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National Parole Board Members'Professional Standards Guide

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Copyright of this docume t be obtalned f^om thehau hror forProper authorization musany intended use

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Willie Gibbs Chairman

National Parole Board Members' Professional I Steande avre iedspGLaisiedde to ,

present to you the National ide.

We have felt for some time that it would be advantageous to bring together, in one reference book, the documents that relate directly to the Board members role and mandate.

As you no doubt agree, these documents clearly define the level of professionalism expected of members of the National Parole Board. They also establish the standards and values that members must respect when carrying out their responsibilities. Furthermore, we firmly believe that the documents contained in this guide stand as testimony to NPB's commitment to be guided by the principles of professionalism, openness, and accountability.

V.e)u):L eLuw Renée Collette Executive Vice-Chairperson

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Table of Contents

The Board as an Independent Administrative Tribunal 11 Mission statement of the National Parole Board 13

Maldng the mission a reality 13 Core value 1 15

Operating principles 15 Strategic objectives 16

Core value 2 17 Operating principles 17 Strategic objectives 18



National Parole Board Member Training, Development and Professional Standards Framework 23

Purpose Statement: 23 Preamble 23 Professional Standards and Development Responsibilities 24 Training and development program 25

Objectives 25 Curriculum 26 Introductory Reading Package 26

Risk Assessment Orientation Level I 27 Risk Assessment Orientation Level II 28 Training effectiveness assessment: 29

Performance Appraisal Process 31 Developmental Initiatives for Vice-Chairpersons 31 Board members commitment to professionalism 31 Code of Professional Conduct 33 Preamble 33

Promotion of Integrity and Independence 34 General Conduct 34 Conflict of Interest 34 Decision-Making 35 Conduct during Proceedings 35 Bias 35 Discussion of Cases 36 Continuing Professional Development 36 Collegiality 36 Improvement of the Law and Corrections 36 Administration of the Board 37 Disqualification and Reporting 37

National Parole Board Selection Process 39 Work Description — Regional Vice-Chairpersons 41 Work Description — Board Members 43

Table of Contents

Performance Appraisals - Senior Board Members (Vice-Chairpersons) ....... 451) Leadership ................................................................................... 452) Quality decision making ............................................................... 453) Performance Appraisals ............................................................... 464) Professional Development ............................................................ 465) Professional Conduct ................................................................... 47

Board Members' Performance Appraisal / Performance Norms .................. 49Definitions ...................................................................................................... 49

1. General ............. ... .. . .. ......... ... . . . .......... . .. ........... . . . . .............................. 492. Case Review : ...................................................................................... 513. Hearing process : ................................................................................ 534. Decision documentation: .................................................................... 555. Collegiality ......................................................................................... 576. Continuing professional development ................................................. 597. Administration of the Board ............................................................... 608. Conflict of interest on individual cases ............................................... 62

Complaint and Disciplinary Process for members of theNational Parole Board .............................................................................. 65

Definitions ...................................................................................................... 65Objectives and Principles ................................................................................ 66Presentation and Referral of a Complaint/Observation ................................... 66Examination of the Complaint ........................................................................ 67

Respecting full- and part-time Board members .......................................... 67Respecting Senior Board Members and the Executive Vice-Chairperson .... 70

Internal Review ............................................................................................... 70Appendix A - Corrections and Conditional Release Act .................................... 73Conflict of Interest and Post-Employment Code for

Public Office Holders ............................................................................... 77Short title ....................................................................................................... 77Part I .......................................................................................................... 77

Object .......................................................................................................77Principles ................................................................................................... 77

Part II .......................................................................................................... 79Conflict of interest compliance measures ................................................... 79Interpretation ............................................................................................ 79Duties of the ethics counsellor ................................................................... 81Certification ............................................................................................... 81Compliance arrangements ......................................................................... 81Time limits ................................................................................................. 82Assets and liabilities .................................................................................. 83

Confidential Report ............................................................................... 83Exempt Assets ...................................................................................... 83Declarable Assets ................................................................................. 84Controlled Assets .................................................................................. 85Divestment of Controlled Assets ........................................................... 85Liabilities .............................................................................................. 86

Outside activities ....................................................................................... 86General .... . . . . . . . . . . ... . ... . . . ................ . . . . . ....... . .. . ............. . . ... ... . ............... . . . . 86Confidential Report of Outside Activities ............................................... 86Prohibited Activities .............................................................................. 87Permissible Activities ............................................................................ 87

Table of Contents,

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Public Declaration of Outside Activities 88 Gifts, hospitality and other benefits 88

When Declined 88 When Permissible 88 Public Declaration Required 89

Avoidance of preferential treatment 89 Failure to agree 90 Failure to comply 90

Part III 91 Post-employment compliance measures 91 Interpretation 91 Object 91 Compliance measures 91

Before Leaving Office 91 After Leaving Office 92

Prohibited Activities 92 Limitation Period 93 Reduction of Limitation Period 93 Exit arrangements 94

Dealings with former public office holders 94 Obligation to Report 94

S chedule 95 Agreements 95 Provisions common to blind trusts 96 Agreement forms 97 Filing of agreements 97 Reimbursement for costs incurred 97

Conflict of Interest and Post-Employment Code for Part-time Board Members 99 Preamble 99 Conflict of Interest Principles 99 Conflict of Interest Compliance Measures 101

Certification Document 103

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Role of Administrative Tribunals

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The Board as an IndependentAdministrative Tribunal

The Board constitutes an independent administrativetribunal. This statement implies the following:

The Board is a tribunal as it renders decisions affecting offenders' liberty.It does so by way of hearings, reviews and investigations, based onexisting facts to which pre-established legal principles apply, whileconsidering only relevant matters.

The Board is an administrative tribunal because, on the one hand, it is adecentralized body of the federal public Administration (departments,agencies, boards...), specialized in a distinct field of jurisdiction, to witconditional release, which is defined by the application of its enablinglegislation, the Corrections and Conditional Release Act and itsRegulations. On the other*hand, it is an administrative tribunal (and notquasi-judicial) because its process is inquisitorial in nature as opposedto one which is adversarial.

The Board is an independent administrative tribunal because it exercisesits jurisdiction without having anything or anyone interfere in thedecision making process. Its decisions are free of any bias whatsoever. Itsmembers are appointed to hold office during good behaviour and areentitled to remuneration.

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NPB Mission Statement

Mission statement of the National Parole

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I The National Parole eBsoiarndde, paesnpdarentt ofqutheicriminal j

conditional release and pardon decisions and clemency recommendations. The Board contributes to the protection of society by facilitating, as appropriate, the timely integration of offenders as law-abiding citizens.

Making the mission a reality

The purpose of this Mission document is to provide clear direction and inspiration to Board Members and staff of the National Parole Board (NPB) for the achievement of excellence in the field of corrections in general and in conditional release in particular. It provides guidance for today and a focus to meet the challenges of tomorrow. It is also a document that explains to offenders and ex-offenders, to our criminal justice partners, to interest groups, including victims, to Parliament and to the public, who we are, what we stand for, what we do and how we do it.

As part of the criminal justice system, the Board contributes to the maintenance of a just, peaceful and safe society. We use the word "contribute" in our Mission statement because we are not alone in pursuing this noble goal. In conjunction with our Ministry colleagues, we work with provincial and international correctional services and parole boards, police, after-care agencies, Crown attorneys and defence counsel and many other organizations and individuals in the community.

The legal authority within which the NPB operates is set out by the Constitution, including the Canadian Charter of Rights and Freedoms, the Criminal Code of Canada, the Corrections and Conditional Release Act and its Regulations, and other legislation.

In making quality decisions regarding conditional releases and pardons, as well as recommendations in clemency cases, the Board's primary objective is the long-term protection of society. The NPB firmly believes that law-abiding behaviour can best be achieved by timely and supervised conditional release and the effective administration of sentences. In making its decisions, the Board is autonomous and independent, however, it is accountable for its actions, not only by virtue

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of its internal framework, but to Parliament and ultimately, to allCanadians.

This document consists of a major revision of the original NPB Missionstatement developed in 1986. It was long overdue in view of manychanges and improvements that have occurred in corrections in the lastdecade. I would like to thank all those who have contributed to thisrevised document and particularly those who now will ensure itsachievement.

Achieving the mandate of the NPB is not easily accomplished. It involvesthe safeguarding of two of our most precious values: public safety andpersonal freedom. "Making the Mission a Reality" therefore is a challengethat becomes the primary responsibility and obligation to all thoseassociated with the Board.

Willie Gibbs,Chairman

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Core value 1

We contribute to the attainment of a just, peaceful and safe society.

Opercning principles

We recognize that criminal behaviour violates the essential values of Canadians. The National Parole Board shares with others the responsibility to contribute to the maintenance of a just, peaceful and safe society. All agencies of the criminal justice system and the community at large share responsibilities and opportunities to prevent crime and to assist those who break the law to become law-abiding citizens.

The National Parole Board contributes to the protection of society by carrying out its legislated mandate. Under the Corrections and Conditional Release Act, the Board makes decisions on the timing and conditions of release that will best facilitate the rehabilitation of offenders and their integration into the community as law-abiding citizens. The Board also recognizes the law-abiding status of former offenders by making pardon decisions pursuant to the Criminal Records Act.

We carry out these responsibilities with the recognition that the successful integration of offenders is integral to preventing crime and protecting society. It is primarily in the community that an offender can fulfil a commitment to be law abiding. We recognize that offenders are responsible and accountable for their criminal behaviour, that they must understand their accountability and that they must take action to promote their potential to be law abiding. We further recognize that while some will not do so, offenders have the potential to live in society as law-abiding citizens.

We acknowledge that there is risk associated with conditional release. Within the decision-making process, the timing and conditions of each release are decided after a determination of the risk the offender would present if released, based on a review of all available relevant information. We employ risk assessment information in carrying out decision making that relates to all forms of conditional release. Risk assessment is also considered in dealing with high risk offenders who may, under the terms of legislated detention provisions, be detained until the expiry of their warrant of committal. It is the responsibility of the Board's criminal justice partners, including the Correctional Service of Canada and others, to manage the released offender in the community • Professional Standards Guide

NPB Mission Statement • and to inform the Board, for its review, if there is a significant change in the level of risk that is presented.

The granting of a pardon is a formal mechanism which acknowledges that an individual with past convictions has demonstrated, over time, his integration through law-abiding behaviour in the community. A recommendation for clemency is another formal mechanism that is available in exceptional circumstances to provide relief from undue hardship or inequity, consistent with the protection of society.

Strategic objectives

> To ensure that every Board decision is based on the risk presented by the offender and is consistent with the goal of promoting the protection of the public.

> To promote the safe integration of every offender who is conditionally released by imposing necessary release conditions and by responding, as appropriate, to significant change in the risk presented.

> To ensure that Board members are provided with effective risk assessment tools and with complete and accurate information about each offender.

> To ensure that offenders are held accountable for their behaviour and that releasing decisions reflect their potential to be integrated into society as law-abiding citizens.

> To clearly articulate the values, operating principles, policies and expectations that direct the performance of the Parole Board's personnel.

> To work in collaboration with the Correctional Service of Canada and others in identifying better ways to attain the shared goals of preventing crime and protecting society.

> To allocate financial resources and personnel in an effective and efficient manner in the management of the Parole Board's mandate.

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Core value 2

We respect the inherent potential and dignity of all individuals and theequal rights of all members of society.

Operating principles

We recognize the worth and dignity of all persons and reflect thisrecognition in working with individuals and in the performance of all ofour responsibilities.

The Board respects the protections guaranteed to all persons by theCharter of Rights and Freedoms and acts in accordance with the duty toact fairly in its decision making. We act under the authority given by theCorrections and Conditional Release Act and the Criminal Records Act.The National Parole Board embraces all of the principles, obligations andentitlements set out in its Mission. We accordingly create policies andprocesses that promote the achievement of all of these entitlements andvalues. We ensure that these policies and processes are implemented ona national basis, while providing, within the context of their application,for distinctions that derive from legitimate regional variations.

The Parole Board's policies and processes respect gender, ethnic andlinguistic differences and are responsive to the distinctive needs andcharacteristics presented by aboriginal peoples and other specificcultural groups within Canadian society.

The National Parole Board is committed to making timely and well-documented decisions that are equitable, impartial, responsible andunderstandable. In carrying out our decision-making responsibilities, weundertake assessments that respect the characteristics presented bymembers of diverse groups in Canadian society.

The Board makes decisions that have as their specific goal the protectionof society. In so doing, intervention in the life of each offender is decidedin a manner that is deemed least restrictive, consistent with theimperatives of public protection and effective management of the riskpresented by the offender.

We recognize the specific entitlements provided in legislation to victims ofcrime. We are sensitive to the needs presented by crime victims and seekopportunities to relate to them in ways that are consistent with ourmandate and facilitate the achievement of our Mission.

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› To ensure that the rights of each individual involved in the conditional release process are protected.

› To ensure that each person is treated in a manner that recognizes and responds to individual needs and characteristics.

› To ensure that the constraints placed upon each offender are the least restrictive necessary to promote the protection of society.

› To ensure that victims who so wish are duly informed and treated fairly and their input are fully considered in the conditional release process.

› To ensure the provision of an impartial and timely process of appeal.

› To recognize the integration of former offenders through the granting of pardons.

Core value 3

We believe that the contribution of qualified and motivated individuals is essential to promoting the achievement of the Parole Board's Mission.


The Parole Board is a results-driven and value-based organization, dedicated to the achievement of its Mission and committed to seeking improvement in the performance of all its responsibilities. We believe that all personnel, be they Board members or staff at any level or location within the organization, contribute to the achievement of the Board's Mission through the effective and efficient performance of their work.

The Board should be comprised of people who have a good understanding of the principles of the criminal justice system, will support attainment of the Board's Mission and have gained their place in the organization on the basis of a selection process that recognizes merit and competence.

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Professional Standards Guide II,


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The Board values all of its personnel and promotes collegiality andcooperation in all facets of its operations. The work of Board membersand staff is mutually complementary and it is the responsibility of eachindividual to promote a working environment characterized by mutualtrust and respect.

We provide direction to all employees through policy or other means thatconveys a clear understanding of the requirements and the results to beattained from their implementation. We also recognize a responsibility toprovide training to the Board's personnel in order that they may achievethe results and expectations of their work. We believe that individualsshall effectively carry out their responsibilities and shall be accountablefor their actions.

The Board encourages a healthy and secure environment which isconducive to the achievement of our Mission. We value communication,openness and flexibility and we support new opportunities to bring aboutimprovements. Individuals must be supported and encouraged in theexercise of their responsibilities, and be recognized for theiraccomplishments.

We recognize that we rely on, and benefit from, close associations with avariety of criminal justice system partners, such as the CorrectionalService of Canada, to maximize collective performance. We workcooperatively with a broad range of individuals and groups who caneither assist our efforts or provide independent support for theattainment of the Board's Mission.


> To ensure that the personnel of the Parole Board have anunderstanding of criminal justice policies and can assist in theattainment of the Board's Mission.

â To provide learning opportunities to better enable the personnel of theParole Board to carry out their responsibilities and to improve theircapacity to achieve the intent of the Board's Mission.

y To undertake research, evaluation and assessments of performance toimprove individual and corporate capacities to effectively carry out theBoard's mandate.



> To develop and maintain opportunities with the Correctional Serviceof Canada and others, to exchange information and ideas that willcontribute to the establishment of improved practices and sharedvalues.

z To create an environment within the Parole Board that encouragesinitiative, fosters mutual trust and respect and supports theachievement of the Board's Mission.

Core value 4

We are committed to openness, integrity and accountability in theexecution of our mandate.


The Parole Board makes conditional release decisions in individual casesindependent of external direction or control. As an agency of government,the Board is accountable to the Solicitor General and the Parliament ofCanada for carrying out all of its responsibilities as directed bylegislation and the Board's policy framework. In the exercise of theirdiscretion, Parole Board members are accountable to the Chairman fortheir adherence to the legislation and the Parole Board'sdecision-making policies and processes. Each member of the Board'spersonnel is accountable, ultimately to the Chairman, for the fulfillmentof individual responsibilities, including the use of human and financialresources.

We lead by example and measure our performance against the samestandards that we believe should be applied to others.

We clearly identify our objectives and we establish both individual andorganizational accountability for their fulfillment.

We are committed to establishing relationships with our colleagues,partners and others who participate in the work of the Board,relationships which are characterized by openness, integrity and mutualcooperation.

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We are committed to the provision and receipt of relevant, timely and accurate information that would be used for a variety of purposes, including support for decision making, demonstrating that the Board is open and accountable and supporting the Board's continuing improvement.

We conduct reviews to seek information from positive and negative case outcomes that may inform the Board about its performance and the application of its policies and processes, as well as indicate the need for new approaches.

The Parole Board is subject to ongoing public scrutiny. We acknowledge that the public is entitled to know about our performance and that we have a duty to inform the public, victims of crime and interested individuals of our policies and processes. In so doing, we are required to limit the information that we may divulge about individuals, including offenders, to that which is specifically authorized by law. We acknowledge the important role that the media plays in informing the public and we relate to the media in a manner that demonstrates our intent to communicate openly.

We regard opportunities to communicate with others, including members of the public, representatives of interest groups or persons affiliated with criminal justice agencies, as a way to exchange information about existing or prospective policies and procedures.

We are committed to ensuring that people within the Parole Board, as well as our partners and others who are interested in the work of the Board, are informed of the Board's Mission, the commitments that the organization is making to promote its achievement and our ongoing effective performance in achieving our goals.


To maintain policy and management direction that clearly identify individual and corporate accountabilities.

n To ensure that victims who so wish are duly informed and treated fairly and their input are fully considered in the conditional release process.

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• NPB Mission Statement

• To ensure that the Board's decisions are communicated clearly and distributed in a timely manner to those who are entitled to be notified of them.

• To provide information to our partners, the media and other publics in a manner that reflects our duty to provide information about the Parole Board's performance, policies and processes.

• To ensure that all Parole Board personnel pursue the attainment of our Mission in a manner that reflects the values and principles identified in the Mission statement.

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Professional Standards Framework

Illi National Parole Board Member Training, Development and Professional Standards Framework

Purpose Statement:

This fi-amework provides an overview of the roles and responsibilities of those charged with the development and delivery of the National Parole Board's Board member Professional Standards and Development Program. The Framework establishes the objectives and content of the orientation training program; identifies on-going developmental opportunities to be undertaken, and; promotes quality decision-making through an environment of continuous learning.

Preamble

The National Parole Board is composed of Board members who represent and serve the community. Board members bring diverse backgrounds, skills, experiences, and knowledge to the challenge of conditional release decision making. In order to support its members in meeting this challenge, the Board is obliged to provide them with continuing training on all aspects of the decision making process, risk assessment, and risk management. The importance of risk assessment and training are highlighted by the principles of conditional release set out in the Corrections and Conditional Act (CCRA) ss 101, which emphasize that the protection of the public is the paramount consideration in all decisions.

The Act emphasizes the importance of training through the principle that:

"Parole boards adopt and be guided by appropriate policies and that their members be provided with the training necessary to implement those policies". (ss. 101. (e), CCRA).

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The Act establishes the role of the Vice-Chairpersons in relation totraining:

"A Vice-Chairperson for a division is responsible to theChairperson for the professional conduct, training, and qualityof decision making of board members assigned to that division."(ss. 150. (2), CCRA)

The Board's executive in support of these responsibilities, developed acode of professional standards and conduct for Board members. Thiscode supports the principles of openness, professionalism andaccountability articulated in the Board's statement of Mission andValues. The code of Professional Conduct "represents the members'individual and collective acceptance of standards of conduct appropriateto officials who have responsibility for decisions that directly affect theinterests and safety of the entire community, as well as of individualoffenders, victims and their respective families".

The Professional Standards and Performance Review Committee,composed of the Chairman, the Executive Vice-Chairperson and theExecutive Director, which reviews the performance appraisals of Boardmembers, will:

â provide final approval of the Board's professional training anddevelopment program, training standards, and the Board's annualtraining plans; and

â ensure strategies are in place to assist the Vice-Chairpersonsguarantee that necessary training is provided to support qualitydecision making and the professional conduct of members.

Professional Standards and Development Responsibilities

Ultimately, professional standards and development is a sharedresponsibility between those delivering the training and those receivingthe training.

Corporately, the National Parole Board is responsible to:

> ensure adequate resourcing at the national and regional levels, forBoard member training and development; and

y provide qualified Board members and staff to assist in theplanning, development and delivery of appropriate training anddevelopment opportunities.

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Vice-Chairpersons are responsible to the Chairperson to:

> ensure Board members receive the necessary and appropriate training consistent with nationally defined standards;

> provide to Board members feedback on their performance, on a regular basis; and

> to identify performance areas which require further development.

The national Professional Standards and Development division and Regional Community Relations and Training sections are responsible to:

> co-ordinate training and development opportunities immediately on appointment to the Board;

> provide training and development opportunities which will meet the needs and enhance professional competence of Board members at all stages of their appointments, which will be based on the most reliable and current research and which will address required knowledge, skills and technical training as well as training in social justice issues;

> monitor and evaluate the training and development results to ensure an effective and efficient program which enhances the quality of decision making; and

> provide Board members feedback on their performance.

Each Board member is responsible to:

> recognize the need to obtain and maintain professional competence and personal development through training and development opportunities;

> spend such time as may be necessary to accomplish professional competence; and

> to support and assist other Board members with their training and development.

Training and development program

Objectives

The training and development program will:

> provide Board members with the knowledge and skills required to perform their responsibilities professionally;

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Professional Standards Framework 111, r improve the administration of the decision making process,

reduce decision delays, and promote fair and efficient management of hearings and cases; and

r promote Board members adherence to the highest ideals of professional conduct and fairness.

Curriculum

The training program curriculum includes the introductory reading package, risk assessment orientation level I, risk assessment orientation level II, and continuing development.

The knowledge, skills and technical training, and attitudinal/awareness training are summarily defined for each stage.

Introductory Reading Package

This introductory package is the first stage of the National Parole Board orientation training. This document provides an overview of:

> delinquency and criminality; » risk assessment and risk management; ✓ the Canadian Criminal Justice System;

• the Ministry of the Solicitor General; ✓ The Department of the Solicitor General; > the Royal Canadian Mounted Police (RCMP); > the Canadian Security Intelligence Service (CSIS;) > the Correctional Service of Canada (CSC); > the Correctional Investigator ✓ the National Parole Board (NPB);

> Clemency and Pardons; and ✓ Privacy Act and Access to Information.

As Board members review this material, they will also find definitions of many of the terms and acronyms which they need to understand. It is anticipated that when they arrive for their orientation training, they will be conversant with this package of information and ready to start their training on the Board's legislation, decision-making policies and procedures, and the risk assessment process.

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Risk Assessment Orientation Level I

Risk Assessment Orientation has been divided into two stages. Level Iconsists of in-office training complemented by observation athearings, visits to institutions, halfway houses and parole offices. Thefocus during this period will be on assisting Board members todevelop an understanding of their responsibilities. It will provide theopportunity to develop an awareness of the process and to providesufficient information and exposure to allow a new Board member tostart reviewing cases with an experienced Board member. Boardmembers should be provided with the training and support to developpersonal confidence to carry out their responsibilities as taught.

New Board members, with the support and coaching of their regionaltrainer and Regional vice-Chairperson, may render office votes duringthis phase. Risk Assessment Orientation Level I should consist of 15days of training. This period will be intensive with an emphasis on:acquainting the new member with the risk assessment process;establishing an understanding of the legislation and policies, the dutyto act fairly, and the decision making process; and developing theskills to conduct focused hearings and to document concise qualitydecisions.

Knowledge: y mission of the NPBprinciples of openness, accountability andprofessionalism

v purpose and principles of conditional release> conditional release decision making

framework (legislation and policy)> NPB Code of Professional Conduct> Duty to Act Fairly> Treasury Board Directivesr CSC case management - principles, process

and responsibilitiesâ theoretical framework of criminal behaviourv key risk assessment issues

> theoretical framework> risk assessment, prediction and

management issues;y risk assessment of violent offending, sex

offenders and offenders with mental healthproblems;

â cultural and special offender issues.

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Professional Standards Framework 111, Skills / > review and analyses of case file materials techniques: > focusing and managing hearings

> basic interviewing skills (level I) > decision writing skills

Awareness: > impact of Board decisions > public accountability for decisions > realities of daily routines > pressures and complexities of hearings

Members will be required to complete an end of session decision exercise to assess and reinforce their knowledge of the legislation, policies and risk assessment principles, as well as, their skills in focusing a hearing and documenting their decision. The Regional Manager, Community Relations and Training (RMCRT) and the Regional Vice-Chairperson (RVC) will review, with each member, the knowledge, skills, and abilities that they have developed and demonstrated during this training period. Together, they will identify areas that need additional reinforcement and issues that still need to be covered. A training plan will be developed to address these needs along with the materials to be covered during the level II risk assessment orientation. Much of this training will be delivered through on-the-job coaching by the RVC, RMCRT and by experienced Board members. Members may also be asked to listen to some of their hearing tapes, work through some of the special issues modules on their own time, and review additional research papers or other materials to support their learning process.

Risk Assessment Orientation Level II

This stage of the training program offers the Board member the opportunity to integrate, into the decision-making process, the knowledge, skills and techniques developed in Level I along with the knowledge, skills and awareness the Board member brings to the Board. This stage will consist of field training or on-the-job training. The time required to complete this stage of training will vary from Board member to Board member and will be influenced by the frequency with which members vote on cases. During this stage, the new Board member will alvrays be voting on cases with experienced Board members. The Vice-Chairperson of the division and the RMCRT will ensure regular feedback on performance is provided directly to the new members. The training program will cover:

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Knowledge: n partnership with the community - roles andresponsibilities

> review conditional release decision makingframework with greater attention on legislationand policy relevant to detention cases andaccelerated review casesreview risk assessment and risk managementprinciples with special attention to predictingviolent recidivism, sexual offences, femaledelinquency, family violence

v Review the clemency and pardons process and thecriterion of "good behaviour"

Skills / â managing an effective and fair hearingtechniques: enhanced interviewing skills

v enhanced risk assessment skills> enhanced decision documentation (analyses and

writing skills)n consulting with colleagues and building

consensus

Awareness: s potential of bias, prejudice and racism affectingthe decision making process

This stage of training will provide Board members with theopportunity to develop and demonstrate the required knowledge torender professional and fair decisions, based on risk assessment,the skills to fully document the rationale for their decisions, andthe techniques to manage a focused, non-adversarial and fairhearing. It will provide Board members the opportunity tointegrate their knowledge, skills, and abilities while receivingimmediate feedback, and support for their work.

Training effectiveness assessment:

Training should have allowed Board members to develop theknowledge and skills in support of the Board's professionalstandards. The Vice-Chairperson will examine with the individualBoard members their performance during this training period andformally complete their performance appraisal. As part of thisappraisal process the Vice-Chairperson will identify performanceareas which require remedial action if standards are notdemonstrated to have been met. Individual developmental planswill be set out for the next six (6) to twelve months.


Professional Standards Framework 11) > On-going developmental and refresher training

After the initial training, there continues to be a need for training and development to enhance performance in:

Knowledge: > changes in law, policies and procedures > new developments in risk assessment and risk

management > regional programs > special issues

Skills / > reinforce or refine interviewing skills ' techniques: > reinforce or refine decision documentation

> incident and crisis management skills 3, communications skills > coaching skills > team building skills > computer skills

Board members should spend at least 15 days, annually, attending training and development programs ( regional workshops/ conferences/self-development). These sessions should have specific objectives including:

(i) imparting knowledge (ii) improving skills and techniques (iii)sensitizing Board members to their responsibilities and the

impact of their decisions on the criminal justice process, the victim, the offender and on society.

Various methodologies will be used for this stage of training such as regional and national workshops, and attendance at conferences and workshops outside the NPB. Following training sessions, Board members will be provided feedback from RVC, RMCRT, and Coaches as to their demonstrated application of their new knowledge and skills.

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Performance Appraisal Process

Annually, or as needed, the Vice-Chairperson of the division will discuss with each member their professional conduct and quality of decision making through the performance appraisal process. They will also take this opportunity to identify with each members' developmental training needs and the strategic plan developed to meet these needs.

Developmental Initiatives for Vice -Chairpersons:

Specific training will be provided to Vice-Chairpersons in areas of:

> leadership; > supervision; > communication; > coaching; and > managing diversity.

Board members' commitment to professionalism

Board members should recognize and demonstrate a commitment to their own professional and personal development by taking full advantage of all learning opportunities including such as reviewing texts, videotapes, special case inquiries, and the results of appealed decisions.

The Board strives to create an environment of continuous learning through involving Board members in team projects, planning sessions and a range of formal and informal opportunities to learn.

Finally, as stated in our operating principles under Core Value 3, "the work of Board members and staff is mutually complementary and it is the responsibility of each individual to promote a working environment characterized by mutual trust and respect".


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Code of Professional Conduct

III Code of Professional Conduct

Preamble

The National Parole Board is an independent administrative tribunal whose members are appointed under the Corrections and Conditional Release Act (1992) to make conditional release decisions that "..contribute to the maintenance of a just, peaceful and safe society by means of decisions on the timing and conditions of release that will best facilitate the rehabilitation of offenders and their reintegration into the community as law-abiding citizens." The Board is directed in this task by the principles and criteria contained in the legislation and by decision-making policies. In addition, the Board has adopted and articulated, a statement of mission and values, and principles of professionalism, openness and accountability.

Consistent with this framework, the NPB Code of Professional Conduct was developed. It reflects the standards of conduct appropriate to officials who have responsibility for decisions that directly affect the interests and safety of the entire community, including individual offenders, victims and their respective families. In turn, when the Board implemented the process for the appraisal of the Board members' performance, it established the norms for the Board members' performance based on its Code of Professional Conduct.

The members must strive at all times to make their decisions independently, fairly, objectively, impartially and without bias. However, a member's duty goes beyond ensuring there is no actual bias. When dealing with any person with an interest before the Board, members must conduct themselves in a manner that will not give rise to an appearance of unfairness, partiality or bias.

This is the general principle behind the NPB Code of Professional Conduct. What follows are the specific provisions that shall govern all members of the National Parole Board:

III> Professional Standards Guide Page 33


Promotion of Integrity and Independence

Members will participate in establishing, maintaining, andenforcing high standards of conduct and act to promote andpreserve the integrity and responsible independence of theNational Parole Board.

General Conduct

In the discharge of their official duties and at all other times,members shall conduct themselves in a manner that promotesrespect for the law and public confidence in the fairness,impartiality and professionalism of the National Parole Board,and that reflects the high standards of character anddemeanour required of those charged with the administration ofjustice. They shall perform their official duties impartially anddiligently, and with patience, courtesy and sensitivity.

Conflict ofInterest

Members shall avoid involvement in activities that are, or wouldappear to be incompatible with their responsibilities and dutiesor that could call into question their independent exercise ofjudgment, integrity and impartiality.

Without limiting the generality of the foregoing for the purposesof subsection 155(2) of the CCRA, and in addition to the specificrequirements of the Conflict of Interest and Post-EmploymentCode for Public Office Holders, members shall not:

a. participate in, or promote any organization that providesgoods or services to correctional agencies or institutions;

b. participate in, or promote any organization whose goals,objectives, by-laws or activities would reflect adversely onthe member's impartiality, or that would create aperception of conflict of interest or bias in decision-making;

c. participate in any partisan political process, or seek orhold elected office in federal or provincial legislatures or amunicipal government;

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Professional Standards Guide Page 34 0


d. accept any position or employment that would be inconsistent with their responsibilities as members of the Board, or that could reasonably be seen to give rise to a perception of conflict of interest or bias in decision-maldng; or,

e. participate in any other activity that could reasonably be seen to give rise to a perception of conflict of interest or bias in decision-making.

Decision-Making

Members shall render decisions, in a timely and appropriately documented manner, in compliance with the Corrections and Conditional Release Act, the policies of the Board, other applicable statutes, and the Canadian Charter of Rights and Freedoms; and consistent with principles of natural justice and the duty to act fairly. Decisions shall be based on thorough preparation and examination of the relevant information. Decisions shall be independent, impartial and objective, and made without regard to partisan or special interests, or fear of criticism.

Conduct during Proceedings

In all proceedings, members shall conduct themselves in a manner that is courteous, patient, fair and respectful to all participants and observers, their language, customs, rights, opinion, and beliefs, while ensuring that the proceedings are orderly and efficient. Members shall require similar conduct of others present.

Bias

While recognizing that there will be circumstances where information or statements must be tested or challenged, members shall always avoid:

a. words, phrases and actions that could be understood to manifest bias or prejudice based on race, national origin, gender, religion, sexual orientation, or other personal abilities, characteristics or beliefs; and,

b. statements or questions that would be demeaning to any person, or that would manifest bias or prejudice for or against an individual or group.

• Professional Standards Guide Page 35 •


Discussion of Cases

To preserve the integrity of the decision-making process, and out ofrespect for the duty to act fairly and the privacy interests of thoseinvolved in any case, members shall not disclose information abouta case or discuss any matter that may be or has been decided bythem, except as required in the performance of, and incircumstances appropriate to, the formal conduct of their duties.

Further, members shall not receive or consider information about acase that they must decide, except through persons and agenciesrecognized in legislation and Board policy, and in a manner that isconsistent with the Board's information-sharing requirements.

Continuing Professional Development

Members shall actively participate in training provided by, or at therequest of the Board, and otherwise pursue the enhancement oftheir professional competence and knowledge individually andcollegially, recognizing that knowledge about risk assessment forconditional release decision-making is constantly evolving.

Collegiality

Members will encourage and support the collegial operation of theNational Parole Board and foster a work environment thatpromotes equity and freedom from discrimination and harassment.

Improvement of the Law and Corrections

Members may participate in activities and organizations dedicatedto the improvement of the law and the administration of justiceand corrections, if doing so does not cast doubt on theirimpartiality or their capacity to conduct reviews fairly and withoutbias. Members will avoid public commentary, or expression ofpersonal opinion about the policies of the National Parole Board, orthe legislation under which the Board operates, except to theextent that it is part of the member's responsibilities to explain theBoard policies and practices, and is consistent with the specificprovisions of this code.

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Administration of the Board

Members will seek to contribute to the overall effective and efficient administration of the Board as an agency of the federal government and an active partner in the administration of corrections and criminal justice. Members shall respect and support the administrative and management authority and responsibilities of the Chairperson, the Executive Vice-Chairperson, the divisional vice-chairpersons, and staff.

Disqualification and Reporting

Members shall disqualify themselves from any review in which the member's participation may result in a reasonable apprehension of bias or conflict of interest based on the circumstances of the case or with reference to any parties involved in the proceeding. In such a case, the member shall not communicate about the case directly with any other member or other person who will participate in or contribute to the review, but shall document any information in his or her possession that is relevant to the case so that it may be considered by the Board, consistent with the legislation and the duty to act fairly. The member shall immediately inform the vice-chairperson of the division of the Board to which the member is assigned of the self-disqualification and the reasons for that action.

At any time that a member becomes aware that he or she is actually or potentially in conflict with the code of conduct, the member shall immediately inform the vice-chairperson of the division of the Board to which the member is assigned of the circumstances.

411> , Professional Standards Guide Page 37

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NPB Selection Process

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National Parole Board Selection Process

^ What does it involve?

^ The appointment process begins with a notice ofvacancies in the Canada Gazette. The notice describesthe mandate of the organization, the region in

question and the selection criteria. Firstly, these criteria relate toknowledge and experience of the criminal justice, corrections andconditional release systems, community work, interpretation andapplication of laws, and the roles and responsibilities of Boardmembers. Secondly, the criteria focus on the abilities to analyze,summarize and write, skills in the areas of interviewing anddecision-making, and efficient time and priority management inthe context of a heavy workload and a stressful environment, forexample in federal institutions. The third type of criteria relate topersonal suitability, including adaptability and flexibility, abilityto work both autonomously and as a team member, discretion andsensitivity to female, multicultural and Aboriginal issues. "Thepreferred candidates will be committed to excellence in corrections,in particular conditional release."

The second stage is the pre-selection of applications received. Thisis done by the Chairman, the Executive Vice-Chairperson, theRegional Vice-Chairperson for the region in question, and theDirector, Professional Development and Decision Processes,supported by the Executive Assistant to the Chairman, who willhave made an initial analysis in light of the above criteria.

The next stage is the interview by the selection committeemembers of those individuals who were screened at the pre-selection stage. The selection committee normally consists of theChairman or the Executive Vice-Chairperson, the Regional Vice-Chairperson and a senior manager from outside the Board, attimes the Regional Deputy Commissioner of the CorrectionalService of Canada. Another person may be invited to join theselection committee to allow for particular regional realities. Thus,in the Prairies Region, an Aboriginal Elder was part of the selectioncommittee. The interview is structured in two phases: a writtentest whereby the candidates are required to analyze, make adecision and write supporting reasons on a fictional case, and aformal interview by the committee members, during which a seriesof questions is asked including some on the written test.


• NPB Selection Process

Following the interview, the committee members deliberate and determine whether or not the applicant is qualified.

The list of qualified candidates is forwarded to the Solicitor General, who recommends to the Prime Minister the persons to be appointed to full-time and part-time member positions. The appointments are then made by the Governor-in-Council.

Professional Standards Guide 'Imenillmiel=age 40

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Work Description - Regional Vice-Chairperson

Work Description - Regional Vice-Chairpersons

The main responsibilities of a Regional Vice-Chairperson of the National Parole Board are:

To coordinate the duties and responsibilities of the Division andensure conformity to prescribed policies and procedures on thepart of Members.

> To ensure that Board Members are provided with necessarytraining and professional development to be able to perform theirduties adequately.

> To ensure quality and professionalism in decision-making.

•To sit as member of the Executive committee to review andapprove policies and advise the Chairperson on administrativeand operational matters.

> To review all available information relevant to release decisions.

n To conduct a full, in-depth analysis of each case requestingfurther information as necessary to ensure the quality ofdecision-making.

> To assess the risk implications and other factors bearing on theapplication.

n To participate with one, or in some cases, two or three otherBoard members in the hearing of parole cases, votingindependently on the disposition of each case, and providingsound, well-documented written reasons for decisions.Decisions are communicated by the Board Members directly tothe inmate following deliberation and independent BoardMember vote.

â To ensure that hearings are conducted in accordance with theduty to act fairly and that all procedural safeguards arerespected.

0 Professional Standards Guide Page 41

Work Description - Regional Vice-Chairperson

• To ensure that the decision-making process is carried out in strict conformance with the requirements of the governing legislation, reg-ulations, Board decision-making policies and procedures.

• To participate in the public education programs of the Board and in various outside activities which communicate information on the programs and activities of the Board to interested audiences/groups in the community.

• To decide from time to time on pardon and clemency applications.

• To attend Regional and National Board meetings as required.

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• Work Description - Board Members

Work Description - Board Members

The main responsibilities of a Board Member ofthe National Parole Board are:

â To review all available information relevant to conditional releaseand detention decisions.

y To conduct a full, in-depth analysis of each case requestingfurther information as necessary, to ensure the quality ofdecision-making.

y To assess the risk implications and other factors bearing on theapplication.

n To participate with one, or in some cases, two or three otherBoard members in the hearing of parole and detention reviewcases, voting independently on the disposition of each case, andproviding sound, well-documented written reasons for decisionsin conformance with the legislation and Board policy. Decisionsare communicated by the Board Members directly to the inmatefollowing deliberation and independent Board Member vote.

r To ensure that hearings are conducted in accordance with theduty to act fairly and that all procedural safeguards arerespected.

> To ensure that the decision-making process is carried out instrict conformance with the requirements of the governinglegislation, regulations, Board decision-making policies andprocedures.

v To participate in the review of Board policies through regionaldiscussions and consultations and bring to the attention of theVice-Chairperson or Regional Director, specific situations notcovered by existing policy guidelines where there is arequirement for further interpretation or policy revision.


• Work Description - Board Members

> To participate in the public education programs of the Board and in various outside activities which communicate information on the mandate and activities of the Board to interested audiences/groups in the community.

> To review and make decisions on pardon and clemency applications.

> To attend Regional and National Board meetings as required.


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Performance Appraisals - Vice-Chairpersons

I I I

Performance Appraisals - Senior Board le Members (Vice-Chairpersons)

A) Job performance and decision making (subject to the same elements as all other Board members)

B) Performance relevant to ensuring the professional conduct, training, and quality of decision making of Board members assigned to that division

1) Leadership

> The senior Board member shall: > demonstrate a commitment to quality performance of the

National Parole Board through diligent work, respect and cooperation with Board members and staff, and promoting a work environment that is open, collegial, and professional;

> ensure Board members are consulted and informed on new policies and directives;

> represent the division/regional Board members on Executive Committee by bringing forward their comments and ideas which assist to develop policy and by tabling the issues and concerns emanating from their division/region;

• ensure Board members comply with relevant Treasury Board directives and regulations; and

> initiate and actively participate in formal and informal opportunities to enhance professional relationships with criminal justice partners, interest groups and the general public.

2) Quality decision making

The senior Board member as a means to ensure quality decision making shall regularly review and monitor the decision making process to: > ensure that Board members' cases are well prepared, that is:

> all relevant information is considered and analyzed; > notes, and materials are well organized permitting focused

hearings, and well founded decisions.

> ascertain that panels by Board members in their division/region are properly and effectively conducted: > demonstrate a planned approach; • Professional Standards Guide Page 45


vi centered on risk assessment;y use effective interviewing techniques consistent with a non-

adversarial process; andobserve all procedural safeguards and the principles offundamental justice.

> ascertain that decision documentation reflects fullysubstantiated risk assessment:y well documented;s follow legislation and policy;). provide analyses of case factors; ands flow to a logical conclusion.

> review results of appeal cases, case audits and investigations toidentify special issues relevant to quality decision making in theregion; and

i assign Board members reasonable workload expectations: forexample specific numbers of office votes, hearing cases andadditional assignments consistent with the Board members'competencies and experience on the Board.

3) Performance Appraisals

The senior Board member, as a means to ensure professionalperformance of Board members shall:• provide them with regular feedback on their decision making

and job performance;s complete, annually or more often if required, performance

appraisals providing concrete examples of decision making andjob performance that is rated either superior, fully satisfactory,barely satisfactory or not satisfactory;

v incorporate into individual assessments feedback fromcolleagues (Board members and NPB staff), CSC staff, andothers associated with the decision making process; and

y advise Chairperson on performance issues and recommendremedial measures to address performance concerns.

A) Professional Development

The senior Board member as a means to ensure a high standard ofprofessional development shall:n ensure training needs, both collective and individual, are

identified and addressed through the appraisal process;y ensure that appropriate developmental opportunities are

provided and after course follow-up monitored;

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Professional Standards Guide Page 46 •


> ensure the regional professional development plan is submitted as part of the annual planning process;

> ensure on-going updates on risk assessment; > ensure that Board members have available inquiries and

investigation reports, Appeal Division reports, research materials and legal and policy interpretations to increase their knowledge and skills in decision making;

> ensure that Board members involved in cases resulting in case investigations are fully briefed on impact of their decision on case outcome; and

> ensure lessons from case inquiries and investigations are incorporated into regional training and development sessions.

5) Professional Conduct

It is the responsibility of the senior Board member through example to promote:

> respect for the law; > public confidence in the fairness, impartiality and

professionalism of NPB; and > high standards of demeanour required of those charged with

the administration of justice.

The senior Board member shall:

> advise Chairperson on major professional conduct issues and propose disciplinary actions.


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Performance Appraisals - Board Members

II Definitions.

Board Members' Performance Appraisal / Performance Norms

Superior Fully satisfactory Barely satisfactory Not satisfactory

exceeds expected professional standards fully meets professional standards usually fails to meet professional standards consistently fails to meet professional standards

1. General

Board members decisions shall:

1.1 demonstrate knowledge of and appropriate application of relevant legislation and policy

superior: > consistently handles well difficult applications of legislation

and policy

fully satisfactory: > on a regular day-to-day basis interprets and applies

legislation and policies appropriately

barely satisfactory: > on a regular basis, has to be reminded of the appropriate

application of legislation and policy, and requires support

not satisfactory: > consistently has to be reminded of the appropriate

application of legislation and policy and requires constant support

111) Professional Standards Guide Page 49


1.2 demonstrate sound judgement in assessing the risk factors considered in reaching a decision

superior: • consistently demonstrates an ability to form an opinion and

make decisions by discerning and weighing conflicting information on complex cases

fully satisfactory: ✓ on a regular basis demonstrates an ability to assess risk

factors relevantly and to make good decisions

barely satisfactory: • on a regular basis demonstrates a lack of good judgement in

assessing the relevant information on risk, and requires support in discerning and weighing conflicting information.

not satisfactory: • usually demonstrates a lack of good judgement in assessing

the relevant information on risk and requires constant support in discerning and weighing conflicting information

1.3 demonstrates fairness and common sense in light of all of the circumstances influencing a case

superior: • consistently demonstrates fair, sound and prudent

judgement in the face of conflicting and controversial pressures of complex cases

fully satisfactory: • on a regular basis demonstrates fair and sound judgement

in handling cases

barely satisfactory: ✓ at times, allows the influences of personal values and

external pressures to interfere with the exercise of judgement in assessing cases and requires support to deal with conflicting or controversial issues



not satisfactory:y on a regular basis, allows the influences of personal values

and external pressures to interfere with the exercise ofjudgement in assessing cases and requires support to dealwith conflicting and controversial issues

2. Case Review

Board members shall:

2.1 consistently completc assigned workload

superior:r consistently and competently handles assigned workload,

and manages to prepare and handle new cases added toschedule at last minute and able to vote on additional urgentoffice cases at a moments notice

fully satisfactory:• r on a regular day-to-day basis fully prepares cases for

hearings, attends and completes hearings as scheduled,completes office voting as assigned

barely satisfactoryn on a regular basis fails to complete assigned workload,

including office votes, or requires scheduling changes

not satisfactory:r consistently fails to complete assigned workload, including

office votes, or requires scheduling changes

2.2 demonstrate a thorough review of all relevant, availableinformation on offender's case file

superior:v consistently, in addition to full review and preparation of file

materials, demonstrates an ability to raise relevant issuesthat have been overlooked in case file materials - issues suchas opinions based on self-reported information from theoffender, unsubstantiated information, etc.



fully satisfactory: • on a regular basis, reviews all information on offender's files,

developing a full understanding of risk/needs and evidence of change

barely satisfactory • on a regular basis, fails to review all file information - may

have relied on panel package information to prepare for hearing or relied on last progress summary only, when voting at hearings or on paper reviews

not satisfactory: • consistently fails to review all file information - relies mostly

on panel package information to prepare for hearing or relies on last progress summary only, when voting at hearings or on paper reviews

2.3 where it is required to fully assess risk, requests relevant information, such as, legal or policy advice or missing offender specific information

superior: • consistently identifies relevant inadequacies and requests

relevant information and policy and legal advice necessary to make a quality decision

fully satisfactory: • on a regular basis identifies relevant inadequacies and

requests relevant information and policy and legal advice necessary to make a quality decision

barely satisfactory: ✓ on a regular basis fails to identify or request additional

relevant information or to seek necessary legal or policy advice or, makes requests which are not justified

not satisfactory: » consistently fails to identify or request additional relevant

information or to seek necessary legal or policy advice or, makes requests which are not justified

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3. Hearing process

In hearings, Board members shall:

3.1 demonstrate planned and effective use of the hearing processfor risk assessment

superior:v consistently uses hearings to assess offender's

understanding of crime cycle and strategies in place tomanage this cycle; to assess the benefits gained throughinterventions; and to analyse the viability and relevance ofthe offender's release plans; focuses on issues notadequately addressed in file information or requiringclarification

•

fully satisfactory:

n on a regular basis hearings are focused on assessing thechanges in offender's risk/needs, progress made inaddressing needs, and controls required to manage risk

barely satisfactory:r on a regular basis, hearings deal with confirming facts

documented in the file, or issues that are not relevant to riskassessment, and not advancing the analysis of risk factors orof information not adequately addressed in file; usually,hearings could be more effective.

not satisfactory:r hearings consistently deal with confirming facts documented

in the file, or issues that are not relevant to risk assessment,and not advancing the analysis of risk factors or ofinformation not adequately addressed in file

3.2 control and manage proceedings in an orderly and efficientirianner

superior:> consistently manages hearings in an orderly and efficient

manner, and has demonstrated an ability to diffusepotentially volatile situations


• Performance Appraisals - Board Members

fully satisfactory: » on a regular basis manages hearings so they are conducted

in reasonable time frames and proceedings are without incident

barely satisfactory: » on a regular basis the hearings are excessively long and

rambling, or controlled by the offender, or the offender's assistant; or demonstrates a passive attitude during the proceedings

not satisfactory: » consistently the hearings are excessively long and rambling,

or controlled by the offender, or the offender.'s assistant; or demonstrates a passive attitude during the proceedings

3.3 be respectful, patient, fair, and impartial and culturally sensitive with all participants in the hearing

superior: » consistently demonstrates an ability to establish a respectful

and professional tone during potentially highly emotional hearings with parties from diverse cultural backgrounds

fully satisfactory: treats all participants at hearing in a professional respectful manner

barely satisfactory: » at times, may become unduly confrontational, aggressive, or

arrogant during hearings or demonstrates lack of cultural sensitivity

not satisfactory: » on a regular basis is unduly confrontational, aggressive, or

arrogant during hearings, or demonstrates lack of cultural sensitivity

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3.4 cope, calmly and objectively, with information or reactions that are unpleasant

superior: • consistently demonstrates an ability to establish and

maintain a calm and objective hearing while discussing highly sensitive information and in the face of outbursts by other participants

fully satisfactory: • on a regular basis remains calm and objective in the face of

aggressive reaction by other hearing participants

barely satisfactory: • at times, may become aggressive and confrontational during

hearings

not satisfactory: • on a regular basis becomes aggressive and confrontational

during hearings

4. Decision documentation


4.1 document the decision in a manner that clearly sets out the basis for the decision with reference to relevant information, law, and consistent with the decision policies and with court decisions

• superior: • decision documentation consistently emphasises analysis

and assessment and demonstrates an ability to document complex applications of legislation as well as full application of decision policies

fully satisfactory: n decision documentation, on a regular basis, reflects

consideration of each aspect of the decision policies, taking into consideration all relevant and available information, as well as, respecting legislation and court decisions



barely satisfactory:f on a regular basis, decision documentation fails to

demonstrate attention to all relevant information andattention to each element of the decision policies or lists dataonly without evidence of analysis or assessment ofinformation with reference to risk

not satisfactory:> consistently, decision documentation fails to demonstrate

attention to all relevant information and attention to eachelement of the decision policies or lists data only withoutevidence of analysis or assessment of information withreference to risk

4.2 record a complete analysis of the case flowing logically to the,decision

superior:> decision documentation consistently demonstrates an ability

to document complex analyses of information includingexplanation of how conflicting information was assessed

fully satisfactory:decision documentation, on a regular basis, reflects theanalyses of information assessing the advances made by theoffender to address the identified needs and reduce the levelof risk

barely satisfactory:on a regular basis, decision documentation provides littleanalysis of the factual information

• not satisfactory:> consistently, decision documentation provides little analysis

of the factual information

4.3 take responsibility for a dissenting vote and articulate thedifference of opinion on key issues

superior:Y even in highly controversial and complex cases, accepts the

responsibility of differing with colleagues as to riskassessment and prepared to explain and put in writing therationale for such votes

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Performance Appraisals — Board Members

fully satisfactory: > accepts the responsibility to explain and support in writing,

an assessment of risk which results in a determination different than colleagues

barely satisfactory: > at times, defers to other colleagues assessment of risk and is

not prepared to register a vote which deviates from colleagues' assessment.

not satisfactory: > regularly defers to other colleagues assessment of risk and is

not prepared to register a vote which deviates from colleagues' assessment, and does not provide assessment and reasons for split votes.

5. Collegiality


5.1 encourage and support professional relationships with Board members and NPB staff who support the decision making process through the delivery of training and providing technical advice and support

superior: > consistently demonstrates an openness and respect for fellow

Board members and staff, accepting advice and support professionally, and takes opportunities to reinforce the value of a team approach to achieving NPB mission and mandate

fully satisfactory: > on a regular basis works co-operatively and professionally

with all Board members and staff at the hearings as well as in the office

barely satisfactory: • on a regular basis, is not open to receiving feedback from

Board members and staff



not satisfactory: > consistently tends to be closed to receiving advice from other

Board members or staff, does not work co-operatively; is not open to discussion; lacks respect of others' views.

5.2 encourage and support professional relationships with colleagues throughout the criminal justice system

superior: > initiates and actively participates in formal and informal

opportunities to enhance professional relationships with criminal justice partners

fully satisfactory: > participates as requested in events organised to encourage

professional relationships with criminal justice partners

barely satisfactory: > at times participates only reluctantly in events organised to

encourage professional relationships with criminal justice partners;

not satisfactory: • is not prepared to actively participate with criminal justice

partners to advance professional relationships

5.3 foster a work environment that promotes respect, equity, and freedom

superior: > seeks opportunities to demonstrate and promote a working

environment that is respectful, does not let conflicts fester, and treats eve ryone equitably

fully satisfactory: > on a daily basis is respectful of all people encountered during

the course of work

barely satisfactory: • at times, is not respectful of people encountered during the

course of work and ignores common courtesies

•



not satisfactory:r regularly ignores common courtesies, is abusive of authority

or treats staff inequitably

6. Continuing professional development


6.1 actively participate in training relevant to risk assessment

superior:v on a regular basis acts as a training resource person, and/or

sought out additional opportunities to support own personaldevelopment, as well as, the professional development ofcolleagues and actively participates in all arranged trainingsessions

•fully satisfactory:

participates in arranged training sessions; gets involved indiscussion sessions and workshops; and providesconstructive feedback to support own personal development,as well as, the professional development of colleagues

barely satisfactory:r participates in arranged training sessions, gets rarely

involved in discussion sessions and workshops and provideslittle constructive feedback

not satisfactory:fails to be available for training sessions and/or is present atsessions, but not involved

6.2 actively participate in cross-cultural training as appropriate

superior:> shares willingly and seeks out opportunities to share special

knowledge and awareness in area of cross-cultural training

fully satisfactory:> regularly demonstrates active participation- and interest

when training provided and seeks opportunities to increaseawareness



barely satisfactory: > on a regular basis avoids opportunities to participate in

cross-cultural training sessions, or attends sessions but without active participation

not satisfactory: > consistently avoids opportunities to participate in cross-

cultural training sessions

6.3 pursue the enhancement of professional competence and knowledge individually and collegially

superior: > pursues courses relevant to criminal justice issues on own

time or requests further information or documents as follow-up to issues raised during formal training or information sessions to review on own time for personal development

fully satisfactory: > actively participates in sessions and reviews materials which

are made available

barely satisfactory: > usually attends sessions but demonstrates little personal

commitment and, at times, fails to review materials which are made available

not satisfactory: » is not interested in investing time and energy into advancing

professional knowledge and competence beyond the bare minimum

7. Administration of the Board


7.1 contribute to the consultation on policy and other related matters

superior: > provides detailed and constructive feedback on policy and

discussion papers, and has advanced discussions also through preparation of issue papers and actively participates on any special projects/working groups to which assigned

•

Professional Standards Guide Page 60 I)


fully satisfactory:on a regular basis provides constructive feedback to Vice-Chair on policy and discussion papers

barely satisfactory:> on a regular basis, fails to review and/or provide comments

on policy or discussion papers

not satisfactory:> consistently fails to review and/or provide comments on

policy or discussion papers

7.2 abide by Treasury Board directives and public service rules andRegulations

superior:^ seeks to develop a good understanding of Treasury Board

directives and Public Service rules and regulations andpromotes not only adherence to the "letter" of such policiesbut also the "spirit" of such policies

• fully satisfactory:n on a daily basis abides by Treasury Board directives, Public

Service rules and regulations

barely satisfactory:> on a regular basis, fails or resists occasions to abide by

Treasury Board directives and Public Service rules andregulations

not satisfactory:y consistently fails or resists on various occasions to abide by

Treasury Board directives and Public Service rules andregulations.

7.3 respect administrative and management authority andresponsibilities

superior:on various occasions promotes and demonstrates support forand reinforces administrative and management authorityand responsibilities


• Performance Appraisals - Board Members

fully satisfactory: ✓ on a daily basis respects administrative and management

authority and responsibilities

barely satisfactory: • on certain occasions has ignored management authority and

responsibilities.

not satisfactory: > demonstrates a choice to ignore management authority and

responsibilities

8. Conflict of interest on individual cases


8.1 diligently avoid activities that would place the member in a real or perceived position of conflict with the mandate and responsibilities of decision-maker

superior: • not applicable

fully satisfactory: » discusses with Vice-Chair any activities which may be

perceived as a potential conflict to determine if appropriate to participate or withdraw, and acts accordingly

barely satisfactory: ✓ not applicable

not satisfactory: ✓ fails to disclose activities which may be perceived as placing

the member in a conflict of interest

8.2 disqualify him/herself from any review in which the member's participation may result in a reasonable apprehension of bias

superior: > not applicable

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fully satisfactory:when appropriate, removes himself/herself from reviewing acase

barely satisfactory:v not applicable

not satisfactory:> fails to recognise or remove himself/herself from reviews

where a reasonable apprehension of bias exists

8.3 identifying all community activities to confirm that none are inconflict with the responsibilities as a Board member

superior:> not applicable

•fully satisfactory:

provides full disclosure of community activities and stepsback from any activities which in any way, could even beperceived as presenting a remote conflict for a public officeholder

barely satisfactory:n not applicable

not satisfactory:â fails to identify community activities in advance


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Complaint and Disciplinary Process

Complaint and Disciplinary Process formembers of the National Parole Board

Ilia Relevant legislative provisions: Corrections and

Conditional Release Act (CCRA), ss. 150(2), s. 154, s.155, 155.1 and 155.2 (See Appendix A)

Definitions

1. "complaint" means the expression in writing of a specific grievance orconcern respecting the professional conduct or performance of aBoard member by a complainant; or as a result of an observationthrough the monitoring of Board members' performance; or throughfindings of a case audit, Board of investigation, decision of the AppealDivision, or other inquiry;

2. "complainant" means the person, agency, organization raising acomplaint as defined in s. (1) respecting the professional conduct orperformance of a Board member, and without limiting the generalityof the foregoing, may include an offender, an offender's assistant, as

• defined in the CCRA, a victim or an observer, as defined in the CCRA,the Chairman, Executive Vice-Chairperson or any Board member orstaff member of the National Parole Board, or the Commissioner orany staff member of the Correctional Service of Canada.

3. "examining official" means the official in charge of the examination ofa complaint, namely the Regional Vice-Chairperson, or the ExecutiveVice-Chairperson, other staff member as designated by the Chairman,or the Chairman under the relevant provisions of this Process;

4. "member" for the purpose of this Process includes full-time and part-time members of the National Parole Board, subject to ss. 3(2), (3), 4.2and 4.3 below;

5. "professional misconduct" or "failure to perform professional duties"for the purpose of this process includes:

n a complaint or issue raised with respect to any of the itemizedsubjects of inquiry set out in subsection 155.2(2) of Bill C-45;

> an unsatisfactory performance appraisal completed in accordancewith the Board's adopted performance appraisal process andcriteria;

> a violation of the Board's Code of Professional Conduct


• Complaint and Disciplinary Process

Objectives and Principles

1. The objectives of the Complaint and Disciplinary Process shall be: • The establishment of internal mechanisms for review and

dispositions of complaints that are consistent with an complementary to the external judicial inquiry mechanism contained in Bill C-45;

• Fair examination of complaints as defined in ss.1(1) • Clarity and openness in the examination of the complaints; • Support to the Board's commitment to accountability as

enunciated in the Board's Mission Statement and Core Values; • Preservation of the quality of decision-making and performance

standards of the NPB; • Enhancement of the credibility of the NPB.

2. In pursuit of these objectives, the Complaint and Disciplinary Process shall be based on, and applied according to, the following principles:

• Fairness, which dictates that members subject to a complaint shall have reasonable notice of the subject of the complaint and the opportunity to be heard before any conclusion with respect to the complaint is reached;

› Consistency, which dictates complaints will be processed in a uniform manner;

s. Transparency, which dictates full and prompt disclosure of the method and outcome of the examination as well as of any corrective or disciplinary measure, 1 o the member as well as the complainant, as the case may be.

3. The Complaint and Disciplinary Process shall not be used as an informai or alternative avenue of appeal respecting a conditional release decision.

Presentation and Referral of a Complaint/Observation

1. A complaint about a full-time or part-time member shall be presented in writing to the Regional Vice-Chairperson of the division to which that member has been appointed. If a verbal complaint is received, the Regional Vice-Chairperson will request that the complainant provide particulars in writing, before any examination under this process is commenced.

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Professional Standards Guide Page 66 111,


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In cases where the Regional Vice-Chairperson is the complainant,within the meaning of ss. 1(2) above, the Regional Vice-Chairperson shall set out particulars of their complaint in writingand examination will proceed pursuant to ss. 4.1(3)-(13).

2. A complaint concerning a Regional Vice-Chairperson or theExecutive Vice-Chairperson shall be presented to the Chairman.

Examination of the Complaint

Respecting fidl- and part-tüne Board members4.1

unless otherwise designated by the Chairman, the RegionalVice-Chairperson for the division in which the complaint aroseshall be the examining official in examinations under section4.1

(2) The examining official shall acknowledge receipt of thecomplaint in writing, as soon as possible after its receipt,specifying the process and timeframes for the examination ofthe complaint.

(3) If the complaint is one of harassment as defined in the Board'sharassment policy, the examining official will considerwhether the matter should be referred to the designatedharassment investigator for examination pursuant to the saidpolicy, prior to further examination pursuant to the Complaintand Disciplinary Process.

(4) If the examining official deems a complaint to be frivolous,vexatious or made in bad faith, the examining official shall soadvise the Executive Vice-Chairperson. If the Executive Vice-Chairperson concurs, the complainant shall be so informed inwriting, and copies shall be sent to the member concerned,the Executive Vice-Chairperson and the Chairman, and thecomplaint shall be rejected without further examination.

(5) The examining official shall send a copy of theacknowledgement of receipt, including all details, to theMember concerned requesting the member's version of theissue and response to the complaint.

(6) The examining official shall immediately notify the ExecutiveVice-Chairperson of the complaint/ observation about theconduct and/or performance of a full- or part-time Boardmember together with particulars.

(1)



(7) The Executive Vice-Chairperson shall consider whether the Chairman should be advised immediately of the complaint based on: > The seriousness of the complaint; > The reliability of the source of the complaint; > A trend or repetition of such complaints against the member; > The potential for embarrassment for the National Parole

Board, the Solicitor General, or the Government. (8) the examining official, in consultation with Legal Services if

appropriate, shall seek out all relevant information required to determine the merits to the complaint including, but not limited to, relevant file documentation and hearing tapes, or information obtained from interviews or written statements. In so doing, the examining official may seek the assistance of the regional director or other senior employee of the NPB.

(9) On the information produced by the member concerned, the information produced by the complainant, and the information examined independently by the examining official, within 30 days of the beginning of the examination, the examining official shall either make an assessment of the merits of the complaint, or shall inform in writing the complainant and the member concerned of the progress of the examination.

(10) If the complaint cannot be resolved within 30 days, the examining official shall inform in writing the complainant and the member concerned every 30 days on the progress of the examination.

(11) Upon completion of the review of the complaint, the examining official shall determine whether in the opinion of the examining official, there is merit of foundation to the complaint. If the examining official deems that the complaint is without merit, he/she shall so advise the Executive Vice-Chairperson. If the Executive Vice-Chairperson concurs, the complainant shall be so informed, in writing, and copies shall be sent to the member concerned, the Executive Vice-Chairperson and the Chairman.

(12) If the examining official determines that there is merit or foundation to the complaint, he/she will consider the appropriate remedial or disciplinary action to be recommended. In making that determination, the examining official shall consider: > The severity of the incident or (number of) incidents; > The consequences of the incident or (number of) incidents; > The overall performance of the Board member. • Professional Standards Guide Page 68


•

(13) Measures which may be recommended include, but are notlimited to:> A formal apology, retraction, or other correction action by

the Board member;â A written reprimand to the Board member, either by the

Regional Vice-Chairperson, by the Executive Vice-Chairperson or by the Chairman;

â The identification of training issues, action plan andmonitoring of expected results;

> In the case of a part-time member, a decision that themember will not be used for a definite or indefinite periodof time;

> A recommendation that the member not be considered forre-appointment;

> A recommendation by the Chairman to the Minister that aninquiry, pursuant to s. 155.1 of Bill C-45, be held.

(14) Upon completion of the review of the complaint, the examiningofficial will provide to the member, the complainant and theExecutive Vice-Chairperson, a report on the findings,conclusions and recommended remedial or disciplinarymeasure.

(15) The Executive Vice-Chairperson will advise the examiningofficial, the member and the complainant, in writing, withinfifteen days of receipt of the report of the examining official,whether the Executive Vice-Chairperson concurs with thereport and recommending action. If the recommended actionis to be dealt with at the divisional level, the Regional Vice-Chairperson will report to the Executive Vice-Chairperson,with copies to the member and complainant, within thirtydays as to the completion or status of the action plan, andevery three months thereafter until the action is complete.

If the Executive Vice-Chairperson does not concur, the ExecutiveVice-Chairperson, within fifteen days, may request furtherexamination or, following consultation with the Chairman, advisethe examining official, the member and the complainant, of anyalternative action to be taken.



4.2 Respecting Senior Board Members and the Executive Vice-Chairperson

The provisions outlined above apply to complaints respecting the conduct and performance of Regional Vice-Chairpersons and the Executive Vice-Chairperson with the following modifications. The examining official with respect to complaints about Regional Vice- Chairpersons shall be the Executive Vice-Chairperson, unless otherwise designed by the Chairman. The Executive Vice- Chairperson shall consult with the Chairman and notify him respecting all phases of the examination. In cases of complaints respecting the conduct and performance of the Executive Vice-Chairperson, the examination will be conducted by the Chairman.

Internal Review

(1) If the complainant or the member concerned is not satisfied with the way a complaint has been examined, within 15 days of notification of the report of the Executive Vice-Chairperson, a request for review of the examination may be presented in writing to the Chairman.

(2) As soon possible, the Chairman shall acknowledge in writing receipt of the request for review of the examination of the complaint, and shall inform the examining official, the complainant and the member concerned of the request for the review.

(3) The Chairman, in consultation with the legal counsel if appropriate, shall review the examination of the complaint as well as the information considered. If necessary, the Chairman may meet with the parties.

(4) Within 30 days of acknowledging receipt of the request for the review, the Chairman shall complete the review of the examination of the complaint, or shall inform in writing the complainant, the member concerned and the examining official of the progress of the review.

(5) As soon as the review is completed, the Chairman shall inform in writing the complainant, the member concerned and the examining official of its outcome and grounds for it. The Chairman may concur with the results of the examination, may request further examination, or may advise of any alternative remedial or disciplinary measure to be taken, pursuant to ss. 4.1(13).

Professional Standards Guide Page 70 e

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(6) The Chairman shall constitute the final level in the internalComplaint and Disciplinary Process, and the Chairman's review ofthe examination of a complaint shall be final. In all cases, theChairman may, on notice to the complainant, member concernedand examining official, stipulate such modifications to the processas the Chairman deems appropriate to the circumstances of anindividual case.

(7) The report of the examining official, and report or reviewdocumentation issued by the Executive Vice-Chairperson or theChairman, with respect to any complaint dealt with under thisprocess shall be included in the member's performance appraisalfile for consideration.


Complaint and Disciplinary Process - Appendix A

Appendix A - Corrections and Conditional Release Act

150. (2) A Vice-Chairperson for a division is responsible to theChairperson for the professional conduct, training, and quality ofdecision-making of Board members assigned to that division.

154. No criminal or civil proceedings lie against a member of the Boardfor anything done or said in good faith in the exercise or purportedexercise of the functions of a member of the Board under this orany other Act of Parliament.

155. (1) A full-time member of the Board shall not hold any office orengage in any occupation incompatible with the exercise of themember's functions under this or any other Act of Parliament.

(2) A member of the Board may not participate in a review of a casein circumstances where a reasonable apprehension of bias mayresult from the participation of that member.

•155.1 (1) The Chairperson may recommend to the Minister that an

inquiry be held•to determine whether any member of the Boardshould be subject to any disciplinary or remedial measures for anyreason set out in any of paragraphs 155.2(2)(a) to (d).

(2) Where the Minister considers it appropriate that an inquiryunder this section be held, a judge, supernumerary judge orformer judge of the Federal Court, in this section and section 155.2referred to as a"judge", shall conduct the inquiry.

(3) A judge conducting an inquiry under this section has all thepowers, rights and privileges that are vested in a superior courtand, without restricting the generality of the foregoing, has thepower

(a) to issue to any person a summons requiring the person toappear at the time and place mentioned in the summons totestify with respect to all matters within the person'sknowledge relative to the inquiry and to bring and produceany document, book or paper that the person has or controlsrelative to the inquiry; and

(b) to administer oaths and examine any person on oath.


• Complaint and Disciplinary Process - Appendix A

(4) Subject to subsections (5) and (6), an inquiry under this section shall be conducted in public.

(5) A judge conducting an inquiry under this section may, on application, take any measures or make any order that the judge considers necessary to ensure the confidentiality of the inquiry where the judge is satisfied that, during the inquiry or as a result of the inquiry being conducted in public, as the case may be,

(a) matters involving public security may be disclosed;

(b) financial or personal or other matters may be disclosed of such a nature that the desirability of avoiding public disclosures of those matters in the interest of any person affected or in the public interest outweighs the desirability of adhering to the principle that the inquiry be conducted in public; or

(c) there is a reasonable likelihood that the life, liberty or security of a person would be endangered.

(6) Where a judge conducting an inquiry under this section considers it appropriate to do so, the judge may take any measures or make any order that the judge considers necessary to ensure the confidentiality of any hearing held in respect of an application referred to in subsection (5).

(7) A judge conducting an inquiry under this section is not bound by any legal or technical rules of evidence and, in any proceedings of the inquiry, the judge may receive and base a decision on evidence adduced in the proceedings and considered credible or trustworthy in the circumstances of the case.

(8) A judge conducting an inquiry under this section may grant standing to the hearing to any party where the judge determines such an order to be appropriate.

(9) Every person in respect of whom an inquiry under this section is conducted shall be given reasonable notice of the subject-matter of the inquiry and of the time and place of any hearing thereof and shall be given an opportunity, in person or by counsel, to be heard at the hearing, to cross-examine witnesses and to adduce evidence.

1995, c. 42, s. 59.

•


• Complaint and Disciplinary Process - Appendix A

155.2 (1) After an inquiry under section 155.1 has been completed, thejudge who conducted the inquiry shall prepare a report of theconclusions of the inquiry and submit it to the Minister.

(2) Where an inquiry under section 155.1 has been held and, in theopinion of the judge who conducted the inquiry, the member of theBoard in respect of whom the inquiry was held

(a) has become incapacitated from the due execution of themember's office by reason of infirmity,

(b) is guilty of misconduct,

(c) has failed in the due execution of the member's office, or

(d) has been placed, by conduct or otherwise, in a positionthat is incompatible with the due execution of the member'soffice,

the judge may, in the report of the inquiry, recommend that themember be suspended without pay or be removed from office or

^ may recommend that such disciplinary or remedial measure as thejudge considers necessary be taken.

(3) Where the Minister receives a report under subsection (1), theMinister shall send a copy of the report to the Governor in Council,who may suspend the member of the Board to whom the reportrelates without pay, remove the member from office or take anyother disciplinary or remedial measure.

1995, c. 42, s. 59.


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CANADA

• Conflict of Interest and Post-Employment Code for Public Office Holders

Conflict of Interest and Post-Employment Code for Public Office Holders (June 1994)

Short title

1. This Code may be cited as the Conflict of Interest Code.

•

Part I

Object

2. The object of this Code is to enhance public confidence in the integrity of public office holders and the decision-making process in government

(a) while encouraging experienced and competent persons to seek and accept public office;

(b) while facilitating interchange between the private and the public sector;

(c) by establishing clear rules of conduct respecting conflict of interest for, and post-employment practices applicable to, all public office holders; and

(d) by minimizing the possibility of conflicts arising between the private interests and public duties of public office holders and providing for the resolution of such conflicts in the public interest should they arise.

Principles

3. Every public office holder shall conform to the following principles.

Ethical Standards

(1) Public office holders shall act with honesty and uphold the highest ethical standards so that public confidence and trust in the integrity, objectivity and impartiality of government are conserved and enhanced.


s Conflict of Interest and Post-Employment Code for Public Office Holders

Public Scrutiny

(2) Public office holders have an obligation to perform their official duties and arrange their private affairs in a manner that will bear the closest public scrutiny, an obligation that is not fully discharged by simply acting within the law.

Decision-Making

(3) Public office holders, in fulfilling their official duties and responsibilities, shall make decisions in the public interest and with regard to the merits of each case.

Private Interests

(4) Public office holders shall not have private interests, other than those permitted pursuant to this Code, that would be affected particularly or significantly by government actions in which they participate.

Public Interest

(5) On appointment to office, and thereafter, public office holders shall arrange their private affairs in a manner that will prevent real, potential or apparent conflicts of interest from arising but if such a conflict does arise between the private interests of a public office holder and the official duties and responsibilities of that public office holder, the conflict shall be resolved in favour of the public interest.

Gifts and Benefits

(6) Public office holders shall not solicit or accept transfers of economic benefit, other than incidental gi fts, customary hospitality, or other benefits of nominal value, unless the transfer is pursuant to an enforceable contract or property right of the public office holder.

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Professional Standards Guide Page 78 II,

• Conflict of Interest and Post-Employment Code for PublicOffice Holders

Preferential Treatment

(7) Public office holders shall not step out of their official roles toassist private entities or persons in their dealings with thegovernment where this would result in preferential treatment toany person.

Insider Information

(8) Public office holders shall not knowingly take advantage of, orbenefit from, information that is obtained in the course of theirofficial duties and responsibilities and that is not generallyavailable to the public.

Government Property

•

(9) Public office holders shall not directly or indirectly use, or allowthe use of, government property of any kind, including propertyleased to the government, for anything other than officiallyapproved activities.

Post-Employment

(10)Public office holders shall not act, after they leave public office,in such a manner as to take improper advantage of theirprevious office.

•

Part II

Conflict of interest compliance measures

hlterpretation

4.(1) For the purposes of this Part and the Schedule, "public officeholder" means:(a) a Minister of the Crown, including a Secretary of State;(b) a parliamentary secretary;(c) a member of ministerial staff, except public servants;(d) a full-time Governor in Council appointee, other than:



i. a Lieutenant-Governor of a province, ii. officers and staff of the Senate, House of Commons

and Library of Parliament; iii. a head of mission as defined in the Department of

External Affairs Act, iv. a judge who receives a salary under the Judges Act,

and v. a commissioned officer of the Royal Canadian

Mounted Police, other than the Commissioner of the Royal Canadian Mounted Police; or

a full-time ministerial appointee designated by the appropriate Minister of the Crown as a public office holder.

"Public Registry" means the registry where public documents are maintained by the Ethics Counsellor for examination by the public.

(2) Staff of federal boards, commissions, and tribunals as defined in the Federal Court Act, separate employers as defined under the Public Service Staff Relations Act, the Canadian Armed Forces and the Royal Canadian Mounted Police, and part-time ministerial or Governor in Council appointees are subject to the Principles set out in Part I and such other compliance measures as may be determined by the head of the organization in question, for whose application that individual is responsible.

Crown corporations as set out in the Financial Administration Act shall be subject to compliance measures established by, and in accordance with, the established practices of their own organization.

(4) Such provisions of this Part as may be relevant shall be brought to the attention of Lieutenant-Governors at the time of their appointment.

(e)

(3)

•


i Conflict of Interest and Post-Employment Code for PublicOffice Holders

Duties of the ethics counsellor

5. (1) Under the general direction of the Clerk of the Privy Council, theEthics Counsellor is charged with the administration of this Codeand the application of the conflict of interest compliancemeasures set out in this Part as they apply to public officeholders.

(2) Information concerning the private interests of a public officeholder provided to the Ethics Counsellor is confidential until aPublic Declaration, if any, is made with respect to thatinformation.

(3) It is the responsibility of the Ethics Counsellor to ensure:(a) that information provided under subsection (2) is placed in

personal confidential files and in secure safekeeping;(b) that any information provided by public office holders for a

public purpose is placed in personal unclassified files in thePublic Registry; and

. (c) that following an individual's departure from public office, thefiles referred to in (a) and (b) are destroyed in accordance withNational Archives policy and the Privacy Act.

Certification

6. Before or on assuming their official duties and responsibilities, publicoffice holders shall sign a document certifying that, as a condition oftheir holding office, they will observe this Code.

Compliance arrangements

7. (1) Once the arrangements made by a public office holder to complywith the conflict of interest compliance measures set out in thisCode are completed, a Summary Statement described insubsection (2) and any Public Declaration made pursuant tosections 11, 19 and 22 shall be signed by the office holder and acertified copy of the Statement and any Public Declaration shallbe placed in the Public Registry.



(2) The public office holder shall, in the Summary Statement, (a) state the methods of compliance used to comply with the

conflict of interest compliance measures; and (b) certify that he or she is fully cognizant of the post-employment

compliance measures set out in Part III, where applicable.

Where there is doubt as to which method is appropriate in order that a public office holder may comply with the Code, the Ethics Counsellor shall determine the appropriate method and, in doing so, shall try to achieve mutual agreement with the public office holder.

(4) All arrangements made by a public office holder to comply with the conflict of interest compliance measures set out in this Part shall be approved (a) in the case of Ministers of the Crown, by the Prime Minister;

and (b) in the case of all other public office holders, by the Ethics

Counsellor.

(5) The arrangements made by public office holders and their obligations under the Code will be reviewed annually by the Ethics Counsellor and the public office holder.

(6) On the recommendation of the Ethics Counsellor, a public office holder may be reimbursed for administrative costs incurred as a result of arrangements made under this Code, as set out in the Schedule.

A public office holder shall not sell or transfer assets to family members or other persons for the purpose of circumventing the conflict of interest compliance measures set out in this Part.

Time limits

8. Unless otherwise authorized by the Ethics Counsellor, every public office holder shall, (a) within 60 days after appointment, make a Confidential Report as

required under sections 9 and 16; (b) within 120 days after appointment

(i) where required, make a Public Declaration pursuant to sections 11, 19 and 22;

(3)

(7)

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Page 82 • Professional Standards Guide


(ii) divest controlled assets as required under section 12, and(iii) sign a Summary Statement for placing in the Public Registry

pursuant to section 7;(c) within 30 days after receipt of a gift, hospitality or other benefit,

notify the Ethics Counsellor as required under section 22, andwithin 60 days make a Public Declaration as required in thatsection; and

(d) within 30 days, inform the Ethics Counsellor of any changes in hisor her assets, liabilities and outside activities.

Assets and liabilities

Confidential Report

9. (1) A public office holder shall make a Confidential Report to theEthics Counsellor of all assets and of all direct and contingentliabilities. In the case of Ministers, Secretaries of State andParliamentary Secretaries, the public office holder shall make

^ arrangements for this information to be disclosed as well by theirspouses and dependent children. Information on spouses anddependent children is only for use by the Ethics Counsellor inadvising the public office holder on his or her own compliancearrangements.

(2) Assets that are not exempt assets are either "declarable assets" or"controlled assets" unless, after a Confidential Report, the EthicsCounsellor determines that they are of such a value that they donot constitute any risk of conflict of interest in relation to thepublic office holder's duties and responsibilities.

Exempt Assets

10.Assets and interests for the private use of public office holders andtheir families and assets that are not of a commercial character arenot subject to public declaration or divestment. Such assets,hereinafter referred to as "exempt assets", include:

(a) residences, recreational property and farms used or intended foruse by public office holders or their families;

(b) household goods and personal effects;


Conflict of Interest and Post-Employment Code for Public • Office Holders

(c) works of art, antiques and collectibles; (d) automobiles and other personal means of transportation; (e) cash and deposits; (f) Canada Savings Bonds and other similar investments in

securities of fixed value issued or guaranteed by any level of government in Canada or agencies of those governments;

(g) registered retirement savings plans that are not self-administered;

(h) investments in open-ended mutual funds; (i) guaranteed investment certificates and similar financial

instruments; (j) annuities and life insurance policies; (k) pension rights; (1) money owed by a previous employer, client or partnership;

and (m) personal loans receivable from the members of the public

office holder's immediate family and small personal loans receivable from other persons where the public office holder has loaned the moneys receivable.

• Declarable Assets

11. (1) A public office holder shall make a Public Declaration of assets that are not controlled assets, as defined under section 12, in order to allow the office holder to deal with those assets, subject to exercising vigilance to ensure that such dealings cannot give rise to a conflict of interest.

(2) Declarable assets include: (a) interests in businesses that do not contract with the

government, and do not own or control publicly traded securities, other than incidentally, and whose stocks and shares are not traded publicly;

(b) farms under commercial operation; (c) real property that is not an exempt asset as described in

section 10; and (d) assets that are beneficially owned, that are not exempt

assets as described in section 10, and that are administered at arm's length.

Professional Standards Guide niiiinle=age 84


(3) Declarable assets that are not publicly declared pursuant tosubsection (1) shall, for the purposes of section 13, be consideredto be controlled assets and divested.

Controlled Assets

12. (1) For the purposes of this section and section 13, "controlledassets" means assets that could be directly or indirectly affectedas to value by Government decisions or policy.

(2) Controlled assets, other than assets that may be retained undersubsections 9(2) or 13(5), shall be divested.

(3) Controlled assets include:(a) publicly traded securities of corporations and foreign

governments, whether held individually or in an investmentportfolio account;

(b) self-administered Registered Retirement Savings Plans, exceptwhen exclusively composed of exempt assets as described in

• section 10; and(c) commodities, futures and foreign currencies held or traded for

speculative purposes.

Divestment of Controlled Assets

13. (1) Subject to subsection (5), controlled assets are usually divestedby selling them in an arm's length transaction or by makingthem subject to a trust or management agreement, the mostcommon of which are set out in the Schedule.

(2) The Ethics Counsellor has the responsibility for determiningthat a trust or management agreement meets the requirementsof this Code. Before an arrangement is executed or when achange is contemplated, a determination that the arrangementmeets the requirements of this Code shall be obtained from theEthics Counsellor.

(3) Confirmation of sale or a copy of any executed instrument shallbe filed with the Ethics Counsellor. With the exception of astatement that a sale has taken place or that a trust ormanagement agreement exists, all information relating to thesale and the arrangement is confidential.


General •


(4) For the purposes of this Code, trust or management arrangements shall be such that they do not leave in the hands of the public office holder any power of management or decision over the assets.

(5) Subject to the approval of the Ethics Counsellor, a public office holder is not required to divest controlled assets that are: (a) pledged to a lending institution as collateral; or (b) of such value as to be practically non-marketable.

Liabilities

14. The Ethics Counsellor may require, with respect to liabilities, that particular arrangements be made to prevent any conflict of interest situation from arising.

Outside activities

15. Public office holders participation in activities outside their official duties and responsibilities is often in the public interest. Subject to sections 16 to 19, such participation is acceptable where it is not inconsistent with their official duties and responsibilities and does not call into question their capacity to perform their official duties and responsibilities objectively.

Confidential Report of Outside Activities

16. Public office holders shall provide to the Ethics Counsellor in a Confidential Report a listing of all their outside activities, including those in which they were engaged during the two-year period before they assumed their official duties and responsibilities. In the case of Ministers, Secretaries of State and Parliamentary Secretaries, the public office holder shall make arrangements for this information to be disclosed as well by their spouses and dependent children. These lists shall include all involvements in activities of a philanthropic, charitable or non-commercial character and involvements as trustee, executor or under power of attorney.



is

Prohibited Activities

17. Subject to section 18, public office holders shall not, outside theirofficial duties,(a) engage in the practice of a profession;(b) actively manage or operate a business or commercial activity;(c) retain or accept directorships or offices in a financial or

commercial corporation;(d) hold office in a union or professional association; or(e) serve as a paid consultant.

Permissible Activities

18. (1) When the activities described in section 17 relate to the officialduties and responsibilities of a public office holder, the publicoffice holder may, in exceptional circumstances and with theapproval required by subsection 7(4) become or remain involvedin them, but may not accept remuneration for any activity,except as provided in subsections (3) and (4).

(2) A public office holder may with the approval required bysubsection 7(4) retain or accept directorships in organizations ofa philanthropic, charitable or non-commercial character, butthe office holder shall take great care to prevent conflicts ofinterest from arising.

(3) Where the Prime Minister or a person designated by the PrimeMinister is of the opinion that it is in the public interest,full-time Governor in Council appointees to CrownCorporations, as defined in the Financial Administration Act,may retain or accept directorships or offices in a financial orcommercial corporation, and accept remuneration therefore, inaccordance with compensation policies for Governor in Councilappointees as determined from time to time.



(4) Ministerial support staff may, in exceptional circumstances and with the approval required by subsection 7(4), become or remain involved in activities that do not place on them demands inconsistent with their official duties and responsibilities or call into question their capacity to perform their official duties and responsibilities objectively.

Public Declaration of Outside Activities

19. (1) A public office holder shall make a Public Declaration of the activities referred to in section 18 and of directorships and official positions listed in a confidential report under section 16.

(2) In co-operation with a public office holder, the Ethics Counsellor shall prepare the Public Declaration of outside activities to be made by that office holder.

Gifts, hospitality and other benefits

When Declined

20. Gifts, hospitality or other benefits including those described in section 21 that could influence public office holders in their judgment and performance of official duties and responsibilities shall be declined.

When Permissible

21. (1) Any gifts, hospitality or other benefits of a value of $200 or less from any one source in a twelve-month period need not be disclosed to the Office of the Ethics Counsellor.

(2) Acceptance by public office holders of offers of gifts, hospitality or other benefits, greater than $200, arising out of activities associated with the performance of their official duties and responsibilities is not prohibited if such gifts, hospitality or other benefits:

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Conflict of Interest and Post-Employment Code for Public Office Holders

(a) are within the bounds of propriety, a normal expression of courtesy or protocol or within the normal standards of hospitality;

(b) are not such as to bring suspicion on the office holder's objectivity and impartiality; and

(c) would not compromise the integrity of the Government.

(3) Gifts, hospitality- and other benefits of reasonable value received from governments or in connection with an official or public event are permitted, as are gifts, hospitality and other benefits from family members and close personal friends.

Public Declaration Required

22. (1) Notwithstanding section 21, where a public office holder directly or indirectly receives any gift, hospitality or other benefit that has a value of $200 or more, other than a gift, hospitality or other benefit from a family member or close personal friend, the public office holder shall notify the Ethics Counsellor and make a Public Declaration that provides sufficient detail to identify the gift, hospitality or other benefit received, the donor, and the circumstances.

(2) Where there is doubt as to the need for a Public Declaration or the appropriateness of accepting an offer of a gift, hospitality or other benefit, public office holders shall consult the Ethics Counsellor.

Avoidance of preferential treatment

23. (1) A public office holder shall take care to avoid being placed or the appearance of being placed under an obligation to any person or organization, or the representative of a person or organization, that might profit from special consideration on the part of the office holder.

(2) In the formulation of government policy or the making of decisions, a public office holder shall ensure that no persons or groups are given preferential treatment based on the individuals hired to represent them.


Conflict of Interest and Post-Employment Code for Public ^Office Holders

(3) A public office holder shall not accord preferential treatment inrelation to any official matter to family members or friends or toorganizations in which they, family members or friends, have aninterest.

(4) Ministers and Secretaries of State should not hire or contractwith members of their immediate families, that is, their spouse,parents, children and siblings. As well, they should not permitdepartments or agencies for which they are responsible, or towhich they are assigned, to hire or contract with members oftheir immediate families.

(5) Ministers and Secretaries of State and the departments oragencies for which they are responsible should not hire orcontract with the immediate family of another Minister,Secretary of State or party colleague in Parliament except bymeans of an impartial administrative process in which theMinister or Secretary of State plays no part in the selection of acandidate or the negotiation of the contract. Appointments toministerial exempt staff are not subject to this restriction.

Failure to agree

24. Where a public office holder and the Ethics Counsellor disagree withrespect to the appropriate arrangements necessary to achievecompliance with this Code, the appropriate arrangements shall bedetermined by the Prime Minister or by a person designated by thePrime Minister.

Failure to comply

25. Where a public office holder does not comply with Part II, the officeholder is subject to such appropriate measures as may bedetermined by the Prime Minister, including, where applicable,discharge or termination of appointment.

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Part III

Post-employment compliance measures

Interpretation

26. For purposes of this Part, "public office holder" refers to the same positions subject to Part II, as set out in section 4, with the exception that ministerial staff must be designated by their Minister or Secretary of State for this Part to apply.

Object

27. Public office holders shall not act, after they leave public office, in such a manner as to take improper advantage of their previous public office. Observance of this Part will minimize the possibilities of:

(a) allowing prospects of outside employment to create a real, potential or apparent conflict of interest for public office holders while in public office;

(b) obtaining preferential treatment or privileged access to government after leaving public office;

taking personal advantage of information obtained in the course of official duties and responsibilities until it has become generally available to the public; and

(d) using public office to unfair advantage in obtaining opportunities for outside employment.

Compliance measures

Before Leaving Office

28. (1) Public office holders should not allow themselves to be influenced in the pursuit of their official duties and responsibilities by plans for or offers of outside employment.

(c )


Conflict of Interest and Post-Employment Code for PublicOffice Holders

(2) A public office holder shall disclose in writing to the EthicsCounsellor all firm offers of outside employment that couldplace the public office holder in a position of conflict of interest.

(3) A public office holder who accepts an offer of outsideemployment shall immediately disclose in writing to the EthicsCounsellor as well as to his or her superior, the acceptance ofthe offer. In such an event, where it is determined by the EthicsCounsellor that the public office holder is engaged in significantofficial dealings with the future employer, the public officeholder shall be assigned to other duties and responsibilities assoon as possible. The period of time spent in public officefollowing such an assignment shall be counted towards thelimitation period on employment imposed under section 30.

(4) The public office holder shall also disclose the acceptance of theoffer(a) in the case of Ministers of the Crown and Secretaries of

State, to the Prime Minister;(b) in the case of deputy heads, to the Clerk of the Privy

Council;(c) in the case of ministerial staff, full-time ministerial

appointees and full-time Governor in Council appointeesother than those referred to in paragraph (b), to theappropriate Minister of the Crown; and

(d) in the case of parliamentary secretaries, to the Minister ofthe Crown whom the parliamentary secretary assists.

After Leaving Office

Prohibited Activities

29. (1) At no time shall a former public office holder switch sides byacting for or on behalf of any person, commercial entity,association, or union in connection with any specific ongoingproceeding, transaction, negotiation or case to which theGovernment is a party and where the former public office holderacted for or advised the Government.

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(2) Nor shall former public office holders give advice to their clients using information that is not available to the public concerning the programs or policies of the departments with which they were employed, or with which they had a direct and substantial relationship during the period of one year immediately prior to the termination of their service in public office.

Limitation Period

30. Former public office holders, except for Ministers of the Crown for whom the prescribed period is two years, shall not, within a period of one year after leaving office,

(a) accept appointment to a board of directors of, or employment with, an entity with which they had direct and significant official dealings during the period of one year immediately prior to the termination of their service in public office; or

(b) make representations for or on behalf of any other person or entity to any department with which they had direct and significant official dealings during the period of one year immediately prior to the termination of their service in public office.

Reduction of Limitation Period

31. (1) On application from a public office holder or former public office holder, the Prime Minister may reduce the limitation period on employment imposed under section 30.

(2) In deciding whether to reduce the limitation period on employment imposed under section 30, the Prime Minister will consider whether the public interest in granting the reduction outweighs the public interest in maintaining the prohibition. Factors to consider include: (a) the circumstances under which the termination of their

service in public office occurred; (b) the general employment prospects of the public office

holder or former public office holder making the application;

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(3)

(c) the significance to the Government of informationpossessed by the public office holder or former public officeholder by virtue of that office holder's public office;

(d) the desirability of a rapid transfer from the Government toprivate or other governmental sectors of the public officeholder's or former public office holder's knowledge andskills;

(e) the degree to which the new employer might gain unfaircommercial advantage by hiring the public office holder orformer public office holder;

(f) the authority and influence possessed by the public officeholder or former public office holder while in public office;and

(g) the disposition of other cases.

The decision made by the Prime Minister shall becommunicated in writing to the applicant referred to insubsection (1).

Exit arrangements

32. Prior to a public office holder's official separation from public office,the Ethics Counsellor shall, in order to facilitate the observance ofthe compliance measures set out in this Part, communicate with thepublic office holder to advise about post-employment requirements.

Dealings with former public office holders

Obligation to Report

33. (1) Public officer holders who have official dealings, other thandealings that consist of routine provision of a service to anindividual, with former public office holders who are or may begoverned by the measures set out in this Part, shall report thosedealings to the Ethics Counsellor.

(2) On receipt of a report under subsection (1), the EthicsCounsellor shall immediately determine whether the formerpublic office holder is complying with the compliance measuresset out in this Part.

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Public office holders shall not, in respect of a transaction, have official dealings with former public office holders, who are determined pursuant to subsection (2) to be acting, in respect of that transaction, contrary to the compliance measures set out in this Part.

Schedule

Agreements

1. The following are examples of the most common agreements that may be established by public office holders for the purpose of complying with the Code:

(a) Blind Trust

A blind trust is one in which the trustee makes all investment decisions concerning the management of the controlled assets, with no direction from or control by the public office holder who has placed the assets in trust. Assets are placed in a blind trust for the purpose of allowing investment in publicly traded securities of corporations or foreign governments.

(b) Blind Management Agreement

A blind management agreement places the assets of the public office holder in the hands of a manager who is at arm's length from the public office holder. The manager is empowered to exercise all of the rights and privileges associated with those assets. The agreement prevents the manager from seeking or obtaining the advice of the public office holder. The public office holder cannot offer or provide advice, nor can the public office holder participate in any discussion or decision-making processes, wherever they may arise, that may particularly or significantly affect the assets that are subject to the agreement. It is only in exceptional circumstances where an extraordinary corporate event is likely to materially affect the assets, that the public office holder may personally intervene, but only after the Ethics Counsellor has been consulted and determines that the intervention would not give rise to a conflict of interest.

(3)



A public declaration identifying the assets placed in the blindmanagement agreement must also be made. The public officeholder is entitled throughout the duration of the agreement tobe kept informed of the basic value of the assets.

Provisions common to blind trusts

2. Provisions common to blind trusts are:

(a) Custody of the Assets: The assets to be placed in trust mustbe registered to the trustee unless these are in a RRSPaccount.

(b) Power of Management or Control: The public office holder(settlor) may not have any power of management or controlover trust assets. The trustee, likewise, may not seek oraccept any instruction or advice from the public office holderconcerning the management or the administration of theassets.

(c) Schedule of Assets: The assets placed in trust shall be listedon a schedule attached to the trust agreement.

(d) Duration of Trust: The term of any trust is to be for as long asthe public office holder who establishes the trust continues tohold an office that makes that method of divestmentappropriate. A trust may be dismantled once the trust assetshave been depleted.

(e) Return of Trust Assets: Whenever a trust agreement isdismantled, the trustee shall deliver the trust assets to thepublic office holder.

(f)

(g)

Information: No information is provided to the public officeholder (settlor) except information that is required by law to befiled and periodic reports on the overall value of the trust, butnever its composition.

Income: A public office holder who establishes a blind trustmay receive any income earned by the trust, add or withdrawcapital funds, and be informed of the aggregate value of theentrusted assets.

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(h) Trustee: Any trustee who is appointed shall clearly be at arm's length from the public office holder and the Ethics Counsellor is to be satisfied that an arm's length relationship exists in each case. As other criteria, any trustee must be: (i) a public trustee; (ii) a company, such as a trust company or investment

company, that is public and known to be qualified in performing the duties of a trustee; or

(iii) an individual who may perform trustee duties in the normal course of his or her work.

Agreement for -ms

3. Acceptable blind trust and blind management agreements are available from the Ethics Counsellor. Any amendments to these agreements shall be submitted to the Ethics Counsellor before they are executed.

Filing of agreements

4. Public office holders are required to file with the Ethics Counsellor a copy of any blind trust or blind management agreement. Such agreements will be kept in the public office holder's confidential file and the Ethics Counsellor will not make them available to anyone for any purpose.

Reimbursement for costs incurred

5. On the recommendation of the Ethics Counsellor, the following reimbursements for costs to comply with the Conflict of Interest Compliance Measures set out in this Code may be permitted:

(a) Divestment of Assets

reasonable legal, accounting and transfer costs to establish and dismantle a trust or management arrangement determined to be necessary by the Ethics Counsellor;

(i)



(ii) annual, actual and reasonable costs to maintain andadminister the trust or management arrangement,following rates set from time to time by the EthicsCounsellor;

(iii) commissions for transferring, converting or selling assetswhere determined necessary by the Ethics Counsellor;and

(iv) costs of other financial, legal or accounting servicesrequired because of the complexity of arrangements forsuch assets.

(b) Withdrawal from Activities

Costs of removing a public office holder's name from federal orprovincial registries of corporations.

6. Reimbursement is not permitted for:

(a) charges for day-to-day operations of a business or commercialentity;

(b) charges associated with winding down a business; or(c) costs for acquiring permitted assets using proceeds from

required sale of other assets.

7. The public officer holder is responsible for any income taxadjustment that may result from the reimbursement of trust costs.


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Conflict of Interest - Part-time Board Members

Conflict of Interest and Post-EmploymentCode for Part-time Board Members

Preamble

The Conflict of Interest and Post-Employment Codewas tabled by the Prime Minister in the House of Commons onSeptember 9, 1985 and came into force on January 1, 1986.

Governor-in-Council appointees who serve on a full time basis aresubject to all three parts of the Code which is administered by theAssistant Deputy Registrar General. Governor-in-Council appointeeswho serve on a part-time bases are subject to the Principles of theCode only and to such Compliance Measures as are established forthem by their own agency, in this case, the National Parole Board.

These measures are to ensure that the personal interests and outsideactivities of the members do not conflict with their official publicfunctions.

Because of the intermittent nature of their public responsibilities,part-time Board members are more likely to retain their professionand other activities. Quite often, they can make their situation fit thePrinciples and thereby meet the requirement of the Code with no needfor further action. However, at times, they may find that their privateinterests and activities give rise to situations which could cause areal, potential, or apparent conflict of interest with the duties andresponsibilities of their public office.

These compliance measures have been developed in consultation withthe office of the Assistant Deputy Registrar General.

Conflict of Interest Principles

Every part-time Board member shall conform to the followingprinciples:

a) Part-time Board members shall perform their official duties andarrange their private affairs in such a manner that publicconfidence and trust in the integrity, objectivity and impartiality ofgovernment are conserved and enhanced.

is Professional Standards Guide Page 99


b) Part-time members have an obligation to act in a manner that will bear the closest public scrutiny, an obligation that is not fully discharged by simply acting within the law;

c) Part-time member shall not have private interests, other than those permitted pursuant to the Conflict of Interest and Post-Employment Code, that would be affected particularly or significantly by government actions in which they participate;

d) On appointment to office, and thereafter, part-time Board members shall arrange their private affairs in a manner that will prevent real, potential or apparent conflicts of interest from arising but, if such a conflict does arise between the private interests of a part-time Board member and the official duties and responsibilities of that part-time Board member, the conflict shall be resolved in favour of the public interest;

e) Part-time Board members shall not solicit or accept transfers of economic benefit, other than incidental gifts, customary hospitality or other benefits of nominal value, unless the transfer is pursuant to an enforceable contract or property right of the part-time Board members;

f) Part-time Board members shall not step out of their official roles to assist private entities or persons in their dealings with the government where those would result in preferential treatment to any person;

g) Part-time Board members shall not knowingly take advantage of, or benefit from, information that is obtained in the course of their official duties and responsibilities and that is not generally available to the public;

h) Part-time Board members shall not directly or indirectly use, or allow the use of, government property leased to the government for anything other than officially approved activities;

i) Part-time Board members shall not assist any officer during a review conducted by the National Parole Board until six months have elapsed since the end of their mandate; and

j) Part-time Board members shall not act, after they leave public office, in such a manner as to take improper advantage of their previous office.



Conflict of Interest Compliance Measures

Part-time Board members are required to comply with the following measures:

a) Part-time Board members shall disclose, in writing, assets, and/or other interests which could cause a real or potential conflict of interest. Obligations, liabilities and temporary personal/professional steps taken to eliminate any real or potential conflict should also be reported. The disclosure is to be made to the Chairman;

During the course of the appointment, part-time Board members are required to comply with the following:

b) Part-time Board members shall voluntarily remove themselves from a case where their impartiality could appear to be in question;

c) Part-time Board members shall abstain from discussion and/or voting on an issue which puts a Member in conflict of interest situation;

d) Part-time Board members who have received or accepted an offer of employment which might create a conflict of interest situation must disclose this fact immediately to the Chairman;

e) Part-time Board members shall not accord preferential treatment in relation to official matters, to family members, friends or organization in which they have interest;

f) Part-time Board members who have official dealings other than dealings that consist of routine provision of a service to an individual, with former Board members, shall report those dealings immediately to the Chairman; and,

g) Part-time Board members shall sign a document certifying that they have read and understood the above Principles and Compliance Measures and that they will observe them as a condition of holding office; that they will review this document on at least a yearly basis to ascertain whether their circumstances have changed since their appointment.


Conflict of Interest - Certification Document

Certification Document

Con flirt of Interest Principles and Compilai ce Measures for Part-time Board members

, hereby acknowledge that I have

read and understand the Conflict of Interest Piinciples and Compliance

Measures for part-time Board members as adopted by the National

Parole Board on the 14t 1 day of January, 1991, and amended on April

16, 1996, and as a condition of my holding office, I will observe these

Principles and Compliance Measures, reviewing my obligations under

same yearly, making any necessary report at least one month prior to the

anniversary date of my appointment as the case may be.

DATED at the City of , in the province of

this day of , 19

Signature

Witness Signature


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