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Compliance Agreements: A Mechanism of Enforcement and Education

Learn about the mechanism of enforcement and education in the City of Ottawa Lobbyist Registry. Understand the obligations of lobbyists, the benefits of compliance agreements, and the contents of a typical agreement.

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Compliance Agreements: A Mechanism of Enforcement and Education

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  1. Compliance Agreements: A Mechanism of Enforcement and Education

  2. City of Ottawa Lobbyist Registry

  3. Lobbyist Registry: Background • Lobbyist Registry was launched in September 2012 • Integrity Commissioner is responsible for the administration and enforcement of the Registry • One element of a larger Accountability Framework established by City Council • Online, centralized database of lobbying activities that is easy to access and search by the public and interested stakeholders

  4. “Lobbying is best understood broadly as an organized effort to influence the development or ultimate fate of anything the government does: pass a law, develop a policy or program, award a contract, or give away money.” Madame Justice Denise E. Bellamy Toronto Computer Leasing Inquiry Volume 2: Good Government

  5. Who is a Lobbyist?

  6. Lobbyist Registry: General Obligations • Register lobbying activities within 15 business days • Maintain accurate and compliant profile • Abide by the Lobbyist Code of Conduct • Shall not knowingly place public office holders in a conflict of interest • Shall not offer gift, benefit or hospitality while having active lobbying files

  7. “A lobbyist registry benefits the public by accounting for all ethical lobbying. Beyond increasing transparency, a registry will serve to highlight the ethical transgressions of those who are caught lobbying inappropriately. Another purpose of a registry is to change the interaction between lobbyists and public servants by requiring both parties to think about the consequences of their conduct.” Madame Justice Denise E. Bellamy

  8. Lobbyist Registry: Enforcement

  9. Why Compliance Agreements? Offering gift despite active lobbying file Exceeding 15 business day deadline

  10. What does a Compliance Agreement Include? • Agreed statement of facts with admission of fault by Lobbyist, but not an admission of guilt • Summary of act or omission which constituted a breach • Acknowledgement of responsibilities and obligations • Terms and conditions for behaviour going forward • Commitment from Integrity Commissioner that no formal investigation and no sanction for this specific instance

  11. Statement of Facts • I, (full name), acknowledge the following: • On (date of infraction), when I (describe the infraction). • I am now aware that (describe the specific breach and the rule(s) contravened as a result of the breach). • On (specific date), I was contacted by the Integrity Commissioner and informed that I was in breach of the Lobbyist Registry By-law 2012-309and the Lobbyist Code of Conduct. I fully cooperated with the Integrity Commissioner and, at his direction; I arranged to (describe remedial action).

  12. Sample Statements – Terms and Conditions • I acknowledge and accept responsibility for not complying fully with the terms. • I understand that my acknowledgement of non-compliance does not constitute an admission of intentional wrongdoing. • I am now aware of the relevant provisions. • I undertake to comply fully with the provisions in the future.

  13. Sample Statements – Terms and Conditions (cont’d) • The (Ethics Officer) acknowledges that I fully cooperated with the (Ethics Officer) in this matter. • Once this agreement is entered into, the (Ethics Officer) will not initiate a formal investigation, will not impose any sanction, will close this case file as resolved and take no further action. • I consent to the publication of this agreement.

  14. Purpose of a Compliance Agreement?

  15. “…Last holiday season when ‎gift baskets were sentInto action the Integrity Commissioner went.On 27 December (a weekend precisely)‎He called the one who sent baskets so nicely‎; Made the lobbyist sign a compliance promise,A document drawn in the Commissioner's office.Says I am sorry; I know how wrong it was;It won't ever happen again. Because:  A basket of foods exotic and yummy Makes a wonderful gift for grandma or mummy;Not when sent to councillors of the cityBy a lobbyist listed on the registry…” Excerpt from “Gifts to Government Officials: A Holiday Reminder, Guy Giorno (November 2016)

  16. The Experience To Date • Four compliance agreements signed and published to date • Interest in the concept from colleagues at all levels of government • Currently developing an earlier stage of compliance – the “Letter of Direction

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