1. Disclosure of Wrongdoing Regulations & Policy
General Introduction
Disclosure of Wrongdoing regulations and policy were approved by Executive Council and implemented in September 2004.

2. Objectives of Regulations/Policy
To offer advice and direction for employees
To define wrongdoing and reprisal action
To provide employees with a process for disclosing wrongdoing
To protect employees from reprisal action
To protect the identity of those involved in the process
To outline reporting requirements so the Government of Nova Scotia can be publicly accountable
When the Nova Scotia Government began researching and developing the Disclosure of Wrongdoing Regulations, they began with identifying the needs of the employees and the best practices of other jurisdictions.
In summary, the objectives of these regulations and policy outline what employees told us they needed, and how government will be accountable to its employees and the public under these regulations/policy.
The objectives of the Disclosure of Wrongdoing Regulations & Policy are:
To offer advice and direction for employees who want to disclose government wrongdoing
To define wrongdoing in government and reprisal action not acceptable against the employee disclosing wrongdoing
To provide a process for the disclosure of wrongdoing
To protect employees who want to report government wrongdoing
To protect the identity (whenever possible) of those involved in the process (e.g. alleged wrongdoer, employee disclosing and witnesses)
To promote accountability for government by tabling an annual report in the House of Assembly

3. Background Nova Scotia Government’s commitment
2004 Employee Survey results
Public Environment / Media
Other Countries
(e.g. UK, US, & Australia)
Federal Government
proposed legislation
The Minister of Human Resource statement in the House of Assembly:
“Government intends to exercise its authority under the Civil Service Act and Public Service Act to make regulations and policies. We will clarify the process by which a public servant may report illegal activity or wrongdoing.”
Employee Survey Results reaffirmed the need to provide a process
for employees and protect them from reprisal action.
46 % of respondents felt they could report work-related ethical
concerns or issues without fear of reprisal. (35% did not feel safe)
59% of respondents indicated they knew where to go for help (the process) to resolve workplace ethical dilemmas or conflicts. (29% didn’t know how to report)
The sponsorship scandal within the federal government seems to have eroded the public's confidence in the government, in general. It is of the utmost importance for the people of this province to have confidence that the government is accountable for wrongdoing, should it occur.
Other countries, such as the United Kingdom, Australia, and the United States have legislation in place to protect workers in dealing with workplace wrongdoings. Other provinces in Canada have mechanisms in their existing legislation, regulations and policies to protect workers who want to disclose workplace wrongdoing.
The federal government introduced legislation in March 2004 (Bill C-25), which died on the order papers when the Federal election was called. On October 8, 2004 Bill C-11 was tabled in the House of Commons. Both of these bills are known as “The Public Servants Disclosure Protection Act”.

4. Nova Scotia Legislative Environment
The regulations and policy
allow government to expand upon the provisions that already in place under various pieces of legislation and collective agreements, and
do not prohibit an employee from reporting wrongdoing under any other procedure established under any legislation, regulation, or collective agreement
Benefits of using regulations
The regulations and policy allow government to expand upon the provisions that already in place under various pieces of legislation and collective agreements and do not prohibit an employee from reporting wrongdoing under any other procedure established under any legislation, regulation, or collective agreement.
No employee will be disciplined if they report of wrongdoing under any other procedure established under any legislation, regulation, or collective agreement.
Proven experience / Guaranteed protection
Using existing legislation, regulations, policies and grievance processes employees have many options if they experience reprisal which have proven, legal standings, and allow for action to be taken.
Nothing in these regulations prohibits a person from filing a grievance under an applicable civil service collective agreement or an appeal under Section 94 of the Civil Service General Regulations.

5. Regulations and Policy
Nova Scotia Regulations
Corporate Policy
Why not separate Legislation?
Existing legislation already provided the regulatory authority. (Regulations were more timely and flexible than legislation)
Nova Scotia Regulations
The regulations were developed pursuant to the Civil Service Act and apply to civil servants only.
Corporate Policy
The process in the corporate policy reflects the one in the regulations, expanding coverage to also include adult correction workers, highway workers and other direct employees of government, such as casuals and contract employees. The policy also provides disclosure forms and clearer language of what is required in the process.
Why not separate Legislation?
The Nova Scotia Government's objective was to develop a clear process for the disclosure of wrongdoing and protection for employees who want to report government wrongdoing without fear of reprisal action being taken against them.
These objectives could have been achieved through legislation, regulations or policy. The Nova Scotia Government chose to implement regulations and policy because the regulatory authority was available, and is more timely and flexible than legislation. It achieved the same objective as legislation, so separate legislation was not considered necessary.

6. Key Elements of Regulations & Policy
Applicability
Who do these apply to?
Definitions
What does it mean?
Process
How can disclosures be submitted?
Protection
Who is protected?
Reporting Requirements/Accountability
How will government report wrongdoing?
The Nova Scotia Government wanted to focus on five key elements:
Applicability - Who will these regulations and policy apply to?
Definitions - How will we define a “wrongdoing”?
Process - How will employees disclose wrongdoing, and who will employees disclose wrongdoing to?
Protection - How will those involved in the process be protected?
Accountability – How will government publicly report wrongdoing?

7. Applicability Regulations Policy apply to all civil servants
apply to all civil servants, and
adult correction workers (as defined in the Corrections Act),
highway workers (as defined in the Highway Workers Collective Bargaining Act; and
any other person directly employed by the Province of Nova Scotia (i.e. having an employer/employee relationship)
Regulations
Applies to a person appointed to the civil service in accordance with the Civil Service Act. These employees may be working in bargaining or non-bargaining positions.
Policy
An employee as defined in the Civil Service Act
An employee as defined in the Corrections Act
An employee as defined in the Highway Workers Collective Bargaining Act; or
Any other person directly employed by the Province of Nova Scotia (such as casual and contract employees)

8. Definitions Wrongdoing Gross Mismanagement Reprisal Action
A wrongdoing is defined as:
a violation of any Parliament of Canada or Nova Scotia Legislature Act, or of any regulations made under any Act, if the violation relates to the official activities of employees or any public funds or assets;
gross mismanagement (A deliberate act or an omission showing a reckless or willful disregard for the efficient management of significant government resources);
a deliberate act or an omission that creates a substantial and specific danger to the life, health or safety of a person; or
the taking of a reprisal against an employee
Reprisal action means:
a disciplinary measure
demotion of the employee
termination of the employment of the employee
any measure that adversely affects the employment or working conditions of the employee;
Or a threat to take any of the previously identified measures

9. Process Steps/options in the disclosure process
request for advice (optional)
disclosure to immediate supervisor
disclosure to deputy head
disclosure to Ombudsman
disclosure to Police Agency / Police Department (imminent & serious danger)
* Other mechanisms provided by current legislation, regulations, and policies
Opportunity to seek advice and guidance
If an employee would like to obtain advice before disclosing wrongdoing, they may contact the Conflict of Interest Commissioner.
Disclosure Process
The first step is for an employee to take the matter up with their direct supervisor. If the matter is not reasonably addressed or if the matter cannot be taken up with the supervisor, an employee may report to the deputy head. If the matter is not reasonably addressed or if the matter cannot be taken up with the supervisor or the deputy head, the employee may report to the Ombudsman.
However, if there is imminent danger to the life, health or safety of a person, the employee should report to a police department or police agency that can deal with the issue immediately.
* Disclosure & advice forms are located in Manual 500 or on the PSC website under Disclosure of Wrongdoing
Other process considerations and notes
Nothing prohibits a person from filing a grievance under an applicable collective agreement or filing an appeal under existing regulations.
Government has many mechanisms for employees to raise concerns (grievances, performance management systems, Human Rights Commission, Office of the Ombudsman, etc.), if an employee chooses to disclose wrongdoing through a mechanism not approved by government, they may be subject to disciplinary actions.

10. Protection Protection for employees against reprisal
Protection for employees against malicious disclosures
Protection of identity of persons involved in the disclosure process (to the extent possible)
* Nothing in these regulations or policy prohibit an employee from initiating a process under existing legislation, regulation, policy or collective agreement.
Employees are protected from reprisal if in good faith they make a disclosure of wrongdoing, intend to make a disclosure of wrongdoing or co-operate in a wrongdoing investigation. Notable, reprisal action taken against an employee who makes a disclosure of wrongdoing in good faith is considered a wrongdoing.
An employee who makes a bad faith, frivolous, and/or vexatious disclosure may be subject to appropriate disciplinary action.
Frivolous is considered to be petty and insignificant
Vexatious is considered to be for the purpose of annoying, irritating and harming the alleged wrongdoer and without reasonableness
Bad faith disclosures are made with the knowledge that the allegations are untrue and misleading and with the intent to harm the alleged wrongdoer
To the extent possible,the process seeks to protect the identity of persons involved in the disclosure process, including employees, witnesses and persons who are alleged to be responsible for wrongdoings, from publication.

11. Accountability / Reporting Requirements
Written response to disclosing employee
Written notification to
Deputy Head
Public Service Commissioner
Annual Reports
Ombudsman
Minister of Human Resources
When an employee makes a disclosure of wrongdoing to their supervisor or deputy head, they will receive a written response to their disclosure within 30 days.
When an employees makes a disclosure of wrongdoing to the Office of the Ombudsman, they will receive a written response to their disclosure.
All written responses to the employee will be copied to either the deputy head or the Public Service Commissioner.
The Office of the Ombudsman must report annually to the Public Service Commissioner about disclosures of wrongdoing they have received.
The Public Service Commissioner must report annually to the Minister of Human Resources about the disclosures of wrongdoing made during the fiscal year.
The Minister of Human Resources will table the report received from the Commissioner in the House of Assembly.

12. Implementation Process
Effective Dates
Initial Roll-out
Presentations
Consolidation of Questions & Answers
Assessment Guide
Announcement of website
Effective Dates
Regulations Respecting Civil Service Disclosure of Wrongdoing came into effective Sept 16, 2004, and the Disclosure of Wrongdoing Policy came into effective Sept 17, 2004
The Initial Roll-out for the regulations and policy was to inform all employees of government by sending out a group , via the deputy heads, which contained the announcement, Q&A fact sheet, the regulations and policy, and a power point presentation. The Public Service Commission offered to make presentations to departments. We also posted the information on the employee website, and provided news releases to media outlets.
Presentations were made to senior (executive) management teams and HR CSU professionals within government departments. At the request of other groups, agencies and boards presentations were also made to inform their staff about the regulations and policy.
Questions posed from employees, senior management, and other interested parties have been consolidated and made available on the website to help with further understanding of these regulations and policy in a Frequently Asked Questions document.
An assessment guide has been made available as a tool for assessing/investigating a disclosure of wrongdoing.
The Announcement of website was to continue to promote awareness of the regulations and policy for all employees. This roll-out mirrored the first, but added a web-site, assessment guide and consolidation of Q&As.

13. Where to from here Gain experience, continue education and research
Consultation with the broader public sector
Re-survey employees and evaluate process
Government will continue to gain experience through the first few years of these regulations and policy. We will monitor the activity in other provinces and countries, and will continue to research other processes and programs to ensure an environment where our employees feel comfortable disclosing government wrongdoing.
In May 2005, the Public Service Commission will begin consultations with the government entities in the broader public sector as it relates to disclosure of wrongdoing in their business sectors. Government will encourage implementation of a policy, similar to the Disclosure of Wrongdoing Policy, to protect their employees and provide a clear avenue for them to make disclosure of wrongdoing.
The 2005 employee survey asked employees the same ethical work related questions as the previous survey. Results from the 2005 survey are expected in the summer. The Public Service Commission plans to continue to re-survey employees to monitor their needs and concerns as it relates to ethics, safety, and processes.

14. Resources Available PSC Website: Questions can be mailed to:
Questions can be mailed to:
Department HR consultant
Department Solicitor
Immediate Supervisor/Manager
Conflict of Interest Commissioner
Office of the Ombudsman

15. Thank you