MEMORANDUM OF UNDERSTANDING. between. THE ATTORNEY GENERAL OF ONTARIO (hereinafter called the Minister ) and

Transcription

1 MEMORANDUM OF UNDERSTANDING between THE ATTORNEY GENERAL OF ONTARIO (hereinafter called the Minister ) and THE EXECUTIVE CHAIR OF SAFETY, LICENSING APPEALS AND STANDARDS TRIBUNALS ONTARIO (hereinafter called the Executive Chair ) 1.1 PURPOSE 1.2 The purpose of this Memorandum of Understanding (MOU) is to set out the accountability relationship between the Minister and the Executive Chair on behalf of the Safety, Licensing Appeals and Standards Tribunals Ontario (SLASTO). Further, it sets out the expectations for information exchange and working relationships that support the accountability and governance requirements within a framework that recognizes the independence of SLASTO and its constituent tribunals. 1.3 Specifically, this MOU establishes: a) The accountability and governance framework between the Ministry and SLASTO; b) The roles and responsibilities of the Minister; the Executive Chair, SLASTO; the Deputy Minister; and the Executive Lead, SLASTO; c) The expectations for the operational, administrative, financial, auditing and reporting arrangements between SLASTO and the Ministry of the Attorney General. 1.4 SLASTO is responsible for (a) resolving disputes, (b) assessing and making decisions regarding risk and public safety, (c) conducting investigations within its statutory mandate and for (d) overseeing the statutory mandates of its constituent tribunals and for the cluster s ongoing administration. The Minister is accountable to the Legislature for its effective operation. This MOU sets out mechanisms to ensure that the Minister and SLASTO each have the information they need to fulfill their responsibilities and that SLASTO fulfills its assigned mandate in an efficient, effective and responsible manner. 1.5 A signed copy of the MOU is to be provided to the Ministry of Government SLASTO MOU 1

2 Services. 1.6 The MOU should be read together with the legislation governing SLASTO and its constituent tribunals. The MOU does not supersede the provisions of any legislation governing SLASTO, nor is it intended to interfere with the independence of SLASTO or of its appointees in resolving disputes, assessing and making decisions regarding risk and public safety and conducting investigations, consistent with the legislation, common law and principles of natural justice. The MOU does not affect, modify, limit or interfere with any of the responsibilities of the Minister or SLASTO or its appointees established by law. In the event of a conflict between the MOU and any act or regulation, the act or regulation prevails. 2. DEFINITIONS In this MOU: a) Accountability and Governance Documents: mean the documents, frameworks, and reports required under the ATAGAA; b) AEAD: means the Management Board of Cabinet Agency Establishment and Accountability Directive; c) Alternate Executive Chair: means the Associate Chair appointed within SLASTO; d) Annual Report: means a description of SLASTO s activities during the fiscal year, including financial reports and statements; e) AODA: means the Accessibility for Ontarians with Disabilities Act, 2005 S.O. 2005, c. 11; f) Appointee: means the Executive Chair, Alternate Executive Chair, Associate Chair, Vice-Chair, or Member appointed to one or more of SLASTO constituent tribunals by the Lieutenant Governor in Council by Order in Council, but does not mean persons employed within SLASTO pursuant to Part III of the Public Service of Ontario Act, 2006, S.O. 2006, c. 35, Sch. A; g) Associate Chairs: means the Associate Chairs appointed within SLASTO; h) ATAGAA: means the Adjudicative Tribunals Accountability, Governance and Appointments Act, 2009, S.O. 2009, c. 13, Sch. 5; i) Business Plan: means an outline of the objectives and results which the SLASTO and its constituent tribunals expect to achieve in the coming three years in order SLASTO MOU 2

3 to comply with their legislative mandates; j) Constituent Tribunals: means the tribunals designated as a tribunal cluster under Ontario Regulation 126/10 (Adjudicative Tribunals and Clusters) made under ATAGAA, as amended from time to time, currently consisting of the Animal Care Review Board, the Fire Safety Commission, the Licence Appeal Tribunal, the Ontario Civilian Police Commission and the Ontario Parole Board; k) Constituting Statutes: The statutes listed in , which establish and provide legislative authority for SLASTO s constituent tribunals; l) Deputy Minister: means the Deputy Attorney General or his or her designate; m) Directives: means the directives and operating policies/procedures issued by central agencies such as the Corporate Policy Branch of the Ministry of Government Services, the Office of the Provincial Controller of the Ministry of Finance, Treasury Board/Management Board of Cabinet and the Ministry of the Attorney General; n) Executive Chair: means the Executive Chair of SLASTO; o) Executive Lead: means the Executive Lead of SLASTO; p) Management Principles: means accepted business and financial standards and procedures, and accepted standards of ethical behaviour, accountability, excellence in management, and quality service, and includes an adherence to the policies, procedures, guidelines and directives of the Ministry and all relevant central government agencies (TB, MBC, Ministry of Finance, Ministry of Government Services); q) MBC: means Management Board of Cabinet; r) MI: means the Ministry of Infrastructure; s) Minister: means the Attorney General of Ontario; t) Ministry: means the Ministry of the Attorney General; u) MOF: means the Ministry of Finance and includes Treasury Board where appropriate; v) MOU: means this memorandum of understanding, including its schedules and any written amendments; w) Performance Measures: means measures established by SLASTO in order to SLASTO MOU 3

4 ensure its accountability in accordance with the principles of modern controllership. x) PSOA: means the Public Service of Ontario Act, 2006, S.O. 2006, c.35, Schedule A, as amended from time to time; y) Policy Ministry: means the ministry(ies) that sets the legislative and policy framework for the constituent tribunals; z) RbP: means the Ministry s annual business planning and allocation process and includes review and approval by MBS as well as other processes for financial requests to MBC and MI; aa)schedules: means the schedules attached to the MOU; bb)slasto: means the Safety, Licensing Appeals and Standards Tribunals Ontario, and includes its constituent tribunals under ATAGAA; cc) TB: means Treasury Board. 3. LEGISLATIVE AUTHORITY AND MANDATE 3.1. SLASTO is a cluster of tribunals designated under O. Reg. 126/10 pursuant to section 15 of the ATAGAA. SLASTO s constituent tribunals are responsible for resolving disputes, assessing and making decisions regarding risk and public safety and conducting investigations within their statutory mandates and for ongoing administration of their mandates. While SLASTO reports to the Attorney General for administrative purposes, SLASTO and its constituent tribunals are independent in all matters affecting dispute resolutions, assessments, investigations and decision-making, in the assessment and management of adjudicators, and in their relationships, dealings and communications with tribunal users and persons affected by their services Pursuant to SLASTO s mandate, the specific mandates of its constituent tribunals are: Animal Care Review Board: The mandate is to adjudicate applications related to the care, treatment and removal of animals; Fire Safety Commission: The mandate is to adjudicate applications and resolve disputes regarding inspections, orders and decisions for repairs, alterations or installations to be made to a building, structure or premises made by inspectors and the Fire Marshall; SLASTO MOU 4

5 Licence Appeal Tribunal: The mandate is to adjudicate applications and resolve disputes concerning compensation claims and licensing activities regulated by several ministries of the provincial government, including those activities that have been delegated to designated administrative authorities under the Safety and Consumer Statutes Administration Act, 1996, S.O. 1996, c.19; Ontario Civilian Police Commission: The mandate is to adjudicate applications, conduct investigations and resolve disputes regarding the oversight and provision of policing services; Ontario Parole Board: The mandate is to consider applications for supervised conditional release of adult offenders sentenced to Ontario provincial correctional institutions The specific legislative authority for SLASTO`s constituent tribunals are found as follows: Animal Care Review Board: The legislative authority is found in the Ontario Society for the Prevention of Cruelty to Animals Act, R.S.O. 1990, c. O.36. Fire Safety Commission: The legislative authority is found in the Fire Protection and Prevention Act, 1997, S.O. 1997, c. 4. Licence Appeal Tribunal: The legislative authority is found in the Licence Appeal Tribunal Act,1999, S.O. 1999, c. 12, Sch. G. Ontario Civilian Police Commission: The legislative authority is found in the Police Services Act, R.S.O. 1990, c. P.15. Ontario Parole Board: The legislative authority is found in the Ministry of Correctional Services Act, R.S.O. 1990, c. M The Tribunals also exercise powers and authority granted under other statutes, as amended from time to time, and any applicable regulations, including, but not limited to: Alcohol and Gaming Regulation and Public Protection Act, 1996, S.O. 1996, c.26 Bailiffs Act, R.S.O. 1990, c. B.2 Board of Funeral Services Act, R.S.O. 1990, c. F.36 Building Code Act, 1992, S.O. 1992, c. 23 Canadian Charter of Rights and Freedoms, Part I of the Constitution Act, 1982, being Schedule B to the Canada Act 1982 (UK), 1982, c 11 Child and Family Services Act, R.S.O. 1990, c. C.11 Collection Agencies Act, R.S.O. 1990, c. C.14 SLASTO MOU 5

6 Consumer Protection Act, 2002, S.O. 2002, c. 30 Schedule A Consumer Reporting Act, R.S.O. 1990, c. C.33 Corrections and Conditional Release Act, S.C. 1992, c. 20 Day Nurseries Act, R.S.O. 1990, c.d.2 Discriminatory Business Practices Act, R.S.O. 1990, c.d.12 Film Classification Act, S.O. 2005, c. 17 Freedom of Information and Protection of Privacy Act, R.S.O. 1990, c. F.31 Funeral, Burial and Cremation Services Act, 2002, S.O. 2002, c. 33 Gaming Control Act, 1992, S.O, 1992, c. 24 Highway Traffic Act, R.S.O.1990, c. H.8 Human Rights Code, R.S.O 1990, c H.19 Intercountry Adoption Act, 1998, S.O. 1998, c. 29 Interprovincial Policing Act, 2009, S.O. 2009, c. 30 Liquor Licence Act, R.S.O. 1990, c.l.19 Motor Vehicle Dealers Act, 2002, S.O. 2002, c.30 Schedule B Ontario New Home Warranties Plan Act, R.S.O. 1990, c.o.31 Paperback and Periodical Distributors Act, R.S.O. 1990, c.p.1 Payday Loans Act, 2008, S.O. 2008, c.9 Post-Secondary Education Choice and Excellence Act, 2000,S.O. 2000, c.36 Prison and Reformatories Act, R.S.C., 1985, c. P-20 Private Career Colleges Act, 2005, S.O. 2005, c.28, Schedule L Private Security and Investigative Services Act,2005, S.O. 2005, c.34 Public Inquiries Act, S.O. 2009, c. 33, Schedule 6 Real Estate and Business Brokers Act, 2002, S.O. 2002, c.30 Schedule C Statutory Powers Procedure Act, R.S.O. 1990, c.s.22 Travel Industry Act, 2002, S.O. 2002, c. 30 Schedule D Vintners Quality Alliance Act, 1999, S.O. 1999, c.3 Youth Criminal Justice Act, S.C. 2002, c Pursuant to O. Reg. 146/10 (Public Bodies and Commission Public Bodies Definitions) made pursuant to the PSOA, the constituent tribunals of SLASTO are each identified as a commission public body for purposes of the PSOA. 4. STATUS AND CLASSIFICATION 4.1. Each of SLASTO s constituent tribunals is designated as an adjudicative tribunal under O. Reg. 126/10 of the ATAGAA. 5. GUIDING PRINCIPLES 5.1 The parties agree that they will adhere to the following principles in their relationship: SLASTO MOU 6

7 a) The Minister recognises that SLASTO exercises powers and performs duties in accordance with its legal mandates. SLASTO and its constituent tribunals are independent of the Minister and of government in all matters affecting dispute resolution, assessments, investigations and decision-making that come before them, in the assessment and management of adjudicators, and in their relationships, dealings and communications with tribunal users and persons affected by their services. b) The Minister acknowledges that SLASTO plays an important and meaningful role in the delivery, interpretation and application of government programs and policies, and should be consulted, as appropriate, on the development or proposed amendments to those policies and programs where they may affect the mandate of SLASTO. c) The Executive Chair, Alternate Executive Chair, Associate Chairs, Vice-Chairs, Members and the Executive Lead acknowledge that accountability is a fundamental principle to be observed in the management, administration and operation of SLASTO. d) SLASTO will conduct itself according to Management Principles of the Government of Ontario and the Accountability and Governance Documents developed under ATAGAA. These principles include a commitment to ethical behaviour and embracing diversity and inclusion. e) SLASTO and the Ministry agree to avoid duplication of services wherever possible, subject to ensuring SLASTO s independence. f) SLASTO and the Ministry agree to a mutual commitment to shared public service goals and agree to co-operation and co-ordination in achieving those goals, provided that SLASTO s mandate and adjudicative independence are fully respected. g) The Ministry agrees to support SLASTO in achieving its goals of a diverse and inclusive organization and service provider. 6. ACCOUNTABILITY RELATIONSHIPS 6.1 The Minister a) The Minister is accountable to the Legislative Assembly for SLASTO s fulfilment of its mandate, its compliance with the AODA, the ATAGAA and government administrative policies and, for these purposes, reports and responds to the Legislative Assembly on the affairs of SLASTO. SLASTO MOU 7

8 b) The Minister is accountable to the Cabinet for the performance of SLASTO and its compliance with the AODA, the ATAGAA and government s operational policies and broad policy directions. c) The Minister is responsible for representing SLASTO to Cabinet and its committees and in the Legislative Assembly. 6.2 The Executive Chair Under subsection 17(1) of ATAGAA, the Executive Chair is granted all of the powers, duties and functions assigned to the chair of each adjudicative tribunal within SLASTO under ATAGAA, and any other Act or by any regulation, order-incouncil or ministerial or MBC directive. As such, the Executive Chair is accountable to the Minister for the performance of SLASTO in fulfilling its mandate and for carrying out the roles and responsibilities assigned under the constituting statutes, the PSOA, the ATAGAA, this MOU, and applicable TB/ MBC and MOF directives and delegation documents. 6.3 Deputy Minister a) The Deputy Minister is accountable to the Minister for the performance of the Ministry, in providing administrative support to SLASTO and for carrying out the roles and responsibilities assigned to him or her by the Minister, the AODA, the PSOA, applicable TB/ MBC and MOF directives, and this MOU. b) The Deputy Minister will consult, annually, with the Executive Chair and the Executive Lead in the development of the Executive Lead s performance management plan and will seek the Executive Chair s advice on the annual performance evaluation of the Executive Lead. 6.4 Executive Lead a) The Executive Lead is accountable to the Executive Chair to implement policies and operational decisions and reports regularly on SLASTO s performance to the Executive Chair. b) The Executive Lead is accountable to the Deputy Minister for the management of SLASTO s operations and the management and supervision of SLASTO s staff, as delegated to her/him by the Deputy Minister under the Delegation of Authority for Human Resources, pursuant to subsections 44(2) and (6) of the PSOA and the relevant collective agreements. c) SLASTO s staff report to, and are accountable to, the Executive Lead for their performance. SLASTO MOU 8

9 7. CONFLICT OF INTEREST a) The Executive Chair is the Ethics Executive for Appointees for the purposes of PSOA and is responsible for ensuring that they are informed of the conflict of interest rules, including the rules on political activities that govern specially restricted public servants. b) The Executive Lead is designated as the Ethics Executive for the purposes of the PSOA for all public servants of SLASTO who are not Appointees. The Executive Lead is responsible for ensuring that SLASTO s staff are informed of the conflict of interest rules, including the rules on political activities that govern public servants and for carrying out the responsibilities of Ethics Executive in accordance with the requirements of the PSOA. 8. ROLES AND RESPONSIBILITIES 8.1 Role of the Minister The Minister is responsible for: a) Recommending appointment and reappointment of appointees pursuant to the process for tribunal appointments established by the enabling statutes of the constituent tribunals and in accordance with ATAGAA, after consultation with, and after receiving the recommendation of, the Executive Chair. b) Monitoring the activities of SLASTO to ensure that its mandate is being fulfilled and that it is in compliance with the Accountability and Governance Documents, and Management Principles. c) Recommending to TB/ MBC any provincial funding to be given to SLASTO. d) Reviewing and approving in-year submissions to TB or MI in relation to expenditure increases, re-allocation of funding, report backs, and other issues, as required. e) Directing that a periodic review of SLASTO be conducted as necessary and making subsequent recommendations to TB/ MBC. f) Reviewing and approving SLASTO s Accountability and Governance Documents, other than its ethics plan, and establishing periodic reviews of its functioning. g) Receiving SLASTO s Annual Report and tabling it in the Legislative Assembly. SLASTO MOU 9

10 h) Reporting and responding to the Legislative Assembly on the affairs of SLASTO. i) Reporting and responding to the Cabinet on SLASTO s performance and compliance with the Accountability and Governance Documents, the government s operational policies and broad policy directions. j) Keeping the Executive Chair informed of the government s priorities and broad policy directions that may relate to SLASTO. k) Making all reasonable efforts to ensure that the Executive Chair is consulted on proposed substantive changes to the governing legislation and regulations and particularly any that affect SLASTO s mandate or the mandates of its constituent tribunals, and the services that they provide. l) Determining the need for any review and making recommendations to TB/ MBC on the operation of SLASTO and any changes to its structure or role. m) Recommending to TB/MBC the powers to be given to SLASTO when a change in the mandate of a constituent tribunal is being proposed. n) Evaluating the Executive Chair s performance in light of the Accountability and Governance Documents, including the approved Business Plan. o) Developing SLASTO s MOU with the Executive Chair and signing it into effect Role of the Executive Chair The Executive Chair is responsible for: a) Keeping the Minister informed of issues or events that may concern him or her in the exercise of the Minister's responsibilities, and ensuring that matters relating to SLASTO which, in the opinion of the Executive Chair or of the Minister, are of importance to the Ministry are brought to the attention of the Minister and/or the Deputy Minister in a timely fashion. b) Providing leadership to SLASTO and improving the effectiveness and efficiency with which its constituent tribunals deal with the matters before them. c) Directing and monitoring the affairs of the constituent tribunals within their mandates as defined by the constituting statutes, and the Accountability and Governance Documents, including the dispute resolution, assessment, investigative and decision-making functions of the constituent tribunals, and the development of policies for the management of the constituent tribunals. SLASTO MOU 10

11 d) Ensuring appropriate management systems are in place (financial, information technology, human resources and records management) for the effective administration of SLASTO. e) Establishing and approving the goals, objectives, processes and strategic directions for SLASTO in light of its mandate, the Accountability and Governance Documents, the AODA, the ATAGAA, the PSOA and this MOU; and submitting to the Minister, SLASTO s Business Plan, Annual Report, budget and other documentation as required, and in accordance with the timelines specified in the applicable TB/MBC, MOF directives and this MOU. f) Ensuring that public funds are used with integrity and honesty and that SLASTO complies with Management Principles and operates within its approved funding allocation in the fulfillment of its mandates. g) Cooperating with any periodic review of SLASTO directed by the Minister, TB/ MBC or the Auditor General. h) Providing both the Minister and the Minister of Finance with a copy of every audit report, a copy of SLASTO s response to each report, and any recommendations in the report. i) Advising the Minister annually on any outstanding audit recommendations. j) Developing an effective performance measurement and management system for assessing the performance of the constituent tribunals and for evaluating the performance of Appointees and conducting such evaluations. k) Reviewing and approving on an annual basis, SLASTO s diversity and inclusion strategy including reporting obligations. l) Ensuring that a process for responding to and resolving complaints from the public is in place. m) Identifying the required skills, experience and capacity required for SLASTO and its constituent tribunals to meet their mandates by notifying the Minister of the need for appointments, reappointments and/or cross appointments of tribunal members. n) Recommending to the Minister members for appointment, reappointment and/or cross appointment who have the identified skills and experience, pursuant to the process for appointment to adjudicative tribunals established by ATAGAA and by MBC, and which support the diversity objectives of the Ministry. SLASTO MOU 11

12 o) Ensuring that an appropriate framework is in place for appointees to receive adequate orientation and training including training on diversity and inclusion. p) Ensuring the Appointees are aware of and comply with the accountability and governance framework established by the ATAGAA, all approved Accountability and Governance Documents, and applicable TB/ MBC and MOF directives. q) Ensuring that Appointees are informed of their responsibilities under the PSOA with regard to the rules of ethical conduct (Part IV of the PSOA), and the political activity rules (Part V of the PSOA). r) Recording any declared or apparent conflicts of interest and advising the Conflict of Interest Commissioner as appropriate. s) Carrying out effective public communications and stakeholder relations for SLASTO as its chief spokesperson. t) Attending and/or making presentations before Cabinet or committees of Cabinet or the legislature on matters concerning the affairs of SLASTO when requested to do so. u) Consulting with the Deputy Minister on the annual performance evaluation of the Executive Lead. v) Ensuring that Appointees are trained with respect to requirements for the protection of personal information under the Freedom of Information and Protection of Privacy Act. w) Working with other clusters, where appropriate, on projects that would benefit the ministry s adjudicative sector as a whole Role of the Deputy Minister The Deputy Minister is responsible for: a) Advising and assisting the Minister in meeting the Minister's responsibility with respect to SLASTO, and ensuring that the Minister is advised of the requirements of the AEAD and other directives that apply to SLASTO. b) Advising the Minister on the operation of the constituent tribunals or any changes to their structure or role. c) Undertaking, on behalf of the Minister, while respecting SLASTO s authority and independence, assessments or reviews on whether SLASTO or its constituent SLASTO MOU 12

13 tribunals are fulfilling their legislative mandates in accordance with approved government policies, including identifying the need for corrective action and recommending ways to resolve any issues that are identified. d) Providing a framework for reviewing and assessing SLASTO s Business Plan and other reports provided to the Ministry. e) Ensuring that the Ministry provides SLASTO with the administrative support, financial and other services as set out in this MOU and its attached Schedules. f) Meeting with the Executive Chair as necessary to discuss matters of mutual importance to SLASTO and the Ministry, such as the services provided by the Ministry to SLASTO and the implementation of central agency and/or Ministry administrative policies. g) Informing SLASTO of the financial and administrative, human resources, corporate and other policies of the Ministry and government that apply to SLASTO, including those in respect of the Accessibility for Ontarians with Disabilities Act, 2005, French language services, freedom of information, privacy, quality service, workplace harassment and diversity. h) Ensuring that SLASTO incorporates diversity and inclusion into its business plan to promote an open and accessible administrative justice system. i) Ensuring annually, that the Executive Lead s performance management plan reflects his or her reporting obligations to the Executive Chair and to the Deputy Minister, and the standards to be met in carrying out those responsibilities and obligations. The Executive Lead s performance management plan will stipulate that the Executive Lead has an obligation to support the Executive Chair effectively and that this forms a part of the Executive Lead s performance evaluation. j) The annual performance evaluation of the Executive Lead, in consultation with the Executive Chair Role of the Executive Lead The Executive Lead is responsible for: a) Supporting the Executive Chair in meeting his/ her responsibilities. b) Keeping the Executive Chair and Deputy Minister informed and up-to-date on all relevant operational matters. c) Maintaining effective communications with the Deputy Minister and the senior SLASTO MOU 13

14 management of the Ministry and seeking, as appropriate, advice and support on administrative or management matters of mutual importance from the Ministry. d) In conjunction with the Executive Chair, consulting with the Deputy Minister on any affairs of SLASTO that may affect the Ministry s provision of services under this MOU. e) Working with the Executive Chair, providing executive direction and leadership for the strategic planning, business planning and priority setting, the diversity and inclusion strategy and overall operational direction of SLASTO; and ensuring that formal documents are prepared for, and approved by, the Executive Chair for submission to the Ministry, in fulfillment of SLASTO s mandate, including the Business Plan, Annual Report, budget and other documentation as required. f) Providing leadership and managing the day-to-day operational and administrative direction to staff of SLASTO to ensure it meets its legislated mandate. g) In conjunction with the Executive Chair, directing and monitoring the administrative affairs of the constituent tribunals within their mandates as defined by the constituting statutes, and the Accountability and Governance Documents, including the adjudicative and case management functions of the Tribunals and the development of policies for the management of the Tribunals. h) Ensuring appropriate management systems are in place (financial, information technology, human resources and records management) for the effective administration of SLASTO. i) Managing the financial affairs of SLASTO in accordance with Management Principles and this MOU. j) Establishing and applying financial management frameworks for SLASTO. k) Ensuring that public funds are used with integrity and honesty and that SLASTO complies with Management Principles and operates within its approved funding allocation in the fulfillment of its mandates. l) Establishing systems to ensure that SLASTO operates within its approved Business Plan. m) Cooperating with any periodic review of SLASTO directed by the Minister or TB/ MBC. n) Developing an effective performance measurement and management system for assessing staff of the constituent tribunals and for conducting such evaluations. SLASTO MOU 14

15 o) Reviewing and approving on an annual basis, SLASTO s diversity and inclusion strategy including reporting obligations. p) Establishing a system for the retention and/ or archiving of formal SLASTO documents and records. q) Ensuring that a process for responding to and resolving complaints from the public is in place. r) Identifying the required skills, experience and capacity required for SLASTO and its constituent tribunals to meet their mandates by notifying the Executive Chair and the Deputy Minister of such requirements. s) Recruiting, and supervising administrative staff in support of SLASTO s functions. t) Ensuring that an appropriate framework is in place for SLASTO staff to receive adequate orientation and training including training on diversity and inclusion. u) Ensuring SLASTO staff are aware of and comply with the accountability and governance framework established by the ATAGAA, all approved Accountability and Governance Documents, and applicable TB/ MBC and MOF directives. v) Ensuring that SLASTO staff are informed of their responsibilities under the PSOA with regard to conflict of interest, rules of ethical conduct (Part IV of the PSOA), and political activity rules (Part V of the PSOA). w) Recording any declared or apparent conflicts of interest and advising the Conflict of Interest Commissioner as appropriate. x) Assisting and/or attending and/or making presentations, as required by the Executive Chair before Cabinet or committees of Cabinet or the legislature on matters concerning the affairs of SLASTO when requested to do so. y) Carrying out such responsibilities as may be delegated to her or him by the Deputy or assigned by the Executive Chair under the terms of the Executive Lead s performance management plan; carrying out the responsibilities as assigned to her or him under the PSOA. z) Ensuring that SLASTO staff are trained with respect to requirements for the protection of personal information under the Freedom of Information and Protection of Privacy Act. aa) Working with other clusters, where appropriate, on projects that would benefit the SLASTO MOU 15

16 ministry s adjudicative sector as a whole. 9. REPORTING REQUIREMENTS 9.1 Business Plan a) The Executive Chair will ensure that the Minister is provided with SLASTO s annual Business Plan for review and approval in a timely fashion that permits review and comment. The Executive Lead will ensure that the Deputy Minister is similarly provided with copies. b) The Executive Chair is responsible for ensuring that SLASTO s annual Business Plan fulfills the requirements of the AEAD and related legislation. c) The Executive Chair will ensure that SLASTO s Business Plan includes a system of performance measures and reporting on the achievement of the objectives set out in the Business Plan. The system must include performance goals, how they will be achieved and specific timeframes. d) The Deputy Minister will assist SLASTO in the development and implementation of its system of performance measurement as needed including key performance indicators and performance measures related to the diversity and inclusion strategy. e) Results from the performance measurement plan will be reported and reviewed by all parties annually. f) The Minister will review SLASTO s Business Plan and will promptly advise SLASTO whether he/she concurs with the directions proposed by SLASTO. The Minister will advise the Executive Chair where and in what manner SLASTO s plan varies from government or Ministry administrative policy or priorities, and SLASTO will revise its plan accordingly unless issues of adjudicative independence or the statutory mandate of SLASTO or its constituent tribunals are involved. g) The Executive Chair will ensure that the reports and documents set out in Schedule 2 of this MOU are submitted to the Minister in a timely manner for review and approval. h) The Deputy Minister will ensure that SLASTO is furnished with the Ministry s annual report, business and strategic plans and all relevant promotional and information materials in a timely manner. 9.2 Annual Report SLASTO MOU 16

17 The Executive Chair is responsible for ensuring that SLASTO s Annual Report is submitted to the Minister for tabling in the Legislative Assembly. The Executive Chair will submit the Annual Report within the timeframe set out in Schedule 2 to this MOU. 9.3 Other Reports The Executive Chair is responsible for: a) Ensuring that the reports and documents set out in Schedule 2 to this MOU are submitted for review and approval to the Minister, Deputy Minister or Ministry according to prescribed time lines. b) At the request of the Minister or Deputy Minister, supplying specific data and other information that may be required from time to time for the purpose of Ministry administration, subject to any restrictions which may interfere or conflict with the integrity of the adjudicative, assessment, decision-making or investigative process, or natural justice rights of the parties. 10. COMMUNICATIONS 10.1 Communications shall not include discussion or exchanging of non-public information between SLASTO personnel and the Minister, Deputy Minister or Ministry staff about specific current, past, or future cases before the tribunals Inquiries received by the Minister s office regarding an active matter or proceeding will be re-directed to SLASTO without comment. Any response made by the Minister s office to the inquiring party will indicate that the inquiry has been forwarded to SLASTO, and that the Minister cannot interfere with an adjudicative proceeding, assessment, decision, investigation or resolution The parties to this MOU recognize that the timely exchange of information on the administration of SLASTO is essential for the Minister to meet his/ her responsibilities for reporting and responding to the Legislative Assembly and MPP s on the affairs of SLASTO. The parties also recognize that it is essential for the Executive Chair to be kept informed of government initiatives and broad policy directions that may affect SLASTO s mandate and functions. The parties, therefore, agree as follows: a) The Executive Chair will keep the Minister advised, in a timely manner, of all planned events and issues that concern or can be reasonably expected to concern the Minister in the exercise of his/ her responsibilities. The Executive Lead will similarly keep the Deputy Minister advised. b) The Minister will consult with the Executive Chair, as appropriate, on broad SLASTO MOU 17

18 government policy initiatives or legislation being considered by the government that may affect SLASTO s mandate or functions. c) The Minister and the Executive Chair will meet at least annually, or as requested by either party, to discuss issues relating to the fulfillment of SLASTO s mandate. d) The Deputy Minister and the Executive Chair/Executive Lead will meet as necessary to discuss issues relating to the efficient and effective operation of SLASTO and the provision of services by the Ministry to SLASTO. e) The parties agree to adhere to the Communications Protocol set out in Schedule 1 to this MOU. 11. ADMINISTRATIVE ARRANGEMENTS 11.1 Applicable Treasury Board/ Management Board of Cabinet and Ministry of Finance Directives SLASTO is responsible for operating in accordance with all applicable TB/ MBC and MOF Directives, and Public Service Commission directives under the PSOA, applicable collective and memorandum agreements pertaining to staffing, as well as applicable Ministry financial and administrative policies and procedures. Schedule 3 to this MOU provides a list of applicable directives and policies Administrative and Organizational Support Services a) The Deputy Minister is responsible for providing SLASTO with the administrative support services listed in Schedule 4 of this MOU, and for negotiating with Ontario Shared Services concerning these services. b) Schedule 4 may be reviewed at any time at the request of either party. c) The Deputy Minister will ensure that the support or services provided to SLASTO are at least of the same quality as those provided to the Ministry s own divisions and branches Legal Services a) Legal services and advice to SLASTO are provided primarily by lawyers employed by SLASTO under Part III of the PSOA. These lawyers take substantive direction from the Executive Chair and report to the Executive Lead only for the purposes of human resources and financial management. It is recognized that there is a solicitor-client relationship that exists between these lawyers and SLASTO, including Appointees and staff. SLASTO MOU 18

19 b) SLASTO may also request legal services where appropriate from the Ministry s Legal Services Division, and will pay for the cost of these services. c) SLASTO may also retain outside legal services when it requires expertise unavailable within the Ministry or when the use of a law officer of the Crown would result in a conflict of interest or possible compromise to the independence of SLASTO. When SLASTO wishes to retain outside legal counsel it shall do so in accordance with the Ministry s corporate operating policy on Acquiring and Using Legal Services. Outside legal counsel that is retained by SLASTO reports directly to the Executive Chair Freedom of Information and Protection of Privacy a) Regulation 460 under the Freedom of Information and Protection of Privacy Act (FIPPA) designates the Executive Chair as the institution head of SLASTO for the purposes of FIPPA. b) The Executive Chair is responsible for ensuring that the Ministry is notified of any significant or contentious information requests under FIPPA Records Management a) The Executive Lead is responsible for ensuring that SLASTO complies with the TB/ MBC Management of Recorded Information Directive and the Archives and Recordkeeping Act, 2006, S.O. 2006, Chapter 34, Schedule A. b) The Executive Lead is responsible for ensuring that a system is in place for the creation, collection, maintenance and disposal of records Client/ Customer Service a) SLASTO shall have a formal process for responding to complaints about the quality of services received by the public and clients of SLASTO, as provided in SLASTO s Service Standards Policy required under ATAGAA. b) SLASTO s processes for responding to complaints about the quality of services are separate from and will not interfere with the constituent tribunals case-related processes. 12. FINANCIAL ARRANGEMENTS 12.1 Funding SLASTO MOU 19

20 a) SLASTO and its constituent tribunals are funded out of the Consolidated Revenue Fund pursuant to an appropriation authorized by the Legislative Assembly. b) The Executive Lead will prepare estimates of SLASTO s expenditures for inclusion in the Ministry s Results based Plan (RbP). The Executive Chair will deliver these estimates to the Minister in sufficient time to be analyzed and approved by the Minister. c) The estimates provided by the Executive Chair may, after appropriate consultation with the Executive Chair, be altered as required. d) Financial procedures of SLASTO must be in accordance with TB/ MBC and MOF directives and guidelines, and other applicable government direction. e) The financial and administrative framework, including human resources administration, for SLASTO is set out in the Ministry s Financial Delegation Framework documents. f) Recovered costs and other revenues, if any, are paid as received to the Consolidated Revenue Fund, and may not be applied to administrative expenditures of SLASTO, unless otherwise provided by law. g) Pursuant to section 28 of the Financial Administration Act, SLASTO shall not enter into any financial arrangement or commitment, guarantee, indemnity or similar transaction that may increase, directly or indirectly, the indebtedness or contingent liability of the Government of Ontario without the written approval of the Minister of Finance. The Minister s approval is required before seeking statutory approval from the Minister of Finance Financial Reports a) SLASTO shall keep its accounts and shall provide financial reports or statements on instruction from the Ministry, in accordance with Schedule 2, for consolidation into the public accounts. b) Responsibility for the maintenance of documentation and information to support expenditures is assigned to the Executive Lead as outlined in the policies of central agencies and the Ministry HST Liability With the harmonization of the Goods and Services Tax and the Provincial Sales Tax, some agencies receive a CVAT rebate under the Comprehensive Integrated Tax Coordination Agreement. This is not applicable to SLASTO. SLASTO MOU 20

21 13. AGREEMENTS WITH THIRD PARTIES SLASTO does not have any contractual arrangements with third parties. 14. AUDIT AND REVIEW ARRANGEMENTS a) The Minister may direct that SLASTO be audited. b) The Ontario Internal Audit Division may also carry out an internal audit, if approved to do so by the Ministry s Audit Committee or by the Corporate Audit Committee. Also, the Auditor General of Ontario may, at any time, audit any aspect of the operations of SLASTO under the Auditor General Act. c) SLASTO will promptly provide a copy of every report from an audit to the Minister and the Minister of Finance. SLASTO will also provide a copy of its response to the audit report and any recommendations therein. SLASTO will advise the Minister annually on any outstanding audit requirements. d) The Executive Chair may request an external audit of the financial transactions or management controls of SLASTO at SLASTO s expense. 15. PROCUREMENT ARRANGEMENTS Procurement required to support the programs and services of SLASTO will be done in a clear manner, consistent with applicable policies and directives, including but not limited to, the Procurement Directive (MBC) and AODA. 16. STAFFING, APPOINTMENTS & REMUNERATION 16.1 Staffing a) SLASTO is staffed by persons employed under Part III of the PSOA. Such persons are eligible for all the rights and benefits accorded under the PSOA and relevant collective agreements. b) SLASTO, in its dealings with staff employed under the PSOA, is subject to TB/ MBC human resources directives, and Public Service Commission directives under the PSOA Appointments SLASTO MOU 21

22 a) The Executive Chair is appointed as a member of each constituent tribunal pursuant to the constituting statutes by the Lieutenant Governor in Council. The Executive Chair s appointment as Executive Chair is pursuant to subsection 16(1) of ATAGAA, and pursuant to sub-section 17(1) of the ATAGAA, has all of the powers, duties and responsibilities of the Chair of each of SLASTO s constituent tribunals. Pursuant to sub-section 17(2) of the ATAGAA, the Executive Chair may delegate such functions or responsibilities to the Alternate Executive Chair, Associate Chairs or Vice-Chairs of the constituent tribunals as he or she considers appropriate, except his/her responsibility as Ethics Executive. b) The members of SLASTO s constituent tribunals are appointed by the Lieutenant Governor in Council on the recommendation of the Attorney General and have the powers and duties assigned to them by legislation and pursuant to their position description. Pursuant to subsection 14(4) of ATAGAA, no person may be appointed or reappointed to a constituent tribunal unless the Executive Chair, after being consulted as to his/her assessment of the person s qualifications under ATAGAA and, in the case of reappointment, of the member s performance of his or her duties on the tribunal, recommends that the person be appointed or reappointed Remuneration a) SLASTO s full-time and part-time appointees will be remunerated pursuant to the rates identified in Schedule B of the Government Appointees Directive. b) SLASTO s staff will be remunerated as employees from the Public Service Commission under the PSOA. 17. INTELLECTUAL PROPERTY If SLASTO enters into contracts that involve the creation of intellectual property for the government, it will be ensured that contract terms protect the legal, financial and other interests of the government. SLASTO will be guided by the definition of intellectual property as set out in the Managing, Distributing and Pricing Government Information (Intellectual Property) Directive. 18. LIABILITY PROTECTION AND INSURANCE The operations of SLASTO are covered for commercial general liability risks under the Government of Ontario s Protection Program. 19. EFFECTIVE DATE AND DURATION AND PERIODIC REVIEW OF THE MOU SLASTO MOU 22

23 19.1 Effective Date of MOU a) This MOU takes effect on the date it is signed by the parties. It expires on the earlier of: i. a date five years from the day it is entered into, unless renewed before that day for another five years; or ii. the date a new MOU takes effect replacing it, but may continue in effect temporarily pending approval and signature of a new MOU; provided that this MOU continues in effect, despite its expiry, until it is renewed or replaced. b) Without affecting the expiry date of this MOU, i. the Minister and Executive Chair may amend this MOU, or any part of it, by written agreement; and ii. either the Minister or the Executive Chair may initiate a review of this MOU by notifying the other by letter. c) If a new Minister or Executive Chair takes office during the term of this MOU, the Minister and Executive Chair shall either: i. each affirm that this MOU shall continue in force, with or without amendment, for the duration of its term; or ii. agree to review and revise the MOU. d) This MOU shall undergo a full review: i. immediately upon any significant change to the constituent tribunals mandates, powers or governance structure as a result of amendments to the legislative authority for SLASTO and its constituent tribunals, or any other act, and ii. at least once before it expires. e) This MOU replaces all existing MOUs with the policy ministries involving the constituent tribunals in SLASTO Periodic Reviews a) SLASTO may be subject to periodic review at the discretion and direction of TB/ MBC or the Minister. The review may cover such matters relating to SLASTO as are determined by TB/ MBC or the Minister, and may include the mandates, powers, governance structure and/ or operations of SLASTO, subject to the ATAGAA. SLASTO MOU 23

24 b) The Minister will consult the Executive Chair as appropriate during any such review. c) The Executive Chair and Executive Lead will cooperate in any review. d) Subject to any further written agreements or updates, the parties agree that this MOU entered into between them will satisfy the requirements of s. 11 of the ATAGAA. Executed this 14th day of August, 2014 [Original Signed] Linda P. Lamoureux, Executive Chair Safety, Licensing Appeals and Standards Tribunals Ontario [Original Signed] Madeleine Meilleur Attorney General SLASTO MOU 24

25 SCHEDULE 1 COMMUNICATIONS PROTOCOL I PURPOSE: 1. To establish clear lines of communication between the Ministry (i.e. the Minister s Office, the Deputy Minister s Office, and Ministry staff) and SLASTO, including information requests from Ministry and policy ministry staff to the cluster on legal, policy, administrative and other issues. 2. To establish a process for dealing with requests from Ministry staff for briefing material/issue notes and for the handling of public communications and contentious issue inquiries. II PRINCIPLES: This schedule supplements the MOU, which defines the specific roles, responsibilities and relationship between the Ministry and SLASTO. SLASTO and its constituent tribunals exercise their adjudicative and related functions independent of the government, the Ministry and the Minister, subject only to the provisions, limitations and conditions set out in constituting statutes, the ATAGAA, and any other legislation governing SLASTO and this MOU. SLASTO s constituent tribunals are adjudicative tribunals as designated by the Management Board of Cabinet and ATAGAA. The commitment of the government to independent tribunals capable of efficiently and effectively fulfilling their mandates requires that the Minister, the Ministry and SLASTO establish communication relationships, which are respectful of: SLASTO s independent legislated mandates; and the Minister s accountability to the Legislature for the fulfilment of SLASTO s mandates. III LINES OF COMMUNICATION/PROTOCOLS 1. Communication between the Ministry and SLASTO The Minister s office shall coordinate communication with SLASTO through the office of the Executive Chair. The Deputy Minister shall communicate with the Executive Chair or Executive Lead. SLASTO MOU 25

26 2. Questions or Complaints about individual cases The parties recognize and accept that it is inappropriate for SLASTO, the Minister or the Ministry to comment publicly about specific cases that are under active consideration by its constituent tribunals; or for SLASTO to discuss or communicate with the Minister or Ministry about such cases. 3. Public Inquiries and Complaints about Tribunal Members or SLASTO Staff Telephone or written inquiries from members of the public to the Minister s Office, or Ministry staff about SLASTO's policies and procedures are to be directed to SLASTO, either through SLASTO public information lines or in writing to SLASTO offices. Inquiries to SLASTO about government policy or funding will be directed to the Ministry. Complaints about the conduct of tribunal Members or employees of SLASTO, will be directed to the Executive Chair, or the Executive Lead, respectively, in accordance with the SLASTO Complaints Policy. 4. Briefing Material/Issue Notes SLASTO will prepare briefing or issue notes for the Minister upon the request of the Minister s office or the Ministry, so long as such requests do not deal with cases under active consideration by the tribunals, or matters which are expected to come before the constituent tribunals. SLASTO will prepare and deliver to the Ministry background information on specific issues, within the timeframe suggested, in accordance with SLASTO s independent function. Requests for information from, and provision of information to, the policy ministries of the constituent tribunals, will be referred to the Ministry to take appropriate action. 5. Ministry's and SLASTO's Communication Materials Whenever practical, the Ministry will give advance notice to the Executive Chair of the general content of documents or messages regarding SLASTO's operations and mandates and permit the Executive Chair a reasonable period to provide comments and suggestions. Whenever practical, the Executive Chair will give the Minister advance notice of the general content of documents or messages of a public nature that might reasonably be expected to be of interest to the Minister. The Executive Lead will similarly advise the Deputy Minister. SLASTO MOU 26