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Report To: General Government Committee
Date of Meeting: September 26, 2016
Report Number: CLD -029-16 Resolution:
File Number: By-law Number:
Report Subject: Appointment of Municipal Ombudsman Services
Recommendations:
That Report CLD -029-16 be received;
2. That the proposal received from ADR Chambers Inc., being the municipal ombudsman
for the Region of Durham, be awarded the contract by the Purchasing Manager for the
provision of Ombudsman Services as detailed for the Municipality of Clarington for a
term ending December 31, 2022;
3. That the appointment by-law, being Attachment 3 to Report CLD -029-16, appointing
ADR Chambers as Clarington's Ombudsman, and detailing the powers, duties and
services of ADR Chambers Inc., be approved; and
4. That the Mayor and Clerk be authorized to execute the necessary agreement;
5. That all interested parties listed in Report CLD -029-16 and any delegations be advised
of Council's decision.
Municipality of Clarington
Resort CLD -029-16
Report Overview
Paae 2
On February 8, 2016 Council approved the appointment of a Municipal Ombudsman and
directed staff to work with the Region of Durham and report back at the conclusion of the
RFP process. The Region of Durham awarded ADR Chambers the contract for
Ombudsman Services for the Region of Durham. Staff are therefore recommending that
Council appoint ADR Chambers Inc. as the Ombudsman for the Municipality of Clarington.
1. Background
1.1 Authority to Appoint Municipal Ombudsman
Section 223.13 of the Municipal Act, 2001, as amended, grants the authority to
municipalities to appoint an Ombudsman who would "report to council and whose
function is to investigate in an independent manner any decision or recommendation
made or act done or omitted in the course of the administration of the municipality, its
local boards, and such municipally—controlled corporations as the municipality may
specify and affecting any person or body of persons in his/her or its personal capacity."
In January, 2016 the General Government Committee considered Report CLD -008-16
and on February 8, 2016 Council ratified Resolution #GG -061-16 as follows:
That Report CLD -008-16 be received;
That Council approve the appointment of a Municipal Ombudsman to
conduct investigations with respect to the administrative acts of the
Municipality of Clarington;
That the Region of Durham be advised that Clarington supports the
concept of a Regional ombudsman acting as Clarington's Municipal
Ombudsman on a "fee for service" basis;
That staff continue to work with the Region of Durham, as deemed
appropriate, in the RFP process to ensure that Clarington's needs are
include in the Regional RFP;
That staff report back at the conclusion of the RFP process; and
That all interested parties listed in Report CLD -008-16 and any
delegations be advised of Council's decision.
Municipality of Clarington
Resort CLD -029-16
1.2 Region of Durham
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The Region of Durham was notified in writing of Council's decision. The Region of
Durham invited all eight area municipalities to a meeting to discuss the content of their
draft Request for Proposal (RFP) for Ombudsman Services and a representative of
Clarington was in attendance. The Regional RFP -1014-2016 was posted on the
Regional website from May 2, 2016 to May 24, 2016. Despite requests from Clarington's
Municipal Clerk and the Manager of Purchasing to be involved in the RFP evaluation
process, the Region of Durham proceeded to unilaterally manage, interview and evaluate
and score the RFP submissions.
On June 29, 2016, Regional Council considered Report #2016-A-19 and passed the
following resolution (See Attachment 2).
A) That the Proposal received from ADR Chambers Inc. to provide municipal
ombudsman services for the term July 1, 2016 to December 31, 2022, for
an estimated annual retainer fee of $12,000, plus an hourly investigation
rate of $250.00, (plus applicable taxes) be accepted;
B) That the Regional Chair and the Regional Clerk be authorized to execute
the retainer agreement as described in Recommendation A) and any other
contractual documents as may be required to give effect thereto;
C) That the appointment bylaw attached to Report #2016-A-19 of the
Commissioner of Corporate Services as Attachment #1, be presented for
reading and passage;
D) That the Commissioner of Corporate Services be authorized to implement
such procedural and policy changes as are necessary to give effect to the
implementation and appointment of a municipal ombudsman for the
regional Municipality of Durham; and
E) That the Regional Clerk circulate Report #2106-A-19 to the clerks of the
local municipalities for their review and considerations to whether they
wish to join in on the retainer agreement as described in Recommendation
B).
Municipality of Clarington
Resort CLD -029-16 Paae 4
2. Proposal
2.1 ADR Chambers — Recommended Proponent
ADR Chambers has been providing ombudsman services for the banking industry since
2008, similar services to the Financial Services Commission of Ontario, and is certified by
the federal government as only one of two approved external complaint bodies for the
financial service sector in Canada. ADR Chambers was also recently appointed as
Ombudsman for the Regions of York and Halton including several of their area
municipalities.
Although Clarington staff were not involved in the selection of the particular vendor, staff
are confident in the procurement process undertaken by the Region of Durham and
therefore recommend that Council appoint ADR Chambers Inc. as the Ombudsman for
the Municipality of Clarington for the term ending December 31, 2022.
2.2 Financial Implications
The Region of Durham has confirmed that the $12,000 retainer fee will be paid by the
Region for the term of this initial contract (i.e. until December 31, 2022).
The retainer fee will include the initial intake of a complaint, the processing of it,
communicating with a complainant to verify the complaint, and any letters to the
complainant to dismiss the complaint and close the file. As well, the retainer fee will
cover any reports and recommendations made to the Municipality and an annual
Ombudsman report to Council.
The Municipality of Clarington would be required to pay any service fees of $250 per hour
associated with the formal investigations arising out of complaints received by the
municipal ombudsman which pertain to Clarington. The volume of calls/complaints
cannot be predicted at this time. As there are cost implications to this appointment, an
initial value will be added to the 2017 operating budget and this value will be adjusted
year to year as experience is gained pertaining to the volume of activity in this area.
2.3 Complaint Process and Reporting Relationship
The draft Terms of Reference (Attachment 1 to Report CLD -029-16) details the steps for
receipt, investigation, and resolution of complaints. Note that Clarington's complaint
handling policy and any related procedures are currently under review to ensure a
consistent, fair and transparent manner to deal with complaint issues.
Municipality of Clarington
Resort CLD -029-16
Paae 5
Complaints received by the Ombudsman may be investigated by the Ombudsman
provided: it is within their mandate, all internal complaint processes have been
exhausted, is in writing (on the Ombudsman's complaint Submission Form); and signed
by the complainant along with a signed Consent and Confidentiality Agreement.
The Ombudsman will undertake the necessary investigation concerning the complaint
and may contact any person deemed necessary to do so. The Municipal Clerk shall be
the initial point of contact for the Ombudsman. All work undertaken by the Ombudsman
shall be done so in accordance with the law. The Ombudsman will either notify the
Municipality of his/her decision not to undertake an investigation and the reasons why, or
where an investigation is undertaken, shall issue a report to the municipality detailing
his/her conclusion and any recommendations. There are limited situations which the
Ombudsman will not investigate a complaint and they are detailed in sections 12-17 in
the Terms of Reference.
The Ombudsman is directly responsible to Council and the administrative contact for the
Ombudsman is the Municipal Clerk. The Ombudsman shall publish an annual report
which will be presented to Committee/Council. The authority of Clarington's closed
meeting investigator remains status quo.
3. Concurrence
This report has been reviewed by Director of Corporate Services, Director of
Finance/Treasurer, and the Municipal Solicitor who concur with the recommendations.
4. Conclusion
It is respectfully recommended that Council appoint ADR Chambers Inc. as the
Ombudsman for the Municipality of Clarington for a term ending December 31, 2022 in
accordance with the proposal received by the Region of Durham in response to the
Region's RFP 1014-2016 and the Terms of Reference developed in accordance with the
contract executed between the Region of Durham and ADR Chambers Inc.
5. Strategic Plan Application
The recommendations contained in this report conform to the Strategic Plan.
Municipality of Clarington
Report CLD -029-16 Page 6
Submitted by:
,j4_",YP Reviewed by:
Anne Greentree,
Municipal Clerk
Curry Clifford, MPA, CMO
Interim CAO
Staff Contact: Anne Greentree, Municipal Clerk, 905-623-3379 ext. 2102 or
agreentree@clarington.net
Attachments:
Attachment 1 — Draft Terms of Reference
Attachment 2 — Regional Report #2016-A-19
Attachment 3 — Draft Appointment By-law
The following is a list of the interested parties to be notified of Council's decision:
D. Wilcox, Regional Clerk, Regional Municipality of Durham
Terms of Reference
PURPOSE
Attachment #1 to
Report CLD -029-16
These Terms of Reference set out the responsibilities and mandate of the
Ombudsman for The Municipality of Clarington and establish the standard
protocols that will be followed by the Ombudsman in the course of reviewing
and investigating complaints.
DEFINITIONS
2. Defined terms used throughout these Terms of Reference are as follows:
ADR Chambers Ombuds Office means the function within ADR
Chambers Inc. involved in providing Ombudsman services to Durham
Region under the direction of the Ombudsman;
Complainant means any member of the public who makes a Complaint to
the Ombudsman about the Municipality of Clarington.
Complaint means a written expression of dissatisfaction with any decision
or recommendation made or act done or omitted in the course of the
administration of the Municipality of Clarington. Complaints are not
deemed to be submitted until the Ombudsman has received a completed
and signed Complaint Submission Form and Consent and Confidentiality
Agreement;
Complaint Submission Form means a form required to be filled out and
signed by Complainants wishing to submit a Complaint to the
Ombudsman wherein they describe the nature of their complaint;
Consent and Confidentiality Agreement means an agreement required
to be signed by Complainants whereby they agree to certain
confidentiality requirements and other conditions of the Complaints
procedure;
initial View Letter means a letter sent to the Complainant when the
Complaint is outside of the Ombudsman's mandate, as defined in these
Terms of Reference. An Initial View Letter will provide the Complainant
with the reasons for the determination that the Complaint is outside the
Ombudsman's mandate;
Municipal Clerk means the Municipal Clerk of the Municipality of
Clarington, or his/her designate;
Municipality means The Municipality of Clarington;
Attachment #1 to
Report CLD -029-16
Ombudsman means the individual designated by ADR Chambers Inc. to
handle Complaints and to direct and coordinate ADR Chambers Ombuds
Office activities in accordance with these Terms of Reference.
PRINCIPLES
3. The role of the Ombudsman and of the ADR Chambers Ombuds Office is
founded on the general principles of independence, impartiality, confidentiality
and accessibility.
RESPONSIBILITIES
4. The Ombudsman's responsibilities are to:
x adhere to the requirements of the Municipal Act, 2001 and these
Terms of Reference and ensure such adherence by the ADR
Chambers Ombuds Office and by any delegates;
x provide information to the public about the process for submitting and
commencing Complaints;
x receive Complaints for assessment;
x assess incoming Complaints to determine whether they are within the
Ombudsman's mandate;
x attempt early resolution of Complaints where appropriate;
x if early resolution is not appropriate or possible, investigate Complaints
and issue a report with analysis and recommendations;
x alert Clarington if it determines that a Complaint or series of
Complaints raises a systemic issue;
x preserve confidentiality in accordance with the requirements of the
Municipal Act, 2001; and
x not provide legal representation or advice to a Complainant.
5. The Ombudsman must always act independently and impartially, and not
advocate on behalf of the Complainant or the Municipality.
6. The Ombudsman may delegate in writing to any ADR Chambers Inc. personnel
any of the Ombudsman's powers or duties, including responsibilities in the
investigation and processing of a Complaint.
7. The Ombudsman will act in compliance with all applicable legislation, privacy
rules, and codes of conduct.
8. For greater certainty, the Ombudsman will preserve confidentiality and may
disclose information in accordance with the provisions of the Municipal Act,
2001.
9. When required by law or by order of a tribunal with competent jurisdiction, the
Ombudsman shall disclose confidential information, but shall not disclose more
information than is required.
Attachment #1 to
Report CLD -029-16
MANDATE
10. The Ombudsman reports to the Council of the Municipality of Clarington and
investigates in an independent manner any decision or recommendation made
or act done or omitted in the course of the administration of the Municipality,
and affecting any person or body of persons in his, her or its personal capacity.
11. The Ombudsman provides an independent, impartial and confidential office
through which members of the public may pursue just, fair and equitable
resolution of concerns within the mandate of the Ombudsman.
12. The Ombudsman receives Complaints, assesses them in order to determine if
they are within its mandate and investigates Complaints within its mandate.
13. The Ombudsman will not investigate any Municipal decision, recommendation,
act or omission, in respect of which there is, under any Act, a right of appeal or
objection, or a right to apply for a hearing or review, on the merits of the case to
any court, or to any tribunal constituted by or under any Act, until that right of
appeal or objection or application has been exercised in the particular case, or
until after any time for the exercise of that right has expired.
14. The Ombudsman will not investigate a Complaint if the Complainant has not
exhausted all internal complaint procedures of the Municipality, as applicable.
15. The Ombudsman will not investigate any decision, recommendation, act or
omission of any person acting as a legal adviser to the Municipality or acting as
counsel to them in relation to any proceedings.
16. The Ombudsman will not investigate complaints regarding policing, the conduct
of Clarington's members of Council and closed meetings of Clarington's
Committees or Council.
17. The Ombudsman may refuse to investigate a Complaint or to continue an
investigation of a Complaint when the Ombudsman believes on reasonable
grounds that:
a) the Complainant has not availed himself or herself of other adequate
remedies under the law or existing administrative practices;
b) the subject matter of the Complaint is trivial;
c) the Complaint is frivolous, vexatious or not made in good faith;
d) the Complainant cannot demonstrate sufficient personal interest in the
subject matter of the Complaint;
e) having regard to all of the circumstances of the case, no further
investigation is necessary; or
3
Attachment #1 to
Report CLD -029-16
f) at the time the Complaint is received, more than one year has elapsed
since the Complainant learned of the facts on which the Complaint is
based, unless the Complainant establishes exceptional circumstances
that justify the delay to the satisfaction of the Ombudsman.
18. The Ombudsman may consider representations from the parties in determining
if a Complaint falls within his or her mandate.
19. If the Ombudsman determines not to investigate, or to discontinue an
investigation, the Ombudsman will inform the Complainant in writing of the
decision and the reasons for the decision.
RECEIPT AND INITIAL REVIEW OF COMPLAINTS
20. The Ombudsman will not consider a complaint until it has received a completed
and signed Complaint Submission Form and a signed Consent and
Confidentiality Agreement.
21. Upon receipt of a Complaint, the Ombudsman will inform the Municipality
through the Municipal Clerk and conduct an initial review to determine if the
Complaint is within the mandate of the Ombudsman to investigate.
22. If a Complaint is not within the Ombudsman's mandate to investigate, an Initial
View Letter will be sent to the Complainant advising him or her of the reason
why the Ombudsman is unable to investigate the matter.
23. The Ombudsman will inform the Municipality through the Municipal Clerk if the
Ombudsman is unable to investigate the matter or if an investigation will be
undertaken by the Ombudsman.
24. The Ombudsman may act as a liaison between members of the public and the
Municipality, serving as a communicator or informal conciliator if appropriate.
25. Before undertaking an investigation, the Ombudsman will attempt to mediate or
otherwise facilitate the early resolution of a Complaint, if appropriate.
INVESTIGATIONS
26. Every investigation will be conducted in private.
27. The Ombudsman will determine the procedures for assessing and investigating
Complaints. The Ombudsman is not bound by the rules of evidence that would
apply in a court of law. The Ombudsman will use his or her judgment to
evaluate the quality of the evidence, the relevance and weight applicable, and
its effect on the final outcome of the investigation.
28. The Ombudsman may hear or obtain information from such persons as he or
she thinks fit and it is not necessary for the Ombudsman to hold any hearing
4
Attachment #1 to
Report CLD -029-16
and no person is entitled as of right to be heard by the Ombudsman. However,
if at any time during the investigation it appears to the Ombudsman that there
may be sufficient grounds for him or her to make any report or recommendation
that may adversely affect the Municipality or any other person, the Ombudsman
will give him, her or it an opportunity to make representations respecting the
adverse report or recommendation, either personally or by counsel.
29. The Municipality will cooperate with and assist the Ombudsman in the
investigation by providing all non -privileged information in its possession/control
as soon as is reasonably practical, unless it is demonstrated to the
Ombudsman that disclosing this would likely place the Municipality in breach of
the law or its duty of confidentiality.
30. In undertaking an investigation, the Ombudsman will have regard to whether
the decision, recommendation, act or omission in question may have been:
a) contrary to law;
b) unreasonable, unjust, oppressive or improperly discriminatory;
c) based wholly or partly on a mistake of law or fact;
d) based on the improper exercise of a discretionary power; or
e) wrong.
INVESTIGATION RESULTS
31. Where the Ombudsman undertakes an investigation, he or she will issue a
written report with his or her findings, either rejecting the Complaint or making
recommendations to the Municipality through the Municipal Clerk, and
containing reasons for its decision.
32. The Ombudsman may disclose in any report made by him or her, matters as in
the Ombudsman's opinion ought to be disclosed in order to establish grounds
for his or her conclusion and recommendations.
33. The Ombudsman will make a recommendation or reject a Complaint based on
what is fair and reasonable in the circumstances. In determining this, the
Ombudsman will take into account the law, any regulatory policies and any
relevant code of practice or guidance applicable to the subject matter of the
Complaint. Decisions must also be in accordance with accepted standards of
fairness, independence, and competence, and tenets of procedural fairness will
be followed.
34. Recommendations by the Ombudsman are not binding on the Municipality or
the Complainant.
5
Attachment #1 to
Report CLD -029-16
35. Recommendations by the Ombudsman may include recommendations, where
appropriate, for changes to the Municipality's policies and procedures.
Notwithstanding the rejection of a Complaint, the Ombudsman may bring to the
attention of the Municipality any policies, rules or procedures that may appear
unclear, inequitable or unfair that have been the subject of a Complaint
investigation. The Ombudsman may suggest changes to existing policies, rules
or procedures, or offer advice on the development of new policies, rules or
procedures.
GENERAL
36. The administrative contact for the Ombudsman is the Municipal Clerk.
37. The Ombudsman is directly responsible to Council of the Municipality of
Clarington.
38. The Ombudsman will publish an annual report containing information of the
number and type of complaints handled by the Ombudsman and identifying any
general trends. The Municipality will post the annual report on its website.
39. The Ombudsman will attend at a Municipal Council or Committee meeting to
discuss the annual report.
A
Attachment #2 to
Report CLD -029-16
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The Regional Municipality of Durham
Report
To:
The Finance and Administration Committee
From:
Commissioner of Corporate Services
Report:
#2016-A-19
Date:
June 21, 2016
Subject:
Award of Request for Proposals (RFP) 1014-2016, FOR Municipal Ombudsman Services
for the Region of Durham and Eight Area Municipalities
Recommendations:
THAT the Finance & Administration Committee recommends to Regional Council that
they adopt the following recommendations:
A) That the Proposal received from ADR Chambers Inc. to provide municipal
ombudsman services for the term July 1, 2016 to December 31, 2022, for an
estimated annual retainer fee of $12,000, plus an hourly investigation rate of $250.00,
(plus applicable taxes) be accepted;
B) That the Regional Chair and Regional Clerk be authorized to execute the retainer
agreement as described in Recommendation A and any other contractual documents
as may be required to give effect thereto;
C) That the appointment bylaw attached to this report as Attachment #1 be presented for
reading and passage;
D) That the Commissioner of Corporate Services be authorized to implement such
procedural and policy changes as are necessary to give effect to the implementation
and appointment of a municipal ombudsman for the Regional Municipality of Durham;
and,
E) That the Regional Clerk circulates this report to the Clerks of the local municipalities
for their review and consideration as to whether they wish to join in on the retainer
aareement as described in Recommendation 2.
Report:
1. Purpose
1.1 This report recommends the appointment of ADR Chambers Inc. as the
Ombudsman for the Region of Durham.
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Report #2016-A-19 Page 2 of 5
2. Background
2.1 Effective January 1, 2016 the Ontario Ombudsman's jurisdiction was expanded to
include the municipal sector, including municipal agencies and some municipal
boards.
2.2 The Ombudsman Act had been amended to expand the jurisdiction of the Ontario
Ombudsman to include municipalities, municipal boards and their agencies.
Boards of health and police services boards are excluded from the jurisdiction of
the Ombudsman.
2.3 This expanded jurisdiction meant that effective January 1, 2016 the Ontario
Ombudsman's Office can conduct investigations into municipal matters based on
complaints received directly from the public. The amendments further clarified how
the Ontario Ombudsman may exercise its powers where a municipality has
appointed an Ombudsman.
3. Under the Municipal Act, 2001, Council has the authority to appoint an
Ombudsman
3.1 Section 223.13 of the Municipal Act, 2001 gives municipalities the authority to
appoint an ombudsman who reports to council and whose function is to investigate
in an independent manner any decision or recommendation made, or act done or
omitted, in the course of the administration of the municipality, its local boards and
such municipally -controlled corporations as specified by the municipality.
3.2 With the inclusion of the municipal sector under the jurisdiction of the Ontario
Ombudsman, the Ontario Ombudsman by default became the ombudsman for
those municipalities that did not appoint an ombudsman as of January 1, 2016.
4. Previous Reports to Regional Council
4.1 On June 24, 2015, Regional staff initially reported to Regional Council on the
Public Sector and MPP Accountability and Transparency Act, 2014 ("Bill 8").
4.2 One of recommendations in that report that was adopted by Regional Council was
Regional staff exploring the:
"the feasibility of appointing a municipal ombudsman to conduct investigations with
respect to administrative acts of the Region, including options for appointment
jointly with other municipalities be explored and that Regional staff report back...."
4.3 On December 14, 2015, Regional Council received report 2015-A-41 under which
Council determined to (i) appoint a Municipal Ombudsman; (ii) commence an RFP
process to appoint said Municipal Ombudsman; and, (iii) consult with the local
municipalities to explore their interest in the possibility of partnering on the
proposed RFP by providing the option for the successful proponent ombudsman to
service the local municipalities with respect to their local administration.
4.4 To this point the Town of Whitby and Clarington Council have passed formal
resolutions to jointly appoint a Municipal Ombudsman with the Region of Durham.
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#2016-A-19
Page 3 of 5
The remaining area municipalities have not passed resolutions, but have indicated
that they want to wait for the outcome of the Ombudsman RFP prior to making a
decision on whether to appoint the successful proponent as municipal
ombudsman.
5. RFP -1014-2016
5.1 A request for proposals was issued for the Ombudsman Services as RFP -1014-
2016 and was posted on the Regional website from the dates of May 2, 2016 and
closed on May 24, 2016.
5.2 RFP 1014-2016 is a cooperative purchasing arrangement under which the local
municipalities may choose to appoint the selected proponent, within the term of the
contract, on the same terms and conditions including price.
5.3 RFP 1014-2016 consisted of the following evaluation criteria:
a) Company and Staff Background, Qualifications and Experience
b) Communication and Public Awareness
c) Technical Solution - Methodology and Resources
d) Pricing
e) Presentation and Demonstration
5.4 Participation in this co-operative purchasing arrangement allows the local
municipalities the option to appoint the selected proponent, appoint their own local
ombudsman or choose to rely upon the Ontario Ombudsman for service.
5.5 In addition, should the local municipalities desire additional services to be provided
by the Municipal Ombudsman, such as education seminars, then they may pass
confirmatory by-laws with their local Councils to confirm any duties to be assigned
to the Municipal Ombudsman and they would perform such duties under the hourly
fee as a "Special Project" as defined under the RFP.
5.6 Three firms submitted compliant proposals which were ADR Chambers Inc., MED -
ARB Solutions Limited and John Arkelian. The proposals were evaluated using a
one stage envelope system and a presentation stage.
5.7 The Proponents were required to achieve a minimum technical score of 70% on
the interview stage of the evaluation to be considered for Contract
recommendation.
5.8 Based on the scoring criteria, ADR Chambers Inc. is the recommended proponent.
6. Recommended Proponent for Ombudsman for the Region of Durham
6.1 ADR Chambers Inc. has over twenty years of experience providing mediation,
arbitration and investigation services for both the public and private sectors in
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Report #2016-A-19 Page 4 of 5
Canada and internationally. ADR Chambers Inc. currently is the ombudsman for
the Region of York (and several of its member municipalities) and the Region of
Halton (and several of its member municipalities).
6.2 Since 2008, ADR Chambers Inc. has been the banking ombudsman for the Royal
Bank of Canada, TD Financial and Direct Cash Bank and has been providing
similar services to the Financial Services Commission of Ontario and is certified by
the federal government as only one of two approved external complaint bodies for
the financial service sector in Canada.
7. Term of Appointment
7.1 The initial term of the appointment of ADR Chambers Inc. will be for the balance of
the current term of Council with a start date of July 1, 2016. The contract will
continue for a subsequent four year term of the next Regional Council.
7.2 Under the terms of the contract the Region retains the right to terminate the
contract for unsatisfactory performance at any time, or without cause upon giving
at least (30) thirty days written notice.
7.3 All proponents were advised that in undertaking assignments for the Region, their
performance may be reviewed throughout the duration of the contract.
8. Financial Implications
8.1 During the initial term, the Region will pay a fixed annual retainer fee of $12,000 to
ADR Chambers Inc. to provide Ombudsman Services to the Region of Durham
and the local municipalities that choose to participate in the cooperative
purchasing arrangement by appointing ADR Chambers Inc. as their ombudsman.
8.2 The annual retainer will include the initial intake of a complaint, the processing of
it, communicating with a complainant to verify the complaint, and any letters to the
complainant to dismiss the complaint and close the file. Annual retainer will also
include any reports and recommendations made to Regional Council and annual
Ombudsman reports to Regional Council.
8.3 A fee of $250.00 per hour will be incurred for complaints made to ADR Chambers
Inc. and the fee will be incurred at the time ADR Chambers decides a complaint
warrants a formal investigation and the steps to carry out that formal investigation.
The hourly fee will also apply to any "Special Projects" as may be requested by
any participating municipality such as teaching seminars or public meetings.
8.4 By entering into a retainer agreement with ADR Chambers Inc., the Region will
achieve savings by utilizing the existing infrastructure, resources and staff ADR
Chambers Inc. has established acting as an Ombudsman for the banking sector.
And in administering the role of an accountability officer in the municipal sector.
8.5 The actual costs that would be incurred as a result of complaints made to ADR
Chambers Inc. is unknown as the volume of calls cannot be predicted at this time.
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Report #2016-A-19 Page 5 of 5
9. Local Municipalities
9.1 The impact on local municipalities will depend on whether each municipality
chooses to appoint its own ombudsman or participate in the co-operative
purchasing arrangement by appointing ADR Chambers,
9.2 During the initial proposed term, the Region of Durham be responsible for the
retainer fee. Each local municipality that chooses to appoint ADR Chambers Inc.
as their municipal ombudsman will be responsible for service fees of $250.00 per
hour associated with the formal investigations arising out of complaints which
apply to the participating municipality.
10. Implementation
10.1 In order to administratively implement an ombudsman complaint process it will be
necessary for some additional policy and procedures to be developed addressing
matters such as confidentiality, process guidelines for complaints and
investigations, and the preparation of appropriate forms and web pages for the
public to be able to access and utilize the municipal ombudsman.
10.2 In order to implement these matters, it is recommended that the Commissioner of
Corporate Services, or designate, be authorized to take such administrative steps
as is necessary in order to give effect to the direction of Regional Council to
implement a municipal ombudsman process with respect to the administrative acts
of the Region.
11. Conclusion
11.1 The appointment of the recommended proponent will ensure the Region of
Durham has its own ombudsman ready to serve the residents and customers of
the Region of Durham.
12. Attachment
Attachment #1 Appointment By-law
Respectfully submitted,
Mathew L. Gaskell
Commissioner of Corporate Services
Recommended for Presentation to Committee
Garry H. Cubitt, M.S.W.
Chief Administrative Officer
UK
Report #2016-A-19 Attachment #1
BY-LAW NUMBER 32-2016
OF
THE REGIONAL MUNICIPALITY OF DURHAM
being a by-law to authorize the Region of Durham to
appoint ADR Chambers Mediators and Arbitrators as
the Ombudsman for the Regional Municipality of
Durham (Regional Ombudsman).
WHEREAS pursuant to Section 8 of the Municipal Act 2001 S.O. c. 25 provides
in part that a municipality has the capacity, rights, powers and privileges of a
natural person for the purpose of exercising authority;
AND WHEREAS pursuant to Section 223.13(1) authorizes a Municipality to
appoint an Ombudsman who reports to Council and whose function is to
investigate in an independent manner any decision or recommendation made or
act done or omitted in the course of the administration of the municipality, local
boards and such municipally -controlled corporations as the municipality may
specify affecting any person or body of persons in his, her or its personal
capacity;
AND WHEREAS Council for the Regional Municipality of Durham passed a
resolution at its meeting of June 29th, 2016 to authorize the execution of an
agreement with ADR Chambers to be appointed the Regional Ombudsman and
to provide services to facilitate the delivery of services for the Regional
Ombudsman.
NOW THEREFORE BE IT ENACTED AND IT IS HEREBY ENACTED as a by-
law of The Regional Municipality of Durham through its Council as follows:
That the Regional Chair and Regional Clerk are hereby authorized and
instructed to execute on behalf of the Regional Municipality of Durham an
agreement with ADR Chambers to affect their appointment as the
Regional Ombudsman and also to provide the required services for
Regional Ombudsman (the Agreement) on such terms and conditions as
were presented in the Request For Proposals and such other terms and
conditions as may be required and approved by the Commissioner of
Corporate Services to give effect to the Agreement.
2. That the Agreement provide for that ADR Chambers be appointed for a
term from the date of July 1, 2016 to the end of the current term of
Regional Council and the entire subsequent term of a subsequent
Regional Council.
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Page 2 of 3
3. That ADR Chambers as the Regional Ombudsman provide the following
services:
(a) Independently receive, review and investigate complaints that
are the result of an act, decision or recommendation done or
omitted in the course of the administration of the Regional
Municipality of Durham and any municipally controlled
corporation that may be under the ombudsman jurisdiction;
(b) Maintain confidentiality of complaints and the matters relating to
an investigation unless such matters should be disclosed to
establish grounds for the ombudsman's conclusions and
recommendations;
(c) Act at arm's length from the Regional Municipality of Durham
and Council but will provide an annual report on its activities and
periodic reports that are the result of an investigation.
(d) The first point of contact should the Regional Ombudsman wish
to conduct a formal investigation will be to notify the Regional
Clerk before conducting any such investigation.
(e) That the Regional Ombudsman cannot investigate any
decision, recommendation, act or omissions: (1) where there is
a right of appeal or objection, or right to apply for a hearing or
review by tribunal or court until this right has been exercised;
and (2) of any legal adviser or person acting as legal counsel to
the public sector body.
(f) That the Regional Ombudsman provide annual reports and such
other reports as may be required subsequent to the completion
of their investigations, providing results and recommendations in
accordance to the Agreement.
4. That should the Ombudsman conduct an investigation, it shall do so in
accordance to the terms and conditions of the Agreement executed
between it and the Regional Municipality of Durham and shall adhere to all
applicable laws, applicable statures and established Regional policies.
5. That any local municipality within the geographic region of the Regional
Municipality of Durham desirous to retain the Regional Ombudsman to
provide Ombudsman services for their municipality that they may execute
the Agreement with the Regional Municipality of Durham and shall pay the
Regional Ombudsman for services in accordance to their hourly fee in
accordance to the terms of the Agreement provided they have obtained
the required approvals to do so.
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Page 3 of 3
6. That should the Regional Municipality of Durham or any local municipality
desire any further services from the Regional Ombudsman outside what it
is outlined in this by-law, the Regional Ombudsman may oblige in
providing such other services, so long as the respective Council of the
municipality requesting such other service has passed a resolution
through their respective Council to authorize the Regional Ombudsman to
provide such other service. If authorized to do so, the Regional
Ombudsman will charge their hourly fee in accordance to the Agreement
for such other services to the municipality requesting such other services.
BY-LAW read and passed this 29th day of June, 2016.
Roger Anderson, Regional Chair and Debi A. Wilcox, Regional Clerk
CEO
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Attachment #3 to
Report CLD -029-16
THE CORPORATION OF THE MUNICIPALITY OF CLARINGTON
BY-LAW
being a by-law to authorize the appointment of ADR Chambers
Mediators and Arbitrators as the Ombudsman for the Municipality of
Clarington (Municipal Ombudsman).
WHEREAS pursuant to Section 8 of the Municipal Act 2001 S. 0. c. 25 provides
in part that a municipality has the capacity, rights, powers and privileges of a
natural person for the purpose of exercising authority;
AND WHEREAS pursuant to Subsection 223.13(1) authorizes a Municipality to
appoint an Ombudsman who reports to Council and whose function is to
investigate in an independent manner any decision or recommendation made or
act done or omitted in the course of the administration of the municipality, local
boards and such municipally -controlled corporations as the municipality may
specify affecting any person or body of persons in his, her or its personal
capacity;
AND WHEREAS Council for the Municipality of Clarington deems it desirable
to appoint an Ombudsman for the Municipality of Clarington;
AND WHEREAS ADR Chambers was the successful bidder meeting all terms
and conditions to the Region of Durham's RFP 1014-2016 to facilitate the delivery
of services for the Regional Ombudsman;
AND WHEREAS the Council for the Municipality of Clarington deems it desirable
retain the Regional Ombudsman to provide Municipal Ombudsman services as
per Section 5 of Regional By-law 32-2016 with the Region of Durham being
responsible for payment for the Annual Retainer fee;
NOW THEREFORE BE IT RESOLVED that, the Council of the Corporation of the
Municipality of Clarington enacts as follows:
1. That the Mayor and Clerk be authorized and instructed to execute on
behalf of the Municipality of Clarington an agreement with ADR
Chambers to affect their appointment as the Municipal Ombudsman and
also to provide the required services for Municipal Ombudsman (the
Agreement) on such terms and conditions as were presented in the
Request For Proposals and such other terms and conditions as may be
required and approved by the Municipal Clerk to give effect to the
Agreement.
2. That the Agreement provide for that ADR Chambers be appointed for a
term from the date of passing of this by-law to the end of the current
term of Council and the entire subsequent term of a subsequent
Council; being December 31, 2022.
Attachment #3 to
Report CLD -029-16
3. That ADR Chambers as the Municipal Ombudsman provide the
following services:
(a) Independently receive, review and investigate complaints that
are the result of an act, decision or recommendation done or
omitted in the course of the administration of the Municipality
of Clarington and any municipally controlled corporation that
may be under the ombudsman jurisdiction;
(b) Maintain confidentiality of complaints and the matters relating to
an investigation unless such matters should be disclosed to
establish grounds for the ombudsman's conclusions and
recommendations;
(c) Act at arm's length from the Municipality of Clarington and
Council but will provide an annual report on its activities and
periodic reports that are the result of an investigation.
(d) Notify the Municipal Clerk as the first point of contact should
the Municipal Ombudsman wish to conduct a formal
investigation before conducting any such investigation.
(e) That the Municipal Ombudsman cannot investigate any
decision, recommendation, act or omissions: (1) where there is
a right of appeal or objection, or right to apply for a hearing or
review by tribunal or court until this right has been exercised;
and (2) of any legal adviser or person acting as legal counsel to
the public sector body.
(f) That the Municipal Ombudsman provide annual reports and
such other reports as may be required subsequent to the
completion of their investigations, providing results and
recommendations in accordance to the Agreement.
4. That should the Municipal Ombudsman conduct an investigation, it shall
do so in accordance to the terms and conditions of the Agreement
executed between it and the Municipality of Clarington and shall adhere to
all applicable laws, applicable statutes and established Municipal policies.
5. That the Municipality shall be responsible for payment of the hourly fee
and the Region of Durham being responsible for the annual retainer fee,
in accordance to the terms of the Agreement.
Attachment #3 to
Report CLD -029-16
6. That should the Municipality of Clarington desire any further services from
the Municipal Ombudsman, outside what it is outlined in this by-law, the
Municipal Ombudsman may oblige in providing such other services on
Council approval to provide such other service. If authorized to do so,
the Municipal Ombudsman will charge their hourly fee in accordance with
the Agreement for such other services.
BY-LAW passed in open session this 11th day of October, 2016.
Adrian Foster, Mayor
C. Anne Greentree, Municipal Clerk