Policy 16.30 - Internal Complaints Policy: Compliance and Enforcement Program

Effective Date: 24-June-04
Responsible Branch: Compliance and Enforcement Branch

Resource Management Volume Table of Contents | Amendment Log

Scope

This policy covers allegations of misconduct on the part of those Ministry of Forests' employees who perform functions and have duties within the Compliance and Enforcement [C&E] regime where those allegations or complaints are made by other government employees.

This policy also covers allegations of improper management interference with C&E investigations.

This policy does not cover allegations of misconduct made by members of the public, including clients and or licensee staff. See Policy 16.31 - Public Complaints Policy.

This policy does not apply to allegations of harassment or discrimination by fellow staff members or supervisory misconduct. Staff should see their collective bargaining agreement representative, or speak to their supervisor, or an independent manager to make a complaint of this nature.

The Freedom of Information and Protection of Privacy Act supersedes any directives that may arise from the implementation of this policy.

Purpose

To enable and describe the means for the gathering of facts pursuant to any allegations of misconduct on the part of those Ministry staff performing a C&E function.

This policy does not describe nor override government practise and procedures respecting any government employee disciplinary process.

This policy does not apply to allegations of misconduct made against Ministry staff in the performance of duties outside the C&E program. Allegations of misconduct with respect to staff within other program areas are the responsibility of those program areas.

Background

The reputation of the C&E program, and the establishment and maintenance of public confidence in it depends, in part, on the confidence felt by the public and program member(s) that a complaint against a person performing a C&E function and/or manager responsible for a C&E function will always be fully and impartially investigated and, if substantiated, appropriate action will follow. It is equally important that all employees be protected against false or malicious accusations that may be levelled at them. Therefore, it is imperative that all complaints made against a person performing a C&E program function or a manager responsible for a C&E program function be investigated promptly and impartially reported, recorded and resolved in accordance to approved policy and procedures.

Purpose

To ensure allegations of misconduct are investigated and responded to in a manner that is timely, fair, and transparent.

To ensure that those person/s making allegation/s based upon reasonable grounds are not subject to recrimination or sanction.

Definitions

"ADM" means the Assistant Deputy Minister, Operations & BC Timber Sales.

"BD" means the Director of the Compliance & Enforcement Branch.

"Complainant" means the person making the complaint, or where a complainant has requested confidentiality, the agent acting for that person.

"DCL" means the District Compliance Leader.

"DM" means District Manager.

"Executive Director" means the Executive Director, Operations and BC Timber Sales.

"Misconduct" means any improper action, or failure to act, that brings the administration of justice into disrepute or damages the integrity of the Ministry and or the C&E program.

"RCL" means the Regional Compliance Leader who is the Regional Staff Manager.

"RM" means a Regional Manager.

"Subject" means the C&E member or members who are the subject of the internal complaint.

Policy

It is Ministry policy that:

Allegations of misconduct made against staff performing a C&E function will be thoroughly and fairly investigated.

Allegations of improper interference in any C&E investigation or administrative review made against managers will be thoroughly and fairly investigated.

Public Service staff who make allegations in good faith will not suffer recriminations in the workplace.

In all cases, the rights of the complainant and the rights of the subject will be respected.

Subjects will be informed of the specific nature of those allegations, and will have a fair and reasonable opportunity to respond to the allegations. Subjects may have representation during the course of any investigation, and will receive a summary of the results of any investigation.

Where program area staff within the Ministry of Forests who while in the performance of function that is not a C&E function are alleged to have brought the C&E program and/or the administration of justice into disrepute, the C&E program will refer these matters to the manager responsible for that program area. The program area responsible will investigate and provide the C&E program with the results of its investigation and any actions it has taken arising from its investigation. Where it has been determined that the facts support the contention that the C&E program and/or the administration of justice has been brought into disrepute, the RCL will consult with the equivalent program area manager and determine a mutually agreeable remedial course of action designed to prevent similar actions from occurring in the future.

Complaints

Any government employee having a complaint concerning the conduct by staff in the performance of any C&E function may, whether or not that employee is affected by the subject matter of the complaint, make a complaint to the RCL.

All written complaints will be directed to the RCL. By mutual agreement with the BD, the RCL may refer complaints to the BD.

Where the RCL is the direct supervisor of the subject, the RCL will refer the complaint to the BD.

Where an RCL receives a complaint about Headquarters staff, the RCL will refer the complaint to the BD. By mutual agreement, the BD may refer a complaint to a RCL.

DCLs have the discretion to deal with verbal complaints and must do so pursuant to this policy. By mutual agreement, the DCL may refer verbal complaints to the RCL.

Anonymous Complaints

Where a complaint is made and is an anonymous complaint, the complaint will be referred to the RCL. The RCL will review the information provided and consult with the DCL when appropriate. The RCL has the discretion to act upon the complaint, or to choose not to act on the complaint, based upon the information provided. The RCL will document any decision not to investigate an anonymous complaint.

Anonymous complaints do not carry an immediate right of investigation. Care must be given to balance protecting C&E program integrity with protecting individual program members from frivolous, vexatious or unsubstantiated complaints.

Confidentiality

Complainants may request confidentiality. Where confidentiality is requested, the complainant must provide reasons and agree in writing to have their complaint remain confidential throughout the course of the investigation. Where a person makes a request to remain confidential, that person must name an agent to act for them throughout the course of any complaint process or investigation. Requests for confidentiality will be respected.

An agent for a public service employee-generated complaint must be another public service employee. The agent is bound to strict confidentiality with respect to all aspects of the complaint. It is recommended that the agent be a collective bargaining unit representative or a management excluded staff member.

Acknowledgement of Complaint

Every complaint shall be acknowledged in writing if the complaint itself is in writing, or if the complainant requests that the complaint be so acknowledged, within 30 days of receiving the complaint.

Within 30 days of being notified of a complaint, the RCL shall in writing notify the subject, the BD and the relevant DM, DCL and RM, if appropriate, of the substance of the complaint unless, in the RCL's opinion, to do so might adversely affect or hinder any investigation that is being or may be carried out with respect to the complaint.

The RCL, and/or the DCL for verbal complaints, shall consider whether a complaint can be disposed of informally and, with the consent of the complainant and the subject, may attempt to so dispose of the complaint.

Record of Informal Disposition

Any informal disposition of a complaint must be recorded. Any record of any informal disposition by a DCL will be provided to the RCL.

Investigation

The RCL, and the DCL for verbal complaints, has the discretion to attempt to informally resolve any complaints, written or verbal, prior to initiating an investigation.

Except in cases where doing so may compromise an investigation, the RCL will consult with the DCL on the conduct of any investigation.

Where a complaint is not disposed of informally, the complaint shall be investigated by the RCL or his or her designate subject to the RCL's right to refuse to investigate in accordance with this policy.

Where a subject is interviewed during the course of any investigation, the subject will be informed of their right to have a collective bargaining unit representative attend any interview, and the subject will also be informed that any information gained during the course of any such interview may be used during the course of any disciplinary proceedings that may arise from any investigation.

Where an investigation reveals misconduct an investigation report will be provided to the responsible manager for action pursuant to government human resources policies and procedures and the relevant collective agreement(s) where applicable.

Where an investigation reveals that there may be reasonable grounds for an investigation relevant to the jurisdiction of another enforcement agency, the investigator will inform the RCL that he is consulting with the appropriate enforcement agency in order to determine the appropriate course of action. The investigator will then inform the RCL of the joint decision between the appropriate agency and the Ministry as to the future conduct of any investigation.

Investigators may not make recommendations with respect to the nature of any disciplinary actions, or whether or not disciplinary action is appropriate. Investigators may make recommendations on program area policies and procedures, where appropriate.

Investigators may include in any report the available options for management's consideration.

Right to Refuse or Terminate Investigation

The RCL may direct that no investigation of a complaint be commenced, or that an investigation of a complaint be terminated if, in the RCL's opinion

(a) the complaint is not within the jurisdiction of the C&E program and/or concerns actions or functions not within the C&E regime. In these cases, the RCL will direct the complainant to the appropriate responsible program area, or

(b) the complaint is trivial, frivolous, vexatious or made in bad faith, or

(c) having regard to all the circumstances, investigation or further investigation is not necessary or reasonably practicable, or

(d) the subject of the complaint and or the circumstances that have generated the complaint are the subject of a C&E program investigation. Should this be the circumstance, the complainant may be informed that they may make a complaint once any investigation and administrative or criminal proceedings have reached their natural conclusion, or

(e) the complaint is an anonymous complaint and does not contain reasonable grounds or adequate evidence to initiate an investigation.

Notification (where the RCL declines to investigate)

Where the RCL declines to investigate, the RCL shall notify the BD, the DCL where appropriate, the subject and the complainant in writing within 30 days of receiving the complaint. Notice will include a summary of the complaint, the reasons to decline or terminate the investigation, and the right of the complainant to request reconsideration of the complaint by the RCL.

Where the complainant requests reconsideration by the RCL, the complainant or the subject must do so in writing within 30 days and provide reasons.

Where a complainant has requested reconsideration, and where a RCL confirms his or her original decision to decline to investigate the complaint, the RCL will refer the complainant to the BD for reconsideration if the complainant is not satisfied with the RCL's determination.

The RCL will provide reasons for a determination respecting a request for reconsideration.

Referrals to BD (where the RCL declines to investigate)

If the complainant is not satisfied with the disposition of the complaint by the RCL, they may refer the complaint in writing to the BD for reconsideration. Where the complainant requests BD reconsideration of a complaint, they must do so in writing, must provide reasons, and must do so within 30 days of receipt of the RCL's final determination of the complaint.

Where the complainant refers a complaint to the BD, the RCL will furnish the BD with all materials and documents relevant to the complaint.

The BD may confirm the RCL's decision; may initiate an investigation; or may recommend to the RCL that an investigation be initiated.

The BD shall send to the complainant, the RCL and the subject within 30 days of receiving a request for reconsideration a report in writing setting out

(a) a summary of the complaint, and

(b) the results of the BD's reconsideration of the complaint, and

(c) a summary of any action that has been or will be taken with respect to resolution of the complaint.

The BD, and the RCL, may report in writing setting out findings and recommendations with respect to any complaint as the RCL and BD see fit.

Investigations Initiated by the BD

Where the BD is satisfied that there are reasonable grounds to investigate a complaint, or to initiate an investigation notwithstanding any complaint, the Branch Director may initiate a complaint investigation.

The BD shall notify the RCL responsible of any investigation initiated by the BD.

The BD shall notify the Executive Director of any investigation initiated by the BD.

Where Executive Branch of the Ministry of Forests receives a complaint, that complaint will be referred to the BD. The BD will consider the complaint and may initiate an investigation or refer the complaint to the RCL for investigation.

Rules

The BD and the RCLs may initiate procedures to be followed by the C&E program for notifying persons, and for investigating, disposing of, or otherwise dealing with complaints.

Interim Reports

The RCL or BD shall notify in writing the complainant and the subject of the status of any investigation not later than 90 days after being notified of the complaint and every 30 days thereafter during the course of the investigation unless, in the RCL's or the BD's opinion, to do so might adversely affect or hinder any investigation that is being or may be carried out in respect of the complaint.

Final Report

On completion of the investigation of a complaint, the RCL shall send to the complainant, the BD and the subject a report setting out

(a) a summary of the complaint,

(b) a summary of any evidence,

(c) the results of the investigation,

(d) a summary of any action that has been or may be taken with respect to resolution of the complaint,

(e) the right to request a reconsideration by the RCL, as well as the requirement for reasons for a reconsideration; and

(f) the right to refer the complaint to the BD for reconsideration if the person is not satisfied with the disposition of the complaint by the RCL.

Request for Reconsideration of a Final Report

Where a complainant, or the subject of a complaint, disagrees with the content or findings of any Final Report, the subject or the complainant, may, within 30 days of receiving the Final Report, request the RCL to reconsider the report. Any request for reconsideration must include reasons.

The RCL will respond to any request for reconsideration within 30 days. Any response to the request for reconsideration will be provided to the complainant, the BD and the subject of the complaint.

Any response will include the right of the complainant, or the subject, as the case may be, to request further reconsideration from the BD. The person requesting reconsideration must do so within 30 days and must provide reasons.

The BD will respond within 30 days to any request for reconsideration. Any response to the request for reconsideration will be provided to the complainant, the BD and the subject.

The BD may commence an investigation, confirm the RCL's determination or may recommend reopening an investigation.

Review of Complaint

On receipt of a report by the RCL or BD, the Executive Director will review the complaint in light of the findings and recommendations set out in the report.

Decision of Executive Director

After reviewing a complaint report by the BD or the RCL, the Executive Director shall notify the RCL and the BD in writing of any further action that has been or will be taken with respect to the complaint, and where the Executive Director decides not to act on any findings or recommendations set out in the report, the Executive Director shall include in the notice the reasons for not so acting.

Records

The RCL and the BD will establish and maintain a record of all complaints received by the Compliance and Enforcement Program.

Once any investigation has reached its natural conclusion, the responsibility centre will forward all original files to C&E Branch. C&E Branch will record and provide permanent storage for all complaints files.

References

• Public Service Standards of Conduct.
• C&E Program Standards of Conduct.