Company Policies - Mackenzie Financial Corporation

Policy Prohibiting Discrimination and Sexual Harassment 

Introduction

Mackenzie is committed to maintaining a work environment that is free of discrimination and sexual harassment. In keep with this commitment, Mackenzie will not tolerate discrimination or sexual harassment of its employees by anyone regardless of seniority and has adopted a policy which prohibits such conduct and provides guidelines for dealing with it. Individuals found to have engaged in conduct constituting discrimination or sexual harassment will be disciplined up to and including termination of employment.

Definition

Discrimination

Discrimination consists of unwelcome conduct, whether verbal, physical, or visual, that is based upon grounds protected in human rights legislation such as sex, colour, race, ancestry, place of origin, ethnic origin, citizenship, creed, age, sexual orientation, record of offenses, marital status, family status or handicap. Provincial laws protect employees from discriminatory conduct that affects tangible job benefits, including hiring, terminating, promoting, compensating or any other employment practice, or conduct which interferes unreasonably with an individual's work performance, or that creates an intimidating, hostile, or offensive working environment.

The conduct forbidden by this policy specifically includes, but is not limited to:

1. epithets, racial stories or jokes, slurs, negative stereotyping, or intimidating acts that involve a prohibited ground of discrimination; and
2. written or graphic material circulated within or posted within the workplace that shows hostility toward a person or persons based on a prohibited ground of discrimination.

Sexual Harassment

Sexual harassment is any sexually-oriented practice that endangers an individual's continued employment, negatively affects his or her work performance, or undermines his or her sense  of personal dignity. Sexual harassment involves conduct that is known, or ought reasonably to be known to be unwelcome or to cause insecurity, discomfort, offence or humiliation. Conduct constituting sexual harassment includes: 

• Unwelcome solicitations or requests (direct or indirect), or intimidation, or any other comment or behavior which might be construed as a demand for sexual favours;
• Sexual advances, requests for sexual favours, or other verbal or physical conduct of a sexual nature where:
  • submission to such conduct is made explicitly or implicitly a term or condition of employment; 
  • submission to or rejection of such conduct is used as the basis for decisions affecting your employment, promotion, or movement within the organization; 
  • such conduct has the purpose or effect of humiliating you or substantially interfering with your work performance, or creating an intimidating, hostile, or offensive work environment.
• Unwelcome remarks, jokes, innuendoes, gestures or taunting about a person's body, attire, sex, sexual orientation, age, or marital status.
• Posting or circulation of offensive photos or visual materials.
• Unwanted physical contact such as touching, patting, pinching.
• Leering or other gestures of a sexual nature. 

Sexual harassment may be directed by one employee to another or may be by someone working with Mackenzie or its employees. Sexual harassment may take place on, or away from, Company premises.

What to do if you have a complaint.

Mackenzie encourages reporting of incidents of harassment or other forms of discrimination, regardless of who the offender may be.

If you feel you are being or have been harassed or otherwise discriminated against based on any prohibited ground, you should take the following actions:

• Clearly inform the offender that the behaviour is unwanted or unwelcome or otherwise inappropriate. A direct statement to the off ender may put an end to it.
• If you are reluctant to confront the offender (because you fear reprisal from the offender and/or lack of support from the work group, a supervisor or others), let your supervisor, manager or the head of the Human Resources Department or any other senior manager with whom you are comfortable know of the offensive conduct.
• Document the events, complete with times, dates, locations, witnesses and details.
• A written account will assist the investigation process if such action becomes necessary. 

When supervisors or managers receive a complaint, or know or suspect that an employee has been the victim of discrimination or harassment, they must inform the head of the Human Resources Department immediately, so that a proper investigation can be undertaken and the discrimination/harassment stopped.

If you are an employee who is not a member of management and you feel that you have witnessed harassment or discrimination, notify your supervisor, the head of the Human Resources Department or any other member of management.

Confidentiality, to the extent possible, will be maintained by all parties involved in the investigation. If the complaint is unfounded, nothing will be recorded on the personnel file of the alleged offender.

No one will be retaliated against by Mackenzie for pursuing or assisting in a valid complaint of discrimination or harassment, or cooperating in an investigation. However, invalid or fabricated claims, brought for improper or ulterior purposes, may result in disciplinary action up to and including dismissal. Anonymous complaints will not be investigated or otherwise acted upon.

How complaints are investigated.

Upon being informed of an allegation of discrimination or harassment, the head of the Human Resources Department will:

• Interview the following individuals as soon as possible:
  • the complainant and alleged offender; - any witnesses, including individuals suggested by the complainant or the alleged offender; 
  • any others who might possess relevant information about the complaint.
• Gather any relevant documentary evidence, including notes made by the complainant.
• Document all aspects of the complaint and the investigation accurately and completely.
• Within 30 days, determine an appropriate resolution that is fair and consistent.
• Notify all interested parties of the outcome of the investigation, although not necessarily all details of the investigation or actions taken.
• Document any findings of harassment or discrimination in the alleged offender's personnel file; and
• Take the appropriate disciplinary action (up to and including termination).

In an appropriate case, Mackenzie may request that the allegations be investigated by an external investigator.

Disciplinary Action

Mackenzie's policy is to investigate all complaints thoroughly and promptly. If an investigation confirms that a violation of this policy has occurred, Mackenzie will take corrective action as is appropriate, including:

• A written warning to the offender and a copy of the warning entered into the offender's  personnel file. 
• The offender may be transferred to another area. 
• Counselling may be recommended for the offender. 
• In some cases, the offender will be suspended pending further investigation. 
• The offender may be placed on probation with Mackenzie. 
• The offender's employment with Mackenzie may be terminated immediately.

Additionally, in investigating complaints of harassment or discrimination under this policy, Mackenzie may impose discipline, up to and including immediate discharge, for inappropriate conduct, unrelated to the complaint, that comes to its attention.

For further information about this policy, please contact the Human Resources Department.