Annual Report on the Public Servants Disclosure Protection Act 2022 to 2023

Enquiries

Public servants may make enquires about possible wrongdoings and about how to make a disclosure without formally reporting a disclosure or allegation. In the 2022–23 fiscal year, 315 enquiries were made about the Act (see Figure 1).

Disclosures and allegations of wrongdoing

A disclosure occurs when a public servant or a group of public servants give information to their supervisor or senior officer for internal disclosure about possible wrongdoing in the public sector.

An allegation refers to a public servant communicating a potential instance of wrongdoing as defined in section 8 of the Act. An allegation must be made in good faith, and the person making it must have reasonable grounds to believe that it is true. A disclosure can involve several allegations.

In 2022–23, 152 public servants made 246 internal disclosures concerning 356 allegations of wrongdoing. This compares to 194 public servants who made 178 internal disclosures concerning 381 allegations of wrongdoing in 2021–22.

Figure 1 - Text version

Type	2018–19	2019–20	2020–21	2021–22	2022–23
Number of enquiries about the Act	323	250	172	384	315
Number of allegations under the Act	272	220	174	381	356

There were fewer enquiries and allegations in 2022–23 than in 2021–22. However, the number of allegations made in 2022–23 is higher than in the three fiscal years before 2021–22. As noted in last year’s report, from 2019–20 to 2020–21, the COVID‑19 pandemic and remote work may have affected the numbers of enquiries and allegations received.

The disclosure process

In general, the disclosure process follows the four steps of:

1. receiving a disclosure, which may contain one or multiple allegations
2. assessing the allegation(s)
3. investigating the allegation(s)
4. reporting the findings of the investigation

Figure 2 - Text version

• Step 1: Disclosure of one or more allegations of wrongdoing
• Step 2: Assessment: do the allegations meet the definition of wrongdoing?
• Step 3: If yes, investigation is conducted. If no, possible other remedial action or recourse process
• Step 4: Findings and corrective measures

Step 1: disclosures and allegations

Depending on the complexity of an investigation and the volume of new allegations received, some allegations are carried over into future years before they are resolved.

As shown in Figure 3, in 2022–23, there was an increase in the number of allegations carried over from the previous fiscal year, from 160 allegations in 2021–22 to 277 in 2022–23. Of the 277 allegations carried over from 2021–22 to 2022–23, 207 (75%) were originally received in 2021–22 and 70 (25%) were originally received in 2020–21 or before.

Reports from federal organizations indicate that delays in the handling of allegations (assessing, investigating and reporting) are often associated with resource limitations, the need to interview multiple witnesses or respondents and the need to address complex legal implications.

These factors result in longer process times and allegations being carried over in the next fiscal year.

Figure 3 - Text version

Type	2018–19	2019–20	2020–21	2021–22	2022–23
Number of allegations carried over from previous fiscal year	173	238	192	160	277
New allegations received in disclosures in fiscal year	269	220	174	381	356

Step 2: assessment of allegations

Each allegation is assessed by the organization’s senior officer for internal disclosure to determine whether it either:

• falls within the Act’s definition of wrongdoing and warrants further action
• it should be referred to another recourse mechanism

Allegations that are not assessed by March 31 are carried over to the following fiscal year.

In 2022–23, there were more allegations^{Footnote 2} assessed than the number of allegations received. These assessments included allegations carried over from previous fiscal years.

More allegations were assessed in 2022–23 than in 2021–22. Of the 633 total allegations that were active in 2022–23, which included allegations carried over from previous fiscal years and those newly received during 2022–23, 404 (64%) were assessed in 2022–23. The 2022–23 rate of assessment is equal to the previous fiscal year, during which 64% (344 of 541 total allegations) were assessed.

Figure 4 - Text version

Type	2018–19	2019–20	2020–21	2021–22	2022–23
Total allegations	445	458	366	541	633
Allegations assessed	243	280	187	344	404

New allegations received in 2022–23

Each allegation is categorized under one of the six types of wrongdoing specified in section 8 of the Act. Of the 356 allegations received in 2022–23, 261 (73%) were categorized as a serious breach of a code of conduct (see Figure 5), which is an increase. There were 192 allegations in this category in 2021–22.

This increase could be because codes of conduct set out clear standards for behaviour in the workplace, which helps employees identify and categorize a breach. If there is an increase in the number of breaches reported, it can mean that employees need to know more about what behaviour is expected and have greater exposure to positive examples and/or awareness-raising activities in organizations have encouraged public servants to report potential breaches.

Some organizations have reported that enquiries and disclosures increase following related awareness activities.

Figure 5 - Text version

Type
A serious breach of a code of conduct (261)	73.31%	261
Gross mismanagement in the public sector (36)	10.11%	36
A misuse of public funds or a public asset (24)	6.74%	24
A contravention of any Act of Parliament or of the legislature of a province or territory (14)	3.93%	14
Knowingly directing or counselling a person to commit a wrongdoing (12)	3.37%	12
An act or omission that creates a substantial and specific danger to the life, health or safety of persons or the environment (9)	2.53%	9
Total	100.00%	356

In 2022–23, there were 36 allegations that involved gross mismanagement compared with 74 in 2021–22.

Allegations that involve an act or omission that creates a substantial and specific danger to the life, health or safety of people or of the environment decreased. There were 31 such allegations in 2021–22 in comparison to nine in 2022–23.

Allegations that met the definition of wrongdoing in 2022–23

Of the 404 allegations assessed, in 2022–23, 323 were found to have met the definition of wrongdoing under the Act. Of these 323 allegations:

• 241 were received in 2022–23
• 54 were received in 2021–22
• 28 were received in 2020–21 or earlier

In total, 81 of the 404 assessed allegations did not meet the definition of wrongdoing as specified in the Act or were referred to another mechanism. Of these 81 allegations:

• 53 were received in 2022–23
• 28 were received in 2021–22

As shown in Figure 6, from 2018–19 to 2021–22, the number of allegations that met the definition of wrongdoing and that were acted upon within the same fiscal year has fluctuated between 41% and 59% until 2022–23, when 80% of allegations assessed were acted upon (323 of 404).

Figure 6 - Text version

Type	2018–19	2019–20	2020–21	2021–22	2022–23
Allegations of wrongdoing not acted upon	129	164	76	154	81
Allegations of wrongdoing acted upon	114	116	111	190	323
Total allegations assessed in fiscal year	243	280	187	344	404

In 2022–23, 81 allegations did not meet the definition of wrongdoing as set out in the Act or were referred to another process. Figure 7 illustrates what actions were taken in those cases.

Twenty-four of the 81 allegations were not referred to another recourse process, and 15 allegations required no further action.

Figure 7 - Text version

Type
Referred to the harassment and violence complaint process provided for under the Canada Labour Code (30)	37.04%	30
Not referred to a recourse process (24)	29.63%	24
Other action taken (15)	18.52%	15
Referred to the grievance process provided for under the Federal Public Sector Labour Relations Act (8)	9.88%	8
Referred to the staffing complaint process provided for under the Public Service Employment Act (3)	3.70%	3
Referred to the official languages complaint process provided for under the Official Languages Act (1)	1.23%	1
Referred to the human rights complaint process provided for under the Canadian Human Rights Act (0)	0.00%	0
Referred to the privacy complaint process provided for under the Privacy Act (0)	0.00%	0
Total	100.00%	81

Step 3: investigations

A formal investigation refers to a review of all relevant evidence, witness testimonials, and the drawing of conclusions as to whether a disclosure is founded. An investigation may look into one or more allegations. A preliminary analysis or fact-finding that happens at the assessment step and does not lead to a formal investigation is not counted as an investigation; however, assessment can still lead to corrective measures.

In 2022–23, 50 formal investigations were launched, in comparison to 85 formal investigations launched in 2021–22. Of the 50 investigations:

• 19 were based on allegations made in 2022–23
• 19 were based on allegations made in 2021–22
• 12 were based on allegations made in 2020–21 or earlier

By March 31, 2023, 20 investigations were closed. Of these 20 investigations:

• 6 examined 13 allegations made in 2022–23
• 7 examined 18 allegations made in 2021–22
• 7 examined 19 allegations made in 2020–21 or earlier

There were 30 investigations still ongoing at the end of 2022–23 that will be carried over to 2023–24. Thirteen of these investigations are from 2022–23. Twelve are still ongoing from 2021–22, and five are from previous years.

To improve federal organizations’ capacity to investigate disclosures of wrongdoing, a National Master Standing Offer (NMSO) of experts who can investigate allegations has been created. The renewed list became available to organizations in December 2022. It is continuously updated, and new resources are regularly assessed.

During 2022–23, seven organizations used the NMSO. They found it useful for accessing bilingual third-party investigators. The NMSO has also been helpful for smaller organizations that have limited investigative capacity.

Step 4: findings of wrongdoing and corrective measures

In 2022–23, the 20 formal investigations that were closed by March 31, 2023, examined 50 allegations and resulted in 21 allegations that led to a finding of wrongdoing and 14 allegations that led to corrective measures (see Figure 8).^{Footnote 3} For two of the allegations that led to corrective measures, no wrongdoing was found. Twelve allegations of wrongdoing led to both a finding of wrongdoing and corrective measures.

In 2022–23, there were fewer formal investigations launched and fewer investigations closed than in the previous fiscal year.

Figure 8 - Text version

Type	2018–19	2019–20	2020–21	2021–22	2022–23
Allegations that led to a finding of wrongdoing and corrective measures	7	3	12	4	12
Allegations that led to corrective measures without a finding of wrongdoing	20	11	7	22	2
Total corrective measures	27	14	19	26	16

Enterprise-wide

The Canada School of Public Service provides training to promote values and ethics in the workplace to all federal employees. Its courses include:

• “Values and Ethics Foundations for Employees” (FON301), which is mandatory for all new public servants
• “Values and Ethics Foundations for Managers” (FON302), which is mandatory for new supervisors and managers

Federal public sector organizations

Federal public sector organizations continue to raise awareness among public servants to inform them of:

• their organization’s code of conduct
• disclosure processes
• ways to support public servants who want to make disclosures of wrongdoing

There were many awareness activities conducted in 2022–23. For example, organizations provided training and other related activities to create awareness of the Act, its provisions and the protections that it provides. Those activities included training videos, town hall meetings, email messages, games, presentations and awareness sessions to inform employees about the Act and to foster an ethical workplace culture.

Organizations also held collaborative meetings among units and divisions within organizations to ensure that employees are aware of recourse mechanisms and initiatives. Such initiatives helped employees understand that there is “no wrong door,” meaning that their enquiry will be referred to appropriate channels. Other training helped to:

• identify and mitigate ethical risks
• improve awareness of codes of conduct, policies, procedures and processes

Organizations also undertook to develop or redesign policies for the internal disclosure of wrongdoing and update their internal procedures for handling disclosures of wrongdoing.

These types of deliberate and ongoing activities are integral to a healthy disclosure system. Employee awareness and promotional activities, including the important role the senior officer for internal disclosure plays in helping employees feel comfortable reporting wrongdoing without fearing reprisal, help to build trust. Trust in the senior officer and the organization is essential for maintaining confidence in the public service, not only among employees, but also among Canadians in general.

Public Service Employee Survey: ethics in the workplace

To inform, support and strengthen people management in the federal public service and other practices in government,^{Footnote 4} OCHRO conducts the Public Service Employee Survey (PSES) every two years. A total of 189,584 employees in 90 federal departments and agencies responded to the most recent PSES, which gathered responses from November 21, 2022, to February 5, 2023.

The PSES includes questions that gauge public servants’ perceptions of the ethical environment in their workplace, and its results provide insights into how equipped public servants are to address values and ethical dilemmas. Results of the questions on ethics were analyzed by disaggregating the data by:

• employment equity group
• racial group
• province and territory
• employment community
• organizational mandate

Key results related to values and ethics in the workplace from the 2022 PSES

• 71% of public servants indicated that senior managers in their department or agency lead by example in ethical behaviour. Since 2011, public servants’ perception of ethical behaviour among their senior managers has improved by 13%.
• 70% of public servants indicated that they would know where to go for help in resolving a situation if faced with an ethical dilemma or a conflict between values in the workplace. This indicator reached a peak of 77% in 2014.
• 72% of public servants indicated that they felt that their department or agency does a good job of promoting values and ethics in the workplace. Across the provinces and regions, a lower percentage of public servants in the Northwest Territories, Saskatchewan, British Columbia and Alberta feel that their department or agency does a good job of promoting values and ethics in the workplace.
• 56% of public servants indicated that they felt they could initiate a formal recourse process (for example, grievance, complaint or appeal) without fear of reprisal. This indicator has been slow to increase, which indicates that there is significant room for improvement, especially among some demographic groups. For example, 46% of people with disabilities were confident that they could initiate a formal recourse process without fear of reprisal.
• Disaggregated results show that, like results in 2020, employees who self-identify as a person with a disability, an Indigenous person or as being gender-diverse reported experiencing double the rates of harassment compared with results for the public service as a whole. They also reported experiencing double to almost triple the rates of discrimination compared with results for the public service as a whole.
• Although mental health factors extend beyond values and ethics in the workplace, conditions that support mental health and wellness generate engagement and strengthen the confidence of employees to come forward with concerns about wrongdoing. Starting with the 2022 PSES, public servants were asked to comment on their mental health. Seventy-five per cent responded with either “good” or “better”, while 25%, rated their mental health as either “fair” or “poor.”
• Of employees who either strongly agreed or somewhat agreed with the statement that they would be comfortable with voicing concerns about mental health with the immediate supervisor, there was a slight improvement from 69% in 2020 to 73% in 2022.

Appendix B provides further details on PSES results on ethics in the workplace.

Diversity and inclusion in the workplace

A public service that is diverse, equitable and inclusive is essential for a workplace culture where all public servants, including employees from equity-seeking groups, can feel comfortable disclosing wrongdoing. To improve workplace culture and create culturally safe workplaces where employees feel comfortable disclosing wrongdoing, OCHRO advanced efforts to promote diversity and inclusion in 2022–23. Initiatives and activities included

• providing support to the task force for modernizing the Employment Equity Act
• collaboration between the Centre on Diversity and Inclusion and the employment equity networks to co-develop solutions for recruitment and talent management across the federal public service, including:
  • the Designated Senior Officials for Employment Equity, Diversity and Inclusion community of practice
  • the Employment Equity Champions and Chairs Committees and Circle
  • other stakeholders
• leading initiatives to improve employment equity recruitment, data evidence and progress measurement; some notable projects include:
  • Mentorship Plus to better support leadership development
  • the Federal Speakers’ Forum on Lived Experience
  • the Mosaic Leadership Development program
  • the initiative to modernize the self-identification questionnaire
  • web content on career pathways for Indigenous employees

Preventing and resolving harassment and violence in the workplace

A workplace that is free of violence and harassment is crucial to enable public servants to come forward with enquiries or allegations about possible wrongdoing without fear of reprisal. OCHRO remains committed to preventing and addressing incidences of workplace harassment and violence by providing continuous support to organizations in applying the Canada Labour Code, Work Place Harassment and Violence Prevention Regulations and Directive on the Prevention and Resolution of Workplace Harassment and Violence to:

• prevent occurrences
• provide a timely response
• support resolution of issues
• support employees affected by harassment and violence

OCHRO continues to engage with the Communities of Practice of Occupational Health and Safety Designated Recipients by:

• responding to enquiries
• providing advice and guidance
• applying the directive and regulations
• organizing knowledge transfer discussions
• participating in learning events across the public service
• leading the development of training and tools

OCHRO continues to consult with key stakeholders, including bargaining agents, to prevent workplace harassment and violence and to develop supporting tools and guidance to ensure that psychological health and safety have been integrated and remain at the forefront of OCHRO’s policy instruments to mitigate and prevent occupational illness and injury.

Mental health in the workplace

Having the right workplace conditions to support mental health and wellness generates higher levels of employee engagement and enhances public servants’ confidence in coming forward with concerns about wrongdoing. To support a culture of positive mental health in the workplace, OCHRO is:

• engaged in work to support federal organizations in aligning with the National Standard for Psychological Health and Safety in the Workplace and advancing the Federal Public Service Workplace Mental Health Strategy
• developing mental health resources for public servants, including a workplace mental health dashboard, to support organizational performance on the psychosocial risk factors of the National Standard for Psychological Health and Safety in the Workplace

Senior officers and communities of practice

It is also OCHRO’s role to:

• support the implementation and administration of the Act, the Values and Ethics Code for the Public Sector and conflict of interest measures
• support the President of the Treasury Board in their responsibility under the Act to promote ethical practices across the public sector

OCHRO’s policy centre engages with:

• the Office of the Public Sector Integrity Commissioner
• the Public Servants Disclosure Protection Tribunal
• public sector organizations
• senior officers
• international organizations
• bargaining agents
• other stakeholders with an interest in integrity and ethics in the workplace

In particular, OCHRO facilitates a government-wide community of practice to support senior officers in internal disclosure of wrongdoing and managers in supporting public servants in their organizations. This community of practice provides an opportunity for sharing strategies and recent developments in the fields of:

• values and ethics
• disclosure of wrongdoing
• reprisal protection
• conflict of interest resolution

The community of practice activities include hosting meetings of the Internal Disclosure Working Group and the Interdepartmental Network of Values and Ethics practitioners. These meetings allow for discussion and collaboration on:

• managing a healthy workplace culture
• ethical leadership
• managing ethical risks
• promoting integrity within the public sector

International engagement

In 2022–23, OCHRO continued to collaborate with international bodies and organizations to promote global integrity and address corruption. Through these international engagements, OCHRO stays updated and involved in global activities, research and sharing of knowledge on integrity, accountability, anti-corruption, and best practices on disclosure regimes around the world. OCHRO’s involvement also allows for promoting Canada’s practices, approaches and strategies. International engagements that occurred during the 2022–23 fiscal year included Canada’s participation in the Organisation for Economic Co-operation and Development (OECD) Working Party of Senior Public Integrity Officials, through which OCHRO contributes to strengthening public sector governance and safeguarding the integrity of public policy-making.

A.1 Disclosure activity from 2018–19 to 2022–23

A.2 Organizations reporting activity under the Act in 2022–23

A.3 Organizations that reported a finding of wrongdoing under the Act, 2022–23^{Footnote 6}

A.4 Organizations that reported no disclosure activities in 2022–23

1. Atlantic Canada Opportunities Agency
2. Atlantic Pilotage Authority Canada
3. Bank of Canada
4. Business Development Bank of Canada
5. Canada Council for the Arts
6. Canada Development Investment Corporation
7. Canada Economic Development for Quebec Regions
8. Canada Energy Regulator (previously National Energy Board)
9. Canada Infrastructure Bank
10. Canada Mortgage and Housing Corporation
11. Canada Pension Plan Investment Board
12. Canada Science and Technology Museum
13. Canadian Air Transport Security Authority
14. Canadian Broadcasting Corporation (CBC) / Radio-Canada
15. Canadian Centre for Occupational Health and Safety
16. Canadian Commercial Corporation
17. Canadian Human Rights Commission
18. Canadian Institutes of Health Research
19. Canadian Museum for Human Rights
20. Canadian Museum of History and Canadian War Museum
21. Canadian Northern Economic Development Agency
22. Canadian Space Agency
23. Canadian Transportation Agency
24. Civilian Review and Complaints Commission for the Royal Canadian Mounted Police
25. Correctional Investigator Canada, The
26. Courts Administration Service
27. Defence Construction Canada
28. Destination Canada
29. Elections Canada
30. Farm Products Council of Canada
31. Federal Bridge Corporation Limited, The
32. Federal Economic Development Agency for Southern Ontario
33. Financial Consumer Agency of Canada
34. Financial Transactions and Reports Analysis Centre of Canada
35. Great Lakes Pilotage Authority Canada
36. Immigration and Refugee Board of Canada
37. Impact Assessment Agency of Canada
38. Indian Oil and Gas Canada
39. Infrastructure Canada
40. International Joint Commission (Canadian Section)
41. Invest in Canada Hub
42. Laurentian Pilotage Authority Canada
43. Library and Archives Canada
44. Marine Atlantic Inc.
45. Military Police Complaints Commission of Canada
46. National Arts Centre Corporation
47. National Battlefields Commission, The
48. National Gallery of Canada
49. Natural Sciences and Engineering Research Council of Canada
50. Office of the Auditor General of Canada
51. Office of the Commissioner for Federal Judicial Affairs Canada
52. Office of the Director of Public Prosecutions
53. Office of the Information Commissioner of Canada
54. Office of the Public Sector Integrity Commissioner of Canada
55. Office of the Secretary of the Governor General
56. Office of the Superintendent of Financial Institutions Canada
57. Pacific Economic Development Canada
58. Pacific Pilotage Authority Canada
59. Patented Medicine Prices Review Board Canada
60. Prairies Economic Development Canada
61. Public Prosecution Service of Canada
62. Public Safety Canada
63. Public Sector Pension Investment Board
64. Public Service Commission of Canada
65. Seaway International Bridge Corporation
66. Social Sciences and Humanities Research Council of Canada
67. Statistical Survey Operations
68. Supreme Court of Canada
69. Treasury Board of Canada Secretariat
70. Women and Gender Equality Canada

A.5 Organizations that do not have a senior officer for disclosure of wrongdoing that declared an exception under subsection 10.4 of the Act

1. Administrative Tribunal Support Services of Canada
2. Canada Lands Company Limited
3. Canadian Dairy Commission
4. Canadian Intergovernmental Conference Secretariat
5. Canadian Museum of Immigration at Pier 21
6. Canadian Race Relations Foundation
7. Copyright Board Canada
8. Freshwater Fish Marketing Corporation
9. Military Grievances External Review Committee
10. National Film Board
11. Office of the Commissioner of Lobbying of Canada
12. Office of the Commissioner of Official Languages
13. Office of the Privacy Commissioner of Canada
14. Polar Knowledge Canada
15. RCMP External Review Committee
16. Telefilm Canada
17. Transportation Safety Board of Canada

Table B1: percentages of positive answers to three questions in the 2022 PSES, by province, territory and the National Capital Region

Table B2: percentages of positive answers to three questions in the 2022 PSES, by organizational mandate and the public service overall

Table B3: percentages of positive answers to three questions in the 2022 PSES, by employment community

Figure B6 - Text version

Year	Gender-diverse people	Indigenous peoples	Persons with disabilities	Women	Public service
2018	30%	25%	32%	16%	15%
2019	29%	22%	29%	14%	14%
2020	21%	18%	23%	11%	11%
2022	23%	18%	20%	10%	11%

Figure B7 - Text version

Racial Groups	Agree (%)
East/Southeast Asian	7%
South Asian	8%
Racialized, non-Indigenous population	9%
Latino, Latina or Latinx	10%
Middle Eastern	10%
Non-racialized, non-Indigenous population	10%
White	10%
Black	11%
Racialized group not included elsewhere	13%
Multiple racialized groups	15%

Figure B8 - Text version

Year	Gender-diverse people	Indigenous peoples	Persons with disabilities	Women	Public service
2018	23%	15%	25%	8%	8%
2019	20%	14%	23%	8%	8%
2020	20%	12%	19%	7%	7%
2022	24%	13%	17%	7%	8%

Figure B9 - Text version

Racial Groups	Agree (%)
East/Southeast Asian	6%
Non-racialized, non-Indigenous population	6%
White	6%
South Asian	7%
Latino, Latina or Latinx	9%
Racialized, non-Indigenous population	9%
Middle Eastern	10%
Black	11%
Racialized group not included elsewhere	12%
Multiple racialized groups	14%

Other relevant terms

allegation of wrongdoing

The communication of a potential instance of wrongdoing as defined in section 8 of the Act. The allegation must be made in good faith, and the person making it must have reasonable grounds to believe that it is true.

disclosure

The provision of information by a public servant to their immediate supervisor or to a senior officer for disclosure of wrongdoing that is made in good faith and includes one or more allegations of possible wrongdoing in the public sector, in accordance with section 12 of the Act.

disclosure that was acted upon (admissible disclosure)

An allegation received in a disclosure where action, including preliminary analysis, fact-finding and investigation, was taken to determine whether wrongdoing occurred and where that determination was made during the reporting period.

disclosure that was not acted upon (inadmissible disclosure)

An allegation received in a disclosure for which the designated senior officer for disclosure of wrongdoing determined that the definition of wrongdoing under the Act was not met or had to be referred to another process or required no further action.

general enquiry

An enquiry about procedures established under the Act or about possible wrongdoings, not including actual disclosures.

investigation

A formal investigation triggered by a disclosure. An investigation may look into one or more allegations that result from a disclosure of possible wrongdoing.