Financial Management Institute of CanadaJune 17, 2009

Current Responsibilities• Members’ Integrity Act, 1994• Lobbyists Registration Act, 1998• Cabinet Ministers’ and Opposition Leaders’

Expenses Review and Accountability Act, 2002• Public Service of Ontario Act, 2006

– Disclosures of Wrongdoing– Ethics Executive for Ministers’ Staff

Background

• The Office was established in 1988 pursuant to the Members’ Conflict of Interest Act.

• Ontario was the first province to enact legislation that included appointment of an ethics official.

• In 1994, the Members’ Integrity Act replaced the Conflict of Interest Act.

The Integrity Commissioner

• Officer of the Legislative Assembly.• Appointed on the address of the Legislative

Assembly for five year terms.• Independent of the government.

• Has been assigned other responsibilities.

• Provides greater certainty in the reconciliation of private interests and public duties of MPPs.

• The Integrity Commissioner scrutinizes, advises, investigates and reports on matters relating to integrity and conflicts of interest.

MPP Integrity

• Standards of Conduct

• Members’ Financial Interests

• Cabinet Ministers post-employment obligations

• Creating a culture of compliance (s. 28)

• Enforcement (s. 30)

Framework

Why does this matter to you?

• Have confidence that elected officials are subject to strict rules.

• Have confidence that it is the experience of the OICO that MPPs wish to comply.

• Even those at the top need to be able to ask the tough questions.

• Asking the question is the important part.

Lobbyists Registration• The Integrity Commissioner is the Registrar.• The Registrar is responsible for administering

the lobbyist registration process and ensuring that paid lobbyists report their lobbying of public office holders by filing a return.

• The Registrar must ensure public accessibility to the lobbyist registry.

What is Lobbying?• Communication between a paid lobbyist

and a public office holder in an attempt to influence government decisions about:– Legislative proposals, bills, regulations– Changes to policies and programs– Awarding of grants, contributions, other

financial benefits– Outsourcing and privatization activities

Who is a Lobbyist?

There are three types of lobbyists:

(1) Consultant Lobbyists – person paid to lobby on behalf of a client

(2) In-House Lobbyists employed by persons and corporations and partnerships that carry on commercial activities for financial gain

(3) In-House Lobbyists employed by non-commercial organizations

Who is a Public Office Holder?

• Cabinet Ministers, MPPs and their staff

• Public servants as defined by the PSOA

• Appointees and employees of agencies, boards and commissions of the Crown

• Does not include Legislative Officers, judges and justices of the peace

Why does this matter to you?• The Registry increases transparency.• Your stakeholders who lobby should be

registered, as long as they meet threshold requirements.

• It is not punitive to be registered by good practice.

• We require your support to raise more awareness.

Ethical Conduct for Ministers’ Staff• The Integrity Commissioner is the Ethics

Executive for Ministers’ Staff under Parts IV and V of the Public Service of Ontario Act, 2006.

• The Integrity Commissioner handles enquiries and questions from Ministers’ Staff about conflicts of interest and political activity.

• The ethics executive for Ministry Staff is your Deputy Minister.

Post Service Restrictions

• Employment Restrictions• Confidential Information• Preferential Treatment• Lobbying• Switching Sides

Why does this matter to you?

• Public Servants in Ministers’ Offices are subject to the same ethical conduct rules as you.

• There are guidelines and resources available to all public servants to do the right thing.

Whistleblower Protection

• The Integrity Commissioner is responsible for receiving and dealing with disclosures from Ontario Public Servants

• This Office provides a place for Public Servants to go if they believe it is inappropriate to disclose internally

Other Canadian Jurisdictions

• Manitoba

• Nova Scotia

• New Brunswick

• Federal Government

What is it for?• Ensure that information regarding potential

wrongdoing gets into the hands of those who can deal with it appropriately while protecting the discloser from negative consequences of disclosing.

• Ensuring that there is active scrutiny over Government response.

What is the alternative?• Public servants who do not have confidence in

their internal senior leaders may disclose wrongdoing publicly.

• These public servants will potentially violate their duty of loyalty to their employer and potentially face discipline for disclosing.

• Public servants will be forced to resort to the Courts to justify their actions in hindsight.

What is the framework?

Internal Disclosure Framework

Discloser

Ethics Executive (EE)**

Report to Discloser

Refers to:• another forum (e.g. GSB)• another EE**

Possible Findings:a) no wrongdoingb) wrongdoing, identifies corrective actionc) refers to a more appropriate forum

Discloser not satisfied***- discloses to IC

EE assesses disclosure

EE investigates

Discloser not satisfied***

- discloses to IC

Does not proceed with

disclosure

* Recognizes that employees may disclose to a manager even though directed to go to the EE

** Includes Secretary of the Cabinet; Premier’s designate, if identified

***There is nothing barring the discloser from taking the issue to the IC at any point in the process if he/she believes that the issue is not being addressed appropriately

Ministry / Public Body Managers*

Disclosure to the Integrity Commissioner

Discloser

Integrity Commissioner (IC)

Disclosure notaccepted

Disclosure accepted and referred to EE

Possible Findings:a) no wrongdoingb) wrongdoing, makes recommendations to EEc) refers to a more appropriate forum

IC is satisfied with report, or refers the issue to a more appropriate forum

IC reports to discloser

EE investigates EE refers back to IC

IC investigates

Submits report to IC

IC launches own investigation

What is a “wrongdoing”?

The Public Service of Ontario Act, 2006 defines a wrongdoing as:

• contravention by a Public Servant, minister or parliamentary assistant of legislation (federal or provincial);

• an act or omission by a Public Servant, minister or parliamentary assistant that creates a grave danger to life, health, safety or the environment;

• gross mismanagement by a Public Servant, a minister or parliamentary assistant in the work of the public service of Ontario; and

• directing or counselling a person to commit a wrongdoing that falls into these categories.

What is a reprisal?

• A reprisal is any measure taken against a Public Servant that adversely affects his or her employment or appointment which includes (but not limited to) ending, or threatening to end employment, discipline, threat of discipline or penalty, coercion or intimidation.

Responsibilities of the Integrity Commissioner under Part VI of the PSOA

• Receive and review disclosures of wrongdoing from Public Servants

• Carry out duties fairly, informally and expeditiously

• Maintain confidentiality and protect the identity of people involved in disclosures of wrongdoing

• Assess each disclosure to determine whether it can be dealt with

• Refer investigations to Ethics Executives

Responsibilities of the Integrity Commissioner (cont’d)

• Monitor completion of and receive investigation reports and recommendations

• Advise and notify the discloser of the status of a disclosure

• Commence an investigation under specific circumstances

• Report on the outcome of investigations completed and determine whether it is in the public interest to make the report public

• Submit an annual report to the Legislature

What can’t the Integrity Commissioner deal with?

• Section 117 of the PSOA, 2006 states that the Integrity Commissioner “must” refuse to deal with an alleged disclosure of wrongdoing if certain specific circumstances apply

Examples of Section 117 Circumstances

• The matter is related to the exercise of discretion by a prosecutor in relation to the prosecution of an offence.

• The matter is being dealt with by another person/body as a law enforcement matter or in accordance with a procedure under this or any other legislation.

• It is an employment or labour relations matter that could be dealt with through a dispute resolution mechanism (e.g., a grievance procedure).

• It is the subject of a decision or deliberations by a court or tribunal.

• There has been a substantial delay between the disclosure and the incidents such that proceeding with the disclosure would serve no useful purpose.

Investigation Provisions• Integrity Commissioner has a right to conduct an

investigation in certain circumstances.• Persons who “may be adversely affected” by a

report issued by the Integrity Commissioner have a right to answer any allegations.

• Broad powers of investigation.• Integrity Commissioner has the ongoing ability to

refer the matter to a more appropriate investigative body

Why does this matter to you?

You are a potential discloser:• The framework is there for you.• You can contact us for information about

the framework. • You have options – internal and external –

and the protections are available under either avenue.

Why does this matter to you?You are involved with addressing allegations of

wrongdoing:• Successful resolution of internal disclosures will

inspire confidence and encourage engagement among public servants.

• It is important that you take ownership of the resolution.

Why does this matter to you?

You are involved with addressing allegations of wrongdoing (continued):

• Success with the internal disclosure framework will reduce the number of cases before the IC.

• We need your help to ensure that public servants are aware of the framework and their rights.

Questions?

Contact InformationValerie Jepson

Counsel

Telephone: (416) 314-1583

Fax: (416) 314-1586

Web: www.oico.on.ca

Email: valerie.jepson@oico.on.ca