THE REGIONAL MUNICIPALITY OF PEEL LOBBY REGISTRY AND INTEGRITY COMMISSIONER COMMITTEE AGENDA

DATE:

Thursday, April 21, 2016

TIME:

9:00 AM – 11:00 AM

LOCATION:

Regional Council Chamber, 5th Floor Regional Administrative Headquarters 10 Peel Centre Drive, Suite A Brampton, Ontario

LRICC - 2/2016

MEMBERS:

F. Dale; J. Downey; G. Gibson; J. Innis; M. Medeiros; G. Miles; K. Ras; P. Saito Chaired by Councillor K. Ras or Vice-Chair Councillor J. Downey

1.

DECLARATIONS OF CONFLICT OF INTEREST

2.

APPROVAL OF AGENDA

3.

DELEGATIONS

4.

REPORTS

4.1.

Follow-up - Lobby Registrar and Integrity Commissioner

4.2.

Peel Regional Council Code of Conduct - Integrity Commissioner (Referred from the September 24, 2015 Regional Council meeting)

4.3.

Follow-up - Region of Peel Integrity Commissioner (For information) (Referred from the September 24, 2015 Regional Council meeting)

4.4.

Establishment of a Lobby and Gift Registry (Referred from the September 24, 2015 Regional Council meeting)

5.

COMMUNICATIONS

5.1.

Paula Tenuta, Vice-President, Policy and Government Relations, BILD, Letter dated April 11, 2016, Providing Comments on the Region of Peel Lobbyist and Gift Registries (Receipt receommended)

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6.

IN CAMERA MATTERS

7.

OTHER BUSINESS

8.

NEXT MEETING To be determined.

9.

ADJOURNMENT

LRICC – 2/2016 Thursday, April 21, 2016

4.1-1

REPORT Meeting Date: 2016-04-21 Lobby Registry and Integrity Commissioner Committee

DATE:

April 14, 2016

REPORT TITLE:

FOLLOW-UP - LOBBY REGISTRAR AND INTEGRITY COMMISSIONER

FROM:

Lorraine Graham-Watson, Commissioner of Corporate Services

That a Lobby Registry be developed under the authority of section 223.9 of the Municipal Act, 2001, as amended, as an online tool for Lobbyists to register and report activity in a manner accessible to the public and stakeholders; And further, that the Regional Clerk develop a system of registration of lobbying including processes and procedures to implement and maintain the Lobby Registry; And further, that a Lobby Registry and Registration System By-law (attached as Appendix I) be presented to a future Regional Council meeting to provide for the implementation, maintenance, monitoring and enforcement of the Lobby Registry; And further, that the Regional Clerk investigate coordinating joint services with the City of Brampton’s Integrity Commissioner and Lobby Registrar; And further, that the Peel Regional Council Code of Conduct and the Regional Employee Code of Conduct be amended, as required, to be consistent with the Lobby Registry and system of registration; And further, that Council direct and endorse the registration by Members of Council, through their respective area municipality, of all gifts, benefits or hospitality received whether in conjunction with Regional or City/Town business in accordance with their respective area municipality policies and procedures; And further, that the Regional Chair disclose in writing all gifts, benefits or hospitality received from individuals, firms or associations having 1) an individual value of $500.00 or more, or 2) a total value from any one source during the course of a calendar year exceeding $500.00, and include in such disclosure the estimated values, the nature of the gift, benefit or hospitality, the source of the gift, benefit or hospitality and the date of receipt; And further, that the Peel Regional Council Code of Conduct be amended, as required, in accordance with this resolution, to provide for disclosure of gifts, benefits or hospitality received by Members of Council and the Regional Chair.

4.1-2 FOLLOW-UP - LOBBY REGISTRAR AND INTEGRITY COMMISSIONER

REPORT HIGHLIGHTS  At the February 18, 2016 LRICC meeting, staff from the City of Brampton and the President and Vice President from the Public Affairs Association of Canada delegated to provide insight in the creation of Lobby Registration systems and their experiences with the same, as well as to provide clarification of the definition of lobbying, a lobbyist and establishing a Lobby Registry.  Based on the research and information obtained, there is consistency in the definition for Lobbying and a Lobbyist as well as other common provisions in lobby registration systems.  The report from the Chief Administrative Officer titled, “Follow-up – Region of Peel Integrity Commissioner and the report from the Commissioner of Corporate Services, titled “Establishment of Lobby and Gift Registry” recommended that a dual role be shared by the Integrity Commissioner and Lobby Registrar.  At the time of writing this report, the City of Brampton was developing a Request For Proposal to retain an Integrity Commissioner and Lobby Registrar in a dual role.  The recommendation for the Region of Peel Gift Registry remains the same as outlined in the report from the Commissioner of Corporate Services titled, “Establishment of Lobby and Gift Registry”.  It is proposed that the By-law to Establish a Lobby Registry and Registration System and Establish the Position and Duties of the Lobbyist Registrar of the Regional Municipality of Peel (attached as Appendix I) be brought forward to a future Regional Council meeting, for enactment.

DISCUSSION 1. Background At the September 24, 2015 Regional Council meeting, Members of Council discussed the definition of a lobbyist and lobbying; the use of an Integrity Commissioner to perform the Lobby/Gift Registrar function; information and insight that area municipalities could provide, such as the City of Brampton as it has established a lobby registry; review of the Federal and Provincial lobbying procedures and registry process. It was determined that Regional Council establish a Lobby Registry and Integrity Commissioner Committee (LRICC) to discuss the definitions in greater detail and obtain further information on the establishment of a lobby registrar. At the first LRICC meeting held on November 26, 2015, the Terms of Reference were established and it was requested that deputations be made at the next meeting from government agencies that have implemented or are in the process of implementing a Lobby Registry system. At the second meeting held on February 18, 2016, staff from the City of Brampton, and the President and Vice President from the Public Affairs Association of Canada delegated to provide clarification on defining lobbying, a lobbyist and establishing a Lobby Registry. 2. Findings Upon considering information received by the City of Brampton staff, the Public Affairs Association of Canada and staff having reviewed the Federal Lobbying Act and Provincial Lobbying Registration Act, it appears that there is consistency in the definition for Lobbyists -2-

4.1-3 FOLLOW-UP - LOBBY REGISTRAR AND INTEGRITY COMMISSIONER

and Lobbying contained within those sources. The procedures for lobbyists also share similarities. The following definitions for Lobbying and Lobbyist are proposed. a) Lobbying To lobby means any communication with a public office holder by an individual who is paid or who represents a business or financial interest with the goal of trying to influence any legislative action including development, introduction, passage, defeat, amendment or repeal of a by-law, motion, resolution, or development approval, amendment, application or termination of a Regional policy, program, directive, guideline, or the outcome of a decision on any matter before Council, a Committee of Council, or a Regional Councillor or employee of the Region acting under delegated authority and includes arrangement for a meeting between a public office holder and a third party by other than an In-house lobbyist. b) Lobbyist There are three types of Lobbyists: Consultant lobbyist – an individual who is compensated to lobby on behalf of a client (this can include a consultant arranging a meeting between a public officer holder and a third party). In-house lobbyist - an individual who is an employee, partner, or sole proprietor, or a member of a board of directors and who lobbies on behalf of their own employer, business or organization. Voluntary unpaid lobbyist – an individual who lobbies without payment on behalf of an individual, business, or other organization for the benefit of the interests of the individual, business or other organization. c) Process for Lobbyist Registration Registration may take place before lobbying occurs, however registration must take place within 5 business days of any lobbying. An on-line system will be implemented for Lobbyists to register which will identify the lobbyist(s), the subject matter and the issue being lobbied, and who will be lobbied, when the lobbying will begin. A subject matter registration would be valid for 12 months. It is the responsibility of the Lobbyist to register. Should a public office holder be lobbied, the public office holder can refer the lobbyist to the registry. If the lobbyist does not register, then the office holder should speak to the Lobbyist Registrar. If a lobbyist has been prohibited from lobbying, the office holder must stop lobbying-related communication with the lobbyist and must inform the Lobby Registrar. Public office holders communication.

will

receive

educational

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information

regarding

lobbying

4.1-4 FOLLOW-UP - LOBBY REGISTRAR AND INTEGRITY COMMISSIONER

d) Public Office Holders One area where there is not consistency among agencies with Lobby Registries is the definition of public officer holders. Some jurisdictions include all staff as public office holders (City of Brampton) and some limit the definition to “senior” staff (City of Hamilton). The reach of the requirements need to be determined. e) Dual Role for an Integrity Commissioner At the July 9, 2015 Regional Council meeting, a report from the Chief Administrative Officer titled, “Peel Regional Council Code of Conduct – Integrity Commissioner” recommended that a Request for Proposal be developed for the retention of an Integrity Commissioner. This report was deferred to receive further information regarding costs, amongst other things. At the same meeting Resolution 2015-596 was passed, unanimously, directing staff to report back to Council on the establishment of a Lobbyist Registry. At the September 25, 2015 Regional Council Meeting a report from the Chief Administrative Officer titled, “Folllow-up – Region of Peel Integrity Commissioner” and a report from the Commissioner of Corporate Services titled, “Establishment of a Lobby and Gift Registry” outlined that the roles of the Integrity Commissioner and Lobby Registrar could be combined. The City of Brampton implemented a Lobbyist Registry system which took effect on January 1, 2016. At the time of writing this report, the City of Brampton was in the process of developing a Request For Proposal (RFP) to retain an Integrity Commissioner and Lobby Registrar, in a dual role. The RFP contains flexibility that may allow the Region of Peel to procure similar services using the same proponent should Regional Council decide to proceed to implement a Lobby Registry system. Regional Staff will confer with City of Brampton staff on the ability to share the services of an Integrity Commissioner and Lobby Register and will report back to Regional Council.

f) Gift Registry The City of Mississauga, City of Brampton and the Town of Caledon have policies and procedures relating to gifts, benefits and hospitality. Further, it is recommended that to avoid duplication, any gift, benefit or hospitality received by a Regional Councillor whether in the performance of their duties as an Area Councillor or as a Regional Councillor would be reported in accordance with that Councillor’s area municipal policies and procedures and would be recorded appropriately only once. With respect to the Regional Chair, he/she would disclose all gifts, benefits and hospitality with an individual value of $500.00 or more, or if the total value from any one source (whether from an individual, firm or association) during the course of a calendar year exceeds $500.00 along with estimated values to the Regional Clerk and such disclosure would include the nature of the gift, benefit or hospitality, the source of the gift, benefit or hospitality and the date of receipt. Staff are recommending that the aforementioned gift policy remain the same as outlined in the sister report from the Commissioner of Corporate Services titled “Establishment of -4-

4.1-5 FOLLOW-UP - LOBBY REGISTRAR AND INTEGRITY COMMISSIONER

a Lobby and Gift Registry” and that revisions to the Peel Regional Council Code of Conduct be implemented regarding the aforementioned approach. The receipt of gifts is governed by section K of the Peel Regional Code of Conduct and is separate from the Lobby Registry by-law.

3. Proposed Direction It is proposed that the By-law to establish a Lobby Registry and Registration System and to establish the position and duties of the Lobbyist Registrar of the Regional Municipality of Peel (attached as Appendix I) be brought forward to a future Regional Council meeting, for enactment. FINANCIAL IMPLICATIONS The current financial implications related to the retention of a Lobby Registrar are unknown at this time and will be further investigated in light of the City of Brampton’s response to its RFP. The individual to be appointed to fulfill the dual role of the Integrity Commissioner and Lobby Registrar for the Region could be identified through the City of Brampton RFP and the associated costs to the Region will be considered as part of the 2017 Budget process.

Lorraine Graham-Watson, Commissioner of Corporate Services

Approved for Submission:

D. Szwarc, Chief Administrative Officer APPENDICES Appendix I - Lobby Registry and Registration System Draft By-law

For further information regarding this report, please contact Kathryn Lockyer, Director of Clerk's and Regional Clerk, ext. 4325, or at [email protected]. Authored By: Helena West, Legislative Specialist Reviewed in workflow by: Legal Services -5-

4.1-6

THE REGIONAL MUNICIPALITY OF PEEL BY-LAW NUMBER XX-2015 A By-law to establish a Lobby Registry and Registration System and establish the position and duties of the Lobbyist Registrar of The Regional Municipality of Peel. Definitions: 1. In this by-law, “business day” means a day when the offices of the Region of Peel (“Region”) are open during its regular hours of business, other than a Saturday or Sunday or other holiday. “communication” means any form of expressive contact, including but not limited to a meeting, email, electronic messaging, facsimile transmission, letter, phone call or meaningful dialogue or exchange that materially advances a matter that is defined as lobbying, whether in a formal or in an informal setting. “lobby” means, subject to the exclusions provided for by this by-law, any communication with a public office holder by an individual who is paid or who represents a business or financial interest with the goal of trying to influence any legislative action including development, introduction, passage, defeat, amendment or repeal of a by-law, motion, resolution, or development approval, amendment, application or termination of a Regional policy, program, directive, guideline, or the outcome of a decision on any matter before Council, a Committee of Council, or a Regional Councillor or employee of the Region acting under delegated authority and includes arrangement for a meeting between a public office holder and a third party by other than an In-house lobbyist. “Code of Conduct” means the Lobbyist Code of Conduct, attached as Schedule “A” to the Lobbyist Registry By-law. “lobbyist” means, subject to the exemptions provided for in this by-law, an individual who engages in lobbying and includes: a. Consultant lobbyist – an individual who lobbies for payment on behalf of a client (another individual, company, partnership or organization). b. In-house lobbyist – an individual who is an employee, partner or sole proprietor and who lobbies on behalf of their own employer, business or organization.

4.1-7 -2-

By-law Number XX-2015

c. Voluntary unpaid lobbyist – an individual who lobbies without payment on behalf of a business or other organization for the benefit of the interests of the individual, business or other or organization. “Lobbyist Registry” means a record of registration in which shall be kept returns of persons who lobby public office holders which shall include the information required pursuant to this by-law. “public office holder” means: a. A member of Regional Council and any person on his or her staff, b. The Chief Administrative Officer or a Commissioner employed by the Regional Municipality of Peel; c. An officer or employee of the Regional Municipality of Peel; d. A Member of a local board or committee established by Council and any person on his or her staff; and e. Any accountability officer appointed under the Municipal Act, 2001 including but not limited to Integrity Commissioner, Lobbyist Registrar and Closed Meeting Investigator. Or “public office holder” means: a. A member of Regional Council and any person on his or her staff, b. The Chief Administrative Officer or a Commissioner employed by the Regional Municipality of Peel; c. Any accountability officer appointed under the Municipal Act, 2001 including but not limited to an Integrity Commissioner, Lobbyist Registrar and Closed Meeting Investigator. Establishment of a Lobby Registry 1. The Lobby Registry is established pursuant to Section 223.9 of Part V.1 of the Municipal Act, 2001. 2. The Regional Clerk shall develop and maintain a Lobby Registry under the oversight of a Lobbyist Registrar, in which shall be kept all registrations and returns filed under this by-law. 3. The Lobby Registry shall be available for public inspection through electronic, web-based access at all reasonable times. Exempted Persons and Organizations 4. This by-law does not apply to the following persons when acting in their public capacity: a. Government or public sector persons, other than of the Region or the City of Brampton, City of Mississauga or Town of Caledon;

4.1-8 -3-

i.

By-law Number XX-2015

Members of the Senate or House of Commons of Canada, the legislative assembly of a province, the council or legislative assembly of a territory, or persons on the staff of the members,

ii. Members of a First Nation council as defined in the Indian Act or of the council of an Indian band established by an Act of the Parliament of Canada, or persons on the staff of the members, iii. Employees or consultants retained by the Government of Canada, the government of a province or territory, a First Nation council, a federal or provincial crown corporation or other federal or provincial public agency, iv. Members of a council of other statutory body, including a local board, charged with the administration of the civil or municipal affairs of a municipality in Canada other than the Region of Peel, City of Mississauga, City of Brampton or Town of Caledon, persons on staff of the members, or officers or employees of the municipality or local board, v. Members of a national or sub-national foreign government, persons on the staff of the members, or officers, employees, diplomatic agents, consular officers or official representative in Canada of the government. b. Officials and employees of the Regional Municipality of Peel, City of Mississauga, City of Brampton or Town of Caledon and other municipal bodies; i.

Public office holders,

ii. Officers, directors or employees of a local board of the Regional Municipality of Peel, City of Brampton, City of Mississauga or Town of Caledon, iii. Members of an Advisory Committee, acting in their public capacity and appointed by Regional Council. c. Members, directors, officers, employees or consultants of publicly funded school boards and educational institutions; d. Members, directors, officers, employees or consultants of publicly funded healthcare institutions; and e. Members, directors, officers, employees or consultants of Municipal Associations including but not limited to the Association of Municipalities Ontario and the Federation of Canadian Municipalities.

4.1-9 -4-

By-law Number XX-2015

5. This by-law does not apply to the following activities: a. Communication that is a matter of the public record or occurs during a meeting of Council or a Committee of Council held in the presence of the public; b. Communication that occurs during a public process such as a public meeting, hearing, consultation, open house, or media event held or sponsored by the Regional Municipality of Peel or by a public office holder; c. Advocacy communication for or against a policy or program that states a position where the primary focus is a broad community benefit or detriment, whether region-wide or local, and where that position would have no direct, indirect or perceived benefit to the person or entity on whose behalf the communication is undertaken; d. Communication that is restricted to a request for information; e. Communication that is restricted to compliments or complaints about a service or program; f.

Communication by an individual on behalf of an individual, business or organization regarding: i. The enforcement, interpretation or application of any legislation including a by-law with respect to the individual, business or organization, ii. The implementation or administration of any policy, program, directive or guideline with respect to the individual, business, organization, iii. A personal matter of the individual, business or organization unless it is communication that is in respect of a matter that falls under the definition of lobbying, that is for the special benefit of the individual, business or organization.

g. Communication by an applicant, an interested party or their representatives with respect to an application for a service, grant, planning approval, permit or other license or permission; i.

With an employee of the Region or a Member of Council if the communication is restricted to providing general information on an application, including a proposed or pending application or to inquire about the application review process,

ii.

With an employee of the Region if the communication is part of the normal course of the approval process,

4.1-10 -5-

iii.

By-law Number XX-2015

With respect to planning and development applications, if the communication is with an employee of the Region who has a role in the processing of a planning application during the formal pre-application consultation, the filing of the application and the application review process, including the preparation of development agreements.

h. Submitting a bid proposal as part of the procurement process and any communication with designated employees of the Region as permitted in the procurement policies and procurement documents of the Region; i.

Communication with a public office holder by an individual on behalf of an individual, business or organization in direct response to a written request from the public office holder;

j.

Communication to a Member of Council by a constituent of the Member of Council, or an individual on behalf of a constituent of the Member of Council on a general neighbourhood or public policy issue;

k. Communication directly related to those Region-initiated consultative meetings and processes where an individual is a participant; and, l.

Communication regarding a financial interest by not-for-profit groups or organizations where such group or organization has no paid staff.

Registration and Reporting of Lobbying Activity 6. No person on whose behalf another person undertakes lobbying activities, shall make a payment for the lobbying activities that is in whole or in part contingent on the successful outcome of any lobbying activities. 7. No person who lobbies a public office holder shall receive payment that is in whole or in part contingent on the successful outcome of any lobbying activities. 8. All lobbyists shall file a return regarding a specific lobbying communication within five (5) business days of the communication occurring or, if known in advance. Registration may take place before lobbying takes place. 9. Consultant lobbyists shall identify in the return the client for which the lobbying has been undertaken. 10. Lobbyists shall disclose if they have held a public office holder position at the Region and the date the individual ceased to hold the position.

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By-law Number XX-2015

11. Lobbyists shall adhere to the Code of Conduct during the conduct of lobbying activities with public office holders. 12. All lobbyists with intent to lobby must register as a lobbyist. 13. Subject to the exemptions contained in this by-law each person who engages in lobbying activity must register as a lobbyist. 14. Registration is to include the name of the lobbyist, the name of the lobbyist’s employer, and the name of the person, organization, client or other entity, on whose behalf he or she is lobbying. 15. Lobbyists must register a separate subject matter registration for each issue in respect of which lobbying takes place or is to take place. The subject matter registration will include a description of the issue being lobbied, who will be lobbied and when lobbying will occur or has occurred. Appointment of Lobbyist Registrar 16. The Region may appoint an Integrity Commissioner as the Lobbyist Registrar in accordance with section 223 of the Municipal Act, 2001. 17. The Lobbyist Registrar shall report to Regional Council annually or as directed by Regional Council. 18. The Lobbyist Registrar has the authority to conduct inquiries in respect of a request made by Council, a Member of Council or by a member of the public about compliance with the Lobbyist Registry By-law or the Lobbyist Code of Conduct (attached as Schedule “A”), as set out under section 223.12 of the Municipal Act, 2001. The Lobbyist Registrar is responsible for: a. Overseeing the administration of the lobbyist registration system; b. Providing advice, opinions and interpretations pertaining to the administration, application and enforcement of this by-law; c. Conducting investigations or inquiries to determine whether contraventions of this by-law have occurred, as permitted under section 223 of the Municipal Act, 2001; d. Suspending or revoking a registration; e. The enforcement of this by-law; f. Advising Regional Council on lobbying matters and recommending improvements and amendments to this by-law;

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By-law Number XX-2015

g. Providing an annual report to Council and any periodic reports and information as the Registrar considers appropriate; and, h. Performing other duties as may be assigned by Council. Sanctions and Penalties 19. The Lobbyist Registrar may impose penalties on communication in accordance with the following scheme if the Lobbyist Registrar finds that the requirements of this by-law have not been met: a.

First contravention – the lobbyist is banned from communicating with public office holders for one month;

b.

Second contravention – the lobbyist is banned from communication with public office holders for three months; and

c.

Third contravention – the Lobbyist Registrar shall determine an appropriate sanction.

20. If the Lobbyist Registrar decides to impose a temporary ban on communication, the Lobbyist Registrar shall inform the individual of the suspension and the reason for the suspension in writing and provide the reason for the suspension in a manner determined by the Lobbyist Registrar. 21. If the Lobbyist Registrar imposes a temporary ban on lobbying, the Lobbyist Registrar shall notify all Public Office Holders by posting a notice of the temporary ban on the Region of Peel website. 22. The Lobbyist Registrar may remove a registration or return from the Lobby Registry if the individual who filed the registration or return is found by the Lobbyist Registrar to have not complied with the requirements of this by-law. 23. When a registration is removed from the Lobbyist Registry, the individual who filed it shall be deemed, for the purposes of his or her existing and future obligations under this by-law, not to have filed the registration. 24. Pursuant to subsection 223.12(7) of the Municipal Act, 2001, should the Lobbyist Registrar determine, when conducting an inquiry, that there are reasonable grounds to believe that an individual has contravened any other Act or the Criminal Code (Canada), the Lobbyist Registrar shall immediately refer the matter to the appropriate authorities and suspend the inquiry pending the outcome of any resulting investigation.

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By-law Number XX-2015

READ THREE TIMES AND PASSED IN OPEN COUNCIL this day of , 2016.

________________________ Regional Clerk

________________________ Regional Chair

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By-law Number XX-2015

SCHEDULE “A” LOBBYIST CODE OF CONDUCT Lobbyists are expected to comply with the standards of behaviour for lobbyists and the conduct of lobbying activities set out in this Code of Conduct when lobbying public office holders. 1. Lobbyists shall conduct with integrity and honesty all relations with public office holders, clients, employers, the public and other lobbyists. 2. Lobbyists shall, at all times, be open and frank about their lobbying activities, while respecting confidentiality . 3. Lobbyists communicating with a public office holder shall disclose the identity of the individual or organization on whose behalf they are acting, as well as the reasons for the communication. 4. Lobbyists shall register the subject matter of all communication with public office holders that constitutes lobbying under the Lobbyist Registry By-law. 5. Lobbyists shall inform their client, employer or organization of the obligations under the Lobbyist Registry By-law and their obligation to adhere to the Lobbyists’ Code of Conduct. 6. Lobbyists shall provide information that is accurate and factual to public office holders. 7. Lobbyists shall not knowingly mislead anyone and shall use proper care to avoid doing so inadvertently. 8. Lobbyists shall not divulge confidential information unless they have obtained the informed consent of their client, employer or organization, or disclosure is required by law. 9. Lobbyists shall not use any confidential or other insider information obtained in the course of their lobbying activities to the disadvantage of their client, employer or organization. 10. Lobbyists shall not represent conflicting or competing interests without the written consent of those whose interests are involved. 11. Lobbyists shall advise public office holders that they have informed their clients of any actual, potential or apparent conflict of interest and obtained the informed consent of each client concerned before proceeding or continuing with the undertaking. 12. Lobbyists shall not lobby public office holders on a subject matter for which they also provide advice to the Region of Peel.

13. Lobbyists shall avoid both the deed and the appearance of impropriety.

4.1-15 -102015

By-law Number XX-

14. Lobbyists shall not knowingly place public office holders in a conflict of interest or in breach of the public office holders’’ code of conduct or standards of behaviour. 15. Lobbyists with active lobbying registrations, their registered clients or their employees shall not, directly or indirectly, offer or provide any gift, benefit or hospitality to Members of Council or their staff.

4.2-1

REPORT Meeting Date: 2015-09-24 Regional Council

DATE:

July 2, 2015

REPORT TITLE:

PEEL REGIONAL COUNCIL CODE OF CONDUCT - INTEGRITY COMMISSIONER

FROM:

David Szwarc, Chief Administrative Officer

RECOMMENDATION That a Request for Proposal be developed for the retention of an Integrity Commissioner for the Region of Peel. REPORT HIGHLIGHTS  The Peel Regional Council Code of Conduct was adopted on June 26, 2014 and came into effect at the inaugural meeting on December 4, 2014.  Peel Regional staff was directed to report back with a Code of Conduct implementation plan.  Since adoption of the Code, the provincial government has passed Bill 8, Public Sector and MPP Accountability and Transparency Act, 2014, which provides authority to the Ontario Ombudsman to oversee municipal activity.  Staff recommends the development of a Request for Proposal for the purpose of retaining a Region of Peel Integrity Commissioner.  Financial implications related to the retention of a Regional Integrity Commissioner will be considered as part the 2016 Budget process.

DISCUSSION 1. Background To demonstrate its commitment to strengthening the Region of Peel’s accountability and transparency framework, on June 26, 2014, Regional Council approved the report of the Chair, Peel Regional Council Code of Conduct Committee, titled “Peel Regional Council Code of Conduct” (Resolution 2014-572). The key recommendation in the aforementioned report was the adoption of the Peel Regional Council Code of Conduct (the Code) which came into effect on December 4, 2014 at the Region of Peel Inaugural meeting. In addition, the final recommendation was that staff report back with a Code of Conduct implementation plan.

4.2-2 PEEL REGIONAL COUNCIL CODE OF CONDUCT – INTEGRITY COMMISSIONER

a) Changes to the Accountability and Transparency Environment Since the adoption of the Code, the accountability and transparency environment in which the Region of Peel operates has changed. These changes represent greater provincial oversight in municipal activity as well as a gap that existed in the Region of Peel’s existing accountability and transparency framework. i)

Bill 8, Public Sector and MPP Accountability and Transparency Act, 2014 The Government of Ontario has passed Bill 8, Public Sector and MPP Accountability and Transparency Act, 2014 and related regulations affecting municipal governments which are to be proclaimed and come into effect on January 1, 2016. Once these regulations are proclaimed the Ontario Ombudsman will become the default ombudsman for municipal governments that do not appoint a municipal ombudsman. In addition where a municipal ombudsman has been appointed, the Ontario Ombudsman will also have a final opportunity to investigate, recommend and report concerning individual complaints. This legislation also permits the Ontario Ombudsman to undertake an investigation on his or her own motion (i.e. not in response to a complaint) including a more universal maladministration issue than in just one municipality. In regard to closed meeting investigations, there is no change to the appointment of an investigator. In other words, the current default model continues such that if no one is appointed by the Council then the provincial Ombudsman has jurisdiction. The Region of Peel has appointed Local Authority Services Ltd. “LAS” (a subsidiary of the Association of Municipalities of Ontario) as the investigator of complaints surrounding closed Regional Council and Committee meetings on December 13, 2007 (Resolution 2007-1541).

ii) Area Municipal Integrity Commissioners As part of the June 2014 direction from Regional Council, the Chief Administrative Officer was to investigate the use of resources currently in existence at the area municipal level for the purposes of the Code implementation. Below is the current status of integrity commissioner agreements with Brampton, Caledon and Mississauga:  



City of Brampton appointed Robert J. Swayze for 4 years beginning July 16, 2014. The City budgeted $187,300 over 4 years for the role. Town of Caledon appointed John E. Fleming on March 22, 2011, until the end of Term of Council in 2014. The Town of Caledon has extended the contract for John E. Fleming to December 31, 2015. $10,000 annual retainer budgeted by the Town for the role. The City of Mississauga appointed Robert J. Swayze for five years beginning July 1, 2012. City has budgeted $100,000 per year for the role.

Given the current status of contracts at the area municipal level, it would be challenging to bring alignment between the area municipalities and the Region for Code implementation, at least in the immediate term. Staff is also of the view that sharing resources with the area municipalities would result in minimal cost savings. -2-

4.2-3 PEEL REGIONAL COUNCIL CODE OF CONDUCT – INTEGRITY COMMISSIONER

iii) June, 2013 Mississauga Integrity Commissioner Report Further supporting the need for Regional Council to decide upon the appointment of an integrity commissioner is the June 25, 2013 report by Robert Swayze, City of Mississauga Integrity Commissioner. In a decision rendered by Mr. Swayze, he recognized the accountability gap in existence between the area municipalities and the Region due to the fact that the Region did not have a Council Code of Conduct (now in place) or an Integrity Commissioner. b) Current Council Code of Conduct Implementation Process As the Code is an appendix to the Peel Regional Council Procedure By-law 100-2012, as amended, the Office of the Regional Clerk is responsible for fielding general Code related inquiries. Since Council adoption, the Regional Clerk has received one formal Code related inquiry with it being resolved amongst the inquiring parties. If the Code issues had not been resolved, the Regional Clerk would have been required to bring the issue to Regional Council for further direction. 2. Proposed Direction Based on the information provided in the background section of this report, staff recommends the development of a Request for Proposal for the purpose of retaining a Region of Peel Integrity Commissioner. The goal will be to work with the successful candidate to develop processes and procedures to be used in the implementation (education, inquiry and investigation) of the Code.

FINANCIAL IMPLICATIONS The current financial implications related to the retention of an Integrity Commissioner are unknown at this time and would be revealed during the RFP process. Associated costs will be considered as part the 2016 Budget process. CONCLUSION As directed by Regional Council, this report provides recommendations in moving forward with an implementation plan for the Code. By appointing an independent Integrity Commissioner for the enforcement of the Code, the Region can further demonstrate its commitment to ensuring that it is accountable to the public for its actions and that its actions are also transparent to the public

D. Szwarc, Chief Administrative Officer For further information regarding this report, please contact David Arbuckle, Manager, Strategic Public Policy and External Relations at extension 4777 or at [email protected].

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4.3-1

REPORT Meeting Date: 2015-09-24 Regional Council For Information DATE:

August 28, 2015

REPORT TITLE:

FOLLOW-UP - REGION OF PEEL INTEGRITY COMMISSIONER

FROM:

David Szwarc, Chief Administrative Officer

OBJECTIVE To provide Regional Council with additional information related to the retention of an Integrity Commissioner for the Region of Peel. REPORT HIGHLIGHTS  At the July 9, 2015 Regional Council meeting, Council deferred a report recommending the development of a Request For Proposal to retain a Regional Integrity Commissioner.  Additional information was requested by Regional Council related to potential costs, full/part-time roles and options related to area/regional municipal integrity commissioners.  This report also aligns to recommendations being brought forward in the “Establishment of a Lobby and Gift Registry” report.

DISCUSSION 1. Background On July 9, 2015, a report titled “Peel Regional Council Code of Conduct – Integrity Commissioner” was presented to Regional Council. The report recommended “that a Request for Proposal be developed for the retention of an Integrity Commissioner for the Region of Peel.” Upon presentation of the report to Regional Council, a number of points of clarification were requested by Regional Council, including:   

Cost of appointing an Integrity Commissioner for the Region of Peel; Proposed appointment status (full or part-time) Options related to the roles of the area municipal Integrity Commissioners and a Region of Peel Integrity Commissioner

In order to facilitate the gathering of this information, the July 9, 2015 report was deferred.

4.3-2 FOLLOW-UP - REGION OF PEEL INTEGRITY COMMISSIONER

2. Findings a) Cost As outlined in the July 9, 2015 report, the current financial implications related to the retention of a Regional Integrity Commissioner are unknown at this time and would be revealed during the Request for Proposal (RFP) process. While the structure of an integrity commissioner RFP is in the development stages, Regional staff envisions a potential RFP being in two distinct stages, each with a different payment structure. Process and Procedure Development To effectively execute the role of Integrity Commissioner for the Region of Peel, processes and procedures are necessary. Upon selection, the successful respondent will work with Regional staff to develop appropriate processes, procedures and service standards. Included in this work will be how to deliver integrity commissioner services (education, inquiry and investigation) to key Regional stakeholders including Regional Council, individual Regional Councillors, Regional staff, area municipal integrity commissioners and the public. It is anticipated that the integrity commissioner RFP will request an individual cost and timeline for the delivery of these processes. This would be a one-time cost. Integrity Commissioner Services The second part of the RFP will provide for the delivery of integrity commissioner services, as outlined by the established processes and procedures. In responding to the proposal, individual respondents will be expected to provide a cost structure to fulfill the integrity commissioner role. As outlined in the July 9th report, timing challenges exist in relation to the opportunity to integrate the integrity commissioner function between the Region and area municipalities at this time. Should the area municipalities wish, at a future date, to “share” an integrity commissioner with the Region, staff will ensure the language within the RFP and contract with the Regional Integrity Commissioner prescribes processes to permit the addition of an area municipal integrity commissioner function. b) Appointment Status (Full-time/Part-time) The determination of a full or part time Regional integrity commissioner will depend somewhat upon the processes and procedures developed for the role and the demand for service. However, staff anticipates that integrity commissioner services would be required on a part-time basis only.

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4.3-3 FOLLOW-UP - REGION OF PEEL INTEGRITY COMMISSIONER

c) Area Municipal/Regional Integrity Commissioner As highlighted in the July 9, 2015 report, given the timing related to existing integrity commissioner contracts with the area municipalities, it would be challenging to align integrity commissioner services with the Region of Peel, at least in the immediate term. As area municipal integrity commissioner contracts approach their expiration date, further discussion can be had between the Region and the area municipality to explore the benefits of joint integrity commissioner retention. Cooperation between Regional integrity commissioner and those retained by the area municipalities will be important should Regional Council choose to move forward. A key task of the new Region integrity commissioner will be to identify processes and procedure for working with key Regional stakeholders like the area municipal integrity commissioners, especially in circumstances where an issue spans jurisdictions.

d) Integrity Commissioner/Lobby Registrar As identified by the report entitled “Establishment of a Lobby and Gift Registry”, staff recommends that Regional Integrity Commissioner also serve as the Lobby Registrar for the Region of Peel. This dual role would be identified through the RFP process.

Approved for Submission:

D. Szwarc, Chief Administrative Officer

For further information regarding this report, please contact David Arbuckle, Manager, Strategic Public Policy and External Relations, Office of the CAO at X4777 or [email protected] Authored By: David Arbuckle Reviewed in workflow by: Purchasing

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4.4-1

REPORT Meeting Date: 2015-09-24 Regional Council

DATE:

August 25, 2015

REPORT TITLE:

ESTABLISHMENT OF A LOBBY AND GIFT REGISTRY

FROM:

Lorraine Graham-Watson, Commissioner of Corporate Services

RECOMMENDATION That a Lobby Registry be developed under the authority of section 223.9 of the Municipal Act, 2001, as amended, as an online tool for Lobbyists to register and report activity in a manner accessible to the public and stakeholders; And further, that the Regional Clerk develop a system of registration of lobbying including processes and procedures to implement and maintain the Lobby Registry; And further, that a Lobby Registry and Registration System By-law be presented to a future Regional Council meeting to provide for the implementation, maintenance, monitoring and enforcement of the Lobby Registry; And further, that the Peel Regional Council Code of Conduct and the Regional Employee Code of Conduct be amended, as required, to be consistent with the Lobby Registry and system of registration; And further, that Council direct and endorse the registration by Members of Council, through their respective area municipality, of all gifts, benefits or hospitality received whether in conjunction with Regional or City/Town business in accordance with their respective area municipality policies and procedures; And further, that the Regional Chair disclose in writing all gifts, benefits or hospitality having an individual value of $500.00 or more, or if the total value from any one source during the course of a calendar year exceeds $500.00 received from individuals, firms or associations, with their estimated values to the Regional Clerk and include in such disclosure the nature of the gift, benefit or hospitality, the source of the gift, benefit or hospitality and the date of receipt; And further, that the Peel Regional Council Code of Conduct be amended, as required, in accordance with this resolution, to provide for disclosure of gifts, benefits or hospitality received by Members of Council and the Regional Chair.

4.4-2 ESTABLISHMENT OF A LOBBY AND GIFT REGISTRY

REPORT HIGHLIGHTS  On July 9, 2015 Regional Council passed Resolution 2015-596 which gave direction to staff to report back in September 2015 on the details of establishing a lobby and gift registry and the staffing, oversight and financial implications.  The Municipal Act, 2001, as amended, provides that a municipality may establish and maintain a registry of returns filed by persons who lobby public office holders and a system of registration of such persons.  The City of Brampton, City of Mississauga and Town of Caledon have existing policies and procedures relating to gifts, benefits and hospitality received by Members of Council. DISCUSSION 1. Background On July 9, 2015 Regional Council passed Resolution 2015-596 which directed staff to establish a Lobby and Gift Registry in accordance with the Municipal Act, 2001, as amended, to keep registrations and returns filed by persons, groups or companies who lobby the Region of Peel public office holders, both elected and non-elected and report back to Council in September, 2015 with a framework to administer the Lobby and Gift Registry. Furthermore, the report is to include recommendations on staffing, oversight and appointment of a Registrar and the financial implications. 2. Lobby Registry Lobbying is a legitimate and legal activity that is part of an individual’s, group’s or company’s right to communicate with public office holders. A Lobby Registry may be established pursuant to Section 223.9 of Part V.1 of the Municipal Act, 2001, as amended. The purpose of a Lobby Registry is to enhance transparency and integrity of business conducted at the Region of Peel by providing an accessible record of persons who lobby public office holders outside of a public forum and of information related to such lobbying activities. a) Lobby Registry Framework Information to be registered by a lobbyist would be the lobbyist’s name, the organization being represented (if applicable), the subject matter, who will be or has been lobbied, when and how lobbying takes place and when lobbying on that particular subject matter ceases. Lobbyists would be required to register with the Lobby Registry and thereafter to disclose any and all lobbying activities within five (5) business days of the communication taking place. The system of registration, including definitions, would be incorporated into a by-law. The recommended method of delivery is an online tool that is easy to access and search by the public and which documents instances of substantive communications, such as telephone calls, meetings or e-mails between those who lobby and Members of Regional Council, their staff and/or senior Regional staff.

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4.4-3 ESTABLISHMENT OF A LOBBY AND GIFT REGISTRY

An administrative structure around the Lobby Registry is required. includes, but is not limited to:     

Administration

a Lobby Registrar to oversee the Registry; creation and implementation of the Registry; communication about the Registry; training for Members of Council, staff, lobbyists and the public once the Registry has been established; and, annual reporting to Council.

The Peel Regional Council Code of Conduct is sufficiently flexible to allow for a Lobby Registry, but for clarity should be amended to provide specifically for the Lobby Registry and Lobby Registrar and the system of registration. The Code of Conduct for Regional employees should be updated to reflect the implementation of the Lobby Registry and employee obligations to comply with the Lobby Registry by-law, policies and procedures. b) Lobby Registrar The Municipal Act, 2001, as amended, authorizes a municipality to appoint a Registrar who is responsible for performing in an independent manner the functions assigned by the municipality with respect to the registry and the system of registration. The Registrar is not required to be a municipal employee. A Lobby Registrar is responsible for the enforcement and oversight of a Lobby Registry. The Lobby Registrar would review the Lobby Registry and its operation and processes annually and report to Council on activity and any recommendations for change. As well, they would undertake inquiries about compliance with the system of registration. The Lobby Registrar role could be fulfilled by an Integrity Commissioner and it is recommended that the identified responsibilities be added to the requirements of the Integrity Commissioner role. The Registrar is to conduct inquiries in respect of requests made by Council, a member of Council, or a member of the public about compliance with the Lobby Registry and system of registration or with a code of conduct established for persons who lobby public office holders. 3. Gift Registry The Gift registry would further enhance accountability and transparency by requiring members of Regional Council to disclose gifts, benefits and hospitality they have received in a public registry system. A Gift Registry requires elected officials to list all gifts, benefits and hospitality received which exceeds an identified amount from one source in a calendar year. The Gift Registry should include a description of the gift, benefit or hospitality, the source, estimated value and what is to be done with the gift. Each of the City of Mississauga, City of Brampton and the Town of Caledon have policies and procedures relating to gifts, benefits and hospitality. In order to avoid duplication, any gift, benefit or hospitality received by any Regional Councillor whether in the performance of their duties as an Area Councillor or as a Regional Councillor would be reported in -3-

4.4-4 ESTABLISHMENT OF A LOBBY AND GIFT REGISTRY

accordance with the respective Councillor’s area municipal policies and procedures to the area municipality such that all gifts, benefits or hospitality received by a Councillor would be recorded appropriately and only in one location. With respect to the Regional Chair, he/she would disclose all gifts, benefits and hospitality with an individual value of $500.00 or more, or if the total value from any one source during the course of a calendar year exceeds $500.00 received from individuals, firms or associations, along with estimated values to the Regional Clerk and such disclosure include the nature of the gift, benefit or hospitality, the source of the gift, benefit or hospitality and the date of receipt. Revisions to the Peel Regional Council Code of Conduct are required to implement this approach. FINANCIAL IMPLICATIONS The current financial implications related to the retention of a Lobby Registrar are unknown at this time and would be revealed during the Request for Proposal (RFP). It is recommended that the Regional Integrity Commissioner also serve as the Lobby Registrar as identified in the July 9, 2015 report titled “Peel Regional Council Code of Conduct – Integrity Commissioner and the September 24, 2015 report titled “Follow-Up – Region of Peel Integrity Commissioner”. The dual role would be identified through the RFP and the associated costs will be considered as part of the 2016 Budget process. CONCLUSION A Lobby Registry and system of registration has been determined by Regional Council to be a component of its commitment to transparent and accountable governance. A system of registration is required to establish a Lobby Registry and a Lobby Registrar is required to monitor and enforce the system. A Gift Registry has also been determined by Regional Council to be a component of its commitment to transparent and accountable governance. Due to existing frameworks at the Area Municipal level, a Regional Gift Registry is only required for the Regional Chair. For Regional Councillors, all gifts, benefits and hospitality whether from local business or Regional business are to be recorded in accordance with area municipal policies and procedures.

Lorraine Graham-Watson, Commissioner of Corporate Services

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4.4-5 ESTABLISHMENT OF A LOBBY AND GIFT REGISTRY

Approved for Submission:

D. Szwarc, Chief Administrative Officer

For further information regarding this report, please contact Kathryn Lockyer, Regional Clerk and Director of Clerk's, ext. 4325, [email protected]. Authored By: Kathryn Lockyer

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5.1-1

April 11, 2016 Ms. Kathryn Lockyer Regional Clerk and Director of Clerk’s Region of Peel 10 Peel Centre Drive Brampton, Ontario L6T 4B9

REFFERRAL TO _____________________________ RECOMMENDED DIRECTION REQUIRED _______________________

P

RECEIPT RECOMMENDED ____________________

Dear Ms. Lockyer, RE: BILD Comments – Region of Peel Lobbyist and Gift Registries

The Building Industry and Land Development Association (BILD) is in receipt of the staff report titled Establishment of a Lobby and Gift Registry that was presented to Council at the February 18th Lobby Registry and Integrity Commissioner Committee meeting. BILD is aware that the Region is in the process of developing its own Lobby and Gift Registry, similar to the one implemented in the City of Brampton. As such, we would like to take this opportunity to share our preliminary thoughts on the development and implementation of a Lobby and Gift Registry in the Region of Peel. BILD members work in good faith with staff and Council at the Region of Peel. We are supportive of the notion of transparency that the lobbyist registry aims to achieve, by providing an accessible record of persons who lobby public office holders outside of public forums like Council and Committee meetings or public open houses. We thank you for the opportunity to submit the following points for your consideration as you move forward with assessing how best a Lobbyist and Gift Registry will work within Peel Region. Definition of Lobbying Activities BILD recommends that a clear guideline as to the definition of lobbying activity be developed and easily accessible. This should include the type of activity, the manner in which lobbying takes place (ie. e-mail, phone call, voice-mail message), and where the activity takes place should also be clearly articulated in a guideline. For example, in our dealings with other municipalities, it is often unclear as to whether or not discussions with Regional officials and politicians off-site, in public/personal areas, on off-work hours and days, is considered "lobbying”. In addition, when considering the definition of “lobbying”, BILD stresses that as part of a normal application approval process our members interact with various staff levels as well as Council members, who act as the ultimate decision maker in some cases. BILD notes that our members are required to submit these applications under the Planning Act and Ontario Building Code as well as pay 1

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the associated fees to the Region for their review. As such, we request that communication throughout the application review process, including communication with senior level staff and Council members to resolve complex issues, not be considered a lobbying effort. Lobbyist Registry Administration We trust that the Region will aim to establish a lobbyist registry that is simple to use and not an administrative burden on the end-user. Our members deal with a multitude of staff personnel from the various Regional departments on each of their development applications. We hope that it is not the intent of the Region to have our members 'log' each point of contact with each staff person when addressing matters related to their development applications, but rather, it is our suggestion that the Region find a way to have the end-user register either a subject matter or development application item only once, preferably at the start of a project. Any other means would simply result in an incredibly cumbersome and, most likely, ineffective registrar system. The February 18th staff report suggests that anyone who wishes to lobby a Council Member or Regional employee outside of a public forum must register as a lobbyist within five days of lobbying commencing. In comparison to other municipal lobbyist registries, we acknowledge that five days does provide an appropriate window to log lobbyist type activities. We also encourage the Region to allow for as much administrative flexibility as possible in other scenarios as well, as not to deter individuals from using the lobbyist registry system. This includes the actual physical registration system itself. We are encouraged that the February 18th staff report references the development of an online process. Our hope is that this process will be a simple electronic process that is user-friendly. We recommend that they Region test their electronic registry system prior to official roll-out to determine its usability, and that the Region establish user tutorials to avoid potential administrative challenges. Timing of Lobbyist Registry Implementation BILD also recommends that once implementation of the lobbyist and gift registry system begins, that it will apply to new applications or new subject matters that commence after the onset of implementation, and that members not be required to log their business dealings in a retroactive manner. Professional Planners & The Lobbyist Registry Aside from residential and non-residential land developers and home builders, BILD's membership also consists of a large consultant group, many of which are Planners that are members of the Ontario Professional Planners Institute (OPPI). Also, many individuals who work for home builders and developer companies directly are professional planners, and are also members of OPPI. In our member's conversations with OPPI, the issue has been raised as to whether a Planner acting as an independent professional bound by a Code of Conduct would be in any conflict registering as a "lobbyist." OPPI has been engaged in conversations around lobbyist registries in reaction to many of its members questioning how Planners' work fits within this regime. In reaction to a City of 2

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Toronto interpretation matter, in March 2008, OPPI issued a Member's Bulletin which clarified that a Planner communicating with the assigned planning staff at the city regarding an application does not constitute lobbying that requires registration. As OPPI members are professionals offering independent objective opinions who practice in full compliance with the high ethical standards outlines in their Professional Code of Practice, it is our recommendation that Planners working for clients, and Planners who work directly for homebuilder and developer companies, should not technically be considered as lobbyists. We look forward to reviewing the draft Lobbyist and Gift Registry when you are closer to determining applicable parameters for the Region of Peel. As interested and effected stakeholders, we look forward to providing you with additional input so that a system can be devised that works in the best interest of all those involved. Sincerely,

Paula J. Tenuta. MCIP, RPP Vice President, Policy & Government Relations cc:

Darren Steedman, BILD Peel Chapter Chair

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