Council Code of Conduct Policy

A. Informal Complaint Procedure

Council, a member of Council or a member of the public who has identified or witnessed behavior or an activity by a member of Council that they believe is in contravention of the Code of Conduct who wishes to address this behavior or activity through the informal complaint procedure shall:

1.  File a written request and supporting affidavit with the Clerk, noting grounds for belief of an alleged contravention including, dates, times, locations, other persons present, and any other relevant information;

2.  The Clerk shall provide to the subject member of Council a copy of the allegation without disclosing the identity of the complainant;

3.  The member of Council will be provided ten working days in which to provide the Clerk with a written response to the allegation;

4.  The complainant will be provided with a copy of the member’s response and be given ten working days in which to:

1. 1. provide a written response to the Clerk stating satisfaction with the response; or,
   2. provide a written response to the Clerk stating dissatisfaction with the response and the need to pursue the matter in accordance with the Formal Complaint Procedure of this protocol.

5.  The Clerk shall advise the member of the complainant’s position.

Anyone wishing to file a request for an investigation is encouraged to initially pursue the Informal Complaint Procedure as a means of stopping and remedying the behavior or activity that is inconsistent with the Code of Conduct. However, it is not a precondition or prerequisite that the complainant pursue the Informal Complaint Procedure prior to pursing the Formal Complaint Procedure.

B. Formal Complaint Procedure: Integrity Commissioner

1.  Request for Inquiry

Where a Council, member of Council, or a member of the public have reasonable and probable grounds to believe that a member of Council has contravened the Code of Conduct may request that the matter be reviewed by the Integrity Commissioner (IC).

2.  Complaint

The filing fee to initiate a formal request is $200.00, payable in cash, or by debit card to Haldimand County. This filing fee will be refunded if it is determined by the IC that the complaint warrants proceeding to the investigation stage.

The request shall be in writing and shall set out the grounds for the belief of the alleged contravention and including a supporting affidavit that states evidence in support of the complaint.

For example, facts should include the name of the alleged violator, the provision allegedly contravened, facts constituting the alleged contravention, the names and contact information of witnesses, and contact information respecting the complainant during normal business hours.

The Clerk or Deputy Clerk is authorized to take the supporting affidavit.

The request shall be submitted within six weeks of the complainant becoming aware of the alleged contravention.

3.  Initial Classification by Integrity Commissioner

3.1  The request shall be filed with the Clerk who shall forward the matter to the IC for initial classification with respect to non-compliance with the Code of Conduct.

3.2  Incomplete Request

If the complaint does not include a supporting affidavit, the request will be deemed incomplete and returned to the complainant by the Clerk.

3.3  Requests not Applicable to the Code of Conduct

If the complaint, including the supporting affidavit, is not, on its face, a complaint with respect to non-compliance with the Code of Conduct or constitutes a complaint that should be pursued under other legislation, the IC shall instruct the Clerk to advise the complainant in writing as follows:

a.  if the complaint on its face is an allegation of a criminal nature consistent with the Criminal Code of Canada, the complainant shall be advised that the proper recourse is to pursue the matter with the appropriate Police Force;

b.  if the complaint on its face is with respect to non-compliance with the Municipal Conflict of Interest Act, the complainant shall be advised to pursue the matter with the IC in accordance with the protocol outlined in Schedule 2, if applicable, or with their own legal counsel;

c.  if the complaint on its face is with respect to non-compliance with a more specific Council policy, other than those policies listed in Part 9, which has a separate complaint procedure, the complainant shall be advised that the matter will be processed under that policy; or

d.  if the complaint, on its face, is not with respect to non-compliance with matters described in (a) (b) or (c) above, but is not within the jurisdiction of the IC, the complainant shall be so advised.

3.4  Reports

The IC shall report to Council when a specific complaint is not within the jurisdiction of the IC, but shall not disclose confidential information that could identify a person concerned.

4.  Integrity Commissioner’s Investigation

4.1  Refusal to Conduct Investigation

The IC shall terminate the investigation if in his or her opinion the matter is frivolous, vexatious or not made in good faith, or that there are no grounds or insufficient grounds for an investigation. The IC shall report to Council that a specific complaint has been terminated, but shall not disclose confidential information that could identify a person concerned.

4.2  Investigation

If a complaint has been classified as being within the IC’s jurisdiction and not rejected under the previous section, the IC shall conduct an investigation.

The IC will proceed as follows:

a.  bearing in mind the confidentiality requirements of the Municipal Act, it will be at the discretion of the IC whether to disclose the identity of the complainant to relevant parties in order to facilitate the investigation. Any party to this investigation who is made aware of the identity of the complainant is bound to maintain the secrecy of the complainant and to not use this information for any purpose other than to provide a full answer or defense to the complaint.

b.  file a copy of the complaint and supporting material upon the member whose conduct is in question with a request that a written response to the allegation by way of affidavit be filed within ten working days; and

c.  serve a copy of the response provided upon the complainant with a request for a written reply within ten working days.

If necessary, after reviewing the written materials, the IC may speak to anyone relevant to the complaint, examine any other documents relevant to the complaint and may enter any County work location relevant to the complaint for the purposes of investigation.

The IC may make interim reports to Council as required to address any instances of interference, obstruction or retaliation encountered during the investigation.

d.  Section 223.4 (2) of the Municipal Act authorizes the IC to elect to exercise the powers of a commission under the Public Inquiries Act. When the Public Inquiries Act applies to an investigation of a complaint, the IC shall comply with the procedures specified in that act and this Complaint Protocol, but if there is a conflict between a provision of the Complaint Protocol and a provision of the Public Inquiries Act, the provision of the act prevails.

4.3  Termination of Inquiry During Election

If the IC has not completed an inquiry before Nomination Day for a regular election as set out in Section 31 of the Municipal Elections Act, 1996, the IC shall terminate the inquiry on that day. Any incomplete inquiry shall not recommence unless within six weeks after Voting Day of the regular election, the person who made the request or the member or former member whose conduct is concerned, makes a written request to the IC that they inquiry be commenced.

Also, during the period of time starting on Nomination Day and ending on Voting Day of a regular election:

• • • No request for an inquiry will be allowed.
    • The IC shall not report to Council on any contravention of the code of conduct.
    • Council shall not consider whether to impose any penalties on a Member.

4.4  Final Report

a.  The IC shall report to the complainant and the member no later than 90 days after the filing of the complaint with the Clerk.

b.  Where the complaint is sustained in whole or in part, the IC shall also report to Council outlining the findings and when applicable, recommend corrective action, while maintaining the confidentiality of the complainant.

c.  Where the complaint is dismissed, the IC shall report to Council, maintaining the confidentiality of any information which could identify a person concerned.

4.5  Lawful Recommendations

Any recommended corrective action must be permitted in law and shall be designed to ensure that the inappropriate behavior or activity does not continue.

4.6  Member not Blameworthy

If the IC determines that there has been no contravention of the Code of Conduct or that a contravention occurred although the member took all reasonable measures to prevent it, or that a contravention occurred that was trivial or committed through inadvertence or an error of judgment made in good faith, the IC shall provide a report to Council and shall make recommendation with respect to any corrective action, having regard for the findings.

4.7  Copies

The Clerk shall give a copy of the report to the complainant and the member whose conduct is the subject of investigation.

4.8  Report to Council

The Clerk shall process all reports of the IC to the next available meeting of Council.

4.9  Publication of Reports

The Clerk shall ensure that reports received from the IC by the municipality are made available to the public.

Under Section 223.4.1 (2) of the Municipal Act, 2001, an elector as defined in the Municipal Conflict of Interest Act (MCIA), or a member of the public demonstrably acting in the public interest, may request the Integrity Commissioner (IC) to conduct an inquiry about whether a Member has contravened Section 5, 5.1 or 5.2 of the MCIA.

1.  Request for Inquiry

a.  A request for an inquiry into a potential contravention of Section 5, 5.1 or 5.2 of the MCIA shall be in writing and may only be made within six weeks of the complainant becoming aware of the alleged contravention.

NOTE: If both of the following are satisfied, the six-week limitation period does not apply:

1.  The complainant became aware of the alleged contravention within the period starting six weeks before Nomination Day for a regular election and ending on Voting Day; and,

2.  The complainant makes the request for an inquiry within six weeks after Voting Day in a regular election.

b.  A request shall set out all reasonable and probable grounds for the allegation that the Member has contravened Section 5, 5.1 or 5.2 of the MCIA and shall include a supporting affidavit that sets out the evidence in support of the complaint.

c.  The Clerk or Deputy Clerk is authorized to take the supporting affidavit.

d.  In a municipal election year, starting on Nomination Day and ending on Voting Day, no requests for an inquiry shall be submitted and the IC shall not report to the Municipality about whether or not a Member of Council contravened the MCIA.

2.  Initial Review by Integrity Commissioner

a.  The request shall be filed with the Clerk who shall forward the matter to the IC for initial review to determine if the matter is, on its face, a complaint with respect to non-compliance with Section 5, 5.1 or 5.2 of the MCIA.

b.  If the request does not include the required affidavit, the request shall not be forwarded to the IC until one is provided.

c.  If the complaint, including any supporting affidavit, is not on its face, a complaint with respect to non-compliance with Section 5, 5.1 or 5.2 of the MCIA or the complaint is covered by other legislation or a complaint procedure under another Council policy, the IC shall instruct the Clerk to advise the Complainant in writing as follows:

a.  If the complaint is, on its face, an allegation of a contravention of the Council Code of Conduct, the IC will investigate it as outlined in Schedule 1.

b.  If the complaint on its face is an allegation of a criminal nature consistent with the Criminal Code of Canada, the IC shall refer it to the appropriate authorities and advise the complainant that if the complainant wishes to pursue any such allegation, the complainant must pursue it with the appropriate police service;

c.  If the complaint on its face relates to non-compliance with the Municipal Freedom of Information and Protection of Privacy Act, the complainant shall be advised that the matter will be referred to the Clerk for review.

d.  If the complaint on its face is with respect to non-compliance with a different Council policy, with a separate complaint procedure, the complainant shall be advised that the matter will be processed under that procedure; and

e.  In other cases, the complainant shall be advised that the matter, or part of the matter, is not within the jurisdiction of the IC to process, with any additional reasons and referrals as the IC considers appropriate.

d.  The IC shall report annually to Council on complaints made that were determined not to be within the jurisdiction of the IC, but shall not disclose information that could identify a person concerned.

3.  Integrity Commissioner Investigations

a.  If the IC is of the opinion that the referral of a matter to them is frivolous, vexatious or not made in good faith, or that there are no grounds or insufficient grounds for an investigation, the IC shall not conduct an investigation, or, where that becomes apparent in the course of an investigation, shall terminate the investigation.

b.  Other than in exceptional circumstances, the IC shall not report to Council on any complaint described in subsection (a) except as part of an annual or other periodic report.

4.  Investigation & Settlement

a.  If a complaint has been classified as being within the IC’s jurisdiction and not rejected under Section 2 or 3, the IC shall investigate and may attempt to settle the complaint.

b.  The IC shall complete their investigation within 180 days after the date of submission of the complaint.

c.  Section 223.4.1 (9) of the Municipal Act, 2001, authorizes the IC to elect to exercise the powers of a commission under the Public Inquiries Act, 2009.

d.  When the IC elects to exercise the powers of a commission under the Public Inquiries Act, the IC may exercise all powers and comply with the procedures specified in that act and this Complaint Protocol, but if there is a conflict between a provision of the Complaint Protocol and a provision of the Public Inquiries Act, the provision of the Public Inquiries Act prevails.

e.  The IC will proceed as follows, except where otherwise required by the Public Inquiries Act:

a.  Serve the complaint and supporting material upon the Member whose conduct is in question with a request that a written response to the allegation by way of affidavit be filed within ten days or such longer period as the IC may authorize in writing; and,

b.  Serve a copy of the response provided by the Member upon the complainant with a request for a written reply within ten days or such longer period as the IC may authorize in writing.