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POLICY - AMPS Conflict of Interest and Code of Conduct - 20230410 100 John West Way Aurora, Ontario L4G 6J1 (905) 727-3123 aurora.ca Town of Aurora Administrative Monetary Penalties System - Conflict of Interest and Code of Conduct Bylaw Services Contact: Manager of Bylaw Services, Corporate Services Approval Authority: CAO Effective: April 10, 2023 Revised: April 10, 2023 ______________________________________________________________________________________ Purpose The Municipal Act, 2001 requires a municipality establishing an Administrative Monetary Penalty System (AMPS) to have a policy relating to conflicts of interest. In accordance with the Regulation, the Policy must define what constitutes a conflict of interest in relation to AMPS, contain provisions to prevent such conflicts and to address such conflicts should they occur. This Policy addresses conflict of interest provisions in relation to the administration of AMPS. The Policy set out requirements relating to Screening Officers, Hearing Officers and Town staff in order to prevent actual, potential and perceived conflicts of interest, and to ensure that AMPS responsibilities are conducted in accordance with fundamental principles of justice, which include judicial and prosecutorial independence, fairness, impartiality, competence and integrity. Scope This Policy applies to all Screening Officers, Hearing Officers, and all Town employees involved in the administration of the AMPS program. The following shall apply in addition to this Policy: • For Town employees involved in the administration of the AMPS program: the Employee Code of Conduct Policy, shall also apply regarding the activities of an employee in the administration of the AMPS program. In the event of a conflict between the provisions of this Policy and the provisions of the Employee Code of Conduct Policy, in relation to AMPS, this Policy shall supersede. • For Hearing Officers: the provisions of any agreement governing the retainer between the Town of Aurora and a Hearing Officer(s), shall also apply regarding the activities of the Hearing Officer. In the event of a conflict between this Policy and the agreement, the provisions of this Policy shall supersede. 2 This Policy shall apply in addition to all applicable town policies (i.e., Employee Code of Conduct, etc.). A breach of town policy relevant to any matters set out in this Policy shall be deemed to be a breach of this Policy. Definitions Administrative Penalty By-law The by-law passed by the Town of Aurora to establish administrative penalties for parking, as amended from time to time, or any successor thereof; AMPS Administrative Monetary Penalty System, established pursuant to the Administrative Penalty By-law; Clerk The Town Clerk, or anyone designated by the Town Clerk to perform their duties relating to AMPS; Council The Council of the Town; Director The department head responsible for the Bylaw Services division of the Town, or their designate or successor; Employee Code of Conduct Policy The policy adopted by the Town to govern employee conduct, provide ethical standards and conflict of interest, as amended from time to time, or any successor thereof; Hearing Officer Any person appointed by the Town from time to time pursuant to the Screening and Hearing Officer By-law, to perform the functions of a hearing officer in accordance with the Screening and Hearing Officer By-law and the Administrative Penalty By-law; Hearing Review The process related to review of a Screening Decision, as set out in Section 6.0 of the Administrative Penalty By-law; Parent A person who has demonstrated a settled intention to treat a child as a member of their family, whether or not that person is the natural parent of the child; Penalty Notice A penalty notice as described in Section 4.0 of the Administrative Penalty By-law 6450- 22; 3 Person Includes an individual or a corporation; Policy for Appointment of Screening and Hearing Officers The policy adopted by the Town of Aurora to govern the Appointment of Screening and Hearing Officers, as amended from time to time, or any successor thereof; Power of Decision A power or right, conferred by or under this By-law and the Administrative Penalty By- law, to make a decision deciding or prescribing the legal rights, powers, privileges, immunities, duties or liabilities of any Person; Relative Includes any of the following persons: • spouse, common-law partner, or any person with whom the person is living as a spouse outside of marriage; • Parent or legal guardian; • child, including a stepchild and grandchild; • siblings and children of siblings; • siblings of parents and their children (typically known as aunt, uncle, niece and nephew); • in-laws, including parents, siblings, and children; or; • any person who lives with the person on a permanent basis. Screening and Hearing Officer By-law The by-law passed by the Town to establish the positions of screening and hearing officers and to provide for the appointment of screening and hearing officers, in relation to administrative penalties for parking, as amended from time to time, or any successor thereof; Screening Decision The decision of a Screening Officer, as set out in Section 5; of the Administrative Penalty By-law; Screening Officer Any person appointed by the Town from time to time pursuant to the Screening and Hearing Officer By-law, to perform the functions of a screening officer in accordance with the Screening and Hearing Officer By-law and the Administrative Penalty By-law; Screening Review The process related to review of a Penalty Notice, as set out in Section 5.0 of the Administrative Penalty By-law; and Statutory Powers Procedure Act 4 The Statutory Powers Procedure Act, R.S.O. 1990, c. S. 22, as amended from time to time, or any successor thereof; Town The Corporation of the Town of Aurora. Policy Appointment of Screening Officers and Hearing Officers The Screening and Hearing Officer By-law and Policy for Appointment of Screening and Hearing Officers establishes the rules regarding the appointment of Screening Officers and Hearing Officers. Screening and Hearing Officers shall be appointed and recruited in accordance with the Policy for Appointment of Screening and Hearing Officers. The following persons shall not be eligible for appointment as or to remain as a Screening Officer or Hearing Officer: • a member of Council; • a Relative of member of Council; • an individual indebted to the Town other than; o in respect of current real property taxes; or o pursuant to an agreement with the Town of Aurora, where the individual is in compliance with the terms thereof; and • in the case of a Hearing Officer, an employee of the Town of Aurora. Conflict of Interest Administration Conflict A conflict of interest arises where a Screening Officer, Hearing Officer or Town employee involved in the administration of AMPS, or any Relative of same, has a direct or indirect personal or financial interest: • such that they could influence a decision made in relation to AMPS; • that may affect the performance of their job duties in relation to AMPS; • that conflicts, might conflict, or may be perceived to conflict with the interests of the proper administration of AMPS; or • that may adversely affect the reputation of the Town as a public authority in relation to AMPS. Additional Conflict of Interest A conflict of interest includes a pecuniary or non-pecuniary interest, actual, perceived, or potential conflict, that could arise in relation to personal or financial matters, including but not limited to: • directorships or employment; • interests in business enterprises or professional practices; 5 • share ownership or beneficial interests in trusts; • professional or personal associations with a Person; • professional associations or relationships with other organizations; • personal associations with other groups or organizations; • or family relationships, including Relatives. Conduct of Screening Officers and Hearing Officers Screening Officer Screening Officers are employees of the Town of Aurora and therefore must also abide by the Town’s Employee Code of Conduct and Ethics. Screening Officers must be and appear to be impartial at all times. Screening Officers shall not review a Penalty Notice for a personal or business acquaintance or Relative. Screening Officers shall not review a penalty notice that they have issued. Hearing Officer Hearing Officers, in conducting a Hearing Review, are bound by and shall comply with the Statutory Powers Procedures Act, as well as general administrative common law principles (i.e., procedural fairness, natural justice, impartial and unbiased decision making, etc.). Hearing Officers must be and appear to be impartial at all times. A Hearing Officer shall not review a Screening Decision for a personal or business acquaintance or Relative. Hearing Officers must also abide by the terms of any agreement governing the retainer between the Hearing Officer and the Town of Aurora. All Screening Officer(s) and Hearing Officer(s) shall: • both be and appear to be independent, impartial, and unbiased; • avoid all conflicts of interest, whether real, potential or perceived, and promptly take appropriate steps to disclose, resolve, or obtain advice with respect to any such conflict should it arise; • not represent any Person at a Screening Review or Hearing Review; • not dispute their own Penalty Notices and are expected to pay the Penalty Notice in a timely manner; • not be influenced by partisan interests, public opinion, or by fear of criticism; • not use their title and position to promote their own interests or the interests of others; • discharge their duties in a ccordance with the law, Town by-laws and AMPS policies, procedures and guidelines in effect from time to time; 6 • maintain and upgrade their knowledge and competence through their work, by participating in training, and by seeking guidance from their colleagues and the Town, as necessary; • remain up to date on changes in the law, Town by-laws, policies and procedures relevant to their function; • act with integrity, as they are subject to ongoing public scrutiny; • respect and comply with the law and conduct themselves at all times in a manner that promotes public confidence in the integrity and impartiality of AMPS; • approach their duties in a calm and courteous manner when dealing with the public and others and present and conduct themselves in a manner consistent with the integrity of AMPS and with their appointment; • convey their decisions in plain language, including the reasons therefor where such are required; • safeguard the confidentiality of information that comes to them by virtue of their work and not disclose that information except as required by, and in accordance with, the law; • in discharging their duties, treat those with whom they deal with in a respectful and tolerant manner regardless of the gender, sexual orientation, race, religion, culture, language, mental abilities, or physical abilities of those Persons, and without limiting the foregoing, comply in all respects with the Ontario Human Rights Code; • refrain from openly and publicly criticizing the administration of AMPS or the conduct of others, including Town employees or members of Council. Screening Officers and Hearing Officers shall acknowledge that only the Clerk or Director may speak publicly on behalf of the Town’s AMPS program. Any criticisms, suggestions or concerns related to AMPS shall be communicated through appropriate channels to the Clerk or the Director; • deal with the matters that come before them in a timely manner and make themselves accessible to those requiring their services; • not knowingly exercise a power or function for which they have not been trained or designated. Without limiting the foregoing, Screening Officers, Hearing Officers, and all persons involved in the administration of AMPS shall avoid activities or circumstances that create conflicts, whether real, potential or perceived, between their personal interests and their responsibilities in relation to AMPS, including situations where their personal interests or the perception that their personal interests could influence any decisions they make on behalf of the Town of Aurora. 7 Any obligation, interest, or participation, which would or could interfere with the fair and impartial administration of AMPS or the exercise of judgment in relation to AMPS, constitutes conflict of interest. Every Screening Officer, Hearing Officer or Town of Aurora employee involved in the administration of AMPS, must disclose, in accordance with this Policy, any obligation, commitment, relationship or interest that poses a real, potential or perceived conflict with his or her duties in relation to or interests in the administration of AMPS. Preventing Conflict of Interest The keys to preventing conflicts of interest are identification, disclosure, and withdrawal from the power of decision with respect to a Screening Review or Hearing Review. The need for identification, disclosure and withdrawal from a Power of Decision or administrative role in relation to AMPS applies to any real, potential, or perceived conflict of interest. Assignment of Alternate Screening Officer or Hearing Officer Where a real, potential, or perceived conflict of interest is reported by a Screening Officer or Hearing Officer, as set out in this Policy: • in the case of a review of a Screening Review or Hearing Review that has not yet commenced, the Director shall assign another Screening Officer or Hearing Officer to conduct the review to avoid actual, potential, or perceived conflict of interest; or • in the case of a review of a Screening Review or Hearing Review that has commenced: o the Screening Officer or Hearing Officer, as the case may be, shall adjourn the review and withdraw from the Power of Decision; and o the Director shall cause the Screening Review or Hearing Review to be recommenced and rescheduled with another Screening Officer or Hearing If all appointed Screening Officers and/or Hearing Officers have a conflict of interest with a matter, the Director shall retain another Screening Officer or Hearing Officer to handle the matter that is the subject of the conflict of interest. The Director may consult with the Town Solicitor, or their designate, for further guidance in regard to this Policy. Where a Screening Officer or Hearing Officer is charged with any offence under the Criminal Code of Canada, or under any other Federal or Provincial statute or Regulation where continuing to perform duties may erode public confidence in the administration of justice, the Screening Officer or Hearing Officer shall disclose same to the Director 8 within 5 business days of the charge being laid, and appropriate action will be taken by the Town of Aurora, which, if determined appropriate, may include suspension from duties until the final disposition of the charge and, upon final disposition, may include, but is not limited to, termination of duties related to AMPS and/or revocation of appointment. Responsibilities Screening Officers and Town Employees In reporting conflicts of interest, Screening Officers and Town employees involved in the administration of AMPS shall notify the Director of any conflict of interest, real, potential, or perceived, that they may have in relation to a matter. Hearing Officers In reporting conflicts of interest, if a Hearing Officer becomes aware of any real, potential, or perceived conflict of interest, the Hearing Officer shall notify the Director. Monitoring and Compliance In accordance with the Town of Aurora policies, collective agreement and applicable legislation and policies any employee found to be demonstrating actions / behaviours that are not consistent with the terms of this policy will result in an investigation. Any employee found to be disrespecting the terms of this policy other than under exceptional circumstances, emergencies or operational requirement is subject to possible discipline up to and including termination. CAO / Director / Managers / supervisors and employees should work collaboratively to resolve issues related to this policy. Employees can escalate issues to Human Resources where difficulties continue. References • Municipal Act, 2001, S.O. 2001, c. 25 • O. Reg. 333/07: Administrative Penalties • 6450-22 Administrative Penalty Bylaw • 6451-22 Screening and Hearing Officer Bylaw • 6452-22 Amend 4574-04. T (AMPS) • AMPS Policy - Appointment of Screening and Hearing Officers • AMPS Policy - Financial Management Policy • AMPS Policy - Preventing Political Interference • AMPS Policy - Public Complaints • AMPS Policy - Undue Hardship • Town of Aurora Employee Code of Conduct • Council-Staff Relations Policy Review Timeline This policy will be reviewed two years after the initial approval date.