Questions and answers

Introduction

These questions and answers are designed to help you understand the Values and Ethics Code for the Public Service. It is not an exhaustive list. When providing advice in this field, it is important to use judgement and take the organizational culture into account.

1. Why does the Values and Ethics Code for the Public Service apply exclusively to public servants working in departments, agencies and other public institutions listed in Part I of Schedule I of the Public Service Staff Relations Act? Shouldn't the Code apply to everyone employed in the Public Service?

The Treasury Board and the Public Service Human Resources Management Agency of Canada (formerly TBS) do not act as the employer for all government institutions, only for those listed in Part I of Schedule I of the Public Service Staff Relations Act, which is why most of the policies issued by the Treasury Board and administered by the Public Service Human Resources Management Agency of Canada (formerly TBS) can only apply to them. However, other government organizations are encouraged to follow the spirit of the Code and adopt similar provisions.

2. Are public servants required to sign a document certifying that they have read, understood and accepted the requirements of the Values and Ethics Code for the Public Service?

Section 11(2)(i) of the Financial Administration Act gives the Treasury Board, as the employer, the authority to define the terms and conditions of employment of public servants, which it does through the Code and the Policy on the Prevention and Resolution of Harassment in the Workplace. This authority was delegated to the Public Service Human Resources Management Agency of Canada (formerly TBS) by an Order-in-Council announced on December 12, 2003. The Code itself constitutes a reasonable condition of employment. Whether or not public servants sign a document of attestation, they are still subject to the conditions of employment set by the employer. The elimination of the requirement to sign a certification document is an administrative convenience that does not in any way change the requirement to respect the new condition of employment, in this case the Values and Ethics Code for the Public Service. The employer is responsible for informing public servants of this condition of employment, and the letter of offer is one of the chosen ways of meeting this obligation, which is why the Public servant Certification Document is no longer required.

3. What must public servants do to comply with the Code?

People should act in accordance with values stated in Chapter 1. For example, they should spend public funds judiciously and treat colleagues and citizens with respect.

Public servants can comply with the Code by avoiding risks of conflict, divesting themselves of anything that could represent a risk of conflict, and preparing a confidential report.

Avoiding the risk of conflict: by avoiding activities or situations that may place them in a real, potential or apparent conflict of interest situation in terms of their official duties and responsibilities or by divesting themselves of such activities.

Submission of a confidential report: by submitting to the designated official a written statement listing the assets they own, the gifts, hospitality and other benefits they receive, and their participation in employment or any other activity that is not part of their official functions and could lead to a conflict of interest.

Divestment: when a public servant's continued ownership of property could constitute a real or potential conflict of interest in terms of that public servant's official duties and responsibilities, he or she may decide to sell the asset to an arm's length buyer or place that asset in trust.

And, naturally, this list is not exhaustive.

4. What if a public servant does not comply with the Code?

Compliance with the provisions of the Code is a condition of employment.

Any public servant who does not comply with the measures set out in the Code is subject to disciplinary measures ranging from an oral warning up to and including discharge from the Public Service.

5. Who monitors whether public servants comply with the Code?

The responsibilities are clearly defined. Each public servant is required to comply with the provisions of the Code. Deputy Heads have specific responsibilities with regards to the implementation and application of the Code. The Public Service Human Resources Management Agency of Canada (formerly TBS) routinely assesses the performance of departments with respect to their application of the Code.

6. When a public servant and the designated official disagree on the administration of the Code, is there a specific mechanism or procedure for redress and what type of disciplinary measure is applicable?

No, the Public Service Human Resources Management Agency of Canada (formerly TBS) has not integrated any redress mechanism into the Code.

The standard grievance settlement procedure applies. The right to file a grievance is provided by section 91 of the Public Service Staff Relations Act. In the event of disagreement, employees must first comply and then file their grievance. Other public servants, including students, casual and part-time workers can submit a complaint in writing to their manager.

If a public servant refuses to comply with the requirements of the Code, the principle of progressive disciplinary action must be followed.

The departmental staff relations advisor must be consulted in such cases.

7. Who is subject to the post-employment compliance measures?

The post-employment compliance measures apply to public servants in positions at or above the Executive level (EX 1 and above) and their equivalent as well as at EX minus 1 and 2 and equivalent positions (e.g. PM-06, IS-05, AS-07).

However, upon recommendation by the Deputy Head, a department may designate other positions as being subject to the post-employment compliance measures.

The Deputy Head must consult the Public Service Human Resources Management Agency of Canada (formerly TBS) on such designations.

8. Why do the post-employment compliance measures apply to public servants at lower levels, such as EX minus 1 or 2?

The Code takes into account the fact that more and more responsibility is being delegated to public servants who are not in the EX category or their equivalent. Several EX minus 1 or 2 public servants have access to documents and information that could place them in the same kind of conflict of interest situation as executives. This calls for appropriate preventive measures.

9. What measures can a department put in place to check whether a former public servant who is subject to the post-employment compliance measure (EX, EX minus 1, EX minus 2 levels and their equivalents) is respecting the measures in question?

In the first place, departments should ensure that before leaving the Public Service, public servants are reminded orally or in writing of the post-employment compliance measures, and that there is some assurance that they clearly understand their intent and limitations.

Technically, once a public servant has left the Public Service, there are no simple measures that a department can use to check whether that public servant is respecting the post-employment compliance measures to which he or she is subject. The onus for compliance is on the individual in question. Once an individual has left office, he or she is no longer a public servant, hence managers no longer have any authority over him or her.

10. Has the Public Service Human Resources Management Agency of Canada (formerly TBS) published any criteria for departments interested in introducing additional measures? What measures would be acceptable?

No, the Public Service Human Resources Management Agency of Canada (formerly TBS) has not published any criteria or examples of acceptable or other measures. Any department wishing to introduce additional measures should take into account the situations that might have significant conflict of interest repercussions.

Departments should ensure that the additional measures are fair and equitable. Third parties should not see the measures as being excessive. Common sense and respect for the rights and freedoms of public servants should guide the decisions taken in this regard.

By way of example, the National Museums of Canada requires that their employees report any privately-held works of art or artefacts to avoid any risk of conflict of interest.

Departments should consult the Public Service Human Resources Management Agency of Canada (formerly TBS) before introducing new compliance measures.

11. Ca public servants who are not subject to the limitation period set out in Chapter 3 of the Code and who leave the government make representations on behalf of a business to their former department?

Chapter 3 of the Code indicates that after leaving office, public servants should not take improper advantage of their former positions.

The definition of improper advantage depends on each individual case and should stand the test of what a reasonable person would consider as proper. Such situations should be reviewed on a case by case basis.

12. Does the Code apply to public servants who are on leave without pay?

Yes. The Code applies to public servants who are on leave without pay. All of the rules and regulations continue to apply. They retain their status as public servants until they leave office.

13. Are there guidelines that should be brought to the attention of public servants who are considering undertaking outside activities?

Activities that do not fall under a public servant's official duties should not detract from their performance of their official duties.

Public servants may not use government property. They may not knowingly benefit from knowledge or use information obtained in the course of their official duties that are not available to the public.

During their off-time, they may only engage in activities that are not related to their official functions.

They must not receive any economic benefit and the business employing them must not benefit from their work for the federal government.

14. A public servant would like to use a meeting room at lunchtime to sell crafts. The individual has also indicated that all transactions will be in cash only and that the invitation to this event would be sent by e-mail. Is there a conflict of interest?

Yes, it has been explicitly pointed out in the Code that public servants are not allowed to use government facilities for anything other than officially approved activities.

Moreover, in general, the use of e-mail should be restricted to office business, not for advertising personal activities.

The fact that the transactions will be cash only raises some issues. If this means that no GST or other taxes will be charged, the department cannot approve the activity since it cannot approve anything that does not comply with current legislation (taxes).

15. Can a public servant be the supervisor of his or her spouse or a member of his or her family?

Yes, there is nothing in the Public Service Employment Act to prohibit this. The merit principle applies.

Some departments have guidelines on working relations between relatives in order to manage such situations.

You will find below some more considerations on this issue.

Avenues of Resolution

NOTE: This table provides an example of the avenues that should be taken to resolve an ethical dilemma, seek an interpretation, disclose wrongdoings in the workplace related to the Code or challenge a decision related to compliance measures for conflicts of interest or post-employment.

CHAPTER 1: PROFESSIONAL AND PEOPLE VALUES *

This section of the guide deals with questions related to the Values and Ethics Code for the Public Service, Chapter 1 Statement of Public Service Values and Ethics by presenting situation scenarios that public servants could potentially encounter.

Case 1: Follow the rules or exercise discretion when serving the public

Isabelle manages a single window unit that provides service directly to the public, including a range of social services. The workload of public servants in the unit is already overloaded because people turn to them for help with a number of issues that are not part of the unit's mandate. Isabelle has tried to reduce the time devoted to such questions, but she admits her staff is firmly convinced that this additional help is important to some needy clients.

Recently, Daniel, one of her officers, was very concerned about a particular case and exerted great pressure for a generous interpretation of the rules. In this specific case, the client would lose benefits if the eligibility criteria were strictly applied, and the facts of the case were not very clear. The hardship that the loss of benefits would cause to an otherwise deserving person would be severe.

Isabelle must decide whether she should insist that Daniel respect the rules or allow for compassion in their interpretation. It is clear that her decision in this case will have an impact on the way other officers treat similar cases in the future.

Factors to consider

• The possibility of withdrawing benefits from one person.
• The impact on similar requests in the future / setting of precedent.
• Balancing the interests of the organization with those of the recipient.

References

Values and Ethics Code for the Public Service.

• Chapter 1: Professional values
  Public servants shall endeavour to ensure the proper, effective and efficient use of public money.
• In the Public Service, how ends are achieved should be as important as the achievements themselves.
• Public servants should constantly renew their commitment to serve Canadians by continually improving the quality of service, by adapting to changing needs through innovation, and by improving the efficiency and effectiveness of government programs and services offered in both official languages.

• Chapter 1: People values
  Respect for human dignity and the value of every person should always inspire the exercise of authority and responsibility.

Suggested solutions:

1- First point of view: fair rules

Programs should be administered in an objective manner for the good of the whole community, rather than in a subjective manner for the good of an individual. By coming to the aid of a person who, from a personal point of view, is in need, public servants run the risk of harming other people who are equally in need.

Public servants should also be protected from undue pressure exerted by some clients. Public servants deserve to have rules from which they can draw support. If the rules are clear, clients know what to expect. When rules are not clear, public servants do not serve their clients well. Rules exist to protect both the clients and public servants.

2- Second point of view: to serve Canadians with compassion.

Daniel is exerting strong pressure for the rules to be interpreted generously. His position is based on the following three ideas.

• Interpretation of rules and regulations should be liberal and fair. We should think of citizens first when we interpret the rules.
• All public servants should act with humanity. Compassion is one of our fundamental concerns. Many people want to become public servants because they identify with these elements of our mission.
• As public servants, we should show courage by emphasizing points of view that may not be popular. A front-line public servant is responsible for evaluating cases, while the manager has a responsibility to provide that public servant with the necessary tools and resources.

3- Third point of view: involving public servants in solving the problem.

Public servants should be ready to take a step back and ask themselves if the rules are being applied appropriately. Managers must involve their staff in the discussion of the procedure to follow in making this evaluation. The Values and Ethics Code for the Public Service provides the guidance needed for a balanced interpretation of the rules and values of the Public Service. A continuing dialogue between public servants and management about questions of ethics makes it possible to anticipate and resolve situations of conflicting values.

Case 2: balancing compassion for public servants and operational constraints.

Bianca manages a small work unit. One public servant, Nathalie, often arrives late and disappears for long periods. Nathalie is a single parent. She feels that she is doing her job, and occasionally gets permission to take work home to make up required hours of work.

At the same time, another public servant, Sophie is risking her physical and mental health by taking on additional work. Bianca fears that as a result, Sophie may soon need extended sick leave.

Bianca must find a way of accommodating the personal needs of her staff as well as the professional needs of her organization.

Factors to consider

• The degree of flexibility to allow in Nathalie's work schedule.
• The impact of this flexibility on the other public servants in the work unit.
• Equity of the workload.

References:

Values and Ethics Code for the Public Service.

• Chapter 1: Professional values
  In the Public Service, how ends are achieved should be as important as the achievements themselves.
• Public servants should constantly renew their commitment to serve Canadians by continually improving the quality of service, by adapting to changing needs through innovation, and by improving the efficiency and effectiveness of government programs and services offered in both official languages.

• Chapter 1: People values
  Respect for human dignity and the value of every person should always inspire the exercise of authority and responsibility.
• Public Service organizations should be led through participation, openness and communication, and with respect for diversity and for the official languages of Canada.

The conflict in this case is between people values and professional values. Nathalie's values of family and children must be reconciled with the professional values of service and work standards.