3.1 Code of Conduct Standards & Professional Ethics (O. Reg. 363/07)
Key Takeaways
O. Reg. 363/07 is made under PSISA s. 53, and compliance with the Code of Conduct is a condition of every licence.
Individual licensees must act with honesty and integrity, obey all laws, treat everyone equally, avoid unnecessary force and co-operate with police where the law requires.
The Code makes information received while working confidential, except where disclosure is required as part of the work or by law (s. 2(1)(h)).
A licensee may not be unfit for duty through alcohol or drugs, or misrepresent the type, class or conditions of their licence (s. 2(2)).
Concealing one's identity as a private investigator to carry out duties is not misrepresentation under the Code (s. 2(3)), but claiming police authority remains prohibited.
In Ontario, ethical behaviour by private investigators is a legal requirement. Ontario Regulation 363/07 (Code of Conduct) is made under s. 53(1) of the Private Security and Investigative Services Act, 2005 (PSISA). Section 53(2) makes compliance with the Code a condition of every licence. Section 1 of the regulation says a licensee who contravenes it is in breach of the Code. A breach can lead to a public complaint and facilitation, licence conditions, suspension or revocation, or prosecution for contravening a regulation under s. 43(1)(d) of the Act.
Syllabus section 2 introduces the Code, and syllabus section 6 asks you to apply it to ethical decisions. Section 3.4 of this guide covers the decision-making side.
The Full Text of the Code, Organized for Study
Duties of every individual licensee — s. 2(1)
While working as a private investigator or security guard, every individual licensee shall:
| Clause | Duty |
|---|---|
| (a) | Act with honesty and integrity |
| (b) | Respect and use all property and equipment in accordance with the conditions of the licence |
| (c) | Comply with all federal, provincial and municipal laws |
| (d) | Treat all persons equally, without discrimination based on race, ancestry, place of origin, colour, ethnic origin, citizenship, creed, sex, sexual orientation, age, marital status, family status or disability |
| (e) | Refrain from profane, abusive or insulting language or actions, or actions otherwise uncivil to any member of the public |
| (f) | Refrain from exercising unnecessary force |
| (g) | Refrain from behaviour that is prohibited or not authorized by law |
| (h) | Respect the privacy of others by treating all information received while working as confidential, except where disclosure is required as part of the work or by law |
| (i) | Co-operate with police where it is required by law |
Prohibitions for every individual licensee — s. 2(2)
No individual licensee shall:
- (a) be unfit for duty, while working, through consumption of alcohol or drugs;
- (b) conspire with another person, or aid or abet another licensee, in a breach of the Code;
- (c) wilfully or negligently make a false statement or complaint against another licensee; or
- (d) misrepresent to any person the type, class or conditions of their licence.
The undercover exception — s. 2(3)
Clause 2(2)(d) does not apply to an individual licensee who is concealing their identity as a private investigator in order to carry out their duties. This is why a lawful undercover or covert assignment is not, by itself, a breach of the Code. The exception covers concealing that you are an investigator. It does not permit claiming police authority, which PSISA s. 39 and Criminal Code s. 130 prohibit.
Duties of licensed business entities — s. 3
Agencies and their officers, directors, partners and sole proprietors must comply with all laws, treat all persons equally without discrimination, keep information confidential except where disclosure is required for the business or by law, and co-operate with police where required by law. They may not conspire in or aid a breach, make false statements or complaints against another licensee, or misrepresent the type, class or conditions of the business licence.
Honesty and Integrity in Practice
Clients, insurers, tribunals and courts rely on investigative reports to make high-stakes decisions. Acting with honesty and integrity means an investigator never:
- fabricates, alters or exaggerates surveillance observations or witness statements;
- suppresses facts that contradict the client's preferred version of events;
- bills for surveillance hours, mileage or searches that were never done;
- presents rumours or speculation as verified findings; or
- gives misleading evidence under oath. Perjury is a Criminal Code offence (s. 131).
An investigator is an objective fact-finder. Reporting the hour a claimant rested on a bench is as important as reporting the hour they carried groceries.
Confidentiality and Its Limits — s. 2(1)(h)
The Code treats confidentiality as part of respecting the privacy of others. Information received while working is confidential, and the regulation names only two exceptions:
- Disclosure required as part of the work. Reporting findings to the client, or to the lawyer or insurer the client designates, is the purpose of the engagement. Disclosure beyond that circle needs the client's authorization and must still comply with privacy law (see Chapter 4).
- Disclosure required by law. Examples include a valid subpoena, summons, search warrant or court order, and statutory duties such as the duty in Ontario's Child, Youth and Family Services Act, 2017 to report a child who may need protection to a children's aid society.
| Situation | Disclose? | Reason |
|---|---|---|
| Client asks for the surveillance report | Yes | Required as part of the work |
| A friend at dinner asks about a case | No | Not part of the work and not required by law |
| A colleague on a different file asks about the subject's medical appointments | No | Not part of the work; health details are highly sensitive |
| You are served with a summons to produce your notes | Yes, as the summons requires | Required by law |
| You observe evidence that a child is being abused | Yes, report to a children's aid society | Required by law |
| A reporter calls about a newsworthy case | No | Not part of the work and not required by law |
The duty continues after a file is closed.
Equal Treatment and Human Rights — s. 2(1)(d)
The Code lists its own prohibited grounds of discrimination. The ministry's study guide adds that investigators must also comply with the Ontario Human Rights Code, which protects additional grounds such as gender identity, gender expression and record of offences (in employment).
In practice:
- Selecting subjects. Never target a person for surveillance or background inquiries because of race, religion, sexual orientation or another protected ground. Investigations must rest on the client's lawful mandate and objective facts.
- Writing reports. Describe physical features only as needed for identification, and never use derogatory terms.
- Interviews. Treat witnesses, complainants and subjects with equal respect, and adapt your communication for language barriers or disabilities.
Civility and Self-Control — s. 2(1)(e)
Investigators often work in tense situations: serving documents, interviewing reluctant witnesses or being confronted during surveillance. The Code still requires civility toward every member of the public:
- Never insult, swear at or threaten a subject, witness or bystander.
- If confronted, stay calm, avoid argument and leave if the occupier directs you to.
- Record the encounter objectively in your notes.
Unnecessary Force — s. 2(1)(f)
A private investigator has no greater use-of-force powers than any other private person, but also no smaller ones. The Criminal Code rules are:
- s. 25: a person who is required or authorized by law to do something in the administration or enforcement of the law is justified in using as much force as is necessary, if acting on reasonable grounds. Criminal Code s. 494(4) confirms that a person making a lawful citizen's arrest is "authorized by law" for this purpose.
- s. 26: anyone authorized to use force is criminally responsible for any excess.
- s. 27: reasonable force may be used to prevent certain serious offences.
- ss. 34 and 35: self-defence and defence of property, each limited to what is reasonable in the circumstances.
The Code adds a regulatory layer: force that is unnecessary breaches s. 2(1)(f) even if no criminal charge follows. The ministry's study guide lists "avoid using excessive force" among the basic Code expectations. Section 7.2 covers force in detail.
Fitness for Duty — s. 2(2)(a)
A licensee must not be unfit for duty while working through consumption of alcohol or drugs, and that includes cannabis and impairing medication. Surveillance driving, accurate note-taking and calm public interaction all require full alertness. The ministry's guidance is simple: do not be under the influence of alcohol or drugs while working.
Co-operating with Police — s. 2(1)(i)
The duty is to co-operate with police where it is required by law:
- produce your licence when asked;
- comply with a warrant, production order or summons; and
- never obstruct a peace officer (Criminal Code s. 129) or mislead police (s. 140, public mischief).
Outside legal requirements, an investigator has no general duty to reveal confidential client information to police. You may politely decline to discuss file details, but you must never lie or interfere with a police operation.
Conflicts of Interest
The Code does not use the words "conflict of interest." Syllabus section 6 lists impartiality and conflict of interest as decision-making issues, and an investigator who works while secretly conflicted is hard to reconcile with the duty to act with honesty and integrity.
| Conflict type | Example | Professional response |
|---|---|---|
| Acting against a current client | Investigating a person the agency currently provides services to | Decline the new file |
| Misusing a former client's information | Using confidential details from an old file against that same client | Never use the information; decline if it is relevant |
| Personal relationship | The subject is a relative or close friend | Disclose to your employer and withdraw |
| Undisclosed financial interest | The investigator owns part of a business that benefits from the result | Disclose, and withdraw unless the client consents with full knowledge |
Contingent or success-based fees are not themselves illegal; PSISA s. 2(8) expressly contemplates remuneration contingent on completing the work. Fee terms must still never pressure an investigator to shade the facts.
Enforcement of the Code
- Complaints: anyone may complain to the Registrar in writing within 90 days (PSISA s. 19). Code of Conduct complaints normally go to a facilitator, who can recommend remedial instruction that the Registrar then imposes as a licence condition.
- Licence action: the Registrar may impose conditions, refuse renewal, suspend or revoke (ss. 13–15). The ministry's guide notes that a complaint can also lead to a warning or charges.
- Prosecution: contravening the regulation is an offence under s. 43(1)(d). The maximum penalty is $25,000, one year in jail, or both for an individual, and $250,000 for a business entity (s. 45).
+---------------------------------------------------------------------+
| Code of Conduct (O. Reg. 363/07) at a glance |
+--------------------------+------------------------------------------+
| Honesty and integrity | s. 2(1)(a) |
| Obey all laws | s. 2(1)(c), (g) |
| Equal treatment | s. 2(1)(d) - Code's own list of grounds |
| Civility | s. 2(1)(e) |
| No unnecessary force | s. 2(1)(f) |
| Confidentiality/privacy | s. 2(1)(h) - except work or law requires |
| Co-operate with police | s. 2(1)(i) - where required by law |
| Fit for duty | s. 2(2)(a) - no alcohol/drug impairment |
| No false complaints | s. 2(2)(c) |
| No licence misstatement | s. 2(2)(d), except undercover s. 2(3) |
+--------------------------+------------------------------------------+
An investigator is hired to conduct surveillance on an employee suspected of fraudulent disability claims. During surveillance, the subject enters a private medical facility. A colleague asks the investigator over dinner for details about the subject's diagnosis and medical appointments. Under Ontario Regulation 363/07, how must the investigator handle this information?
Share the details openly, because the colleague is also a licensed private investigator bound by the Code
Disclose the information only if the employer orally authorized general discussion
Keep it confidential, since disclosure is allowed only when the work or the law requires it
Publish the details in an industry blog without naming the subject directly
Under the Code of Conduct and the Criminal Code, which statement correctly describes a private investigator's use of force?
Investigators may use force whenever a subject refuses to answer questions
Investigators share the force powers of municipal police when protecting a client's property
Investigators must avoid unnecessary force and follow the Criminal Code rules for private persons
Investigators may use pre-emptive force when interviewing in high-crime neighbourhoods
While conducting a retail fraud inquiry, an investigator discovers that the primary target is a close personal relative of the investigator's spouse. What is the investigator's ethical and regulatory obligation under O. Reg. 363/07?
Continue the investigation covertly to prove objectivity and protect family reputation
Disclose the relationship to the employer or client and withdraw from the assignment to protect impartiality
Complete the final report and offer a discounted fee to mitigate the personal connection
Delegate witness interviews to another investigator while secretly directing evidence collection
Sections you finish are checked off in the contents.