Complaints Policy and Process

(Disponible en français)

Introduction

The purpose of the Adjudicative Tribunals Accountability, Governance and Appointments Act, 2009 ("ATAGAA") is to ensure that adjudicative tribunals are accountable, transparent and efficient in their operations, while remaining independent in their decision-making.

Section 5 of the ATAGAA requires that every adjudicative tribunal shall develop a service standard policy which must contain, among other items, a process for making, reviewing and responding to complaints about the service provided. This policy provides a complaint process for the public.

Scope of the Policy

Tribunals Ontario may receive complaints about the quality of service related to its practices or the conduct of its Members or staff. The purpose of the Public Complaints Policy ("the Policy") is to inform the public about the process by which such complaints will be received, reviewed and resolved.

It is important to note that:

• Dissatisfaction with the outcome of a decision from Tribunals Ontario's constituent tribunals does not constitute a complaint under the Policy. The procedure outlined in the Policy cannot be used as a form of reconsideration, review or appeal of a tribunal decision.
• The Policy does not affect the public's right to raise concerns with the office of the Ontario Ombudsman.
• The Policy does not affect any rights provided in legislation applicable to the constituent tribunals such as the right to request a review of a decision, a right of appeal of decisions under any Act, or the right to bring an application for judicial review.

Making a Complaint

Complaints must be submitted in writing to the Office of the Executive Chair. A complaint may not be made anonymously. In submitting a complaint, the complainant must understand that the person or persons who are the subject of the complaint may be informed of it. Complainants must be willing to disclose their name, address, telephone number and connection to the matter on which their complaint is based.

The written complaint should clearly describe the complainant's concern and provide details of the alleged conduct at issue. Wherever possible, the complaint should identify the complainant by name, if the complaint relates to a person, and provide the relevant case number(s). All information will be kept confidential and among parties involved, as appropriate.

Action on a complaint may be postponed in cases of an ongoing proceeding. The complaints process will be applied to ensure that it does not interfere with the fairness of any proceeding or with adjudicative discretion and independence.

Except in rare circumstances, where accommodation of a complainant necessitates receipt of a verbal complaint, only written complaints (including through email) will be processed using this Policy. In cases where a verbal complaint is received under this Policy, the Executive Chair (or her/his designate) shall record the particulars of the complaint in writing.

In all cases, receipt of the complaint will be acknowledged within five business days.

How complaints will be processed

Public complaints to Tribunals Ontario will be addressed in one of the following ways:

(a) Summary Dismissal:

• A complaint will be dismissed if:
  1. It raises a matter that is not properly the subject of or dealt with using the complaints process and procedure (i.e., if it is about a decision or order of a Tribunals Ontario tribunal);
  2. The Complainant has failed to respond to requests for additional information and Tribunals Ontario does not have sufficient information to proceed further;
  3. It is frivolous, vexatious, made in bad faith or an abuse of process; or
  4. The Executive Director or Executive Chair concludes that no investigation or action is warranted.
• Written reasons for the dismissal will be sent to the Complainant and the person(s) who is the subject of the complaint.

(b) Informal Resolution:

• Tribunals Ontario, where possible, encourages and facilitates the informal resolution of complaints. Invoking a formal complaints process and subsequent investigation can be stressful and difficult for both the Complainant and the Respondent. Both parties may benefit where they are able to resolve the issue, problem or concern without the need for a formal complaint and investigation. If unsuccessful, Tribunals Ontario may consider Investigation or Summary Dismissal.

(c) Investigation, Findings and Recommendation:

• An investigation, if deemed necessary may include the following:
  1. Conducting an interview of the complainant and/or the person(s) who is the subject of the complaint;
  2. Interviewing other people who may have witnessed an incident or who may be in possession of relevant information;
  3. Gathering and reviewing relevant information; and
  4. Consulting with other staff, the Executive Chair or legal counsel.
• Results of an investigation:
  1. After an investigation is completed, recommendations will be at the discretion of the Executive Director or Executive Chair, where appropriate, to determine whether any subsequent action is warranted.
  2. The Complainant and the person that is the subject of the complaint will be provided with the written conclusions and recommendations of the Executive Director or Executive Chair.
  3. The results of the investigation may be noted in an individual's performance review, at the discretion of the Executive Director or Executive Chair.

When a complaint is made regarding a member of Staff

A complaint about a staff member may be raised with the Executive Director. Where it is decided to investigate a complaint, the Executive Director will provide the staff member with a copy of the complaint and an opportunity to respond. If the Executive Director decides to conduct an investigation in response to the complaint, the complainant will be provided with a copy of the staff member's response to the complaint and the opportunity to reply.

When a complaint is made regarding a Member, Vice Chair, Associate Chair or Alternate Executive Chair

A complaint about a Member, Vice Chair, Associate Chair or Alternate Executive Chair may be raised with the Executive Chair.

Disclosure: Maintaining Integrity and Impartiality of the Adjudicative Process

• Where the complaint relates to a Member/ Vice Chair /Associate Chair/Alternate Executive Chair's involvement in a proceeding – and considering the need to maintain the integrity and impartiality of the proceeding – the Member/Vice Chair/Associate Chair/Alternate Executive Chair will not be informed that such a complaint has been received until the decision has been issued and the Member/Vice Chair/Associate Chair/Alternate Executive Chair no longer has any involvement with the case. An exception can occur in rare circumstances and where it is the view of the Executive Chair that a party may be severely prejudiced if the matter is not addressed promptly.
• Where a complaint relates to a Member/ Vice Chair/Associate Chair/Alternate Executive Chair's involvement in an activity outside the proceedings, the Executive Chair will deal promptly with the complaint.
• Where it is decided to investigate a complaint, the Executive Chair, at her/his discretion will provide the Member/ Vice Chair/ Associate Chair/Alternate Executive Chair with a copy of the complaint and an opportunity to respond. The Executive Chair will also at her/his discretion, provide the complainant with a copy of the Member/Vice Chair/Associate Chair/Alternate Executive Chair's response to the complaint and the opportunity to reply.

When a complaint is made regarding the Executive Director

If the complaint relates to the conduct of the Executive Director, the procedure outlined for complaints will apply, except that the review may be conducted by the Deputy Attorney General or his/her delegate, Ministry of the Attorney General.

When a complaint is made regarding the Executive Chair

If the complaint relates to the conduct of the Executive Chair, the above procedure will apply, except that the Minister responsible for Tribunal Ontario or her/his delegate, being the Attorney General, may conduct the review. The Attorney General or her/his delegate will determine any action to be taken.

Tribunals Ontario Commitments to the Public Complainant

Timeliness

The Executive Chair or Executive Director shall endeavor to respond to every complaint as expeditiously as possible.

If it is not possible to respond to a complaint within the estimated timeframe communicated to the complainant, the Executive Chair or Executive Director will notify the complainant of the delay and will provide them with a revised estimate for the completion of the response.

Confidentiality

Tribunals Ontario will ensure that any information provided, concerning a complaint, will be kept confidential and among the parties involved.

General Complaints about Tribunals Ontario Policies and Procedures

Complaints about Tribunals Ontario policies and procedures are directed to the Executive Director and/or the Executive Chair. Complaints of this nature are not covered by this Policy but will be reviewed by the Executive Director and/or the Executive Chair, as appropriate in accordance with the commitment to provide high quality service.

Alternative Formats

This Policy is available in various accessible formats including Braille, audio tape and large print. For alternative format or a paper copy, please contact the Office of the Executive Chair.

Adoption

This policy will be reviewed every 3 years along with the other documentation required by ATAGAA.

This Policy was jointly adopted by the Executive Chair and the Executive Director.

Contact Information

Tribunals Ontario Executive Office
15 Grosvenor Street, 1st Floor
Toronto, Ontario M7A 2G6

Email: TO-TDO.Feedback@ontario.ca

Tel: 1-844-242-0608

Fax: 416-327-6379

TTY (via Bell Relay): 711
This document is available on Tribunals Ontario website: tribunalsontario.ca

If you have any questions about this document or would prefer it in an alternative format, please contact the Executive Office, Tribunals Ontario.