Government of Ontario: Office of the Conflict of Interest Commissioner

Assessment Tool: Conflict of Interest Rules for Public Bodies

The conflict of interest rules set out in Ontario Regulation 381/07 under the Public Service of Ontario Act, 2006 (PSOA) apply to all public servants in ministries and public bodies, including appointees. The rules are intended to be broad enough to cover most situations, but the PSOA allows public bodies to develop their own rules.

This tool is to be used to public bodies that choose to submit conflict of interest rules or revised rules to the Conflict of Interest Commissioner for approval. These rules should use the language and format of the regulation to the extent possible.

The conflict of interest rules developed by public bodies must:

• cite Ontario Regulation 381/07 and indicate that where the public body's rules are inconsistent with a provision in the regulation, the provision in the regulation prevails (see Part B below)
• at minimum, meet the degree of ethical conduct as set out in Ontario Regulation 381/07.

Part A: Public Body Information

Public Body
Contact Person
Last Name
First Name
Middle Initial
Telephone No. (incl. area code)
Date submitted (yyyy/mm/dd)
New rules    Revised rules

Part B: Inconsistency Statement

Conflict of interest rules must specify that they are based on those in Ontario Regulation 381/07 and that the regulation prevails in the event of an inconsistency. It is recommended that the following language be used:

"These conflict of interest rules are based on those set out Ontario Regulation 381/07. If a provision in these rules establishes a degree of ethical conduct that is lower than that set out in the regulation, the provision in the regulation prevails".

Please insert into this box proposed statement that is equivalent to the inconsistency statement above:

Additional comments for Commissioner to consider:

Part C: Conflict of interest rules set out in Ontario Regulation 381/07

Definitions – O. Reg. 381/07, Section 1

"confidential information" means information that is not available to the public and that, if disclosed, could result in harm to the Crown or could give the person to whom it is disclosed an advantage;
"gift" includes a benefit of any kind;
"spouse" means,

• a spouse as defined in section 1 of the Family Law Act, or
• either of two persons who live together in a conjugal relationship outside marriage.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Application – O. Reg. 381/07, Section 2

2. This Part applies to every public servant who works^‡ in a ministry*
^‡or is appointed (as applicable)
*term should be replaced with name of public body

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Benefiting self, spouse or children – O. Reg. 381/07, Section 3

3. (1) A public servant shall not use or attempt to use his or her employment^‡ by the Crown* to directly or indirectly benefit himself or herself or his or her spouse or children.

   3. (2) A public servant shall not allow the prospect of his or her future employment^‡ by a person or entity to detrimentally affect the performance of his or her duties to the Crown.

^‡or appointment (as applicable)
*term may be replaced with name of public body

Please insert into this box proposed rules, if any, that are equivalent to the provision above:
Additional comments for Commissioner to consider:

Accepting gifts – O. Reg. 381/07, Section 4

4. (1) A public servant shall not accept a gift from any of the following persons or entities if a reasonable person might conclude that the gift could influence the public servant when performing his or her duties to the Crown:

1. A person, group or entity that has dealings with the Crown.
2. A person, group or entity to whom the public servant provides services in the course of his or her duties to the Crown.
3. A person, group or entity that seeks to do business with the Crown.

    4.(2) Subsection (1) shall not operate to prevent a public servant from accepting a gift of nominal value given as an expression of courtesy or hospitality if doing so is reasonable in the circumstances.

    4. (3) A public servant who receives a gift in the circumstances described in subsection (1) shall notify his or her ethics executive.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Disclosing confidential information – O. Reg. 381/07, Section 5

5. (1) A public servant shall not disclose confidential information obtained during the course of his or her employment by the Crown* to a person or entity unless the public servant is authorized to do so by law or by the Crown.

    5. (2) A public servant shall not use confidential information in a business or undertaking outside his or her work for the Crown*.

    5. (3) A public servant shall not accept a gift directly or indirectly in exhange for disclosing confidential information.

^‡or appointment (as applicable)
* term may be replaced with name of public body.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Giving preferential treatment – O. Reg. 381/07, Section 6

6. (1) When performing his or her duties to the Crown, a public servant shall not give preferential treatment to any person or entity, including a person or entity in which the public servant or a member of his or her family or a friend has an interest.

    6. (2) When performing his or her duties to the Crown, a public servant shall endeavour to avoid creating the appearance that preferential treatment is being given to a person or entity that could benefit from it.

    6. (3) A public servant shall not offer assistance to a person or entity in dealing with the Crown other than assistance given in the ordinary course of the public servant’s employment.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Hiring family members – O. Reg. 381/07, Section 7

7. (1) A public servant shall not, on behalf of the Crown*, hire his or her spouse, child, parent or sibling.

    7. (2) A public servant shall not, on behalf of the Crown*, enter into a contract with his or her spouse, child, parent or sibling or with a person or entity in which any of them has a substantial interest.

    7. (3) A public servant who hires a person on behalf of the Crown* shall ensure that the person does not report to, or supervise the work of, the person’s spouse, child, parent or sibling.

    7. (4) A public servant who reports to, or supervises the work of, his or her spouse, child, parent or sibling shall notify his or her ethics executive.

*term may be replaced with name of public body.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Engaging in business, etc. – O. Reg. 381/07, Section 8

8. A public servant shall not become employed by or engage in a business or undertaking outside his or her employment^‡ by the Crown* in any of the following circumstances:

1. 8.If the public servant’s private interests in connection with the employment or undertaking could conflict with his or her duties to the Crown.
2. 8.If the employment or undertaking would interfere with the public servant’s ability to perform his or her duties to the Crown.
3. 8.If the employment is in a professional capacity and is likely to influence or detrimentally affect the public servant’s ability to perform his or her duties to the Crown.
4. 8.If the employment would constitute full­time employment for another person. However, this paragraph does not apply with respect to a public servant who is employed^‡ part­time by the Crown*. This paragraph also does not apply with respect to a public servant who is on an authorized leave of absence from his or her position, but only if the employment is not contrary to or inconsistent with the terms of the leave of absence.
5. 8.If, in connection with the employment or undertaking, any person would derive an advantage from the public servant’s employment^‡ as a public servant.
6. 8.If government premises, equipment or supplies are used in the employment or undertaking.

^‡or appointment (as applicable)
* term may be replaced with name of public body.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Participating in decision­making – O. Reg. 381/07, Section 9

9. (1) A public servant shall not participate in decision­making by the Crown* with respect to a matter that the public servant is able to influence in the course of his or her duties if the public servant could benefit from the decision.

    9.(2) Subsection (1) does not apply if the public servant obtains the prior approval of his or her ethics executive to participate in decision­making by the Crown* with respect to the matter.

    9.(3) A public servant who, in the course of his or her employment^‡ in a ministry^*, is a member of a body or group shall not participate in, or attempt to influence, decision­making by the body or group with respect to a matter if the public servant could benefit from the decision or if, as a result of the decision, the interests of the body or group could conflict with the interests of the Crown*.

    9.(4) A public servant described in subsection (3) shall inform the body or group if the circumstances described in that subsection exist.

^‡or appointment (as applicable)
* term may be replaced with name of public body.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Financial Declaration: Instruction for sections 10 to 12

Ethics executives in public bodies should identify which public servants in their organizations meet the requirements for making a financial declaration set out in section 10 of Ontario Regulation 381/07. Public bodies may include language equivalent to section 10 to 12 in the conflict of interest rules or alternatively include the financial disclosure provisions by reference to Ontario Regulation 381/07.

For example the following language could be used:

When a public servant begins work on a matter that might involve the private sector as defined by section 10 of Ontario Regulation 381/07, he or she must make a financial declaration to the Conflict of Interest Commissioner, in accordance with Section 11 of Ontario Regulation 381/07. He or she is also subject to the restrictions on certain purchases as set out in Section 12 of Ontario Regulation 381/07.

Financial Declaration: Interpretation – O. Reg. 381/07, Section 10

10. (1) Sections 11 and 12 apply to every public servant who works^‡ in a ministry^*, who routinely works on one or more matters that might involve the private sector and who has access to confidential information about the matter obtained during the course of his or her employment^‡ by the Crown*.

    (2) In this section and in sections 11 and 12, "matter that might involve the private sector" means a matter,

• that relates to services currently provided under a program of the Crown or by a public body, an agency of the Crown or a corporation controlled by the Crown with respect to which it is possible that a private sector entity will provide all or part of the financing for the services or will provide some or all of the services, and
• that has been referred to a ministry, a public body or an agency of the Crown by the Executive Council or a member of the Executive Council for review or implementation.

^‡or appointed/appointment (as applicable)
* term may be replaced with name of public body.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Financial Declaration: Duty to declare certain financial interests – O. Reg. 381/07, Section 11

11. (1) When a public servant described in subsection 10 (1) begins work on a matter that might involve the private sector, he or she shall make a declaration to the Conflict of Interest Commissioner in which the public servant discloses the following matters respecting his or her financial interests:

1. A legal or beneficial interest of the public servant in securities or derivatives of corporations or governments, other than the Government of Ontario.
2. A legal or beneficial interest of the public servant in a business entity or a commercial operation or in the assets of such an entity or operation.
3. A legal or beneficial interest of the public servant in real property
4. A legal or beneficial interest of the public servant in a mutual fund that is operated as an investment club where,
   • its shares or units are held by not more than 50 persons and its indebtedness has never been offered to the public,
   • it does not pay or give any remuneration for investment advice or in respect of trades in securities, except normal brokerage fees, and
   • all of its members are required to make contributions in proportion to the shares or units each holds for the purpose of financing its operations.

    2) Despite subsection (1), the public servant is not required to disclose his or her legal or beneficial interest in any of the following:

1. A mutual fund within the meaning of subsection 1 (1) of the Securities Act other than a mutual fund described in paragraph 4 of subsection (1) of this Regulation
2. Fixed­value securities issued or guaranteed by a government or a government agency.
3. A guaranteed investment certificate or similar financial instrument issued by a financial institution entitled by law to issue such instruments.
4. A registered pension plan, an employee benefit plan, an annuity or life insurance policy or a deferred profit sharing plan.
5. Real property that the public servant, or a member of his or her family, uses primarily as a residence or for recreational purposes

    (3) The public servant shall disclose the information required by subsection (1), with necessary modifications, in respect of his or her spouse and dependent children, but only to the extent that the legal or beneficial interests of the spouse or a child could create a conflict of interest.

    (4) For the purpose of subsection (3), the public servant shall make reasonable efforts to obtain information about the financial interests described in subsection (1) of his or her spouse and dependent children

    (5) The public servant shall give the Conflict of Interest Commissioner a revised declaration whenever there is a change in any of the information required to be disclosed.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Financial Declaration: Prohibition on certain purchases – O. Reg. 381/07, Section 12

12. (1) A public servant described in subsection 10 (1) shall not purchase, or cause another person to purchase on his or her behalf, a legal or beneficial interest in an entity that is carrying on, or proposes to carry on, an activity relating to a matter that might involve the private sector.

    (2) Despite subsection (1), a public servant may purchase an interest in a mutual fund (within the meaning of subsection 1 (1) of the Securities Act) that includes securities of a person or entity described in subsection (1) but not an interest in a
mutual fund described in paragraph 4 of subsection 11 (1) of this Regulation that includes such securities

    (3) The prohibition described in subsection (1) ceases to have effect with respect to the matter,

• six months after the date on which the action in respect of the matter is completed; or
• six months after the date the Crown ceases to work on the matter.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Post Service Rules: Instruction for O. Reg. 381/07, Sections 14, 17 and 18

Ethics Executives should identify the employee and appointee positions that are comparable to those set out in section 14 of Ontario Regulation 381/07 as public servants in thee positions are subject to the lobbying and employment restrictions set out in section 17 and 18 of Ontario Regulation 381/07.

Post Service Rules: Definition – O. Reg. 381/07, Section 14

14. In this Part, "designated senior position" means any of the following positions:

1. The Secretary of the Cabinet.
2. Deputy minister, associate deputy minister or assistant deputy minister.
3. A position that is classified under subsection 33 (1) of the Act as SMG 2, XOFA 1, XOFA 2, ITX 2, ITX 3 or ITX 4.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Post Service Rules: Application – O. Reg. 381/07, Section 15

15 (1) This Part applies with respect to every former public servant who, immediately before he or she ceased to be a
public servant, worked^‡ in a ministry*.

    (2) Despite subsection (1), this Part does not apply to a person who ceases be a public servant before the day on which
section 57 of the Act comes into force.

^‡or appointment (as applicable)
* term may be replaced with name of public body.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Post Service Rules: Seeking preferential treatment, etc. – O. Reg. 381/07, Section 16

16. A former public servant shall not seek preferential treatment by, or privileged access to, public servants who work in a
minister’s office, a ministry or a public body.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Post Service Rules: Disclosing confidential information – O. Reg. 381/07, Section 17

17 (1) A former public servant shall not disclose confidential information obtained during the course of his or her employment^‡ by the Crown* to a person or entity unless the former public servant is authorized to do so by law or by the Crown.

    (2) A former public servant shall not use confidential information in a business or undertaking.

^‡or appointment (as applicable)
* term may be replaced with name of public body.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Post Service Rules: Restriction on lobbying – O. Reg. 381/07, Section 18

18 (1) This section applies to a former public servant who, immediately before ceasing to be a public servant, was employed in a designated senior position

    (2) For 12 months after ceasing to be a public servant, the former public servant shall not lobby any of the following persons on behalf of a public body or another person or entity:

1. A public servant who works in a ministry or public body in which the former public servant worked at any time during the 12 months before he or she ceased to be a public servant.
2. The minister of any ministry in which the former public servant worked at any time during the 12 months before he or she ceased to be a public servant.
3. A public servant who works in the office of a minister described in paragraph 2.

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Post Service Rules: Restriction on employment, etc. – O. Reg. 381/07, Section 19

19 (1) This section applies to a former public servant who, immediately before ceasing to be a public servant, was employed^‡ in a designated senior position and who, at any time during the 12 months before he or she ceased to be employed as a public servant, in the course of his or her employment^‡ as a public servant,

• had substantial involvement with a public body or another person or entity; and
• had access to confidential information that, if it were to be disclosed to the public body, person or entity, could result in harm to the Crown or could give the public body, person or
  entity an unfair advantage in relation to one or more third parties.

   (2) For 12 months after ceasing to be a public servant, the former public servant shall not accept employment with the public body, person or entity or serve as a member of the board of directors or other governing body of the public body, person or entity.

^‡or appointment (as applicable)

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Post Service Rules: Restriction re: certain transactions – O. Reg. 381/07, Section 20

20. (1) This section applies to a former public servant who, when he or she was a public servant working in a ministry*, advised the Crown about a particular proceeding, negotiation or other transaction.

    (2) The former public servant shall not advise or otherwise assist any public body or any other person or entity in connection with the particular proceeding, negotiation or other transaction until the Crown ceases to be involved in it.

    (3) Despite subsection (2), the former public servant may continue to advise or otherwise assist the Crown in connection with the particular proceeding, negotiation or other transaction.

*term should be replaced with name of public body

Please insert into this box proposed rules, if any, that are equivalent to the provision above:

Additional comments for Commissioner to consider:

Part D: Additional Conflict of Interest Rules

Unique aspects of the mandate of a public body could give rise to potential conflicts of interests not addressed in Ontario Regulation 381/07. Accordingly public bodies may develop additional conflict of interest rules that are not accounted for in the Regulation. To assist the Commissioner in reviewing these additional conflict of interest rules, public bodies should state the rule and the rationale for including such a rule.

Examples of additional rules not accounted for in Ontario Regulation 381/07:

• Prohibition on specific activities ­ rules that prohibit public servants from engaging in specific activities regulated by the public body; and
• Cooling off periods ­ rules that prohibit former public servants from engaging in specific activities such as not appearing before the public body for a limited period of time.

Please insert additional rules and rationale:

Part E: Political Activity Restrictions (optional)

Public servants are required to adhere to the political activity restrictions set out in Part V of the PSOA. Although not required, public bodies may include applicable political activity restriction.  As there is no requirement for political activity restrictions to be included in the conflict of interest rules, this section will only be reviewed to confirm that the provisions are consistent with the PSOA.

The PSOA does not permit public bodies to develop additional political activity restrictions for public servants.

For example the following language could be used:

The political activities of public servants are governed by the PSOA. {Identify which public servants are specially-restricted for the purposes of the political activity rules (if applicable)}. For complete details about the political activity rules refer to Part V of the PSOA.

Please insert additional rules and rationale:

Part F: Procedural Obligations (optional)

The procedural obligations of the public servants and ethics executives are set out in the PSOA.

Although not required, public bodies may include procedural obligations of public servants and/or ethics executives. As there is no requirement for procedural elements to be included, this section will only be reviewed to confirm that the provisions are consistent with the PSOA.

Procedural obligations set out in the PSOA for public servants include:

• Notification ­ s. 65(3)
• seek input of ethics executive ­ s. 65(1)
• Supervisor may seek input of ethics executive ­ s. 65(2)
• Compliance with direction ­ s. 65(8)

Procedural obligations set out in the PSOA. for ethics executives include:

• Promotion of ethical conduct ­ s. 64
• Conduct inquiries ­ s. 65(4)
• Make a determination ­ s. 65(5)
• Refer a matter to the Commissioner ­ s. 65(6)
• Notify the Minister ­ s. 65(9)

Please insert procedural obligations, if any:

Part G: Other Elements (optional)

Public bodies may include other elements such as for example, principles that should guide the conduct of public servants. As there is no requirement for these elements to be included, this section will only be reviewed to confirm consistency with the PSOA.

Please insert additional elements, if any: