DAOD 7023-1, Defence Ethics Programme

1. Introduction

Date of Issue: 2001-06-26

Date of Last Modification: 2015-02-17

Application: This DAOD is a directive that applies to employees of the Department of National Defence (DND employees) and an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF members).

Approval Authority: Chief of Review Services (CRS)

Enquiries: Director Defence Ethics Programme (DDEP)

2. Overview

General

2.1 The Defence Ethics Programme (DEP) provides a comprehensive framework to assist DND employees and CAF members in maintaining the highest ethical standards. In order to work effectively together, the DND and the CAF must operate from ethical principles, values and expected behaviours that provide a common basis for all DND employees and CAF members, while respecting the terms and conditions of employment of DND employees and the terms of service of CAF members. The DEP also provides direction, guidance and support to DND employees and CAF members to foster ethical practices in the workplace and during operations.

2.2 The DEP is a values-based ethics programme that considers the unique circumstances and requirements of the DND and the CAF. The defence values and ethics are set out in the Department of National Defence and Canadian Forces Code of Values and Ethics (DND and CF Code of Values and Ethics) and its related Statement of Defence Ethics, both of which are consistent with principles, values and expected behaviours contained in the Treasury Board Values and Ethics Code for the Public Sector and in A-PA-005-000/AP-001, Duty with Honour: The Profession of Arms in Canada.

2.3 The values-based approach places importance on core principles and values and uses them as standards for professional conduct. The emphasis is on behaviour requirements rather than merely focusing on compliance with rules.

2.4 The DND and CF Code of Values and Ethics includes provisions with respect to conflict of interest, post-employment, civil employment and outside activities, the acceptance of gifts, hospitality and other benefits, as well as public solicitations, sponsorships and donations. The DAOD 7021 series sets out detailed policies and instructions in these areas for DND employees and CAF members.

3. Defence Ethics Programme

Objectives

3.1 The objectives of the DEP are to:

  1. foster an ethical culture within the DND and the CAF;
  2. establish and maintain a framework that effectively supports the desired ethical culture and is aligned with the values and ethics for the public sector set out in the Values and Ethics Code for the Public Sector and the Treasury Board Policy on Conflict of Interest and Post-Employment;
  3. develop, implement and maintain the DND and CF Code of Values and Ethics, and ensure that it is consistent with the Values and Ethics Code for the Public Sector and with the military ethos in A-PA-005-000/AP-001;
  4. provide a management structure with a clear set of goals and sufficient resources; and
  5. establish mechanisms to assist DND employees and CAF members to raise, discuss and resolve ethical issues.

Elements

3.2 The DEP consists of the following elements:

  1. the DND and CF Code of Values and Ethics and its related Statement of Defence Ethics, which clearly communicate and provide direction and guidance on defence values and ethics and set a standard of expected behaviours;
  2. the Department of National Defence and Canadian Forces Ethics Plan (DND and CF Ethics Plan), which provides guidance on the mechanisms to oversee and evaluate the effectiveness of the DEP;
  3. a leadership commitment from senior DND management and CAF commanders to the DEP;
  4. the means for the assessment and management of organizational ethical risks and for the handling of ethics cases;
  5. a strategy to address incentives, programme awareness, ethics training, self-learning, discussion and open dialogue;
  6. a range of tools to assist DND employees and CAF members in recognizing ethical situations and making ethical decisions;
  7. a safe and flexible range of options to voice concerns or to provide an ethical voice, taking into consideration varying ethical situations and circumstances;
  8. a range of measures to provide prompt resolution of ethical concerns, taking into consideration varying situations and circumstances;
  9. an oversight mechanism that includes performance measurement;
  10. a programme improvement mechanism to enact programme changes as required;
  11. an Ethics Advisory Board (EAB); and
  12. periodic defence ethics surveys.

3.3 The EAB is established by the CRS, and consists of persons appointed as level one (L1) ethics coordinators by each L1 advisor and others who may be designated by the CRS.

4. Consequences

Consequences of Non-Compliance

4.1 Non-compliance with this DAOD may have consequences for both the DND and the CAF as institutions, and for DND employees and CAF members as individuals. Suspected non-compliance will be investigated. The nature and severity of the consequences resulting from actual non-compliance will be commensurate with the circumstances of the non-compliance.

Failure by DND Employees to Comply

4.2 A DND employee who fails to comply with this DAOD, the Values and Ethics Code for the Public Sector or the DND and CF Code of Values and Ethics may be subject to appropriate disciplinary action, up to and including termination of employment under DAOD 5016-0, Standards of Civilian Conduct and Discipline.

Note – In respect of the compliance of DND employees, see the Treasury Board Framework for the Management of Compliance for additional information.

Failure by CAF Members to Comply

4.3 A CAF member who fails to comply with this DAOD or the DND and CF Code of Values and Ethics may be subject to one or more of the following:

  1. change of duties;
  2. release or other administrative action as set out in the AR (Administrative Review) Decisions paragraph of DAOD 5019-2, Administrative Review; or
  3. disciplinary action under the National Defence Act.

5. Responsibilities

Responsibility Table

5.1 The following table identifies the responsibilities associated with this DAOD:

The …is or are responsible for …

CRS

  • administering, maintaining, monitoring and regularly evaluating the DEP, and overseeing its implementation and effectiveness in the DND and the CAF in accordance with the performance measurement requirements set out in the DND and CF Ethics Plan;
  • integrating the DND and CF Code of Values and Ethics into the DEP and ensuring that the DEP is consistent with the Values and Ethics Code for the Public Sector and the military ethos in A-PA-005-000/AP-001;
  • implementing and maintaining the DND and CF Ethics Plan;
  • reviewing the DND and CF Code of Values and Ethics and recommending changes as required to the Deputy Minister (DM) and the Chief of the Defence Staff (CDS);
  • chairing the EAB personally, or through an authorized representative;
  • providing overall DEP training and awareness support to other L1 advisors;
  • providing a center of expertise and guidance on the DEP for senior DND management and CAF commanders and other clients;
  • ensuring that appointed L1 ethics coordinators are able to support their respective L1 advisors in implementing the DEP;
  • reviewing the ethics implementation plans of other L1 advisors to ensure that DEP requirements, including the DND and CF Ethics Plan, are incorporated in the plans, that appropriate performance indicators have been established, and that follow-up analysis is provided against those performance indicators;
  • maintaining liaison with the persons responsible for all significant collateral DND and CAF programmes and organizations having any impact on ethical issues to ensure consistency with the DEP;
  • reviewing and analyzing business plans and training programmes for the inclusion of DEP requirements;
  • providing for the ongoing awareness and promotion of the DEP;
  • maintaining liaison with ethics experts in other government departments, allied countries and the private sector;
  • providing DND employees and CAF members with advice on issues relating to defence values and ethics and assisting them with the resolution of these issues when required; and
  • reminding DND employees and CAF members periodically about their ethical responsibilities.

L1 advisors

  • ensuring appropriate oversight and monitoring of the implementation of the DEP in their organization;
  • implementing and maintaining an ethics plan within their organization that aligns with the DND and CF Ethics Plan;
  • appointing an L1 ethics coordinator for their organization and ensuring that level two ethics advisors are appointed as appropriate;
  • reporting annually to the CRS, in accordance with the performance measurement requirements in the DND and CF Ethics Plan, on the implementation and the effectiveness of the DEP within their organization;
  • ensuring compliance by DND employees and CAF members with the DND and CF Code of Values and Ethics;
  • ensuring that periodic dialogue on defence ethics and values occurs in their organization; and
  • ensuring the development and implementation of communication plans in support of the DEP.

Chief of Military Personnel and the Assistant Deputy Minister (Human Resources – Civilian)

  • in addition to their other L1 advisor responsibilities:
    • ensuring that the ethical principles and values of the DND and CF Code of Values and Ethics are included in career training programmes in their areas of responsibility;
    • conducting periodic defence ethics surveys; and
    • providing, in the case of the Chief of Military Personnel, chaplain and health services representation to the EAB, in addition to an L1 ethics coordinator; and
  • ensuring that applicable social and personnel programmes are consistent with the ethical principles and values set out in the DND and CF Code of Values and Ethics.

EAB

  • assisting the CRS in the implementation, coordination and monitoring of the DEP;
  • communicating DEP status and issues to the CRS, DM and CDS as required;
  • providing input on the development of DEP policies, instructions, guidance and procedures;
  • identifying the need for specialized ethics tools, documents and standards;
  • reviewing and advising on the development of the performance indicators; and
  • identifying improvement opportunities and developing appropriate action plans for the DEP.
DDEP
  • notifying the CRS of any non-compliance with this DAOD.

L1 ethics coordinators

  • developing and seeking L1 advisor approval of the ethics plan for their organization;
  • administering the L1 advisor ethics plan approved for their organization;
  • having direct access to their L1 advisor to report on the effectiveness of the ethics plan of their organization and recommending changes to the plan as appropriate;
  • including a requirement in the ethics plan for an ethics component for applicable training, orientation and educational programmes in their organization;
  • having direct access to their respective L1 advisor to provide advice on defence values and ethics;
  • providing guidance, direction and input on the DEP implementation in their organization;
  • providing advice to personnel within their organization on defence values and ethics;
  • monitoring and reporting on the accomplishment of objectives in the L1 advisor ethics plan of their organization;
  • working closely with public affairs officers to incorporate material on defence values and ethics in internal communications, including the dissemination of information on policies, issues and trends;
  • ensuring an ethics component is incorporated into business plans to provide adequate support for the implementation of the DEP within their organization; and
  • participating as a member of the EAB.

managers, supervisors and commanding officers

  • ensuring compliance by DND employees and CAF members with the DND and CF Code of Values and Ethics;
  • providing defence values and ethics awareness and dialogue opportunities for DND employees and CAF members;
  • ensuring understanding of the unique ethical risks and mitigation requirements within their areas of responsibility, for example, for procurement, financial and administrative processes; and
  • ensuring that the DND and CF Code of Values and Ethics is drawn to the attention of DND employees and is made available to them, and that notification of the DND and CF Code of Values and Ethics is provided to CAF members in accordance with QR&O article 1.21, Notification by Receipt of Regulations, Orders and Instructions.

DND employees

  • ensuring that they comply as a condition of their employment with the Values and Ethics Code for the Public Sector and the DND and CF Code of Values and Ethics.

CAF members

  • ensuring that they comply with the DND and CF Code of Values and Ethics.

6. References

Acts, Regulations, Central Agency Policies and Policy DAOD

Other References