Open and Accountable Government

2015

Open and Accountable Government sets out core principles regarding the roles and responsibilities of Ministers in Canada’s system of responsible parliamentary government. This includes the central tenet of ministerial responsibility, both individual and collective, as well as Ministers’ relations with the Prime Minister and Cabinet, their portfolios and Parliament. It outlines standards of conduct expected of Ministers as well as addressing a range of administrative, procedural and institutional matters. It also provides guidance to ministerial exempt staff and useful information for public servants and Canadians on Canada’s system of government. Finally, on the critical issue of ethical conduct, Ministers are expected to be thoroughly familiar with the Conflict of Interest Act.

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Table of Contents

I.1. Individual Ministerial Responsibility

I.2. Collective Ministerial Responsibility

I.3. Ministerial Accountability

II.1. Powers, Duties and Functions

II.2. Acting Ministers

II.3. Parliamentary Secretaries

II.4. Public Service and Exempt Staff Support

II.5. Central Agencies

III.1. Ministerial House Duties

III.2. Parliamentary Committees and the Role of Departmental Officials

IV.1. Ministerial Conduct

IV.2. Conflict of Interest Act

IV.3. Lobbying Act

IV.4. Invitations, Sponsored Travel and Foreign Honours

Part I: Ethical Guidelines and Statutory Standards of Conduct

Part II: Guidelines for the Political Activities of Public Office Holders

C.1. Public Access to Information and Privacy

C.2. Cabinet, Institutional, Ministerial and Personal Records

C.3. Financial and Resource Management

C.4. Security

C.5. Ministerial Travel Coordination

D.1. Basic Rules for Cabinet Business

D.2. Decision-Making Process and Procedures

a) The Policy and Fiscal Frameworks

b) The Process

D.3. Legislative Program

D.4. The Cabinet and Cabinet Committees

D.5. Orders in Council

D.6. Financial Procedure

D.7. International Treaties

E.1. Deputy Ministers

E.2. Departmental Officials

E.3. Ministerial Exempt Staff

E.4. Supporting Ministerial Accountability to Parliament

F.1. The Crown, the Governor General and the Queen’s Privy Council for Canada

F.2. The Prime Minister’s Functions and Powers

F.3. The Ministry, the Cabinet and the Governor in Council

F.4. Parliamentary Secretaries

F.5. Ministers and the Law

G.1. Central Agencies

a) Privy Council Office

b) Department of Finance

c) Treasury Board Secretariat

G.2. The Prime Minister’s Office

G.3. Federal-Provincial-Territorial Relations

G.4. Appointments

G.5. Judicial Appointments

G.6. Communications and Public Announcements

H.1. Types of Portfolio Organizations

H.2. Integrated Portfolio Coordination

H.3. Crown Corporations

H.4. Administrative Tribunals

H.5. Dealings with portfolio organization on behalf of constituents

A Message to Ministers

We have a talented, diverse and committed ministry that I know will bring the responsible leadership needed to implement our ambitious plan and deliver good governance for Canadians.

Our plan for an open and accountable government will allow us to modernize how the Canadian government works, so that it better reflects the values and expectations of Canadians. At its heart is a simple idea: open government is good government. For Canadians to trust our government we must trust Canadians, and we will only be successful in implementing our agenda to the extent that we earn and keep this trust.

To be worthy of Canadians’ trust, we must always act with integrity. This is not merely a matter of adopting the right rules, or of ensuring technical compliance with those rules. As Ministers, you and your staff must uphold the highest standards of honesty and impartiality, and both the performance of your official duties and the arrangement of your private affairs should bear the closest public scrutiny. This is an obligation that is not fully discharged by simply acting within the law.

The trust of Canadians will also rest on the accountability of our government. In our system, the highest manifestation of democratic accountability is the forum of Parliament. You are accountable to Parliament for the exercise of the powers, duties and functions with which you have been entrusted. This requires you to be present in Parliament to answer honestly and accurately about your areas of responsibility, to take corrective action as appropriate to address problems that may arise in your portfolios, to correct any inadvertent errors in answering to Parliament at the earliest opportunity, and to work with parliamentary colleagues of all political persuasions in a respectful and constructive manner.

We also share collective responsibility for the actions of the Government. This means that Ministers must be prepared to explain and defend the government’s policies and actions before Parliament at all times, and that the government must speak to Parliament and Canadians with a single voice. This in turn requires that Ministers be able to engage in full and frank discussion at Cabinet, with the assurance that what they say will be held in confidence. Ministers are bound to this confidentiality by their oaths as Privy Councillors.

You are responsible for ensuring that your departments are managed well and with complete integrity, and must discharge your portfolio responsibilities with careful regard to the particular powers, duties and functions assigned to you by statute and convention. In meeting this responsibility you can rely on the professional, non-partisan advice and support of your deputy minister and department. At the same time, you and your office must respect the non-partisanship of the public service and not seek to engage public servants in work that is outside their appropriate role.

To assist you in meeting these and other duties, Open and Accountable Government sets out the fundamental principles of our system of responsible government, including the core tenets of individual and collective ministerial responsibility, and provides you with practical guidance for performing your mandates. I draw your attention in particular to areas of the guide that we have expanded or strengthened for our mandate, including the guidance on non-partisan use of departmental communications resources in Annex G; the expanded material describing the role of the Crown and Governor General and the role of the Attorney General in Annex F; the description of ministerial roles in the governance of Crown corporations and the guidance for ministers communicating with portfolio entities in Annex H; the code of conduct for exempt staff in Annex I; and the guidance on social media use in Annex J.

Creating the culture of integrity and accountability that allows us to earn and keep the trust of Canadians will require constant attention and ongoing commitment by all of us throughout our mandate. This guide will serve as an important reference as we strive to provide an open and accountable government for all Canadians.

Justin Trudeau

Prime Minister of Canada

Introduction

This guide sets out the duties and responsibilities of the Prime Minister and Ministers, and outlines key principles of responsible government in Canada. This essential information will help the Ministry individually and collectively manage the business of the Government of Canada. The Guide also includes information regarding the duties and responsibilities of Parliamentary Secretaries and provides guidance to ministerial exempt staff. It is also a useful guide for both public servants and Canadians on Canada’s system of government.

Ministers who want further information or advice about the subject matter of this document may consult the Clerk of the Privy Council or their deputy minister. This document has been prepared by the Machinery of Government Secretariat in the Privy Council Office, which is responsible for supporting the Clerk of the Privy Council and deputy ministers by advising them on matters contained in this Guide.

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I. Ministerial Responsibility and Accountability

Ministers of the Crown are chosen by the Prime Minister and along with him constitute the Ministry. They all serve at the pleasure of the Prime Minister. Government policy is established by the Cabinet. The Ministry together helps carry out the mandate of the government.

Ministers of the Crown are responsible and accountable to the Prime Minister and Parliament in two fundamental ways:

individually, for their performance in carrying out the responsibilities of the portfolio assigned to them by the Prime Minister; and

collectively, in support of the Ministry team and decisions of Cabinet.

Ministers’ individual and collective responsibility is an essential principle guiding the role of Cabinet government in Canada, and is at the core of the standards for ministerial behaviour.[1]

I.1. Individual Ministerial Responsibility

Ministers are accountable to the Prime Minister: they are appointed by the Governor General on the advice of the Prime Minister and the Prime Minister may ask for their resignation at any time.

Ministers are also accountable to Parliament. Most ministerial responsibilities are conferred on Ministers by Parliament through statutes that set out the powers, duties and functions for which the Minister is individually accountable. In addition, Ministers may also have other authorities in common law. They may also have responsibilities assigned to them by the Prime Minister. Ministers are accountable to Parliament for all areas of responsibility, whether they are assigned by statute or otherwise.

I.2. Collective Ministerial Responsibility

All members of the Ministry are collectively responsible for carrying out the government’s policies as established by the Cabinet. They are therefore expected to work in close consultation with their ministerial colleagues. This principle is the foundation of a key constitutional convention known as Cabinet solidarity.

Policies presented to Parliament and to the public must be the agreed policies of the Cabinet. Ministers cannot dissociate themselves from or repudiate the decisions of Cabinet or their Ministry colleagues unless they resign from the Ministry.

Cabinet solidarity is further reinforced by the Privy Councillor’s oath requiring Ministers to declare their opinion as decisions are being made, and to strictly uphold the confidentiality of Cabinet decision making.

The Cabinet decision-making process is a key mechanism for achieving overall coherence and coordination in government policy. Ministerial responsibilities may overlap or have implications for other Ministers. The increasing complexity of issues means that policies and programs must be reviewed in relation to each other. Ministers also have responsibilities for representing the different perspectives and interests of their regions, and these inevitably cut across departments. Ministers need to work closely together to ensure that their individual proposals are considered in the broader objectives of the government’s agenda.

I.3. Ministerial Accountability

Ministers are accountable to Parliament for the exercise of the powers, duties and functions vested in them by statute or otherwise. Ministers must be present in Parliament to respond to questions on the discharge of their responsibilities, including the manner in which public monies were spent, as well as to account for that use. Whether a Minister has discharged responsibilities appropriately is a matter of political judgment by Parliament. The Prime Minister has the prerogative to reaffirm support for that Minister or to ask for his or her resignation.

It is critical to the principle of responsible government that all organizations within the executive be the responsibility of a Minister who is accountable to Parliament for the organization. A Minister is accountable to Parliament for the proper functioning of his or her department and all other organizations within his or her portfolio.

Ministers fulfill their accountability with respect to organizations by demonstrating appropriate diligence and competence in the discharge of their responsibilities. What constitutes appropriate ministerial oversight will depend on the nature of the organization and the Minister’s role. In some cases, where arm’s-length bodies are concerned and most powers, duties and functions are vested in a deputy head or governing body, the Minister’s engagement will be at a systemic level—for example, making or recommending appropriate appointments, approving corporate plans, or examining the need for changes to the framework legislation.

Ministerial accountability to Parliament does not mean that a Minister is presumed to have knowledge of every matter that occurs within his or her department or portfolio, nor that the Minister is necessarily required to accept personal responsibility for every matter. It does require that the Minister attend to all matters in Parliament that concern any organizations for which he or she is responsible, including responding to questions. It further requires that the Minister take appropriate corrective action to address any problems that may have arisen, consistent with the Minister’s role with respect to the organization in question. It is important that Ministers know and respect the parameters of their responsibilities with respect to arm’s-length organizations.

[1] Details may be found in Responsibility in the Constitution, Privy Council Office, 1993.

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II. Portfolio Responsibilities and Support

When a Minister is appointed to a portfolio, the Minister will have powers, duties and functions vested by statute, and the Prime Minister may assign a broad range of additional responsibilities. In exercising the powers conferred by Parliament and in implementing Cabinet decisions, Ministers are supported by a deputy minister and departmental officials. They are also provided with resources for exempt staff,[2] whom they personally appoint to assist them in their official responsibilities by providing political analysis, advice and support that the public service cannot provide.

As head of government, the Prime Minister has a responsibility for the effective operation of the whole of government and often has to answer in the House for the operation of all departments and agencies. This may mean that, in carrying out this overarching responsibility, the Prime Minister will be involved in matters within the responsibility of individual Ministers.

This chapter provides information on the framework and management of ministerial portfolios and on the public service resources that provide support to Ministers.

II.1. Powers, Duties and Functions

Under departmental statutes, it is the presiding Minister who is vested with powers, duties and functions. Many of the Ministers’ powers are normally exercised on the Ministers’ behalf by deputy ministers and departmental officials, who may in some cases act under formal delegations. Ministers are individually accountable to Parliament and the Prime Minister for their own actions and those of their department, including the actions of all officials under their management and direction.

Ministers’ portfolio responsibilities may include a variety of arm’s-length organizations, such as agencies, tribunals and Crown corporations. In the case of such organizations, the enabling legislation may vest powers, duties and functions directly in a deputy head or in a body such as a board or commission, although the Minister will in most cases have residual powers, duties and functions. Ministers’ relationships with these organizations must respect the parameters of their legal authorities. A discussion of Ministers’ roles with respect to such bodies is found in Annex H, “Portfolio Organizations.”

The Prime Minister may assign additional responsibilities to a Minister, either through an Order in Council[3] or as a result of a designation by the Prime Minister. Consequently, ministerial responsibilities can encompass a range of diverse activities, some based on statute, others on specific direction provided by the Prime Minister.

II.2. Acting Ministers

The Prime Minister establishes a standing roster of acting and alternate Ministers who assume additional duties when their colleagues are unable to perform their duties. The roster is formalized by a Minute of Council. The Prime Minister can act for any Minister, but normally does so only when the designated acting Minister or the alternate Minister is not available.

Ministers acting on behalf of their colleagues when unable to perform their duties may exercise the full powers of the Minister, but are advised not to make major decisions in the Minister’s temporary absence. In urgent cases, they traditionally consult the Minister, the Prime Minister or other Cabinet colleagues as appropriate.

II.3. Parliamentary Secretaries

Parliamentary Secretaries are chosen by the Prime Minister and are assigned to assist Ministers. They are key resources in a Minister’s portfolio. Parliamentary Secretaries are not members of the Ministry, and their responsibilities are carried out within the policy and program frameworks set out by their Ministers. They may also be called upon to support other Ministers in the portfolio. For additional information, Parliamentary Secretaries should refer to the Guide for Parliamentary Secretaries, available from the Privy Council Office.

Parliamentary Secretaries are expected generally to support Ministers with respect to House and public duties as well as some department-related duties.

With respect to their House and public duties, Parliamentary Secretaries are a fundamental link between Ministers and Parliament. They help Ministers maintain contacts with Senators and other members of the House of Commons in order to promote effective parliamentary decision making and to assist in the advancement or handling of the legislative agenda. They play a liaison role within the caucus, the House of Commons and its committees.

In committees, they can help in sharing departmental information, and can work with committee chairs to plan appearances of Ministers and departmental officials. They are expected to facilitate departmental appearances by representing the Minister’s views and intervening if necessary to address political issues that may arise. On Private Members’ Business, Parliamentary Secretaries are a link between parliamentarians and the Minister, and can also facilitate interaction with departments in the development of Private Members’ Business that the government chooses to support. Parliamentary Secretaries may also be called upon to answer policy questions during Question Period in the Minister’s absence, although acting Ministers may respond to particularly sensitive questions. House of Commons Standing Orders provide that Parliamentary Secretaries are ineligible to sponsor an item of Private Members’ Business.

A Minister may delegate to a Parliamentary Secretary specific duties for policy development initiatives. Overall responsibility and accountability remain with the Minister, who also remains responsible for the direction of public servants and departmental resources, and has authority to initiate departmental actions.

II.4. Public Service and Exempt Staff Support

In the performance of their departmental duties, Ministers receive support from two kinds of officials with distinct but complementary roles:

public servants, reporting in a clear chain of command to the deputy minister, provide professional, non- partisan policy advice to Ministers and conduct departmental operations through the exercise of legal authorities flowing from the Minister; and

ministerial “political” or “exempt” staff provide advice that can address the political aspects of the Minister’s functions but do not play a role in departmental operations.

The roles and responsibilities of deputy ministers and other public servants as well as those of exempt staff in supporting Ministers are discussed at Annex E, “Support to Ministers: The Role of the Public Service and Exempt Staff.”

II.5. Central Agencies

The work of the Prime Minister and Cabinet is supported by a number of central agencies—the Privy Council Office, the Department of Finance and the Treasury Board Secretariat— which help to ensure consultation and coordination across government. The Prime Minister is also supported by the Prime Minister’s Office. The Prime Minister expects Ministers and their departments to work closely with all central agencies to establish an overall program supported by the Cabinet. Further discussion of the role of central agencies is found at Annex G.

[2] See Annex E regarding exempt staff.

[3] See Annex D, section 5 regarding Orders in Council.

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III. Ministerial Relations with Parliament

In our system of government, Parliament is both the legislative branch and the pre-eminent institution of democratic accountability. Clear ministerial accountability to Parliament is fundamental to responsible government,[4] and requires that Ministers provide Parliament with the information it needs to fulfill its roles of legislating, approving the appropriation of funds and holding the government to account. The Prime Minister expects Ministers to demonstrate respect and support for the parliamentary process. They should place a high priority on ensuring that Parliament and its committees are informed of departmental policy priorities, spending plans and management challenges, including by appearing before parliamentary committees whenever appropriate. Ministers are expected to seek the views of parliamentarians and parliamentary committees on future plans and priorities, and to dedicate time to consulting and engaging their colleagues in Parliament in order to earn their support.

Under responsible government, Ministers exercise executive authority on the basis that they have the confidence of Parliament (more specifically, the House of Commons as the confidence chamber), which requires that they, and through them the officials under their management and direction, be accountable to Parliament for their actions.

Parliamentary review of spending is a key element of this accountability. The Constitution Act, 1867 sets out the principles underlying the sovereignty of Parliament in the raising and spending of public money. Revenue can only be raised and moneys spent by the government with the authority of Parliament. Ministers must be prepared to respond to questions on spending for which they are responsible, and to regular parliamentary review of departmental expenditures.

III.1. Ministerial House Duties

The Prime Minister expects Ministers to place a very high priority on their House duties. These duties include the following activities:

Daily attendance at Question Period. Any proposed absences must be cleared with the Prime Minister’s Office before other commitments are made. When a Minister is absent, a designated Minister or Parliamentary Secretary answers for him or her.

Attendance. Attendance at other specified times is required according to a mandatory schedule of House duties prepared by the Chief Government Whip. Ministers are personally responsible for arranging replacements if they have to be absent and for notifying the Leader of the Government in the House of Commons and the Chief Government Whip of the arrangements.

Piloting legislation. The Prime Minister expects Ministers to pilot their own legislation through the House and to appear before parliamentary committees of both Houses as required. The government will pursue its legislative agenda by requiring that all government Members of Parliament vote with the government on matters of confidence, which include matters of fundamental importance to the government such as the Main and Supplementary Estimates, the Budget, the implementation of electoral commitments, and matters that address shared values and the protections guaranteed by the Canadian Charter of Rights and Freedoms.

Private Members’ Business. Ministers are responsible for engaging with House of Commons Private Members’ items and Senate Public Bills in their portfolio, in coordination with the government leader in the House of Commons.

Committee relations. Ministers are expected to ensure that policy and legislative issues are brought forward so as to enable meaningful discussion at parliamentary committees. Ministers should also place a high priority on developing good relationships with parliamentary committee chairs and members, and supporting the essential work of the committee. This includes appearing before committees whenever appropriate.

Relations with parliamentarians and the government caucus. In addition to maintaining good relations and open lines of communication with all parliamentarians, Ministers should give attention to their relations with members of the government’s caucus. It is important for a Minister to maintain an open dialogue with government members of parliamentary committees that deal with issues within the Minister’s area of responsibility. Ministers must also consult with caucus at an early opportunity on policy and expenditure proposals.

Other House duties. The Leader of the Government in the House of Commons assigns and coordinates other House duties to Ministers, such as leading the government’s response to Opposition Day motions. The Chief Government Whip is responsible for ensuring attendance at votes.

Ministers’ duties and relations with Parliament are very demanding and require significant support, particularly for Question Period and committee work. They require careful daily and long-term coordination with the Prime Minister, the Government Leader in the House, and the Chief Government Whip. Ministers normally assign a senior member of their exempt staff to support their relations with Parliament. This person ensures ongoing liaison with the Chief Government Whip’s Office and the Office of the Leader of the Government in the House of Commons regarding House and Senate business, and, acts as a key contact to obtain information from departmental staff for Question Period. Ministers who are assigned a Parliamentary Secretary are expected to make full use of these valuable resources to support them in the House of Commons and before parliamentary committees.

In the context of their accountability to the House of Commons, Ministers are required to answer parliamentary questions within their areas of authority and to correct any error at the earliest opportunity. Parliamentary questions cannot be directed to a former Minister concerning policies or transactions in a portfolio he or she no longer holds. Current Ministers must account to the House for taking any corrective action required to address problems that may have occurred prior to their appointment. Ministers are responsible for the accuracy and completeness of their responses to written questions. The Leader of the Government in the House of Commons co-ordinates the tabling of answers to written questions, and establishes timelines for ministers’ responses.

In the case of arm’s-length organizations where Ministers do not have direct responsibility for addressing issues raised by Parliament, they must nevertheless provide Parliament with the necessary information and explanations and exercise their authorities as appropriate to ensure that the non-departmental body concerned does address those issues.

III.2. Parliamentary Committees and the Role of Departmental Officials

Public servants do not share in Ministers’ constitutional accountability to Parliament but support Ministers in this accountability. This includes appearing before parliamentary committees on behalf of their Ministers to answer questions or provide information that Ministers could not be expected to provide personally. Principles governing such appearances are discussed at Annex E.

[4] See Chapter 1 and Annex F for more information about responsible government.

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IV. Standards of Conduct

Full accountability to Canadians is a central objective of the Government. The Prime Minister holds Ministers and Parliamentary Secretaries to the highest standards of conduct for all their actions, including those that are not directly related to their official functions. Ministers and Parliamentary Secretaries are therefore expected to adhere to the following standards in all circumstances, whether they are acting as a Minister or Parliamentary Secretary, a member of the House of Commons, or a private citizen. This chapter outlines key areas where established government standards of conduct apply to Ministers and Parliamentary Secretaries.

IV.1. Ministerial Conduct

Ministers and Parliamentary Secretaries must act with honesty and must uphold the highest ethical standards so that public confidence and trust in the integrity and impartiality of government are maintained and enhanced. As public office holders, Ministers and Parliamentary Secretaries are subject to the Part I requirements of the Ethical and Political Activity Guidelines for Public Office Holders set out in Annex A, as well as the best practices for fundraising and dealing with lobbyists that are set out in Annex B. Moreover, they have an obligation to perform their official duties and arrange their private affairs in a manner that will bear the closest public scrutiny. This obligation is not fully discharged merely by acting within the law.

IV.2. Conflict of Interest Act

Ministers and Parliamentary Secretaries and their staff are subject to the requirements of the Conflict of Interest Act.[5] In their capacity as members of the House of Commons they are also subject to the Conflict of Interest Code for Members of the House of Commons.

The Conflict of Interest Act establishes a rigorous statutory regime for all public office holders, including Ministers, Parliamentary Secretaries and exempt staff, administered by the Conflict of Interest and Ethics Commissioner.

The Conflict of Interest and Ethics Commissioner is responsible for administering both the Conflict of Interest Act and the Conflict of Interest Code for Members of the House of Commons, investigating allegations involving conflicts of interest, applying compliance measures, and briefing Ministers and Parliamentary Secretaries on their responsibilities under the Act and Code. The obligations of the Conflict of Interest Act apply to Ministers, Parliamentary Secretaries and exempt staff as well as Governor-in-Council appointees, and some provisions apply to their families. The Act does not apply to Senators or Members of Parliament.

Ministers and Parliamentary Secretaries are held accountable by the Prime Minister for their adherence to the provisions of the Conflict of Interest Act. In general, the Act establishes mechanisms to identify and avoid possible conflicts of interest, and, among other measures:

requires the provision of a confidential report to the Conflict of Interest and Ethics Commissioner on assets and liabilities, former and current activities and those of their spouse and dependent children;

outlines rules regarding which assets may or may not continue to be directly managed, and gives direction on how to divest of assets;

sets limitations on outside activities, acceptance of gifts, invitations to special events and hospitality, and post-employment activities; and

sets out a recusal mechanism to assist Ministers in avoiding conflicts of interest in the performance of their official duties and functions.

Ministers’ and Parliamentary Secretaries’ adherence to the provisions of the Conflict of Interest Act, as well as to the ethical activity guidelines found at Annex A and the best practices for fundraising and dealing with lobbyists in Annex B, is essential to enhancing confidence in our system of government.

Ministers and Parliamentary Secretaries are also held accountable by the House of Commons for their adherence to the provisions of the Conflict of Interest Code for Members of the House of Commons in their capacity as Members of Parliament.

IV.3. Lobbying Act

Ministers and Parliamentary Secretaries (as well as other members of the House of Commons and Senate and senior public servants) are prohibited under the Lobbying Act from engaging in paid lobbying of the federal government for five years after they leave office. These provisions, as well as the Act’s registration requirements for lobbyists, are administered by the Commissioner of Lobbying.

The Commissioner of Lobbying may ask designated public office holders, including Ministers and Parliamentary Secretaries, to verify information about lobbying communications that has been registered by lobbyists. Every effort should be made to meet this responsibility using routine records.

IV.4. Invitations, Sponsored Travel and Foreign Honours

Ministers often receive invitations to participate in or endorse events, community initiatives or publications, to meet with people or to travel to various countries. Ministers must be aware that some invitations may come from individuals or groups who have links to terrorism, crime, or violent or unsavoury foreign regimes.

Ministers are expected to exercise discretion at all times. They are responsible for ensuring the bona fides of those with whom they have dealings. When there is any doubt about accepting an invitation, inquiries should be directed to the Executive Director of Security Operations in the Privy Council Office. The Executive Director will make inquiries, offer general advice to the Minister and arrange briefings as necessary.

Ministers and Parliamentary Secretaries must not accept sponsored travel, i.e. travel whose costs are not wholly paid from the Consolidated Revenue Fund, or by the individual personally, or his or her political party, or an inter- parliamentary association or friendship group recognized by the House of Commons. This includes all travel on non-commercial chartered or private aircraft for any purpose except in exceptional circumstances, and only with the prior approval of the Conflict of Interest and Ethics Commissioner and public disclosure of the use of such aircraft. Any hospitality accepted must strictly adhere to the requirements of the Conflict of Interest Act.

Long-standing government policy requires Ministers and Parliamentary Secretaries not to seek the offer of, nor to accept, a foreign order or decoration, either personally or on behalf of a colleague without the approval of the Prime Minister.

[5] Available from the Conflict of Interest and Ethics Commissioner, deputy ministers or the Privy Council Office.

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Annex A Ethical and Political Activity Guidelines for Public Office Holders[6]

Part I: Ethical Guidelines and Statutory Standards of Conduct

The following Guidelines apply to all public office holders.

Ethical Standards: 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 the government are conserved and enhanced.

Public Scrutiny: 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: Public office holders, in fulfilling their official duties and functions, shall make decisions in the public interest and with regard to the merits of each case.

Government Property: Public office holders shall not directly or indirectly use, or allow the use of, government property of any kind, including property leased to the government, for anything other than officially approved activities. In no circumstance should any political activities be performed at a government place of work; nor should any government equipment or material be used for such purposes.

Statutory Requirements

Public office holders are subject to the requirements of the Conflict of Interest Act as set out in Part IV: Standards of Conduct. Many are also subject to the five-year post-employment restriction on lobbying under the Lobbying Act.

Administration

Compliance with these Guidelines is a term and condition of appointment. Before appointment, a public office holder shall certify that he or she will comply with these Guidelines.

Part II: Guidelines for the Political Activities of Public Office Holders

The following Guidelines do not apply to those public office holders whose roles and functions are necessarily of a political or partisan character, namely, Ministers, Parliamentary Secretaries or their staff. However, the political activities of exempt staff remain governed by Treasury Board's Policies for Ministers’ Offices, and the political activities of House of Commons staff are governed by the by-laws established by the Board of Internal Economy.

Context

Public office holders discharge important public duties and accordingly are expected to comport themselves in a manner befitting the trust and confidence reposed in them. The essence of this obligation is set out in Part I of this Annex. In addition, public office holders are governed by the applicable provisions of the Conflict of Interest Act and the Lobbying Act.

Public office holders must also ensure that their political activities are consistent with the obligation to discharge their public duties in a non-partisan manner, so as to ensure that public confidence and trust in the integrity and impartiality of government are conserved and enhanced.

Any measures necessary to maintain the public’s confidence that public office holders will discharge their function with integrity and in a non-partisan manner must be informed by the democratic rights protected under the Canadian Charter of Rights and Freedoms.

The purpose of these Guidelines is to assist public office holders in determining whether a contemplated political activity is compatible with their public duties. The Guidelines are grounded in one general principle: that a public office holder should not participate in a political activity that is, or that may reasonably be seen to be, incompatible with the public office holder’s duty, or otherwise be seen to impair his or her ability to discharge his or her public duties in a politically impartial fashion, or would cast doubt on the integrity or impartiality of the office.

Public office holders exercise a wide variety of functions and come from a wide variety of backgrounds. Accordingly, it is not possible to set out, for all public office holders and for all circumstances, a set of definitive or binding rules. In all cases, public office holders should be guided by the general principle and the guiding factors set out below.

Every public office holder is under the obligation to consider these Guidelines before embarking on any political activity and, where there is any doubt, shall refrain from the activity in question.

For the purpose of these Guidelines, political activities include, but are not limited to:

contributing money, within the law, to political parties, candidates or leadership campaigns at any level of government;

being a member of a political party at any level of government in Canada;

seeking nomination to run as a candidate or being a candidate in an election of any level of government in Canada;

fundraising for political purposes;

managing a political campaign or campaigning personally on behalf of a candidate in an election;

personally displaying campaign material;

attending partisan or social events sponsored by one particular political party, a Minister, a Member of Parliament or a Senator where such events are exclusively or primarily of a political or partisan character; and

expressing partisan views in a public setting where this may reasonably be seen to be incompatible with, or impair the ability to discharge, the office holder’s public duties.

Political activities do not include attending all-party candidates meetings in order to inform one’s right to vote, or expressing partisan views in a private setting. In addition, in all cases all public office holders have the right to vote.

General Principle

A public office holder should not participate in a political activity that is, or that may reasonably be seen, to be incompatible with the public office holder’s duties, or reasonably seen to impair his or her ability to discharge his or her public duties in a politically impartial fashion, or would cast doubt on the integrity or impartiality of the office.

Guiding Factors

In considering whether the general principle applies in a given situation, public office holders should be guided by the following factors:

The nature of the organization, including whether it is quasi-judicial in character, in which case a much more stringent standard is required.

The nature of the public office holder’s duties, including: the level of authority within the organization; the level of influence over others; the degree and type of discretion vested in the public office holder; the type and level of involvement in the development of policy; the relationship with or connection between the public duties and the contemplated political activity; whether the duties are full-time or part-time; the visibility and profile of the public office holder’s duties; and the impact of the public office holder’s duties on the public.



The nature of the contemplated political activity, including: its profile or visibility; and its active or passive character.



The duty of loyalty to the Government of Canada.

Specific Cases

1. Quasi-judicial Governor-in-Council appointees, whether full-time or part-time

In light of the nature of their duties, members of quasi-judicial bodies are subject to a much more stringent standard and should generally avoid all political activities.

2. Deputy heads, deputy ministers, chief executive officers and equivalents

Deputy heads who are subject to the Public Service Employment Act are subject to section 117 of that Act, which provides that:

“A deputy head shall not engage in any political activities other than voting in an election.”

These Guidelines impose a similar prohibition on all deputy heads, deputy ministers, associate deputy ministers, associate deputy heads and persons of equivalent rank, including the deputy heads and chief executive officers of Crown corporations, whose appointment is made or approved by the Governor in Council, whether or not such persons are subject to either Part 7 or section 117 of the Public Service Employment Act. Such persons must limit their political activities to voting in the elections of any level of government in Canada.

Persons Subject to the Public Service Employment Act

All questions with respect to the political activities of any public office holders appointed pursuant to, or subject to, the Public Service Employment Act fall within the exclusive jurisdiction of the Public Service Commission. This group includes those deputy heads, deputy ministers, associate deputy ministers, associate deputy heads, chief executive officers or equivalents who are subject to either Part 7 or section 117 of the Act, as well as special advisors to a Minister who are appointed under section 127.1(1) of the Act. The Public Service Commission has the power to investigate allegations of improper political activities on the part of such public office holders. Questions with respect to obligations under the Public Service Employment Act are to be referred to the Public Service Commission.

Administration and Interpretation

Compliance with these Guidelines is a term and condition of appointment. Before appointment, a public office holder shall certify that he or she will comply with these Guidelines.

It is recognized that there will be circumstances in which either the participation of public office holders in political activities has not been covered under these Guidelines, or the application of these Guidelines is unduly restrictive. The general principle and guiding factors are controlling, and resort should be had to these in all cases. Inquiries about these Guidelines and their interpretation should be addressed to the Privy Council Office (or where the Public Service Employment Act is engaged, the Public Service Commission) before a public office holder commences the proposed activity. Where there is any doubt, public office holders are expected to refrain from the contemplated activity or to resign from office in order to undertake it.

As stated above, persons subject to either Part 7 or section 117 of the Public Service Employment Act should take note of the substantive provisions of that Act, and must refer questions about their obligations under that Act to the Public Service Commission.

[6] “Public office holders” means all persons falling within the definition of public office holder under the Conflict of Interest Act, and includes Ministers, Parliamentary Secretaries, ministerial staff and advisors, and most Governor-in-Council appointees (save for the specific exceptions enumerated in the Act), as well as ministerial appointees whose appointments are approved by the Governor in Council.

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Annex B Fundraising and Dealing with Lobbyists: Best Practices for Ministers and Parliamentary Secretaries

Ministers and Parliamentary Secretaries must avoid conflict of interest, the appearance of conflict of interest and situations that have the potential to involve conflicts of interest.

The following is a summary of best practices that Ministers and Parliamentary Secretaries are expected to follow to maintain appropriate boundaries between their official duties and political fundraising activities. It is important that Ministers and Parliamentary Secretaries familiarize themselves with these practices and apply them in all appropriate circumstances. In addition, they must ensure that their staffs are well acquainted with the practices and that adequate processes are in place in their offices to ensure compliance.

The practices complement, and do not replace, other rules that Ministers and Parliamentary Secretaries must observe, including the Conflict of Interest Act, the Conflict of Interest Code for Members of the House of Commons and the Lobbying Act. Ministers and Parliamentary Secretaries should communicate with the Office of the Conflict of Interest and Ethics Commissioner if they have any questions or concerns relating to their obligations under the Conflict of Interest Act or the Conflict of Interest Code for Members of the House of Commons, and should familiarize themselves with the Commissioner’s Guideline on Fundraising and the Conflict of Interest Act.

General Principles

Ministers and Parliamentary Secretaries must ensure that political fundraising activities or considerations do not affect, or appear to affect, the exercise of their official duties or the access of individuals or organizations to government.

There should be no preferential access to government, or appearance of preferential access, accorded to individuals or organizations because they have made financial contributions to politicians and political parties.

There should be no singling out, or appearance of singling out, of individuals or organizations as targets of political fundraising because they have official dealings with Ministers and Parliamentary Secretaries, or their staff or departments.

Departmental Stakeholders

In this document, “departmental stakeholders” includes:

lobbyists registered to lobby Ministers and Parliamentary Secretaries, their staff or their departments;

employees of lobbying firms retained to lobby Ministers, Parliamentary Secretaries, their staff or their departments;

employees of corporations and organizations whose employees are registered to lobby Ministers, Parliamentary Secretaries, their staff or their departments; and

individuals employed in, contracted by, or who otherwise represent corporations and organizations that have current or anticipated official dealings with Ministers, Parliamentary Secretaries, their staff or their departments.

Specific Best Practices

In order to ensure that there is no differential treatment or appearance of differential treatment for individuals, corporations or organizations because of their financial support of politicians or political parties, Ministers and Parliamentary Secretaries should adopt the following best practices:

Ministers and Parliamentary Secretaries should not seek to have departmental stakeholders included on fundraising or campaign teams or on the boards of electoral district associations.

Ministers and Parliamentary Secretaries should establish and maintain appropriate safeguards to ensure that lists and contact or other identifying information of departmental stakeholders are not provided to those engaged in fundraising activities.

Ministers and Parliamentary Secretaries should ensure that government facilities and equipment, including ministerial or departmental letterhead, are not used for or in connection with fundraising activities.

Ministers and Parliamentary Secretaries should ensure that the solicitation of political contributions on their behalf does not target: departmental stakeholders, or other lobbyists and employees of lobbying firms.



Note that this is not intended to restrict general fundraising appeals made to a broad group of supporters or potential supporters.

Ministers, Parliamentary Secretaries and their staff should not discuss departmental business at any fundraising event, and should refer any person who wishes to discuss departmental business to make an appointment with the Minister’s office or department as appropriate.

Ministers and Parliamentary Secretaries should ensure that fundraising communications issued on their behalf do not suggest any connection between fundraising and official government business.

Ministers, Parliamentary Secretaries and their staff should exercise caution in meeting with consultant lobbyists, and should give particular consideration to whether it is appropriate to meet a consultant lobbyist in the absence of the lobbyist’s client.

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Annex C Access to Information and Administrative Matters

Ministers have direct administrative responsibilities flowing from their ministerial duties. Ministers are personally responsible for the conduct and operation of their offices and the exempt staff in their employ. This chapter provides information on administrative matters concerning Ministers and their offices. Detailed requirements are set out in the Treasury Board’s Policies for Ministers’ Offices.

C.1. Public Access to Information and Privacy

The Access to Information Act provides a right of public access to information in records under the control of government institutions, subject only to certain necessary exceptions limited and specified in law. Ministers, their deputy ministers and heads of agencies are ultimately responsible for the application of the Act in their respective institutions and within the overall ministerial portfolio. Under the Act, decisions can be reviewed by the Information Commissioner and, ultimately, by the Federal Court. The government is committed to ensuring that government data and information is open by default, in formats that are modern and easy to use.

The Privacy Act imposes conditions that protect personal information held by government institutions. Under the Act, decisions can be reviewed by the Privacy Commissioner and, ultimately, by the Federal Court. In accordance with the legislation, Ministers may delegate these matters to their deputy minister or other senior officials, but may wish to be advised of particularly important files.

The Access to Information Act and the Privacy Act do not apply to Confidences of the Queen’s Privy Council for Canada. However, a decision of the Federal Court of Appeal has made accessible, subject to exemptions in the Acts, background explanations, analysis of problems or policy options contained in Cabinet documents once a Cabinet decision has been made public, or, if the decision has not been made public, four years after the decision was made. Government policy requires that government institutions consult with the Privy Council Office in all instances where information that may qualify as a Cabinet confidence has been identified in response to a request under the Access to Information Act.

When producing papers in Parliament, Ministers are expected to ensure that requests for information (for example, in response to a Notice of Motion) are met. Matters related to the production of papers in Parliament are coordinated with the Leader of the Government in the House of Commons.

C.2. Cabinet, Institutional, Ministerial and Personal Records

Records kept in the offices of Ministers must be broken down into four categories: Cabinet documents, institutional records, ministerial records, and personal and political records. Records in these categories are filed separately, for reasons of operating efficiency and confidentiality and to facilitate compliance with statutory requirements.

Cabinet documents belong to the Prime Minister. Cabinet documents are formal records designated by the Privy Council Office as belonging to the Cabinet Paper System. They include Memoranda to Cabinet (MCs), decks, Cabinet Committee Reports (CRs), records of decisions (RDs), agendas, aides-mémoire and documents prepared for Ad Hoc Cabinet Committees or Reference Groups of Ministers. This category also includes formal Cabinet documents related to the Treasury Board and any sub- committees of Treasury Board, including submissions, précis, agendas, schedules, minutes of meetings and letters of decision.

The efficient operation of the Cabinet and the necessary confidentiality of ministerial discussions depend, in part, on the proper handling of Cabinet documents. Ministers must ensure that Cabinet documents provided to them are always safeguarded in accordance with the security requirements set by the Privy Council Office or, for Cabinet documents related to the Treasury Board, by the Treasury Board Secretariat. Parliamentary Secretaries must also respect this protocol when they are given access to such documents. Ministers must assign members of their staff specific responsibility for controlling the flow and ensuring the security of these documents. When a Cabinet item has been dealt with, the associated Cabinet documents must be returned to the Privy Council Office or the Treasury Board Secretariat, as appropriate.

Certain Cabinet documents that are clearly marked for Ministers’ eyes only cannot be reviewed by exempt staff. Some Cabinet documents must remain in the Cabinet room. Cabinet documents must not be photocopied, scanned or transmitted electronically, and they must be carried in a secure briefcase. A record containing Cabinet confidences that is not a Cabinet document is either an institutional record (if it originated with the institution), or a ministerial record (if it originated with the office of the Minister, for example, a briefing note containing political advice to a Minister regarding a Cabinet matter).

Institutional records relate to the business (policies, programs, activities and services) of the department and associated agencies, and are kept in a separate registry. These records are presently subject to the Access to Information Act.

Ministerial records include official records pertaining to the office of the Minister, other than records that fall into the categories of personal or political records, institutional records or Cabinet documents. Ministerial records are not subject to the Access to Information Act.

Personal and political records are personal, as opposed to official, in nature (e.g. a Minister’s constituency business, party political matters, private and personal life) and are kept in separate ministerial files. Like ministerial records, personal and political records are normally excluded from the application of the Access to Information Act, provided that they are maintained separately from institutional records.

When a Minister leaves office, Cabinet documents must be returned to the Privy Council Office or Treasury Board Secretariat, institutional records must be left with the department, and ministerial records must be transferred directly to Library and Archives Canada. Ministers may remove only their personal and political papers. However, to ensure the security of sensitive documents in personal and political papers, Ministers should use storage facilities and archival services offered by Library and Archives Canada.

Former Prime Ministers have control over the confidences of the government they headed. When a change of government occurs, the outgoing Prime Minister traditionally leaves the Cabinet records of the government in the custody of the Clerk of the Privy Council. The Clerk of the Privy Council plays a central role in administering the convention governing access to Cabinet and ministerial papers.

Subject to any arrangements a former Prime Minister may make with his or her successor, former Ministers may have access to Cabinet papers for the period of time when they held office, but only for that period, and only to papers relating to that office or to which they would normally have had access. Requests for access are addressed to the Clerk of the Privy Council and Secretary of the Cabinet or, for requests concerning Treasury Board documents, to the Secretary of the Treasury Board. Cabinet papers to which access is provided may be read on the premises of the Privy Council Office or the Treasury Board Secretariat as appropriate.

Former Ministers may have access to ministerial records that are transferred to Library and Archives Canada on the premises of Library and Archives Canada. They may also have access to institutional records that were prepared in their departments during the period of time when they held office. For access to institutional records, they can contact the deputy minister and arrange to review them on departmental premises.

Former Ministers are bound for life to respect their oath as Privy Councillors, including maintaining the secrecy of Confidences of the Queen’s Privy Council for Canada, and remain subject to the Security of Information Act. They must also honour their commitments to other Ministers and colleagues. When talking or writing about their experience in government, former Ministers must consult their former department’s Access to Information Office to ensure that they do not disclose matters that remain confidential. Any questions should be addressed to the Clerk of the Privy Council.

C.3. Financial and Resource Management

Ministers’ expenditures are subject to statutory and Treasury Board policies governing the use of public moneys. These conditions are set out in the Treasury Board Secretariat’s Policies for Ministers’ Offices, and cover matters such as:

security clearance requirements;

exempt staff and hiring by contract;

salary rates and employee benefits;

departmental staff assigned to Ministers’ offices;

contracting policies and procedures;

budgets, expenditure authorization, and accounting for expenditures charged to Ministers’ budgets;

office accommodation and supplies; and

travel and use of government aircraft and ministerial vehicles.

Ministerial responsibilities include ensuring that all expenditures in Ministers’ offices are properly and prudently managed and are related to the conduct of official business. Under the Access to Information Act, Ministers offices are required to annually publish their expenses. Deputy ministers and the Treasury Board Secretariat can provide further information.

Expenditures by Ministers and Parliamentary Secretaries are expected to conform to applicable government policies and withstand close public scrutiny, including by Parliament. Ministers, their exempt staff and Parliamentary Secretaries are required to disclose publicly, by posting on their departmental websites, all hospitality and travel expenses related to government business. Reports must cover the financial quarter and be posted on departmental websites within 30 calendar days following the last day of the quarter. Ministers should be aware that high standards are expected of them. This policy also applies to deputy ministers and other senior government officials.

C.4. Security

The Prime Minister holds Ministers personally accountable for the security of their staff and offices, as well as of “Confidences of the Queen’s Privy Council for Canada” (commonly referred to as Cabinet confidences) and other sensitive information in their custody. The Privy Council Office briefs Ministers on applicable security requirements.

Confidences of the Queen’s Privy Council for Canada are defined in section 69 of the Access to Information Act and section 70 of the Privacy Act. They include Cabinet documents and other information related to Cabinet decision making.

Deputy ministers are accountable to their Ministers for the security of departmental personnel, information, facilities and other assets. All individuals who work in or for Ministers’ offices (e.g. employees, contractors, students and persons on loan, assignment or secondment), irrespective of their work location, require Level 2-Secret security clearances, as a minimum, prior to appointment. They must also comply with other security requirements for the safeguarding of government information and assets. Clearances and security briefings are arranged by the deputy minister.

The Royal Canadian Mounted Police (RCMP) provide material to Ministers on security precautions they can take to ensure their safety. A 24-hour, 7-day emergency contact number is provided to Ministers by the RCMP. In the case of a specific threat, the RCMP can offer additional assistance (e.g. a driver, vehicle and bodyguard).

Ministers are required to notify the deputy minister immediately of any potential compromise of Cabinet confidences or other security incident. Deputy ministers or the Clerk of the Privy Council can provide further information on security matters.

C.5. Ministerial Travel Coordination

All proposed ministerial travel is coordinated with the Prime Minister’s Office well in advance and before making commitments. Ministers are also expected to consult the Leader of the Government in the House of Commons or the Chief Government Whip and to ensure the availability of acting Ministers. When making use of government aircraft, Ministers should make every effort to ensure joint travel in the interests of efficient use of government resources. However, for security purposes, no more than eight Ministers of the Crown may travel on the same aircraft at the same time.

Generally speaking, Ministers should limit travel abroad, especially while Parliament is in session. They should inform their deputy minister and the RCMP of their travel plans in order to be advised of any particular security concerns and suggested protection measures. The actual arrangements for official foreign travel are coordinated by the Department of Foreign Affairs, Trade and Development.

Ministers planning private travel abroad also need to inform the Minister of Foreign Affairs well in advance, since security or policy considerations may be involved. All goods acquired by Ministers abroad are subject to normal customs requirements and examination, and must be declared on arrival.

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Annex D Cabinet Decision Making

The Cabinet is the political forum where Ministers reach a consensus and decide on issues. It is the setting in which they bring political and strategic considerations to bear on proposed ministerial and governmental actions. These considerations must necessarily reflect the views and concerns expressed by Canadians, caucus colleagues and other parliamentarians. Once a consensus is reached, Ministers can fulfill their collective responsibility to Parliament. This Annex addresses the main elements of the organization and conduct of decision making in the Cabinet.

D.1. Basic Rules for Cabinet Business

A number of basic ground rules for the conduct of Cabinet business are essential to maintain Cabinet solidarity and enhance its practical effectiveness.

Decision making is led by the Prime Minister. Through the Cabinet and its committees, the Prime Minister provides Ministers with the principal forum in which they can resolve different perspectives. The Prime Minister organizes Cabinet and Cabinet committee decision making, determines the agenda for Cabinet business and chooses committee chairpersons to act on his or her behalf. The Privy Council Office is the Cabinet’s secretariat and administers the Cabinet decision-making process on behalf of the Prime Minister.

Cabinet government works through a process of compromise and consensus building, which culminates in a Cabinet decision. The Cabinet and Cabinet committees do not vote on issues before them. Rather, the Prime Minister (or committee chairperson) “calls” for the consensus after Ministers have expressed their views. As the Cabinet secretariat, the Privy Council Office records and communicates the decision.

Consultation among the Ministers, departments and portfolios involved must precede the submission of a proposal to the Cabinet by the responsible Minister or Ministers. Ministers must also consult caucus at an early opportunity on policy and expenditure proposals. Ministerial discussions in the Cabinet or Cabinet committee focus on the decisions required and provide Ministers with an opportunity to participate in and influence those decisions.

Ministers have the right to seek their colleagues’ consideration of proposals for government action in their area of responsibility. This is, of course, subject to the agenda set by the Prime Minister for government priorities. Cabinet committee agendas are set by the committee chairpersons acting on the Prime Minister’s behalf.

Confidences of the Queen’s Privy Council for Canada, more commonly referred to as “Cabinet confidences,” must be appropriately safeguarded from unauthorized disclosure or other compromise. The Cabinet’s collective decision-making process has traditionally been protected by the rule of confidentiality, which enhances Cabinet solidarity and collective ministerial responsibility. Confidentiality ensures that Ministers can frankly express their views before a final decision is made. The Prime Minister expects Ministers to announce policies only after Cabinet decisions are taken, in consultation with the Prime Minister’s Office and the Privy Council Office.

Cabinet business is extensive, and Cabinet consensus at times is difficult to achieve. Given the limited time available to Ministers and the importance of clear decisions to government operations, Cabinet business must be conducted efficiently and according to accepted ground rules that are fully understood and respected. Cabinet discussion is not used to air introductory or preliminary discussions of issues. Deputy ministers are expected to ensure that other affected departments are adequately informed in advance and that coordination across portfolios is pursued, so that other Ministers are prepared for Cabinet discussion and government decisions are coherent and aligned with overall objectives. When departments directly involved differ on a matter, the dispute should not be referred to the Cabinet until all other means of resolving it have been exhausted.

D.2. Decision-Making Process and Procedures

a) The Policy and Fiscal Frameworks

Cabinet decision making is steered by electoral commitments as well as by certain key statements of government policy and priorities. The Speech from the Throne, delivered by the Governor General at the beginning of each session of Parliament, outlines the government’s program for Parliament. As a reflection of the overall priorities of the government and the Prime Minister, the Speech provides a general policy framework for the upcoming parliamentary session.

The Minister of Finance presents the government’s annual Budget which reflects the fiscal framework agreed to by the Cabinet. The President of the Treasury Board subsequently tables the Main Estimates.

These frameworks provide for the overall direction of the government. They both shape and reflect the ongoing work of Cabinet committees.

b) The Process

The Cabinet process begins when an issue is raised by a Minister in the form of a Cabinet document or through general discussion at a meeting. The supporting documents are normally circulated to all Ministers by the Privy Council Office before the issue is discussed at the appropriate Cabinet committee. Ministers and their departments are expected to adhere to deadlines established for the provision of these documents to the Privy Council Office in advance of the meeting, in order to ensure that committee members are able to have an informed and focused discussion that makes best use of Ministers’ time. As well, Ministers may take the opportunity to update their colleagues on the progress of certain key initiatives being developed or implemented in their departments.

The Cabinet committee’s report is subject to confirmation by the Cabinet. Records of final decisions are circulated to all Ministers and their deputy ministers for action under Ministers’ individual authority. Policy announcements may be made after a Cabinet decision. If Treasury Board approval of the resources required to implement a decision cannot be obtained prior to an announcement, appropriate caveats should be inserted in communications material to avoid pre-empting the authorities of Treasury Board.

D.3. Legislative Program

The content of the government’s legislative program is ultimately the responsibility of the Prime Minister, assisted by the Government House Leader. The main thrusts of the program are determined by the Cabinet. The Leader of the Government in the House of Commons coordinates the process of translating the Cabinet’s policy decisions into bills to be placed before Parliament.

The first stage in this process is Cabinet approval of a Minister’s policy proposal, including drafting instructions. After Cabinet has approved a Minister’s policy proposal, a bill is then drafted by the Department of Justice to reflect the Cabinet decision. Priorities in drafting are established by the Leader of the Government in the House of Commons, who also undertakes final scrutiny of a bill before it is approved by the Cabinet for introduction in Parliament on his or her recommendation.[7] The Leader of the Government in the House of Commons has flexibility in establishing priorities for consideration of bills by the House, although Cabinet discussions of House business provide the overall direction for the government’s legislative program. The Leader of the Government in the House of Commons is supported in this regard by his or her own exempt staff and Parliamentary Secretary, the Privy Council Office, the Deputy Leader of the Government in the House, and the Chief Government Whip.

D.4. The Cabinet and Cabinet Committees

Cabinet committees are an extension of the Cabinet itself. The Prime Minister establishes both standing and temporary (or special purpose) committees, chooses their membership, prescribes their procedures and changes them as he or she sees fit. The Privy Council Office provides Ministers with information on the Prime Minister’s decisions regarding the structure and operations of Cabinet committees.

Committee chairpersons act for the Prime Minister with his or her authority, including setting the committee agenda. For the most part, decisions are taken by the appropriate committee, subject to confirmation by the Cabinet. This system settles as many questions as possible at the committee stage in order to lessen the workload of the Cabinet and to allow it to concentrate on priority issues and broad political concerns.

The Treasury Board is established by law as a committee of the Queen’s Privy Council for Canada, and many of its decisions have the force of law. It provides oversight of the government’s financial management and spending, as well as oversight on human resources issues. The Treasury Board may act as the Cabinet committee for the public service and expenditure management (under the Financial Administration Act). The Board is the employer for the public service, and establishes policies and common standards for administrative, personnel, financial and organizational practices across government. It also controls the allocation of financial resources to departments and programs. The Treasury Board also fulfills the role of the Committee of Council in approving regulatory policies and regulations, and all Orders in Council, excluding appointments.

Ministers may be invited by the committee chairperson to attend any meeting of a Cabinet committee, whether or not they are a member of the committee. Parliamentary Secretaries may occasionally attend Cabinet committee meetings as requested by the Prime Minister. The Prime Minister designates certain Ministers as ongoing members of each committee, and they are expected to attend these regularly. If Ministers are not able to attend a meeting, they should inform the chairperson of their views on agenda items by letter. The Minister of Finance and the President of the Treasury Board are ex officio members of all Cabinet committees.

Meetings are conducted as informally as possible in both official languages. Most Cabinet committees meet on a regular schedule. This allows for effective planning and ensures that meetings and decisions can proceed without delay. As the Cabinet secretariat, the Privy Council Office provides the Cabinet and its committees with the support required to prepare for and conduct meetings, including arranging meetings, circulating agendas, distributing documents, providing advice to the chairperson of each committee on agenda items and preparing Cabinet minutes and decisions for review by the Chair before finalization. Public servants, exempt staff or other individuals do not attend Cabinet or its committees without prior approval of the appropriate Committee Chair and the Privy Council Office.

D.5. Orders in Council

Some actions of the executive require a formal legal instrument. Orders in Council are legal instruments made by the Governor in Council pursuant to statutory authority (or, infrequently, royal prerogative). Recommendations to the Governor in Council are signed by the responsible Minister. They take legal effect only when made by the Governor General.

D.6. Financial Procedure

According to the Constitution, revenue can be raised and moneys can be spent by the government only with the authority of Parliament. Bills which propose new spending or seek to impose a tax or duty must originate in the House of Commons. The Constitution Act, 1867, requires that bills which authorise new spending or spending for a new purpose must be recommended to the House by the Governor General in the form of a Royal Recommendation, which is obtained by the Leader of the Government in the House of Commons. In addition, bills which seek to impose a tax or duty must be preceded by the adoption of a Ways and Means motion which can only be moved by a Minister. This ensures executive control over revenue raising and spending initiatives.

Parliament exercises its authority over government financial administration by means of a package of instruments comprising enabling legislation such as the Appropriation Act, financial documentation such as the Main Estimates (Parts I, II and III and the Public Accounts), and a review process by the House of Commons, the Senate and the Auditor General.[8]

D.7. International Treaties

International relations are a prerogative of the Crown, which in Canada is exercised by Ministers as the Crown’s representatives. Under this authority, Ministers and officials acting on their behalf negotiate, sign and ratify international conventions and treaties.

Depending on the subject matter, treaties may be negotiated by the Minister responsible for that policy area, or by the Minister of Foreign Affairs. Under the Department of Foreign Affairs, Trade and Development Act, the Minister of Foreign Affairs plays a coordinating role and ensures that the negotiation of individual treaties conforms to the foreign affairs policy of the Government.

Before entering into a treaty negotiation, Ministers should ensure that it has a policy mandate to begin negotiations. In most cases, Ministers will seek Cabinet approval for a negotiating mandate. This includes situations where a proposed treaty:

would requires legislative changes to implement;

relates to the mandate of more than one Minister;

creates new obligations for Canada;

is extremely complex;

is multilateral;

is likely to represent a significant change in Canada 's foreign policy;

will have a major impact on domestic policy;

will have a major impact on federal-provincial relations; or

will entail significant financial pressure on the fiscal framework.

Ministers may also be specifically requested by Cabinet or the Prime Minister to bring forward a proposal with respect to a particular treaty.

In bringing their proposals for a treaty negotiating mandate to Cabinet, Ministers are expected to clearly set out the expected purpose of the agreement, its relation to existing agreements, its potential foreign policy implication, its possible domestic impact, an outline of any financial obligation that may be incurred, and any legislative changes that may be necessary if the negotiations prove successful. Ministers should also indicate the results of consultations with other government departments, provinces and territories, aboriginal groups or non-governmental organizations and industry stakeholders. Ministers may seek blanket policy authority to enter into negotiation of a number of similar treaties. Such a blanket authority may be considered when a Minister is faced with negotiating a series of identical or very similar bilateral treaties with numerous countries. In some cases, a general authority for a Minister to negotiate such treaties is found in statute.

Once a specific mandate is received from Cabinet or authority already exists and approval is granted by the Minister of Foreign Affairs, negotiation may commence. The Minister of Foreign Affairs, supported by the Department of Foreign Affairs, Trade and Development and its Treaty Law Division, advises responsible Ministers and their departments on any restrictions or pitfalls to be avoided in the negotiation of an instrument and other aspects of negotiation process and substance. Draft clauses under consideration may be provided to that Department to ensure that the clauses contained therein are written in accordance with Canadian domestic law and public international law, as well as international and Canadian treaty practice.

At each step, Ministers and officials negotiating on their behalf should consider whether the terms and conditions being discussed conform to the mandate approved by Cabinet, and negotiators should pay special attention to whether terms and conditions proposed may exceed the financial authority granted or require broader legislative changes than originally envisioned. If the authority risks being exceeded, the responsible Minister may need to seek a revised mandate from Cabinet.

Once the parties to a negotiation have reached agreement on a draft text, it should be provided to the Department so that it can complete a linguistic and legal review, assist in negotiating and completing administrative articles and final clauses covering matters such as signature, entry into force, amendment, and termination to ensure that these meet international law and practice and Canadian law and policy, oversee the preparation of an accurate clean text in both official languages and ensure that all versions accurately reflect the agreement reached by the negotiators.

Once a treaty has been negotiated, signature requires that Cabinet provide policy approval of the treaty, and that an Order in Council be issued providing authority to exercise the Crown prerogative to sign it. For this purpose, the responsible Minister and the Minister of Foreign Affairs will bring forward to Cabinet a Memorandum to Cabinet seeking approval of the text of the treaty in both official languages, and policy approval to sign and ratify the treaty and for all resources and statutory amendments required to implement it. Once approved by Cabinet, the Minister of Foreign Affairs will recommend to the Governor in Council an Order providing legal authority to sign the treaty and, as necessary, providing Ministers and officials with the Instrument of Full Powers required to sign for Canada (the Prime Minister, the Governor General, and the Minister of Foreign Affairs have standing at international law to sign for Canada without producing an Instrument of Full Powers).

The Department of Foreign Affairs, Trade and Development maintains the official archive of all Canadian treaties and similar arrangements. The Department also supports the Minister of Foreign Affairs in preparing the text of the treaty and accompanying explanatory documents for tabling in Parliament.

Once the treaty has been tabled and any necessary legislation adopted, the Government will make a decision on whether to proceed to bind Canada to the treaty by way of ratification. The Minister of Foreign Affairs will recommend to the Governor in Council the issuance of a second Order in Council providing authorisation to ratify, and is responsible for any subsequent actions necessary (e.g. ratification, accession, acceptance) for Canada to establish its consent to be bound to the treaty.

[7] See Cabinet Directive on Law Making, available from the Privy Council Office.

[8] For more details, see Audrey O’Brien and Marc Bosc, House of Commons Procedure and Practice, 2nd Edition, House of Commons, Ottawa, 2009.

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Annex E Support to Ministers: The Role of the Public Service and Exempt Staff

This Annex discusses the distinct but complementary roles of public servants and exempt staff in supporting Ministers in the performance of their departmental duties.

E.1. Deputy Ministers

Deputy ministers are professional, non-partisan public servants. They are chosen by the Prime Minister on the advice of the Clerk of the Privy Council and are appointed by the Governor in Council.[9] Their role is to provide their Minister with the broadest possible expert advice and support needed for the Minister’s portfolio responsibilities, and to undertake the day-to-day management of the department on behalf of their Minister. However, deputy ministers do not exercise direct authority over non-departmental bodies within the portfolio.

Deputy ministers are accountable for a wide range of responsibilities including policy advice, program delivery, internal departmental management and interdepartmental coordination. As deputy ministers, they do so in a manner that supports both the individual and collective responsibilities of their Minister. They are accountable on a day-to-day basis to their Minister, and a cooperative relationship between the two is critical. The advice that deputy ministers provide should be objective and must respect the law. If conflict occurs between the Minister’s instructions and the law, the law prevails.

The Prime Minister is responsible for the unity and direction of the Ministry and the government’s policies. As a result of their role in the collective management of the government, deputy ministers are also accountable to the Prime Minister for responding to the policies of the Ministry as a whole and to the requirements of the Treasury Board and the Public Service Commission. This includes ensuring that appropriate interdepartmental consultation occurs on any matter that may touch upon broader ministerial responsibilities. In this capacity, deputy ministers are required to keep the Clerk of the Privy Council informed of any significant issues that may arise with respect to their responsibilities or those of their Minister. If the issue is of sufficient concern, the Clerk of the Privy Council will inform the Prime Minister.

Deputy ministers are accountable to the Treasury Board and the Clerk of the Privy Council for the overall management capacity and performance of the department. In order to assist in managing this accountability and to ensure performance is subject to regular review, deputy ministers are required to implement the Treasury Board Secretariat’s Management Accountability Framework. The Comptroller General of Canada also sets reporting requirements on departmental spending, and deputy ministers and departmental comptrollers must ensure that all requirements for expenditure planning, control and oversight are met, including in the development of policy proposals. Deputy Ministers have a responsibility to directly inform the Secretary of the Treasury Board of any significant financial issues or management issues within their portfolio.

Accounting officers

The Financial Administration Act provides that deputy ministers and deputy heads of other government entities are designated accounting officers for their organizations. Accounting officers are required to appear before the appropriate parliamentary committee to answer questions regarding a specified range of responsibilities and duties relating to departmental management. These responsibilities include managing departmental resources in accordance with government policies and procedures, maintaining effective systems of internal control and signing the departmental accounts. Deputy ministers have long had these management responsibilities.

Under the law, the responsibilities of accounting officers arise within the framework of ministerial responsibility and accountability to Parliament (i.e. deputy ministers are accountable to Ministers, while Ministers are accountable to Parliament). Thus the legislation specifies that accounting officers are accountable before committees—that is, they are required to provide information and explanations to committees, and in so doing to assist Parliament in holding the government to account. However, accounting officers are not accountable to committees. Accountability to Parliament for all matters pertaining to the portfolio, including management, rests with the Minister.

Where the accounting officer and the Minister are unable to agree on the interpretation or application of a Treasury Board policy, directive or standard, the accounting officer shall seek written guidance from the Secretary of the Treasury Board. Such guidance should be sought through a letter from the accounting officer to the Secretary setting out the issue in a clear and balanced manner. A copy of this letter should be provided to the Minister. If, after the Secretary of the Treasury Board has provided guidance in writing, the matter remains unresolved, the Minister shall seek a decision from the Treasury Board through a submission to the Board. The decision would be shared with the Auditor General as a confidence of the Queen’s Privy Council for Canada. For unresolved questions not related to the interpretation or application of Treasury Board policies, directives or standards, the deputy minister (or other deputy head) would have recourse to the Clerk of the Privy Council, who may ultimately seek the consideration of the Prime Minister.

Further details on the accountability and duties of deputy ministers are included in Guidance for Deputy Ministers, a companion to this Guide. Guidance for accounting officers may be found in Accounting Officers: Guidance on Roles, Responsibilities and Appearances Before Parliamentary Committees.

E.2. Departmental Officials

In exercising their powers, duties and functions as the heads of government departments, Ministers receive frank and candid policy advice and loyal operational support from a professional, non-partisan public service. With the exception of deputy ministers, who are chosen by the Prime Minister on the advice of the Clerk of the Privy Council, public servants are appointed under a merit-based appointment regime overseen at arm’s length from Ministers by the Public Service Commission. They serve democracy by supporting, without partisan bias, the program of the elected government of the day, with faithful regard to the laws of Canada and to codified public service values and ethics. These codifications also note that Ministers have a responsibility for maintaining the tradition of the political neutrality of the public service.

Given the scope and complexity of the powers, duties and functions vested in Ministers, by practical necessity the majority are exercised on the Minister’s behalf by departmental officials pursuant to common law principles that have been codified in legislation or pursuant to express delegations of authority from the Minister. This includes taking routine decisions, such as awarding grants and contributions under established criteria, entering into routine contracts and responding to access to information requests.

The department reports to the Minister through the deputy minister in a clear chain of command. Deputy ministers are the bridge between the department and the Minister. Although it is normal for ministerial staff to transmit instructions or gather information on behalf of the Minister, significant contact between the Minister’s office and departmental officials should take place through or with the knowledge of the deputy minister’s office. Both the Minister and the deputy minister have a responsibility to ensure that interactions between the Minister’s office and departmental officials respect the lines of reporting and accountability, departmental decision-making processes and systems of internal control established by the deputy minister.

As both the legal authority and accountability to Parliament for departmental decision making rests with the Minister, it is within the Minister’s authority to reserve any particular decision to him or herself. When this occurs, Ministers are held directly and personally accountable for decisions. It is important in all cases, including when authorities are delegated, that Ministers determine appropriate program and policy frameworks for public servants to follow in assessing specific files, and that Ministers have the benefit of public service analysis regarding whether criteria have been met before making their decisions.

There may be programs whose criteria leave limited scope for discretion, and for which the Minister may wish to delegate decision making to public servants, who have a basis in law for exercising authorities on the Minister’s behalf. Ministers should ensure that delegations are being properly exercised and that they are informed about the kinds of decisions being taken and the effectiveness of the program in delivering on its objectives.

E.3. Ministerial Exempt Staff

In addition to public servants, Ministers are supported in their official functions by their own office staff. The employment of such staff is provided for under the Public Service Employment Act, but they are not members of the public service and are exempt from Public Service Commission staffing and other controls. They are known as “exempt” or “political” staff.

Exempt staff hold public office within the Government of Canada, are paid with public funds, and are charged with supporting their Minister in the performance of his or her public duties. They are subject to a broad range of terms and conditions set by the Treasury Board for the government as a whole and also to the same statutory conflict of interest and post-employment regime and ethical guidelines as Ministers and deputy ministers. They are also subject to the Code of Conduct for Ministerial Exempt Staff set out in Annex I.

The purpose of establishing a Minister’s office is to provide Ministers with advisors and assistants who are not departmental public servants, who share their political commitment, and who can complement the professional, expert and non-partisan advice and support of the public service. Consequently, they contribute a particular expertise or point of view that the public service cannot provide.

The exact nature of the support that exempt staff provide will depend on the direction of the Minister. Examples could include reviewing briefings and other advice prepared by the department; assisting the Minister in developing policy positions, including those that reflect the Minister’s political perspective; preparing speeches and politically oriented communications; liaising with other Ministers’ offices and caucus; and providing advice as a specialist in a particular field relevant to a policy initiative being developed by the Minister.

Exempt staff can ask departmental officials for information, transmit the Minister’s instructions, or be informed of decisions in order to address communications and strategic issues. However, they do not have a role in departmental operations and have no legal basis for exercising the delegated authority of Ministers. Nor may exempt staff give direction to departmental officials on the discharge of their responsibilities, or on issues related to the management of departmental resources or operational matters.

Good working relations between the Minister’s office and the department, characterized by mutual respect, cooperation, and the sharing of information where it is relevant or needed for their respective work, are essential in assisting the Minister and deputy minister in managing departmental work. Such a relationship requires that exempt staff in the Minister’s office respect the non-partisanship of public servants and not seek to engage them in work that is outside their appropriate role.

In meeting their responsibility to respect the non- partisanship of public servants, exempt staff have an obligation to inform themselves about the appropriate parameters of public service conduct, including public service values and ethics, and to actively assess their own conduct and any requests they make to departmental officials in the light of those parameters. Ministers and deputy ministers should be vigilant in ensuring that the appropriate parameters of interaction between officials and exempt staff are observed.

To the extent practicable, relations between officials and exempt staff should be conducted through the deputy minister’s office. The deputy minister’s office should be informed about contact between exempt staff and public servants in the department, and any procedures or guidelines established by the deputy minister for communications between exempt staff and departmental officials should be followed. Exempt staff should not withhold departmental advice or briefing material from the Minister or impede direct communications between the Deputy Minister and the Minister, but may supplement departmental advice or briefing material with their own advice.

A Minister’s office may also include a limited number of public service departmental assistants. They are public servants in the employ of their departments who are assigned to the Minister’s office and who are expected to carry out their duties in a non- partisan manner. Their role is to liaise with the department as well as to provide administrative support and general assistance to the Minister on departmental or other government matters.

As Members of Parliament, Ministers receive other support provided by the House of Commons. Such support is provided and used only in accordance with established House of Commons rules.

E.4. Supporting Ministerial Accountability to Parliament

Appearances before House and Senate committees by Ministers and their officials are an essential part of informing Parliament, which enables parliamentarians to represent the views of their constituents, and to hold the government to account for its policies and management. Ministers should promote an ongoing dialogue with parliamentary committees on their department’s policy priorities, legislative and spending issues, and management challenges. Ministers, supported by the public service, should appear regularly before their respective parliamentary committees to seek the committee’s input into policy and spending priorities, and to discuss departmental performance and results. Ministers are expected to provide, consistent with Treasury Board guidelines, informative and balanced reports to Parliament, most importantly the Estimates, the Report on Plans and Priorities, and Departmental Performance Reports. Ministers and their officials must cooperate with the committees in their work and seek the views of parliamentarians and committees on future plans and priorities.

The principles of ministerial accountability guide Ministers and their officials appearing before parliamentary committees, including when officials appear in their capacity as accounting officers. Ministers are responsible for providing answers to Parliament on questions regarding the government’s policies, programs and activities, and for providing as much information as possible about the use of their powers, including those delegated by them to others.

Ministers are also responsible for deciding which questions they should answer personally and which questions may be answered by officials speaking on their behalf. A parliamentary committee may require the accounting officer for an organization to appear and answer questions regarding a range of responsibilities relating to departmental management, as set out in statute, and may do so even in cases where the Minister may have testified before the committee with respect to matters of departmental management. However, the general principles governing appearances of public servants before committees apply, as accounting officers appear before committees within the framework of ministerial accountability to Parliament. Officials can assist Ministers by factually answering questions at parliamentary committees, but they are to explain rather than defend or debate policies. When appearing before a parliamentary committee, officials maintain the traditional non-partisanship of the public service. The authoritative political presence of either the Minister or his or her political representative is required if politically controversial matters are likely to arise.

As members of parliamentary committees, Parliamentary Secretaries are essential resources and play a key role by representing their Ministers. Ministers should ask their Parliamentary Secretaries to address partisan issues raised during departmental appearances and to act as a liaison between the committee and the Minister and the department.

Ministers should ensure that appearances by public servants before parliamentary committees are fully consistent with ministerial accountability, including when they appear in their capacity as accounting officers. Public servants are ultimately accountable to Ministers through their deputy minister and not to Parliament.[10]

In appearing on behalf of their Minister before committees, departmental officials are often able to provide more detailed information on departmental plans and performance than Ministers can provide. The deputy minister and other officials must be prepared to describe in detail the