Self-assessment risk-analysis tool conflict of interest and post-employment office of values and ethics

What is a conflict of interest? (Internal resource)

How to use this tool

• Choose the appropriate conflict of interest category (see below) and answer the questions.
• If you answer “no” to all of the questions in the category pertaining to your situation, you are unlikely to be in a situation of real, apparent or potential conflict of interest.
  • We recommend that you keep the completed form for your records to show that you have assessed the situation; if the situation changes, complete the self-assessment again or call the Office of Values and Ethics (OVE) for a confidential discussion.
• If you answer “yes” to any of the questions in the category pertaining to your situation, you may be in a situation of real, apparent or potential conflict of interest. We suggest you:
  • discuss the situation with the Office of Values and Ethics (OVE) (Internal resource); and/or
  • complete the PCH Confidential Declaration Form for Conflicts of Interest & Post-Employment (Internal resource) and submit it to the OVE.
• If you are unsure how to answer any of the questions, please contact the OVE (Internal resource).
• There is a higher risk for your situation if, in your official role:
  • you have access to or knowledge of sensitive information (i.e. non public information);
  • you manage financial resources and/or have financial delegation of authority; or
  • your duties are visible to the general public.

Assessing your situation

Please choose one of the following types of activities:

1. Outside Activity or Employment
2. Gifts, Hospitality and Other Benefits (Internal resource)
3. Preferential Treatment or Family Links
4. Political Activity
5. Solicitation
6. Financial Assets and/or Liabilities
7. Post-Employment
8. Interchange Program (Internal resource)
9. Ethical Use of Social Media (Internal resource)

1. Outside Activity or Employment

For the purpose of this exercise, outside activities may include but are not limited to the following situations:

• sitting on a board of directors
• volunteer work
• freelance or contract work
• owning a private business
• a secondary employment outside work hours
• outside employment while on a leave of absence
• a teaching appointment
• a publication of an article or a personal manuscript, or
• a display of art, etc.

The following questions will assist you in identifying any risk of real, apparent or potential conflict of interest that could arise as a result of your involvement in outside activities while being employed by Canadian Heritage (PCH).

1. Is your outside activity or employment performed for an entity (organization, association or person) that has a business link with PCH? (Yes/No)
2. Is this entity receiving funding from PCH? (Yes/No)
3. Is your outside activity or employment with an entity that has dealings with the Government of Canada (any department, agency or Crown corporation)? (Yes/No)
4. Will you receive a benefit or income either directly or indirectly from the Government of Canada, as a result of your outside activity or employment? (Yes/No)
5. Could the entity with which you are involved have occasion to do business with PCH in the future? (Yes/No)
6. In your PCH role, do you or could you potentially have dealings with an entity related to your outside activity or employment? (Yes/No)
7. Is there any overlap of functions or clientele between your official duties and your outside activity or employment? (Yes/No)
8. Could an outside entity with which you are involved take advantage of, or benefit from, information or influence you have as a result of your official duties? (Yes/No)
9. Could it appear that you may have been offered a position with an outside employer/organization because of information or influence (real or perceived) that you can offer as a result of your official role? (Yes/No)
10. Could a member of the public raise a reasonable doubt about your objectivity or the objectivity of PCH as a result of your outside activity? (Yes/No)
11. Could your participation in the outside activity impact your performance or your ability to accomplish your official duties? (Yes/No)

If you answered “yes” to any of the above questions, we recommend that you:

• discuss your situation with your manager and the Office of Values and Ethics (OVE), which provides confidential advice; and/or
• complete the PCH Confidential Declaration Form for Conflicts of Interest & Post-Employment (Internal resource) and submit it to the OVE.

If you answered “no” to all of the above questions, it is unlikely that your outside activity or employment will compromise public confidence in the impartiality and objectivity of the public service. If you are still unsure, consult the OVE for advice. You are nevertheless required to observe these four standard parameters at all times:

1. refrain from representing yourself as a PCH official while performing your outside activity;
2. refrain from using or communicating privileged information obtained in the course of your duties as a PCH official;
3. ensure you perform your outside activities outside normal PCH working hours; and
4. refrain from using PCH equipment to perform outside activities.

Note: The Department attempts to accommodate employees in managing situations of conflict of interest. In certain situations where there is an increased risk, the OVE may recommend additional parameters. In some rare cases, if the conflict of interest cannot be mitigated, employees will be asked to withdraw from the activity.

For more information, consult section Outside Employment and Activities (Internal resource) on the OVE intranet page.

3. Preferential Treatment / Family Links

This type of conflict of interest can include:

• Offering an advantage or extraordinary service to relatives^{Footnote 1} or associates^{Footnote 2} or any other person or entity, whether related to staffing, financial awards or penalties, transfer payments, program operations or any other exercise of responsibility.
• Causing a disadvantage to any entity or persons dealing with the Government because of your own antagonism or bias.

When participating in any decision-making, we shall ensure that we do not grant preferential treatment to family members, friends, entities and/or persons that have dealings with the Government, where the assistance is not part of out official duties, without obtaining prior authorization froum our manager and complying with the conditions for that authorization.

The following questions will assist you in identifying any risk or real, apparent or potential conflict of interest that could arise as a result or preferential treatment or family links.

1. Are you in a position to provide someone better service than a member of the general public would receive in a standard way or assistance? (Yes/No)
2. Could you be perceived as offering an advantage to a relative or an associate in terms of staffing, procurement, funds, etc.? (Yes/No)
3. Are you in a position to advantage or disadvantage a client as a result of your private interests or bias? (Yes/No)
4. Are you thinking of hiring someone who is a relative or an associate? (Yes/No)

If you answered “yes” to any of the above questions, we recommend that you:

• discuss your situation with your manager and the Office of Values and Ethics (OVE), which provides confidential advice; and/or
• complete the PCH Confidential Declaration Form for Conflicts of Interest & Post-Employment (Internal resource) and submit it to the OVE.
• options Include:
  • Ask to be re-assigned to another position or to have the project you are involved in assigned to another member of your team.

If you answered “no” to all of the above questions, it is unlikely that your actions are at risk of compromising public confidence in the impartiality and objectivity of the public service. If you are still unsure, consult the OVE for advice.

4. Political Activity

As a public servant, your right to engage in any political activity at the federal, provincial, territorial or municipal level is governed by Part 7 of the Public Service Employment Act (PSEA). The Act states that you may engage in any political activity as long as it does not impair or is not perceived by others as impairing your ability to perform your duties in a politically impartial manner. A political activity is defined by the PSEA as:

• any activity in support of, within, or in opposition to a political party;
• any activity in support of or in opposition to a candidate; or
• seeking nomination as, or being a candidate, in a municipal, provincial, territorial or federal election, before or during the election period.

To assess whether a particular activity could impair or be perceived as impairing your ability to perform your duties in a politically impartial manner, you should consider factors such as the nature of the activity, the nature of your duties in your organizational context and the level and visibility of your position.

Consult the Public Service Commission (PSC) web site page on political activities where you will find a political activity Self-Assessment Tool.

Depending on your results, you may be at risk of being in a real, apparent or potential conflict of interest and should consider the following courses of action:

• Discuss your situation with your manager and the Office of Values and Ethics (OVE).
• Consult the Public Service Commission (PSC) web site page on Political Activities, where you will find other sources of information.

Note:

• If you wish to seek nomination as a candidate in an election, you need to request and obtain permission from the PSC well in advance. You will also need to contact the OVE.
• Leave Without Pay (LWOP) may be appropriate to the situation, keeping in mind that employees on LWOP are still subject to the PCH Code of Values and Ethics (Internal resource).

5. Solicitation

With the exception of fundraising for such officially supported activities as the Government of Canada Workplace Charitable Campaign (GCWCC), the PCH Code of Values and Ethics (Internal resource) indicates that public servants may not solicit or accept transfers of economic benefit or transfers of economic value from a person, group or organization in the private sector who has dealings with the Government (including fellow public servants).

Officially supported fundraising activities must have prior written authorization from the Deputy Minister.

Unofficial activities involving fundraising for a charitable organization, official social or other activity, including an employee or family of an employee in need, are generally not advisable. Examples include:

• organizing a draw, such as a 50-50;
• selling Girl Guide cookies; or
• seeking sponsorship for a charity event, such as a walk-a-thon.

A limited amount of passive fundraising for an employee’s personal charitable interest may be permitted on the employer’s premises, provided that:

• there is no disruption to operations;
• the employer’s systems are not used to advertise the activity; and
• employees are not pressured to donate.

The following questions will assist you in identifying any risk of real, apparent or potential conflict of interest that could arise as a result of solicitation.

1. Is it for a charitable organization outside the Government of Canada Workplace Charitable Campaign? (Yes/No)
2. Does the Department have business dealings with the company or organization being canvassed? If yes, please explain briefly here. (Yes/No)
3. Do you have a personal interest in the organization being canvassed? (Yes/No)
4. Is it for a social activity? (Yes/No)
5. Is it for an employee or family of an employee in need? (Yes/No)
6. Is it possible that the solicitation could disrupt colleagues from their work? (Yes/No)
7. Will departmental systems be used to advertise the solicitation? (Yes/No)
8. Is it possible that employees could feel pressured to donate? (Yes/No)

If you answered ″yes″ to any of the above questions, you may be at risk of being in a real, apparent or potential conflict of interest and we recommend that you:

• Discuss your situation with your manager and the Office of Values and Ethics (OVE).
• Complete the PCH Confidential Declaration Form for Conflicts of Interest and Post-Employment (Internal resource) and submit it to the OVE.

If you answered “no” to all of the above questions, it is unlikely that you are at risk of conflict of interest related to solicitation. If you are still unsure, consult the OVE for advice.

6. Financial Assets / Liabilities

The anticipated TBS Directive on Reporting and Managing Financial Conflicts of Interest will provide organizations with direction, procedures and measures to effectively report and manage financial conflict of interest situations between an employee’s assets and liabilities and his or her related duties and responsibilities. Until it is released, Appendix A, Assets, Liabilities and Trusts (PDF format), of the former Values and Ethics Code for the Public Service, remains in effect.

Examples of assets and liabilities that may pose a risk of conflict of interest include:

• publicly traded securities of corporations and foreign governments, and self-administered RRSPs and self-administered RESPs that are composed of these securities, where these securities are held directly and not through units in mutual funds;
• interests in partnerships, proprietorships, joint ventures, private companies and family businesses, in particular those that own or control shares of public companies or that do business with the Government;
• commercially operated farm businesses;
• real property that is not for your own private use, or use by your family members;
• commodities, futures and foreign currencies held or traded for speculative purposes;
• assets placed in trust or resulting from an estate of which you are a beneficiary;
• secured or unsecured loans granted to persons other than to members of your immediate family;
• any other assets or liabilities that could give rise to a real, apparent, or potential conflict of interest due to the particular nature of your official duties; and
• direct and contingent liabilities in respect of any of the assets described in this section.

The following questions will assist you in identifying any risk of conflict of real, apparent or potential conflict of interest that could arise as a result of any relationship between your personal financial assets or liabilities and the nature of your official duties.

1. Do you or your family members own a business that is related to your work at PCH? (Yes/No)
2. Do you or your family members own a business where you share the same clients as PCH? (Yes/No)
3. Do you own assets or liabilities contained in the list of assets as outlined above? (Yes/No)
4. Does the Department have dealings with the companies or subsidiaries in your investment portfolio? (Yes/No)
5. Is there a link between your official duties as a public servant and any of the companies and/or subsidiaries of your portfolio? (Yes/No)
6. Do you have any responsibility, as part of your official duties, for making recommendations or decisions that could be related to your assets or liabilities? (Yes/No)
7. Do you have access, as a result of your official duties, to any non-public or sensitive information which could, or could appear to, have an influence on your decisions related to your assets and/or liabilities? (Yes/No)
8. Do you or your relatives own any commercially operated business in the industries that PCH regulates? (Yes/No)
9. Do you have any interests in partnerships, proprietorships, joint ventures, private companies or family businesses that have business links to the Government of Canada? (Yes/No)

If you answered ″yes″ to any of the above questions, you may be at risk of being in a real, apparent or potential conflict of interest related to your asset and/or liabilities and should take the following courses of action:

• Discuss your situation with the Office of Values and Ethics (OVE); the OVE will help you determine whether or not the information needs to be disclosed to relevant managers, HR and/or legal advisors.
• Complete the PCH Confidential Declaration Form for Conflicts of Interest and Post-Employment (Internal resource) and submit it to the OVE.
• Note: You may be required to divest assets, without selling or transferring assets to family members or anyone else, for the purpose of circumventing the compliance requirements.

If you answered “no” to all of the above questions, you are unlikely to be at risk of conflict of interest related to your assets and/or liabilities. If you are still unsure, consult the OVE for advice.

7. Post-Employment

Without unduly restricting your ability to seek other employment after leaving the public service, the PCH Values and Ethics Code (Internal resource) requires that you minimize the possibility of real, apparent or potential conflicts of interest between your most recent responsibilities within the federal public service and subsequent employment outside the public service, subject to a one-year limitation period after leaving office.

You are at risk if you have received, following or prior to your retirement or departure from PCH, a firm offer of an appointment to a board of directors or employment with an entity that may have a business link with the Department.

The following questions will assist you in identifying any risk of real, apparent or potential conflict of interest that could arise as a result of post-employment.

1. Are you currently employed by PCH or has it been less than a year since your departure from the Department? (Yes/No)
2. Do you currently hold an executive group (EX) position, an EX minus 1 position, an EX minus 2 position or their equivalents? (Yes/No)
3. Is the offer of an appointment to a board of directors or employment with an entity with which you had personally, or through your subordinates, significant official dealings during the period of one year immediately prior to your retirement or departure from PCH? (Yes/No)
4. Will you be required to make representations on behalf of persons or entities outside of the public service to any government organization with which you had personally, or through your subordinates, significant official dealings during the period of one year immediately prior to your retirement or departure from PCH? (Yes/No)
5. Will you be required to give advice to your clients or employer using information that is not publicly available concerning the programs or policies of the departments or organizations with which you were employed or with which you had a direct and substantial relationship? (Yes/No)
6. Will you have occasion to do business with the Department or the Government, once you have begun your new employment within one year of your departure from PCH? (Yes/No)
7. Was the new job offered to you because of the ability, influence or information you possess as a result of your work or position at PCH? (Yes/No)
8. Will you be performing the same type of functions and responsibilities in your new work as when employed by PCH, and will they relate in any way to the job you now hold at PCH? (Yes/No)
9. Could you take advantage of, or benefit from, information that you obtained in the course of your official duties at PCH? (Yes/No)

If you answered ″yes″ to any of the above questions, you may be at risk of being in a real, apparent or potential conflict of interest related to post-employment and should take the following courses of action:

• Discuss your post-employment plans or job offer with your manager and the Office of Values and Ethics (OVE).
• Complete the PCH Confidential Declaration Form for Conflicts of Interest and Post-Employment (Internal resource) and submit it to the OVE.
• Options include:
  • Request that the Deputy Minister waive or reduce the limitation period. (Reasons for waiving the limitation period are outlined in the PCH Values and Ethics Code (Internal resource), Part II, section 3).
  • Request to be assigned to another position within the Department for your last year of employment at PCH.

If you answered “no” to all of the above questions, you are unlikely to be at risk of conflict of interest related to your post-employment situation. If you are still unsure, consult the OVE for advice.