values and ethics code for the public service - oecd.org · chapter 2: conflict of interest...

Co

de d

e valeurs et d’éthiq

ue d

e la fonctio

n pub

lique

Valu

es a

nd E

thic

s C

od

efo

r th

e P

ublic

Ser

vice

V&E 4" X 6" Cover 7/16/03 1:44 PM

4X6 Booklet-Eng new 7/18/03 09:16 Page a

© Her Majesty the Queen in Right of Canada,represented by the Minister of Public Works

and Government Services, 2003.

Available through your local bookseller or by mail from

Canadian Government PublishingCommunication Canada

Ottawa (Ontario)KIA OS9

Telephone: (613) 941-5995 Orders only: 1-800-635-7943

(Canada and U.S.A.)

Fax: (613) 954-5779 or 1-800-565-7757 (Canada and U.S.A.)

Internet: http://publications.communication.gc.ca

Catalogue No.: BT22-89/2003ISBN 0-660-62352-8

This document is available in multiple formats.This document is available on the TBS Web site

at the following address: www.tbs-sct.gc.ca

4X6 Booklet-Eng new 7/18/03 09:16 Page b

Table of ContentsChapter 1: Statement of Public ServiceValues and Ethics The Role of the Public Service of Canada . . . . 5Objectives of this Code . . . . . . . . . . . . . . . . . . . 6Public Service Values . . . . . . . . . . . . . . . . . . . . . 7

Democratic Values . . . . . . . . . . . . . . . . . . . . . . 7Professional Values . . . . . . . . . . . . . . . . . . . . . 8Ethical Values . . . . . . . . . . . . . . . . . . . . . . . . . . 9People Values . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Responsibilities, Authorities and Accountabilities . . . . . . . . . . . . . . . . . . . . 11Overall Responsibility of Public Servants . . . 11Public Servants . . . . . . . . . . . . . . . . . . . . . . . . 12Deputy Heads . . . . . . . . . . . . . . . . . . . . . . . . . . 14Treasury Board . . . . . . . . . . . . . . . . . . . . . . . . 17Public Service Integrity Officer . . . . . . . . . . . . 18

Effective Date . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

for the Public Service

4X6 Booklet-Eng new 7/18/03 09:16 Page 1

Chapter 2: Conflict of Interest MeasuresObjective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Measures to Prevent Conflict of Interest . . . . . 19Methods of Compliance . . . . . . . . . . . . . . . . . . . 22

Assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23Outside Employment or Activities . . . . . . . . . 24Gifts, Hospitality and Other Benefits . . . . . . . 25Solicitation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Legal Framework . . . . . . . . . . . . . . . . . . . . . . 27Preferential Treatment . . . . . . . . . . . . . . . . . . . 28

Chapter 3: Post-Employment MeasuresObjective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29Overall Responsibility of Public Servants . . . . 29Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30Before Leaving Office . . . . . . . . . . . . . . . . . . . . . 30Limitation Period . . . . . . . . . . . . . . . . . . . . . . . . 31Reduction of Limitation Period . . . . . . . . . . . . . 32Exit Arrangements . . . . . . . . . . . . . . . . . . . . . . . 33Reconsideration . . . . . . . . . . . . . . . . . . . . . . . . 33

Values and Ethics Code

2


3


Chapter 4: Avenues of ResolutionPublic Service Values and Ethics . . . . . . . . . . . 35Measures on Conflict of Interest and Post-Employment . . . . . . . . . . . . . . . . . . . 36

Failure to Comply . . . . . . . . . . . . . . . . . . . . . . . . 37Enquiries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

Confidential Report . . . . . . . . . . . . . . . . . . . . . 38

Appendix AAssets, Liabilities and Trusts . . . . . . . . . . . . . . 39

Assets and Liabilities Subject to a Confidential Report . . . . . . . . . . . . . . . . . . . 39

Assets Not Requiring a Confidential Report . . . . . . . . . . . . . . . . . . . . 41

Divestment of Assets . . . . . . . . . . . . . . . . . . . . 43


Statement of Public ServiceValues and EthicsThe Role of the PublicService of CanadaThe Public Service of Canada isan important national institution,part of the essential frameworkof Canadian parliamentarydemocracy. Through the supportthey provide to the dulyconstituted government, publicservants contribute in afundamental way to goodgovernment, to democracy andto Canadian society.

The role of the Public Service is to assist theGovernment of Canada to provide for peace,order and good government. The Constitutionof Canada and the principles of responsiblegovernment provide the foundation for PublicService roles, responsibilities and values.

1



The democratic mission of the Public Serviceis to assist Ministers, under law, to serve thepublic interest.

Objectives of this CodeThe Values and Ethics Code for the Public Servicesets forth the values and ethics of public serviceto guide and support public servants in all theirprofessional activities. It will serve to maintainand enhance public confidence in the integrity ofthe Public Service. The Code will also serve tostrengthen respect for, and appreciation of, therole played by the Public Service withinCanadian democracy.

The Code sets out Public Service values as wellas Conflict of Interest and Post-EmploymentMeasures.

The Code should be read in the context ofthe duties and responsibilities set out inA Guide for Ministers and Secretaries of State.

Ministers are responsible for preserving publicconfidence in the integrity of management andoperations within their departments and for


6


7


maintaining the tradition of political neutrality ofthe Public Service and its continuing ability toprovide professional, candid and frank advice.

Public Service ValuesPublic servants shall be guided in their workand their professional conduct by a balancedframework of public service values: democratic,professional, ethical and people values.

These families of values are not distinct butoverlap. They are perspectives from which toobserve the universe of Public Service values.

Democratic Values: Helping Ministers, under law,to serve the public interest.

• Public servants shall give honest andimpartial advice and make all informationrelevant to a decision available to Ministers.

• Public servants shall loyally implementministerial decisions, lawfully taken.

• Public servants shall support both individualand collective ministerial accountabilityand provide Parliament and Canadians withinformation on the results of their work.


Professional Values: Serving with competence,excellence, efficiency, objectivity and impartiality.

• Public servants must work within the laws ofCanada and maintain the tradition of thepolitical neutrality of the Public Service.

• Public servants shall endeavour to ensurethe proper, effective and efficient use ofpublic money.

• In the Public Service, how ends are achievedshould be as important as the achievementsthemselves.

• Public servants should constantly renewtheir commitment to serve Canadians bycontinually improving the quality of service,by adapting to changing needs throughinnovation, and by improving the efficiencyand effectiveness of government programsand services offered in bothofficial languages.

• Public servants should also strive to ensurethat the value of transparency in governmentis upheld while respecting their duties ofconfidentiality under the law.


8


9


Ethical Values: Acting at all times in such a wayas to uphold the public trust.

• Public servants shall perform their dutiesand arrange their private affairs so thatpublic confidence and trust in the integrity,objectivity and impartiality of governmentare conserved and enhanced.

• Public servants shall act at all times in amanner that will bear the closest publicscrutiny; an obligation that is not fullydischarged by simply acting within the law.

• Public servants, in fulfilling their officialduties and responsibilities, shall makedecisions in the public interest.

• If a conflict should arise between the privateinterests and the official duties of a publicservant, the conflict shall be resolved infavour of the public interest.


People Values: Demonstrating respect, fairnessand courtesy in their dealings with both citizensand fellow public servants.

• Respect for human dignity and the valueof every person should always inspire theexercise of authority and responsibility.

• People values should reinforce the widerrange of Public Service values. Those whoare treated with fairness and civility will bemotivated to display these values in theirown conduct.

• Public Service organizations should beled through participation, openness andcommunication and with respect for diversityand for the official languages of Canada.

• Appointment decisions in the Public Serviceshall be based on merit.

• Public Service values should play a key rolein recruitment, evaluation and promotion.


10


11


ApplicationThis Code applies to all public servants workingin departments, agencies and other publicinstitutions listed in Part I, Schedule I, of thePublic Service Staff Relations Act.

This Code is a policy of the Government ofCanada. Public service institutions not coveredby this Code should respect its spirit and shouldadopt similar provisions for their organizations.

Responsibilities, Authoritiesand Accountabilities

Overall Responsibility of all Public Servants

All public service activities should be consistentwith the Values and Ethics Code for the PublicService. Where questions arise about itsapplication, see Chapter 4, “Avenues ofResolution.”

In addition to the stipulations outlined in thisCode, public servants are also required toobserve any specific conduct requirementscontained in the statutes governing theirparticular department or organization and


their profession, where applicable. They are alsorequired to observe the relevant provisions ofmore general application including the following:

• Access to Information Act; • Criminal Code of Canada; • Financial Administration Act;• Official Languages Act and Regulations;• Privacy Act;• Public Service Employment Act;• Public Service Staff Relations Act.

Related Treasury Board policies:

• Contracting Policy;• Policy on the Internal Disclosure of Information

Concerning Wrongdoing in the Workplace;• Policy on the Prevention and Resolution of

Harassment in the Workplace.

Public Servants

This Code forms part of the conditions ofemployment in the Public Service of Canada.At the time of signing their letter of offer, publicservants acknowledge that the Values and EthicsCode for the Public Service is a condition ofemployment. All public servants are responsiblefor ensuring that they comply with this Code


12


13


and that they exemplify, in all their actions andbehaviours, the values of public service. Inparticular, they have the following obligations:

a) Public servants must report, within 60 daysof their first appointment or any subsequentappointment, transfer or deployment, alloutside activities, assets, and direct andcontingent liabilities that might give rise toa conflict of interest with respect to theirofficial duties. To this end, a ConfidentialReport must be filed with their Deputy Head.

b) Every time a major change occurs in thepersonal affairs or official duties of publicservants, they must review their obligationsunder this Code. If a real, apparent orpotential conflict of interest exists, they mustfile a new Confidential Report with theirDeputy Head.

c) When negotiating financial arrangements withoutside parties, public servants must assurecompliance with the Conflict of Interest andPost-Employment Measures in accordancewith directives on this matter issued byTreasury Board. When in doubt, publicservants must immediately report thesituation to their supervisors in order to seekadvice or direction on how to proceed.


When faced with an ethical dilemma,public servants are encouraged to use theopportunities and mechanisms established bytheir Deputy Head to raise, discuss and resolveissues of concern related to this Code.

Public servants who feel they are being askedto act in a way that is inconsistent with thevalues and ethics set out in Chapter 1 of thisCode should first attempt to raise the matterusing the usual reporting relationship. Furtheravenues for resolution are contained inChapter 4 of this Code.

Deputy Heads

Deputy Heads and senior managers have aparticular responsibility to exemplify, in theiractions and behaviours, the values of publicservice. They have a duty to infuse thesevalues into all aspects of the work of theirorganizations. It is expected that they will takespecial care to ensure that they comply at alltimes with both the spirit and the specificrequirements of this Code.

In particular, Deputy Heads have the followingobligations:


14


15


a) To ensure that the letter of offer, for an initialappointment, includes the following: “You willfind enclosed a copy of the Values and EthicsCode for the Public Service. This Code is akey policy for the management of humanresources and is part of your conditions ofemployment.” Deputy Heads must ensure thatpublic servants are provided with a copy ofthe Code on any subsequent appointment.They must ensure that public servants intheir organization are informed of therequirements of this Code on an annual basis.

b) To encourage and maintain an ongoingdialogue on public service values and ethicswithin their organizations, in a manner that isrelevant to the specific issues and challengesencountered by their organizations.

c) To ensure that mechanisms and assistanceare in place to help public servants raise,discuss and resolve issues of concern relatedto this Code. This includes designating asenior official to assist public servants toresolve issues arising from the applicationof the Code.


d) To determine the appropriate method for apublic servant to comply with the Code, asset out in Chapters 2 and 3, in order to avoidconflicts of interest. In doing so, the DeputyHead will try to achieve mutual agreementwith the public servant.

e) To ensure that the personal informationin Confidential Reports is secured in acentral repository and treated in completeconfidence, in accordance with thePrivacy Act.

Deputy Heads may add compliance measuresbeyond those specified in this Code to reflecttheir department’s particular responsibilities orthe statutes governing its operations. They mustconsult with the Treasury Board of CanadaSecretariat and ensure that bargaining agents areconsulted at the departmental level in advanceof implementing new measures. The DeputyHead will inform the Treasury Board of CanadaSecretariat, in writing, of any additionalmeasures and their effective dates.

Deputy Heads may delegate responsibilities andauthorities for the implementation of the Code,but they may not delegate their accountability


16


17


for ensuring that the Code is fully upheld andadvanced within their organization or for thespecific matters outlined in this section.

Treasury Board

Treasury Board will ensure through itsSecretariat that information and educationalmaterials related to the Values and Ethics Codefor the Public Service are widely available. It willalso maintain an advisory support service forDeputy Heads and for designated departmentalofficials on the interpretation and promotion ofthe Code.

Treasury Board, through its Secretariat, willmonitor the implementation of the Code indepartments and agencies. On a regular basis,Treasury Board, through its Secretariat,will review the performance of departments inthe implementation of the Code through itsmodern management accountability framework.

The Values and Ethics Code for the Public Servicewill be subject to a review five years after itcomes into effect.


Public Service Integrity Officer

The role of the Public Service Integrity Officer isto receive, record and review disclosures ofwrongdoing in the workplace, including breachesto the Code, and to make recommendationswhere warranted to Deputy Heads for resolution.Further, the Public Service Integrity Officer mayreport on any cases dealing with breaches ofthe Code as part of his or her annual report tothe President of the Privy Council that is tabledin Parliament.

Effective Date

The effective date of the Values and Ethics Codefor the Public Service is September 1, 2003.


18


Conflict of Interest MeasuresObjectiveThe objective of thesemeasures is to establish rulesof conduct respectingconflict of interest and tominimize the possibility ofconflicts arising betweenprivate interests and publicservice duties of publicservants. These measuresserve to uphold the PublicService Values set out inChapter 1, as well as thePost-Employment Measuresin Chapter 3.

Measures to Prevent Conflict of InterestAvoiding and preventing situations that couldgive rise to a conflict of interest, or theappearance of a conflict of interest, is one ofthe primary means by which a public servantmaintains public confidence in the impartialityand objectivity of the Public Service.

2



These Conflict of Interest Measures are adoptedboth to protect public servants from conflictof interest allegations and to help them avoidsituations of risk. Conflict of interest does notrelate exclusively to matters concerning financialtransactions and the transfer of economicbenefit. While financial activity is important,it is not the sole source of potential conflict ofinterest situations.

It is impossible to prescribe a remedy for everysituation that could give rise to a real, apparentor potential conflict. When in doubt, publicservants should seek guidance from theirmanager, from the senior official designatedby the Deputy Head, or from the Deputy Head,and refer to the Public Service Values statedin Chapter 1 as well as the following measuresas benchmarks against which to gaugeappropriate action.

Public servants have the following overallresponsibilities:

a) In carrying out their official duties, publicservants should arrange their private affairsin a manner that will prevent real, apparent orpotential conflicts of interest from arising.


20


21


b) If a conflict does arise between the privateinterests and the official duties of a publicservant, the conflict should be resolved infavour of the public interest.

Public servants also have the followingspecific duties:

a) They should not have private interests,other than those permitted pursuant to thesemeasures, that would be affected particularlyor significantly by government actions inwhich they participate.

b) They should not solicit or accept transfers ofeconomic benefit.

c) They should not step out of their official rolesto assist private entities or persons in theirdealings with the government where thiswould result in preferential treatment to theentities or persons.

d) They should not knowingly take advantage of,or benefit from, information that is obtainedin the course of their official duties and thatis not generally available to the public.


e) They should not directly or indirectly use,or allow the use of, government property ofany kind, including property leased to thegovernment, for anything other than officiallyapproved activities.

Methods of ComplianceFor a public servant to comply with thesemeasures, it will usually be sufficient to submita Confidential Report to the Deputy Head.The Confidential Report outlines the publicservant’s ownership of assets, receipt of gifts,hospitality or other benefits, or participation inany outside employment or activities that couldgive rise to a conflict of interest.

There will be instances, however, where othermeasures will be necessary. These includethe following:

a) avoiding or withdrawing from activities orsituations that would place the public servantin real, potential or apparent conflict ofinterest with his or her official duties; and


22


23


b) having an asset sold at arm’s length or placedin a blind trust where continued ownershipwould constitute a real, apparent or potentialconflict of interest with the public servant’sofficial duties.

In such cases, the Deputy Head will make thedecision and communicate it to the publicservant. In determining appropriate action,the Deputy Head will try to achieve mutualagreement with the public servant in questionand will take into account such factors as:

a) the public servant’s specific responsibilities;

b) the value and types of assets and interestsinvolved; and

c) the actual costs to be incurred by divestingthe assets and interests, as opposed tothe potential that the assets and interestsrepresent for a conflict of interest.

Assets

The types of assets and interests that should beincluded in a Confidential Report, those thatneed not be declared, as well as procedures fordivesting assets are all set out in Appendix A.


It is to be noted that a public servant may notsell or transfer assets to family members orothers for purposes of circumventing thecompliance measures.

Outside Employment or Activities

Public servants may engage in employmentoutside the Public Service and take part in outsideactivities unless the employment or activitiesare likely to give rise to a conflict of interest orin any way undermine the neutrality of thePublic Service.

Where outside employment or activitiesmight subject public servants to demandsincompatible with their official duties, or castdoubt on their ability to perform their duties ina completely objective manner, they shall submita Confidential Report to their Deputy Head.The Deputy Head may require that the outsideactivities be curtailed, modified or terminated ifit is determined that real, apparent or potentialconflict of interest exists.


24


25


Gifts, Hospitality and Other Benefits

Public servants are called upon to use theirbest judgment to avoid situations of real orperceived conflict. In doing so, public servantsshould consider the following criteria on gifts,hospitality and other benefits, keeping in mindthe full context of this Code.

Public servants shall not accept or solicit anygifts, hospitality or other benefits that may havea real or apparent influence on their objectivityin carrying out their official duties or that mayplace them under obligation to the donor. Thisincludes free or discounted admission tosporting and cultural events arising out of anactual or potential business relationship directlyrelated to the public servant’s official duties.

The acceptance of gifts, hospitality and otherbenefits is permissible if they

a) are infrequent and of minimal value (low-costpromotional objects, simple meals, souvenirswith no cash value);

b) arise out of activities or events related tothe official duties of the public servantconcerned;


c) are within the normal standards of courtesy,hospitality or protocol; and

d) do not compromise or appear to compromisein any way the integrity of the public servantconcerned or his or her organization.

Where it is impossible to decline gifts,hospitality and other benefits that do not meetthe principles set out above, or where it isbelieved that there is sufficient benefit to theorganization to warrant acceptance of certaintypes of hospitality, a public servant shall seekwritten direction from their Deputy Head. TheDeputy Head will then notify the public servantin writing whether the gifts, hospitality and otherbenefits are to be declined or retained by thedepartment, donated to charity, disposed of,or retained by the public servant concerned.

Solicitation

At no time should public servants solicit gifts,hospitality, other benefits or transfers ofeconomic value from a person, group ororganization in the private sector who hasdealings with the government.


26


27


In the case of fundraising for charitableorganizations, public servants should ensurethat they have prior authorization from theirDeputy Head to solicit donations, prizes orcontributions in kind from external organizationsor individuals. The Deputy Head may requirethat the activities be curtailed, modified orterminated where it is determined that thereis a real or apparent conflict of interest or anobligation to the donor.

Legal framework

The above provisions are designed to ensure theValues and Ethics Code for the Public Service isconsistent with paragraph 121(1)(c) of theCriminal Code, which states the following:

… every one commits an offence who, beingan official or employee of the government,demands, accepts, or offers or agrees toaccept, from a person who has dealings withthe government, a commission, reward,advantage or benefit of any kind directly orindirectly, by himself or through a member ofhis family or through any one for his benefit,unless he has the consent in writing ofthe head of the branch of government thatemploys him or of which he is an official, theproof of which lies on him.


Avoidance of Preferential Treatment

When participating in any decision makingrelated to a staffing process, public servantsshall ensure that they do not grant preferentialtreatment or assistance to family or friends.

When making decisions that will result in afinancial award to an external party, publicservants shall not grant preferential treatmentor assistance to family or friends.

Public servants should not offer any assistanceto entities or persons that have dealings withthe government, where this assistance is notpart of their official duties, without obtainingprior authorization from their designatedsuperior and complying with the conditions forthat authorization.

Providing information that is easily accessibleto the public to relatives or friends or to entitiesin which public servants or their familymembers or friends have interests is notconsidered preferential treatment.


28


Post-Employment MeasuresObjectiveThe objective of thesemeasures is to establish rulesof conduct respectingpost-employment. Thesemeasures complement thePublic Service Values set outin Chapter 1, as well as theConflict of Interest Measuresin Chapter 2.

Overall ResponsibilityWithout unduly restrictingtheir ability to seek other employment,former public servants should undertake tominimize the possibility of real, apparent orpotential conflicts of interest between theirnew employment and their most recentresponsibilities within the federal public service.Before leaving employment, public servantsshould disclose their intention of futureemployment and discuss potential conflictswith their Deputy Head.


3


ApplicationThe overall responsibility cited above applies toall public servants covered by the Code. Themeasures that follow apply specifically to thosepublic servants staffed in executive positions(EX) or their equivalent as well as EX minus 1and EX minus 2 positions and their equivalent(e.g., PM-06, IS-05, AS-07).

A Deputy Head may designate other positionsas being subject to these measures (wherethe position involves official duties that raisepost-employment concerns), or excludepositions from the application of thepost-employment measures (when the officialduties of these positions do not raise concernsfor post-employment). Before doing this, theDeputy Head must consult the Treasury Boardof Canada Secretariat as well as appropriatebargaining agents when applicable.

Before Leaving OfficePublic servants must disclose, in a ConfidentialReport to their Deputy Head, all firm offers ofemployment that could place them in a real,


30


31


apparent or potential conflict of interestsituation. They must also disclose immediatelythe acceptance of any such offer.

Limitation Period Former public servants shall not, within a periodof one year after leaving office

a) accept appointment to a board of directorsof, or employment with, entities withwhich they personally, or through theirsubordinates, had significant official dealingsduring the period of one year immediatelyprior to the termination of their service;

b) make representations for, or on behalf of,persons to any department or organizationwith which they personally, or through theirsubordinates, had significant official dealingsduring the period of one year immediatelyprior to the termination of their service; or

c) give advice to their clients using informationthat is not available to the public concerningthe programs or policies of the departmentsor organizations with which they wereemployed or with which they had a directand substantial relationship.


Reduction of Limitation PeriodA Deputy Head has the authority to reduce orwaive the limitation period of employmentfor a public servant or former public servant.Such a decision should take into considerationthe following:

a) the circumstances under which thetermination of their service occurred;

b) the general employment prospects of thepublic servant or former public servant;

c) the significance to the government ofinformation possessed by the public servantor former public servant by virtue of thatindividual’s position in the Public Service;

d) the desirability of a rapid transfer of thepublic servant’s or former public servant’sknowledge and skills from the governmentto private, other governmental or non-governmental sectors;

e) the degree to which the new employer mightgain unfair commercial or private advantageby hiring the public servant or former publicservant; and


32


33


f) the authority and influence possessed whilein the Public Service, and the disposition ofother cases.

A decision by a Deputy Head to waive or reducethe limitation period will be recorded in writing.

Exit ArrangementsA Deputy Head must ensure that a public servantwho is intending to leave the Public Service isaware of these post-employment measures.

ReconsiderationA public servant or former public servant mayapply to the Deputy Head for reconsiderationof any determination respecting his or hercompliance with the post-employment measures.


Avenues of ResolutionPublic Service Valuesand EthicsAny public servant who wantsto raise, discuss and clarifyissues related to this Codeshould first talk with his or hermanager or contact the seniorofficial designated by theDeputy Head under theprovisions of this Code,according to the proceduresand conditions establishedby the Deputy Head.

Any public servant who witnesses or hasknowledge of wrongdoing in the workplace mayrefer the matter for resolution, in confidence andwithout fear of reprisal, to the Senior Officerdesignated for the purpose by the Deputy Headunder the provisions of the Policy on the InternalDisclosure of Information Concerning Wrongdoingin the Workplace.


4


Furthermore, any public servant who believesthat he or she is being asked to act in a way thatis inconsistent with the values and ethics set outin Chapter 1 of this Code can report the matterin confidence and without fear of reprisal to theSenior Officer, as described above.

If the matter is not appropriately addressed atthis level, or the public servant has reason tobelieve it could not be disclosed in confidencewithin the organization, it may then be referredto the Public Service Integrity Officer, inaccordance with the Policy on the InternalDisclosure of Information Concerning Wrongdoingin the Workplace.

It is expected that most matters arising fromthe application of this Code can and should beresolved at the organizational level.

Measures on Conflict of Interestand Post-employmentWith respect to the appropriate arrangementsnecessary to prevent conflict of interest or tocomply with the post-employment measuresdescribed in Chapters 2 and 3 of this Code, it isexpected that most situations will be addressed


36


37


by discussing the matter with the public servant,identifying avenues of resolution and takingappropriate action. When a public servant andthe Deputy Head disagree on the appropriatearrangements to prevent conflict of interest orto comply with the post-employment measuresin this Code, the disagreement shall be resolvedthrough the established grievance procedures.

Failure to ComplyA public servant who does not comply withthe requirements of this Code is subject toappropriate disciplinary action, up to andincluding termination of employment.

EnquiriesEnquiries about this Code should be referredto the responsible departmental officer who,in turn, may direct questions regarding policyinterpretation to the following:

Office of Values and EthicsPolicy and Planning SectorHuman Resources Management Office (HRMO) Treasury Board of Canada Secretariat


Form

Confidential Report

This form can be accessed through the TreasuryBoard of Canada Secretariat Web site at thefollowing address: www.tbs-sct.gc.ca.


38


39


Appendix AAssets, Liabilities and Trusts

Assets and Liabilities Subject toa Confidential Report

Public servants must carefully evaluate on aregular basis whether their assets and liabilitiesneed to be included in a Confidential Report.In doing so, they must take into considerationthe nature of their official duties and thecharacteristics of their assets and liabilities. Ifthere is any real, apparent or potential conflictbetween the carrying out of their official dutiesand their assets and liabilities, a ConfidentialReport must be filed. If there is no relationship,no report is required.

The following is a list of examples of assets andliabilities that must be reported in a ConfidentialReport if they do, or could, constitute a conflictof interest. This list is not exhaustive.


a) publicly traded securities of corporations andforeign governments, and self-administeredRegistered Retirement Savings Plans (RRSPs),and self-administered Registered EducationSavings Plans (RESPs) that are composed ofthese securities, where these securitiesare held directly and not through units inmutual funds;

b) interests in partnerships, proprietorships,joint ventures, private companies and familybusinesses, in particular those that own orcontrol shares of public companies or that dobusiness with the government;

c) commercially operated farm businesses;

d) real property that is not for the private use ofpublic servants or their family members;

e) commodities, futures and foreign currenciesheld or traded for speculative purposes;

f) assets placed in trust or resulting froman estate of which the public servant isa beneficiary;

g) secured or unsecured loans granted topersons other than to members of thepublic servant’s immediate family;


40


41


h) any other assets or liabilities that could giverise to a real, apparent or potential conflict ofinterest due to the particular nature of thepublic servant’s official duties; and

i) direct and contingent liabilities in respect ofany of the assets described in this section.

Assets Not Requiring a Confidential Report

Assets and interests for the private use of publicservants and of their family members, as well asnon-commercial assets, are not subject to thecompliance measures.

For example, such assets include the following:

a) residences, recreational properties and farmsused or intended for use by public servantsor their families;

b) household goods and personal effects;

c) works of art, antiques and collectibles;

d) automobiles and other personal means oftransportation;

e) cash and deposits;


f) Canada Saving Bonds and other similarinvestments in securities of fixed value issuedor guaranteed by any level of government inCanada or agencies of those governments;

g) Registered Retirement Savings Plans andRegistered Education Saving Plans that arenot self-administered;

h) investments in open-ended mutual funds;

i) guaranteed investment certificates andsimilar financial instruments;

j) annuities and life insurance policies;

k) pension rights;

l) money owed by a previous employer, clientor partnership; and

m) personal loans receivable from members ofpublic servants’ immediate families and smallpersonal loans receivable from other personswhere public servants have loaned themoneys receivable.


42


43


Divestment of Assets

Public servants must divest assets wheretheir Deputy Head determines that such assetsconstitute a real, apparent or potential conflictof interest in relation to their duties andresponsibilities. Divestment, where required,must take place within 120 days of appointment,transfer or deployment. Divestment of assets isusually achieved by selling them through anarm’s-length transaction or by making themsubject to a blind trust arrangement.

Where divestment is by means of sale,confirmation of the sale, such as a broker’s salesreceipt, shall be provided to the Deputy Head.

Where divestment is by means of a blind trust,the Office of the Ethics Counsellor will assistthe Deputy Head and the public servant to setup a blind trust and to determine whether aspecific blind trust meets the requirements ofthe Conflict of Interest Measures. The EthicsCounsellor will also make recommendationsto the Deputy Head on the reimbursementof certain trust costs to the public servant bythe home organization.


values and ethics code for the public service - oecd.org · chapter 2: conflict of interest...

Documents