Compliance Audit Committee
The full agenda, as filed
All 4 items in the clerk’s order. Each carries the city’s own words: the staff recommendation, what the body decided, and its status. Nothing below is written by us.
EA3.1amended
Application for a Compliance Audit received June 29, 2023, from applicant Kevin Wiener for candidate Sandeep Srivastava for Mayor.
The Compliance Audit Committee rejected the application for a compliance audit of the Election Campaign Finances of Sandeep Srivastava. 1. The Compliance Audit Committee met on July 19, 2023 to hear Item EA3.1 the Compliance Audit Application of Kevin Wiener for a compliance audit of the Election Campaign Finances of the Respondent, Sandeep Srivastava. 2. The Applicant appeared before the Committee and provided submissions related to the Application. 3. The Applicant provided information to the Committee to support the Applicant's belief that the Respondent contravened provisions of the Municipal Elections Act, 1996 relating to election campaign finances. 4. The Applicant raised concerns relating to the Respondent's compliance with the Act. In particular these related to: a. That the campaign received no revenues and incurred $4,584.97 in expenses and that as a result, the Applicant alleges that expenses were not paid from a campaign account as required by the Municipal Elections Act. 5. The Committee then provided the Respondent with the opportunity to respond. The Respondent spoke to the issues raised in the Application. 6. The Respondent indicated that he was not aware of the obligation to comply with certain financial requirements. It is the individual's duty to understand their legal requirements when they become a candidate for election and there are many resources available to assist. Ignorance of the rules is not a compelling reason to avoid compliance of the legislative regime. However, the Committee understands that the Respondent has recognized that mistakes were made and the Committee is satisfied that these were not intentional. 7. After considering the entirety of the circumstances, the Committee has discretion to determine whether to grant or reject an application even in circumstances where there are reasonable grounds that a breach has occurred. This has been recognized by the Court in Lancaster v. Compliance Audit Committee et al., 2012 ONSC 5629. In that case, after consideration of the evidence provided, the Committee concluded that there were breaches of the Act. Due to the level of materiality of the breaches a compliance audit is not warranted as an audit would not provide any further clarity about the breaches. 8. For the reasons stated above and in accordance with s. 88.33(7) of the Act the Committee rejected the Compliance Audit Application of Kevin Wiener for a compliance audit of the Election Campaign Finances of the Respondent, Sandeep Srivastava.
EA3.2amended
Compliance Audit Application by Kevin Wiener for the Election Campaign Finances of Marco Valle
Application for a Compliance Audit received June 29, 2023, from applicant Kevin Wiener for candidate Marco Valle for City Councillor Ward 3 Etobicoke-Lakeshore.
The Compliance Audit Committee rejected the application for a compliance audit of the Election Campaign Finances of Marco Valle. 1. The Compliance Audit Committee met on July 19, 2023 to hear Item EA3.2 the Compliance Audit Application of Kevin Wiener for a compliance audit of the Election Campaign Finances of the Respondent, Marco Valle. 2. The Applicant appeared before the Committee and provided submissions related to the Application. 3. The Applicant provided information to the Committee to support the Applicant's belief that the Respondent contravened provisions of the Municipal Elections Act, 1996 relating to election campaign finances. 4. The Applicant raised concerns relating to the Respondent's compliance with the Act. In particular these related to: a. That the Respondent did not file a financial statement by March 31, 2023 as required by the Municipal Elections Act; b. That the Respondent solicited donations, however without a financial statement, there is no public record to determine how much was raised or any donations over $100; and c. The costs of the billboard were not disclosed. 5. The Committee then provided the Respondent with the opportunity to respond. The Respondent spoke to the issues raised in the Application and indicated that extenuating factors impacted the Respondent's ability to meet the obligations in the Municipal Elections Act, 1996. The Respondent expressed regret for these actions and indicated that they were prepared to file materials with the Clerk even though this will be after the required deadline in the legislation. The Committee recognizes that a candidate can seek to extend filing deadlines or extend their campaign in certain circumstances and that if the Respondent had done so, they might not have breached the Municipal Elections Act, 1996. 6. In this instance, the Respondent has already defaulted and the penalties in 88.23(2) have already been imposed. This includes a prohibition on the Respondent being eligible to be a candidate for municipal office until after the 2026 municipal election. These penalties are significant and given that the candidate has already received them, it is not in the public interest to require an audit. 7. After considering the entirety of the circumstances, the Committee has discretion to determine whether to grant or reject an application even in circumstances where there are reasonable grounds that a breach has occurred. This has been recognized by the courts in Lancaster v. Compliance Audit Committee et al., 2012 ONSC 5629. In that case, after consideration of the evidence provided, the Committee concluded that there were breaches of the Act. Due to the level of materiality of the breaches a compliance audit is not warranted as an audit would not provide any further clarity about the breaches. 8. For the reasons stated above and in accordance with s. 88.33(7) of the Act the Committee rejected the Compliance Audit Application.
EA3.3amended
Application for a Compliance Audit received June 29, 2023, from applicant Kevin Wiener for candidate Lorenzo Berardinetti for City Councillor Ward 20 Scarborough Southwest.
The Compliance Audit Committee granted the application for a compliance audit of the Election Campaign Finances of Lorenzo Berardinetti. 1. The Compliance Audit Committee met on July 19, 2023 to hear Item EA3.3 the Compliance Audit Application of Kevin Wiener for a compliance audit of the Election Campaign Finances of the Respondent, Lorenzo Berardinetti. 2. The Applicant appeared before the Committee and provided submissions related to the Application. 3. The Applicant provided information to the Committee to support the Applicant's belief that the Respondent contravened provisions of the Municipal Elections Act, 1996 relating to election campaign finances. 4. The Applicant raised concerns relating to the Respondent's compliance with the Act. In particular these related to: a. That the Respondent did not file a financial statement by March 31, 2023 as required by the Municipal Elections Act; and b. That the Respondent incurred expenses including the expense of a campaign office and without a financial statement, there is no public record to determine the campaign finance details. 5. The Applicant also highlighted that the Respondent is a former member of Council and raised several questions about the Respondent's campaign finances that were unanswered. 6. The Committee then provided the Respondent with the opportunity to respond. The Respondent was not present at the hearing and did not provide submissions to the Committee. 7. The failure of the Respondent to provide information to the Committee and the nature of the alleged breaches raises concerns. The participation of the Respondent in this proceeding would have been very helpful to the process and would have assisted in ensuring transparency and openness in understanding the Respondent's campaign finances. Indeed, the Respondent could have provided answers to questions raised by the Applicant and which remain unanswered. 8. In this instance, the Respondent has already defaulted and the penalties in 88.23(2) have already been imposed. This includes a prohibition on the Respondent being eligible to be a candidate for municipal office until after the 2026 municipal election. These penalties are significant but it is in the public interest to seek greater public transparency in the Respondent's campaign finances and this information would not be made available without an audit. 9. The Committee concluded that there are reasonable grounds that: a. the Respondent did not file a financial statement as required and this is a breach of the Municipal Elections Act, 1996. 10. As a result there are questions that cannot be answered without an audit, including in respect of the contributions received and expenses incurred by this campaign. 11. For the reasons stated above, and in the spirit of accountability, transparency, and upholding the public interest, the Committee shall grant the Application and appoint an auditor to conduct a compliance audit of the election campaign finances of Lorenzo Berardinetti, in accordance with s. 88.33(7) and (10) of the Act.
EA3.4amended
Compliance Audit Application by Kevin Wiener for the Election Campaign Finances of Antonios Mantas
Application for a Compliance Audit received June 29, 2023, from applicant Kevin Wiener for candidate Antonios Mantas for City Councillor Ward 22 Scarborough-Agincourt.
The Compliance Audit Committee granted the application for a compliance audit of the Election Campaign Finances of Antonios Mantas. 1. The Compliance Audit Committee met on July 19, 2023 to hear Item EA3.4 the Compliance Audit Application of Kevin Wiener for a compliance audit of the Election Campaign Finances of the Respondent, Antonios Mantas. 2. The Applicant appeared before the Committee and provided submissions related to the Application. 3. The Applicant provided information to the Committee to support the Applicant's belief that the Respondent contravened provisions of the Municipal Elections Act, 1996 relating to election campaign finances. 4. The Applicant raised concerns relating to the Respondent's compliance with the Act. In particular these related to: a. That the Respondent did not file a financial statement by March 31, 2023 as required by the Municipal Elections Act; and b. That without a financial statement, there is no public record to determine the campaign finance details. 5. The Applicant also provided a news article about the Respondent that raised questions about the campaign and raised concerns that without the transparency of knowing who contributed and what expenses were incurred that these questions undermined the transparency and accountability that is fundamental to the electoral process. 6. The Committee then provided the Respondent with the opportunity to respond. The Respondent was not present at the hearing and did not provide submissions to the Committee. 7. The failure of the Respondent to provide information to the Committee and the nature of the alleged breaches raises concerns. The participation of the Respondent in this proceeding would have been very helpful to the process and would have assisted in ensuring transparency and openness in understanding the Respondent's campaign finances. Indeed, the Respondent could have provided answers to questions raised by the Applicant and which remain unanswered. 8. In this instance, the Respondent has already defaulted and the penalties in 88.23(2) have already been imposed. This includes a prohibition on the Respondent being eligible to be a candidate for municipal office until after the 2026 municipal election. These penalties are significant but it is in the public interest to seek greater public transparency in the Respondent's campaign finances and this information would not be made available without an audit. 9. The Committee concluded that there are reasonable grounds that: a. the Respondent did not file a financial statement as required and this is a breach of the Municipal Elections Act, 1996. 10. As a result there are questions that cannot be answered without an audit, including in respect of the contributions received and expenses incurred by this campaign. 11. For the reasons stated above, and in the spirit of accountability, transparency, and upholding the public interest, the Committee shall grant the Application and appoint an auditor to conduct a compliance audit of the election campaign finances of Antonios Mantas, in accordance with s. 88.33(7) and (10) of the Act.