Integrity in Enforcement and the Code of Professionalism

What is the Code of Professionalism?

The Code of Professionalism for provincial inspection, investigation and enforcement staff includes four Service Standards and seven Elements of Professionalism intended to guide provincial inspectors, investigators and auditors in their interactions with businesses and the public. All provincial ministries involved in inspection, investigation and enforcement activities have implemented the Code to provide consistency for the citizens of Ontario.

The Code formalizes the high level of professionalism already in practice in the Ontario Ministry of Agriculture, Food and Rural Affairs (OMAFRA), and reinforces organizational values. It provides a consistent set of expectations for frontline staff and a consistent level of service excellence for our clients.

Service Standards of the Code

On initial contact with a client, an inspector, investigator or auditor will:

1. introduce themselves and the ministry they represent;
2. identify the statutory authority for the inspection, investigation or audit;
3. provide general information regarding the inspection, audit or enforcement process; and
4. provide a contact number should further information or feedback be required.

Elements of Professionalism within the Code

1. Timeliness

Definition

Conduct and conclude activities in a timely fashion.

Intent:

Staff will adhere to legislative requirements, policies and procedures to ensure they meet established internal and external timelines.

Ministry staff will

• respect internal and external timelines (e.g. legislative timelines, ministry service standards);
• establish reasonable timelines for self, co-workers and clients;
• communicate clear timeline expectations to the client;
• promptly communicate and negotiate any timeline changes with the client, within established authority;
• promptly respond to the client regarding any inquiry;
• ensure decisions are made and communicated to the client according to legislation, policies and procedures or as soon as possible;
• be well organized and prepared for the job.
  

2. Objectivity

Definition

Perform all duties impartially and objectively, without favour or ill will, based on relevant legislation, regulations, standards, policies, procedures and amassed evidence.

Intent

Staff will treat all clients and situations with objectivity and in a manner that demonstrates they are impartial. Staff will make impartial and objective decisions based on relevant legislation, regulations, standards and Ontario Public Service (OPS) policies and procedures.

• keep OMAFRA goals in mind throughou the entire client interaction
• actively avoid forming preconceptions or presumptions of probable findings on the basis of incomplete information (ie. carefully weigh all evidence related to the case;
• focus on the issues of a situation, rather than the personality or personal preferences of either the client or themselves;
• not rely solely on powers of authority when interacting with workplace parties;
• treat all clients impartially;
• use all OMAFRA resources to ensure objective decisions;
• immediately disclose any possible conflict of interest;
• always consider both sides of the argument from the parties involved without favouring either side;
• overlook irrelevant information, basing client-related decisions solely on evidence;
• not personalize situations so as to affect the collection of evidence or the decisions made;
• never allow an unhappy client to put pressure on the decision-making process and never react aggressively to intimidating circumstances;
• make decisions in all situations only after relevant information is gathered and reviewed.
  

3. Respect

Definition

Treat businesses and the public with respect by being courteous at all times and in all situations.

Intent

Staff will be courteous at all times, no matter how challenging the situation may be.

• listen carefully, recognize client’s concerns/complaints and respond with empathy;
• make consistent eye contact with the client in order to develop rapport, where appropriate;
• treat each client as an individual;
• maintain an even, calm composure at all times;
• adjust personal demeanor and presentation to client circumstances;
• take into account client sensitivities, difficulties and specific circumstances;
• acknowledge the difficulties caused by disruptions to client’s routines (e.g. interrupting an important phone call);
• deliver decisions, orders and/or official documents in a way that is sensitive to possible adverse client reactions;
• exit temporarily from escalating situations, as appropriate

4. Confidentiality

Definition

Treat in confidence whatever staff see, hear or learn that is confidential in nature unless performance of duties or legal provisions require otherwise.

Intent

Staff will adhere to the Freedom of Information and Protection of Privacy Act(FIPPA) to ensure they respect the confidentiality and sensitivity of stakeholder information. Staff will collect and protect all internal and external information in compliance with respective legislation, regulations, policies and procedures.

Ministry staff will

• recognize and respect the fundamental nature of confidential information;
• be fully aware of what documents/information are considered confidential at OMAFRA;
• consciously monitor their own activities to ensure control and custody of all documents and speech/
  communication (e.g. put documents away at night, adhere to approved records retention schedules);
• ensure that all information that is personal, sensitive and protected, is not discussed with, communicated to, or overheard by third parties;
• advise clients that some of the information they are providing may be accessible under the FOIPPA;
• advise clients requesting personal, sensitive and protected information to contact authorized parties;
• protect client’s anonymity, unless legally required to disclose.

5. Honesty and Integrity

Definition

Conduct duties in such a manner as to inspire confidence and respect for the position of public trust held by ministry staff.

Intent

Staff will not engage in activities that are, or could appear to be, incompatible with their responsibilities and duties, or call into question their objectivity, integrity and impartiality. They will follow the OPS Conflict of Interest Guidelines and identify situations of potential, actual or perceived conflict of interest.

Ministry staff will

• always follow and apply program policies and procedures established by OMAFRA in all client interactions;
• fully explain the rationale behind a decision/action;
• fully explain to the parties their options (e.g. for appeal) as well as the investigative process and the legislative provisions governing an investigation, inspection or audit;
• not be critical of OMAFRA in conversation with clients or stakeholders;
• anticipate and actively avoid positioning themselves in a situation where there is a real or perceived conflict of interest;
• compile information from all parties accurately and completely in an unbiased fashion;
• admit when an error is made and take appropriate corrective action;
• share fully and transparently with clients all relevant information, while complying with legislative requirements related to confidentiality and client anonymity;
• not be influenced by favouritism, biases, bribes or threats when making a decision;
• base decisions on current and relevant information, as supported by OMAFRA policies and procedures;
• be viewed as above reproach and neutral by all parties involved in the case.
  

6. Knowledge and Competencies

Definition

Enhance and improve the level of knowledge and competence of ministry staff.

Intent

Staff and managers will ensure knowledge and competency in all positions through a commitment to continuous learning.

Ministry staff will

• continually monitor their own state of job knowledge/competency and seek developmental opportunities as needed;
• be self-motivated in seeking learning opportunities and materials;
• consistently read/update themselves on OMAFRA legislation, policy, terminology and procedures;
• proactively monitor community and mass media on an ongoing basis for developments, trends and events in order to anticipate future demands on OMAFRA;
• conduct research to find answers;
• serve as information resources to co-workers.
  

7. Compliance and Risk

Definition

Consider the public interest and the management of risk when planning and undertaking compliance activities.

Intent

Enforcement staff will target efforts on high-risk and/or non-compliant areas and use compliance tools that are flexible and proportionate to the level of risk and the nature and circumstances of the contravention.

Ministry staff will

• clearly communicate the goals and client responsibility to the client;
• prioritize assignments with respect to risks posed to the public;
• proactively prepare for inspections by reviewing the past compliance history to ensure continuity and maximize compliance;
• assess all relevant information and determine the optimal approach to deal with the particular compliance issues;
• evaluate the risk to the public, prioritize activities accordingly and use the appropriate compliance options and tools for the circumstance;
• actively monitor corrective action plans to ensure compliance is achieved;
• take appropriate action consistent with policies, procedures and directives.
  

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