governance manual - neb - 14 december 2016 · pdf file6.5 service on a panel of the board ......
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Revision: 14 December 2016
GOVERNANCE MANUAL – NEB REVIEW OF ENTIRE GOVERNANCE MANUAL IS PENDING
THE NATIONAL ENERGY BOARD
GOVERNANCE MANUAL
ii
REVISION LOG
Revision Date Revision Details
27 March 2013 Original version
8 October 2015 To incorporate Code of Conduct for Members and Temporary Members
16 December 2015
Page 35, 4.7 updated
Page 39, Part II updated
18 December 2015
Page 46 updated
Page 47 updated
18 March 2016 Added Energy Safety and Security Act to the Additional Legislation; changed ‘Board Meeting’ to ‘Board Business Meeting’ and added a description; removed reference to Members’ Meetings as these are no longer held as separate meetings; updated the document to reflect the organizational structure in March 2016.
6 May 2016 Changed “Chair and CEO” to “Chair” under Part I – Chair Expectations Page 30 – 34.
26 August 2016 Updated the organization chart.
14 December 2016
Updated Appendix A, NEB Act, s. 3(4), Temporary Members
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TABLE OF CONTENTS AND GLOSSARY
Contents
Revision Log .......................................................................................................................................... ii
1 Introduction ........................................................................................................................................ 7
2 NEB Overview and Governance Framework ......................................................................... 7
2.1 Strategic Plan ..................................................................................................................................... 7
2.2 Primary Statutory Responsibilities ........................................................................................... 7
2.2.1 Regulatory .................................................................................................................. 8
2.2.2 Adjudicatory .............................................................................................................. 8
2.2.3 Advisory ...................................................................................................................... 8
2.3 Organizational Responsibilities .................................................................................................. 9
2.4 Accountability ..................................................................................................................................... 9
2.5 NEB Structure ..................................................................................................................................... 9
2.5.1 Board ......................................................................................................................... 10
2.5.2 Chair and CEO .......................................................................................................... 10
2.5.3 Vice-Chair ................................................................................................................. 11
2.5.4 Members and Temporary Members ................................................................... 11
2.5.5 COO ............................................................................................................................ 11
2.5.6 Secretary .................................................................................................................. 11
2.5.7 Staff ............................................................................................................................ 12
2.6 Governance Framework .............................................................................................................. 12
2.6.1 Culture, Vision and Values .................................................................................... 12
2.6.2 Roles and Responsibilities .................................................................................... 13
2.6.3 Making Decisions and Recommendations ......................................................... 13
2.6.4 Risk Management ................................................................................................... 13
2.6.5 Accountability ......................................................................................................... 14
3 Board Terms of Reference .......................................................................................................... 15
3.1 Introduction ..................................................................................................................................... 15
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3.2 Regulatory Responsibilities ....................................................................................................... 15
3.2.1 Duties and Responsibilities .................................................................................. 15
3.2.2 Authorization of the Chair and CEO .................................................................... 15
3.2.3 Processes .................................................................................................................. 16
3.3 Organizational Responsibilities ............................................................................................... 16
3.4 Accountability .................................................................................................................................. 17
4 Chair and CEO Position Description ....................................................................................... 17
4.1 Appointment .................................................................................................................................... 17
4.2 Recruitment, Selection and Appointment Process ........................................................... 17
4.3 Role ...................................................................................................................................................... 18
4.4 Accountability .................................................................................................................................. 18
4.5 Duties and Responsibilities........................................................................................................ 18
4.5.1 Strategy ..................................................................................................................... 19
4.5.2 Leadership ............................................................................................................... 19
4.5.3 Operations................................................................................................................ 19
4.5.4 Legal Compliance .................................................................................................... 19
4.5.5 Financial and Risk Management .......................................................................... 19
4.5.6 Human Resources ................................................................................................... 20
4.5.7 External Relations .................................................................................................. 20
4.6 Compensation .................................................................................................................................. 20
5 Vice-Chair Position Description ............................................................................................... 20
5.1 Appointment .................................................................................................................................... 20
5.2 Recruitment, Selection and Appointment Process ........................................................... 20
5.3 Role ...................................................................................................................................................... 20
5.4 Accountability .................................................................................................................................. 20
5.5 Duties and Responsibilities........................................................................................................ 21
5.6 Compensation .................................................................................................................................. 21
6 Member and Temporary Member Position Description ................................................ 21
6.1 Introduction ..................................................................................................................................... 21
6.2 Appointment Process ................................................................................................................... 21
6.3 Roles .................................................................................................................................................... 21
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6.4 Accountability .................................................................................................................................. 22
6.5 Service on a Panel of the Board ................................................................................................ 22
6.6 Board Activity .................................................................................................................................. 23
6.7 Exercise Good Judgment ............................................................................................................. 23
6.8 Relationships with Staff............................................................................................................... 24
6.9 Member and Temporary Member Liaison ........................................................................... 24
6.10 External Communication ............................................................................................................ 24
6.11 Attendance ........................................................................................................................................ 24
6.12 Speeches and Papers by Members and Temporary Members .................................... 24
6.13 Orientation and Professional Development ........................................................................ 24
6.14 Seeking Elected Office .................................................................................................................. 24
6.15 End of Term ...................................................................................................................................... 25
6.16 Compensation .................................................................................................................................. 25
7 Member and Temporary Member Profile ............................................................................ 25
7.1 Introduction ..................................................................................................................................... 25
7.1.1 Personal Characteristics ....................................................................................... 25
7.1.2 Personal Competencies ......................................................................................... 26
7.1.3 Organizational Competencies .............................................................................. 27
7.1.4 Other Considerations ............................................................................................. 27
8 Member and Temporary Member Orientation and Professional Development .. 27
8.1 Introduction ..................................................................................................................................... 27
8.2 Goals .................................................................................................................................................... 27
8.3 Written Material ............................................................................................................................. 28
8.4 Process for New Members and Temporary Members .................................................... 29
8.5 Professional Development ......................................................................................................... 29
9 Code of Conduct for Members and Temporary Members ............................................. 29
INTRODUCTION ..................................................................................................................................... 29
PART I – CHAIR’S EXPECTATIONS ..................................................................................................... 30
1. Expectations related to Values ............................................................................................................. 30
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If the meeting or contact with an external party is approved, Members and Temporary Members must comply with the following expectations in respect of their conduct: ..................................................................................................................................... 32
PART II – LEGAL REQUIREMENTS ..................................................................................................... 34
1. Conflict of Interest ...................................................................................................................................... 34
i) National Energy Board Act (NEB Act) .............................................................................. 34
ii) Conflict of Interest Act (COIA) .......................................................................................... 35
iii) “Ethical and Political Activity Guidelines for Public Office Holders”, which is Annex A of “Open and Accountable Government - 2015” ............................................... 37
iv) Principles of Natural Justice ........................................................................................... 38
v) Lobbying Act ........................................................................................................................ 39
2. Other Requirements .................................................................................................................................. 41
i) Terms and Conditions of Employment for Full-Time GIC Appointees ..................... 41
ii) Public Service Employment Act (PSEA) ........................................................................... 43
10 Strategic Planning Process ......................................................................................................... 50
10.1 Introduction ..................................................................................................................................... 50
10.2 The Strategic Planning Framework ........................................................................................ 50
10.3 Performance Reporting ............................................................................................................... 51
GLOSSARY
“Additional Legislation” includes the Canada Oil and Gas Operations Act, the Energy Safety and Security Act, the Canada Petroleum Resources Act, the Canadian Environmental Assessment Act and any other legislation which authorizes or requires the NEB to act.
“Board” means the National Energy Board established pursuant to the National Energy Board Act and is comprised of the Members and Temporary Members.
• “Member” means a person appointed by Governor in Council to be a member of the National Energy Board pursuant to s. 3 of the National Energy Board Act.
• “Temporary Member” means a person appointed as a temporary member of the NEB pursuant to s. 4 of the NEB Act to carry out such duties as may be assigned by the Chair and CEO and permitted by the terms of the Governor in Council appointment.
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“Board Business Meeting” means Board Business meetings convened to discuss and deal with items that are of sufficient importance and require involvement, or awareness of the full Board and the Board’s organizational responsibilities. Non-urgent regulatory and non-regulatory decisions are made here. In addition, the Board considers Members Items for Discussion that are of sufficient importance and require serious discussion, involvement or awareness of all Board Members.
“Chair and CEO” means the Chair and Chief Executive Officer of the NEB designated by the Governor in Council pursuant to s. 6 of the NEB Act.
“Conflict of Interest Act” means Part 1 of the Federal Accountability Act (cited as the Conflict of Interest Act)
“Duty Panel” means a panel designated by the Chair and CEO to handle applications or other matters coming before the Board that are routine, do not contain options, follow an established analysis process and are unlikely to require discussion among the Members and Temporary Members.
“Governor in Council (GIC)” The Governor General of Canada acting by, and with the advice and consent of, the Queen’s Privy Council for Canada (i.e., Cabinet).
“Member Liaison” means a Member or a Temporary Member designated by the Chair and CEO to liaise with staff in relation to a particular Board initiative or matter that has been assigned to staff for preparatory work and recommendation back to the Board. (Role of Board Member Liaisons)
“Minister” means the federal Minister of Natural Resources.
“NEB” means the National Energy Board.
“NEB Act” means the National Energy Board Act as amended from time to time.
“Panel” means a panel of Members and/or Temporary Members assigned by the Chair and CEO to deal with a matter coming before the Board.
“Quorum” means three Members and/or Temporary Members of the Board.
“Record of Decision” means the written document evidencing a decision of the Board.
“Senior Management Committee” means the senior executive team at the Board.
“Staff” means the staff of the National Energy Board.
“Strategic Plan” means a document that specifies the Board’s Purpose, Vision, Goals, Values and Strategies.
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“Treasury Board” means the Treasury Board of Canada.
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1 INTRODUCTION
The National Energy Board (“NEB” or “Board”) is an independent quasi-judicial federal body established under the National Energy Board Act (“NEB Act”) that promotes safety and security, environmental protection and efficient energy infrastructure and markets in the Canadian public interest within the mandate set by Parliament for the regulation of pipelines, energy development and trade.
The Board is comprised of up to nine members and as many temporary members as are required, all appointed by the Governor in Council. The Board employs staff to assist it in fulfilling its statutory mandate. The Board is accountable to Parliament through the Minister of Natural Resources (the “Minister”). The Board’s statutory duties are adjudicatory, advisory and regulatory in nature. In addition, Members and Temporary Members, together with the Chair and CEO, set the strategic priorities of the NEB in the Board’s Strategic Plan.
The NEB is committed to performing at a high level and fulfilling its responsibilities to its stakeholders. The NEB’s activities are founded on the fundamental values of Accountability, Integrity and Regulatory Leadership.
The purpose of the Governance Manual is to provide Members and Temporary Members with a better understanding of their roles under the NEB Act and other legislation. In cases where there is a conflict between the guidance provided in the Governance Manual and the provisions of the NEB Act or other applicable legislation, the legislation shall take precedence.
The Governance Manual is a living document. It will be updated from time to time as required by legislative changes and as the Board works with, and refines, its policies and procedures.
2 NEB OVERVIEW AND GOVERNANCE FRAMEWORK
2.1 STRATEGIC PLAN
The Board is guided in all of its actions by its Strategic Plan. (Purpose, Vision, Goals, Values and Strategies)
2.2 PRIMARY STATUTORY RESPONSIBILITIES
The NEB’s main responsibilities are established under the NEB Act. The NEB has other responsibilities assigned to it pursuant to certain additional legislation (the “Additional Legislation”), including regulatory responsibilities under the Canada Oil and Gas Operations Act, the Energy Safety and Security Act and under certain provisions of the Canada Petroleum Resources Act for oil and gas exploration and activities on frontier
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lands not otherwise regulated under joint federal/provincial accords, as well as under the Canadian Environmental Assessment Act. The NEB has responsibility under the Official Languages Act to provide services in both official languages.
2.2.1 Regulatory
Under various provisions of the NEB Act the Board and the Governor in Council each have the power to make regulations. The Board may assist with the development of, and is also responsible for enforcing, certain regulations under Additional Legislation. In addition, the NEB issues guidance documents with respect to:
• The construction and operation of pipelines that cross international or provincial borders, as well as tolls and tariffs on these facilities;
• The construction and operation of international power lines and designated interprovincial power lines; and
• Natural gas imports and exports, oil, natural gas liquids and electricity exports, and some oil and gas exploration on frontier lands, particularly in Canada’s North and certain offshore areas.
2.2.2 Adjudicatory
During the course of administering the regulatory schemes for which it is accountable, the NEB acts as a quasi-judicial tribunal, is a court of record with all the powers, rights and privileges vested in such a court, and exercises adjudicatory functions with respect to:
• Applications that come before it;
• Enforcement proceedings; and
• Other matters as prescribed by legislation.
Notwithstanding the above, the NEB makes recommendations to the Minister for certificate applications under Section 52 of the NEB Act and the GIC decides whether or not to approve the application.
2.2.3 Advisory
The NEB, by collecting and analyzing information through regulatory processes and by monitoring, provides information about various aspects of Canadian energy markets and other matters as prescribed by legislation.
The NEB Act requires that the Board keep under review matters relating to all aspects of energy supply, production, development and trade that fall within the jurisdiction of the federal government.
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Upon request of the Minister, the Board also prepares studies and reports with respect to energy matters, sources of energy and the safety and security of pipelines and international power lines.1
Studies and reports of the Board made under Part II of the NEB Act may be made public with the approval of the Minister.
2.3 ORGANIZATIONAL RESPONSIBILITIES
As part of their regulatory responsibilities, Members and Temporary Members, together with the Chair and CEO, set the goals of the NEB as an organisation through its Strategic Plan.
2.4 ACCOUNTABILITY
The NEB is accountable to Parliament. The NEB annually provides an Annual Report to Parliament, through the Minister. Excellence in governance is critically important to achieve high performance and to fulfill the NEB’s duties to its stakeholders. Fundamental principles of accountability, integrity and transparency are the underpinnings of the NEB governance practices and will continue to guide the NEB in the work it does in the Canadian public interest.
2.5 NEB STRUCTURE
The NEB is established as a Board consisting of up to nine Members appointed by the Governor in Council. Each Member is appointed for a term of seven years and is eligible for re-appointment for a term of seven years or less. Members serve during good behaviour and may only be removed by the Governor in Council on address of the Senate and House of Commons. 2
Any number of Temporary Members may also be appointed by the Governor in Council to perform such duties as assigned by the Chair and CEO and permitted by the terms of the Governor in Council appointment.3 Temporary Members are typically appointed to add capacity and specific expertise to the Board, on an “as required” basis.
The NEB Act provides for the designation by the Governor in Council of a Chair and CEO who also serves as the Chief Executive Officer (the “Chair and CEO”) and a Vice-Chair.4
1 s. 27, NEB Act 2 s. 3, NEB Act 3 s. 4, NEB Act 4 s. 6, NEB Act
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The Board’s work is supported by staff which includes a Chief Operating Officer (the “COO”), an Executive Vice President, Regulatory, an Executive Vice President, Business Integration, an Executive Vice President, Legal and General Counsel, a Secretary of the Board and a Vice President, Strategic Communications. The NEB operations are divided into nine units (Board Structure): Applications, Operations, Strategy and Analysis, Technical Excellence team, People and Corporate Solutions, Enterprise Business Services, Corporate Performance team, Secretary and Regulatory Services, and Legal Services Unit. The role of the Board, the Chair and CEO, the Vice-Chair, individual Members and Temporary Members, the COO, the Secretary and staff are summarized below.
2.5.1 Board
The Board’s main role is to carry out the regulatory, adjudicatory and advisory responsibilities assigned to it under the NEB Act and Additional Legislation.
Details of the Board’s responsibilities and processes can be found in the Board Terms of Reference in Section 3 hereof.
2.5.2 Chair and CEO
The Chair and CEO exercises a combined role as follows:
a) As the Chair and CEO of the Board, the individual provides leadership in coordinating the Board’s activities and fosters relationships between Members/Temporary Members and staff, and among Members/Temporary Members; sets time limits for applications under Sections 52, 58 and 58.16 of the NEB Act and takes measures to ensure such time limits are met; apportions work among members; assigns panels and may issue directives to members to ensure applications are dealt with in a timely manner.
b) As a Member, the Chair and CEO participates in the Board’s decision-making processes;
c) As the Chair, presides over the work of the Board during Board Business Meetings; and
d) As CEO, the Chair and CEO serves as the chief executive officer of the NEB, having overall responsibility for the general management of NEB staff and operations. The Chair and CEO does this by leading and managing the NEB through the development and implementation of strategies and policies and the management of its human and financial resources, and by overseeing the NEB’s operations.
The Chair and CEO Position Description details the role and responsibilities of the Chair and CEO. (See Section 4 hereof)
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2.5.3 Vice-Chair
If the Chair and CEO is absent or unable to act or if the office is vacant, the Vice-Chair has all the powers and functions of the Chair and CEO.5 The Vice-Chair Position Description details the role and responsibilities of the Vice-Chair.
2.5.4 Members and Temporary Members
Members and Temporary Members serve in the following capacities:
a) They serve as independent adjudicators on applications, enforcement and other matters brought before or initiated by the Board;
b) They participate in the Board’s regulatory, reporting and advisory activities; and
c) They participate in setting the strategic priorities of the NEB.
The Member and Temporary Member Position Description details the role and responsibilities of individual members.
2.5.5 COO
The COO leads the NEB staff and is accountable for staff’s overall capability and readiness to meet the NEB’s strategic and operational needs. The COO is accountable to the Chair and CEO.
2.5.6 Secretary
The Secretary is the official voice of the Board in terms of all regulatory correspondence, and is responsible under the NEB Act for certification of various regulatory documents. The Secretary recommends to the Chair and CEO any panels to be assigned by the Chair and CEO to decide matters on behalf of the Board. The Secretary schedules, organizes, and develops draft agendas for the Board Business meetings, is the custodian of decision minutes and correspondence, and is responsible for the appropriate flow of documentation in support of the Board Business meetings. The Secretary has been designated the Official Languages Act Champion. Unlike other executive positions at the Board, Section 9 of the NEB Act specifically requires the Board to have a Secretary.
5 subs. 6(3), NEB Act
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2.5.7 Staff
The Chair and CEO has been delegated authority for staffing from the Public Service Commission.
2.6 GOVERNANCE FRAMEWORK
Governance within a quasi-judicial board needs to take into account the unique role of Members and Temporary Members, and recognize their independence. Through the Governor in Council appointment process, each Member is initially appointed for a seven-year term, and Temporary Members are appointed on an as required basis, with varying terms. Once appointed, all Members and Temporary Members work together in a collegial manner, yet maintain their independence with respect to decision-making. Members and Temporary Members also need support from NEB staff to carry out objective and timely decision-making.
The five principles of excellent governance that have been adopted by the NEB are:
• Culture, Vision and Values;
• Roles and Relationships;
• Decision-making;
• Risk Management; and
• Accountability.
2.6.1 Culture, Vision and Values
Organizational culture includes the written and unwritten rules that shape and reflect the way an organization operates. It incorporates a shared belief in the values and vision of the organization. The NEB’s culture is established and maintained by the following.
a) The Board, in consultation and with support from the staff, articulates a clear vision and strategic plan for the NEB through a Strategic Plan, which is developed through a comprehensive and inclusive Strategic Planning Process.
b) The Member and Temporary Member Position Description describes duties and responsibilities.
c) Members and Temporary Members are governed by the Conflict of Interest Act and Section 3(4) of the NEB Act.
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d) The NEB provides new Members and Temporary Members with a comprehensive orientation program.
2.6.2 Roles and Responsibilities
Good governance requires clarity about the roles and responsibilities of all persons or entities involved in governance. The NEB has documented the roles and responsibilities of the Board, the Chair and CEO, Vice-Chair and Members and Temporary Members through the following documents:
a) The NEB Organizational Chart;
b) The Board Terms of Reference;
c) The Chair and CEO Position Description;
d) The Vice-Chair Position Description; and
e) The Member and Temporary Member Position Description.
2.6.3 Making Decisions and Recommendations
The NEB’s governance framework supports clear and transparent decision-making and recommendation-making processes.
a) With respect to its non-adjudicative decision-making, the Board follows established meeting and decision-making procedures. The Board’s meeting and non-adjudicative decision-making procedures are set out in the Board Terms of Reference. (See Section 3 hereof)
b) With respect to adjudicative decision-making (and making recommendations to the Minister for Section 52 certificate applications), the Board is bound by the statutory mandate contained in the NEB Act and the Additional Legislation, the rules of natural justice and the exercise of Member and Temporary Member discretion. To assist parties appearing before the NEB, the Board has issued the National Energy Board Rules of Practice and Procedure, 1995.
2.6.4 Risk Management
The NEB has established an approach to the identification, assessment, monitoring and management of risks.
a) As part of the strategic planning process, the Board reviews potential risks associated with the NEB’s strategic goals and objectives and ensures that staff has adequate plans in place to manage those risks.
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b) The Chair and CEO is accountable for the integrity of the NEB’s internal controls, financial and management systems, to identify the NEB’s principal risks, and to ensure the implementation of systems to manage these risks. The Chair and CEO’s responsibilities for risk management are contained in the Chair and CEO position description.
2.6.5 Accountability
The NEB is required to make all of its recommendations to the Minister and decisions in the public interest and is accountable to Parliament. The Board meets its accountability requirements by annually providing to Parliament, through the Minister, an Annual Report of the NEB’s activities for the preceding year.
The Chair and CEO, Board executives and staff may be requested to appear before committees of Parliament to account for the Board’s actions.
NEB ORGANIZATIONAL CHART
The following diagram sets out the NEB’s organization chart.
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3 BOARD TERMS OF REFERENCE
3.1 INTRODUCTION
The Board has two main areas of responsibilities. The Board carries out mandated regulatory and advisory functions under the NEB Act and the Additional Legislation. In addition, the Board has certain organizational responsibilities, including setting the strategic priorities of the NEB.
3.2 REGULATORY RESPONSIBILITIES
3.2.1 Duties and Responsibilities
The Board’s regulatory responsibilities include:
a) Making decisions and recommendations as required under the NEB Act and Additional Legislation;
b) Setting regulatory policy and recommend regulations to GIC within the parameters of its mandate;
c) Collecting and analyzing information about Canadian energy markets;
d) Conducting studies and providing advice to the Minister as requested; and
e) Approving and publishing an Annual Report on the activities of the NEB6.
3.2.2 Authorization of the Chair and CEO
Pursuant to section 14 of the NEB Act, from time to time, the Chair and CEO may authorize one or more Members or Temporary Members, either jointly or severally, to exercise any of the Board’s powers or to perform any of the Board’s duties and functions under the NEB Act, except those under subsection 45(3), sections 46, 47, 48, 52-54, 56, 58, 58.11, 58.14, 58.16, 58.32, 58.35, 58.37 and 129 and under Parts IV, VI , VII and IX.
Any power exercised or any duty or function performed by a Member or Members under this authorization is considered to have been exercised or performed by the Board.
Under section 15 of the NEB Act, where the Board requires work to be done to assist it in carrying out its responsibilities, the Chair and CEO “may authorize one or more of the Members and/or Temporary Members to report to the
6 s. 133, NEB Act
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Board on any question or matter arising in connection with the business of any application or proceeding before the Board, and the Member(s) and Temporary Member(s) so authorized have all the powers of the Board for the purpose of taking evidence or acquiring the necessary information for the purpose of making the report and the recommendations contained in it as to the decision or order of the Board to be made on the question or matter.“7
3.2.3 Processes
The Board typically meets weekly (and at other times as required) to deal with all matters requiring the Board to act on its regulatory responsibilities under the NEB Act and Additional Legislation (“Board Business Meetings”).
Board Business Meetings
At Board Business Meetings, the Board considers and decides on certain applications and other business coming before the Board and the Chair and CEO assigns Members or Temporary Members to handle other applications and Board business.
A quorum of the Board is three Members and/or Temporary Members.8
The Board has established adjudicative policies, procedures and practices to ensure that Board hearings are independent, effective and fair. The Board has issued the National Energy Board Rules of Practice and Procedure, 1995 to assist persons appearing before the Board.
A panel consisting of a minimum of three Members and/or Temporary Members may be assigned by the Chair and CEO to handle applications or other matters coming before the Board that are routine, do not contain options, follow an established analysis process and are unlikely to require discussion among the Members and Temporary Members (a “Duty Panel”). A decision of the Board may be made on these regulatory matters without a meeting if the Duty Panel signs a Record of Decision.
3.3 ORGANIZATIONAL RESPONSIBILITIES
Under the NEB Act, the Board is not responsible for supervising the management of the NEB. The Board participates in certain aspects of the NEB’s organizational activities including:
7 subs. 15(1), NEB Act 8 subs. 7(2), NEB Act
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a) Approving the NEB’s Strategic Plan, including the Vision, Purpose and Values;
b) Providing advice and support to the Chair and CEO with respect to the implementation of the Strategic Plan;
c) Participating in the identification of the NEB’s regulatory risks;
d) Providing advice to the Chair and CEO on the Statement of Merit Criteria for the selection of the Chief Operating Officer;
e) Being informed of significant corporate policies (e.g., Employee Code of Conduct);
f) Providing advice to the Chair and CEO on the NEB’s annual Departmental Performance Report submitted to Treasury Board; and
g) Approving the NEB’s Annual Report to Parliament.
The Board manages its own affairs by establishing and updating as required, practices and procedures for the effective functioning of the Board.
3.4 ACCOUNTABILITY
The NEB makes all of its decisions and recommendations having regard to the Canadian public interest and is accountable to Parliament through the Minister. The Board meets its accountability requirements by:
a) Approving an Annual Report of the NEB’s activities for the preceding year to be tabled in Parliament;
b) Providing notice to the public of the NEB’s major decisions and recommendations by way of making copies of all major NEB decisions and recommendations available in both official languages at the NEB head office and on its website (www.neb-one.gc.ca).
4 CHAIR AND CEO POSITION DESCRIPTION
4.1 APPOINTMENT
The Chair and CEO is a Member and designated as Chair and CEO by the Governor in Council.
4.2 RECRUITMENT, SELECTION AND APPOINTMENT PROCESS
The Chair and CEO is appointed by the Governor in Council.
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4.3 ROLE
Under the NEB Act, the Chair and CEO exercises a combined role as Chair and Chief Executive Officer of the NEB.9
As a Member, the Chair and CEO participates in the Board’s decision-making and recommendation processes.
4.4 ACCOUNTABILITY
The Chair and CEO is accountable for his or her performance to Parliament.
4.5 DUTIES AND RESPONSIBILITIES
The Chair and CEO has the following responsibilities:
a) Serves as a Member (refer to section 6);
b) Ensures compliance with the Financial Administration Act, Official Languages Act, Public Service Employment Act and all other applicable legislation;
c) Leads the development of practices and procedures to promote the efficient and effective functioning of the Board;
d) Apportions work among Members, assigns panels and authorizes Member(s) and/or Temporary Member(s) under sections 14 and 15 of the NEB Act;
e) Sets time limits for applications under sections 52, 58 and 58.16 of the NEB Act and takes measures to ensure such time limits are met;10
f) May issue directives to Members to ensure applications are dealt with in a timely manner as required;11
g) Approves schedule of the date, time and location of Board Business meetings;
h) Appoints Board Committee chairs and membership;
i) Approves the draft agendas for the Board Business meetings;
j) Chairs the Board Business meetings so that they are conducted in an efficient, effective and focused manner;
9 subs. 6(2), NEB Act 10 subs. 6(2.1), NEB Act 11 subs. 6(2.2), NEB Act
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k) Builds consensus and develops teamwork within the Board;
l) Promotes cohesion of direction and purpose at a policy and strategic level within the Board;
m) Keeps the Board up to date on all significant developments that affect its work and responsibilities;
n) Identifies key specialty areas to be considered in the recruitment of new Members and Temporary Members so that the Board has a relevant and broad base of knowledge and skills;
o) Assigns Member and Temporary Member liaison positions to internal advisory and consultative roles, as required (Role of Board Member Liaisons); and
p) Supports and mentors Members and Temporary Members as required.
4.5.1 Strategy
a) Leads the Board and staff in the development of a long term Strategic Plan and vision for the NEB; and
b) Oversees annual business plans and budgets consistent with the achievement of the NEB’s Strategic Plan and vision.
4.5.2 Leadership
a) Leads and manages NEB staff, through the Senior Management Committee;
b) Fosters NEB values throughout the organization; and
c) Fosters a decision-making culture within the NEB that promotes a commitment to safety, environmental excellence and economic efficiency.
4.5.3 Operations
Holds the COO and Executive Vice Presidents accountable for the operational policies that guide the staff of the NEB.
4.5.4 Legal Compliance
Oversees NEB compliance with all of its legal obligations.
4.5.5 Financial and Risk Management
a) Obtains and allocates resources consistent with the NEB’s Strategic Plan;
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b) Oversees the integrity of the NEB’s internal controls, financial and management systems; and
c) Leads a process of risk identification and management.
4.5.6 Human Resources
Oversees the NEB’s human resources policies.
4.5.7 External Relations
a) Acts as the primary spokesperson for the NEB;
b) Engages stakeholders on issues within the mandate of the NEB; and
c) Maintains a positive working relationship with all key stakeholders including all levels of government.
4.6 COMPENSATION
The Chair and CEO’s compensation is set by the Governor in Council. The Governor in Council makes its decision on compensation after receiving advice from the Advisory Committee on Senior Level Retention and Compensation.
5 VICE-CHAIR POSITION DESCRIPTION
5.1 APPOINTMENT
The Vice-Chair is a Member and designated as Vice-Chair by the Governor in Council.
5.2 RECRUITMENT, SELECTION AND APPOINTMENT PROCESS
The Vice-Chair is designated by the Governor in Council.
5.3 ROLE
The Vice-Chair, in addition to serving as a Member, supports the Chair and CEO in the leadership of the NEB and assists the Chair and CEO in carrying out his or her functions and duties.
5.4 ACCOUNTABILITY
The Vice-Chair is accountable for his or her performance to Parliament.
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5.5 DUTIES AND RESPONSIBILITIES
The Vice-Chair has the following responsibilities:
a) Serves as a Member (refer to section 6);
b) Exercises the Chair and CEO’s responsibilities should the office of the Chair and CEO become vacant or if the Chair and CEO is absent or unable to act for any reason;
c) Provides mentorship and coaching to other Members and Temporary Members, the Chief Operating Officer and other executives;
d) Represents the NEB externally at the request of the Chair and CEO; and
e) Undertakes any other responsibilities as requested by the Chair and CEO.
5.6 COMPENSATION
The Vice Chair’s compensation is set by the Governor in Council. The Governor in Council makes its decision on compensation after receiving advice from the Advisory Committee on Senior Level Retention and Compensation.
6 MEMBER AND TEMPORARY MEMBER POSITION DESCRIPTION
6.1 INTRODUCTION
The Board has developed this Member and Temporary Member Position Description to provide guidance to Members and Temporary Members when discharging their duties and responsibilities.
6.2 APPOINTMENT PROCESS
Members are appointed by the Governor in Council12 for an initial seven-year term. Temporary Members are appointed by the Governor in Council13 for terms that are set out in the Governor in Council appointment. It has been the practice of the Governor in Council to appoint Temporary Members for a term of 3 years.
6.3 ROLES
Members and Temporary Members discharge their responsibilities under the NEB Act and the Additional Legislation through independent but related roles as follows:
12 s. 3, NEB Act. 13 s. 4, NEB Act.
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a) Policy Setting: as part of the Board, Members and Temporary Members create policies and contribute to regulations to regulate certain activities within the energy industry;
b) Adjudicative: as part of the Board or as an individual or member of a Panel, Members and Temporary Members make decisions or recommendations on applications;
c) Study: Members and Temporary Members study and keep under review energy matters over which Parliament has jurisdiction; and
d) Organizational: in collaboration with the Senior Management Committee, set strategic priorities of the NEB.
6.4 ACCOUNTABILITY
Members and Temporary Members are accountable for their performance to Parliament through the Minister.
Members and Temporary Members are expected to comply with the Board’s Code of Conduct for Members and Temporary Members at all times. See Section 9 of this Manual for the Code of Conduct.
6.5 SERVICE ON A PANEL OF THE BOARD
When a matter comes before the Board for decision or recommendation, unless the matter is one which the full Board will decide or approve, the Chair and CEO may assign a panel of Members and/or Temporary Members (“Panel”) to decide the matter or make a recommendation on behalf of the Board. Panels typically consist of three Members and/or Temporary Members but may be a greater number at the Chair and CEO’s discretion. Under s. 14 of the NEB Act, one or more Members and/or Temporary Members may be authorized by the Chair and CEO to decide an issue on behalf of the Board in certain areas.
Where the Board requires work to be done to assist it in carrying out its responsibilities, the Chair and CEO may authorize one or more of the Members or Temporary Members to report to the Board on any question or matter arising in connection with the business of or any application or proceeding before the Board, and the Member(s) or Temporary Member(s) so authorized has all the powers of the Board for the purpose of taking evidence or acquiring the necessary information for the purpose of making the report and the recommendations contained in it as to the decision or order of the Board to be made on the question or matter.14
14 subs. 15(1)NEB Act
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When serving as a member of a Panel, in addition to complying with the expectations set out in the Code of Conduct, Members and Temporary Members are expected to:
a) Be prepared and well-informed on the evidentiary record;
b) Bring his or her experience, wisdom, judgment and influence to bear constructively on the matters in front of the Panel;
c) Openly communicate with respect to the facts and legal issues in question; and
d) Be equally responsible for the ultimate decision or recommendation of the Panel.
6.6 BOARD ACTIVITY
During Board Business meetings, in addition to complying with the expectations set out in the Code of Conduct, each Member and Temporary Member is expected to:
a) Be prepared and well-informed on relevant issues;
b) Bring his or her experience, wisdom, judgment and influence to bear constructively on issues;
c) Actively participate; and
d) Express opinions in a clear, organized and relevant manner.
6.7 EXERCISE GOOD JUDGMENT
Members and Temporary Members must devote the necessary time and attention to be able to make informed decisions or recommendations on issues that come before the Board. Members and Temporary Members have a responsibility to ensure that all information they believe necessary to make an informed decision or recommendation is on the record before the Board. To enhance the effectiveness of Board and Committee meetings, and in addition to complying with the expectations set out in the Code of Conduct, Members and Temporary Members are expected to:
a) Read and absorb the materials prior to the meetings and attend the meetings prepared to discuss the issues;
b) Ask any questions of clarification or understanding and suggest options other than those presented in the material in e-mails to the Board Business meeting email group by no later than 4 pm the day before the meeting; and
c) Have ensured adequate information necessary for decision-making is on the record.
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6.8 RELATIONSHIPS WITH STAFF
Members and Temporary Members should direct questions or concerns on the performance of staff through the COO, (or, in his or her absence, the Executive Vice President, Regulatory or Executive Vice President, Business Integration), or the Chair and CEO.
6.9 MEMBER AND TEMPORARY MEMBER LIAISON
From time to time, a Member or a Temporary Member may be designated responsibility by the Chair and CEO to liaise with staff in relation to a particular Board initiative or matter that has been assigned to staff for preparatory work and recommendation back to the Board. This may include initiatives that are related to the NEB Strategic Plan, the Annual Report or other reports.
A Member or a Temporary Member Liaison has no authority to direct staff or make decisions on behalf of the Board.
6.10 EXTERNAL COMMUNICATION
Other than when making decisions, recommendations or orders under the NEB Act or Additional Legislation, Members and Temporary Members should only speak on behalf of the NEB as authorized by the Chair and CEO.
6.11 ATTENDANCE
Unless a Member is unavailable due to NEB responsibilities or illness, Members are expected to attend all scheduled Board Business meetings. Temporary Members will attend Board Business meetings when available.
6.12 SPEECHES AND PAPERS BY MEMBERS AND TEMPORARY MEMBERS
See section 9, Code of Conduct for Members and Temporary Members for guidance.
6.13 ORIENTATION AND PROFESSIONAL DEVELOPMENT
Members and Temporary Members are expected to take full advantage of the NEB member orientation program and to commit to ongoing professional development for themselves and/or as a Board.
6.14 SEEKING ELECTED OFFICE
See section 9, Code of Conduct for Members and Temporary Members for guidance.
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6.15 END OF TERM
Upon a Member’s or a Temporary Member’s term ending, he or she is required to return to the NEB all materials and other items belonging to the NEB, including confidential Board materials.
All Members and Temporary Members are bound by the provisions of the Conflict of Interest Act with respect to post-employment obligations. See section 9, Code of Conduct for Members and Temporary Members for guidance.
6.16 COMPENSATION
Member and Temporary Member compensation is set by the Governor in Council. The Governor in Council makes its decision on compensation after receiving advice from the Advisory Committee on Senior Level Retention and Compensation.
7 MEMBER AND TEMPORARY MEMBER PROFILE
7.1 INTRODUCTION Appointments to the NEB are the sole discretion of the Governor in Council. Each Member and Temporary Member brings unique skills and experience to the NEB. It is important that the collective mix of personal characteristics, skills and experience enable the NEB to effectively carry out all of its responsibilities.
7.1.1 Personal Characteristics
All Members and Temporary Members should possess the following personal characteristics:
a) Integrity: Demonstrated high ethical standards and integrity in their personal and professional dealings, and willingness to act on, and remain accountable for, their decisions;
b) Judgment: Ability to exercise sound business or professional judgment as part of the NEB;
c) Independence: Ability to develop and maintain an independent perspective on issues with no real or perceived conflicts of interest; also includes independence from management;
d) Commitment: Ability and willingness to spend the time necessary to effectively carry out the responsibilities as part of the NEB;
e) Public Service: Commitment to the principles and values of public service,
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including accountability to the public;
f) Collegiality: Ability to work well as part of a team and to advance team performance over individual performance; and
g) Legal Status: Canadian citizen or permanent resident of Canada.
7.1.2 Personal Competencies
The Members and Temporary Members, as a group, should have credibility and expertise in areas relevant to the NEB’s regulatory and advisory roles, including:
a) Professional/Industry: Significant Canadian business or professional experience in the following areas relevant to the work of the NEB, preferably with demonstrated leadership or substantial achievement in prior roles:
a. Economics;
b. Pipeline development;
c. Energy industry;
d. Regulation;
e. Engineering;
f. Environmental sciences; and
g. Land use.
b) Adjudication: Working knowledge of adjudicative practices within the field of litigation or administrative law;
c) Finance: Ability to understand and analyze financial statements at a level commonly seen at the NEB;
d) Legal: Knowledge of energy-related laws and regulation and general business law; and
e) Aboriginal: Knowledge of Canadian Aboriginal issues.
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7.1.3 Organizational Competencies
The Members and Temporary Members, as a group, should also possess the following competencies relevant to the Board’s organizational role:
a) Audit: Knowledge of accounting/auditing standards, internal controls and information management systems;
b) Risk Management: Experience assessing risk and knowledge of risk management processes;
c) Business Management: Experience in corporate leadership roles;
d) Strategic Planning: Experience formulating, implementing and monitoring strategic and business plans;
e) Stakeholder Communications: Understanding of key stakeholder groups; and
f) Public Sector: Understanding of public sector accountability standards and requirements.
7.1.4 Other Considerations
The competencies set out may change over time in relation to the NEB’s evolving strategic goals and objectives.
8 MEMBER AND TEMPORARY MEMBER ORIENTATION AND PROFESSIONAL DEVELOPMENT
8.1 INTRODUCTION
The Secretary, with the assistance of Staff, ensures that there is an orientation program for new Members and Temporary Members.
8.2 GOALS
The goals of the orientation program are:
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a) That each new Member and Temporary Member fully understands the governance framework of the NEB including the role of the Board, its supporting committees and expectations as set out in the Member and Temporary Member Position Description.
b) To help each new Member and Temporary Member build an understanding of the NEB’s operations and working environment including:
a. Its strategic goals and initiatives;
b. Summary details of the significant current issues being dealt with or studied by the NEB;
c. Its structure; and
d. The NEB’s code of conduct and conflict of interest policies;
c) To build relationships with the NEB personnel including:
a. Opportunities to meet and get to know fellow Members and Temporary Members;
b. Meetings with senior staff; and
c. Opportunities to meet employees.
d) To build an understanding of the NEB’s major stakeholders; and
e) To help new Members and Temporary Members understand the NEB’s practices and procedures with respect to the weekly Board Business meetings and the hearing process.
8.3 WRITTEN MATERIAL
The orientation will include a set of written briefing materials including:
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a) The NEB Act and relevant excerpts from the Additional Legislation;
b) The Governance Manual;
c) The most recent NEB Performance Report, Report on Plans and Priorities and Annual Report;
d) The most recent NEB Strategic Plan;
e) The most recent National Energy Board Rules of Practice and Procedure;
f) Minutes from the previous six Board Business meetings;
g) A schedule of dates for upcoming Board Business meetings, including any special meetings or strategic planning sessions;
h) Biographical information and contact information for all Members and Temporary Members and key staff; and
i) The Conflict of Interest Act.
8.4 PROCESS FOR NEW MEMBERS AND TEMPORARY MEMBERS
Each new Member and Temporary Member will be asked to participate in an initial orientation session.
The initial orientation session for each new Member and Temporary Member will be scheduled immediately after his or her appointment takes effect.
8.5 PROFESSIONAL DEVELOPMENT
The Board is committed to ongoing professional development for Members and Temporary Members.
The NEB is committed to providing services in both official languages as set out in the Official Languages Act. The NEB provides professional development for Members and Temporary Members, as required, to improve their competencies in either official language.
9 CODE OF CONDUCT FOR MEMBERS AND TEMPORARY MEMBERS INTRODUCTION Parliament and the courts have, over time, set very high standards and legal requirements for conduct for Public Office Holders and decision-makers in quasi-judicial administrative tribunals. These expectations are set out in various external
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guides, Acts and in common law. Codes of conduct established by the federal government and the NEB contain additional expectations. The expectations and legal obligations of Members15 and Temporary Members16 differ slightly, but all are based on ensuring that the fundamental values of democracy, respect, integrity, stewardship and excellence, and the underlying principles of independence, neutrality, impartiality, and avoidance of conflicts, are respected. This Code was created to clearly set out the expectations and legal requirements for Members and Temporary Members of the National Energy Board, and to set out the expectations of the Chair and CEO. It also provides additional guidance on these obligations and information on who to contact if there are questions. A quick reference table is also included, at Appendix A. The codes, guides, Acts and common law referenced in this Code are subject to change. While every attempt will be made to keep this Code current, Members and Temporary Members should refer to the specific code, guide, Act or relevant case law to ensure they are complying with the most up-to-date expectations and legal requirements. For assistance in doing so, please contact the NEB’s Executive Vice-President, Law and General Counsel or Associate General Counsel. PART I – CHAIR’S EXPECTATIONS 1. Expectations related to Values
The five fundamental public service values are:
• Respect for Democracy: The system of Canadian parliamentary democracy and its institutions are fundamental to serving the public interest. Public servants recognize that elected officials are accountable to Parliament, and ultimately to the Canadian people, and that a non-partisan public sector is essential to our democratic system.
• Respect for People: Treating all people with respect, dignity and fairness is fundamental to our relationship with the Canadian public and contributes to a safe and healthy work environment that promotes engagement, openness
15 Full-time Members, appointed under subsection 3(1) of the NEB Act. 16 Part-time Temporary Members, appointed under subsection 4(1) of the NEB Act.
Members and Temporary Members are expected to comply with the values of democracy, respect, integrity, stewardship and excellence.
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and transparency. The diversity of our people and the ideas they generate are the source of our innovation.
• Integrity: Integrity is the cornerstone of good governance and democracy. By upholding the highest ethical standards, public servants conserve and enhance public confidence in the honesty, fairness and impartiality of the federal public sector.
• Stewardship: Federal public servants are entrusted to use and care for public resources responsibly, for both the short term and long term.
• Excellence: Excellence in the design and delivery of public sector policy, programs and services is beneficial to every aspect of Canadian public life. Engagement, collaboration, effective teamwork and professional development are all essential to a high-performing organization.
2. Leadership Expectations All Members and Temporary Members are in a position of authority by virtue of the office they hold. As such, they are leaders in the organization and should act accordingly by demonstrating these five practices17 in all their interactions at the NEB:
2.1 Model the Way - Titles are granted, but it’s your behaviour that earns you respect.
2.2 Inspire a Shared Vision - You can’t command commitment; you have to inspire it. You have to enlist others in a common vision by appealing to shared aspirations.
2.3 Challenge the Process - Challenge is the crucible for greatness. Every single personal-best leadership case involved a change from the status quo.
2.4 Enable Others to Ask - Leaders foster collaboration by building trust and facilitating relationships. This sense of teamwork extends far beyond a few direct reports or close confidants. You have to engage all who must make the project work.
2.5 Encourage the Heart - Recognize contributions by showing appreciation for individual excellence.
3. Expectations related to Contacts with External Parties The NEB’s independence is not absolute – it varies with the role being performed and with provision of the Acts under which the NEB is operating. See Appendix B for more information about the degree of independence afforded to the NEB in its role as a quasi-judicial tribunal and when carrying out its non-quasi-judicial functions. 17 See Kouzes and Posner, “The Leadership Challenge”, 5th ed. Jossey-Bass, 2012, pp.16-23.
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As regulators carrying out a quasi-judicial function, Members and Temporary Members must treat all parties fairly and equally, and conduct Board business in a manner that protects the Board’s impartiality with respect to all matters brought before it. Members and Temporary Members must also ensure that the confidence and impartiality of matters deliberated before the Board is maintained. Approval by the Chair is required prior to meetings or other contacts with external parties occurring. All meetings with external parties are to be initiated through the Office of the Secretary. If Members are approached directly with requests, the external party should be directed to the Office of the Secretary where it will be determined if an acceptance will be given.18 If the meeting or contact with an external party is approved, Members and Temporary Members must comply with the following expectations in respect of their conduct:
3.1 All contacts with outside parties must be carefully considered by Members and Temporary Members so as to avoid any appearances of favoritism or bias.
3.2 Members and Temporary Members must exercise caution when appearing at
public functions. For example, they must not • receive information regarding a matter that is or may come before the
Board; • discuss the merits of any application that is before the Board or provide
opinions regarding the likelihood of success of any application; or • comment publicly on or express personal views about parties who appear
before the Board, their solicitors or agents, or applications before the Board.
3.3 Members and Temporary Members must avoid publicly defending their actions, or interpreting or elaborating on any decisions of the Board. The reasons of the Board in any decision must speak for themselves.
3.4 The relevant sections of the Guidelines for Meetings of Board Employees with
Stakeholders, which is Appendix 2 to the Code of Conduct for NEB Employees, must be adhered to in respect of meetings involving Members and Temporary Members and outside parties.
3.5 When an application is before the Board, Members and Temporary Members
must avoid any substantive discussions regarding the application with any party involved or potentially involved in the proceeding. Members and Temporary Members assigned to consider a contested application must avoid any events where information that may be relevant to the application will be
18 See QMS Process Dashboard - Meeting with External Parties and Delegations for further detail.
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discussed or parties who may be active in the application will be either hosting the event or providing information to attendees during the event.
3.6 Where past activities of a Member or Temporary Member may raise issues of
the appearance of bias, the Member or Temporary Member must bring this to the attention of the Chair promptly. The Member or Temporary Member may have to avoid involvement in a particular file or withdraw from an application.
4. Expectations derived from Values and Codes19 The Expectations below are derived from the Values and Ethics Code for the Public Sector and Code of Conduct for NEB Employees, and reflect the Chair’s expectations of Members and Temporary Members. Members and Temporary Members are also bound by the expectations and legal requirements set out in applicable external guides, Acts and in common law, and summarized in Part II of this Code.
4.1 Never use your official roles to inappropriately obtain an advantage for yourselves or to advantage or disadvantage others.
4.2 Take all possible steps to prevent and resolve any real, apparent or potential conflicts of interest between your official responsibilities and your private affairs in favour of the public interest.
4.3 Acquire, preserve and share knowledge and information as appropriate.
4.4 Behave professionally and respectfully towards fellow employees, stakeholders and the general public.
4.5 Make sure words and actions: • support the NEB’s reputation for fair, objective and respected decisions
and recommendations; • uphold the NEB’s mandate to be an independent regulator making
decisions and recommendations in the Canadian public interest; • reflect positively on the NEB and enhance its reputation; and • support the NEB’s goals regarding safety, security, and environmental
protection.
19 Some of the principles and expectations in the Values and Ethics Code for the Public Sector and Code of Conduct for NEB Employees are superseded by other legal obligations binding Members and Temporary Members, such as the requirements in the Conflict of Interest Act or principles of natural justice. Others are duplicative between the various codes or do not apply to Members or Temporary Members. To the extent necessary, the Expectations in Part I, section 4 have been adapted to make sense for Members and Temporary Members and to reduce duplication.
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4.6 Do not direct staff members. A Member or a Temporary Member, other than the Chair acting in his capacity as CEO, has no authority to direct any staff member.
4.7 (1) Subject to (2) and (3), if you are assigned to a Panel, do not discuss matters before your Panel with Members or Temporary Members not on the Panel, or with staff not assigned to the matter.
(2) The chair of a Panel may advise the Chair and Senior Staff (i.e., COO, EVPs, VPs, Directors) of upcoming procedural rulings or deadlines, issues being raised before the Panel or anticipated issues, and any matters relating to the general administration of the organization or the federal public service, such as financial, human resources, information technology or security matters.
(3) The Chair and Senior Staff may discuss matters relating to the general administration of the organization or the federal public service with the Panel and project working group staff.
4.8 Obtain the prior approval of the Chair before accepting an invitation to provide a speech or presentation. Members and Temporary Members must follow the NEB’s internal guidelines with respect to the procedures for the accepting of invitations, receiving assistance in preparing the speech or presentation and vetting the speech or presentation for content.
4.9 If you seek elected office at any level or wish to be actively involved in partisan politics, you must tender your resignation from the Board effective on the date when your intention to seek office is first made public.
PART II – LEGAL REQUIREMENTS 1. Conflict of Interest There are provisions dealing with avoiding conflict of interest in a number of Acts and guides, such as the National Energy Board Act, the Conflict of Interest Act, the “Ethical and Political Activity Guidelines for Public Office Holders”, and the Lobbying Act. The principles of natural justice, which were created by the courts over time, also contain requirements with which Members and Temporary Members are expected to abide as members of a quasi-judicial administrative tribunal.
i) National Energy Board Act (NEB Act) Under the NEB Act, subsection 3(4) states:
A person is not eligible to be appointed or to continue as a member of the Board if that person is, as owner, shareholder, director, officer,
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partner or otherwise, engaged in the business of producing, selling, buying, transmitting, exporting, importing or otherwise dealing in hydrocarbons or electricity or holds any bond, debenture or other security of a corporation engaged in any such business.
As a result, Members and Temporary Members must sell or place into a blind trust any such securities before they begin their term because they are not permitted to be engaged in the energy business (hydrocarbon or electricity) or hold securities of those businesses.
In addition, Members must devote the whole of their time to the performance of their duties under the NEB Act, and not accept or hold any office or employment inconsistent with their duties and functions under the NEB Act (para. 3(5)(b)). In contrast, Temporary Members must not, during their term of office, accept or hold any office or employment inconsistent with the Temporary Members’ duties under the NEB Act (subs. 4(3)). For NEB Act questions, please contact the NEB’s Executive Vice-President, Law and General Counsel or Associate General Counsel.
ii) Conflict of Interest Act (COIA) The purpose of the COIA is to, among other things, establish clear conflict of interest and post-employment rules for Public Office Holders, avoid conflicts arising between private interests and public duties of Public Office Holders and provide for resolution of any conflicts that may arise.
Section 4 of the COIA states:
For the purposes of this Act, a public office holder is in a conflict of interest when he or she exercises an official power, duty or function that provides an opportunity to further his or her own private interests or those of his or her relatives or friends or to improperly further another person’s private interests.
The COIA applies to all Public Office Holders, including Governor in Council appointees (such as Members and Temporary Members). However, unless Temporary Members receive an annual salary and benefits, they are not included in the definition of “Reporting Public Office Holders” and are therefore not subject to the additional measures set out in the COIA relating to disclosure, divestment and post-employment that apply to Reporting Public Office Holders.
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Part I of the COIA provides a list of activities which would constitute conflicts of interest (e.g. see Sections 7-15, as well as the exceptions to prohibited activities in Sections 15 and following). The COIA also provides advice on matters such as fundraising, charitable activities, political activities and gifts and other advantages. Compliance with the COIA is a condition of appointment or employment (Section 19). Among other things, Members and Temporary Members must:
• arrange their private affairs to prevent a conflict of interest (Section 5), • abstain from participating in decisions that would involve a conflict of
interest (subsection 6(1)) and • not take any action aimed at circumventing the COIA (Section 18).
Part 2 of the COIA deals with compliance measures. Recusal from matters that would create a conflict of interest is covered in Section 21. A discussion of required asset divestment (or exemption of certain assets therefrom) is also dealt with in Part 2 of the COIA.
Among other things, Members must:
• submit Confidential Reports within 60 days of appointment, including details on all assets, liabilities, income and activities (Section 25),
• complete compliance measures within 120 days from date of appointment (Section 26),
• report on subsequent changes within 30 days (subsection 22(5)), • disclose confidentially within 30 days of gifts received from a single
source over $200 (subsection 25(5)), • publicly declare single gifts greater than $200 (subsection 25(5))20 and • annually file compliance measures (Section 28).
Part 3 of the COIA deals with Post-Employment Rules (See Sections 33 and following). This part of the COIA sets out the employment and lobbying restrictions on Members and Temporary Members after they cease being a Member or Temporary Member. Part 4 of the COIA explains how the COIA is administered and enforced. Within these provisions the Conflict of Interest and Ethics Commissioner offers to provide advice to individual Public Office Holders (e.g., Members and
20 Link to COIA Guidelines on Gifts
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Temporary Members) regarding their obligations under the COIA, and lists monetary penalties for non-compliance.
It is recommended that Members and Temporary Members read the COIA, information bulletins issued by the Commissioner’s office and legal opinions provided by the Board’s Legal Services Unit.
Questions on the COIA should be directed to the confidential advisor at the Office of the Conflict of Interest and Ethics Commissioner.
iii) “Ethical and Political Activity Guidelines for Public Office Holders”, which is Annex A of “Open and Accountable Government - 2015”
There are two Guidelines in Annex A of “Open and Accountable Government”21, set out respectively in Part I and Part II. These Guidelines apply to both Members and Temporary Members as Public Office Holders, and by virtue of each person having signed a Certification Document prior to appointment.
Part I - Ethical Guidelines and Statutory Standards of Conduct Members and Temporary Members must: • 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;
• 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; and
• make decisions in the public interest when fulfilling their official duties and functions and with regard to the merits of each case.
Members and Temporary Members must 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; or
• perform any political activities at a government place of work; or use any government equipment or material for such purposes.
Part I also references statutory obligations set out in the COIA and the Lobbying Act.
21 Annex A begins on page 16 hard copy, page 16 electronic copy of the Guide.
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Part II - Guidelines for the Political Activities of Public Office Holders This Part includes rules around political activities and information to assist Public Office Holders in determining whether a contemplated political activity is compatible with their public duties. This Part is complex, and the term “Political Activities” is broadly defined (e.g., it includes making political donations, displaying campaign signs 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). Members and Temporary Members are strongly advised to carefully review the Guidelines in their entirety BEFORE participating in any political activities. Generally: • Members and Temporary Members should not participate in political
activities that are, or that may reasonably be seen, to be incompatible with their duties, or reasonably seen to impair their ability to discharge their public duties in a politically impartial fashion, or would cast doubt on the integrity or impartiality of the office.
• In light of the nature of their duties, Members and Temporary Members are subject to a much more stringent standard and should generally avoid all political activities.
Inquiries about these Guidelines and their interpretation should be addressed to the Senior Personnel Secretariat, Privy Council Office 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.
iv) Principles of Natural Justice Members and Temporary Members are required to comply with the principles of natural justice, because every administrative tribunal making a decision that affects the rights, privileges or interests of an individual has a “duty to be fair”. There are two components to this duty: procedural fairness and the rule against bias. These are commonly known as principles of natural justice, and have been developed over time by the courts (they are “common law” – or court-created law). As common law principles, these requirements can be changed by express legislative language.
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PROCEDURAL FAIRNESS means a person must be given an opportunity to be heard, must know the case to be met against him, and must be given an opportunity to respond to it before the decision-maker. Procedural fairness varies depending on the context and the interests at stake, as well as the intentions of Parliament as derived from the enabling legislation. Essentially, what is “fair” requires a balance between what is necessary for the effective and efficient performance of public duties, as mandated under an empowering statute, and what is necessary for the protection of the interests of the parties affected.
Generally, policy or legislative-type decisions are at the lower end of the scale for procedural fairness requirements, whereas judicial or quasi-judicial decisions (which affect the rights of individuals) are at the higher end of the scale. Many of the Board’s regulatory decisions are “quasi-judicial”, because they have the potential to affect the rights or interests of individuals or groups of individuals.
THE RULE AGAINST BIAS means that right to an impartial hearing by an independent decision-maker. Decision-makers must base their decisions, and must be seen to be basing their decisions, on nothing but the relevant law and the evidence that is properly before them. If they are biased, or if there is a reasonable apprehension of bias, the Board’s decision can be set aside by a court.
For more information on the principles of natural justice and the requirements that bind Members and Temporary Members, please contact the NEB’s Executive Vice-President, Law and General Counsel, or Associate General Counsel, or assigned NEB Legal Counsel (if the questions arise in the context of a particular application).
v) Lobbying Act The Lobbying Act is based on four key principles:
Free and open access to government is an important matter of public interest. Lobbying Public Office Holders is a legitimate activity. It is desirable that Public Office Holders and the general public be able to know who is engaged in lobbying activities. The system of registration of paid lobbyists should not impede free and open access to government.
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Most of the requirements in the Lobbying Act relate to obligation of paid lobbyists. Lobbyists are required to file information about certain types of communication with Public Office Holders. The reports are publically accessible. The Commissioner can request additional information and can investigate to ensure compliance with the Lobbying Act. There are additional requirements related to communications with Designated Public Office Holders. Of the Members and Temporary Members, only the Chair and CEO and, in some circumstances, the Vice-Chair are Designated Public Office Holders. The Lobbying Act sets out requirements to disclose certain details regarding lobbyists’ "oral and arranged" communications with Designated Public Office Holders.
Communications on the following topics are not reportable, as they are not lobbying activities:
• submissions in proceedings that are matters of public record (e.g., submissions in section 58s and written and oral public hearings),
• communications about the enforcement, application and interpretation of NEB-administered acts and regulations with respect to regulated companies, landowners, etc. impacted by those acts and regulations (e.g., regulated company asking about an upcoming audit or the NEB’s interpretation of filing requirements), and
• simple requests for information (e.g., asking are there leave to appeal provisions in the NEB Act; requesting copies of NEB publications).
In addition, the Lobbying Act does not apply to certain individuals acting in their official capacity, so communications with them are not reportable22:
• members of provincial and municipal governments and their staff, • provincial government employees, • members of band councils and their staff, • certain aboriginal governments and their staff, • foreign diplomats, United Nations officials and others granted privileges
and immunities by an Act of Parliament. Members and Temporary Members should retain short notes of when they met with someone and a brief note of the topics discussed, as there may be questions raised about the meeting by external parties. In addition, if an
22 However, if any of the public officials or their organizations hire and pay third-party consultants to lobby on their behalf, these consultant lobbyists may be subject to the usual registration requirements.
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investigation is commenced, Members and Temporary Members could be summoned to provide evidence related to a lobbyist’s activities.
Designated Public Office Holders must confirm to the Commissioner the accuracy of the information submitted by lobbyists. The Lobbying Act does not require Designated Public Office Holders to keep a record of interactions. However, from a practical perspective, the Designated Public Office Holders should be taking some notes to help them respond to inquiries from the Commissioner. It is possible that request for clarification/correction of a return or an investigation by the Commissioner could arise long after the interaction.
The Lobbying Act also contains a 5-year restriction on lobbying activity for former Designated Public Office Holders. Exemptions to the 5-year restriction can be granted under the Lobbying Act by the Commissioner of Lobbying.
Members and Temporary Members should read the Lobbying Act and should consult with the Office of the Commissioner of Lobbying if there are any questions.
2. Other Requirements i) Terms and Conditions of Employment for Full-Time GIC Appointees
Members are bound by the “Terms and Conditions of Employment for Full-time GIC Appointees”, as they are full time (F/T) GIC appointees. These Terms and Conditions include provisions related to conflict of interest, ethics and political activities, and incorporate the COIA and the Lobbying Act by reference.
Temporary Members are not F/T GIC appointees, and are not strictly bound by these Terms and Conditions. However, many of the provisions in these Terms and Conditions are sourced from Acts that do bind Temporary Members, and so Temporary Members should be familiar with the requirements under those Acts, such as the COIA, the Lobbying Act, and the Official Languages Act. These Terms and Conditions include provisions relating to appointment and tenure. Members are appointed, generally for 7-year terms, to hold office during good behaviour, which means that they may be removed by GIC for cause. (Temporary Members generally are appointed for a 3-year term initially, and hold office at pleasure, which means they can be replaced or removed at GIC’s discretion23).
23 See Interpretation Act, s. 23 and OICs of Temporary Members.
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These Terms and Conditions include provisions related to conflict of interest, ethics and political activities, and incorporate the COIA and the Lobbying Act by reference. In addition, section 2.1 indicates that:
Members, as F/T GIC appointees, are “…expected to uphold the highest ethical standards and to respect the principles of any code of conduct applicable to the agency…”
Accordingly, Members are expected to respect the values and expectations set out in Part I of this Code. These values originate from the Values and Ethics Code for the Public Sector, which applies to the NEB. In addition, Members are expected to respect the principles of conduct in the Code of Conduct for NEB Employees, which include expectations related to professional behaviour, confidentiality, impartiality, meetings with external parties, NEB applications and conflict of interest. For questions on the principles in the Code of Conduct for NEB Employees, please contact the NEB’s Executive Vice-President, Law and General Counsel or Associate General Counsel.
Section 3 of the Terms and Conditions relate to Members’ obligations under the Official Languages Act (OLA).
The OLA requires that federal courts, including administrative tribunals, must ensure that the individuals hearing the proceedings understand English or French, or both, without the assistance of an interpreter.
Therefore, Members and Temporary Members must understand English or French, or both, in a hearing without the assistance of an interpreter.
The other sections of the Terms and Conditions deal with administrative matters relating to appointment, such as compensation, leave, insurance and pension plans and supplementary benefits, termination payments, vehicles, parking, membership fees, hospitality, business travel and relocation.
Members should familiarize themselves with the Terms and Conditions. Questions on the Terms and Conditions can be directed to Senior Personnel Secretariat, Privy Council Office.
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ii) Public Service Employment Act (PSEA) The Chair and CEO is bound by the PSEA because the Chair, as the CEO, is the deputy head of the NEB and is named in Schedule V, Financial Administration Act. As a result, the Chair and CEO cannot engage in any political activity other than voting in an election (section 117).
The Public Service Commission has the power to investigate allegations of improper political activities on the part of deputy heads and others falling within this section of the PSEA.
All questions with respect to the political activities of any public office holders appointed pursuant to, or subject to, the PSEA fall within the exclusive jurisdiction of the Public Service Commission, and questions should be directed to the PSC.
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Appendix A QUICK REFERENCE TABLE
Source
Chair and CEO
VC Member (F/T GIC)
Temp. Member(P/T GIC)
Contact for Questions
Expectations in Part I of this Code of Conduct for Members and Temporary Members (b/c these are the Chair and CEO’s expectations)
NEB EVP, Law and General Counsel or Associate General Counsel
Principles in the Values and Ethics Code for the Public Sector (b/c the Terms and Conditions for F/T GIC Appointees mandates this)
NEB EVP, Law and General Counsel or Associate General Counsel
Values and Ethics Code for the Public Sector (b/c the Values and Ethics Code mandates that Chief Executives are subject to it)
TBS Office of the Chief Human Resources Officer
Principles in the Code of Conduct for NEB Employees (b/c the Terms and Conditions for F/T GIC Appointees mandates this)
NEB EVP, Law and General Counsel or Associate General Counsel
National Energy Board Act, s. 3(4) and (5)(b) (b/c these subsections apply to Members)
NEB EVP, Law and General Counsel or Associate General Counsel
National Energy Board Act, s. 3(4) and 4(3) (b/c this subsection applies to Temporary Members)
NEB EVP, Law and General Counsel or Associate General Counsel
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Source
Chair and CEO
VC Member (F/T GIC)
Temp. Member(P/T GIC)
Contact for Questions
Conflict of Interest Act (b/c Members and Temporary Members are “Public Office Holders” and Members are “Reporting Public Office Holders”)
Office of the Conflict of Interest and Ethics Commissioner – confidential advisor at 613-995-0721 or [email protected]. See COIA and website for summary of requirements: http://ciec-ccie.parl.gc.ca/EN/InformationFor/Pages/PublicOfficeHolders.aspx
“Ethical and Political Activity Guidelines for Public Office Holders” - Annex A of “Open and Accountable Government – 2015” (b/c Members and Temporary Members are “Public Office Holders” and signed a Certification Document confirming that compliance is a condition of holding office before they were appointed by GIC)
Senior Personnel Secretariat, Privy Council Office at 613-957-5330 See also National Energy Board - Governance Manual, Section 6.14
Principles of Natural Justice (b/c these are common law requirements when acting in a quasi-judicial role)
NEB EVP, Law and General Counsel, or Associate General Counsel, or assigned NEB Legal Counsel (if application-specific) See also LSU Presentation – RDIMS 260572
Lobbying Act (b/c Members and Temporary Members are “Public Office Holders” and Chair and CEO and Vice-Chair* are “Designated Public Office Holders”) *VC is only a DPOH when acting for the Chair and CEO for more than 4 consecutive months in a 12-month
Office of the Commissioner of Lobbying at 613-957-2760 or [email protected] See Lobbying Act and website for requirements: http://www.ocl-cal.gc.ca/eic/site/012.nsf/en
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Source
Chair and CEO
VC Member (F/T GIC)
Temp. Member(P/T GIC)
Contact for Questions
period g/h_00008.html Terms and Conditions of Employment for F/T GIC Appointees (b/c Members are F/T GIC Appointees and “Public Office Holders”)
Senior Personnel Secretariat, Privy Council Office at 613-957-5330
Public Service Employment Act, S. 117 (b/c Chair and CEO is “Deputy Head”)
Public Service Commission
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Appendix B Section H.4 of “Portfolio Organizations” Annex H To “Open and Accountable Government – 2015” H.4. Administrative Tribunals Characteristics of Administrative Tribunals as Part of the Executive Administrative tribunals are created, usually by statute, to make decisions in specific areas at arm’s length from government—decisions that may be described as “quasi-judicial.” As confirmed by the Supreme Court of Canada, while administrative tribunals possess adjudicative functions, they operate as part of the executive branch of government, under the mandate of the legislature. They are not courts, and do not occupy the same constitutional role as courts. The degree of independence required of a particular government decision maker or tribunal is determined by its enabling statute. The Principle of Non-Intervention in Quasi-Judicial Decisions The decisions made by administrative tribunals often concern individual rights or interests (such as qualification for program benefits), are technical in nature (such as scientific regulation and licensing), or are considered sensitive and vulnerable to political interference (such as broadcasting). Parliament’s intention to lessen or remove political influence in decision making in such areas underlies the principle that Ministers should not intervene with administrative or “quasi-judicial” tribunals on any matter that requires a decision in their quasi-judicial capacity. However, the principle is subject to a number of important nuances:
• the principle does not apply to every aspect of the organization’s work, but specifically to decisions made in a quasi-judicial capacity;
• the extent to which the quasi-judicial decision-making process itself is insulated from ministerial involvement is largely determined by the constituent legislation; and
• whatever the degree of independence of an administrative tribunal, the responsible Minister is at some level accountable for the effective functioning of all portfolio organizations, including tribunals. Hence, it is important that tribunals be attuned to the broader context in which the government operates.
Quasi-Judicial Versus Non-Quasi-Judicial Functions Many federal entities possess some functions of a quasi-judicial nature. Sometimes the quasi-judicial function is predominant, but often a significant part of the organization’s work is “executive” in nature, for example, developing regulations, issuing licences or permits, monitoring and supervising compliance, and conducting research. The provisions of their enabling statutes will accord administrative tribunals varying degrees of autonomy in exercising these executive functions. For example, the Minister
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or Governor in Council may have authority to make or approve regulations or standards; issue directions, either on broad policy or more specific matters (e.g. classes of persons to whom licences may not be issued); or require the body to conduct particular studies or reports. Where a Minister has a role to play in a function that is not quasi-judicial, such as approving the entity’s annual budget, it is important that the Minister’s authority not be used, or appear to be used, to do indirectly what the Minister is not able to do directly. The parties should be mindful of the context in which an authority is exercised. The Varying Independence of Quasi-Judicial Functions Even with respect to quasi-judicial decision-making processes, some enabling statutes explicitly provide for ministerial involvement. As the Supreme Court of Canada has confirmed, enabling statutes do not have to accord tribunals court-like independence, even with respect to their adjudicative functions. In some cases, the legislation provides the government with neither the capacity to give direction on decision making, nor to interfere with decisions once made, except to appeal to another adjudicative body (such as to the courts for judicial review). However, in other cases, the Minister or Governor in Council may have a range of powers that could impact directly or indirectly on decisions, such as directive powers; authority to make or approve rules, regulations or standards which elaborate on statutory decision-making criteria; and power to vary or overturn adjudicative decisions, or to refer them back to the tribunal for reconsideration. The Need for Interventions to Be Consistent with the Enabling Statute It is essential that Ministers and portfolio deputies have a clear understanding of each of the tribunals in the portfolio and the nature of the Minister’s role. The portfolio deputy is the Minister’s principal source of public service advice and support on managing relationships with administrative tribunals. However, as the deputy minister does not have direct authority over arm’s-length portfolio entities, the Minister and deputy should work to achieve portfolio-wide understanding with respect to the role the Minister wishes the deputy minister to play. Agency heads, in turn, have a responsibility to work cooperatively with the Minister and the deputy minister to the full extent consistent with their statutory independence. An engagement between the Minister and the organization need not be explicitly authorized in statute in order to be appropriate, provided it is consistent with the legislative regime. Even in cases where the entity’s functions are almost solely adjudicative and the government has no explicit statutory levers to affect a decision, it is important to
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maintain an ongoing open dialogue, and to seek information of a general nature (as opposed to information on specific cases before the tribunal), and to discuss matters of general relevance to both parties, such as administration and budgeting, the tribunal’s mandate and enabling legislation, and the Minister’s responsibility to answer for the tribunal in Parliament. Dealings with Quasi-Judicial Tribunals on Behalf of Constituents There are limitations on the ability of a Minister or Minister of State to act on behalf of constituents as far as quasi-judicial bodies are concerned. Ministers, Ministers of State and their staff may seek information on the status of a matter or other information that is available to the public. Further, several departments have set out instructions on how Ministers’ offices, usually in the constituency, can deal with inquiries regarding such matters as disability benefits, employment insurance, old age security, or citizenship and immigration. Guidance can be obtained from the Conflict of Interest and Ethics Commissioner, who can provide briefings on this subject to Ministers and members of their staff, including those dealing with constituency issues. Key Practical Considerations • Administrative or “quasi-judicial” tribunals are part of the executive branch of
government under the mandate of Parliament. The responsible Minister is ultimately accountable for the effective functioning of the tribunal and must answer questions in Parliament for all matters pertaining to it.
• The independence of administrative tribunals is not an absolute standard arising from a constitutional separation of powers. An administrative tribunal’s independence, in both quasi-judicial and non-quasi-judicial functions, is determined by its enabling statute.
• Ministers must not intervene, or appear to intervene, with tribunals on any matter requiring a decision in their quasi-judicial capacity, except as permitted by statute.
• In all cases, even where the Minister or Governor in Council has authorities to send back or overturn decisions once made, it is inappropriate to attempt to influence the outcome of a specific decision of a quasi- judicial nature.
• Examples of appropriate communications/intervention include: • the exercise of a ministerial/Governor-in-Council authority set out in statute,
including discussions regarding the possible exercise of an authority; • the exchange of views on matters of general relevance to both parties, such as
management and budgeting, the tribunal’s mandate and enabling legislation, the
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Minister’s responsibility to answer for the tribunal in Parliament, and portfolio coordination;
• communication of the government’s broader agenda, and its possible impact on the tribunal;
• communication by the tribunal concerning the potential impact of proposed legislation or other initiatives; and
• communication by the tribunal concerning the effectiveness with which the current legislative framework supports the tribunal in delivering on its mandate.
10 STRATEGIC PLANNING PROCESS
10.1 INTRODUCTION
The NEB develops a strategic plan which sets out the NEB’s vision, purpose, values and organizational goals (“Strategic Plan”). The Board approves the Strategic Plan. The priorities as set out in the NEB’s Strategic Plan are reflected in the NEB’s annual business plans and budgets as developed by staff and overseen by the Chair and CEO. The planning horizon for the Strategic Plan is three years. It is an evolving plan which is reviewed at least annually and modified depending upon the level and extent of change affecting the NEB.
10.2 THE STRATEGIC PLANNING FRAMEWORK
The Strategic Plan sets the long-term vision for the NEB and is the cornerstone of the NEB’s planning framework. The Strategic Plan includes several key components: clear vision and purpose statements for the NEB; goals; core values to highlight how the NEB will conduct its business; and strategies to realize the vision. The Strategic Plan will normally encompass the following:
PURPOSE Articulates the mandate of the NEB and establishes its unique identity;
VISION Provides a clear picture of the NEB’s desired attributes and priorities;
VALUES Articulates the key corporate principles of the NEB; and
GOALS Articulates the long-term goals which support the vision and purpose.
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10.3 PERFORMANCE REPORTING
The NEB reports its performance each year by way of a publicly-available Annual Report that is submitted to Parliament through the Minister of Natural Resources.