See Code of Conduct - Frequently Asked Questions

Table of Contents

Introduction

Part I - Principles of Conduct

• Professional Behaviour
• Confidentiality
• Impartiality
• Meetings with Stakeholders
• NEB Act Applications
  • Applications Submitted Under section 58 of the NEB Act
  • Presenting Information for NEB Applications
  • Responding to Questions about Decisions
  • Support of Board Decision-Making
Conflicts of Interest
• Assets and Interests
• Outside Activities
• Criminal and Other Charges
• Gifts, Hospitality or Other Benefits
• Post Employment
Failure to Comply

Part II - Dealing with Potential Conflicts of Interest

• Employees
• COI Advisory Committee
• Executive Team
• Chief Operating Officer
• Legal Counsel
• Chairman
• Membership of the Conflict of Interest Advisory Committee
• Process
  • Declaring Assets and Interests
  • Review
  • Decision

Appendix I - Conflict of Interest and Post-Employment Code for Public Office Holders (2004)

Appendix II - Guidelines for Meetings of Board Staff with Stakeholders

IntroductionPre-Application Meetings With StakeholdersMeetings with Stakeholders on Matters Unrelated to an ApplicationMeetings on Regulatory Issues Before the BoardPost-Application Meetings

Appendix III - Terms of Reference for Conflict of Interest Advisory Committee and Chief Operating Officer in Administration of the Code of Conduct

Procedures for Meetings on Matters before the Board

Meetings Exempted from the Guidelines for Meetings with Stakeholders

Bibliography

Acronym List

COI - Advisory Committee Conflict of Interest Advisory Committee
IRAD - Information, Records and Distribution
NEB or Board - National Energy Board

Introduction

The purpose of the National Energy Board (NEB or the Board) is to promote safety, environmental protection and economic efficiency in the Canadian public interest within the mandate set by Parliament in the regulation of pipelines, energy development and trade. The Board's vision is to be a respected leader in energy regulation that protects and enables in the Canadian public interest.

The Board has a long-standing reputation for fair, objective and respected decisions. Employees play an important part in upholding that reputation. As a result, we each must carry out our day-to-day activities in a manner that:

recognizes the values of the Board; enhances public perception of the Board; and withstands the closest public scrutiny.

This Code of Conduct identifies what we employees must do to support the Board's good standing and to avoid conflicts of interest. It includes the following elements:

• Part I - Principles of Conduct - This section tells us how we should conduct ourselves. It describes the behaviours, attitudes and values the Board asks us to demonstrate. It also outlines what we are expected to do in order to avoid conflicts of interest.
• Part II - Dealing with Potential Conflicts of Interest - This section describes the responsibilities of all Board staff to avoid conflicts of interests. It explains the steps that are taken to review employee activities, what happens if a conflict is identified, and what employees can do if they disagree with the findings.
• Appendix I - Conflict of Interest and Post-Employment Code for Public Office Holders - Lists the principles in the federal government's Conflict of Interest and Post-Employment Code for Public Office Holders. These principles apply to our conduct as NEB employees.
• Appendix II - Guidelines for Meetings of Board Staff with Stakeholders¹ - Describes the requirements that must be followed for certain kinds of meetings.
• Appendix III - Terms of Reference - Delegates some of the Chairman's powers in relation to the Code to others at the Board and establishes the Conflict of Interest Advisory Committee.

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1 Stakeholders refers to all parties who may have an interest in a matter before the Board, including regulated proponents, landowners, third parties, and other interested parties.

We are each expected to meet the requirements of this Code and to also use our own sense of good judgement in situations that may not be covered in this Code. If ever in doubt on how to handle a situation, contact your Team Leader, Business Unit Leader or a member of the Conflict of Interest Advisory Committee (COI Advisory Committee) for guidance.

Part I - Principles of Conduct

Professional Behaviour

1. How we treat others and those outside of the Board tells a great deal about the values of the Board. It is important that we:

Confidentiality

2. All Board staff are responsible for maintaining the confidentiality of matters that are before the Board. This includes matters we are directly involved with or have knowledge of.

3. When addressing applications or other matters of concern to stakeholders, Board staff must take care to keep the details confidential until a decision has been made and the information can be communicated publicly. The deliberations of the Board are always strictly confidential. If we were to 'leak' information, the end result could potentially affect the markets. This is of particular concern during the application process. Once an application has been filed (with the exception of a section 58 application), we should make sure that all communication goes to the Secretary or Legal Counsel until a decision has been made.

4. As an employee, you may find yourself in the unique position of being involved with, or knowledgeable of, a matter before the Board and at the same time, dealing with the stakeholder on other matters. For that reason, you must always make sure discussions cover only the matter at hand and that you do not share information about other items before the Board.

5. Care must also be taken during conversations with stakeholders (for example over the telephone or during a lunch). There is no way to officially capture these discussions and staff need to be mindful of what they say. Business Unit Leaders are encouraged to remind staff from time to time of their responsibility to maintain confidential information.

Impartiality

6. Employees need to treat stakeholders fairly and objectively. We must not create an appearance of giving preferential treatment to anyone submitting an application or presenting a matter before the Board. Each client of the Board should have an equal opportunity to be heard and to present their facts.

7. When applicants or other stakeholders come to us with questions or seeking information about applications, we must only provide feedback on questions that relate to process. For example, we can answer questions about what content needs to be covered by referring parties to the NEB Filing Manual and we can refer them to past decisions that dealt with similar issues. We should not answer questions about how to best present their information. We can also refer these individuals to:

NEB documents (e.g., National Energy Board Rules of Practice and Procedure, NEB Filing Manual);Legal Counsel; orthe Office of the Secretary, as appropriate.

8. If someone is looking for advice on how to create a successful application, we should refer them to the NEB Filing Manual and past Board decisions. In this way, they can determine for themselves the qualities of a successful application.

Meetings with Stakeholders

9. The National Energy Board is required to maintain a high level of expertise and knowledge of matters related to the energy sector. The pace of change in the energy industry has accelerated, creating new challenges and issues and the need for different and creative regulatory responses. As a result staff must maintain and enhance their knowledge and expertise related to the energy sector by formal and informal contacts and meetings with stakeholders. Such contacts can include social events, facility tours, seminars, and informational meetings.

10. Unless the meeting is informal and is unrelated to a matter that will be before the Board, an agenda and minutes shall be kept and filed with Information, Records and Distribution (IRAD). A copy should also be provided to the Secretary. In this way the Board can respond to any questions it receives about meetings you have attended. By keeping minutes, the Board will be able to demonstrate that nothing was discussed outside of the meeting agenda.

11. Because of the confidentiality of Board decision-making and the importance of being seen as fair and impartial certain types of meetings can require approval. When we have a meeting:

on matters before the Board,with parties before the Board, orpost-application and there are interested parties

we need to follow the procedure described in Appendix II of this policy - the Guidelines for Meetings of Board Staff with Stakeholders.

For pre-application meetings we should refer to the National Energy Board Pre-Application Meetings Guidance Notes. If you have questions about formal or informal contacts with stakeholders, you should speak with your Team Leader, Business Unit Leader or Legal Services.

NEB Act Applications

Applications Submitted Under section 58 of the NEB Act

12. Board staff can communicate directly with companies who have submitted an application under section 58 of the NEB Act if no third parties have expressed any interest in the application. All communications must follow the guidelines described in the NEB Operating Procedures on Informal Information Requests.

13. If you are in doubt about whether a discussion with an applicant would be appropriate or whether written Information Requests should be sent, contact your team leader or Legal Services.

Presenting Information for NEB Applications

14. During a hearing for an NEB application, staff can present additional information for the Board members to consider (e.g., external research reports, journal articles). However, any information you provide must also be made available to all interested parties. In this way, everyone with a stake in the outcome of the hearing has the same opportunity to review the material and respond. If you wish to present additional information, you should discuss how to do so with legal counsel early in the hearing process. Once the hearing has been closed and the Board is preparing to make a decision, you must not present any further information.

Responding to Questions about Decisions

15. Employees must never try to explain or justify Board decisions on NEB applications. If asked questions, we can point people to the Board's decision which contains the analysis that went into making the final choice. The Board's decision documents speak for themselves. If necessary, we can also refer individuals to Legal Counsel.

Support of Board Decision-Making

16. All regulatory decisions for applications under the NEB Act are made by the Board Members. Our role, as NEB staff, is to provide the support the Board needs to make those decisions. This can include distributing documents to interested parties through to analyzing and making recommendations on information included in the application. In the end, however, the final decision on an application rests with the Board.²

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2 In the case of decisions made under the Canada Oil and Gas Operations Act and the Canada Petroleum Resources Act by the Chief Conservation Officer and the Chief Safety Officer, these principles also apply. Frontier employees must always act so as to maintain and enhance the reputation of the Board, the Chief Conservation Officer and the Chief Safety Officer for fair, objective and respected decisions.

Conflicts of Interest

Assets and Interests

17. Because of the nature of the Board's work we need to make sure any investments we have as individuals do not present a real, potential or apparent conflict of interest with the Board's activities.

18. Board staff should not be involved in any way with a business that deals in hydrocarbons or electricity. This means Board staff should not own, hold shares in, act as a director, officer, partner or otherwise in a business that produces, sells, buys, transmits, exports, imports, or otherwise deals in hydrocarbons or electricity. Employees also should not hold any bond, debenture, strip bond, coupon or other security of a company engaged in such business.

19. When we first start working at the Board, we must identify the assets and interests we hold. If at anytime we make changes to our investments or interests that may present a conflict, we must provide an update to the Human Resources representative on the COI Advisory Committee. If it is considered at anytime that an employee holds an asset or interest that presents a conflict, they will be asked to divest that asset within 120 days.

20. If it is determined that you hold assets or interests that present a real, potential or apparent conflict of interest with the Board's activities, you will be advised to divest. To comply with this Code, assets or interests must be divested in one of the following ways:

Sold in an arm's length transaction. This means selling an asset to someone that you do not have a relationship with. Someone you have a relationship with would include your spouse, parent, sibling, children etc.; andPutting the asset into a blind trust arrangement, which means you have no control over the asset and the trustee who has control over it is at arms' length to you.

21. If you choose to place an asset in trust, the trust must be set up so you do not have any power to manage the asset or make decisions about it. When an asset is placed in trust, the COI Advisory Committee will review the arrangement and verify to the Chief Operating Officer whether the agreement is acceptable. At the discretion of the Chief Operating Officer the costs of placing or maintaining assets in a blind trust may be reimbursed.

22. It is not acceptable to sell or transfer assets or interests to family members or others in an attempt to avoid complying with this requirement.

Outside Activities

23. We must also identify activities we are involved in when we first start working at the Board. If at any time we undertake activities that could present a conflict we must provide an update to the Human Resources representative on the COI Advisory Committee.

24. Employees of the Board can have a job outside of the Board or run a small business providing these activities do not conflict with Board activities.

25. If your work or business could lead to a relationship with a company, individual or organization who brings matters before the Board, you shall advise the COI Advisory Committee. The COI Advisory Committee will review the situation to advise whether there is a real, potential or apparent conflict of interest. Such a relationship might create the impression of the company, individual or organization getting special treatment by the Board.

26. If the COI Advisory Committee decides a conflict exists, you might be asked to limit or change your involvement with the company or individual, or stop altogether.

27. If you are in doubt about a relationship, contact the COI Advisory Committee.

Criminal and Other Charges

28. If you are convicted of a violation of Canadian laws, regulations or statutes and a conviction could affect your ability to carry out the duties of your position, you must inform your Business Unit Leader immediately. Similarly, if you are charged with such a violation and the charge itself affects your ability to carry out the duties of your position (eg. when charged your drivers' licence was suspended and you drive as part of your job) you must inform your Business Unit Leader immediately.

Gifts, Hospitality or Other Benefits

29. Gifts, hospitality or other benefits offered as result of your employment can be accepted if:

the offering is considered a 'normal' expression of courtesy (e.g., a lunch during a meeting) and does not exceed $200there is no suspicion that the offering has been made to influence your judgement or how you would perform your job

30. If you believe a gift is not appropriate and you are unable to decline it, inform your Business Unit Leader.

31. If you are in doubt about a gift, contact your Business Unit Leader or the COI Advisory Committee.

32. Gifts, hospitality or benefits unrelated to your employment and given to your spouse or an immediate family member and not to you directly are generally acceptable. However, if you are working on an application for that particular company or individual, the offering should be declined.

33. Donations or prizes for Board social events should not be solicited or accepted from companies in the energy industry.

Post Employment

34. Employees should not allow their work to be influenced by offers of outside employment. If you receive a firm offer, you should inform your Business Unit Leader immediately. A job offer could place you in a real, potential or apparent conflict of interest situation. Depending on the circumstances, the Business Unit Leader may reassign you to other duties.

35. For the first year after leaving the Board, an employee must not represent a company or individual before the Board. This includes:

• sitting as a witness;
• acting as counsel;
• serving as an official representative at hearings;
• signing correspondence sent to the Board; or
• attending meetings with the Board or Board staff.

36. During this time, however, it is all right for a former employee to make routine requests for information. Once employees leave the Board they must still continue to keep confidential Board information that is not publicly available.

37. If you are aware of a former employee that is not following these restrictions, you should advise the COI Advisory Committee.

Failure to Comply

38. An employee who does not comply with this Code is subject to discipline up to and including discharge.

Part II -  Dealing with Potential Conflicts of Interest

39. The following describes the roles and responsibilities of all staff at the NEB to meet the Board's conflict of interest requirements.

Employees:

Complete a Confidential Report and detail all assets and activities that may present a conflict of interest. Employees must also submit an updated Confidential Report if their situation changes during their employment. Notify their Business Unit Leader of:
any gifts that are offered or received from stakeholders; and post-employment activities.
• Provide additional information to the COI Advisory Committee or Chief Operating Officer as required.
• Follow the final direction given by the Chief Operating Officer.

COI Advisory Committee:

• Reviews Confidential Reports filed by employees.
• Advises employees and the Chief Operating Officer of any apparent violations of the Code.
• Addresses questions that employees or management may have about potential conflicts of interest.

Executive Team:

Ensures compliance with, and enforcement of, the Code.

Chief Operating Officer:

Based on input from the COI Advisory Committee, determines whether or not a breach of the Code has occurred in a disputed matter.Advises an employee to restrict post-employment activities or divest assets or interests.

Legal Counsel:

Legal Counsel may provide advice to the Chief Operating Officer if an employee has disagreed with the recommendation made by the COI Advisory Committee.

Chairman:

Makes the final decision in the event an employee files a grievance over the decision made by the Chief Operating Officer.

Membership of the Conflict of Interest Advisory Committee

40. The membership of the COI Advisory Committee will consist of:

• the Secretary of the Board;
• the General Counsel of the Board; and
• the Team Leader, Human Resources.

41. The General Counsel or the Acting General Counsel will chair the Committee. If either of the other two members is unavailable, the Chair may ask a a person acting in their position to perform their role on the COI Advisory Committee. When the COI Advisory Committee meets, two members being present will constitute a quorum.

Process

Declaring Assets and Interests

42. Within 60 days of being hired, a new employee must complete an Employee Certification Report. If the employee holds any assets or interests that could present a conflict, they must also complete a Confidential Report.

Review

43. During the review of the Confidential Report, the employee may be asked to:

provide the COI Advisory Committee with further information about their outside employment or other activities.provide the COI Advisory Committee with further details or meet with the COI Advisory Committee about their Confidential Report.appear before the COI Advisory Committee to make representations either personally or through a representative.

44. The COI Advisory Committee will take into consideration any representations made by or on behalf of the employee before making a recommendation on a conflict of interest question. The service standard is that 90 % of the COI Advisory Committee's recommendations will be made within 2 weeks.

45. When advising about potential conflicts related to the outside activities of an employee, the COI Advisory Committee may consider such matters as:

the level and nature of the employee's position at the Board;the possibility of the employee taking improper advantage of information obtained in the course of his/her official duties and responsibilities; andthe possibility of the employee using public office to improper advantage to obtain outside employment.

46. After reviewing the Confidential Report, the COI Advisory Committee will advise the employee if it appears there is a real, potential or apparent conflict of interest. The COI Advisory Committee will suggest what is required to meet the requirements of the Code. The COI Advisory Committee may provide timelines for an employee to alter his/her assets, interests or activities. If an employee does not follow the advice of the COI Advisory Committee, the Committee shall advise the Chief Operating Officer in writing of its advice and that it has not been followed by the employee. The COI Advisory Committee will allow an employee 120 days to divest assets.

47. If an employee disagrees with the COI Advisory Committee's advice, he/she can, within 30 calendar days of receiving the COI Advisory Committee's letter, submit a written request for the Chief Operating Officer to review and make a decision. The Chief Operating Officer is accountable for making the decision under this Code.

The Chief Operating Officer will forward the employee's letter to the COI Advisory Committee and request a written report that addresses the employee's concerns and explains the recommendation. At the request of the COI Advisory Committee, the employee may make representations to the COI Advisory Committee, either personally or through a representative. The COI Advisory Committee will forward the report to both the Chief Operating Officer and the employee. The employee will be given 30 days to respond to the content of the report. The employee will submit his/her response to the Chief Operating Officer and provide a copy to the Human Resources representative of the COI Advisory Committee for recordkeeping. The Chief Operating Officer will review the COI Advisory Committee's report and the employee's response and will make a decision, taking into consideration the available information. If the Chief Operating Officer requires a legal opinion, the legal advice will be provided by a counsel other than the counsel on the COI Advisory Committee. If the employee disagrees with the Chief Operating Officer's decision, the employee may file a grievance. The Chairman will make a decision in respect of any grievance.

Decision

48. The Chief Operating Officer will make the decision as to whether or not the employee's activities interests or activities present a conflict of interest. Where the Chief Operating Officer requires divestment, the cessation of an activity, or some other action to avoid or eliminate a conflict, the Chief Operating Officer may set a time for the employee to do so.

49. With the consent of the employee, the COI Advisory Committee and/or Chief Operating Officer may seek advice from the employee's Business Unit Leader. If the situation is urgent and it is necessary to change the employee's duties until a decision has been made, the Business Unit Leader may be contacted without the employee's consent.

Appendix I

Conflict of Interest
and Post-Employment Code
for Public Office Holders (2004)

This Code of Conduct Policy for National Energy Board employees reflects the requirements of the Conflict of Interest and Post-Employment Code for Public Office Holders (2004)¹ , a document issued by the federal government.

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1 When used in these principles, "public office holders" include NEB employees.

Ethical Standards

(1) Public office holders shall act with honesty and uphold the highest ethical standards so that public confidence and trust in the integrity, objectivity and impartiality of government are conserved and enhanced.

Public Scrutiny

(2) Public office holders have an obligation to 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.

Decision Making

(3) Public office holders, in fulfilling their official duties and responsibilities, shall make decisions in the public interest and with regard to the merits of each case.

Private Interests

(4) Public office holders shall not have private interests, other than those permitted pursuant to this Code, that would be affected particularly or significantly by government actions in which they participate.

Public Interest

(5) On appointment to office, and thereafter, public office holders shall arrange their private affairs in a manner that will prevent real, potential or apparent conflicts of interest from arising, but if such a conflict does arise between the private interests of a public office holder and the official duties and responsibilities of that public office holder, the conflict shall be resolved in favour of the public interest.

Gifts, Hospitality and Benefits

(6) Public office holders and their families shall not solicit or accept transfers of economic benefit, other than incidental gifts, customary hospitality, or other benefits of nominal value, unless the transfer is pursuant to an enforceable contract or property right of the public office holder.

Preferential Treatment

(7) Public office holders shall not use their position of office to assist private entities or persons where this would result in preferential treatment to any person.

Insider Information

(8) Public office holders shall not knowingly take advantage of, or benefit from, information that is obtained in the course of their official duties and responsibilities and that is not generally available to the public.

Government Property

(9) Public office holders shall 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.

Post-employment

(10) Public office holders shall not act, after they leave public office, in such a manner as to take improper advantage of their previous office.

Fundraising

(11) Public office holders are not to personally solicit funds from any person, group, organization or corporation where such fundraising could place public office holders in a position of obligation incompatible with their public duties.

Appendix II

Guidelines for Meetings of Board Staff
with Stakeholders

Introduction

Employees are expected to use formal and informal meetings with stakeholders to maintain and enhance their expertise and knowledge. However certain types of meetings can present a risk to the integrity of the Board's processes and require approval. These types of meetings are outlined below and processes set out for determining when such a meeting can proceed. If you have any questions about whether or not a proposed meeting comes within these Guidelines, you should speak with your Team Leader, Business Unit Leader or Legal Services. For all of the meetings outlined below, an agenda is required and minutes must be kept.

Pre-Application Meetings With Stakeholders

1. Where the attendance of Board Members is requested at a pre-application meeting with a regulated company or with possible interested parties, the request for the meeting should be made in writing through the Office of the Secretary of the Board and should include a proposed agenda.

2. All other meetings relating to a pending application shall follow the National Energy Board Pre-Application Meetings Guidance Notes (26 February 2004) ("Guidance Notes") and may be initiated by a request to a Team Leader. An agenda and minutes of the meeting must be prepared in accordance with the Guidance Notes.

Meetings with Stakeholders on Matters Unrelated to an Application

3. Other than pre-application meetings subject to the Guidance Notes, all meetings with stakeholders currently before the Board on a matter that is not before the Board, may be held upon the authorization of the Business Unit Leader and with the advice of counsel. If the Business Unit Leader disagrees with the advice of counsel, the meeting may be held upon the authorization of the Chief Operating Officer and with the advice of the General Counsel. If the Chief Operating Officer disagrees with the advice of the General Counsel on whether the meeting should be held, a final decision will be made by the Chairman of the Board. An agenda and minutes must be kept and filed with Records.

4. The Chief Operating Officer can exempt certain types of meetings from the requirements of section 3 upon request by a Business Unit Leader. A list of the exempted meetings can be found on the Intranet and the Internet.

Meetings on Regulatory Issues Before the Board

5. With the exception of meetings subject to the NEB Operating Procedures Informal Information Requests, all other meetings with stakeholders or others on a regulatory issue before the Board may be held with the agreement of the Chief Operating Officer and upon the advice of the General Counsel. If the regulatory issue is before a Panel, the Chairman of the Panel must also agree. Should the Chief Operating Officer disagree with the advice of the General Counsel, or, where applicable, the Chairman of the Panel does not agree with either or both of them, a final decision will be made by the Chairman of the Board. An agenda and minutes must be kept and staff attending the meeting may be required to restrict their dissemination of the information received by agreeing to follow certain of the Board's Procedures for Meetings on Matters before the Board which can be found on the Intranet and the Internet.

Post-Application Meetings

6. After a decision has been issued, meetings may be held with regulated companies for compliance monitoring or in relation to landowner complaints. However, where the compliance meeting is about an issue that involved both the regulated company and other interested parties, the meeting may be held if the Business Unit Leader agrees and upon the advice of counsel. If the Business Unit Leader disagrees with the advice of counsel, the meeting may be held upon the authorization of the Chief Operating Officer and with the advice of the General Counsel. If the Chief Operating Officer disagrees with the advice of the General Counsel on whether the meeting should be held, a final decision will be made by the Chairman of the Board. An agenda and minutes must be kept and filed with Records.

Appendix III

Terms of Reference
for Conflict of Interest Advisory Committee
and Chief Operating Officer
in Administration of the Code of Conduct

Mandate

1. By virtue of the delegation of authority in the Delegation of Human Resources Authorities, the COI Advisory Committee, the Executive Team and the Chief Operating Officer have the following authorities with respect to the administration of the Code:

Membership

2. The membership of the COI Advisory Committee shall consist of the Secretary of the Board, the General Counsel of the Board, and Team Leader, Human Resources. The General Counsel or the Acting General Counsel will chair the Committee. If either of the other two members is unavailable, the Chair may ask a person acting in their position to perform their role on the COI Advisory Committee. When the COI Advisory Committee meets, two members being present will constitute a quorum.

3. The attached Code of Conduct for NEB employees is hereby adopted by reference pursuant to section 4(3)(a) of the Conflict of Interest and Post-Employment Code for Public Office Holders.

4. The Code of Conduct for NEB Employees, effective April 2002, is replaced by the attached Code of Conduct for NEB Employees.

This Code of Conduct and these Terms of Reference are approved this 1st day of June 2005.

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Kenneth W. Vollman Chairman

Procedures for Meetings on Matters before the Board

Background

When a decision has been taken to allow staff to have meetings with people outside the Board on a matter which is currently before the Board, the staff attending the meeting must provide the Chief Operating Officer with an email confirming that they will follow for some or all these procedures.

Definitions

Board proceeding or proceeding - the hearing or Board process in which the Board is considering the matter which is the subject of the meetings with people outside the Board.

matter - the issue which is both before the Board in the proceeding and the subject of the meetings with people outside the Board.

meeting - the meeting with people outside the Board which includes discussion of a matter currently before the Board in a Board proceeding.

meeting staff - the staff that will be attending the meeting with people outside the Board.

protected Members and staff - the Members and staff who should not receive information regarding the meeting in question (as they are involved with the issue currently before the Board). This would normally be the panel and staff assigned to a hearing, and would include, any alternate Member until the hearing commences.

Procedures

In order to ensure that the Board proceeding is not compromised, some or all of the following safeguards will be put in place.

1. The protected Members and staff are identified and will not be part of the meeting staff.

2. Subsequent to the meeting, the meeting staff will not participate in the Board proceeding in any way.

3. The meeting staff will not discuss the matter with the protected Members and staff at any time prior to release of the Board's decision on the proceeding.

4. An agenda will be established for each meeting.

5. Minutes will be kept for each meeting. These may be shared with the participants at the meeting, but will only be disseminated on a restricted basis (see items 7, 8 and 9 below) until the decision in the Board proceeding is released.

6. All notes and information from the meetings will be kept on confidential computer drives until the decision in the Board proceeding is released. All hard copies of meeting documents will be kept locked at all times when not being worked on.

7. Until the decision in the Board proceeding is released, briefings on the discussions held at and information gathered from the meeting will be limited to: