Scanned copy. If there are errors, please e-mail me with corrections:
Code of Conduct,
Public Complaints Policy
And
Member Position Description Assessment Review Board
Board of Negotiation
Ontario Municipal Board
January 2002
Ontario
Municipal
Board Office of the Chair
655 Bay St Suite 1500
Toronto, ON M5G 1 E5
Tel (416) 326-6800
Fax (416) 326-5370 Member of the ARB, BON and OMB: In February, 2001, 1 established the Agency Reform Committee as a joint committee of the Ontario Municipal Board and the Assessment Review Board to review and report to me on a number of matters arising from the Government's Agency Reform initiative. I would like to thank the members of the committee for their time and effort on the project: Susan Fish, Chair, Wilson Lee, Susan Mather, Phil Solomon and Penny Wyger. The Committee's recommendations to the Chair were presented to each Board at the Intensive Training sessions in May 2001. The comments from those sessions and my own comments are reflected in this document. The attached represents some of the key aspects of the Agency Reform initiative of the Government:
* Member's Code of Conduct * Public Complaints Policy Regarding Members, and * Position Description for Members of the Assessment Review Board and the Ontario Municipal Board
Yours truly, David J. Johnnson, Chair
Assessment Review Board
Board of Negotiation
Ontario Municipal Board
Tab.# 1 ARB / BON / OMB Agency Reform
Implementation TABLE OF CONTENTS Code of Condut Page Background 1
1. Fairness 3 2. Accessibility 3 3. Timeliness 4 4. Quality and Consistency 4 5. Transparency 5 6. Expertise 5 7. Optimum Cost 6 8. Courtesy 6 9. Good Conduct 7 10. Collegiality 7 11. Impartiality 8 12. Conflict of Interest 9 13. Bias and Apprehension of Bias 10 14. Steps to take when the Question of Bias or Conflict of Interest is Raised 11 15. Post Service Conduct 13
ARB / BON / OMB Agency Reform
Implementation Complaints Policy 16. Public Complaints Policy for the Chair and Members 14 Position Description 17. Member Position Description for ARB and OMB 17
Tab.# 2 ARB / BON / OMB Agency Reform
Implementation Page 1 CODE OF CONDUCT Background Members appointed to the, Assessment Review Board (ARB), Board of Negotiation (BON) and
Ontario Municipal Board (OMB), as with appointees to all regulatory and adjudicative agencies,
are entrusted with responsibilities that demand a high degree of professionalism and integrity.
Following the direction of the Management Board of Cabinet, the Boards have adopted this Code
of Conduct for the guidance of their Members and to assist them in avoiding situations that might
undermine the public's confidence in their objectivity and impartiality.
The primary objectives of this Code of Conduct are to: * provide guidance to decision-makers appointed to the ARB, BON and OMB on
appropriate standards of conduct; and,
* provide members of the public appearing before the Boards with an understanding
of the standards of conduct that apply to decision-makers.
This Code of Conduct does not stand alone. It is complimentary to and supports the Boards'
procedures and policies, including the Boards' performance management plan, their complaints
process and their quality assurance procedures. It is recognized that the Code cannot anticipate
all possible fact situations in which Members may be called upon to exercise judgement as to the
appropriate standard of conduct. Compliance with this Code of Conduct will form part of a Members performance assessment.
Training will be provided to ensure that all Members understand the high standards of conduct expected of them. The Code is founded on the recognition that the conduct of Members must be governed by the
requirements of fairness, integrity and independence in
ARB / BON / OMB Agency Reform
Implementation Page 2 decision-making. The Code of Conduct articulates principles which are derived, in part, from
the eight goals of administrative justice articulated in the report, Everyday Justice, published
by the Agency Reform Commission and addresses the vital matters of collegial responsibility, personal conduct, bias, conflict of interest and obligations following the expiry of a Members term of appointment. This code applies to all Members of the Board, full or part-time.
ARB / BON / OMB Agency Reform
Implementation Page 3 CODE OF CONDUCT
1. FAIRNESS Principle
Members must provide services and perform statutory functions in an impartial, lawful, unbiased
and just manner. Member Responsibility * Members have an obligation to act fairly in the conduct of adjudicative
proceedings. Commentary:
To act fairly, Members must follow the law, including all relevant statute and common law.
Proceedings must be conducted in accordance with the principles of natural justice. To act fairly requires that Members conduct themselves in accordance with the principles and standards set out in this code.
2. ACCESSIBILITY Principle
Members must provide information and services that are simple and easy to use. Member Responsibility * Members must make all reasonable efforts to ensure that the proceedings
are accessible and barrier-free for all parties, representatives, witnesses
and observers.
* Members must make all reasonable efforts to conduct proceedings in a
manner that is understandable by all parties, whether or not they are
represented.
ARB / BON / OMB Agency Reform
Implementation Page 4 3. TIMELINESS Principle
Members must perform tasks within established time frames based upon reasonable expectations. Member Responsibility * Members must take all reasonable steps to ensure that proceedings are
concluded in a timely manner, including meeting the timelines established by the Board. Commentary:
High quality and thoroughness are most Important when preparing decisions, but decisions
should be prepared without undue delay Timeliness is a critical aspect of the performance
management framework for Members.
4. QUALITY AND CONSISTENCY Principle
Members must produce accurate and dependable information and results. Member Responsibility
Members are responsible to: * be fully prepared for a proceeding. * maintain the integrity of the hearing process. * maintain proper control over proceedings to ensure that pates have an equal
and fair opportunity to present their case. * maintain order and ensure proper decorum in the hearing room. * ensure that decisions are prepared in accordance with the Board's
guidelines on form and language, and meet the Board's standards for
decision quality. * recognize the public interest in consistency and predictability in the
exercise of their independent decision-making authority.
ARB / BON / OMB Agency Reform
Implementation Page 5 5. TRANSPARENCY Principles
Members must use policies and procedures in a way that is are clear and understandable to
everyone involved. Member Responsibility * Members decisions must be clear. Parties should be able to ascertain the Member's
reasons and the logic used in making the decision. * Members must ensure that proceedings are conducted in a manner that is
transparent and seen to be fair. Commentary:
If a party is not represented by legal counsel, Members should explain the Board's process, the Member's role and the parties' procedural rights and responsibilities. During a hearing, a Member must not communicate directly or indirectly with any party, witness or representative in respect of a proceeding, except in the presence of all parties and their representatives or with consent of all parties. Members should take care in social interactions to avoid any contact with parties, witnesses or representatives that might affect or appear to affect the transparency of the process.
6. EXPERTISE Principle
Members must possess and use the skill, knowledge and technical competence required to
discharge statutory responsibilities and maintain public confidence. Member Responsibility * Members should maintain a level of professional competence and knowledge
required to discharge their obligations and duties. * Members should maintain currency in the existing law, emerging issues,
trends, tribunal and judicial decisions pertaining to the work of the Board.
ARB / BON / OMB Agency Reform
Implementation Page 6
7. OPTIMUM COST Principle
Members must attempt to provide services at a cost that is based on best practices and is
cost effective for everyone involved. Member Responsibility * Members should provide, if possible, parties with opportunities to resolve
issues before them without a formal hearing. * Members should ensure that proceedings are efficient and streamlined, to the
greatest extent possible, without sacrificing the principles of fairness,
accessibility, quality and consistency.
8. COURTESY Principle
Members must demonstrate respect for everyone who comes into contact with the Board. Member Responsibility * Members should be patient, dignified, and courteous in performing their duties.
Commentary:
Members should demonstrate a high degree of sensitivity to issues of gender, age, ability,
race, sexual orientation, marital status, language, culture and religion.
ARB / BON / OMB Agency Reform
Implementation Page 7 9. GOOD CONDUCT Principle
Members must act in a manner that contributes to the public's confidence in the Board. Member Responsibility * Members should act with honesty and integrity, and conduct themselves in a manner
consistent with the nature of their responsibilities and the maintenance of public
confidence in the administration of justice. * Members should not engage in any conduct that may, or may be perceived to
constitute an abuse of their office. * Members must not personally appear before the Board on their own behalf. * Members must not act as a representative on behalf of any party in any proceeding
before the Board.
Commentary:
A Member wishing to file an appeal to the Board in a matter in which he or she has an interest or in which the Member's spouse or child has an interest must engage a lawyer, agent or other professional representative to file and represent, the appeal on his or her behalf. The Member must follow the procedures for Member's appeals as set out in the Boards' Member's policies or practices.
10. COLLEGIALITY Principle
Members must demonstrate respect and co-operation in dealing with colleagues and Board
staff.
ARB / BON / OMB Agency Reform
Implementation Page 8 Member Responsibility * Members should foster a collegial working environment and conduct
themselves in a manner that reinforces the integrity and professionalism of
the Board. * Members should support less experienced Board Members and treat staff
in a respectful manner. * Members should conduct themselves in a manner which demonstrates
respect for the views and opinions of their colleagues.
11. IMPARTIALITY Principle
Members must avoid situations of real or perceived conflict of interest or bias. Member Responsibility * Members must make decisions independently without fear of criticism. * Members should approach every proceeding and every issue in a proceeding with
an open mind, and avoid doing or saying anything to cause any person to think otherwise. * In the conduct of Board proceedings, Members' decisions should be based on an
application of the relevant law to the evidence presented in each case and not on
irrelevant considerations. * Members must avoid conflicts of interest.
Tab.# 3 ARB / BON / OMB Agency Reform
Implementation Page 9
12. CONFLICT OF INTEREST Principle
A conflict of interest arises when a Members private or personal financial interests take precedence
over or compete with the Member's responsibilities as an appointee. A conflict of interest will exist when an adjudicator has a financial interest that may be affected by
the resolution or treatment of a matter before the Board. The financial interest may be that of the
Board Member or other person with whom the Member has a close personal or professional
relationship. Member Responsibility * A Member shall not adjudicate in any proceeding, or participate in Board discussions of any
matter, in which the Member has a financial interest. * A Member shall not accept money or gifts if a gift is, or may be perceived to be,
offered because of membership in the tribunal. * A Member shall not appear in front of the Board of which he or she is a Member. * A Member must comply with all applicable legislation regarding conflicts of interest. * A Member is entitled to pursue the Member's right of appeal through an agent.
Tab.# 4 ARB / BON / OMB Agency Reform
Implementation Page 10 13. BIAS AND APPREHENSION OF BIAS Principle
Bias is a lack of neutrality or impartiality on the part of a decision-maker regarding an issue to
be decided. A biased decision-maker is one who is predisposed to decide a case on the basis
of considerations extraneous to the evidence or the applicable law, policy or argument made
in the case. Bias may exist when there is a direct, recent or existing close relationship between the Member
and a party involved in the proceeding. The relationship may be organizational or personal. There may be an apprehension of bias when a Member demonstrates possession of and
reliance on information that has been gained through prior involvement with one party to a
dispute regarding the dispute. Such bias may arise in situations in which a Member meets
privately with one or another of the parties to a hearing after he or she has become seized of
a case.
Member Responsibility * Members should not only be unbiased, but also appear to be so. A reasonable
apprehension of bias by an observer can be as detrimental to the hearing as
actual bias.
Tab.# 5 ARB / BON / OMB Agency Reform
Implementation Page 11 14. STEPS TO TAKE WHEN THE QUESTION OF BIAS OR CONFLICT OF
INTEREST IS RAISED Member Responsibility Before the Hearing Commences * When an allegation of bias or conflict of interest comes to the attention of a Member prior
to the hearing, the Member should withdraw, if the Member feels the allegation may have
foundation. The Chair should be subsequently informed of the situation by the Member. * If there is no allegation but the question of bias or conflict of interest comes to the
attention of the Member prior to the hearing, for example during the Member's review
of the file or during the prehearing process, the Member should bring this to the
attention of the Chair. After the Member reviews the circumstances privately with the
Chair, the Chair may decide that the Member can continue to be assigned to the
hearing. Notwithstanding the decision of the Chair, the Member shall have the
discretion to remove himself or herself from the hearing. * When there is a panel of Members assigned and the question of bias or conflict of
interest comes to the attention of any one of the Members of the panel either by way
of the Member's review of the file or by an allegation that is raised before the
hearing, then the question must be disclosed immediately to the other Members of
the hearing panel. The Member should withdraw from the panel if the Member feels
the allegation may have foundation. The Chair should be subsequently informed of
the situation by the Member.
ARB / BON / OMB Agency Reform
Implementation Page 12 After the Hearing Commences * If an allegation of bias or conflict of interest is raised after the hearing
commences, it is the responsibility of the Member to determine whether there is
a bias or a conflict of interest. The Member should withdraw from the panel if the
Member feels the allegation may have foundation. If the allegation is brought by
a party to the proceeding, the party should bring a motion before the panel, and
the panel should hear submissions and determine the issue. If the decision is
rendered orally, the panel should subsequently issue a written decision. If the
Member agrees to withdraw when the allegation is brought to the Members
attention, then there is no need for the motion or the written decision. The Chair
should be subsequently informed of the situation by the Member. * If there is no allegation but the question of bias or conflict of interest comes to
the attention of a Member after the hearing commences, it is the responsibility of
the Member to determine whether there is a bias or a conflict of interest. The
Member should withdraw from the panel if the Member feels the allegation may
have foundation. The Chair should be subsequently informed of the situation by
the Member. * When there is a panel of Members sifting and the question of bias or conflict of
interest comes to the attention of any one of the Members of the panel either by
way of the Member's review of the file or by an allegation that is raised at the
hearing, then the question must be disclosed immediately to the other Members
of the hearing panel. The Member should withdraw from the panel if the Member
feels the allegation may have foundation. The Chair should be subsequently
informed of the situation by the Member.
Tab.# 6 ARB / BON / OMB Agency Reform
Implementation Page 13 15. POST SERVICE CONDUCT Principle
As an adjudicative tribunal, the Boards have significant responsibilities to the parties, the public,
and the administration of justice. Members are expected to conduct themselves in a principled
fashion. Members are appointed for limited terms and often return to their fields of expertise once their
terms have expired. Member Responsibility * When a former Member appears before the Board, there is an obligation on all
sides to ensure that the integrity of the Board is maintained. * A former Member should not appear before the tribunal as a representative,
agent, expert witness or consultant if that appearance would compromise the
ability of the Board to fulfill its obligation to provide service and perform statutory
functions in an impartial, lawful, unbiased and just manner. The former Member
should not appear for a period of a minimum of three months after ceasing to be a Member.
Tab.# 7 ARB / BON / OMB Agency Reform
Implementation Page 14 PUBLIC COMPLAINTS POLICY FOR THE CHAIR AND MEMBERS Introduction The Ontario government, through the Agency Establishment and Accountability Directive, requires
all agencies to put in place a process for responding to client and stakeholder complaints. Those
who interact with the, Assessment Review Board, Board of Negotiation and Ontario Municipal
Board have the right to voice their concerns about the way that these Agencies conduct their
business. The Boards make the following commitments to the taxpayers of Ontario: * The Boards are open and honest in their behaviour, creative and responsive to
change, and committed to continuous self-improvement and integrity. These values
will be demonstrated within the context of a professional and accountable public service. * The Boards are fair, impartial and consistent in the exercise of their adjudicative
responsibilities and strive to be accessible to everyone who must come before
them to adjudicate disputes.
Important Points about the Policy * This policy deals with the conduct of Members, including the Chair associated with a
hearing. It does not deal with complaints arising from dissatisfaction with a Board decision
or complaints arising under Section 43 of the Ontario Municipal Board Act. * Copies of this policy are available from the offices of the Boards. This policy only
applies to complaints that are received in writing. Oral complaints will be dealt with
in the most expeditious manner, as decided by the Chair or the Chair's designate. * The Board will not accept anonymous complaints.
ARB / BON / OMB Agency Reform
Implementation Page 15 * The Boards will respond to the complaint and make every effort to resolve it to the
complainant's satisfaction. The Boards will explain their position as fully as
possible so that the complainant can understand the reasons guiding the decision. * This policy does not affect the right to raise concerns with the Ombudsman of
Ontario if the person making the complaint is dissatisfied with the Board's efforts to resolve
the complaint.
Complaints Procedure Contact: Complaints relating to the conduct of a Board Member, other
than the Chair, should be directed to the Chair.
Complaints relating to the conduct of the Chair, should be
directed to the Attorney General of Ontario, the Minister
responsible for the three Boards. Timeliness: A response will be provided within 15 working days after the
complaint has been received. If the matter cannot be fully
resolved within this time period, the Board or the Attorney
General as the case may be, will advise how long it will take
to review the matter and to provide a complete response. Confidentiality: Complaints are dealt with in confidence. However, the
person who is the subject of the complaint will receive a
copy of the complaint and will be provided with an
opportunity to explain his or her position on the substance of
the complaint. Reporting Back: Persons who are affected by a complaint will be advised of
the results of the review and any actions to be taken.
ARB / BON / OMB Agency Reform
Implementation Page 16
Contacts David J. Johnson, Chair
Ontario Municipal Board
Board of Negotiation
655 Bay Street, 15 th Floor
Toronto, Ontario
M5G 1E5
(416) 326-6251
OR Assessment Review Board
250 Yonge Street, 30th Floor
Toronto, Ontario
M5B 2L7
(416) 314-6902
Attorney General 1 th Floor
720 Bay Street, 1
Toronto, Ontario
M5G 2K1
(416) 326-2220
Tab.# 8 ARB / BON / OMB Agency Reform
Implementation Page 17 MEMBER POSITION DESCRIPTION
ASSESSMENT REVIEW BOARD
AND
ONTARIO MUNICIPAL BOARD
Purpose of Position To conduct hearings, make decisions based on evidence and submissions at the hearing and
provide reasons therefore. The hearings are conducted in an adjudicative setting involving a wide variety of matters coming
under the jurisdiction of the Board, as designated by the Assessment Review Board Act, the
Ontario Municipal Board Act and by the other provincial statutes which designate responsibilities
to the Board. The decisions made and the reasons for the decisions must be rendered independently, and
impartially, without bias or prejudice. They must properly reflect the evidence, administrative law
and the applicable legislation. Major Responsibilities 1. Conduct hearings alone, or as a Member of or Chair of a panel. The purpose
of the hearing is to adjudicate a wide variety of matters as directed through
the applicable legislation. Members are required to travel extensively for
hearings which vary in length from one-half day to several weeks, and which
may occur throughout the Province. 2. Make determinations from the evidence and arguments presented at the
hearing on issues upon which a decision, written and oral, is based.
Decisions should be issued in a timely manner.
ARB / BON / OMB Agency Reform
Implementation Page 18 3. Conduct prehearing conferences and undertake case management. 4. Conduct mediations. 5. Ensure that hearings are conducted in accordance with the Board's Rules of
Practice and Procedure, the Statutory Powers Procedure Act and other
applicable legislation. Members are to impartially decide all matters assigned
by weighing and analysing the evidence to determine the facts, and by
applying the statutes and case law to the various issues identified. 6. Perform the work required in an effective, pro-active, self-directed and timely
manner, using the resources of the Board appropriately and working with the
staff, other Board Members, the Vice-Chairs and the Chair in a supportive,
courteous and responsible manner. To participate in Board committees on
policy and procedural matters, as requested, and to perform such other
duties as may be required by the Chair or Vice-Chairs, from time to time.
Members should read other Members' decisions as part of their continuing
education during their time at the Board. 7. Assist, when directed by the Chair, in the review and revision of the practices
and procedures of the Board with respect to the hearing process, written
decisions, impact of new legislation and the development of orientation and
training programs for Members. 8. Respond in a timely manner to requests from the Chair, Vice-Chairs, or Legal
Counsel to the Board, regarding the review of the Member's decision. 9. Attend at training seminars, conferences and meetings at the request of the Board. 10. Perform all work so as to maintain and enhance the professional credibility of the
Board, in accordance with the Board's Code of Conduct.
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