November 16,

2016

1. Purpose

Mohawk College requires

that

all

employees

adhere

to

the

highest

standards

of

professional

ethics. The

purpose

of this policy

is

to

provide guidelines for

all

College

employees

with

respect

to

conflicts of

interest

and

to

enhance

public confidence

in

the

integrity,

accountability

and

transparency

of Mohawk College's

operations

.

2. Application and Scope

This policy applies

to

all

employees

of Mohawk College for

the

duration of employment.

All

employees

are

required

to

review this policy upon hire,

and

annually

thereafter

to

ensure

compliance.

3. Definitions

"Actual conflict

of

interest"

exists when an

employee

has a private

or

personal interest

that

is

sufficiently

connected

to

his/her duties

or

responsibilities as a College

employee

that

it

influences

the

execution of

those

duties

and

responsibilities.

"Appeal Committee"

means a

committee

consisting of

the

Vice President, Academic,

the

Vice President,

Corporate

Services,

and

the

Vice President,

Student

and

Alumni Services.

"Conflict

of

Interest Committee"

is

a

committee

consisting of

the

Chief Human Resources

Officer,

the

General Counsel

and

Corporate

Secretary,

and

the

Internal Auditor.

"Employee"

refers

to

an individual

in

a direct

employment

relationship with Mohawk College;

contract, part-time, or full-time. Employee

does

not

refer

to

an individual

in

a

fee

for service

working relationship with

the

College.

"Family Member"

includes

parents,

siblings,

spouse,

children,

grandparents

and

grandchildren

of

an

employee,

as well as any relative who lives

in

the

same

household as

the

employee

.

"Friend"

means

any individual who has a close personal

or

business relationship.

"Manager"

means

an

employee

of

the

College who has supervisory responsibility for

one

or

more

employees.

"Perceived conflict

of

interest"

exists when a reasonably well informed individual could

properly have a

reasonable

belief

that

an

employee

has an actual conflict of interest,

even

if

there

is

no actual conflict.

"Potential conflict

of

interest" exists

when

an

employee

has

a private

or

personal

interest

that

could influence

the

performance

of

an

employee's

duties

or

responsibilities,

even

though

he/she

has

not

yet

exercised

that

duty

or

responsibility.

"Private Interest" refers

to

any

personal

or

financial affiliation

or

involvement

of

an

employee

that

does

not

serve

to

benefit

the

College,

but,

rather,

the

individual

employee

and/or

the

employee's

family

members

or

friends.

4.

Principles

Mohawk

College

is

committed

to

avoiding any actual,

perceived

or

potential conflicts

between

the

private

interests

of

its

employees

and

the

interests

of

the

College. This policy

provides for

the

College

to

review, assess,

and,

as

appropriate,

provide direction

to

employees

in

situations

where

an

actual,

perceived

or

potential

conflict

of

interest

may exist.

5.

Accountability and Compliance

5.1 Accountability

Framework

This policy has

been

approved

by Senior Leadership

Team

.

5.2

Compliance

The Conflict

of

Interest

Committee

is

authorized

to

ensure

compliance with this policy.

6.

Responsibilities

of

Employees

are

prohibited

from

being

involved

in

any

outside

activity which

would

impair

their

ability

to

perform their

duties

for

the

College.

6.1 Transparency

All

College

employees

are

obliged

to

conduct

themselves

in

a

transparent

and

accountable

manner

that

would

bear

the

closest public scrutiny.

6.2

Duty

to

Disclose

On

their own initiative,

employees

are

required

to

take

measures

to

avoid conflicts

of

interest. Employees

are

expected

to

confidentially disclose

any

actual,

perceived

or

potential

conflicts

of

interest,

in

writing

to

the

Conflict

of

Interest

Committee

for review

and

determination,

with a

copy

to

their

Manager.

The President shall disclose any actual,

perceived

or

potential conflicts

of

interest

to

the

Chair

of

the

Board

of

Governors,

and,

if

appropriate,

to

the

Board.

Members

of

the

Mohawk Executive

Group

shall disclose any

actual,

perceived

or

potential

conflicts

of

interest

to

the

President. Disclosure of

facts

or

circumstances which may

be

an actual,

perceived

or

potential

conflict

of

interest

shall

be

made

on

the

attached

form

attached

as

Appendix

A

to

this policy.

The

employee

may

have

to

cease

activities

that

pose

a

potential

conflict

of

interest

while

awaiting a decision from

the

Conflict

of

Interest

Committee.

The decision

of

the

Conflict of

Interest

Committee

may

be

appealed

to

the

Appeal

Committee.

An

appeal

under

this

section

must

be

made

in

writing, with

reasons

supporting

the

appeal,

within 15 days

of

the

decision

of

the

Conflict

of

Interest

Committee.

After

considering

the

reasons

of

the

employee,

the

Appeal

Committee,

shall

decide

the

matter,

and

this decision shall

not

be

subject

to

further

appeal.

A

copy

of

the

appeal

and

decision

will

be

retained

in

the

employee's

personnel

file, with a

copy

in

the

Office

of

the

Internal

Auditor.

7.

Types

of

Conflict

of

Interest

The following behaviours

and

situations may

constitute

inappropriate

and

impermissible

conflicts

of

interest.

If

you

are

unsure

whether

or

not

a specific

example

is

in

violation

of

the

policy,

please

consult with any

member

of

the

Conflict

of

Interest

Committee

or

your

manager.

This list

is

not

intended

to

be

exhaustive.

7.1 Outside Activities

Full-time

employees

shall

not

engage

in

any

employment

outside

of

the

college

before

presenting

all details

of

the

employment

to

the

Conflict

of

Interest

Committee.

Consent

will

not

be

unreasonably

withheld

provided

no

actual conflict

of

interest

exists.

Full-time

employees

shall

not

engage

in

any

outside

employment,

involvement

or

undertaking

that

is

in

competition,

direct

or

indirect with

the

College.

No

employee

shall

engage

in

any

outside

employment,

involvement

or

undertaking:

a.

To

the

detriment

of

the

College

and

its

reputation,

whether

or

not

for

personal

gain;

b.

That

may

damage,

through

association,

the

reputation

of

the

College;

c.

That

interferes with

the

employee's

ability

to

maintain

competent

performance

of

job

responsibilities;

d.

That

would force

an

employee

to

cut

short

or

minimize work

commitments

to

the

College;

e.

In

which an

advantage

is

derived

from affiliation with

the

College;

f.

That

is

performed

on

staff

time;

g.

That

is

performed

on

College

premises

or

takes

advantage

of

College facilities,

such as

equipment,

supplies,

and

services for

personal

gain;

h.

That

would

impose

an

overriding loyalty

on

the

employee

and

would

therefo

re

restrict

the

use

of

independent

judgement

in

the

employee's

discharge

of

his

or

her

job

responsibilities.

7.2

Personal Gain

Employees

must

never

use

their

affiliation with

the

College

to

advance

private

interests

or

act

in

any

way

that

could

harm

the

College's

reputation.

No

employee

shall

use

or

seek

to

use

their affiliation with

the

College

to:

a.

Gain

personal

or

financial

advantage,

direct

or

indirect;

b. Solicit

or

accept

favours

or

economic

incentives from individuals, organizations,

or

entities

known

to

be

seeking

education,

employment,

contracts,

or

alliances with

the

College;

c.

Leverage

personal

or

private

undertakings

that

are

for unauthorized

purposes.

7

.J

Preferential Treatment:

Employees

must

never

use

their

positions

or

access

to

confidential information

to

receive

or

provide preferential

treatment

to

others

including

but

not

limited

to

those

seeking

education

or

employment

with

the

College

(including

summer

students),

or

to

do

business

with

the

College. No

employee

shall

use

his/her

employment

with

the

College

to

provide preferential

treatment

to

any family

member

or

friend in relation

to

employment,

educational

and

contractual

opportunities

the

College.

Employees

must

disclose

any

relationship

that

could

lead

to

preferential

treatment

and

a

conflict

of

interest

with

the

College.

7

.4

Acceptance

of

Gifts:

Employees may

accept

gifts, hospitality

and

other

benefits

that

are

associated

with

their

duties

and

responsibilities with

the

College,

and

which

are

considered

to

be

within

the

normal

standards

of

courtesy,

subject

to

the

following limits:

•

No

employee

may

accept

a gift with a value

in

excess

of

$100

without

the

prior written

approval

of

his/her

manager

on

the

form

attached

as

Appendix

B.

•

No

employee

may

accept

meals,

entertainment

or

hospitality with a value

in

excess

of

$250

without

the

prior written approval

of

his

or

her

manager

on

the

form

attached

as

Appendix

B.

•

No

employee

may

accept

meals,

entertainment

or

hospitality,

regardless

of

value, from

the

same

person

or

entity

more

than

once

per

calendar

month

without

the

prior written

approval

of

his

or

her

manager

on

the

form

attached

as

Appendix

B.

•

Under

no

circumstances can

an

employee

accept

a gift

of

cash,

or

cash

equivalents such

as

gift

cards.

•

Under

no

circumstances can

an

employee

accept

gifts, meals,

entertainment

or

hospitality,

regardless

of

value, from a

person

or

entity

engaged

in

an

active

competitive

bidding

process

for

the

College's

business.

In

determining

whether

to

approve

the

acceptance

by

an

employee

of

gifts, meals,

entertainment

or

hospitality,

the

employee's

manager

shall

consider

whether

the

interests

of

the

College

are

advanced

by

the

acceptance

of

the

gift, meal,

entertainment

or

hospitality.

If

the

interests

of

the

College

are

not

so served,

the

manager

shall

refuse

to

approve

the

acceptance.

A

copy

of

the

completed

approval form shall

be

sent

to

the

Conflict

of

Interest

Committee.

Employees

must

refuse

gifts, hospitality,

or

other

benefits

that

are

offered

from

persons,

groups

or

organizations dealing with

the

College

that

would influence,

or

be

perceived

to

influence,

an

employee's

professional

judgement

and

the

performance

of

work duties

at

the

College

or

compromise

the

integrity

of

the

College.

Acceptance

of

unauthorized

or

inappropriate

gifts, hospitality

or

other

benefits

must

be

reported

immediately

to

a

manager.

8.

Rules

Failure

to

comply

with

this

policy

will

result

in disciplinary action,

up

to

and

including

termination.

Failure

to

cooperate

in

a review

of

a

potential,

perceived

or

actual Conflict

of

Interest

or

to

provide

adequate

information

when

requested

to

do

so

may

result

in

disciplinary action,

up

to

and

including

termination.

9.

Attachments

Appendix

A-

Conflict

of

Interest

Disclosure Form

Appendix

B - Gifts

and

Entertainment

Disclosure Form

10. Policy Revision

Date

10.1 Revision

Date

November

2019

10.2

Responsibility

The Conflict

of

Interest

Committee

is

responsible

for reviewing

this

policy

every

three

years

or

more

frequently

if

appropriate.

11.

Specific Links

Mohawk

College

Employee

Code

of

Conduct

Department: Position:

First Name:

Last Name:

Email Address:

Mohawk ID:

Telephone #:

Position:

Telephone #:

Name:

Name of the company/organization involved:

Nature of the activities:

page 1 of 3

03/2015

HRN-XXX

Nature of your relationship with the above mentioned person/group:

Name of person or group who received preferential treatment:

Details regarding the nature of gain (personal/financial):

Conflict of Interest Disclosure Form

This form is to be used by an employee to disclose facts or circumstances which may be an actual, perceived or potential conflict of interest to the Conflict of Interest

Committee for review and determination.

Employee Information

Full-time

Part-time

Manager's Information

Potential Conflict of Interest Areas

The potential conflict of interest is regarding a situation in the following area(s):

Outside

Activities

Personal Gain

Preferential

Treatment

Conflict of Interest Details

Please provide specific details regarding the facts or circumstances which may be an actual, potential or perceived conflict of interest.

If additional space is needed, please attach another sheet to this form.

page 2 of 3

03/2015HRN-

Printed Name Signature

Any additional information:

This disclosure is made in accordance with the requirements of Policy CS 1306-1979 Conflict of Interest. I acknowledge that this

disclosure does not relieve me of the obligation of making further disclosures of facts or circumstances which may be a conflict of

interest, of which I become aware of after this date.

This disclosure is made on the day of 20

03/2015

page 3 of 3

HRN-

Date

Chief Human Resources Officer

on behalf of the Conflict of Interest Committee

For use of the Conflict of Interest Committee.

The following actions shall be taken to address the conflict of interest as disclosed in this Form:

No action is required.

A review of the matter disclosed has satisfied me that there is no actual, perceived or potential Conflict of Interest as defined in

Policy CS-1306-1979 Conflict of Interest.

Approval with limitations.

A review of the matter disclosed has indicated that there is an actual, perceived or potential Conflict of Interest as defined in

Policy CS-1306-1979 Conflict of Interest. However, the Discloser may continue with the activity, subject to the following

limitations and conditions:

No Approval.

A review of the matter disclosed has indicated that there is an actual, perceived or potential Conflict of Interest as defined in

Policy CS-1306-1979 Conflict of Interest that cannot by resolved by the imposition of limitations and conditions. Reasons for the

refusal are:

CC: Employee Personnel File/Internal Auditor/Manager/Employee

Mohawk ID:

Last Name:

First Name:

Telephone #:

Name:

Position:

Telephone #:

Person, group or organization providing the gift, hospitality or entertainment:

Describe gift, meal, hospitality or entertainment (including date, circumstances, type of transportation (if provided):

Description of purpose of gift, meal, hospitality or entertainment:

Entertaining company’s representative:

Transportation:

$

Tickets:

$

Lodging:

$

Gift:

$

Meals:

$

Other:

$

TOTAL

$

Other Mohawk College employees attending event or receiving gift and their relationship with provider:

Manager’s remarks whether appropriate to accept gifts, hospitality or entertainment and why:

Employee Signature:

Manager Signature:

Name:

Date:

Initials:

Gifts, Meals, Hospitality, Entertainment Disclosure Form

This form is to be used by an employee to disclose and obtain approval before accepting gifts, hospitality or entertainment

outside of the limits set forth in the Conflict of Interest Policy. The employee’s manager is responsible for evaluating the

circumstances surrounding the gift, meal, hospitality or entertainment for potential conflicts of interest and/or appearance

of impropriety in accordance with the policy.

Employee Information

Manager’s Information

Disclosure Details

Estimated cost/value of each significant item provided:

TO BE COMPLETED BY MANAGER:

SUBMITTED BY: APPROVED BY:

Received by Conflict of Interest Committee:

0.00

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