Audit of Values and Ethics
|Criteria Title||Audit Criteria|
|Line of Enquiry 1: Governance|
|1.1 Governance structureFootnote 1Footnote 2||The Agency has an appropriate governance structure in place to support values and ethics. Leadership is exemplified through the implementation and visible promotion of the Treasury Board Values and Ethics Code for the Public Sector and Public Health Agency of Canada Values and Ethics Code.|
|1.2 Strategic directionFootnote 1||Management’s strategic values and ethics direction and implementation plans are aimed at maintaining a business climate that is focused on continuously improving the Agency’s transparency, accountability and ethical decision-making process.|
|1.3 PlanningFootnote 1||The Agency has in place operational objectives and plans aimed at promoting its values and demonstrating commitment to an ethical culture.|
|Line of Enquiry 2: Risk Management|
Management of ethical risksFootnote 1Footnote 3
|Management identifies, assesses, mitigates and reports on ethics-related strategic and operational risks.|
|Line of Enquiry 3: Internal Controls|
Policies and proceduresFootnote 1Footnote 2Footnote 3
|The Agency clearly defines and implements its code of conduct, policy, directive, guideline and/or processes to support values and ethics.|
Training and toolsFootnote 1Footnote 2Footnote 3
|The Agency provides employees with the necessary training, tools, resources and information to foster compliance with the Public Health Agency of Canada Code of Values and Ethics and supports the discharge of responsibilities in the area of values and ethics.|
Monitoring and reportingFootnote 1Footnote 2Footnote 3
|The Agency establishes processes to adequately monitor, assess, resolve and report on values and ethics issues on a timely manner.|
Performance measurementFootnote 1
|The Agency sets critical success factors and identifies key performance indicators to evaluate its values and ethics culture and expected results.|
Appendix B – Scorecard
|1.1 Governance structure||NMI||There is an appropriate governance structure in place to support values and ethics at the Public Health Agency of Canada (the “Agency” or PHAC). The Agency would benefit from establishing a multi-tier conflict of interest review process to ensure that decisions taken to resolve conflict of interest situations are thoroughly analyzed and investigated. Leadership was demonstrated in the development and implementation of the PHAC Values and Ethics Code.||1|
|1.2 Strategic direction||NMO||A three-year Health Canada/PHAC values and ethics strategic plan currently under development since January 2013 will include a vision, mandate, strategic objectives, expected results, and implementation strategy comprised of key activities, responsibilities, timelines potential risks and performance indicators.||2|
|1.3 Planning||NMO||An updated multi-year values and ethics operational plan would help the Agency to ensure that: planned projects, activities and actions are complete; that there is effective use of limited resources; and that new or changing organizational priorities are reflected and implemented in a timely manner.||3|
|2.1 Management of ethical risks||NMO||Although ethical risks were not covered in the formal risk management process, the Agency was able to identify some potential risk areas with respect to values and ethics through the 2011 Public Service Employee Survey results.Â The Agency was also able to identify some potential risk areas with respect to possible conflict of interest situations through the analysis of confidential reports. Moreover, a draft Health Canada/PHAC Values and Ethics Risks Classification pertaining to the five public sector values was recently developed using the Health Canada Risk Taxonomy. HRSD plans to introduce a more systemic risk management process to be incorporated within its strategic and operational planning processes for fiscal year 2013-14.||Ref.3|
|3.1 Policies and procedures||NMI||The Agency has implemented its PHAC Values and Ethics Code that is aligned with the Treasury Board Values and Ethics Code for the Public Sector, as well as a PHAC Directive on Conflict of Interest and Post-Employment Measures. Key processes and procedures will be formally documented.||-|
|3.2 Training and tools||S||Values and ethics tools, resources and training are available to support employees with their responsibilities under the Agency’s code of conduct.||-|
|3.3 Monitoring and reporting||NMO||HRSD plans to strengthen the monitoring and reporting to senior management on values and ethics.||Ref. 3|
|3.4 Performance measurement||NMO||HRSD plans to introduce performance indicators into the Corporate Services Branch Operational Plan.||Ref. 3|
Appendix C –Values and ethics infrastructure
Values and ethics infrastructure
Text Equivalent - Appendix C
Appendix C –Values and ethics infrastructure
Overall Description: The purpose of the Appendix is to illustrate the values and ethics governance structure, as well as to depict the hierarchical reporting and functional relationships. The Deputy Head of the Public Health Agency of Canada provides leadership and approves all policies with respect to values and ethics in the organization.
Senior Management Oversight
The Deputy Head is advised and supported by three committees and one consultative group:
- Departmental Audit Committee;
- Executive Committee;
- Conflict of Interest Committee – This Committee for the Agency is chaired by the Director General, Human Resources Services Directorate, and reports directly to the Deputy Head. This Committee has not convened since December 2011 but is expected to resume its role and responsibilities in fall 2013; and
- Public Health Ethics Consultative Group – This Consultative Group is an external advisory body.
The Executive Committee is further supported by two sub-committees, one working group and a champion:
- Risk Management Oversight Sub-Committee;
- Science, Policy and Management Sub-Committee – This Sub-Committee for the Agency replaced its Public Health and Policy Committee, which sunset in August 2012;
- Values and Ethics Working Group – This Working Group for the Agency was also sunset during 2012-13; and
- Values and Ethics Champion – The Deputy Chief Public Health Officer is the Values and Ethics Champion for the Agency.
The Partnership Executive Committee serves as a forum for information-sharing, transparent financial reporting, general consultation and decision-making on matters to do with effective management and oversight of the Partnership and the Agreement, as well as generally ensuring that both the Public Health Agency of Canada and Health Canada share the benefits of the new Shared Services Partnership. The Corporate Services Branch is one of the shared services provided under the Agreement.
The Assistant Deputy Minister, Corporate Services Branch is supported by the Director General, Human Resources Services Directorate for informed decision making related to values and ethics program administration, management and service delivery, including conflict of interest. The Director, Workplace Relations and Organizational Wellbeing oversees the Values and Ethics Program and Conflict of Interest Function. This Function is managed and delivered by the Labour Relations – Corporate and Operations.
- The Partnership Executive Committee is responsible for serving as a forum for information-sharing, transparent financial reporting, general consultation and decision-making on matters to do with effective management and oversight of the Partnership and the Agreement, as well as generally ensuring that both the Public Health Agency of Canada (the Agency) and Health Canada share the benefits of the new Shared Services Partnership.
- The Public Health Ethics Consultative Group is an external advisory body.
- The Conflict of Interest Committee for the Agency is chaired by the Director General, Human Resources Services Directorate, and reports directly to the Chief Public Health Officer. This Committee has not convened since December 2011 but is expected to resume its role and responsibilities in fall 2013.
- The Science, Policy and Management Sub-Committee for the Agency replaced its Public Health and Policy Committee, which sunset in August 2012.
- The Deputy Chief Public Health Officer is the Values and Ethics Champion for the Agency.
- The Values and Ethics Working Group for the Agency was sunset during 2012-13.
- The Conflict of Interest Function is managed and delivered by the Labour Relations – Corporate and Operations.
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